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

Brandenburg University of Technology Cottbus-Senftenberg

Faculty Architecture, Civil Engineering and Urban Planning

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 previously 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 possible 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] 45 Figure 18: Units and existing number of staff of the ‘land use management and GIS department’ [Illustration Pätsch based on City of Kigali 2008 (unpublished)] 47 Figure 19: Human capacity gap of urban planning staff [Illustration Pätsch based on i-master plan team 2014a] 48 Figure 20: Urban laws and strategies at the national level [Illustration Pätsch] 50 Figure 21: Urban policies and physical plans at the national level [Illustration Pätsch] 51 Figure 22: Working scheme of imihigo [Illustration Pätsch based on McConnell 2010] 52 Figure 23: Characteristics of management and working culture in Rwanda [Illustration Pätsch] 53

10 Figure 24: Challenges of the institutional system in Rwanda [Illustration Pätsch] 55 Figure 25: The inner city (on the hill) and adjacent quarters in 2014 [Pätsch] 58 Figure 26: Iconic buildings of Kigali [Illustration Pätsch, basemap City of Kigali 2005 (unpublished] 61 Figure 27: Traditional housing quarters (Nyarugenge District) in 2009 [Pätsch] 62 Figure 28: Inner city (RSSB Headquarters Nyarugenge District) in 2014 [Pätsch] 63 Figure 29: Urban plan documents at the level of the City of Kigali [Illustration Pätsch] 64 Figure 30: Content of the KCMP [Illustration Pätsch based on Ministry of Infrastructure 2008a] 66 Figure 31: Land-use plan of the KCMP [Ministry of Infrastructure 2008a: 63] 66 Figure 32: Content of the Detailed Master Plan (part 1) [Illustration Pätsch based on City of Kigali 2013a and City of Kigali 2013b] 68 Figure 33: Visionary statement for each District [City of Kigali 2013b: 11] 69 Figure 34: Urbanisation vision 2040 [City of Kigali 2013b: 15] 69 Figure 35: System of targets of visionary statement 1 ‘city of character, vibrant economy and diversity’ [Illustration Pätsch] 70 Figure 36: Content of the Detailed Master Plan (part 2) [Illustration Pätsch based on City of Kigali 2010c and City of Kigali 2013g] 71 Figure 37: Zoning [City of Kigali 2013g: 12] 72 Figure 38: Content of the Detailed Master Plan (part 3) [Illustration Pätsch based on City of Kigali 2013f] 73 Figure 39: Goals and objectives of the Transportation Master Plan [City of Kigali 2013f: 4] 73 Figure 40: Content of the Detailed Master Plan (part 4) [Illustration Pätsch based on City of Kigali 2013c] 74 Figure 41: Implementation guidelines [City of Kigali 2013b: xi] 75 Figure 42: Capital Improvement Projects [City of Kigali 2013b: 12] 75 Figure 43: Content of Kigali Sub-Area Plan: CBD, Kimicanga, Kimironko, Gahanga [Illustration Pätsch based on City of Kigali 2010b and City of Kigali 2013d] 76 Figure 44: Spatial distribution of urban design schemes [Illustration Pätsch, basemap City of Kigali 2005 (unpublished)] 77 Figure 45: CBD plaza illustration [City of Kigali 2010a: 5-26] 78 Figure 46: Sources of identiﬁ cation of challenges [Illustration Pätsch] 79 Figure 47: Typologies of planning diffusion [Illustration Pätsch based on Ward 1999, European Commission 2003] 87

11 Figure 48: Dimensions of the relational-referential concept [Illustration Pätsch based on Rammert 2010] 91 Figure 49: Characteristics of social innovation [Illustration Pätsch based on Gillwald 2000: 41] 92 Figure 50: Components of institutional transformation [Illustration Pätsch based on Healey et al. 1997: 23–24] 93 Figure 51: Analytical scheme of institutional innovation [Illustration Pätsch] 94 Figure 52: Working scheme of the normative dimension [Illustration Pätsch] 96 Figure 53: Potential institutional innovation [Illustration Pätsch] 99 Figure 54: Units and existing number of staff in the One Stop Center [Illustration Pätsch based on City of Kigali 2014 (unpublished)] 101 Figure 55: Information Flyer on Construction Permit reform [City of Kigali 2015] 103 Figure 56: Results of Planning Diffusion Check - Origin of institutional innovations [Illustration Pätsch] 106 Figure 57: Planning Diffusion Check of Development Control [Illustration Pätsch] 107 Figure 58: Spatial distribution and status of projects of the Detailed Master Plan [Illustration Pätsch, basemap City of Kigali 2005 (unpublished)] 111 Figure 59: Durability of potential institutional innovation [Illustration Pätsch] 113 Figure 60: Normative assessment of potential institutional innovation of the One Stop Center at the City of Kigali and District levels [Illustration Pätsch] 117 Figure 61: Inﬂ uences of the framework system on the performance of the Detailed Master Plan [Illustration Pätsch] 121 Figure 62: Nuances of relevant institutional innovation in Kigali [Illustration Pätsch] 127

Tables

Table 1: Staff in the urban planning department of the City of Kigali [Illustration Pätsch based on i-head of OSC 2014b] 101 Table 2: Staff in the One Stop Centers of the Districts [Illustration Pätsch based on i-OSC Nyarugenge District 2014b, i-OSC Gasabo District 2014, i-OSC Kicukiro District 2014] 102

12 Acronyms

BID Business Improvement District RISD Rwandan Initiative for Sustainable Development BRT Bus Rapid Transport RNRA Rwanda Natural Resource Authority CAD Computer Aided Design RPF Rwandan Patriotic Front CBD Central Business District RSSB Rwandan Social Security Board CIM Centrum für internationale Migration und Entwicklung SCE Singapore Cooperation Enterprise CKDP City Kigali Development Plan SDI Slum Dwellers International CoK City of Kigali SEZ Special Economic Zone DDP District Development Plan UN United Nations DED Deutscher Entwicklungsdienst WebGIS Geographic Information System available in the world wide DFID British Department of International Development web EDPRS Economic Development and Poverty Reduction Strategy EWASA Energy, Water and Sanitation Authority FRW Rwanda Franc GDP Gross Domestic Product GIS Geographic Information System GIZ Deutsche Gesellschaft für internationale Zusammenarbeit IDP Integrated Development Program IFH International Federation of Housing and Planning ISOCARP International society of City and Regional Planners KCMP Kigali Conceptual Master Plan LTR land tenure regularization process Minalog Ministry of Local Government Mininfra Ministry of Infrastructure, Ministry of Infrastructure Minirena Ministry of Natural Resources MIS Management Information System NGO Non-Governmental Organisation OSC One Stop Center PhD Philosophiae Doctor PPP Public Private Partnership RDB Rwandan Development Board REMA Rwandan Environmental Management Authority RGB Rwanda Governance Board RHA Rwanda Housing Authority

13 Objective - innovation and urban issues

1 Introduction to innovation and planning diffusion in Kigali, of Rwanda—refl ects these urban planning phenomena. City offi cials are constantly Rwanda renewing planning policies and have commissioned a Singaporean urban design fi rm to develop the city’s urban master plan. More than half of the world’s population now lives in cities, and urbanisation is While Kigali is a small agglomeration compared to other African cities, its popula- unbroken, at least in some regions of the world, e.g. Africa. By 2030, 50% of tion will have doubled by 2022. Kigali’s growth is a result of migration—at least Africa’s population will be living in cities ( UN-Habitat 2010: 1). Currently, urbanisa- partly accelerated by government policies—and natural population growth. Effec- tion through urban growth is happening much faster in Africa than it did in Europe tive urban administration is, therefore, needed to cope with this growth. during industrialisation or in Asia at the end of the 20th century ( Bekker & Therborn While Rwandans have high expectations of this plan, its implementation faces the 2012: 201). challenges mentioned. These constraints notwithstanding, this plan is an opportu- The growth of African cities often collides with weak urban institutions and ineffi - nity to stoke institutional innovation. cient urban planning performance, which cannot cope with the urban development. Although this research is case-specifi c and generalisations are not possible, the On top of this, the human capacity and the number of qualifi ed staff is inadequate Kigali case is relevant for examining the as-yet-unresearched effect of planning ( Okpala 2009). In this breeding ground, urban master plans are being reinvigorated diffusion on institutional innovation in Africa. Knowledge of this process is also around the world and are being given special consideration in African countries especially important, because Kigali’s development is politically admired interna- ( Watson 2014).1 tionally2 and locally appreciated thanks to awareness of the Master Plan of Kigali’3. Although urban master plans aim to guide urban development to create the future Structure of the research shape of the city, such visions often remain unrealised, because the performance of urban master plans depends on the interplay of institutional systems and My dissertation ‘The capacity of institutional innovation following the diffusion of planning culture. In many cases, master plans are neither accompanied by appro- urban plans:Explorations of the impact of an urban master plan in Kigali, Rwanda.’ priate instruments of implementation and resources, nor are they an integral part is divided into nine chapters consisting of two to six sub-chapters. of the planning system ( Watson 2014: 3). Chapter 1 introduces the research objective by giving an overview of institu- Most of the time, urban master plans are developed by commissioned (internation- tional innovation and planning diffusion in cities, especially in East Africa. The al) urban planning fi rms with worldwide knowledge and experience. International- chapter also examines the latest research on these issues. The research gap and ly recognised urban design ideas and strategic instruments are, thus, transferred the usefulness of the research for urban planning practice are explained in the but collide with weak institutions and ineffi cient urban planning implementation in sub-chapter ‘the value of the research’. Africa. The creation of an urban master plan is, thus, accompanied by planning Chapter 2 explains the research methodology. It examines the application of the diffusion, which poses an additional challenge to the institutional system of African single case methodology and gives a brief overview of the applied methods and cities. Despite all of the constraints of planning diffusion, however, planning diffu- concludes with a discussion of the limitations of this research methodology. sion is capable of creating widely needed innovation. The third chapter introduces the perception of urban planning, which is the The motivation behind my research is to examine the planning diffusion process subject of this research. Apart from the planning paradigms of strategic planning through urban consultancy, with the goal of bringing analytical and interpretative and master plans, this chapter examines the institutional framework and cultural aspects of the ordinary process of urban consultancy into academic discourse. dependencies of urban planning. It ends with a discussion of challenges facing the Planning diffusion serves as the starting point of institutional innovation processes. institutional system in East Africa. Combining the concepts of innovation and planning diffusion allows for an under- The next chapter (chapter 4) introduces the case of Kigali, Rwanda. This case is standing of the local consequences of planning diffusion. presented from an urban planning perspective, explaining the planning framework My research, therefore, discusses institutional innovation (the amount and the with its institutions and urban laws and plans. The explanation and conceptual- extent) in Kigali resulting from its urban master plan. The case of Kigali—the capital 2 The orderly development in recent years has received positive recognition in Africa and worldwide. Since 2000, city delegations have been visiting Kigali to learn from it. 1 African cities also often admire ‘an urban future akin to that of Dubai, Singapore or Shanghai’ (W atson 3 Everybody in Kigali is familiar with the term Kigali master plan, due to its ambitiousness and to the and Agbola 2013: 4). political effort invested in its performance.

14 Objective - innovation and urban issues

isation of the Detailed Master Plan takes up a large portion of this chapter. The chapter also introduces the challenges of the institutional system and of implementing the Detailed Master Plan. Chapter 5 is about institutional innovation in urban issues and addresses innovation generally and institutional innovation as it relates to this case. This chapter also introduces the phenomena of planning diffusion. After explaining historical phenomena, the research focusses on mandated urban planning as a phenomenon of 21st-century planning diffusion. Chapter 6 outlines the analytical framework of institutional innovation in Kigali. It introduces three innovation concepts used in the research. The last sub-chapter explains the analytical scheme (operationalisation) used. The seventh chapter explains the empirical research fi ndings—the potential innovations in Kigali—and presents these potential innovations in the various categories. One sub-chapter deals with the spatial distribution of the Detailed Master Plan projects. The chapter concludes by determining whether planning diffusion indeed happened. Chapter 8 presents a normative discussion on potential innovations and refl ects on institutional innovations. This chapter reveals whether the changes in Kigali can be called innovation and which aspects support or hinder innovation. The last chapter (chapter 9) concludes the research, refl ects on its results and presents further research issues.

15 Objective - innovation and urban issues

1.1 Objective – innovation and urban issues recently commissioned international urban planning offi ces to develop the city’s Although effective urban planning and steering are crucial urban development urban plans. One such plan is the Detailed District Physical Plans (Detailed issues, the speed of urbanisation often presents a challenge to the performance Master Plan), which was developed by Surbana, a Singaporean architecture and of urban plans in terms of space, e.g. urban sprawl, and in terms of planning urban design fi rm. The plan encompasses the entire city and has been opera- and governance systems (Pahl-Weber & Schwart ze 2014: 17). Attempts by city tionalised for implementation, using specifi c development control defi nitions and administrations have also been ineffective due to, e.g., limited institutional capacity supplementary implementation instruments. Most of the urban defi nitions in the (UN-Habitat 2014b: 16 3) and a lack of sociopolitical reforms (UN-Habitat 2014b: Detailed Master Plan did not exist in the previous Rwandan planning system. 16 4). The urban discipline is thus obliged to create ‘effective institutions, well-adapt- The comprehensive changes Kigali offi cials have made to the planning system ed laws and regulations, sustainable urban solutions and active civic involvement have become an asset, because implementing master plans requires a ‘clear and in public affair’ (UN-Habitat 2013: 132) to steer sustainable urban development. robust mechanism’ (Niyonsenga 2013: 15). Current urba n steering attempts in Kigali are, thus, much more promising4 than past ones. Innovation has always been important for urban issues (Mieg 2013: 6; Mieg & 5 Töpfer 2013: 6), because it brings knowledge, processes and programmes that While the Detailed Master Plan follows spatial objectives , institutional trans- change procedures, how business is done and social attitudes (UN-Habitat 2013: formation is taking place. The practice of consultants formulating master 128). Technical and social innovation are both the reason for and the consequence plans offers much innovation potential, because master plans implement- of urban transformation. Institutional innovation—a sub-group of social innova- ed in the U.S. and Great Britain have made administration more effec- tion—also shapes urban transformations through new tools or organisations creat- tive by adopting and refi ning planning law (Heinrich 1987: 79). The Detailed ed to increase effi ciency (Motte 1997). M aster Plan of Kigali acts as ‘release button’ of institutional transformation, because the Detailed Master Plan defi nes comprehensive measures. Whereas ch ange is the neutral description of a development, innovation means a Although those Rwandans responsible neither established a reform nor intended change beyond mere routine. In addition, the nature of innovation—as opposed to spur innovation, they did aim to change urban planning so as to steer urban to change—includes a normative, perceived baseline that integrates the conse- development.6 Although the efforts in Kigali refl ect a new pressure (UN-Habitat quences of the change. Like change, innovation is highly contextual and depends 2009: 78), because the in tention was to fi nd better solutions, which is typical for on the framework for innovation, which includes primarily culture and the nature innovation in urban development (Ibert et al. 2015: 173). of governance (Ward 2002: 398). Understan ding institutional innovation, thus, has the capacity to increase our knowledge of the transformation of the planning While som e authors see diffusion and innovation as competing forces (Krücken 7 system (Motte 1997). 2006: 10) , my research under stands diffusion as the precondition of innovation (see Figure 1). More precisely, this research captures institutional innovation as Kigali—the ca pital and the economic center of Rwanda—exemplifi es urban devel- a consequence of planning diffusion through the Detailed Master Plan in Kigali.8 opment in Africa and the challenges facing it. For several years, Kigali has been Planning diffusion—the enactment and distribution of ideas, models and practic- increasing in area and in population due to migration and natural population es—accelerates in globalisation (Krücken 2006: 268). Once planning diff usion growth. The current population of 1.1 million in 2012 (Nyarugenge District n.d.: takes place, once-unknown ideas and instruments of urban planning enter the 9) is expected to reach 1.9 million by 2022 (Cuevas et al. 2012: 11). An additional toolboxes of urban planners and institutional structures of the planning system. 800,000 inhabitants amounts to a near doubling of Kigali’s population. Although Applying novel instruments and ideas, thus, enables changes to planning admin- Kigali’s growth has been informal, current urban policies agree that Kigali’s urban development should facilitate sustainable growth and promote the development of 4 These approaches do carry with them concerns regarding inclusion and sustainability. Rwanda into a leading urban centre in Africa (Ministry of Infrastructure 2008 a: IX). 5 The Detailed Master Plan also has unintended spatial consequences, e.g. land speculation, construction City offi cials are, therefore, prioritising urban issues in Kigali (Goodfellow 2012: on Kigali’s outskirts. 6 Although informal urban development is a crucial issue in Kigali, the planning attempt does not discuss 312). ending informal development. Althoug h urban planning in Kigali has become more important in recent years, 7 Innovation and diffusion are interrelated. Diffusion is a necessary consequence of innovation, yet can the institutional system needs an overhaul, e.g. better coordination (UN-Habi- also be a prerequisite. 8 While there are manifold channels of planning diffusion in Kigali, my research examines only planning tat 2014a: 62; Ilberg 2015: 35), if the urban plans are to succeed. City offi cials diffusion in the Detailed Master Plan.

16 Objective - innovation and urban issues

istrations, expert networks and political culture (Heinrich 1987: 100), because planning diffusion is the ‘deterritorializing’ and re-‘territorializing’ of policy knowledge (McCann & Ward 2011: xxi). Applying the con cept of innovation stemming from planning diffusion offers the opportunity to refl exively observe the transformation in Kigali. Identifying planning diffusion, however, seems to be, more or less, an academic problem; consciously dealing with planning diffusion helps urban authorities avoid constraints and foster strengths of the process. While innovation stemming from international relations has been observed in ‘important’ countries in the second half of the 19th century and the fi rst third of the 20th century (Streich 2011: 590), there is no research on innovation stemming from diffusion in ‘minor’ countries. This research addresses spatial planning at the local level9 and offers insightful observations on urban planning by revealing specifi c and legal institutional activity in Kigali. Narrowing the observation to institutional innovation allows for a precise defi nition and is well suited to urban planning.10 My research discusses innovation in local urban development processes that aims to make the urban steering process more adaptive11 by increasing refl exive knowledge of urban management12 in Kigali (see Figure 1). My research on planning diffusion also reveals the impact of global urban consultancy, which is now commonplace in urban development. This research, thus, combines general driving patterns of globalisation (see: McCann & Ward 2011) with the singularity of pla ces (see: Healey et al. 1997; Robinson 2006, 2011).

9 While related sector planning is considered, the core observation deals with the Detailed Master Plan, which is spatially focussed. Figure 1: Concept of the research [Illustration Pätsch] 10 There is a need for social innovation in Kigali, but this research ascribes greater relevance to institutional innovation for implementing planning action. 11 This approach has been evident since the 1980s but has not been applied, especially to East Africa. 12 The plan’s regulations do require evaluation, but my research does not aim to evaluate the detailed physical plan. Such an evaluation would require a different methodology. Evaluating land-use patterns, urban designs and definitions is not possible without cultural considerations, because the meaning of ‘right or wrong’ is culturally contingent.

17 Objective - innovation and urban issues

1.2 The state of research – the current research base and research gap Except for Schumpeter’s research, there is no ‘central publication’ on institution- This chapter aims to show the research base and the research gap my research al innovation. My research builds on Schumpeter’s (Schumpeter & Böhm 1987) addresses. It consists of research strands on institutional innovation (chapter defi nitions and on existing innov ation research, especial ly as it relates to crite- 1.2.1), planning diffusion (chapter 1.2.2) and master plans (chapter 1.2.3). This ria and conditions of innovation. My research focusses on institutional innovation, chapter does not intend to address all relevant research strands related to these but draws from literature from the social and political sciences. This is important issues but, rather, narrows the broad fi eld of research on innovation and planning due to the interplay of innovation and the crosscutting character of the ‘urban’. My diffusion to the interconnections of these concepts in urban issues, especially as research, therefore, builds on the research of Healey et al. (1997); Gillwald (2000); they relate to master plan practice. Rammert (2010) in ord er to understand this phenomenon (see chapter 5 and 6). No known research addresses the consequences of institutional innovation after Innovation is highly appreciated in urban development, yet the concept of innova- 20 planning diffusion. Combining both concepts—innovation and planning diffusion— tion has rarely been applied to urban issues. The conscious creative action of benefi ts contemporary planning practice, because planning diffusion has become the urban profession has long been neglected as a driver of innovation (Ibert et an ordinary process in urban development and contributes to fi lling a research gap al. 2015: 171). Research on urban issues to date h as mainly dealt with innovation in contemporary urban development. only indirectly. Even though innovation is incorporated into phenomena that can be modelled and are recommendable for emulation, e.g. urban modeling or best Diffusion as a pre-condition of innovation (Krücken 2006: 270) is also an practices, (Ibert et al. 2015: 171), this perception does not integrate the academ- unresearched urban phenomenon.13 This research fi lls this gap by precisely describ- ic concept of innovation. Research on spatial changes depicts innovation, e.g. ing the transferal of diffusion processes to the local context (Krücken 2006: 270). urban pedestrian areas (Ibert et al. 2015: 172) or prefabricated housing estates. This research also addresse s the local adaptation of institutions through the U rban management research, which addresses, e.g., institutional transformation concept of institutional innovation, because studies on imitative learning of institu- through new instruments (Ibert et al. 2015: 172) (BID), implicitly addresses innovations have failed to consider local adaptation (Howaldt & Schwarz 2010: 21). tion. Conditions of innovation are also incorporated into research on, e.g., creative 1.2.1 Research base and r esearch gap of institutional innovation in urban milieus, the network concept or regional innovation systems (Fritsch 2005: 477), issues although innovation is not the primary object of these studies. Although academic studies of innovation are not unconditionally recognised (see: My research, thus, addresses the lack of innovation research in urban issues. Krücken 2006), research on innovation is common in economics, social science14, While adding to the cluster research of innovation in urban issues, this dissertation political science and management studies. Innovation is also embedded in wider addresses two research strands of institutional innovation: research concepts, e.g. the concept of ‘learning’15 in the social and political scienc- • institutional innovation after the application of an urban instrument and es or in the context of enhancing ‘management cycles’16 in (applied) business • conditions of institutional innovation in urban planning economics or technology studies. Much research on mechanisms17 and criteria of This disseration fi rst takes up the research strand of the application of urban instru- innovation, however, has been done18; innovation in science, art and politics is still ments, because ‘tracking’ planning practice through specifi c instruments offers an emerging fi eld of research.19 insight into organisation and mobilisation in political (Healey et al. 1997: 5) and administrative processes. This ins ight will add to the more conscious application 13 Although this research addresses planning diffusion, it is not diffusion research, since it does not trace of instruments. the diffusion process. 14 The research on social innovation is still in its infancy. My action-orientated research addresses the conditions of innovation. Indeed, 15 Regarding the concept of learning, stakeholders break with common thinking and behaviour while Kaltenbrunner (2015), Hauschildt (2011), Krücken21 (2006) and Bröder (1999) creatively interpreting existing situations (Brödner 1999: 261). 16 The concept of ‘management cycles’ is useful in the context of the introduction of new technologies, e.g. in new markets in the economic sector. 20 Social science’s conception of urban planning is an exception, because it often applies the concept of 17 Innovation research often focusses on the innovator, at least in social science, because doing so innovation to observing bottom-up processes (see I bert et al. 2015). makes the innovation figurative and operative. 21 Although Krücken notes that social innovation cannot be steered in a ‘regular circle’ (K rücken 2006: 18 Research on innovation systems was very popular in the 1980s. 262), he admits that the political belief in the planning of innovation helps create political action 19 The frequency of innovation research varies across academic disciplines. (K rücken 2006: 263).

18 Objective - innovation and urban issues

agree that innovation can be controlled22. While knowledge of the conditions of and urban instruments. A major resource is the comparative research of Healey et innovation is necessary to steer it, knowledge of the framework conditions of al. (1997), which characterises the phenomenon and methodolo gical refl ecti ons. institutional innovation in urban planning is lacking. This gap will be addressed There are currently research gaps in three areas (Healey 2010: 7): by identifying framework conditions that support or hinder the innovation process. • Diffusion as a process, 1.2.2 Research base and research gap of planning diffusion in urban • the framework of adaptating exogenous ideas—situation planning practices issues and • the role of key actors besides national or international institutions and the elite Research on diffusion is as broad as that on innovation and entered nearly all (McCann & Ward 2011). academic fi elds, e.g. communication, public relation, rural sociology (Rogers 2003: 103). The concept of learning is also very much interlinked with planning diffu- My research takes up the strand of precise urban instruments. The related studies sion. Planning diffusion is part of a more precise fi eld of research on policy in on this strand that do exist neither address urban master plans nor integrate urban issues: Research on urban models23, e.g. the Garden City movement (Ward innovation research. It examines ‘how’ services of an ‘international nature’ (Hage 27 2002: 6), the Barcelona model and ‘Mobile Urbanism’ (McC ann & Ward 2011),24 2005: 73, 101) function and addresses the research gap of local tran sformation deals with the diffusion phenomenon from a policy perspective.25 Scholarship on by focussing on the framework and consequences of adopting exogenously devel- the impact of research of international bodies is also common. Transferring urban oped planning instruments. typologies across different cultures, e.g. from Europe to the Maghreb (Nasr & Volait It also explores policy research on spatial urban steering, because traditional 2003)26, examines planning diffusion from the pers pective of urban design and policy research lacks the aspects of global-relations, social and spatial process- architecture. Planning diffusion research also examines the transfer of precise es (McCann & Ward 2011: xxii). My research, thus, widens the traditional polic y urban planning instruments, e.g. BID (Ward 2011). research perspective. Although planning diffusion addresses phenomena sim ilar to innovation research, 1.2.3 Research base and research gap of master plan application diffusion research instead focusses on ‘how’ and ‘why’ it happens. Planning diffusion research has long been carried out in a perspective of colonialism (Söderström My research build s upon case-based research on the effects of urban master plans. 2012: 45), of North-to-South transfer. Little research o n planning diffusion deviates Although master plan implementation has often failed in African cities, master from this path. Although my research builds on historical diffusion research, it fi lls plans have experienced a reinvigoration in Africa. While the current revalorisa- a vacancy by observing the process of consultancy in urban issues, which follows tion of the instrument of the master plan is fl anked by a discussion on the conse- rational objectives of globalisation. It builds on the ‘pure’ characteristics of diffusion quences of these plans, no research addresses this issue. My research does not phenomena, drawing heaviliy from the fi ndings of planning historian Stephen V. question the application of the instrument of the master plan in the sense of a bias Ward. between developed countries and emerging countries (see the work of Heinrich (1987)). Although my research builds upon this, it does perceive m aster pla ns as My research builds upon that of planning diffusion of changed planning perceptions applicable to a wide range of fi elds (see Chapter 3.2), because they are fl exible in 28 22 Studies on the steering of innovation do exist, e.g. Schröder, Huck and de Haan ‘Transfer sozialer methodology. Thus, this research questions not the master plan itself but rather innovationen’. its operative effects. An unimplemented plan is not seen as a failed one. While 23 Urban modeling research examines diffusion mechanisms, extensions and causes (Ward 1999: 55). implementation is crucial to realising urban objectives, development processes of 24 Policymaking is ‘relational and territorial’, which leads to an urbanism formed by transfers, relational urban plans can also impact, e.g., the institutional sphere, which demonstrates an connections and territorial fixities (M cCann and Ward 2011: xv). 25 Research from a policy perspective often addresses the conditions of policies that have ‘travelled’ to instrument’s capacity. another context. My research, thus, addresses the research gap of implementation of master plans, 26 Nasr and Volait observe the shaping of space in the 19th and 20th centuries by urbanism and power in case studies in the Mediterranean region in four types: (1) ‘histories of ‘common folks, which shifted using the case of Rwanda to gain insight into the application in planning practice. historical writing away from their obsession with great people’; (2) ‘subaltern’ literature, which brought to light the stories of those on the lowest rungs; (3) ‘urban planning models and their flows, networks, 27 The international consultancy of Surbana favourably fits, because this is a common kind of service in exchanges and adaptations’; and (4) ‘planning culture’, which includes a focus on professionals who urban planning, which is, at the same time, a new sector in the economy (Hage 2005: 74). shape the urban environment (Nasr and Volait 2003: XI). 28 This research does not claim to address inductive planning attempts (see the work of Heinrich 1987).

19 Objective - innovation and urban issues

1.3 The value of the research conscious application of urban consultancy in globalisation, which is especially My research offers insight into a typical case of globalisation,29 lacking in knowledge in the Global South. that is, urban planning performance in Kigali in various spheres. My research also critically refl ects on negative innovation-diffusion assumptions in My research, fi rst, comprehensively describes the planning system. No planning practice regarding applying urban instruments: Innovations from abroad research to date gives such an overview. In addition, there is very little in often cause problems when entering local social and institutional spheres (UN-Hab- the literature on the urban planning system of Rwanda. Apart from compar- itat 2013: 126). My comprehensive discussion offers arguments for this discourse. ative PhD research with a specifi c focus, e.g. Ilberg (2009) and state effectiveness in Goodfellow (2012), no other scholarship on urban issues in Kigali is known. My research, thus, offers practical guidance for urban planners and international organisations unfamiliar with the Rwandan context. My research also critically evaluates Kigali’s urban planning approach30 through the concept of innovation. My assessment of the phenomena can be applied to planning practice to improve plan performance. Early assessment of innovation31 is important, because the implementation of the Detailed Master Plan runs the risk of failing. The results of this research can give feedback on transforming planning processes in Kigali. My research, thus, offers Kigali’s city administration the opportunity to adjust the process, e.g. to create innovation, and suggests explicit ways to improve cooperation, e.g. in development cooperation32. In addition, the comprehensive view on the framework conditions of institutional, social and cultural features offers insight into conditions of innovation in Kigali. This study, therefore, adds knowledge to the system of innovation in Rwanda. The overall value of the research is to popularise the concept of institutional innovation in urban planning by clearly describing ‘how’ institutional innovation occurred. Although Krücken calls for a more critical perception of innovation in terms of failure and revaluation (Krücken 2006: 266), he does admit that academic research is done in the fi eld o f tension between myth and critical assessment. While Krücken adds that the myths are important for political decision processes (Krücken 2006: 271), my research supports the argument for need of creating inno vation in cities. If innovation fails to guide action, identifying it is useless. My research also further specifi es the output of planning diffusion within the current paradigm of cities as learning systems. Observing institutional innovation in Rwanda allows for new insight into the impact of mandated urban master planning in the sociopolitical context. My research, thus, helps improve city administrations’

29 Despite the lack of general applicability, the context of Kigali is typical for urban development on globalisation. 30 This is an independent view, due to no affiliation with any Rwandan organisation. 31 Although short-term implications are very fruitful for the research for immediate changes, my research also suggests doing a long-term assessment of societal implications (see chapter 9.3). 32 The GIZ addresses, e.g., capacity improvement, working conditions and administration ethics (BMZ 2012 (unpublished): 3).

20 Objective - innovation and urban issues

1.4 Interim conclusion My research aims to understand the effects of the Detailed Master Plan in Kigali, Rwanda. To address necessary fundamental changes in the implementation of urban planning, this research applies the concept of institutional innovation. My research is situated at the interface of innovation and planning diffusion in order to understand local adaptation of planning diffusion of urban master plans. More speciﬁ cally, my research offers insight into the transformation of Rwanda’s urban planning system, building on innovation research from social and political research and on planning diffusion research.

21 The strategy of research on institutional innovation and planning diffusion

2 The strategy of research on institutional innovation and 2.1 Single case study methodology planning diffusion The motivation behind this research—the observation of a single phenomenon in Kigali—is the fi rst argument to apply a case study design (Yin 2009: 9). The re search strategy describes the logic of fi nding results based on research While this case is not generalisable, it meets the criteria of a typical case (Ibdn: 48): questions. My methodological approach has various dimensions. Chapter 2.1 explains the academic justifi cation for a single case study. The applied research • a typical case for emerging countries and cities, methods and the results are discussed in chapter 2.2. Chapter 2.3 discusses • a typical case for applyin g urban master plans, research limitations of the application of the various academic concepts. • a typical challenge of planning diffusion in the 21st century (Healey 2010: 6) The research is organised in several steps (see Figure 2). After defi ning the and research strategy, the empirical assessment of planning action in Kigali then • a typical stakeholder constellation for sub-Saharan Africa undergoin g globali- generates data for analysis. The results of the research encompass several steps sation. that refl ect the phenomenon’s complexity. This research is also an embedded single case study (Yin 2009: 46), because it My initial interest in this research came from observing the phenomenon in applies existing theory and generates knowledge on planning di ffusion and innova- 2009. The feasibility of alternative research strands was checked through tion. an intensive literature review before the formulation of research questions. Hypothesis-guided research My literature review remained broad, even after defi ning the research strategy. Although urban theory is predominant in the empirical assessment, theory from My study uses hypothesis-guided research, because determining elements of the social, political, cultural and management studies has also been analysed and research were identifi ed during the pre-study phase. The assumption developed utilised. This broad recognition of theory follows a dual objective. First, it displays in the initial phase of the research is derived from my research objective and is the complexity of the phenomenon, which is based on urban, social, cultural and focussed on the inquiry (Yin 2009: 28). The hypothesis model is based on urban political aspects. Second, it backs up the use of a single case study design, which planning’s complex and crosscuttin g nature. My research assumption describes requires a suffi ciently broad base of literature to serve as the research ‘blueprint’ the phenomenon observed in reality (Kornmeier 2011: 105). (Yin 2009: 36). Central Assumption Although German is my native language, the research—with some except ions33— was conducted in English for several reasons. First, the dissertation is written in The mandated physical master plan acts as a pl anning diffusion process, which English to make the results accessible to a wider audience. Second, English is the induces institutional innovation in the urban planning framework. Institutional main foreign language in Rwanda. Third, most of the relevant literature was written innovation is shaped by Rwanda’s sociopolitical setting (the framework system). in English. My general research question and sub-questions explore the general assumption, 33 Sources in Kinyarwanda are translated into English with the help of Rwandans. Rare literature sources because they assess ‘the way’ of exploration. My research question, thus, directs in German and French were translated into English. Interviews with German interview partners were carried out in German. One interview was partly carried out in French. Some informal talks were also the entire work and offers guidance in the empirical assessment as well as the carried out in French. literature review. My research asks the ‘how’ question, because it addresses a ‘contemporary set of events’ (Yin 2009: 13). While my general research question guides the entire work, the more focused sub-q uestions address the various dimensions of the results. The fi rst sub-question helps to describe potential innovation in Kigali. The second guides the normative assessment of potential innovation, which, in turn, guides the refl ection in order to understand the phenomenon of innovation in Kigali. The third sub-question reveals the infl uence of the specifi c spatial and institutional contexts.

22 The strategy of research on institutional innovation and planning diffusion

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23 The strategy of research on institutional innovation and planning diffusion

General research question 2.2.1 Primary data How does the Detailed Master Plan performance induce institutional innovation in The research is based on my own academic study and empirical work in Kigali Kigali? from 2008-2016. Sub-questions Observation / expertise of the author What are the fi elds of institutional innovation in Kigali? My familiarity with Kigali and Rwanda started in 2008, after working for one How can institutional innovation be assessed in light of the challenges facing year as a junior advisor for the German Development Cooperation (DED) Kigali’s institutional system? in the ‘land use management and GIS’ department of Kigali. At the time, How is institutional innovation supported or hindered by Kigali’s framework system? the Kigali Conceptual Master Plan (KCMP) had been approved, and Surba- na had been hired as a consultant to develop the Detailed Master Plan. My research has since followed urban planning activities in Kigali. My research uses an inductive approach, which aims at generating new fi ndings to My research also included two intensive periods of fi eldwork in Kigali. The fi rst reveal new connections and backgrounds (Mattissek et al. 2012: 46) of institution- stay—in September 2012—coincided with the development phase of the Detailed al innovation in urban planning.34 My research also employ s selective abductive Master Plan. The research included informal talks and attending public stakeholder inputs, because knowledge from related disciplines is needed to guide the obser- consultations held by the Master Plan Team. The second stay was from March- vation. The combination of approaches helps to operationalise my initial observa- May 2014. At that time, the master plan had been approved, allowing my research tions and to represent innovation in its totality. to follow the implementation of the Detailed Master Plan through observations35 2.2 Research methods and interviews36. My research mainly employs social science methods and uses multisource Expert interviews as a source of research evidence—a prerequisite for single case study design (Yin 2009). The main sourc- The interview methodology varied with regard to the type of interview and to the es of evidence (primary data) derive from expert interviews (data collecti on) and means. Most were expert interviews conducted in 201437. Information gaps contin- my own expertise. The results of the interviews, however, are verifi ed by and ued to be fi lled from May 2014-February 2016 via email, Skype, and WhatsApp. discussed with regard to academic knowledge of the literature. Another resource Experts from all relevant stakeholder groups were interviewed, is planning documents (secondary data) and academic literature (see Figure 3). because interview partners serve as meaning makers. Interview 38 34 The inductive approach is used to some extent for the theoretical understanding (Mattissek et al. 2012: partners were chosen fi rst by institution and then by accessibility . 46). Although the goal was to record all interviews, some interview partners did not always consent to being recording. The interviews used are anonymised in line with academic standards,39 yet relevant information on the interview partners and the atmosphere during the interviews are given. All recorded interviews have been transcribed40. REVHUYDWLRQVH[SHUWNQRZOHGJH H[SHUWLQWHUYLHZV

35 Fieldwork involved moving from one piece of evidence to another. A lot of information was given during 3ULPDU\GDWD informal talks, in which interlocutors mentioned projects or possible interview partners. My personal contacts and expertise often enabled access to information. 36 Most the interviews were conducted during this field visit. DFDGHPLFOLWHUDWXUH SODQQLQJGRFXPHQWV 37 One interview was carried out via Skype. 38 Despite always trying to speak with the departmental head of administrative entities, sometimes only subordinate staff members were made available. 6HFRQGDU\GDWD 39 Some interview partners asked for information to be anonymised. 40 Omissions in the transcriptions are indicated in a traceable manner. Minor filler words are omitted Figure 3: Data sources of the research [Illustration Pätsch] throughout.

24 The strategy of research on institutional innovation and planning diffusion

My research included: 2.2.3 Analytical approach • informal talks (not recorded), My research uses an analysis-explanation framework with determinants from • guideline-based expert interviews (recorded) and innovatio n theory, planning diffusion and cultural dimensions in order to explain • guideline-based expert interviews (not recorded). institutional and policy change. The unit of analysis (see (Yin 2009: 12) is the urban All interviews were conducted using generally the same methodology41. The inter- planning sphere of Kigali (the institutional system). My research is a fi gur ative analy- view consisted of main questions and follow-up questions, whereas the percentage sis, which traces what happens over time (Yin 2009: 9). This case is temporarly 42 of each type depended on the position of the interview partner. After giving a brief reduced to the performance of the Detailed Master Plan from 2011 through March introduction to the fi eld of interest of the interview and the structure of the inter- 2016. The baseline for assessing change is the urban planning activity of 2009. view, my interview partners were asked to give a brief overview of their work (work This research addresses various institutional dimensions: institutions as objectives, position, etc.). All interview partners were asked about the challenges stakeholder, processes in/between institutions as well as instruments of insti- 43 of master plan implementation. tutions. My research considers institutions in the broadest sense, thus integrating formal and informal urban activities as well as partial stakeholder 2.2.2 Secondary data activity, which, in turn, allows for the integrating of this case’s particularities. My research also identifi es innovators who impact innovation processes, yet takes Academic literature the individuals as one part of the system without focussing on their relations and My research employs a wide range of academic literature from several fi elds, behaviour. which refl ects the crosscutting character of the case. Literature from the fi elds of The analysis is conducted in two strands. The fi rst is an analysis of innovation social science, political science, urban studies, architecture, cultural studies and resulting from identifying potential and relevant institutional innovations, and the management studies is used. Academic articles and newspaper articles are also second is planning diffusion (Planning Diffusion Check), which should reveal the used. to access the case study. Although East African newspapers, e.g. The New origins of potential innovation. The process of identifying innovation and planning Times or The East African, are used to gather information from afar, they are not diffusion facilitates the discussion of effects-relation in urban planning in Kigali. The used as qualifi ed information in the research. concept of innovation critically assesses the process, which can be directly fed to The research is based mainly on literature from Western countries because there Kigali to improve it.44 is rare academic literature from East Africa on urban issues. Western researchers The advice given by Surbana during the development of the Detailed Master have dominated the discussion at least since colonialisation. Plan affects the capacity of innovation but may not wind up being defi ned in the Planning documents plan. Processes during the development of the Detailed Master Plan are, hence, integrated into the analysis in both analytical strands. In general, the number of planning documents is vast, and there is no publication that gives an overview or textbooks on the Rwandan planning system. My research My research analyses the methodology of the Detailed Master Plan and the Imple- 45 is based on all relevant urban planning documents of Rwanda and Kigali. Although mentation Report , which is the only operationalised document. Although the most of the documents are publicly accessible, personal contacts enabled access methodology includes urban projects, my analyses research neither the spatial to some unpublished documents. confi gurations given by the plan nor the innovative capacity of the Detailed Master Plan’s content and methodology of ‘urban design strategies’ and ‘projects’ (catalytic 41 All interviews were carried out using following: work objectives, main questions (begin and guide), and capital improvement projects), even though they affect the capacity of spatial probing questions (clarity answer, request example) and follow-up questions (pursue implications).

42 My research includes the development process. 43 Research on social innovation would offer further qualified findings on individual stakeholder behaviour. 44 Related theories, e.g. mobile policies (McCann and Ward 2011) and ordinary cities (Robinson 2006), are too broad to provide an analytical frame for this case. 45 It is the key strategy for implementing the Detailed Master Plan, and few other strategies (e.g. transport) existed at the time of research.

25 The strategy of research on institutional innovation and planning diffusion

innovation through new urban typologies46. My research also does not analyse • Additional implementation activities – planning activities observed during private development projects or projects that are not part of the Detailed Master fi eldwork that are not defi ned in the Detailed Master Plan, Plan.47 It, instead, focusses on projects that are part of the Detailed Master Plan in • required implementation activities – planning activities not defi ned in the plan, the fi rst phase (through 2017), because the implementation phase has most likely but that are necessary given the scope and defi nition of the Detailed Master already started. Plan, and The following presents the methodological steps of identifying innovation and • defi ned implementation activities – planning activities defi ned in the Detailed planning diffusion. Master Plan. Identifying institutional innovation The second source is a scanned copy of defi nitions in the Detailed Master Plan Most of the innovation concepts used are derived from social science, e.g. Rammert, (Master Plan Report, Master Plan Guidelines (Development Control) as well as the because social science offers determinants of the explanation. Social science demands Implementation Report), which can be traced against the background of perfor- that innovation ‘has to make sense’. My research, therefore, casts innovation against mance of the plan. This step was carried out in 2014 during extensive fi eldwork the background of challenges facing the institutional system for urban steering. in Kigali.50 48 The research of Healey et al. (1997) is a main source of urban planning. Their 50 Although changes in Detailed Master Plan performance most likely occurred before and after this approach offers broader conceptualisations of institutional innovation, which helps moment, my research only takes up changes that have occurred to date. capture innovation for urban planning purposes. My research has, therefore, trans- 0HWKRGRORJ\ 3RWHQWLDO 1HFHVVDU\ ferred some methodological attempts from (Healey et al. 1997) to my investigation, 1HZSHUIRUPDQFH which also merges various institutionalist approaches (Healey et al. 1997: 23). The RIWKH LQVWLWXWLRQDO FRQGLWLRQ 'HWDLOHG LPSOHPHQWDWLRQ LQQRYDWLRQ institutionalist approach toward policy references and their meaning (Healey et 0DVWHU3ODQ DFFRUGLQJWR GHILQLWLRQV al . 1997: 23) is backed up by the semantic dimension of Rammert (2010), which 6WDNHKROGHUV 'XUDELOLW\ stresses the requiremen ts of communication and reproduction. ,PSOHPHQWDWLRQ DQGQHWZRUNV Institutional innovation is identifi ed by an operationalised49 scheme of analysis, 5HSRUW 5HDFWLRQ which is derived from the academic characteristics of innovation (see Figure 4). 1HZSHUIRUPDQFH 1HZFKDQQHOV WRFKDOOHQJHV 2EVHUYDWLRQ UHTXLUHG RIDUWLFXODWLRQ The process of analysis consists of matching former implementation activities and 5HOHYDQW RI LPSOHPHQWDWLRQ $FWXDOLPSDFW the normative assessment of innovation. The result of matching is potential innova- LQVWLWXWLRQDO SHUIRUPDQFH PHFKDQLVPV 3ODQVDQG LQQRYDWLRQ tions. The result of the normative assessment is relevant institutional innovation. DFWLYLWLHV LQVWUXPHQWV Thus, if a potential institutional innovation addresses urban challenges, it is considered a relevant institutional innovation. 1HZSHUIRUPDQFH The observation of potential innovation uses two sources to ensure density and DGGLWLRQDO breadth of information. The fi rst source is the observation of implementation activi- LPSOHPHQWDWLRQ ties on the ground. This step provides a comprehensive description of the planning PHFKDQLVPV action, because it divides the implementation activities into three categories: ,GHQWLILFDWLRQ 1RU RISHUIRU PDWLYH 46 While the projects may certainly have the capacity for innovation, this observation demands a different 1PDQFH 3 45DVVHVV DFWLYLW\ (VWDEOLVKHG 'HVFULSWLRQ HPHQW 5HVXOW methodology, and innovation in this field takes longer. (They are also limited by, e.g., social and market SHUIRUPDQFH constraints.) 47 Neither the ‘Master Plan Report’ nor the ‘Districts Master Plans’ of Gasabo and Kicukiro show any projects. 48 It is a useful source from urban studies, which deals with institutional innovation in strategic planmaking 0DWFKLQJZLWK in Europe. 2 IRUPHU SHUIRUPDQFH 49 The operationalisation combines various concepts to capture all relevant analytical aspects. Figure 4: Process of identifying institutional innovation [Illustration Pätsch]

26 The strategy of research on institutional innovation and planning diffusion

Identifying planning diffusion The planning diffusion check is carried out with all changes identifi ed in Kigali, 52 Although planning diffusion by mandated urban master planning is the motivation thereby fi ltering potential innovation. Planning diffusion occurs in two cases, both behind this research, the more abstract concept of diffusion is not appropriate for of which may result in innovation: analysing the phenomenon in depth. An additional analysis is, therefore, done to • Implementation is induced by the Detailed Master Plan: The plan sets defi ni- identify whether planning diffusion is taking place: The Planning Diffusion Check tions which are not operationalised. They do, however, require planning activ- (see Figure 5). The Planning Diffusion Check is an analytical tool, which can be ities that differ from previous ones. used for operationalised instruments. The objective of the planning diffusion check • The activity is directly transferred from the Detailed Master Plan: The plan is to understand the genesis of performance activities.51 It distinguishes ‘planning sets defi nitions that result in changes to planning activities in Kigali. diffusion’ from ‘normal’ urban planning activity. The planning diffusion check reveals the infl uence of international consultancy on planning practice. 2.2.4 Research results In the case of Kigali, the planning diffusion check arranges applied implementation My research provides results on innovation and planning diffusion specifi c to mechanisms into types based on policy transfer and types of unspecifi ed origin. Kigali. My fi ndings on institutional innovation in Kigali are split into potential and relevant innovations. The fi rst step involves the detailed description of the change 51 The Planning Diffusion Check does not reveal the origins of the planning instruments, because the instruments are often the result of planning diffusion from elsewhere. in dimension of the potential innovation. The relevant innovation is derived from the normative assessment in a second step. Both phases of innovation offer a refl exive 0HWKRGRORJ\ ,PSOHPHQWDWLRQ 3RWHQWLDO 1HFHVVDU\ discussion on the phenomenon of institutional innovation in Kigali. RIWKH DFFRUGLQJWR LQVWLWXWLRQDO FRQGLWLRQ My research, furthermore, discusses aspects of innovation that either support 'HWDLOHG GHILQLWLRQV LQQRYDWLRQE\ or hinder innovation, because the phenomenon is shaped by the context and 0DVWHU3ODQ GLUHFWWUDQVIHU exogenous forces specifi c to the area (Healey et al. 1997: 22). My research, 'XUDELOLW\ ,PSOHPHQWDWLRQ thus, shows a space-specifi c and actor-specifi c viewpoint on institutional 5HSRUW 5HDFWLRQ innov ation (Healey et al. 1997: 22). My discussion offers results for cultural 5HTXLUHG WRFKDOOHQJHV UHOHYDQW interpretation that presents an alternative to the European perspective. 3RWHQWLDO LPSOHPHQWDWLRQ LQVWLWXWLRQDO LQVWLWXWLRQDO My research, thus, offers recommendations on institutional innovation in Kigali that PHFKDQLVPV $FWXDOLPSDFW LQQRYDWLRQ LQQRYDWLRQE\ have to be understood as logical conclusions of analysing institutional innovation. E\ LQGXFWLRQ SODQQLQJ Although my research does not primarily intend to offer recommendations, they GLIIXVLRQ result from a comprehensive discussion and address the question: What can be changed in order to transfer potential innovation to relevant institutional innova- $GGLWLRQDO 3RWHQWLDO tion? These results are especially valuable for planning practice, because they LPSOHPHQWDWLRQ LQVWLWXWLRQDO PHFKDQLVPV LQQRYDWLRQ advise changes in planning actions. GXHWR The result of my discussion on planning diffusion offers additional insight into the UHODWHG genesis of institutional innovation. The Planning Diffusion Check shows the impact FKDQJHV 1RU PDWLYH of urban consultancy on planning practice in Kigali. 1,GHQWLILFDWLRQ 45DVVHVV RIGHILQLWLRQV HPHQW 5HVXOW 52 Performing matching in the early stage of identifying innovation is fruitful, because it contains a large number of potential innovations, which ensures that all relevant planning diffusion is identified.

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Figure 5: Process of identifying planning diffusion (Planning Diffusion Check) [Illustration Pätsch]

27 The strategy of research on institutional innovation and planning diffusion

2.3 Methodological limitations Limitations of cultural discussion Capturing innovation in urban planning is a complex venture, because the urban The interpretation of the framework system, especially for cultural aspects, lacks cannot be as signed to a specifi c academic fi eld. Urban studies is neither solely empirical data and scholarly study. Cultural considerations are mainly based on my economics nor social science. Urban issues cannot, therefore, be observed through personal experiences, which were not carried out systematically. Although backed the ‘pure’ lens of one of these disciplines. Innovation in the ‘urban’ is, thus, part of up by academic studies, the cultural discussion is, in part, based solely on academ- the self-conception of the discipline, because the objective of urban planning is ic fi ndings. often connected to the urban area’s response to contemporary challenges. Although a planning culture concept exists, it does not fi t with my research. The The complexity of the ‘urban’ infl uences the conditions of the research and the ‘culturised planning model’ (Knieling & Othengrafen 2009) describes planning application of the concepts of innovation and culture. Research limitations culture while integrating a wide range of structural forces, e.g. political, econo mic, include making observations from afar and observing an ongoing process. social and organisational features, cultural aspects as well as people’s acceptance Research conducted by a non-Rwandan, who had temporary access to infor- of plans.56 Cultural and institutional approaches generate knowledge differently. mation in Kigali runs the risk that information can remain out of reach.53 The institutional approach is even the main rival of the cultural approach (Seriki Despite my own expertise and having conducted a wide variety of interviews54, 2007: 13)57. In addition, this research is based on short-term observations, where- discussions and documents in Kinyarwanda were not accessible. as the planning culture model is based on l ong-term processes58 and, when appli- Another challenge of the research is observing an ongoing process. Although cable, transformations. innovation is always a snapshot in time, delimiting the phenomenon based on the Although the cultural challenges of urban planning performance are apparent, there organisation of the research period might infl uence the output. are few alternative management textbooks specifi c to Africa (Jackson 2004: xii). Limitations of applying the concept of innovation The same is true for empirical studies on organisational cultures in Africa. The work of Hofstede (2001, 2010, 2011), Jackson (2004) and Seriki (2007) offer academic While the concept of innovation has been discussed and affi liated with various data for cultures of urban planning applicable to East Africa and/or Rwanda. fi elds beyond economics, critiques of the concept remain, some of which are valid Hofstede’s research offers empirical data on East Africa and is a fundamen- to this research. My research perceives the complexity55 of the oft-criticised concept tal source despite being controversial. Hofstede empirically studies culture and of innovation as an asset—albeit with limitations—because the concept of institu- its impact on, e.g., organisations and institutions. The Hofstede Centre59 (www. tional innovation offers comprehensive analytical schemes that integrate cultur- hofstedecentre.com) publishes cultural compasses for several countries. Although al and political issues. Although Schumpeter’s theory of innovation is still valid, Rwanda’s country compass is not available, some data on East Africa do exist. because it opens the view on economic and organisational direction for business Selected dimensions of the Hofstede model, therefore, underlie this research, improvements (Hauschildt & Salomo 2011: 9), the theory does not give adapted because they assume cultural particularities that feed or hinder innovation. criteria for all fi elds of interest, e.g. application to the fi el d of urban development. The second source is Management and Change in Africa from Terence Jackson, who In addition, although the concept of innovation is recognised in various academic researches management characteristics in Africa from a cross-cultural perspective. fi elds, delimiting innovation from, e.g., reform or learning, is not clearly defi ned in the academic literature. 56 My research also draws from Sanyal (2005) Comparative planning cultures. New York. Routledge. 57 While alternative perceptions are necessary, developing new concepts is not the aim here. Another general critique addresses the nature of innovation. Defi nitions of innova- 58 Culture reflects changes slowly and in the long-term, whereas institutions can immediately react to tion are highly value-laden depending on the context (Hall 2010: 2). The normative pressure (Seriki 2007: 15). dimension may receive too much attention in defi ning institutional innovation, thus 59 Hofstede has compiled data (Hofstede 2011: XX) on the various dimensions of culture. He was the first to empirically verify the dimensions of culture (Hofstede 2011: 1). infl uencing its identifi cation. 53 My access to all project information might have been more limited than to a Rwandan who speaks Kinyarwanda. 54 More than 30 interviews were conducted. 55 Innovation symbolises nearly ‘everything new and consequently [...] almost nothing’ (H all 2010: 2). Assessing the whole system of innovation is not possible due to the high number of variables and differences (K rücken 2006: 264).

28 The strategy of research on institutional innovation and planning diffusion

Jackson discusses various organisational and management systems in Africa: The 2.4 Interim conclusion 60 post-colonial, post-instrumental and African renaissance systems are all superim- This research is a single c ase study based primarily on my own expertise posed (Jackson 2004: 30). His investigation of culture is fruitful, because culture is and expert interviews. Planning documents of Kigali are used as second- superimposed by the stakeholder system of the country . The empirical data as well as ary data. This research analyses institutional innovation and planning diffu- Jackson’s management system offer cultural insight that allows for interpretation. sion independently using different analytical approaches. Its results are, Seriki focusses on ‘teamwork for innovation in sub-Sahara Africa’ to identify social thus, multileveled: it fi rst identifi es potential institutional innovations and their characteristics related to the innovative performance of teams (Seriki 2007: 4). origin in planning diffusion. A second step discusses whether the potential This research offers much insight into cultural infl uences on teamwork. institutional innovations transformed into a relevant institutional innovation. 60 The post-instrumental organisational management system follows the strategy of result-orientation The last step includes a discussion on conditions of institutional innovation. and market-orientation, clear objectives and calculated risktaking (Jackson 2004: 20). The structure While it does fi ll a research gap, my research is limited by the fact that it involves is characterised by flatter hierarchy and decentralisation (Jackson 2004: 20). The governance and decision-making principles (see chapter 5.5) are consultative and increasingly emphasise observing an ongoing process from afar. It also faces the challenge of applying the ‘empowerment’ (J ackson 2004: 20). broad concept of innovation, which has rarely been applied to urban issues. The fi nal challenge is a lack of empirical data on the work and management cultures of Rwanda.

29 Spatial urban planning and its framework systems

3 Spatial urban planning and its framework systems 3.1 An approach to urban planni ng – objectives, instruments and processes 61 Urban planning terms are used differently in the English-speaking world . It is not Urban planning is about designing and controlling urban development63 comp re- my o bjective to discuss urban planning paradigms, but, due to the international hensively in all urban sectors. Generally speaking, urban planning is the system- character of my research, this chapter defi nes the general terms used. My research atic concept of a rational system based on all available knowledge (Streich 2011: will address objectives of urban planning, strategic planning, spatial planning, the 18). The perception of urban planning, its tasks and objectives are constantly being ‘master plan’ in Africa as well as the institutional system and the planning system. transformed. Despite the changing perception of urban planning, its basic principle More specifi cally, my research applies a country-specifi c perception of strategic is the planning of a future condition (Albers & Wékel 2008: 11). The term urban 62 and spatial planning in Rwanda. planning can refer to the activity of planning, the result of planning as well as the The defi nitions begin by addressing the various types of urban planning in chapter context (dealing with resources) (Streich 2011: 28; Albers 2005: 1087). Although 3.1 and the urban master plan in Africa in chapter 3.2. Various capabilities of the the discipline of urban planning follows objectives to create orderly and controlla- master plan are taken up in chapter 3.2.1, which should help identify areas for ble city spac es, the type and ob jectives of urban planning depend on a country’s improved implementation. The master plan in Africa is critically refl ected on in political, institutional system and governance systems. chapter 3.2.2. Chapter 3.3 describes layers and tiers of the urban planning system. Economic, social and political transformations are the preconditions of changing The terms ‘political and institutional systems’ (chapter 3.3.1) and ‘planning system’ urban planning perceptions. Since industrialisation, urban planning has focussed (chapter 3.3.2) are then introduced through a discussion of their fundamental direc- on steering the growth of usable urban areas and their connection (Albers & Wékel tions and explaining these terms in the context of this study. Due to the limitations 2008: 7). Although this focus is no longer valid worldwide64, the growth-orient- outlined above and the needs to integrate the cultural dimension in evaluating ed focus is generally valid for most regions in Afr ica, particularly for Kigali. institutional innovation, my research introduces selective cultural elements of East Globalisation brought an additional objective to urban planning: When doing Africa relevant to the case (chapter 3.3.3). urban planning, cities now try to enhance their position in the global competition of The considerations of chapter 3 are both generally valid (chapter 3.1.1 and 3.1.2) investment and people. This brings new references and stakeholders into the local and specifi c to Africa (chapter 3.2). Chapters 3.3.1 and 3.3.2 show an ideal model process of urban planning. of the institutional framework. The defi nitions are taken up for Kigali (chapter 4), Various instruments and urban plans are used in the process of urban planning and they are referenced in the results (see chapters 7 and 8). to infl uence the future shape of the built environment through public and private 65 61 Rwanda is perceived as an English-speaking country, because English is the most practiced measures (Knieling & Othengrafen 2009: 42). The instruments are imbued with professional language. Most of the planning terms do not exist in the local language (Kinyarwanda), the meaning by being integrated into the ins titutional system and the planning system. master plan is primarily in English, and all Rwandan laws and policies are in Kinyarwanda, English and French. The objective and means of application, thus, transform in response to current 62 Although my research uses ‘spatial’ to mean ‘physical’, ‘spatial’ is used in some countries to connote a urban challenges66 and context (see an example of this in Figure 6). Plans that certain type of planning, e.g. Raumordnung in Germany. enshrine ordinances or laws have a greater regulating power than those that serve merely as a guiding principle of the strategy (UN-Habitat 2009: 86)67.

63 Urban development combines all spatial activities of a city, including the activities of stakeholders, because their activities utilise the physical fabric of urban areas in every kind of way (Healey 2007: 3). UN-Habitat adds to that, stating that urban development is determined by the interference of the institutional system and the informal and formal dynamic of governance (UN-Habitat 2009: 78) in a city. 64 Urban planning follows different objectives in, e.g., cases of shrinking. 65 Urban plans can appear in various forms, ranging from strategies to urban designs. While strategies generally consist of both written policies directions and spatial images, urban design is mainly based on spatial images. 66 Weidner (2005) proves this for the application of integrated development concepts in Germany. 67 Differentiation into formal and informal instruments makes no sense for Rwanda, because nearly all urban plans are legally adopted.

30 Spatial urban planning and its framework systems

The performance of urban plans depends on their operationalisation68, prelimi- least in some countries. Integrated planning is strategic when coordinating several nary measures and being integ rated into the planning system (see chapter 3.3.1). activities (Evert 2010: 1081) and sectora l planning, e.g. spatial planning, economic Although the implementation of urban planning is always a political decision-mak- planning, social planning, or environmental planning. Integrated and compre hen- ing process69, urban plans and strategies are only ‘useful if they are likely to be sive urban plans are, thus, applied to the totality of a city’s problems (spatially implemented’ (UN-Habitat 2009: 85). McAuslan adds that urban planning is insep- and sector-wise) (Weidner 2005: 113). This complexity makes strategic planning arable from political commitment (McAuslan 1985: 66) cited in (Okpala 2009: 9). processes demanding for institutional processes (Healey 2004: 45). Implementation depends on the formal status and customary practices (UN-Habi- The master plan is a lso a tool of strategic planning, because it follows strategic tat 2009: 86). It is, therefore, the system of govern ance that determines implemen- guidelines (see 3.2). Although they follow stra tegic objectives by visionary state- tation (UN-Habitat 2009: 85). In addition, implementing u rban plans and projects ments and guiding principles, master plans are, in most cases, less operationalised can have side-effects, e.g. economic consequences (Gotsch & Peterek 2002: 42) than integrated development concepts. or institutional transformation. 3.1.2 Spatial urban planning 68 Operationalisations that make up a large share of a plan’s success break objectives into implementable Spatial urban planning70—physical planning—is a city’s overall body of activi- measures, because responsibilities and financing can be assigned to measures. Operationlisation facilitates actions like ‘processing planning applications, commissioning infrastructure works and ty involved in translating supra-ordinated planning objectives to the local spatial making other, more detailed, policy documents’ (Needham 1997: 270). level.71 Spatial planning is the ‘self-conscious collective efforts to re-imagine a 69 Aside from technical aspects, the political dimension dominates planning practice (Forester 1989: 4). city, urban region or wider territory and to translate the result into priorities for area investment, conservation measures, strategic infrastructure investments and principles of land use regulation’ (Healey 2004: 46). Spatial planning, thus, refers to various types of urban planning, e.g. strategic planning, land-use planning, and applies various instr uments, e.g. master plans (see Figure 6). Spatial urban planning is, therefore, an area-related public sector task that summarises all administrative, political and social activity. Defi nitions of land-use planning are enforced by, e.g., zoning plans72. This type of planning translates objectives of spatial or comprehensive planning into legally Figure 6: Types of master plans [Illustration Pätsch] binding defi nitions through zoning and zoning regulations. Although the character of the zoning depends on the planning system, it does symbolise the ‘entirety of legal requirements governing urban zoning of land uses in community and building 3.1.1 The paradigm of strategic planning construction on individual plots’ (Evert 2010: 1149). Permission to develop a plot Strategic planning is based on strategic conside rations whose aim is fl exibili- according to zoning—Development Control—is granted by the development permit ty when facing shifting challeng es (Scholl 2005: 1122-1123). The main objec- granted by the city administrat ion. tive of strategic planning is formulating foci and concentrating resources in strategic areas (Scholl 2005: 1129). A strategic plan contains ‘frameworks and 70 This term is used to represent all urban planning related to space. 71 For implementing plans at a local level UN-Habitat stresses key issues (UN-Habitat 2015: 3): affordable principles, and broad and conceptual spatial ideas’ (UN-Habitat 2009: 15). and cost-effective financing of urban projects (realistic creation and maintenance costs), mobilising all The form ulation of strategic planning is, however, locally grounded. Strategic partners in the urban planning process. planning can be long-term planning, superior p lanning or conceptual planning 72 My research perceives the land-use plan as similar to the zoning plan. operationalised by framework plans, development plans or master plans (Scholl 2005: 1123). Although strategic planning uses a range of instruments, integrated planning has been a paradigm of strategic planning since th e mid-1960s (Weidner 2005: 124), at

31 Spatial urban planning and its framework systems

3.2 Urban master plans $GRSWLRQRI (YDOXDWLRQ $QDO\VLV 2EMHFWLYHV 'HVLJQ $OWHUQDWLYHV 'HYHORSPHQW The term ‘master plan’ is used in many areas, from economics and social fi eld to WKHSODQ 0RQLWRULQJ FRQWURO urban planning. Whereas master plans of urban design (‘Mas terplan’) are very common in Germany73, the term is often used in English-speaking areas—where it is also a common instrument—to connote a ‘superior plan’. Master plan is often A synonymously with ‘city plan’, ‘comprehensive plan’ or ‘general plan’ (Heinrich 3ODQQLQJSURFHVV 1987: 76).74 C 5HDOLVDWLRQ 3.2.1 Meaning, content and history of urban master plans 8UEDQODZV,QVWLWXWLRQDOV\VWHP%XGJHW/DQGDOORFDWLRQ The Encyclopedic Dictionary of Landscape and Urban Planning defi nes a master plan as a ‘written an d graphic document for the development of a large area, often divided into several building phases’ (Evert 2010: 572), which is a ‘long-range plan showing proposed ultimate development of a defi ned B 3UHOLPLQDU\PHDVXUHV area’ (Evert 2010: 572). The various components of a master plan complement e ach other. The written documents are statements of development objec- Figure 7: Ideal process of master plan performance [Illustration Pätsch based on Albers 2005: 1086-1087] tives and policies, while maps show th e spatial development of an area. The United Nations agrees with this defi nition, adding that the master 3.2.2 Application and critical assessment of master plans in Africa plan is a ‘comprehensive, long term strategy’ (UN-Habitat 2013: 129). Initially used during colonialisation, master plans remain very fashionable in African The defi nitions of Evert and UN-Habitat show that interpretations vary and that the cities. At least since the 19 60s, many African countries have adopted master plans understanding of master plans varies amongst sectors and regions. This fl exibility developed by international consultants in order to respond to urban development and generality fuels its frequent use in this fi eld. pressure (Okpala 2009: 13). This development has recently been dominated Master plan application can function as a communication instrument, e.g. to guide by international architecture and urban design fi rms (Watson & Agbola 2013: 1) investors in implementation projects (Heinrich 1987: 81), or as a reference frame (see chapter 5.5). Contemporary mast er plans in Africa are motivated by reasons for fi nancing. Master plans can focus on different spatial areas and act on various varying from ‘political status, to commercial profi t or just to securing a safe and institutional levels of the planning system. Cityw ide plans often aim at laying an clean living and working environment’ (Watson & Agbola 2013: 12). Okpala sees infrastructure grid and key action areas (UN-Habitat 2009: 87). master plans in African countries as having a high technical quality which deter- Although the methodology of master plans vary, a master plan is usually developed mines future land-use and infrastructure provisions for the c oming 15-20 years using the following steps (Albers 2005: 1086-1087) (see Figure 7): (Okpala 2009: 14). Although Watson admits that the character of the plans has • compi lation and analysis of the existing situation and tendencies, changed (Watson & Agbola 2013: 1), master plans are usually still applied as • clarifi cation of values and objectives, top-down steering instrume nts without participation or democratic debate (Watson 75 • defi nition of the scope of p lanning, & Agbola 2013: 3). • consideration of alternatives, Master plan s have been fundamentally criticised at least since the 1970s (Heinrich 1987: 73) for causing unintended consequences, especially in African c ountries. • implementation of decisions within a plan, Master plans adopted from the colonial power often failed (Silva 2015: 25), • realization by legal, fi nancial and technical means and because they la cked operationalisation (a lack of phasing and instruments), failed • evaluation and monitoring. to integrate of local needs (Okpala 2009: 14), and hardly linked fi nancial and

73 During industrialisation, master plans were used to guide private investors and create an image of the 75 Depending on the institutional system, the content of the master plan is discussed and agreed upon by European city. consultants, city politicians, the public administration, and selected stakeholder groups. In many cases, 74 In a few cases, the term master plan is defined in national law (European Commission 1997: 25). participation is similar to information.

32 Spatial urban planning and its framework systems

s patial planning (McAuslan 1985) cited in Okpala 2009: 14). 3.3 Institutional background of urban planning Even though my research generally does not criticise the instrument of the master The nature of political control shapes the climate of urban planning (Ward plan, understanding its limitations is important for re fl ecting on it. Master plans can 2002: 398) and urban planning processes ‘are to be understood and be critically refl ected on with regard to: prac ticed differently depending on their institutional setting and cultur- • methodological critiques: general critiques of method, content, and adaptive- al roots that vary signifi cantly across count ries and region’ (Friedmann ness of the instrument and 2005: 29). Hence, there is a wide variety of planning systems which differ in • processual critiques: critiques of the development process in Africa. their practice and in their ability to create quality places (Healey 2007: 5). The most fundamental methodological critique of urban master plans is that they The following defi nitio ns are general and offer an ‘ideal template’, which will be often contain a gap between vision and results (UN-Habitat 2013: 129) caused by specifi ed in the case study. The question driving this chapter is: What is the frame- the plan’s inability to address the complexity of urban development (UN-Habitat work s ystem of urban planning that infl uences the performance of the instrument 2009: 12), e.g. the complexity of land markets (McAuslan 1985) cited in (Okpala of the master plan? The framework system of urban planning is, therefore, charac- 2009: 14). Furthermore, master plans ‘fail to accommodate the way of life of the terised by the terms political system, institutional system and planning system (see majority of inhabitants’ (UN-Habitat 2009: 12), because they are oft en drawn up by Figure 8). urban plan ning experts ‘without consultation with communities’ (UN-Habitat 2009: 59). In addition, the defi nitions of master p lans are ‘fi rst world’ zonings, which can hardly address the needs of informal and poor areas (UN-Habitat 2009: 12). There are processual critiques of international consultants developing master plans: Consultants often do not understand the dynamics and ‘peculiar nature of urbani sation’ (UN-Habitat 2009: 59) and the planning system76. In addition, master plans made by international consultancies often cover the process from analysis to design (see Figure 7). Consultancies ra rely offer constant guidance during the urban development process, because mandates of the international planning fi rms usually do not cover implementation issues. In case of operationalised measure, stakeholder constellations run the risk of remaining hidden to outside planners. This leads to failed operationalisation and implementation mechanisms that are very often not included in the planning system (UN-Habitat 2009: 59).

76 In the 1980s, consultants were criticised for not taking the framework system into account (Heinrich 1987: 85).

Figure 8: The institutional system of urban planning [Illustration Pätsch based on Friedmann 2005: 29]

33 Spatial urban planning and its framework systems

3.3.1 The political and institutional systems of urban planning cially and administratively. Decentralised decision-making ensures better problem The political and the institutional systems are the most general classifi cation layers awareness, which su pports the successful implementation of a plan (i-international of urban planning activity. A country’s political system is comprised of all the formal planning fi rm 2014: 2). International institutions also promote and fund decentrali- and informal stakeholders (institutions and actors), rules and processes involved in sation efforts (Frahm 2015: 44). formulating, resolving and enforcing political decisions within a certain framework 3.3.2 The planning system and its stakeholders (Holtmann 2000: 546). Underlying the institutional system, more specifi cally, are the norms and practices of a society. They determine a country’s steering capacity, Supplementary to the institutional system is the planning system, which incorpo- which is based on the constit ution of a national state and its formal institutions. rates the entities that deal with issues related to urban deve lopment, e.g. aspir a- tions of government, land use and rights of citizens (Stead & Nadin 2009: 296). The term institution is native to social, political and economic sciences, where it is UN-Habitat stresses the position of the planning system as a sub-category of the interpreted ambiguously (Streich 2014: 121). Narrow conceptions of it look solely political and institutional system: ‘Planning systems consist of bundles of public at government institutions, separating regulative elements from societal ones, and privat e rights, agency authority, coordination mechanisms and procedural whereas broad conceptions, e.g. in social and political sci ences, combine formal protocols that are defi ned by formal political and legal authorities’ (UN-Habitat and informal social action into the institutional sphere. According to Mayntz and 2009: 77). Scharpf, the term institution deals with ‘social constructions and socially normed acting models’ (Mayntz & Scharpf 1995: 40). The International Encyclopaedia of Although the planning system is country-specifi c, some general statements can Political Science defi nes institutions as ‘the totality of social forms and structures be made. The general focus of the planning system is to control and promote […] [and] may be established by law or custom’ (Badie et al. op. 2011: 1203). In ‘the organisation of acti vities in space’ (European Commission 1997: 261). The this sense, there are three major types of institutions: (1) social institutions, e.g. planning system consists not only of ‘networks and policy communities’ and stake- family ones, (2) institutions based on written and unwritten law, e.g. administ ra- holders with their attitudes but also of arenas available for interaction (UN-Habitat tive entities, and (3) regimes which proceduralise institutions, e.g. fi xed innovation 20 09: 89), both formal and informal. frameworks and extralegal international agreements (Badie et al. op. 2011: 1203). The institutional context of urban planning is based on time and location and The nature of urban planning divides institutions into rules of social activity and affects the form and outcome of urban planning (UN-Habitat 2009: 90). The urban institutions into organisations (Streich 2014: 122). Institutional procedures and planning system is part of the social system of the nation-state (Motte 1997: 231) dec ision-making processes are the main elements of the institutionalist interpreta- and is fundamentally shaped by the cultural context of the country (UN-Habitat tion of urban planning (Streich 2014: 121). 2009: 78-79) . UN-Habitat’s conception is even more precise on this matter: ‘How urban planning is actually pra ctised, however, is the result of the way in which Current reform – Decent ralisation the formal institutional design of a planning system interacts with other dimen- Centrally guided institutional systems have recently undertaken decentralisa- sions of governance dynamics, both formal and informal.’ (UN-Habitat 2009: 78). tion reforms, whose aim is to shift the decision-making and fi scal p ower to the The planning system is not static, but is, instead, constantly being transformed in local level, especially in African countries. The objectives of decentralisation response to challenges or external infl uence. Planning systems will always seek to programmes partly overlap with the objectives of my research.77 draw inspiration fro m political systems with similar features and approaches (Stead Decentralisation is considered a main driver of political sharing and participation & Nadin 2009: 294–295). processes as well as an approach to dealing with social and economic challeng- The planning system affects the performance of urban plans, because urban es (BMZ 2012 (unpublished): 1). One such process is the establishment of a planning necessarily involves an interplay between institutional stakeholders and decentralised structure in response to ethnoreligious confl ict (Frahm 2015: 44). regulations, which crea tes preliminary measures78. The institutional setting is one Decentralisation, thus, empowers local levels of administration politically, fi nan- of the crucial conditions for implementation (i-international planning fi rm 2014: 4) and performance. UN-Habitat puts it more precisely, stating that the planning 77 The objective of decentralisation to ‘improve the basic provision with public services which are demand and needs-orientated and improve political participation’ (B MZ 2012 (unpublished): 1) is congruent with the objective of my research. 78 According to Albers, preliminary measures contain the creation of legal conditions, the binding of budget funds and land acquisition (Albers 2005: 1087).

34 Spatial urban planning and its framework systems

system needs fl exibility79 at the national level (UN-Habitat 2015: 24) to deal with the 3.3.3 Culture and urban planning toolbox of urban instruments, from facilitating long-term development (UN-Habitat Even though the interaction of culture and institutions is ambiguous, the insti- 2015: 3) to temporarily intervening. tutional system is interlinked and infl uenced by culture (Seriki 2007: 14). While Stakeholders in the urban planning system being specifi c to nation al states, regions or ethnic groups, culture is the ‘collected programming of the mind’ and is manifested in, e.g., values and symbols (Hofstede The agency and stakeholder structure of urban planning depends on the context 2001: 1) that becom e obvious through practices.82 and the governance structure (UN-Habitat 2009: 77).80 A planning system consists of institutions on different levels that steer urban development and are usually Albrechts makes clear that ‘planning is embedded in social relations and is there- hierarchically formed, but a ‘multilevel form of coordination’ does exist (UN-H abitat fore heavily dependent upon a mix of cognitive, cultural, social and politi cal insti- 2009: 86). Urban stakeholders cooperate in urban processes (UN-Habitat 2015: tutions’ (Albrechts et al. 2001: 2). Hofstede adds to this, defi ning institutions as 24) in different power shares. ‘symbolic entities: they function according to implicit models in the mind of their members, and these models are culturally determined’ (Hof stede 2001: 375).83 The main stakeholders at the supra-national level of the planning system are inter- Hypothesising a change in institutions, however, does not mean that the underly- national ag encies, e.g. UN-Habitat. They promote specifi c approaches through ing values change. Societal values tend to counteract a new institution until it has their policies, which are reinforced through fi nancial support. adjusted to the values (Hofstede 2001: 11-12). The government and the relevant ministry are responsible for urban planning Cultural contingency determines decision-making power as well as the rules and at the national level. Although the degree of involvement in urban issues at the procedures of institutions (Hofstede et al. 2010: 302). Cultural norms, hence, deter- national level depends on the governmental system, laws and/or policies generally mine the processes of creating a nd implementing urban objectives. Culture also are developed at this level. The national government determines transparency, determines the behaviour of stakeholders and their arrangements. Silva is clear participatory elaboration of plans (public awareness about product and process), on that, stressing that ‘planning and plans refl ect the diversity of values, beliefs, accessibility and user-friendliness at the national level (UN-Habitat 2015: 24). The attitudes, institutional frameworks, and legal traditions, among other conditions’ national government also provides the fi scal framework (UN-Habitat 2015: 24), so (Silva 2015: 1). Top-down steering is, therefore, part of a country’s culture of urban local governments depend on the stability of the national fi scal system. Subordi- planning. nate to the national leve l is an intermediate one, which is, in most of the cases, the level of the provinc e or federal state. Depending on the degree of decentralisation, Three categories capture the cultural elements that infl uence urban planning 84 the local level performs activities enacted at the national level.81 All superordinate activity : (1) cultural values, (2) work orga nisation and everyday routines, and (3) planning impacts urban planning at the local level. Although the locality is a relative population and employment structure. parameter and the scale differs in nation-states, spatial urban distribution is imple- Cultural values mented on this layer. My research refers to existing values and behaviours. It picks up three categories: Institutions of civil society are NGOs, associations or private individuals. These • ‘long- versus short- term orientation’, stakeholders are part of the institutional and planning systems and act with specifi c • ‘individualism and collectivism’ or objectives based on societal norms and values. • openness to innovation. 79 The flexibility is shown, on the one hand, through national laws and policies and, on the other, through well-functioning urban planning agencies (UN-Habitat 2015: 24). 82 Culture is dynamic, changing over time. 80 There is no ideal template for a stakeholder or an agency structure in a planning system (UN-Habitat 83 The values and societal norms of a culture lead to developing and maintaining institutions such as 2009: 77). family, the education system, the political system and legislation (Hofstede 2011: 11). 81 The UN furthermore draws attention to the ‘location of planning agencies into formal government 84 Academic studies addressing these issues are rare (see chapter 2.3). structure’ (UN-Habitat 2009: 77).

35 Spatial urban planning and its framework systems

The dimension ‘long- versus short- term orientation’ a matter of national culture accord- 3.4 Challenges of urban planning and the institutional situation in East ing to Hofstede, in that it refl ects thinking on family, work and social life as well as religious Africa 85 and philosophical themes of virtuous living (Hofstede 2001: 351). This category The previous chapters explained the ‘model situation’ of urban planning and its encompasses how a society deals with the past and the future (Hofstede 2016). framework, which is jeopardised in planning practice. This chapter outlines impor- The dimension of ‘individualism and collectivism’ refl ects a socie- tant challenges that may account for recently failed attempts at urban planning ty’s predominant relationship between the ind ividual and the community. and threats to East African urban development. Therefore, the institutional system, Openness to innovation deals with the attitude of a sociey towards in novation. urban planning approach and human capacity are the factors that will be addressed Work organisation and everyday routines in depth86. This category refl ects particularities of the working culture that infl uence urban Institutional system planning activities. One aspect of it is ‘power distance’, which mainly infl uences The institutional system is hard to capture in general, because it is highly local. how work and work routines are organised. Power distance measures the extent Some general tendencies for East Africa are, however, apparent. The conditions to which those with less power in a society ‘accept and expect unequal power addressed here focus on institutional conditions at the national and local levels of distribution’. Power distance refl ects a society’s status consistency in terms of the planning system. ‘prestige, wealth and power’ (Hofstede 2001: 79). Indicies of this measure include The literature review reveals that the national structure in East Africa neither offers decision-making styles, fear that decisions will be disagreed with and mutual fl exible structure nor accountability. Thus, the major challenge in East Africa is the feedback (Hofstede 2001: 79), which is ‘inevitable and functional’ inside organisa- absence of well-functioning and well-equipped planning systems (Watson & Agbola tions (Hofstede 2001: 79 ). 2013: 3). One reason for this is that institutional structures in most East African Population and employment structure countries lack human and fi nancial capacities (UN-Habitat 2009: 77). In addition, The category of population and employment structures integrates a society’s respect for the legal system (UN-Habitat 2009: 77; UN-Habita t 2015: 28) challeng- particularities that infl uence urban planning activities and particularities of staff es the institutional system in East Africa. In several cases, the legal system and, structure or human capacity. therefore, institutional rules have been vi olated in East Africa through, e.g., corruption or informal urban development. It is, h owever, an opposed process. These 85 The approaches in all of these categories come together in scores. A low score indicates that a culture violations take place, because particularities of the land and property markets are remains traditional. A high score indicates an effort to reform and an orientation towards the future. often not well represented in the institutional system (UN-Habitat 2009: 77). It is, therefore, how laws are enforced (i-international planning fi rm 2014: 4) as well as the attitudes towards government planning, property rights and planning law (Mieg & Töpfer 2013: 12) that challenge institutional systems in East Africa. Furthermore, UN-Habitat cites both vertical and horizontal tensions between institutions reasons for the failure of, e.g., four major development projects (UN-Hab i- tat 2009: 77). Mieg agrees and adds that the high ‘degree of litigiousness’ (Mieg & Töpfer 2013: 12) in the institutional system is crucial. Accordance between various entities as well as a lack of ‘policy integration and coordination’ (UN-Habitat 2009: 77) challenge institutional systems in East Africa. This fact becom es obvious given the fact that most information is not distributed but instead gathered at the head of the institution in centralised states (i-international plan ning fi rm 2014: 5). Despite decentralisation efforts, the actual ‘extent to which power and responsibilities are devolved and decentralised’ (UN-Habitat 2009: 77) is critical. Civil society is not homogeneously integrated into the institutional system in many East African 86 There are indeed more challenges to the institutional system than explained here. These, however, are the issues important to the case study of Kigali.

36 Spatial urban planning and its framework systems

countries. ent or independent. Some political decisions seem to depend on the desires of The number of responsibilities in the urban planning process is sharply contrasted the powerful or the economic interests of the elite (i-international planning fi rm with the available equi pment. Although local institutions are in charge of several activ- 2014: 4)87. If a minister is convinced by a project, it will most likely be implemented ities to a high degree of accountability, their fi nancial allocation is often insuffi cient (i-international planning fi rm 2014: 5). Conditions in several East African countries (UN-Habitat 2015: 29; Okpala 2009: 8) for developing and managing high-standard are affected by aspects beyond political or governance principles. infrastructures (Okpala 2009: 18). One reason for the insuffi cient equipment is the Human capacity lack of a cadastral system (i-international planning fi rm 2014: 4), which leads to, Another general challenge is human capacity, which UN-Habitat sees as endan- e .g., not being able to collect taxes (UN-Habitat 2015: 29; Okpala 2009: 8). gering congruence with the planning framework (UN-Habitat 2009: 77). Although This lofty responsi bility is contrasted with weak technical and administrative skills having ‘adequately trained personnel with necessary knowledge and expertise’ (Okpala 2009: 8). Establishing and managing urban processes is, therefore, the (UN-Habitat 2009: 88) is a prerequisite for effective urban planning and steering, biggest institutional challenge in East Afri ca. the professional capacity of the ministries and local plannin g bodies is weak in Urban planning app roach countries in the Global South (i-international planning fi rm 2014: 4). Challenges of the urban planning approach derive from institutional challenges. 3.5 Interim conclusion – spatial urban planning and its framework system Thus, limited fi na ncial resources (UN-Habitat 2013: 126) that threaten institutional structure are also valid for urban planning. Chapter 3 deals with spatial urban planning and the model situation of the framework A consequence of some institutional challenges is a lack of accepted and transpar- system. My research perceives urban planning through its performance, narrows ent planning processes (Watson & Agbola 2013: 3). The methodology of the applied urban planning down to strategic planning and spatial planning—both of which are instruments often does not address the challenges of the institutional system. operationalisable through urban master plans—and refers to the case of Kigali. Planning processes fail to meet their objectives due to coordination, transparen- Urban master plans are applied in a wide range of fi elds, which make their cy and integration problems. The ‘appropriateness of planning tools’ (UN-Habitat defi nition context-specifi c. Because of this, my research was intentional- 2009: 77) is another issue which points in this direction. The still-popular technical ly limited to urban master plans in the African context. Although urban master application of urban planning is one reason that some plans fail (UN-Habitat 2013: plans have a long tradition of failure by not adapting to the context and being 129). Urban planning tends to operate in isolation (UN-Habitat 2009: 12), without made operationalisable in Africa, they remain widely used in urban planning integrating civil society stakeholders in urban processes. Although the range of My research approaches the political, institutional and planning systems stakeholders in the urban planning process widened in sub-Sahara Afric a in the as an ideal scheme to show their meaning in urban planning processes 1980s, many countries lack active members in the development process (UN-Hab- and position in urban planning activities. Decentralisation reform receives itat 2009: 89). Politicians, community leaders and implementation agencies are a special mention, because many institutional systems currently empow- the only actors involved in the process, at least in former British colonies (Okpala er local bodies. More precisely, my research explains the urban planning 2009: 14). Institutional integration and the inclusion of all stakeholders (UN-H abitat system, examining the role of public and private stakeholders by using a 2015: 3), thus, pose a challenge for the urban planning approach. Due to the limit- model situation of spatial planning tiers and their respective power. ed integration capacity, most planning does not grant everyone access to u rban Chapter 3.3.3 explains the role of culture in urban issues as an underlying services, which leads to informal activities, e.g. informal construction. Alth ough variable of the institutional system. The categories of cultural values, work planning systems have generally been reformed, these reforms focus only on organisation and everyday routines, and population and employment struc- ‘directive elements’ but do not cover general rules of, e.g., land-use management ture are introduced to explain their infl uence on urban planning activities. systems (UN-Habitat 2009: 12). The chapter ends by highlighting challenges facing urban planning and the institutional system in East Africa. This research highlights structural features, e.g. Enforcing planning processes depends on political will (UN-Habitat 2015: 3). A human capacity, the application of urban instruments as well as the interplay of centralised planning approach does not grant local governments suffi cient polit- urban planning and political processes in East Africa. ical will (Okpala 2009: 8), which makes local institutions subservient t o central institutions. Political will is ambiguous in some cases, because it is not transpar- 87 Although these challenges affect the implementation of urban plans, such conditions are not accessible by urban planning in detail.

37 The case study - Kigali, Rwanda

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 The case study Kigali - Rwanda

4 The case study – Kigali, Rwanda

Chapter 4 introduces the Kigali case study while giving precise information on the situation in Rwanda. It is the starting point of speciﬁ c considerations and the key chapter in pursuing the objective of the research. A gener al overview is given in chapter 4.1. Chapter 4.2 explains the institutional system of Rwanda while referring to the administrative structure (chapter 4.2.1), particularities of the system (chapters 4.2.2, 4.2.3), urban regulatios at the level of the nation-state (chapter 4.2.4) and cultural aspects (chapter 4.2.5). The challenges facing the institutional system are explained in chapter 4.3. Starting with the urban development of Kigali in chapter 4.4, the situation of the City of Kigali is referenced. Chapter 4.5 deals with urban regulations, and chapter 4.6 speciﬁ cally addresses the Detailed Master Plan. Chapter 4 ends with a conclusion of the case (chapter 4.7).

4.1 Approach to Rwanda Rwanda—the ‘land of a thousand hills’—is located in East Africa and covers 26,338 km² (NISR 2015: xvii). In 2015, there were 10,996,891 people living there according to the 4th Population and Housing Census projection (NISR 2014: xvii). Rw anda’s population density of 390 inhabitants/km² 88 is very high compared to other East African countries. Rwa nda lies at average of 1500 metres above sea level, and its topography is mountainous. The country has historically been dominated b y dispersed settlement. Urbanisation is a relatively recent process in Rwanda. The objectives of the Belgian colonial power and of religious missionaries never favoured urban centres for the country, neither in pre-colonial nor in colonial times (Berlanda 2012: 136). Currently, there are only about 10 provincial towns near the country’s borders or along roads to the border that have urban spatial charcteristics and funtions (Bajpai et al. 2012: 5). Kigali remains the only urban center for all of Rwanda’s administrative and economic functions.

88 As a comparison: Rhineland-Palatinate—approximately the same size as Rwanda—had a population density of 202 inhabitants/ km² in 2014 (S tatistische Ämter des Bundes und der Länder). Figure 10: Rwanda and its major cities [https://commons.wikimedia.org/wiki/Rwanda#/media/ File:Rw-map.png, accessed 13.07.2016]

39 The case study - Kigali, Rwanda

Rwanda faces challenges of urbanism due to its geographic location, dispersed settlement and population density. Much of its territory is unfi t for settlement because of its sloping terrain; its topography also poses a challenge to infrastruc- tural service, especially in rural areas. The Rwandan economy also depends on the agrarian sector, which leads to confl icting interests in land. The dispersed settlement structure is an obstacle to the densifi cation of settlements, which is becoming necessary due to population growth.

The ethnic groups include the Hutu, the Tutsi and the Twa, who all live very near each other in Rwanda. The Tutsis, who have traditionally been stockbreeders, are in the minority and remain the upperclass ruling group (the royal family). The Hutus, who have traditionally been farmers, are in the majority, while the Twa, who have traditionally lived in the mountainous areas are considered a minority group. The groups’ ways of life are interwoven, and they all speak Kinyarwanda. The groups have many ethnic commonalities, which makes the ethnolinguistic fragmentation very low. In the Rwandan Genocide of 1994, approximately 1 million Tutsi and moderate Hutu were killed. The Genocide was stopped by the Rwandan Patriotic Front (RPF), who intervened from Uganda.89 At the time, the RPF was led by Paul Kagame, the current president of Rwanda. A centralised, authoritarian state, which strives to reduce colonial dependence, has been established in Rwanda’s post-genocide politics. Figure 11: Terrassed agricultural land in 2008 [Pätsch] The government has also initiated several activities for national unity and reconciliation to overcome conﬂ ict stemming from the Genocide and supported the creation of a Rwandan identity. The social system remains fragile and in transition because of the intensity of the Genocide and the long-standing conﬂ icts preceding it. Rwanda is highly socially polarised with regard to economic capability. This polarisation exists between the countryside and Kigali as well as between various quarters within Kigali.

The genocide marked a turning point for all sectors, including economic planning and urban development. The ﬁ rst post-genocide years were dominated by ad hoc and short-term planning regarding the distribution of returning refugees (Michelon 2012: 131-132). Long-term planning strategies emerging in the early 1990s included strategic (urban) planning—emphasising urban development as the country’s engine of the progress (see Economic Development and Poverty Reduction Strat- egy (EDPRS 1). Since then , urban development has come to be seen as an engine to drive the public sector and private investment: ‘Planned, controlled and well oriented urbanisation must be considered as an opportunity and a driving factor

89 Although my research does not analyse this direction of the history of Rwanda in detail, the aftermath of the political change could be important to it. Figure 12: Dispersed settlement structure in 2008 [Pätsch]

40 The case study Kigali - Rwanda

Figure 13: Countryside of Rwanda in 2008 [Pätsch]

41 The case study - Kigali, Rwanda

for the development. It is accompanied by the development of the commercial and service sectors thus contributing to the Gross domestic product (GDP) and enhancing the standard of living of the people’ (Ministry of Infrastructure 2008c: 2). After decades of rural development, Rwanda shifted to an ‘Urban Age’ due to the political will for urbanisation. Political efforts to date have resulted in the establishment of several urban laws and policies, two master plans for th e City of Kigali, and continuous economic growth.

The development of the economy has been hampered by scarce natural resources and by being land-locked. A somewhat ineffi cient agrarian sector has dominated Rwanda’s economy. The government has set several strategic objectives for economic transformation, e.g. increasing industrial production, creating non-agrarian jobs, and also stresses the role of private business and investors as drivers of economic growth (Bajpai et al. 2012: 8). In particular, construction and service-related activities in urban centres are expected to further accelerate economic development (Bajpai et al. 2012: 6). Despite signifi cant efforts to attract private investment, the economy of Rwanda is still cha racterised by high public investment and low private investment (World Bank Group 2015: iv). The Rwandan economy has also remained ‘reliant on foreign fi nanc ing, mainly in aid’ (World Bank Group 2015: iv). The annual GDP growth rate reached 7.7% in 201590 (World Bank Group 2015: iv). In addition, the Doing Business Index91 ranked Rwanda 4 6th in 201592 (World Bank Group 2014: 7) compared to 150th in 2008 (World Bank Group 2007: 6). Despite a growth in p er capita GDP from 572 US$ in 2010 to 718 US$ in 201593 (NISR 2015: 130), a cons iderable share of the population still lives in poverty.94 Rwanda’s goal for 2020 is to become a middle-income country by transforming itself into a knowledge-based economy (Ministry of Finance and Economic Planning 2000: 3). 90 The 10-year average GDP growth rate was 4.7% in 2015 (World Bank Group 2015: iv). 91 The Doing Business Index ‘measures and tracks changes in regulations affecting 11 areas in the life cycle of a business’ (W orld Bank Group 2015: iv). 92 The average Doing Business Index in Sub-Saharan Africa was 142 in 2015 (World Bank Group 2014: 7). 93 As a comparison: Germany’s per capita GDP was at 52,000 US$ in 2014 ( Auswärtiges Amt 2015). 94 Rwanda is currently one of the poorest countries in the world. It is currently ranked 163st out of 188 rated countries on the Human Development Index (HDI) (UNDP 2015: 2).

Figure 14: Subsistence farming dwelling in the countryside in 2008 [Pätsch]

42 The case study Kigali - Rwanda

4.2 Institutional setting of Rwanda planning (Republic of Rwanda 2012a: Article 7). It addresses duties to the minis- This chapter explains the tiers of government and their respective responsibilities for tries (Article 8), decentralised bodies (Article 9) and the Rwanda Housing Authority urban planning. My research perceives formal/legal and informal bodies as part of (Article 10) (Republic of Rwanda 2012). Despite Rwanda’s many institutions, only the institutional syst em, because they represent the activity of Rwandan sta kehold- the Provinces, Districts and the City of Kigali are considered legal persons (GIZ ers as well as the interface of state and society. The relevant institutions in Rwanda 2012 (unpublished): 2). The Rwandan planning system groups the functions of a are, therefore, characterised in the following by their objectives and their activity. ‘land use planning system’, because it directs land use to spatial areas and devel- The description refers to the situation in 2014 and describes selected issues in opment rights to owners (UN-Habitat 2009: 77). detail. There are some exceptions when referring to the situation in 2008.95 Administrative structure – entities and responsibilities for urban issues The Rwandan governmental system is unitary, which gathers power in the national Rwanda’s administrative structure consists of the central government and its government, although responsibilities are transferred to specifi c or local entities ministries and agencies as well as decentralised entities (see Figure 15). The City (European Commission 1997: 39). Article 61 of the Constitution of Rwanda defi nes of Kigali administers urban issues at the provincial level. The Province of Kigali the branches of government as consisting of a ‘legislature, executive and judiciary’. contains three districts (see chapter 4.2.1). There are sectors, cells and villages While Rwanda has embarked on a decentralisation strategy, it is still governed below the level of the district, which also follow an administrative organisation. top-down96 (interview GIZ 2014: 1 ). Rwandan ministries have a signifi cant share of The ministries are responsible for developing, monitoring, and evaluating policy as decision-making power. well as mobilising resources and overseeing99 subordinate entities in the institu- The Rwandan institutional system follows a steering and coordination type of tional setting of the Republic of Rwanda (Minalog 2014a: 1). There is also a coordi- 97 government , in that it has the following conceptual features (Geißel 2007: 2): nation unit at the ministerial level and sector working groups for all stakeholders. • an authoritarian state, • hierarchically organised actors, The Integrated Development Program (IDP) has a coordination unit at the level of • entities controlled by the central government, and the ministries that has been organising a quarterly meeting since 2007 (i-Minalog • public and national interests that guide institutional activity 2014b: 1). The objective of IDP coordination is to oversee the implementation of The government is the controlling stakeholder in urban issues regarding the the Economic Development and Poverty Reduction Strategy (EDPRS). While all ‘organisati on of activities in space’ (European Commission 1997: 26). Thus, the ministries, governors and the Mayor of the City of Kigali are part of the IDP steering distribution of stakeholders in the system is statutory, with declining competencies group, the Ministry of Local Government has the chair (see Figure 16). The IDP towards civil society. Rwanda’s governance is strongly centralised (UN-Habitat works in 11 pillar100 areas (i-Minalog 2014b: 1), and the technical steering commit- 2014a: 164).98 The Rwandan state is infl uential in the social and economic sy stem, tee feeds the IDP steering committee (composed of government agencies) with often displacing civil society stakeholders (Frahm 2015: 43). Informal practice, e.g. current issues from the ground (i-Minalog 2014b: 1). informal settling, is not recognised by the government and is perceived as illegal and non-state-confor ming. Civil society groups and initiatives can hardly act freely 99 Imihigo is mainly responsible for supervising, monitoring and evaluating (see chapter 5.2.3). in Rwanda. 100 agriculture and productivity; postharvest handling; cooperative development; off farming employment development; promotion of micro finance and insurance; settlement/imidugudu; ecosystem Dedicated law defi nes the function of spatial entities: ‘Law governing urban rehabilitation; social protection; infrastructure and energy development; ICT; leadership development planning and building in Rwanda’ distributes competencies to deal with urban

95 These cases are indicated. 96 An administration’s reliance on advice of superior bodies is common in developing countries ( UN- Habitat 2009: 82; UN-Habitat 2009: 82). 97 The reasons for urban planning approaches in Rwanda are not an objective of my research. For further reading, UN-Habitat lists a variety of reasons (UN-Habitat 2009: 57-58) as to why governmental urban planning approaches are used, which might partly apply to this case. 98 It is likely that efforts towards reconciliation in post-conflict Rwanda have played a major role in the urban governance structure.

43 The case study - Kigali, Rwanda

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44 The case study Kigali - Rwanda

There are several ministries concerned with urban issues (see Figure 15). The Ministry of Natural Resources (Minirena) deals with environmental issues, land issues, forestry, water resource management and mining. Legal tasks, however, are carried out by subordinate entities. The Rwanda Natural Resource Authority (RNRA) carries out land titling together with the decentralised entities. The Rwandan Environmental Management Authority (REMA) is responsible for the environmental impact assessment in the process of urban development control and construction permit (for a deﬁ nition, see chapter 4.2.4).102 Figure 16: Stakeholders of the Integrated Development Program [Illustration Pätsch based on The Ministry of Infrastructure (Mininfra) coordinates activities related to infrastruc- i-Mininfra 2014a] ture and spatial structure. Thus, it is mainly responsible for urban planning. The duties of the Ministry of Infrastructure are to ‘put in place a national urban planning Sector working groups also meet quarterly (i-Minalog 2014b: 2) with the objective and building policy, coordinate urban planning and building activities, determine the of coordinating and streamlining efforts (i-Minalog 2014b: 2). Four working groups organization and management of urban planning and building sector, ensure the for urban issues exist: Transport, Energy, Water and Sanitation, and Urbanization control of urban planning and building sector’ (Republic of Rwanda 2012a: Article and Rural Settlement (Mininfra 2014a: 1) (see Figure 17). 8). Mininfra is in charge of major infrastructure for roads, water, power and waste The sector working groups cooperate with a larger stakeholder network, which (City of Kigali 2013b: 4). It also streamlines urban ideas at the level of the minis- integrates, e.g., international organisations. Thus, the GIZ101 has the co-chair in the tries, therefore acting on ‘global contexts’ (i-Mininfra 2014b) of spatial structure. ‘decentralisation’ sector working group (i-Minalog 2014b: 2). Detailed Master Plan The m inistry has four goals for the urbanisation of Rwanda (UN-Habitat 2014a: 62): issues are tabled in various sector working groups, or during several meetings of • To ensure a rational management of urban space, the IDP steering group (i-Minalog 2014b: 1). • To ensure that the urban supply of lands meets urban demand, • To develop the building industry and 101 The German Gesellschaft für internationale Zusammenarbeit (GIZ) is a service provider, which supports the German government in international cooperation. • To provide quality public services. The Ministry of Infrastructure leads various sector working groups, e.g. the sector workin g group for urbanisation, which streamlines ideas on urbanisation in Rwanda (i-Mininfra 2014b: 2). In addition, Mininfra monitors the implementation of the master plan within the framework of imihigo103 (i-Minalog 2014a) (see ‘homegrown initiatives’ in chapter 4.2.4). An implementation agency of Mininfra is the Rwanda Housing Authority (RHA), which was established in 2010. Its mission is to ‘implement the national housing and construction policy through coordination, conception, development, monitoring and evaluation of actions and programs’ (Republic of Rwanda 2009: Article 3). Although legally designated to function as an implementation unit for Rwanda, the law does not assign any special duties to the RHA. Although the RHA is equally responsible for all districts in Rwanda, housing issues of Kigali have so far been coordinated by the City of Kigali.104 In April 2014, the RHA was responsible for

102 However, this task was addressed to the Rwandan Development Board (RDB). 103 For an explanation, see ‘home grown initiative’ in chapter 4.2.4 Figure 17: Sector working groups of urban issues and their stakeholder structure [Illustration 104 In 2014, it was planned that the RHA would take on more responsibility in housing development in Pätsch based on i-Mininfra 2014a] Kigali.

45 The case study - Kigali, Rwanda

upgrading informal settlements with basic public infrastructure on pilot sites in the 4.2.1 The City of Kigali and the Districts City of Kigali (Gatenga) and in secondary cities (Musanze and Huye). The City of Kigali The Ministry of Local Government (Minalog) supervises the functioning of the City of Kigali’s administrative structure (Republic of Rwanda 2012a: Article 7). The City of Kigali (CoK) is a province of Rwanda with a special status. The Consti- Regarding urban issues, Minalog is responsible for the rural settlements policies, tution of Rwanda appo ints Kigali the capital of Rwanda (Government of Rwanda known as imidugudu. Minalog is the chair ministry in the IDP and head of the of 2003 revised in 2015 2015: Article 7), whereas its organisation, functioning and 107 sector working groups ‘decentralisation’ and ‘social issues’ (i-Minalog 2014b). The operating is defi ned by law No 10/2006 . This law gives the City of Kigali its own Rwanda Governance Board (RGB) is responsible for promoting good governance administration and the status of a ‘legal personality’ (Article 2). The Council of the 108 in Rwanda (RGB 2016). City of Kigali governs Kigali, where as the Executive Committee, the Security Committee and the Executive Secretariat assist the City Council (Kigali City 2013). The Rwandan Development Board (RDB) is a government institution linking invest- The City Council is headed by the Mayor and two Vice Mayors, one in charge of ment policy with urban planning and development. Established in 2009, it has the economic and fi nancial affairs and another in charge of social affairs (Ibdn Kigali status of a ministry (Rwanda Development Board 1)105 and focusses on Rwanda’s City 2013). Representatives on the Council of the City of Kigali are indirectly elect- economic development by ‘enabling private sector growth’ by improving effi cien- ed. The Mayor of Kigali and the 31 City Councill ors are elected at the District Level cy, reducing costs, diminish confl icting interests between agencies and facilitating (Republic of Rwanda 2006: Article 14). The law guarantees seats for female and investment in the country (RDB 2016). The RDB works closely with the One Stop youth representatives in the Kigali City Council (Re public of Rwanda 2006: Article Center of the City of Kigali in implementing the Detailed Master Plan (i-Rwanda 14). Development Board 2014: 1). Its role is to support key business-oriented projects (i-Rwanda Development Board 2014: 1), e.g. the construction of the Serena Hotel The City of Kigali is responsible for the following tasks with regard to urban issues and the Conven tion Center.106 (Republic of Rwanda 2006): Apart from governmental stakeholders, very few strong intermediary stakehold- • preparing a master plan for the Ci ty of Kigali, ers (GIZ 2014 (unpublished)) exist in the Rwandan institutional system. The only • coordinating the strategic planning activities of the Districts of the City of non-governmental organisation that impacts urban issues is the ‘Rwandan Initi- Kigali, ative for Sustainable Development’ (RISD). The RISD’s mission is ‘to promote, • coordinating developmenta l activities of the Districts in the City of Kigali, advocate and foster social and economic transformation’ (RISD 2009). It enga ges • following up on the ‘implementation of the national policy in the Distr icts’ of in community participation, gender, pro-poor policy and poverty reduction (RISD the City of Kigali and 2009). The RISD is mainly active in land issues. • ‘providing services which’ are not met by other administrative structures in

105 The RDB grouped the Office of Rwanda Tourism and National Parks (ORTPN), Rwanda Commercial the City of Kigali. Registration Services Agency (RCRSA), Rwanda Investment and Export, Promotion Agency (RIEPA), The City of Kigali has the power of urban planning, including the power to implement the Rwanda Information Technology Authority (RITA), Center for Support to Small and Medium Enterprise in Rwanda (CAPMER), Human Resource and Institutional Capacity Development Agency (HIDA) and Master Plan, which is technically conducted by administrative entities. Compared to the Privatization Secretariat. the political structure, the administrative entities are set up in a ﬂ exible manner. Admin- 106 Although the government is engaged in these projects, it ends up selling them to private investors istrative entities are transformed according to the objectives of political power. upon completion. In 2008, urban planning and infrastructure development were divided into several ﬁ elds: Land Use Management and GIS; Road Construction and Maintenance; Environment Management; Water, Energy and Waste Management; Urban Trans- port. The ‘Land Use Management and GIS Department’ was made responsible for all urban planning issues. This institution is the entity supervising the development 107 The law determining the structure, organisation and functioning of the City of Kigali 108 In Rwanda, the council is the government of the administrative entity.

46 The case study Kigali - Rwanda

of the master plan. Although several units were planned, three out of the depart- The Districts of the City of Kigali ment’s six units were unfi lled in 2008 (see Figure 18). The administrative structure of Kigali consists of three Districts (Nyarugenge, The ‘Construction and Urban Planning One Stop Center’ (hereafter ‘One Stop Gasabo and Kicukiro) comprising 35 sectors, 161 cells and 1,06 1 imidugudu (see Center (OSC)’) was created in the place of the ‘land use management and GIS Figure 15). Law 8/2006109 gives the District the legal status of an administrative department’ in 2010. The changed administrative entity transformed the urban entity. The Districts are headed by a District council elected from the cell council110 planning approach of Kigali. The operative document of the OSC is the Client (Chemouni 2014: 252). Charter, which defi nes the services of the OSC (City of Kigali n.d.: 2): The Districts are legally responsible for several duties: • Deeds and property contracts, • implementing approved government policies, • Building permits (development control), • delivering services provided at neither the level of the sector nor of the City • Renovation authorisation and of Kigali, • Land titles provision. • devising, coordinating and implementing development plans, • promoting collaboration and cooperation with other Di stricts and • ensuring security of people and their property at the level of the District in Kigali City. /HJDO6XSSRUW %XLOGLQJ&RQWURO *,6DQG$UFKLYH The Districts are the ‘main local government entity’ (Chemouni 2014: 248) in >XQILOOHG@ >@ >@ Rwanda and employ 50% of Rwanda’s administrative employees (Chemouni 2014: 246). In addition, 25% of the national government budget is dedicated to local governments (Chemouni 2014: 251). The actual fi nancial autonomy is, however, very limited with regard to the scope of tasks (GIZ 2012 (unpublished): 2). Despite 5HVHDUFKDQG +RXVLQJ3URPRWLRQ 8UEDQ3ODQQLQJ raising local revenue fourfold from 2006-2013, the bulk of local government budgets 3XEOLF5HODWLRQ >XQILOOHG@ >@ still comes from the central government (Ministry of Local Government 2012: 18). >XQILOOHG@ Although fi scal d ecentralisation provides the Districts with some self-determina- tion, districts remain tightly controlled by the central government (Chemouni 2014: 111 $GPLQLVWUDWLYH$VVLVWDQW>XQILOOHG@ 251). In addition, the decision-making power regarding imihigo objectives as well 'LUHFWRURI'HSDUWPHQW>@ as national policies remains at the nationa l level (Chemouni 2014: 249). /DQG8VH0DQDJHPHQWDQG*,6 7HFKQLFDO&RRUGLQDWRU>XQILOOHG@ In urban issues, the Districts have the objective to implement the master plan 'HSDUWPHQW&LW\RI.LJDOL and to develop ‘District Development Plans’. Districts are responsible for ser vice delivery in hospitals, water and sanitation, and schools (Chemouni Figure 18: Units and existing number of staff of the ‘land use management and GIS department’ [Illustration Pätsch based on City of Kigali 2008 (unpublished)] 2014: 246). The Districts are in charge of relocating people in high-risk zone s and implementing imidugudu policies (I-I-OSC Nyarugenge District 2014a: 1). Districts also deal with land transactions, plot surveying, and expropriation (i-OSC Gasabo District 2014: 7) and are additionally expected to support the sectors in d elivering better services (Chemouni 2014: 248). Although the Districts were charged with a range of duties, the number of staff at the Districts was very low in 2008. Like the City of Kigali, the Districts transformed their administrative structure by opening One Stop Centers (OSC) in 2012. 109 The law determines the organisation and functioning of the District. 110 The cell council is the only directly elected one. 111 For an explanation, see ‘homegrown initiatives’ in chapter 4.2.4.

47 The case study - Kigali, Rwanda

4.2.2 Internationally trained urban planners in the administration range of measures meant to address it: ‘people have been given opportunity to go Due to the colonial history and dependency on development aid, Kigali’s admin- and do their master’s and come back. […] We also have in-house training through istration has a long tradition of hiring international consultants. Consultants follow Surbana and other institutions or agencies that are related to energy, physical specifi c work objectives agreed upon by Rwanda and the international organisa- planning development’ (i-head of OSC 2014a: 4). Various institutions, including the tion. On the one hand, consulta nts perform regular administrative tasks to assist Rwandan government, give scholarships for students to do their master’s studies Rwandan employees. It is very common in Kigali for consultants to design, e.g., in the U.S., Europe or Southeast Asia. Internationally trained professionals often new planning procedures. On the other hand, they perform capacity building, which take high positions in the administration, e.g. Head of OSC or Director of RHA. strengthens the capacity of the Rwandan planners in the administration. The internationally trained Rwandan urban planners usually hold an appointment Rwandan institutions believe in international consultancy (I-independent architect at the management level of the administration after returning to Rwanda, but not 2012). Thus, the consultants were given partly strategic positions to promote urban all Rwandan urban planners are internationally trained. The various education- planning activities. Nearly every urban planning institution in Kigali cooperates with al backgrounds lead to a gap (void) in capacity between internationally trained multi-national organisations, e.g. the UN and national-organizations, e.g. the GIZ, professionals and local urban planning staff (i-master plan team 2014a: 2) (see which often send consultants112 to administrative units in Rwanda. Nearly every Figure 19). urban approach is developed through urban consultancy in Rwanda, e.g. the Land Several varying power relations exist between Rwandan stakeholders and interna- Reform with the assistance of the British Department of International Development tional experts: a) local institutions and international experts, b) architectural fi rms (DFID) or urban upgrading projects fi nanced by UN-Habitat. At the time of obser- and local institutions, and c) international organisations and local institutions. In vation, UN-Habitat was doing consultancy work at the Rwanda Housing Authority this research, the term ‘international expert’ will represent all non-Rwandan experts in the form of urban policy development. Furthermore, the GIZ had provided the working in the administration of Rwanda, notwithstanding their power relation and Ministry of Infrastructure with an international expert, and the CIM (Centrum für work contract. internationale Migration und Entwicklung) had sent an international expert to the One Stop Center of the City of Kigali. A consultant from Surbana was based at the One Stop Center of the City of Kigali during and after the development of the Detailed Master Plan. The consultant 5ZDQGDQ&RQVXOWDQW coordinated the development of the Detailed Master Plan in Kigali while being the 5ZDQGDQPDQDJHPHQWOHYHO local contact person for the urban experts of Surbana, which is based in Singa- ,QWHUQDWLRQDO([SHUW pore. After approving the Detailed Master Plan, the consultant followed-up on the Detailed Master Plan by, e.g., developing a manual of planning procedures (i-master plan team 2014a: 7). YRLG In addition, international experts had been directly employed in the administration during the time of observation. Experts from Europe and the U.S. were active at the level of the City of Kigali. Due to their international work experience 5ZDQGDQXUEDQSODQQLQJSURIHVVLRQDOV they were working in various positions, in which they offered new input on key urban areas, e.g. land consolidation strategies were drafted by a U.S. planner (i-Affordable Housing Unit 2014: 4). However, the experts do not have access to Figure 19: Human capacity gap of urban planning staff [Illustration Pätsch based on the decision-making structure in most of the cases. i-master plan team 2014a] Furthermore, many Rwandan urban planners are internationally trained. There is a keen awareness of insuffi cient human capacity in Rwanda, which has led to a

112 The term ‘consultant’ means professionals paid by international organisations or international firms rather than the Rwandan government.

48 The case study Kigali - Rwanda

4.2.3 Decentralisation in Rwanda Government 2012: 21). Due to the fact that the fi rst two phases of the decentrali- The Rwandan institutional system has been restructured by a Decentralisa- sation progr amme brought about rapid change, the third phase also focusses on tion Reform aimed at re-structuring central government structures by giving stabilising the process (GIZ 2014 (unpublished): 27). decision-making power to entities below the level of the government. Decentralisa- The decentralisation process in Rwanda has been controversial. On the one tion is supported by international organisations in Rwanda, e.g. the GIZ113. While hand, certain researchers admit that Rw andan decentralisation supports the dec entralisation reforms hope to increase effi ciency, transparency and public centralist political steering and control approaches (Chemouni 2014), which accessibility by strengthening the local level114, the results are controversial. amount more to de-concentration rather than pure decentralisation (i-GIZ Decentralisation is laid out in Article 6 of the Constitution of the Republic of Rwanda 2014: 1). The des ign of decentralisation allows for a tight control of the govern- (Government of Rwanda of 2003 revised in 2015).The decentralisation programme ment and rapid implementation of national policies (Chemouni 2014: 254) of Rwanda, started in 2000 (Ministry of Finance and Economic Planning 2013: 83), whereas the role of decentralised entities is left open. Although laws exist, gives a clear structure for all sectors (GIZ 2014 (unpublished): 5) and is conducted there is little defi nition regarding the local government (GIZ 2012 (unpub- in phases. lished)). Decentralisation, thus, is very much dominated by the central government as it relates to administrative, fi nancial and political issues, which leads to The partial democratisation of leadership and the integration of women and ‘technocrat ic and depoliticized local governments’ (Chemouni 2014: 246). youth i nto the leadership happened in the fi rst phase of the reform. On the other hand, some researchers consider decentralisation in Rwanda a The second phase of decentralisation focus ed on decentralising government struc- model for East Afric a in terms of confl ict resolution (McConnell 2010). They believe tures by, e.g., creating Districts and empowering people (Ministry of Finance and that the institution building and good urban governance is a prerequisite of stability, Economic Planning 2013: 83). In 2006, the number of administrative units was peace and justice in Rwanda, and that the role of central government is crucial reduced in the framework of an administrative reform (Chemouni 2014: 248). Kigali in establishling an effective structure of governance (McConnell 2010: 1), not was restructured by extending the area of the city and creating three Districts. The only in fi nancial issues. Although international agencies are aware of the reform’s imihigo system was established to empower people and create accountabil ity. The problems, they accept the development of decentralisation efforts for the sake of results of the second phase of decentralisation programme are ambiguous. The cooperation. Some stakeholders argue for the legitimacy of the method of decen- level of participation in community service, fi nancial contribution, ‘expression of tralisation due to Rwanda’s history. views in different fora’ and ‘voluntary acceptance of responsibilities in leadership’ rose to include above 50% of the citizens in 2010. In the same year, participation in elections of leaders was also above 50% (Ministry of Local Government 2012: 13). In contrast, participation in the formulation of performance contracts (imihigo), in the ‘formulation of District Development Plans’, in ‘participatory budgeting at District level’ and in the formulation of the District council agenda was below 30% (Ministry of Local Government 2012: 13). Stronger and autonomous decentralised governments remain the objective of the third phase of the decentralisation programme, ongoing since 2012 (Ministry of Local Government 2012: 6). The third phase of decentralisation policy mainly addresses the economic development capability of cities, because urbanis ation is seen as a driver of modernisation, markets and service delivery (Ministry of Local 113 The strategic goals of the GIZ symbolise the need for action in this area: strengthening the performance of the administrative units by capacity building and staff contingency. The GIZ, therefore, addresses the creation of supporting framework conditions for, e.g., capacity improvement, working conditions and administration ethics (BMZ 2012 (unpublished): 3). Furthermore, the GIZ supports the knowledge exchange and cooperation between various stakeholders in the administration (BMZ 2012 (unpublished): 3). 114 This encompasses political, administrative and fiscal issues.

49 The case study - Kigali, Rwanda

4.2.4 Urban regulation and guidelines at the national level 1DWLRQDO/HYHO Rwanda’s regulatory framework is complex and consists of numerous formal laws, policies, strategies and physical plans.115 Several laws, strategies and policies /DZV are constant being changed. The following tables (see Figure 20, 21) give an overview—albeit incomplete—of the laws, strategies, policies and physical plans /DZGHWHUPLQLQJWKHXVHDQGPDQDJHPHQWRIODQGLQ5ZDQGD 1 relevant to the performance of the Detailed Master Plan. Urban laws /DZUHODWLQJWRWKHH[SURSULDWLRQLQSXEOLFLQWHUHVW 1 Laws dominate urban issues in Rwanda. The most important law for land issues is the ‘Law determining the use and 5ZDQGD%XLOGLQJ&RQWURO5HJXODWLRQV XQGHUUHYLHZLQ management of land in Rwanda’ (Republic of Rwanda 2005) (hereafter ‘Organic Land Law’), which is the basis of the land reform. Established in 2005, it is also the /DZRIJRYHUQLQJWKHRUJDQL]DWLRQRIVHWWOHPHQWLQ5ZDQGD basis for all other laws regarding land issues in Rwanda. In parallel, the govern- LPLGXJXGXSROLF\ ment conducted a land tenure regularisation process (LTR process) to register all land and give land titles according to the categories laid o ut in the ‘Organic /DZRIJRYHUQLQJKXPDQKDELWDWLRQLQ5ZDQGD 1 Land Law’. This land reform established a comprehensive law and private property based on three land categories: ‘Individual land’, ‘state land’, and ‘local authori- /DZJRYHUQLQJXUEDQSODQQLQJDQGEXLOGLQJLQ5ZDQGD Q ty’. According to the law, most of land in Rwanda is ‘individual land’ (Ilberg 2009: /DZUHODWLQJWRWKHSODQQLQJRIODQGXVHDQGGHYHORSPHQWLQ5ZDQGD 132). The titles given enable possession and give a 20-year leasehold.116 1 In 2013, a revised ‘Law determining the use and management of land in Rwanda’ /DZFUHDWLQJDQGRUJDQL]LQJFRQGRPLQLXPVDQGVHWWLQJXSSURFHGXUHVIRUWKHLU (Republic of Rwanda 2013) replaced the ‘Organic Land Law’, defi ning land rights, UHJLVWUDWLRQ 1 land management and the operating procedures established by the land reform. The ‘Law governing urban planning and build ing in Rwanda’ (Republic of Rwanda 6WUDWHJLHV 2012a) was implemented to establish general defi nitions of instruments and the institutional system, particularly the institutional f ramework, urban planning and 9LVLRQ WDUJHWUHYLHZLQ building rules, urban planning documents, modes of acquisition by the state for urban development, and urban planning operations. It defi nes the objectives of (FRQRPLF'HYHORSPHQWDQG3RYHUW\5HGXFWLRQ6WUDWHJ\('356 urban planning in Rwanda (Article 5, no 2/10): ‘progressive and provisional development of agglomerations within the framework of economic and social devel- 6WUDWHJLFSODQIRU&OLPDWH&KDQJHDQG/RZ&DUERQ'HYHORSPHQW opment policy, rural planning and environmental protection.’ The ‘Law governing UHYLHZHG urban planning and building in Rwanda’ also defi nes the term urban planning 6HFWRU6WUDWHJLF3ODQ LH8UEDQL]DWLRQ operation with regard to spatial issues (Article 2 (4°)): ‘land subdivision, restructuring, urban renewal, building refurbishment and urban replotting’. The spatial focus Figure 20: Urban laws and strategies at the national level [Illustration Pätsch] of urban planning is dominant in Rwanda.’ The master plan is the (Article 2 (11°)): ’document comprising medium and long-term planning and which sets guidelines for the development of urban agglomerations’. It also states that the City of Kigali Laws also address specifi c urban planning framework issues, such as the ‘Law and the Districts must have master plans (Article 13) that comply with the general creating and organizing condominiums and setting up procedures for their registra- land use. tion’ (Republic of Rwanda 2010), the ‘Law governing human habitation in Rwanda’ (Republic of Rwanda 2011a), or the ‘Law relating to the planning of land use and 115 Most of the regulatory documents are backed up by a law that formalises them. development in Rwanda’ (Republic of Rwanda 2012b). The last laws add to the 116 Since 2002, a cadastral system has been under development (Ilberg 2009: 121; Ilberg 2009: 121).

50 The case study Kigali - Rwanda

feasibility of the master plan, because it provides framework defi nitions for urban The fi rst ‘National Urban Housing Policy’ (Ministry of Infrastructure 2008b) for issues. Rwanda was established by the Ministry of Inf rastructure in December 2008. The policy describes policy actions, strategies and programmes for housing develop- Urban strategies ment in Rwanda based on Vision 2020 and the EDPRS. A reviewed and adapt- Vision 2020 and the EDPRS are economic strat egies for the development of ed ‘National Housing Policy’ (Ministry of Infrastructure 2015) was established as Rwanda that address urban issues. They support Rwanda’s goal to become the ‘Affordable Housing Policy’ in 2015. This policy includes an in tegrative strategy information technology hub of East Africa and a middle-income country by 2020. for affordable housing in Rwanda, since it recommends subsidised social housing Vision 2020 was established in 2000 to transform Rwanda to a ‘knowledge-based schemes that incorporate the private sector (Ilberg 2015: 37). economy’ (Ministry of Finance and Economic Planning 2000: 9). Its objectives The ‘National Decentralisation Policy’ (Ministry of Local Government 2012) was address governance, human resource development, a private sector-led econo- established for the purpose of enhancing the decentralis ation process. my, infrastructure development, productive and market-oriented agriculture, and The ‘Urbanisation and Human Settlement Policy for Rwanda’ is planned in order to regional and international economic integration (Ministry of Finance and Economic structure the whole system of urbanisation (i-UN-Habitat consultant 2014: 1). It is Planning 2000: 11). to address ‘design, legal and economic’ (i-UN-Habitat consultant 2014: 1) issue s in The fi rst ‘Economic Development and Poverty Reduction Strategy’ (ED PRS) an integrated way, and the policy is planned to be a str ategic document for socio- was established in 2007. EDPRS 2—covering 2012-2016—addresses particular urban issues. The strategy stresses that urbanisation is both an opportunity and a challenge, which demands guided urban development to avoid urban struc- 1DWLRQDO/HYHO ture mistakes (Ministry of Finance and Economic Planning 2013: 11). EDPRS 2 calls for ‘integrated development planning and management’ (Ministry of Finance and Economic Planning 2013: 20) and a One Stop Center at the District level 3ROLFLHV for faster service delivery (Ministry of Finance and Economic Planning 2013: 32). It also promotes the governance objectives to ‘enhance accountable governance 1DWLRQDO8UEDQ+RXVLQJ3ROLF\IRU5ZDQGD by promoting citiz en participation and mobilization for delivery of development, strengthening public accountability and improving service de livery’ (Ministry of 1DWLRQDO/DQG3ROLF\ Finance and Economic Planning 2013: 12). The ‘Urbanization and rural settlement Sector Strategic Plan 2 012/13-17/18’ 1DWLRQDO+RXVLQJ3ROLF\ (hereafter ‘Sector Strategic Plan Urbanisation’) analyses the existing conditions, 1DWLRQDO8UEDQL]DWLRQ3ROLF\ framework and stakeholders in urbanisation in order to outline a strategy for the 1DWLRQDO+XPDQ6HWWOHPHQW3ROLF\IRU5ZDQGD sector. The Strategic Plan makes proposals to, e.g., restructure urban administration in the entire coun try with One Stop Centres (Ministry of Infrastructure & 8UEDQL]DWLRQDQG+XPDQ6HWWOHPHQW3ROLF\IRU5ZDQGD LQSURJUHVV Ministry of Local Government 2013: 59). The Detailed Master Plan is not, however, addressed in the strategy. 1DWLRQDO&RQVWUXFWLRQ,QGXVWU\3ROLF\ Urban policies 1DWLRQDO'HFHQWUDOL]DWLRQ3ROLF\ Furthermore, there are policies to guide urban development. The ‘National Land Policy’ (Ministry of Infrastructure 2004) is the guiding policy to establish a land 3K\VLFDO3ODQV tenure system that ‘guarantees tenure security […] and guidance to the necessary land reforms’ (Ministry of Infrastructure 2004: 22). The policy was established in 2004, prior to the ‘Organic Land Law’. 1DWLRQDO/DQG8VH0DVWHU3ODQ Figure 21: Urban policies and physical plans at the national level [Illustration Pätsch]

51 The case study - Kigali, Rwanda

economic development, which deals with the cooperation of regions (i-UN-Habi- generate internal motivation to perform; re-align resources towards key priorities; tat consultant 2014: 1). The new policy combines the objectives of the ‘National and act as an effective mechanism’ (Ministry of Local Government 2012: 27). The Urbanization Policy’ (Ministry of Infrastructure 2008d) and the ‘National Human instrument operates by reporting to the president and the general public, which Settlement Policy for Rwanda’ (Ministry of Infrastructure 2009). The latter is the encourages the fulfi lment of the defi ned indicators119. Figure 22 shows the system imidugudu policy,117 which deals with the establishment of grouped settlements of reporting through the Ministry of Infrastructure. While imihigo may be a suita- throughout the country. Various programmes run by, e.g., the Ministry of Local ble system to check urban planning performance, its application is criticised. Government support the implementation of the policy. Targets of imihigo are often very ambitious, leaving little space for dis tinct planning (Chemouni 2014: 250). Development Control Regulations Umuganda is obligatory community service for all residents of Rwanda. It is done The Development Control Regulations group s the administration’s tasks of giving once a month and aims to compensate the low tax income and fi nancial capacity out development permits for plots in Rwanda. Develop ment Control is regulated at of the state. Community service ensures the maintenance of infrastructure and the the national level by the Rwanda Building Control Regulation118. The law aims to construction of community facilities. Umuganda also offers a platform for commu- serve as the ‘standard reference for the regulation of building design and construc- nity information on governmental issues. tion’, and is based on British standards (Ministry of Infrastructure 2010: n.p.). This superior document defi nes, e.g., general terms, administrative procedures for plan approval, design requirements and construction projects. The regulations at the 119 Imihigo usually consists of 40 indicators each year (Chemouni 2014: 250). local level complement the regulations at the national level by, e.g. zoning of the 3UHVLGHQWRIWKH master plan. 5HSXEOLFRI5ZDQGD Physical plans UHSRUWWKHGHOLYHU\RI REMHFWLYHVDQG The ‘National Land Use Master Plan’ (Republic of Rwanda 2011b) is the only WDUJHWV physical planning document at th e national level (see appendix 1). It is a spatially integrated plan that addresses all urban sectors at the scale of 1:250,000 in order to determine land use in Rwanda. The ‘National Land Use Master Plan’ gives 0LQLVWU\RI,QIUDVWUXFWXUH binding future land-use directives (Republic of Rwanda 2011b: 4) and establishes land-use and development guidelines. It maps industrial and agricul tural areas as well as cultural heritage and natural risks areas. It also defi nes urban development &RQVWUXFWLRQ 'HSDUWPHQWRI &LW\RI.LJDOL hubs and market and trading centres. DQG8UEDQ ,QIUDVWUXFWXUH 3ODQQLQJ2QH Homegrown initiatives 6WRS&HQWHU In addition to laws, policies and strategies, the Rwandan government has developed specifi c instruments to overcome the pre-Genocide governance patterns (Chemou ni 2014: 246) and fi nancial shortages in Rwanda. So-called ‘homegrown (FRQRPLF'HYHORSPHQWDQG3RYHUW\5HGXFWLRQ6WUDWHJ\ initiatives’ are specifi cally adapted to the Rwandan context. Amongst them are the ('356 7KH&LW\RI.LJDOL'HYHORSPHQW3ODQ &.'3 initiatives imihigo and umuganda, which are applied in urban development. UHSRUWWKHGHOLYHU\ Imihigo is an instrument to check government entities performance. It follows the RIREMHFWLYHVDQG ‘right of citizens’ to actively participate in various ways (Ministry of Local Govern- WDUJHWV ment 2012: 12). For imihigo, a ll stakeholders are asked to ‘set and realize targets; &LYLO6RFLHW\

117 Imidugudu is the plural form of umudugudu. 118 My research refers to the version adopted in April 2009. A revision was underway in 2014. Figure 22: Working scheme of imihigo [Illustration Pätsch based on McConnell 2010]

52 The case study Kigali - Rwanda

4.2.5 Management and working cultures in Rwanda In the follow ing chapter, key elements of the management and working culture are PDQDJHPHQW highlighted, yet these empirical ﬁ ndings do not claim to give a complete picture of DQGZRUNLQJ FXOWXUHLQ.LJDOL the working culture in Rwanda. The compilation of characteristics of the management and working cultures (see Figure 23) is based mainly on personal experiences. The description is additionally supported, when possible, by academi c insight, 120 e.g. of Hofstede . WLJKWFRQWURO Sub-Saharan Africa consists of a high diversity of ethnic groups, which is further WRSGRZQZRUNLQJ augmented by the high number of ‘foreign multinational organisations’ (Seriki KLJKSUHVVXUH 2007: 39). While East Africa consists of various ethnic groups and nation-states, researchers assume cultural commonalities (Seriki 2007: 38).121 The planning KLJKSRZHUGLVWDQFH system and ‘urban planning practice in Africa reﬂ ect the planning culture in which SXQLWLYHV\VWHP they are embedded, part of which derives from the inherited colonial planning culture’ (Silva 2015: 2). Colonialism is, thus, at least part of this shared East African FROOHFWLYHYDOXHV tradition. Rwanda’s curr ent societal and cultural norms have been shaped by its genocide, its current restructuring into a nation122 and its political system. Rwandan socie- Figure 23: Characteristics of management and working culture in Rwanda [Illustration Pätsch] ty is being transformaed and ‘is thinking big’ (i-independent urban planner 2014: 2). The multiethnicity typical of most African countries (Jackson 2004) is minor in This shows the willingness of the population to voluntarily contribute to the Rwanda, because its Ethnol inguistic Fractionalisation123 of 0.26 (in 2001) is very country’s development. This supports Koopman’s point that African cultures have low compared to other African countries (Jackson 2004: 54). Because of this index, a ‘collective propensity’ (cited from Jackson 2004: 26). Blunt and Jones add to this, my research considers ethnic aspects less relevant to the case. claiming that African societies are ‘low on individualism’ (cited from Jackson 2004: 26). Although there is no data on Hofstede’s individualism-collectivism category for Cultural values – Individualism versus collectivism Rwanda, this example shows an orientation towards community and a way of living There are informal mechanisms in Kigali indicating that community is highly valued. that acknowledges collectivism as value. Associations contribute to tasks of the City of Kigali: ‘people want to be involved, Work organisation and everyday routines – High pressure and control […] motor bicycle associations will come together and say give us this street, we will do all the greening and mainten ance of this street and everything on this street’ High pressure to deliver results to the political leadership, above all, shapes Rwanda’s (i-head of OSC 2014b: 4). working and management cultures (i-independent urban planner 2014: 1).124 This If infrastructure projects improve the situation of a property, many owners willingly pressure spans from objectives of (ambitious) projects to daily work routines. surrender 5% of their land to the government (i-head of OSC 2014b: 4). In some cases, Ambitious projects are inaugurated and enforced by tight top-down control at private owners donate land for housing: ‘people came to OSC that had a plot of land that all levels of the decision-making structure. In many cases, meeting everyday was 10 hectares, that a plot that was 5 hectares and said: What do I need to do to build work objectives is checked by intense pressure imposed by one’s superior. affordable housing; we want to contribute’ (i-Affordable Housing Unit 2014: 2). This pressure is reinforced by imihigo, which offers a check on the performance of each administrative unit. The Rwandan system is also very punitive (i-independ- 120 The Hofstede Centre uses data on Rwanda based on the World Value Survey (Hofstede et al. 2010: 35). ent urban planner 2014: 1), which enhances fear of taking decisions and making 121 The work of Seriki lists scholars who argue that sub-Sahara African cultures share ‘traits that seem to mistakes amongst Rwandans (i-independent architect 2014d: 4).125 If the head of be woven’ into societies (S eriki 2007: 38). an administrative unit fails to measure up to the indicators of imihigo, the person’s 122 My research does not assert that there is a Rwandan culture. 123 The higher the index score is, the greater the probability that two randomly chosen individuals do not 124 This intense pressure is likely rooted in reasons beyond urban planning objectives. belong to the same ethnolinguistic group. 125 Fear of taking decisions makes decision-making controllable.

53 The case study - Kigali, Rwanda

position is jeopardised. Failure, e.g. corruption or infi delity, can lead to imprison- ment (i-construction fi rm 2014: 2). The pressure and punishment applies similarly to the success of local politicians (Chemouni 2014: 250). Work organisation and everyday routines – Top-down working Top-down working is another characteristic of Rwandan culture that becomes visible in working routines. Administrative employees have very little power to take decisions. Planning staff must always ask a higher-ranked person. All decisions and communication with external agencies pass by the head of the institution, who is responsible for all departmental issues. Notwithstandi ng the clear top-down orientation, it is invisible who takes the decisions in Rwanda, especially to outsid- ers (i-international expert OSC 2014: 1). Although there is free working in technical urban planning. Top-down working is also connected with the attitude of self-determined work. Self-determined work, self-action and independent planning/prioritising are not very common amongst administrative staff in Rwanda. Daily business is characterised by unforeseen meetings at the departmental or ministerial level. Superi- ors intervene with unplanned and immediate requests which are prioritised over the ongoing work. This ‘on-demand’ working is valid for anyone working under a superior, even up to the president and makes self-determined scheduling nearly impossible. Top-down working goes along with a relatively low level of critical thinking. Criti- cal thinking is not appreciated as a cultural value in Rwanda. This working and management approach starts in school, because the Rwandan educational system is based predominantly on memorising (i-independent urban planner 2014: 1) what the teacher said rather than on critical refl ection. Top-down working and the fear of taking decisions implies that the power distance in Rwanda is high. This orientation towards the head of institutions shows the inequality of decision-making. Although the political situation might infl uence working culture, it is likely that the Rwandan culture implies high power distance, because East African countries scored higher (~63) in power distance index (Hofst- ede et al. 2010: 303). All of these characteristics of working and management culture are interlinked.126 However, the reasons or consequences cannot be precisely defi ned. While it is more likely that the re-active work orientation and imihigo intensifi es control of the Rwandan government, these are not the only reasons for intensifi cation.

126 This chapter does not address the category of population and employment structures. Particularities of population and employment structures are discussed in chapters 3.4, 4.2.2, 4.3 and 4.6.3.

54 The case study Kigali - Rwanda

4.3 Challenges of the institutional system in Rwanda (focussed on Kigali) LQVWLWXWLRQDOIUDPHZRUN This chapter focusses on challenges of the in stitutional system of Rwanda with a KXPDQFDSDFLW\ focus on the situation of Kigali and provide detailed insight into Rwanda thats add ODFNRIFRRUGLQDWLRQ new one to previous detections of institutional challenges in East Africa (chapter VWUXFWXUH 3.4). The challenges discussed refer to general urban challenges, the challeng- WUDQVSDUHQF\DQGDFFHVVLELOLW\ SROLWLFDOLVVXHVRIXUEDQVWHHULQJ es of the institutional framework, political steering, decentralisat ion and working VWDNHKROGHULQYROYHPHQW culture. (see Figure 24). RYHUODSSLQJPDQGDWHV DFWLRQRISROLWLFLDQV The territorial situation impacts the conditions of urban development, which include Rwanda’s geographic location and its position in the world economic system. Both issues can infl uence innovation. Rwanda’s topography and its landlocked position impact urban development, because, e.g., the cost of infrastructure and construction are higher than in other regions. Kigali’s status as a capital city includes all functions thereof and serves as the country’s administrative and economic FKDOOHQJHVRIWKHLQVWLWXWLRQDOV\VWHPRI5ZDQGD centre.127 While Rwanda does profi t economically and from the fl ow of people that comes from being a member of the East African Union, economic competition is, more or less, a regional issue. Despite its current political stability, the interest of international real estate developers in Rwanda is relatively low because of the country’s WHUULWRULDOVLWXDWLRQ VWDIIH[SHULHQFH negative image and negative media reporting (Rothenberger 2010: 61) as well as VWDIIUHWHQVLRQ African investors pessimistic view towards investing in Africa (Rothenberger 2010: HFRQRPLFVLWXDWLRQ XUEDQVWDQGDUGV 62). Rothenberger argues that the African real estate market lacks information WLJKWGHDGOLQHV (Rothenberger 2010: 59), which might prevent international investment. Reasons might include barriers to accessing the land market (i-construction fi rm 2014: 2) ZRUNLQJDQGPDQDJHPHQWFXOWXUH and the challenges of the security of tenure and investment protection. Figure 24: Challenges of the institutional system in Rwanda [Illustration Pätsch] Institutional framework

Capacity is the major challenge to all institutional levels in Rwanda, because the issues have recently gained importance. Overlapping and unclear institutional quality of education of the urb an planning staff is crucial in Kigali. Although the mandates characterise the 2014 institutional framework (GIZ 2014 (unpublished): ministerial level has little diffi culty fi ndin g staff because of its high salaries, the level 5). Constant change129 hinders the establishment of cooperation and the focus on of education and capability of the available staff often does not meet the demand. urban objectives. Furthermore, the number of instruments for urban issues is limit- Ministries lack qualifi ed technical personnel capable of taking high-level political ed, which poses a challenge to the work of urban institutions in Kigali. decisions (GIZ n.d.). In contrast, the District levels lacks personnel because of In addition, there is a lack of coordination for infrastructure and services (UN-Hab- relatively low payment for a wide range of work objectives. itat 2014a: 62). The Ministry of Local Government does not ‘fully fulfi l’ coordination 128 Urban planning institutions in Kigali are being transformed because urban for the sector with regard to decentrali sation (GIZ 2014 (unpublished): 5). Although coordination is foreseen in some cases, it is not practiced, because, e.g., working 127 Until EDPRS 2, which recognises secondary cities, all urban function in Rwanda were concentrated in Kigali . groups under the IDP steering meeting do not exist (i-GIZ 2014) and coordination 128 This contradicts the UN-Habitat’s assertion that African countries have a ‘lack of capacity and skills to meetings are infrequent (i-master plan team 2014a: 4). reform the planning system’ (UN -Habitat 2009: 57). 129 Although the mandate of the Rwanda Housing Authority includes housing issues in Rwanda, the City of Kigali dealt with housing in Kigali in 2014.

55 The case study - Kigali, Rwanda

Another challenge facing the institutional system is the structure, tra nsparency and Political issue of urban steering accessibility of urban laws. The legal framework in Rwanda is characterised by Urban development is highly political in Rwanda: In some cases, political leaders much regulation, which leads to complex issues reg arding compliance with the have forced owners to transform their property according to the Detailed Master urban planning law (Goodfellow 2014) and to a lack of transparency in laws (i-con- Plan within a short period of time, without taking into account the owner’s needs struction fi rm 2014: 2). Constant changes in government objectives (GIZ 2014 or fi nancial capacity. Political leaders issued letters without involving the adm in- (unpublished): 54) make knowledge of the system even more complicated. Apart istrative level, threatening expropriations. They tried to enforce high-rise housing from posing a challenge to urban development, the incoherent legal framework for and urban functions in an area, although this was not mandatory according to local government threatens the decentralisation programme (GIZ 2014 (unpub- the Detailed Master Plan (i-independent architect 2014a: 6-7). While the master lished): 5). Decentralisation is challenged by increasing control and a lack of trans- plan does not preview forced adoptation, politicians most likely intended to 130 parent communica tion on critical issues (GIZ 2014 (unpublished): 5) . There is induce investment from the owner of the property. Politicians want the master also an unwillingness on the part of ministries to hand over dutie s to local bodies plan to be implemented within two years (i-independent architect 2014a: 8). (GIZ 2014 (unpublished): 5). The legal and fi nancial autonomy at the sub-national Although complex zoning exists, some development permits are still issued beyond level was still very limited in 2012 (GIZ 2012 (unpublished): 2; UN-Habitat 2014a: offi cial Development Control Regulations. In these cases, powerful decision-mak- 62). ers act according to their own agenda without considering the institutional rules. Civil society and private sector acti vity is restricted in Rwanda and permitted only The actions of certain politicians risks coherent/steered urban development in within a certain framework. There are few strong civil society organisations (GIZ Kigali, because these actions are neither coordinated nor integrated into the activi- n.d.), e.g. NGOs and a few intermediary stakeholders such as associations with ty of the administration. These actions separate Kigali’s administrative and political a share in urban development.131 All-in-all, the governme nt is the most impor- dimensions. tant stakeholder in urban development in Rwanda. This stakeholder dominance Working and management culture challenges urban planni ng performance. Together wit h the right of the government to intervene in urban development, e.g. the government has the right to clear slums Urban planning staff has no experience (i-master plan team 2014a: 7) in dealing with when necessary (UN-Habitat 2014a: 62), it shows the apparent imbalance in the urban issues, because urbanisation is a quite recent phenomenon. The employees institutional system towards government activity. lack of urban culture (Michelon 2012: 168) poses a challenge to decision-making, e.g. there is no experience in land pooling (Bajpai et al. 2012: 14) or in transforming

130 This development runs contrary to the development in most countries such as Germany, where the urban system. This lack of experience is reinforced by a lack of knowledge of institutions tend to erode due to bottom-up processes (Streich 2014: 121). laws and regulations (i-master plan team 2014a: 1). 131 There is, e.g., no tradition of public discussion on urban subjects, which does not encourage civil Due to the pay gap between administrative levels, there is much staff alternation society stakeholders to act. from lower to higher levels. Although staff retention has improved (i-head of OSC 2014a: 4), urban planning emp loyees are always on the lookout for jobs in other entities with better pay and a better image. Challe nges occur due to the international working framework in Kigali. Cultural work perceptions of China, Europe and Rwanda clash in large-scale projects, e.g. the Convention Center (i-construction ﬁ rm 2014: 1).132 Due to the non-existence of Rwandan norms on several issues, work is often based on case-by-case decisions. Rwandan contractors also have limited experience and avoid taking their own decisions (i-construction ﬁ rm 2014: 1).

132 The Rwandan contractor expects ‘German’ norms but is willing to pay for ‘Chinese’ norms only (i-construction firm 2014: 1).

56 The case study Kigali - Rwanda

In addition, urban standards are interpreted very strictly and infl exibly, which leads to a non-conformity of plot sizes and construction material in many existing dwelling units in the Detailed Master Plan (Bajpai et al. 2012: 13). The strict interpretation of the Detailed Master Plan in terms of high-rise buildings, the restriction of lower buildings and renovations, and high construction material costs leads to minimising in building activity (Bajpai et al. 2012: 14). A common work objective is a tight deadline for decision implementation, which are often considered unrealistic (GIZ 2014 (unpublished): 5). As a side effect, the speed—especially desired in spatial develo pment—‘endangers consolidation and sometimes leads to confl icting decisions’ (GIZ 2014 (unpublished): 5). Pushing the implementation of the master plan should speed up the reshaping of the city (i-independent architect 2014a: 6). Last but not least, there is no culture of constructive criticism in Rwanda (i-independent urban planner 2014: 2), which makes learning from challenge s and mistakes extremely diffi cult. The GIZ adds to this, criticising a lack of transparency on critical issues (GIZ 2014 (unpublished): 5).

57 The case study - Kigali, Rwanda

Figure 25: The inner city (on the hill) and adjacent quarters in 2014 [Pätsch] 58 The case study Kigali - Rwanda

59 The case study - Kigali, Rwanda

4.4 Kigali – urban development While o nly 28% of the land in the Nyarugenge District is constructib le (Ministry of Kig ali was founded in 1907 by German colonisers133 as an administrative Infrastructure 2008a: 38), major development (58.4% growth capacity) is forecast- centre in the geographical middle of Rwanda. Development proceeded very ed in the Gasabo District, since Gasabo has the highest percentage (65%) of slowly, because Belgian planners always rejected urban centres (Berlan- constructible surface (Ministry of Infrastructure 2008a: 38). In the Kicukiro District, da 2012: 1). After moderate urban growth immediately after independence in 44% of the surface is constructible, which leads to a growth capacity of 23% (Minis- 1962, Kigali’s growth accelerated at the end of the 20th century for various try of Infrastructure 2008a: 38). reasons: After the Genocide, returnees from the Diaspor a preferred living in The built-up area of Kigali in 2014 is dominated by typologies of fewer than 5 Kigali. In addition, the post-Genocide governmental efforts134 always considered storeys. Dwelling units are ma inly one-storey, single-family houses. Apartments Kigali the country’s only urban centre, endowing it a special status in terms of in multi-storey buildings as dwelling unit were still rare as of 2014. Exceptionally, urban laws and strategies. These efforts widened the gap between other cities high-rise offi ce buildings built in recent years are di spersed throughout the inner and K igali, because Kigali alone was attractive for people and businesses. city. The population of Kigali increased from 160,173 in 1984 (Ministry of Infrastruc- Although the layout of all city quarters is being transformed, the inner city has been ture 2008a: 19) to 1,135,428 in 2012 (Nyarugenge District n.d.: 9). Thus, Kigali’s extensively transfo rmed over the past 10 years (see Figure 26 and Figure 58). average annual growth was 9% (Bajpai et al. 2012: 6). According to the 2012 Most of this development is in tall high-rise offi ce buildings, government institutions census, the Districts had the following numbers of residents (Nyarugenge District and retail (see Figure 28 and photo documentation in appendix 3). The inner city n.d.: 9): of Kigali is situated in the Nyarugenge District with a business area consisting of • Nyarugenge District: 284,860 shops and offi ces. Political institutions (the presidency and ministries) as well as • Gasabo District: 530,907 several embassies are located in Kacyiru (the Gasabo District). The two quarters form the administrative and commercial centre of Rwanda. • Kicukiro District: 319,661. The transformation of the city has been accompanied by improved technical infra- The population is estimated to have grown by up to about 1.9 million inhabitants structure provision. The proportion of tarmac or paved roads as well as the number by 2022, an annual increase of about 5.7% (Cuevas et al. 2012: 11). This growth of streetlights has risen. In addition, the number of households that can afford puts pressure on spatial structure, infrastruct ure provision, land availability and electricity and/or a car has increased. This development is apparent by the illumi- urban steering. nation of Kigali at night and traffi c jams at peak hours. However, only the inner city Urban structure quarters directly bordering main streets or sub-center areas are suffi ciently served Kigal i’s urban structure is determined by its hilly topography. Kigali covers 73,128 with infrastructure. There is a considerable number of quarters in Kigali that lack hectares (City of Kigali 2013b: 4), 17% of which is built-up (City of Kigali 2013b: suffi cient infrastructure. This intensifi es social polarisation in the city: The areas 18). The Districts cover a surface of (City of Kigali 2013b: 4): equipped with infrastructure host middle- and upper-income households, whereas • Nyarugenge District: 13,423 hectares low-income groups still lack suffi cient access to social and technical infrastructure facilities. • Gasabo District: 43,002 hectares • Kicukiro District: 1 6,702 hectares. Urban planning approaches Settlements are situated on hilltops, whereas the wetlands and steep slopes delim- The roots of the urban planning system most likely go back to the system of the it the urban parts (see photo documentation in appendix 3). The development of Belgian colony. Since then, urban planning attempts have been carried out using Kigali is fi rst and foremost determined by the availability of constructi ble land, top-down planning approaches. Although the Belgian anti-urban politics are most which differs from the Districts. likely the origin of social segregation in the city, colonial urban planning transfer did not affect Rwanda as it did other African countries, because urban planning was of 133 Rwanda was a Belgian colony from 1918-1964. minor importance at that time in Rwanda. 134 All post-1994 politics are considered post-Genocide politics in this research.

60 The case study Kigali - Rwanda

Figure 26: Iconic buildings of Kigali [Illustration Pätsch, basemap City of Kigali 2005 (unpublished]

61 The case study - Kigali, Rwanda

Figure 27: Traditional housing quarters (Nyarugenge District) in 2009 [Pätsch]

62 The case study Kigali - Rwanda

Figure 28: Inner city (RSSB Headquarters Nyarugenge District) in 2014 [Pätsch]

63 The case study - Kigali, Rwanda

In the years after independence, urban planning in Sub-Saharan Africa remained 4.5 Kigali’s urban strategies and physical plans part of the central state and was seen as a technical, politically neutral task Since 2000, a considerable number of urban strategies and plans for the urban (Silva 2015: 20). Planning administrations were under-resourced (Silva 2015: development of Kigali have been formulated (see Figure 29). The approach to 21), symbolising the disregard of urban planning. French urban planners urban development, therefore, changed from a technical perception of pla nning did, however develop a master plan for the city of Kigali in the 1980s (Miche- after independence to a holistic one, ranging from spatial and strategic citywide lon 2012: 123). The urban master plan ‘Schéma d’Aménagement Urbain’ (SAU) planning to sector planning. All of the planning translated the objectives of politi- was adopted in 1983. The plan provided broad zoning of the city and areas for cians to restructure Kigali into an internation al metropolis, which includes an informal activities in every residential neighbourhood (Berlanda 2012: 138). ideological notion, at least in terms of spatial planning (Watson 2014: 3). Despite being adopted, the p lan has never been implemented, because it lacked operationalisa tion and ﬁ nancing (Michelon 2012: 122–124). Top-down urban planning, thus, failed, and Kigali continued growing without regulation. At least since the 198 0s, informal development has dominated the transformation of Kigali. The reasons for the informal development are the prohi- 3URYLQFH ,17$5( DQG'LVWULFW/HYHO $NDUHUH bition of land purchase (Ilberg 2009: 124), the high demand of housing compared to the limite d supply and the lack of a steering system.135 However, 3K\VLFDO3ODQV a ‘controlled informality’ was practiced until 2005 by an ‘authorized sub-divis ion with subsequent granting of occupancy certiﬁ cates’ (Bajpai et al. 2012: 13). 1DWLRQDO/DQG8VH0DVWHU3ODQ Thus, 80% of the inhabitants lived on unregistered plots (Ilberg 2009: 121) in the early 2000s. Although the city is dominated by informal quarters, most of the 'HWDLOHG'LVWULFW3K\VLFDO3ODQV 'HWDLOHG0DVWHU3ODQ housing is of medium standard, and quart ers have a mixed-income structure. Slum-like quarters are rare in Kigali. 'HWDLOHG8UEDQ'HVLJQHJ&HQWUDO%XVLQHVV'LVWULFWV .LPLKXUXUD

135 In 2007/2008 the City of Kigali constructed the low-cost housing settlement Batsinda (see photo documentation in appendix 3). 6WUDWHJLHV

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Figure 29: Urban plan documents at the level of the City of Kigali [Illustration Pätsch]

64 The case study Kigali - Rwanda

4.5.1 City and District Development Plans terised by priority, output, indicator, basel ine and year. The tasks carried out by The City and the District Development Plans are text-based strategic plans for the district are named in the appendix, e.g. the ‘sensitising of the private sector’ the socioeconomic development over a fi ve-year period. They aim at supporting or the ‘identifi cation of roads’ (Nyarugenge District n.d.: 124). Urban issues are the implementation of the EDPRS and the spatial plans. In addition, the plans are addressed in the categories of electricity, roads and water supply. The District is also expected to guide decentralised bodies in managing their own affairs. obliged to co-sponsor projects of the Ministry and the Cit y of Kigali (Nyarugenge The City of Kigali Development Plan (CKDP) 2012/13-2017/18136 ‘provides a District n.d.: 55). The District Development Plan, thus, defi nes the fi nancial contri- roadmap’ for the implementation of the objectives of Kigali, and the District Devel- bution of the District to achieve the goals of the sector, e.g. 250,000,000 FRW for opment Plans (DDP) (2013-2018) have the same objective for each District (see the construction of 5 kilometres of tarmac roads (Nyarugenge District n.d.: 124). content of the CKDP in appendix 1). In addition, the DDP stresses the r ole of the District as a local implementation body The CKDP follows the vision and the objectives of the Detailed Master Plan of and an interface with the population. The role of the Districts is ‘sensitizing the Kigali (City of Kigali 2013i: 35). The plan offers a list of very specifi c objectives to population and facilitating private land developers to strike amicabl e agreements be implemented in the sectoral priority areas137. Although measurable numbers of with the people to be relocated’ (Nyarugenge District n.d.: 37). targets refer to the (Detailed) Master Plan, no specifi c location of implementation is The City and District Development Plans are specifi c documents at the adminis- mentioned. Instead, target numbers of road construction projects (including expro- trative levels. They set targets in terms of human and fi nancial resources and are, priated areas) are defi ned for fi ve years, e.g. ’28.4 kilometres of asphalt roads’ therefore, used as operative document for imihigo reporting. The plans do not give (City of Kigali 2013i: 36), ‘creat[ing] dedicated bus lanes on expanded roads’, spatial defi nitions but do enforce the targets of the spatial master plans. ‘s ecur[ing] land for Bus Rapid Transport (BRT) corridor’ (City of Kigali 2013i: 37). The precise reference is given for only some projects, e.g. the improvement of the Nyabugogo Taxi Park in the CKDP connects with the CBD Urban Design Project and the Implementation Strategy. This type of referencing applies to all sectors of the CKDP, e.g. for urbanisation. The character of the District Development Plans is sim ilar to the City of Kigali Development Plan (see content of the Nyarugenge DDP in appendix 1). The District Development Plan addresses similar sectors, however the DDP also deals with agriculture. The utmost priority of the DDP is to accelerate urbanisation and implement the master plans138 (Nyarugenge District n.d.: 31-32). The District Development Plans consist of the District profi le, District overview (challenges and opportunities), strategic framework, implementation framework, monitoring and evaluation139, and costs and fi nancing of the District Development Plan. The plans offer a list of funds available for implementing the DDP (Nyarugenge District n.d.: 63) as well as a list of very specifi c objectives grouped by sector140 and charac-

136 My research refers to the draft version, which does not include an overview of costs. 137 Transport, Water/Sanitation, Urbanization/Housing, Environment and Natural Resources, Social Protection, Health, ICT, Education, Youth, Public Financial Management, Public Sector Development, Justice, Reconciliation, and Law and Order. 138 The implementation is to be carried out ‘with a view to creating conducive business environment, jobs and better settlements in the District’ (N yarugenge District n.d.: 79). 139 This chapter is the basis for reporting to higher levels on matters of finance and M&E. 140 Agriculture, Health, Transport, Energy, Water and Sanitation, Urbanization, Education, Youth and Employment, Financial Sector, Environment and Natural Resources, ICT, Decentralization, Justice Reconciliation, Law and Order, Social Protection, and Public Financial Management.

65 The case study - Kigali, Rwanda

4.5.2 Kigali Conceptual Master Plan (KCMP) of 2008 The Kigali Conceptual Master Plan (KCMP) was elaborated by the U.S. fi rm ‘OZ Architecture’141 and was adopted by the Government of Rwanda in 2008. The plan aims to make Kigali a ‘model’ city in the region, Africa, and the world (Ministry of Infrastructure 2008a: VIII). In addition, the KCMP is fundamental to guiding public and private (foreign) investment in the City (Ministry of Infrastructure 2008a: VII). The KCMP provides Kigali with conceptual and spatial development objectives for 50-100 years. Although the plan offers spatial design at the level of land use, natural features and transportation, the defi nitions are broad and schematic without local reference. The plan does not specify plot borders but does give general sp atial directions regarding the extension of the city.142 Furthermore, the development of a new airport and a new city centre in the south of the Gasabo District is laid out, and the plan proposes strategies for working with existing settlements by offering redevelopment and urban upgrading schemes. Although the KCMP offers implementation guidelines, e.g. infrastructure fi nancing schemes, it is not operationalised (see overview of content of the KCMP in appendix 1).

141 The firm is based in Denver, Colorado. 142 A transaction scheme for the urbanisation of unbuilt areas is designed.

Figure 31: Land-use plan of the KCMP [Ministry of Infrastructure 2008a: 63]

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Figure 30: Content of the KCMP [Illustration Pätsch based on Ministry of Infrastructure 2008a]

66 The case study Kigali - Rwanda

4.6 Detailed District Physical Plans of 2013 (Detailed Master Plan) improvement plans, in terms of investment plans that we can do, to be able to know The Detailed District Physical Plans (hereafter ‘Detailed Master Plan’) consists of that we are investing infrastructure strategically [...]. For somebody to be sure that various planning documents developed by Surbana International Consultants Pte if I put a house, it will stay a house for the next twenty, thirty, forty, fi fty years’ (i-head Ltd143 (hereafter ‘Surbana’) from Singapore between October 2011 (City of Kigali of OSC 2014b: 7). The statement of the Head of the One Stop Center favourably 2013b: ix) and 2013. For strategic purposes, Surbana worked together with the summarises the goals of the Detailed Master Plan in Kigali. The plan is considered Singapore Cooperation Enterprise144 (hereafter ‘SCE’).145 a guide for the city administration in terms of strategic and legally fi xed defi nitions of urban development. The Detailed Master Plan was passed by the City Council of Kigali in Oc tober 2013 with gradations: ‘the zoning is actually the motive of gazette, the rest was jusas a The Detailed Master Plan is in English and offers broad strategies for various guiding tool. The law, it’s for the zoning’ (i-master plan team 2014b: 1). sectors, including zoning and Development Control Guidelines, and it pools urban projects. The Detailed Master Plan translates the strategic and spatial vision into A 30-person planning team from Singapore traveled regularly to Kigali during the a physical development blueprint by using several sub-plans. The Detailed Master development146 of the Detailed Master Plan (i-master plan team 2014a: 6) and Plan partly contradicts the objectives of the KCMP (i-master plan team 2014a: 5) cooperated closely with the Ministry of Infrastructure (i-master plan team 2015: and replaces it (City of Kigali 2013c: 8). The Detailed Master Plan consists of (see 1), the Ministry of Local Government (i-master plan team 2014b: 1), and the City also Figure 32, 36, 38, 40): of Kigali. I. Analysis, Benchmarking and Vision Report The Detailed Master Plan is the Subana’s second planning task in Kigali. From 2008-2010 (City of Kigali 2013b: ix), SCE-Surbana and OZ Architecture devel- II. Master Plan Report oped the City Sub-Areas Planning Project. Surbana was commissioned to develop III. District Master Plans - [Detailed] Master Plan Report Nyarugenge the ‘Detailed Master Plan for the Nyarugenge District’147 as well as the ‘Detailed (version of 2010), Gasabo, Kicukiro, Master Plan and Urban Design for the Central Business District (CBD)’ (City of IV. Zoning Plan Report: Nyarugenge, Gasabo, Kicukiro District Kigali 2013b: ix)148. OZ Architecture worked out various urban design schemes for V. Transportation Master Plan sub-areas in Kigali (see chapter 4.6.2). The ‘Detailed Master Plan for Nyarugenge VI. Implementation Report District’ (City of Kigali 2010c) is the predecessor of the Detailed Master Plan. The objective of the Detailed Master Plan is to review all planning directions and 4.6.1 Content and objective of the Detailed District Physical Plans to integrate the latest urban planning initiatives (City of Kigali 2013b: xiii). The pla n, therefore, incorporates ‘the aspiration of the city’ (City of Kigali 2010c: i). The most important objectives of the Detailed Master Plan are ‘to help us ensure The Detailed Master Plan establishes ‘the strategic Urban Sustainability Frame- sustainable development, sustainable urbanization, sustainable use of our limited work for Kigali that will become the overarching framework, guiding the City to resources [...] the second most important is that it guides us in terms of capital address its key economic, social & environmental issues’ (City of Kigali 2013b: xiii). 143 Surbana (former HDB Corporation (2003-2005), now a subsidiary company) is Singapore’s first It describes itself as an ‘integrated detailed plan for the entire City’ of Kigali (City and largest urban planning and design specialist and state-owned planning agency. Surbana does in township development, consultancy, technology development, resource and fund management, site of Kigali 2013b: xiii), offers considerations on several urban sectors and combines supervision, and facilities management businesses. various plans under one umbrella, e.g. a land-use plan or a transportation devel- 144 SCE acts as a project manager and aggregator of projects abroad. This agency was created by the opmen t plan. Ministry of Foreign Affairs and the Ministry of Trade and Industry in May 2006. 145 What started with a memorandum of understanding in 2006 (Master Plan Team 2014a: 6) was Due to its own classifi cation, the Detailed Master Plan is strategic, comprehensive extended into a temporary consultancy of Singapore in various fields of urban interest. Apart from and operationalised for development control, which implies that the Kigali adminis- consulting in urban planning matters, SCE engages in workforce development and reforming Kigali’s Social Security Fund. tration is reacting to several urban challenges: comprehensive plann ing, long-term 146 Over a 16-month period. strategic planning, and land-use and comprehensive Development Control. 147 The detailed Master Plan of Nyarugenge was revised in the Detailed District Physical Plans for Kicukiro & Gasabo Kigali, Rwanda (Master Plan) mandate. 148 SCE-Surbana was also commissioned to do capacity building, tendering, implementation and monitoring (City of Kigali 2010c: i). Thus, SCE-Surbana acted together with SCE on three levels of consultancy: the transfer of know-how, advisory services and the sharing of know-how.

67 The case study - Kigali, Rwanda

I. Analysis, Benchmarking an d Vision Report II. Master Plan Report The Analysis, Benchmarking and Vision Report forms the analytical framework of The Master Plan Report is the main strategic document in the Detailed Maste r the Detailed Master Plan (see content in appendix 1). The analytical framework Plan, offering a system of vision, goals and strategies which build upon each other. extends to three main areas: economy, society and environment (City of Kigali The Master Plan Report does not give deﬁ nitions. 2013b: xiii). The analysis ends with development strategies and concepts for Kigali It presents a vision of Kigali as ‘The Centre of Urban Excellence’ (City of Kigali (see chapter 6). The analysis built upon data from various sources, e.g. Housing 2013b: xi) and addresses each district with a visionary statement (see Figure Market Demand, Housing Finance and Housing Preferences for the City of Kigali; 33) and six broad goals (City of Kigali 2013b: xv). The Master Plan Report offers World Bank Group; National Institute of Statistics and National Bank of Rwanda. land-use and development scenarios as well as sectoral strategies. The sectors The projection methodology is based on an economic growth model (City of Kigali of economy, transport, housing, nature and biodiversity, and identity and resource 2013a: 100). management are addressed to varying degrees through an analysis of the current status and strategies (concepts) (City of Kigali 2013b: xvi-xviii). The land-use development scenarios (see Figure 34) are based on a ﬁ nal land-use map as well as a township model. The townships model consist of

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Figure 32: Content of the Detailed Master Plan (part 1) [Illustration Pätsch based on City of Kigali 2013a and City of Kigali 2013b]

68 The case study Kigali - Rwanda

50,000- 480,000 inhabitants and a specifi ed amount of employment activity (City of Kigali 2013b: 19-20). It groups residential, commercial, education, sociocul- tural and health facilities, and parks and sport areas. In addition, each township has an industrial area (City of Kigali 2013b: 17). The land-use utilisation strategy ends by defi ning land-use and Development Control regulations, which translate the spatial arrangements of the Detailed Master Plan. The land utilisation strategy is also reproduced in the housing strategy, which promotes a housing model. The Master Plan Report furthermore specifi es housing typologies, regional facilities, nature and diversity, sustainable resource management, and local identity. Cross-sectoral strategies149 (City of Kigali 2013b: xi) address employmen t, transport, housing, environment, heritage and open space, land use in the sectors (City of Kigali 2013b: xi). Figure 33: Visionary statement for each District [City of Kigali 2013b: 11] 149 Cross-sectoral strategies are ‘strategies for transformation’ in the Master Plan Report. ‘Vision’ is the ‘goals’ in the Master Plan Report.

Figure 34: Urbanisation vision 2040 [City of Kigali 2013b: 15]

69 The case study - Kigali, Rwanda

My research ﬁ ltered a system of targets150, (see Figure 35). Each visionary state- YLVLRQ &LW\RI.LJDOLE[L ment151 is underpinned by goals and principles. In the sectors of transport and biodiversity, the principles are called goals and objectives. Although they are not &LW\RIFKDUDFWHUYLEUDQWHFRQRP\DQGGLYHUVLW\ always linear matched, they do build upon each other. While there are strategies for nearly every sector, they are not detailed to the s ame extent or formulated FURVVVHFWLRQDOVWUDWHJLHV &LW\RI.LJDOLE[L in the same way. The strategy for housing is underpinned by four objectives in the Master Plan Report (C ity of Kigali 2013b: 34). The strategy for transport is HVWDEOLVKLQJDUDQJHRIHPSOR\PHQWFHQWHUVLQ.LJDOL elaborated in the Transportation Master Plan. The sectors of economy, transport, WRGHYHORSDFRPSDFWYLEUDQW WUDQVLWRULHQWHGFLW\ nature and biodiversity, and identity and resource management are underpinned FUHDWLQJDIIRUGDEOHDQGTXDOLW\OLYLQJHQYLURQPHQWVLQ.LJDOL by plans outlining key features and development objectives in a phasing of middle- PDQDJLQJDQGLPSURYLQJWKHHQYLURQPHQWDQGLQIUDVWUXFWXUH term (2015 and/or 2040) and long-term perspective. (see the complete system of WRSUHVHUYHXUEDQKHULWDJH HQKDQFHSXEOLFJUHHQV targets in appendix 2). WRFRQVROLGDWHDQGUHVHUYHODQGIRUIXWXUHQHHGV

JRDOV &LW\RI.LJDOLE 150 Due to a lack of uniform terminology for the definitions of the plan’s sectors, my research uses its own methodology. PDNLQJ.LJDOLDPRGHUQ5HJLRQDO)LQDQFLDO+XELQ$IULFD 151 There are 6 visionary statements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Figure 35: System of targets of visionary statement 1 ‘city of character, vibrant economy and diversity’ [Illustration Pätsch]

70 The case study Kigali - Rwanda

III. District Master Plans - [Detailed] Master Plan Report Nyarugenge, Gasabo, These defi nitions are accompanied by recommendations assigned precisely to Kicukiro the strategies (City of Kigali 2010c: 3-4; 3-10). In contrast to the District Master The District Master Plans of Nyarugenge, Gas abo and Kicukiro transfer the objectives Plans of Gasabo and Kicukiro, the Nyarugenge Master Plan gives urban design of the Master Plan Report covering the Districts and specifi c planning areas (City of recommendations for chosen areas and addresses implementation and follow-up Kigali 2013h: 1) (see content in appendix 1). The Districts Master Plans are, there- measures. The main spatial areas of the District Nyarugenge are covered by the fore, free-standing and can be understood as a coherent planning document. urban design in CBD 1 and 2. The ‘Detailed Master Plan for Nyarugenge District’ The Nyarugenge District Master Plan does, however, differ from the Master Plans (City of Kigali 2010c) is the current basis for urban planning in the Nyarugenge of Gasabo and Kicukiro, because it was developed in 2010, whereas the plans for District. Gasabo and Kicukiro were developed in 2013. The structure of the Nyarugenge The methodology of the master plans for Gasabo and Kicukiro dif fers slightly. While District Master Plan152 (City of Kigali 2010a: 13-1) resembles the Detailed District the Detailed Master Plans of Gasabo and Kicukiro also deal with special planning Physical Plans of Gasabo and Kicukiro.153 The Nyarugenge plan consists of goals, areas, they act more as strategic land-use master plans. ‘Spatial planning areas’ objectives and strategies like in the Master Plan Report. offer specifi cations for land-use concept plans, land-use plans, residential-use 152 Implementation, management of the zoning plan, capital improvement and special projects, and plans, commercial-use plans, public facility plans, and open space- and green-use follow-up measures. plan, but they only selectively offe r indications for urban design. 153 Some parts are transferred, e.g. the phasing plan of Nyarugenge has been taken over by the Implementation Report.

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Figure 36: Content of the Detailed Master Plan (part 2) [Illustration Pätsch based on City of Kigali 2010c and City of Kigali 2013g]

71 The case study - Kigali, Rwanda

IV: Zoning Plan Report: Nyarugenge, Gasabo, Kicukiro District The Zoning Plan Regulations are addressed at the level of urban design regulation. These regulations are the most precise defi nitions in the Detailed Master Plan. The Detailed Master Plan offers comprehensive zoning consisting of graphic and written defi nitions for Development Control. The spatial zoning is represented in dedicated Zoning Reports (detailed) for each District as well as in the appendix of the District Master Plan Reports. The zoning defi nitions of the Detailed Master Plan complement the Development Control regulation at the national level (see chapter 5.4). The zoning incorporates the type of use, development intensity of the settings, and the height of buildings (see Nyarugenge Zoning regulation in appendix 1). The Zoning Plan Report defi nes buildings, building coverage, necessary building measures (City of Kigali 2013g: 6-10), and the types of permitted, conditional and prohibited use (City of Kigali 2013g: 2). Overlaying zone requirements ensures the functions of public interest (City of Kigali 2013g: 3). The Detailed Master Plan, especially regarding zoning, is planned to be reviewed every third year (City of Kigali 2013c: 8). Apart from the Zoning Plan Reports, zoning is also represented in a digital interface. The spatial defi nitions of zoning are available in a WebGIS (City of Kigali 2013)154 for land-use and Development C ontrol guidelines (City of Kigali 2013b: xiii). The City of Kigali also introduced a Ma nagement Information System (MIS) that parallels the 2013 Detailed Master Plan. MIS is a communic ation system that provides information on the Development Control guidelines and aims to offer online development permits (i -head of OSC 2014a: 5). The system offers a WebGIS, a checklist for documents, urban laws and policies, and a ‘very good sample design projects’ (i-head of OSC 2014a: 5). It fa cilitates the transparency of information on defi nitions and access to administrative services for clients not based in Kigali. Users of MIS receive an email reply to their development permit request from the OSC (i-Construction Permit Unit 2014: 5). Pre-consultation is another asset expected to resolve any question an applicant might have (i-Con- struction Permit Unit 2014: 3). MIS has improved the effi ciency of services155 and the government’s information transparency policy (i-head of OSC 2014a: 5).

154 Accessible at http://www.masterplan2013.kigalicity.gov.rw/ 155 Pre-consultation also clarifies open questions (Construction Permit Unit 2014: 3), which helps abbreviate permitting. Figure 37: Zoning [City of Kigali 2013g: 12]

72 The case study Kigali - Rwanda

V. Transportation Master Plan The Transportation Master Plan is the strategy for the transport sector which builds on the goal of becoming a ‘city of green transport’ (C ity of Kigali 2013f: 1) as laid out in the Master Plan Report. The plan is divided into the following chapters: • Analysis of context, constraints and opportunities, • Speciﬁ c goals, objectives and strategies, • Kigali’s concept of transportation development plans, • Institutional setup, trafﬁ c management and policies, • Implementation of projects and proposals The plan consists of spatial as well as organisational measures intended to facilitate implementation. The Transportation Master Plan, therefore, develops concepts as well as the institutional setup to achieve the vision. It also offers urban design proposals for transport infrastructure.

Figure 39: Goals and objectives of the Transportation Master Plan [City of Kigali 2013f: 4]

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Figure 38: Content of the Detailed Master Plan (part 3) [Illustration Pätsch based on City of Kigali 2013f]

73 The case study - Kigali, Rwanda

VI. The Implementation Report The Implementation Report delegates individual tasks to various institutions (Ci ty The Implementation Report offers guidance for the implementation of the master of Kigali 2013c: 33); (Ci ty of Kigali 2013c: xi): plan (see Figure 40). Contrary to former approaches of master planning in Kigali156, • Ministry of Infrastructure: planning and implementing major infrastructure, the Implementation Strategy operationalises the Detailed Master Plan and applies • City of Kigali: planning and implementing minor infrastructure it to the Rwandan administration. The strategy consists of the following main • One Stop Center for Construction: checking large projects elements (Ci ty of Kigali 2013b): • Nyarugenge, Gasabo, Kicukiro Districts: checking individual housing • managing the Detailed Master Plan and zoning regulations, The Implementation Strategy provides various steps for managing and imple- • capital improvement projects157 (see Figure 42), menting land-use zoning in the Detailed Master Plan (Ci ty of Kigali 2013c: xi). • catalytic projects, The timeframe for the implementation is divided into short-term, medium-term and • integrated strategies for land consolidation, long-term measures. The implementation of the projects of the City Centre and its • increasing capacity for Detailed Master Plan implementation, and outerlying areas is advised in the short-term, approximately 5 years (Ci ty of Kigali 2013c: xiii). Medium-term development deals with providing basic quality-of-life • priority recommendations and precise guidance for special issues, e.g. case services and developing suburban areas within 10-15 years (Ci ty of Kigali 2013c: studies of implementation mechanisms. xiii). Achieving the vision of ‘urban excellence’ is scheduled in long-term, over the The advice focuses on the enforcement of the plan itself as well as on the advice next 25-30 years (City of Kigali 2013c: xiii). for preliminary measures that support implementation. Implementation is expected The Implementation Strategy consists of advice in various dimensions, which to take 15-30 years and to be facilitated by a capital improvement plan and special varies in the degree of content and adaptability to the Rwandan context: projects (Ci ty of Kigali 2010c: iv). • general principles of urban development, 156 Compare with Kigali’s 1983 master plan, the Schéma d’Aménagement Urbain (SAU) • precise advice on, e.g., administrative structure, and 157 Apart from the ‘Kigali CBD Wetland Parc’, all capital improvement projects are infrastructure projects. • best practices. The general principles and advice of urban development are presented as if in a textbook, although the Kigali case is referred to. The advice for strategies are broad and leaves space for interpretations, e.g. Land Consolidation Strategies (City of Kigali 2013c: 25), Zoning Plan Management (City of Kigali 2013c: 9). The setup of new departments and units (e.g. capital improvement project unit,

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Figure 40: Content of the Detailed Master Plan (part 4) [Illustration Pätsch based on City of Kigali 2013c]

74 The case study Kigali - Rwanda

integrated township development unit) is part of the precise advice in the Detailed Master Plan. Each piece of setup advice provides information on the role and responsibilities, mandate, tasks, positioning-structure capacity, and guidelines to reach the objectives (City of Kigali 2013b: 34). The advice directly refers to the Kigali planning framework and points to existing stakeholders, to whom it assigns specifi c objectives and responsibilities. This advice is applicable to operating the units in Kigali158, which results in it being delegated to the business of daily urban planning. The advice for the urban design unit (City of Kigali 2013b: 38) is being planned (i-Construction Permit Unit 2014). Best practices are presented in the appendix and reference practices from other countries (City of Kigali 2013b: 59-63): The urban planning implementation mechanism and housing implementation mechanisms built upon the those in Singapore. In the case of Singapore, the essential learning point focusses on institutional arrangements and governmental strategies to incentivise the private sector. Best practices of land allocation strategies come from Japan (land pooling) and India (land pooling, land swap). Furthermore, examples of urban upgrading from India (slum rehabilitation and slum improvement) and Latin America (integrated slum upgrading strategies) are given. Although the description of best practices is broad, each case study concludes with a number of key learning points. These learning points address a specifi c direction, e.g. objective, aspect of management and organisation or fi nance.

158 ‘Considering that the existing capacity of One-Stop Center is completely exhausted while handling the day-to-day planning applications of the city, and the capacity of the infrastructure team […] Hence, the Office of Infrastructure and Urban Planning is proposed to be restructured as the Kigali Urban Development Department (KUDD) with larger capacities and wider role for the implementation, coordination, review and management of the Master Plan’ (C ity of Kigali 2013b: 38). Figure 42: Capital Improvement Projects [City of Kigali 2013b: 12]

Figure 41: Implementation guidelines [City of Kigali 2013b: xi]

75 The case study - Kigali, Rwanda

4.6.2 Urban design strategies OZ Architecture worked on the design of Kimihurura and on residential townships 159 Urban design strategies exist for selected areas of Kigali (see Figure 44). OZ Archi- in Kinyinya (see Figure 43), Rebero and Masaka. The urban design schemes tecture and Surbana developed these strategies under the umbrella of the ‘Kigali give specifi c defi nitions of plot level and offer more precise regulations than the City Sub-Areas Planning Project’ from 2008-2010. The urban design schemes zoning in the Detailed Master Plan. Regulations and broad fi nancing schemes also follow the objective of transforming the existing settlements. This project resulted in exist for infrastructure. urban design schemes for CBD 1 and 2, Kimicanga, Rebero, Kimihurura, Kinyinya, Surbana was assigned to work out the ‘Detailed Master Plan and Urban Design and Masaka. The design schemes vary based on the author. Apart from Masaka, Report for CBD 1, CBD 2 and Kimcanga’.160 The Urban Design for CBD 1 and 2 where an entire quarter is being developed, the CBD design schemes covering (see Figure 43) provides a vision, a concept of zoning plan and implementation the largest surface area. Thus, fi ve out of nine areas deal with densely populated instruments (Capital Improvement Plan and Special Projects). Furthfi naermore, it areas of the city, which are planned as mixed use. In contrast, two areas are being offers urban design strategies that are precise in urban form. Redeveloping land planned in rural populated areas (Rebereo, Kinyinya) to address housing, which is parcels is encouraged by the CBD plan. The implementation of the CBD plans is the most crucial aspect of urban development. intended to last 20 years (City of Kigali 2010a: 6-1). 159 OZ Architecture uses the same methodology on all urban design schemes. 160 Surbana uses the same methodology on all urban design schemes. .LJDOL6XE$UHD3ODQ.LPLKXUXUD.LQ\LQ\D5HEHUR0DVDND

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Figure 43: Content of Kigali Sub-Area Plan: CBD, Kimicanga, Kimironko, Gahanga [Illustration Pätsch based on City of Kigali 2010b and City of Kigali 2013d]

76 The case study Kigali - Rwanda

Figure 44: Spatial distribution of urban design schemes [Illustration Pätsch, basemap City of Kigali 2005 (unpublished)]

77 The case study - Kigali, Rwanda

The content and projects of the urban design strategies are partly integrated in the Detailed Master Plans. The urban design strategies highlight the development of some areas. Phase 1 of the ‘Kigali CBD Wetland Park Project’ is, thus, part of the capital improvement plan and a catalytic project of the ‘Implementation Strat- egy’ (City of Kiga li 2013c: 14), which highlights the importance of this Detailed Master Plan. In addition, the phasing plan for the Nyarugenge District in the ‘Imple- mentation Strategy’ (City of Kigali 2013c: 45-50) also includes several projects161. Some projects highlighted by urban design were, however, not integrated into the Detailed Master Plan. The urban design sites of Rebero, Kimihurura, Kinyinya and Masaka have no speciﬁ c role in the ‘Implementation Strategy’. The highlighted developments of ‘Nyarugenge Heritage Village’ and the ‘Statehouse Site Redevel- opment’ were also not transferred.

The urban design strategies are expected to facilitate projects of iconic importance, e.g. the modern urban centre with its Recreation Park, Heritage Village, and Convention Center (see photo documentation in appendix 3). The urban design images for CBD reﬂ ect the city’s aspiration to renew Rwanda through an urban planning vision (Michelon 2012: 166-16 7). The iconic 3D images, thus, indicate visions which approach strong nationalism (Bekker & Therborn 201 2: 207). Figure 45: CBD plaza illustration [City of Kigali 2010a: 5-26] 161 Phase 1: CBD Phase 1 development of Muhima, the Center Ville roundabout development, and the Nyabugogo transport hub and market redevelopment (phase 1). Phase 2 and 3: CBD Wetland Park, CBD core development and Kimicanga.

78 The case study Kigali - Rwanda

4.6.3 Challenges of implementing the Detailed Master Plan ,QWHUYLHZV The challenges presented in this chapter particularly address performance and implementation issues of the Detailed Master Plan. The challenges, thus, have 0LQLVWU\RI LQWHUQDWLRQDO 1\DUXJHQJH LQGHSHQGDQW commonalities and differences to institutional challenges in East Africa and Kigali. ,QIUDVWUXFWXUH H[SHUWVLQ *DVDER DUFKLWHFWVDQG The compilation of the challenges is derived from interviews conducted in 2014162, 0LQLVWU\RI &LW\RI.LJDOL .LFXNLUR XUEDQSODQQHUV those mentioned in the Master Plan Report and those named in the literature (see /RFDO 'LVWULFW Figure 46). The compilation of challenges can be categorised into four areas: (1) *RYHUQPHQW FRQVWUXFWLRQILUP spatial challenges, (2) market challenges, (3) challenges of urban planning, and (4) understanding stakeholders and institutional challenges. Spatial challenges The challenges of availability of constructible land are also valid for the Detailed Master Plan. The Detailed Master Plan names land issues as a major constraint on &KDOOHQJHVRIPDVWHUSODQLPSOHPHQWDWLRQ ‘timely’ and ‘progressive’ implementation (City of Kigali 2013c: 25) . The Head of the OSC specifi es the issues while stressing that the acquisition of land from private owners for, e.g., infrastructure development poses a challenge to Kigali (i-head of OSC 2014a: 1).163 The same challenge is mentioned by an interview partner from the RSSB. SODQQLQJGRFXPHQWV Market challenges DFDGHPLF OLWHUDWXUH SROLFLHV Market challenges fi rst and foremost address the fi t of provisions of the Detailed VWUDWHJLHV Master Plan and demands of the market. These challenges are mentioned by inter- ODZV national consultants in the CoK, an interview partner from the RSSB, the Heads of the OSC of the Districts and the architects. While one architect points to a lack of private investment (i-independent architect 2014a: 4), my interview partner from the 'RFXPHQW$QDO\VLV RSSB and the Head of OSC of the District of Nyarugenge make clear that private Figure 46: Sources of identifi cation of challenges [Illustration Pätsch] owners are not capable of developing their plot in line with the Detailed Master Plan (i-RSSB 2014: 3; i-OSC Nyarugenge District 2014a: 1). Market challenges are not mentioned in the Detailed Master Plan, by the Head of the One Stop Center of the Challenges of urban planning CoK or by my interview partners at the Ministries164. Land confl icts between neighbouring owners (i-OSC Kicukiro District 2014: 3) and Supply and demand imbalances shape Kigali’s housing market (Bajpai et high between existing and planned land use (i-OSC Nyarugenge District 2014a: 2) cost of construction materials, which limits construction activity. Despite the availa- present a challenge to the performance of the Detailed Master Plan, according to bility of recycled material, all construction material has to be imported (i-construc- two Heads of the OSC of the Districts of Kigali. tion fi rm 2014: 2). My interview partners from the Ministry of Local Government (i-Minalog 2014a) and the Head of the OSC of the City of Kigali (i-head of OSC 2014a: 1) perceive a 162 The following compilation takes up all challenges mentioned but does not look at the frequency of change in land use, e.g. for restricted areas, as a challenge. mentions. 163 The Districts of Nyarugenge and Gasabo as well as the RSSB mention the development of A general challenge of the Detailed Master Plan is acknowledging the type of use infrastructure as a challenge. it proposes. My interview partner from the RSSB points to the need for the sensita- 164 My interview partner from the Ministry of Local Government was the only one to mention the challenge of high expropriation costs (i-Minalog 2014b: 2). tion towards offi ces (i-RSSB 2014: 3). This goes hand-in-hand with the challenges posed by urbanisation being something relatively new in what has been a rural

79 The case study - Kigali, Rwanda

society (i-independent urban planner 2014: 1). This fundamental aspect of plan The lack of human capacity is contrasted with the need of creative application acceptance makes clear that the Detailed Master Plan is a new approach to urban of the Detailed Master Plan to reconcile the needs of investors with the Detailed steering that requires special consideration. Master Plan (i-Construction Permit Unit 2014: 3). In addition, the performance of the plan requires detailed planning, because devel- My interview partner from the Ministry of Infrastructure points to the necessity to oping one plot demands that the entire area be considered (i-Construction Permit ‘put all effort together and in inclusive manner we start the implementation’ (i-Minin- Unit 2014: 3). fra 2014b: 2). This goes along with Bajpai et al. (Bajpai et al. 2012: 25), who ask for The Head of the OSC of the District of Nyarugenge mentions that ‘upgrading’ is co ordination across sectors to implement urban policies. In terms of ﬁ nancial effort, needed in several areas (i-OSC Nyarugenge District 2014a: 1), although this is the Detailed Master Plan mentions ‘limited city funding’ for the implementation of not foreseen by the plan. These statements correlate favourably with Bajpai et al. the Detailed Master Plan (City of Kigali 2013c: xi). (Bajpai et al. 2012: 11), who ask for effective public and market-based housing for the low-income population. The understanding of stakeholders My interview partner from the Ministry of Local Government (i-Minalog 2014b: 2) and international planners in the CoK (i-Affordable Housing Unit 2014: 7) are all aware of the importance of keeping stakeholders informed, so they make sure to consider accessibility and awareness of the plan. Urban stakeholders in Rwanda are not familiar with formal urban planning. Politi- cians also use the Detailed Master Plan to achieve political objectives. One architect is very clear on this point, describing that the Detailed Master Plan is misunder- stood by people and the government (i-independent architect 2014c: 1). Rwandan politicians are very ambitious and expect visible results (i-independent urban planner 2014: 1) in a short period of time. My interview partner from the RSSB sees the challenge of the population’s familiarity with prices (i-RSSB 2014: 3). The concept of land value and that land prices can not be controlled is foreign to them. Institutional challenges The interviews revealed a more differentiated picture of institutional and human capacity in Kigali. My interview partner from the Master Plan Team in the City of Kigali stresses that knowledge of the law in Rwanda is crucial (i-master plan team 2014a: 1). Architects are worried that the sheer number of regulations and standards will lead to norms and standards not being met (i-independent architect 2014d: 3). Another challenge, according to my interview partners, is the inability of administrative employees to deal with the implementation of the Detailed Master Plan (i-Minalog 2014b: 2; i-master plan team 2014a: 1; i-independent architect 2014d: 2). This is also a concern of the Head of the OSC of Gasabo Districts, who lists construction along the Detailed Master Plan as challenge facing its implementation (i-OSC Gasabo District 2014: 4). Constantly changing priorities of the City of Kigali are also a challenge (i-independent urban planner 2014: 1).

80 The case study Kigali - Rwanda

4.7 Interim conclusions on the case study of Kigali, Rwanda for Kigali’s development (see master plan report in chapter 4.6.1) and a devel- Rwanda is a state in East Africa with special conditions due to its recent history opment plan for each District. It is restrictively comprehensive and strategic. The and historical urbanisation. While urban development is currently very important in Detailed Master Plan is a spatial master plan that attempts to implement strate- Rwanda, ‘sustainable urbanisation’ (i-head of OSC 2014b: 7) is the development gic planning in several sectors. It is a plan that offers regulative ‘command and objective of Kigali. control approaches’ (development control regulation) towards land-use planning. The Detailed Master Plan does, however, offer predominantly land-use distribution Rwanda’s political system has a vertical institutional structure: hierarchical and and only marginally addresses housing and redevelopment. It, thus, neglects the centrally guided. All ministries fall under the auspices of the central government. greatest demand in urban development (see market challenges in chapter 4.6.3) of Although decentralisation is envisaged, the ministries supervise the decentral- housing for the lowest income groups and urban upgrading.167 The Detailed Master ised bodies and maintain tight control over the administrative entities. The Minis- Plan gives operationalised implementation recommendations in varying scales try of Infrastructure plays the most important role in urban issues. Rwanda has (see implementation report in chapter 4.6.1) and indicates dedicated sectoral plans embarked on a decentralisation reform, which is more akin to de-concentration. and strategies for various sectors. It also offers urban design schemes for areas Kigali has a special position in the institutional structure, because capacities are of high relevance and a vision of the future city. Infrastructure development is also concentrated in the capital city. This includes the equipment of the administra- highlighted in the plan in the Transportation Master Plan. tion in terms of fi nancial resources and human capacity. Contrary to the large number of government agencies, there is a lack of civil society organisations in While evaluating the methodology of the Detailed Master Plan is not the aim of this Rwanda, because the political system limits active stakeholder involvement. research, some analytical fi ndings are worth mentioning. A ‘golden thread’ is rather The system of urban regulations in Rwanda is complex.165 Since the 2000s, several diffi cult to recognise in the plan, because the linkages between analysis, scenarios urban laws, strategies and policies have been implemented166 at least partly to and objective are diffi cult to follow. The connections between the Detailed Master ensure top-down steering. The ‘homegrown’ initiatives of imihigo and umuganda Plan scenarios and the projections of the ‘Analysis, Benchmarking and Vision 168 are special instruments that ensure the objectives of the centrally guided state and Report’ are elusive. The scenarios are rather broad. In addition, strategies and balance out economic drawbacks. Regulatory density is high. The working and terminology regarding the plan are incoherently formulated, e.g. use of the terms management cultures of Rwanda infl uence how the institutional system functions. ‘goal’, ‘strategy’ or ‘principle’. Rwanda’s working culture is dominated by top-down working along with high The challenges of implementation are very precise because they are revealed pressure and control. These characteristics support the central guided institutional through expert interviews. Despite the availability of land, the congruence of provi- system. Collective values infl uence also affect urban planning performance. sions and challenging market requirements, most of interview partners highlight Kigali faces many of the challenges faced by other cities in the Global South. urban planning and institutional challenges. One challenge is the appropriate- Among them are a lack of human capacity, structure, transparency and accessibil- ness of defi nitions and the need for urban upgrading. Another challenge is that ity of urban plans as well as a lack of coordination. formal urban planning is new to Kigali. Most of the stakeholders are not familiar For urban steering, Kigali builds upon formal instruments. Enormous effort by the with urban planning procedures. The complexity of regulation is contrasted with a political leadership has been concentrated in Kigali’s development, made obvious lack of norms and shifting priorities of the administration, which poses a challenge by the development of two master plans. The latter master plan, the Detailed to urban processes. Last but not least, human capacity is perceived as a major Master Plan, is the most precise regulating instrument in Rwanda’s planning challenge to the institutional system of Kigali. system. The plan has to fulfi l a dual objective: In addition to providing reliable 167 The implementation report recognises the high demand for affordable housing (City of Kigali 2013c: defi nitions for sustainable urban development, the plan has to respond to the 43), offering implementation schemes for ‘incremental housing in unplanned neighborhoods’, the aspirations of Rwandan politicians. The Detailed Master Plan establishes a vision ‘redevelopment of slum-like unplanned neigborhoods’ (City of Kigali 2013c: 22) and best practices of housing implementation (City of Kigali 2013c: 59). 165 The large amount of regulation brings with it complex conditions regarding compliance with urban 168 This makes sense for some sectors, e.g. identity and resource management, because they are not planning laws, which supports intransparent political objectives (Goodfellow 2014). core urban sectors. 166 The large number of strategies, policies and laws at the national level of Rwanda is constantly being updated.

81 Innovation phenomenon and the urban

5 Innovation phenomena and the urban and diffused to other fi elds, which led to the widening of the content of innovation. Fields that currently deal with innovation include technology, economics, social The following introduces the academic concept of innovation in order to explain the more issues and politics. Because of this breadth of fi elds, there is no consistency of precise concept of institutional innovation. This chapter, hence, focusses on innova- innovation output. Innovation is demonstrated in a wide range of phenomena: tion before explaining the observational framework of research in chapter 6. design, products, scientifi c achievement, processes or forms of organisation, Therefore, chapter 5.1 familiarises the reader with innovation, distinguish- which are often controversial.170 The diverse application of the concept of innova- es between types of innovation and highlights its relevance to the urban tion is ongoing. sphere. The academic concept of innovation is introduced in chapter 5.2 and Interest of urban issues in innovation backed up by creational aspects (framework system and innovator), which are relevant to this case. In order to focus on urban planning, chapter 5.3 narrows The goal of urban planning is to reach achieve social, spatial or managerial objec- the considerations to institutional innovation in urban planning. The sub-chap- tives (see 3.1). Urban planning’s interest in innovation is inherent in the system.171 ter also includes a discussion on enabling factors of innovation (chapter Innovations have, so far, been underrated in spatial planning (Kaltenbrunner 2015: 5.3.1) as well as the approach of the innovator (chapter 5.3.2). 166). For urban planners, ‘innovation’ is not the colloquial term used by econo- Chapters 5.4 and 5.5 deal with the diffusion of urban concepts, which is a condi- mists; innovation is rarely incorporated as a term in urban development aimsand tion of institutional innovation. Chapter 5.4 explains the phenomenon of planning very rarely explained in the urban fi eld (Ibert et al. 2015: 171). diffusion and its historical characteristics. The current phenomenon is addressed The approach to innovation in the urban profession is multi-layered. There is a in chapter 5.5 by focussing on urban consultancy. dominant interest to achieve sustainable development through innovation, because it catalyses productivity in urban transformation (UN-Habitat 2013: 129). Innovation 5.1 Innovation – an approach to the term also confers a city or region cons iderable competitive advantage over other cities Innovation is an imperativ e of modern society and acts as a vision of economic, or regions in terms of knowledge and investment. In contrast, the urban sphere is social and institutional change (Schwarz et al. 2010: 165). Innovation displays the recognised as a condition for innovation in other fi elds. Mieg goes beyond that, (re)organisi ng of society, especially in a knowledge society. Each fi eld of society pointing out that cities play a signifi cant role in all kinds of innovation, because has the objective to innovate, because innovation symbolises societal progress. ‘they have—and provide—identity, they distribute responsibilities, and they provide The term innovation is established in everyday communication, where it is synon- resources of all kinds’ (Mieg 2013: 7). ymous with progress. Things colloquially labelled as innovation are, in fact, not Examples of various innovation in the 20th century which affect urban planning are innovation but rather trendy changes (Rammert 2010: 39; Howaldt & Schwarz the following: 2010: 29). Innovation, then, seems to be used to encompass ever-more sorts of • the introduction of a social security system (social), novelties. Contrary to the colloquial use of the term innovation, the academic use • the introduction of computer-aided design (CAD) (technical), connotes qualitative and normative elements that make a difference. • affordable housing schemes of the state (both institutional and social innova- Common and constituting elements of change and innovation differ between the tion) and old and the new (Rammert 2010: 29). Innovation is not, however, merely an adapta- • prefabricated housing estates (spatial)172. tion but rather a profound change or renewal leading to a change in objective.169 An example of institutional innovation is the application of cooperative planning. Schwarz et al. argue that innovation indicates one option of change. In this attempt, The approach to planning changed the discipline fundamentally through methods, change is the neutral description of a development, whereas the academic term instruments and stakeholder integration. ‘innovation’ conceptualises a viewpoint based on a perception of societal change and its assessment. Thus, innovation adds a normative perceived baseline which is rooted in the social system and is a major condition of innovation. 170 Criteria and requirements for innovation differ across academic disciplines (Fritsch 2005: 476; Ritter 2005: 476). The term innovation was established and promoted in the discourse of economics 171 The capability of innovation is a generic part of, e.g., urban concepts. 169 While a crisis is often a trigger of change and innovation, crisis is not a necessary condition for 172 While seen as modern when they were built, their image changed tremendously within 20-30 years, innovation. leading to neglect.

82 Innovation phenomenon and the urban

5.2 Academic differentiations of the term innovation in the market or internally (Schumpeter & Böhm 1987: 152). Schumpeter’s expla- The academic concept of innovation gained importance in the 20th century when nation, therefore, focusses on the creational character of the ‘innovation’. The several researchers were examining the distribution of technical and social practic- following research makes this even clearer: Rogers stresses that innovation need es (Gillwald 2000: 1). not be objectively new (Rogers 2003: 12) but rather has to be ‘perceived as new’ by ‘the unit of adoption ’ (Rogers 2003: 12). According to Gillwald, innovations are The term innovation was established academically by Joseph Schumpeter173, who adaptations (becoming common ) in the environment of innovation (Gillwald 2000: defi ned it while being mainly interested in business activity and economic develop- 43). Rammert distinguishes novelties from innovations by virtue of the fact that ment. Schumpeter’s interest was the capitalistic development process and the role innovations are socially established, which affects other variations (Rammert 2010: of the entrepreneur (Bierfelder 1989: 9). While the main characteristics of Schum- 32)178. Brockhoff adds to that, describing invention as a pre-phase of innovation, peter’s theor y were remain valid , a whole academic area of innovation research because an invention can become an innovation by being introduced to the market emerged with a wide range of attempts at defi ning it. The term is now intention- (Brockhoff 1999: 37). ally kept abstract to allow for the integration of new types of innovation (Howaldt & Jacobsen 2010: 10), which can be diffi cult to categorise (Rammer t 2010: 24). Despite the fundamental character of the distinction between in vention and innova- Despite the diversifi cation of the concept, researchers did agree that innovation tion, innovation also has different accounts—radical and/or incremental—in the 179 was visible not only in technical and commercial products but also in social and natural sciences. These accounts go along with Schumpeter’s ‘creative destruc- institutional processes.174 tion’. Rammert argues that this destruction can be both creative—by breaking up routine—or evolutionary— by, e.g., unconscious divergences (Rammert 2010: 38). The selective differentiation between technical and social innovation, however, is In the technical sciences, new products are often radical (creative), whic h amounts hardly possible (Howaldt & Schwarz 2010: 91)175. The differentiation is not expedi- to invention. This is different in social science. Developments in social science are ent in a kn owledge society, because the adoption of new technology by consumers more fl uid (evolutionary) and rarely radical.180 The distinction between invention and and social practices can hardly be separated (Schröder et al. 2011: 19).176 Gillwald innovation is, therefore, less important in social science181 than in economics. (2000), Rammert (2010) and Howaldt/Ja cobsen (2010) all agree that innova- There have hardly been any inventions in the fi eld of urban planning. However, tion begets innovation.177 Social change is currently the condition and umbrella some technical inventions, e.g. the computer, have reframed behaviour in the phenomenon of innovation because there are very few social innovations without a urban fi eld. technical prerequisite, technical cause or technical challenge (Rammert 2010: 28). Innovation is not, however, the end of a process but ra ther the temporary result of Phases and grade of innovation various socioeconomic activities (Howaldt & Schwarz 2010: 118). To structure the phenomenon of innovation, researchers point to phases of innova- Differentiation with invention tion (Howaldt 2010; Ibert et al. 2015; Fritsch 2005) and the grade in innovations. Innovation’s non -linear develop ment is a generic p art of its appearance in econom- Although the shape of innovation varies, all types of innovation differentiate ics. Ibert, Christmann, Jessen and Walther differentiate thresholds for urban between innovation and invention, which has been evident since Schumpeter. In innovation processes: latency, introduction, fermentation, stabilisation and critique contrast to invention—the solving of a problem by new means—innovation is a (Ibert et al. 2015: 175). recombination of resources—a new balance of objective and resources—at play The grade of innovation shows the degree of establishment at a certa in moment.

173 Joseph Schumpeter (1883-1950) was an economist who researched capitalism and later socipolitical Although the grade of innovation is hypothetical (Corsten et al. 2006: 18), it helps implications of economic development. to characterise innovation. Access to grade differs from na tural science. Manage- 174 Management studies also distinguishes social innovation from process innovation (Corsten et al. ment studies provides easy access to measuring grade, because, e.g., it often 2006). 175 Hardly any research has explored commonalities and differences between technical and social 178 Rammert lists variation as a condition of innovation. innovation (Gillwald 2000: 37). Social and technical innovation can be distinguished merely by their 179 Innovation is not possible without a departure of the existing (Kaltenbrunner 2015: 163). orientation and normative parameters (Howaldt and Schwarz 2010: 90–91) 180 This does not mean that there are not inventions in the social field, but radical advancement is more 176 Social change, which has a recursive dynamic (Schwarz et al. 2010: 171), accompanies technical unlikely in this field. innovation from a sociotechnical point of view (Howaldt and Schwarz 2010: 92). 181 Gillwald argues that social innovation cannot be defined by the feature ‘new’ but rather by a shift in 177 Innovations can also bring about change to unintended and/or related fields. costs and benefits.

83 Innovation phenomenon and the urban

approaches innovation through quantitative research.182 Determing grade in social be promoted by strengthening the networks and cooperation between policymak- innovation is less precise. ers, private business people, academia and civil society (UN-Habitat 2013: 128). Innovation in the urban sphere is—compared to other fi elds—rare and time-co n- 5.3 The special character of institutional innovation in urban planning suming (Kaltenbrunner 2015: 168), because innovation in spatial planning depends Researchers consider instit utional innovation as social innovation183 and organisa- on non-technical and innova tive action (Kaltenbrunner 2015: 169). tional innovation184. Both focus on institutional innovation; the fi rst addresses the norms of social behaviour and the second of institutional behaviour. 5.3.1 Enabling factors of institutional innovation – the framework system Institutional innovation is a specifi c type of innovation that captures changes in Innov ation is system-based, beca use its appearance is not the creation but rather the institutional sphere. Institutional innovation focusses on social systems and the adoption and perception in society (Gillwald 2000; Rammert 2010). A funda- the action of actors and institutions (Howaldt & Schwarz 2010: 17).185 UN-Habitat mental characteristic of innovation is that it has to make sense in the framewor k captures urban innovation by reinforcing institutions or new institutions (UN-Habitat system (Rammert 2010: 38). Rammert even attributes referential meaning188 to 2013: 128). Hage argues that institutional186 innovation is the ‘adoption of an idea special elements of the framework system (the reference), which constitute innova- or behaviour that is new to the organization’ (Hage 2005: 71). This is similar to the tion itself (Rammert 2010). The framework system of innovation is, therefore, a approach of Motte, who defi nes institutional innovation a s ‘the creation of new tools generic part of innovation which h as to be considered with regard to spatial and and new organizations in order to facilitate new sociospatial practices’ (Motte 1997: content features (see (Hauschildt & Salomo 2011: 9). Ward agrees with this and 232). Both refer to the consequences of new ideas, behaviours or tools in insti- stresses that innovation needs a surrounding where it is needed and received (Ward tutions . Furthermore, Motte narrows institutional innovation to new processes187 2002: 401). Framework systems can hinder or promote the innovation process (Motte 1997: 232) which have specifi c consequences in institutions. He categoris- and, therefore, infl u ence its enactment.189 Innovation is enabled by communication, es forms and appear ances of institutional innovation into (Motte 1997: 232): cooperation and the integration of knowledge (Howaldt & Schwarz 2010: 119). • A new legal system being experienced and applied, Institutional system and political situation • a legal system being applied differently than in the past, and Ward argues that economic, social and political conditions are very important for • new tools or organisations being created to increased effi ciency. innovation (Ward 2002: 396). The current driver and overall framework system Institutional innovation in urban planning is about institutions and stakehold- of innovation is the globalisation o f competition, the plurality of stakeholders and ers of urban planning and their institutional behaviour. Institutional innovation in the increase in variants (Rammert 2010: 22). ‘There has to be, at the very least, urban planning can also result from new planning approaches, new instruments passive political support for innovations’ (W ard 2002: 398). Casper and Warden or changed stakeholder constellations. In addition, institutional innovation leads add to this, pointing out the capacity of institutions to infl uence innovation: ‘nation- to reinforced institutions or new institutions in urban management structures al specifi c structures of institutions and organizations may make the difference’ (UN-Habitat 2013: 128). The overall objectives of institutional innovation in urban in encouraging innovation (Casper & van Waarden 2005: 71). The ‘institutional planning are it s capabilities for urban steering approaches. Urban innovation can climate’ and the ‘vigour of reformist and professional network’ (Ward 2002: 401) also infl uence innovation. 182 Evaluating the grade of innovation has special importance in management studies, because optimising processes is integral to the system. 188 Despite their creational attributes, framework conditions can themselves become subjects of innovation (Gillwald 2000: 24), because innovations depend on each other. 183 Mieg sees institutional innovation as a sub-class of social innovation, because institutional innovation refers to regulations or procedural standards (Mieg 2013: 6). 189 The framework of institutional innovation also integrates physical structures (e.g. territorial location) and social structures (e.g. society). 184 In contrast, Krücken defines organisational innovation as the action of an organisation to influence its traditional structures (Krücken 2006: 259). 185 The functional fields of social innovation are (Gillwald 2000) civil society, economics and the state. According to Gillwald, social innovation is an intentional intervention that reflects the motivations of involved stakeholders (Gillwald 2000: 24). 186 Although Hage uses the therm ‘organisational innovation’, the phenomenon is congruent to institutional innovation. 187 Motte bases his conceptualisations on observations of changes in European planning systems.

84 Innovation phenomenon and the urban

Furthermore, innovation can be achieved using organisational meas ures and 5.3.2 The innovator strategic or processual terms (Hage 2005: 83). Hage names three conditions that The initiator has a fundamental role in the innovation process, because she drives 190 favour institutional innovation: the ‘complex division of la bour’ , the ‘organic struc- it. The innovator, th e entrepreneur, goes back to Schumpeter, who identifi ed the 191 192 ture’ [of institutions] , and a ‘high risk strategy’ (Hage 2005: 75). entrepreneur as important stakeholder.194 Schumpeter shaped the opinion that Culture the ‘entrepreneur’ is the initiator of a changed process, although the entrepreneur is neither a precise person (Schumpeter & Böhm 1987: 150) nor necessarily the Schroder, Huck and de Haan state that shared values are a condition for dealing author of the technical invention or idea (Schumpeter & Böhm 1987: 154 ). Various with innova tion (Schröder et al. 2011: 31). Institutional innovation depends on work stakeholder arrangements can initiate and support the innovation process.195 In organisation, population and employment structu res, the situation of competition add ition to the state196, all stakeholders, depending on their capabilities, can act in various fi elds, laws, and their normative baseline (Gillwald 2000: 24-25). In as an innovator197 (Corsten et al. 2006: 46-47; Schröder et al. 2011: 36). In some addition, common values and culture (Schröder et al. 2011: 31) as well as attitudes cases, individual stakeholder action replaces political and economic induction in th e context of teamwork193 (Albach 1994: 79; Albach 1994: 79) are f ramework (Schrö der et al. 2011: 36). Ibert et al. argue that the innovator may change within conditions for dealing with innovation. Kaltenbrunner names the following factors the process of innovation (Ibert et al. 2015: 173). that enable innovation (Kaltenbrunner 2015: 169): a culture of awareness, interdis- ciplinary cooperation, awareness of needs of recipients, an inventory sense, a feel Bröder also stresses the importance of the entrepreneurial spirit and entrepreneur- for the ‘window of opportunities’ and contemporary communication. ship to achi eve innovation (Brödner 1999: 261). For Schumpeter and Bröder, the determining attribute of the ‘entrepreneur’ is her leading position in new processes. The central task of the entrepreneur for Schumpeter is enforcing the product in 190 A variety of occupations, ‘functional departments’, ‘complex jobs’ (elaborated ‘technical training’, the market (Corsten et al. 2006: 43). The entrepreneur, therefore, fulfi ls various research department tasks, e.g. the ‘production and implementation of new products or qualities of new 191 Decentralisation, no formal rules, diversified communication 192 Values for change products’ as well as ‘the introduction of new production methods’ (Schumpeter & 193 Albach mentions knowledge, competence, leeway, integration and commitment (Albach 1994: 79) as Böhm 1987: 151–152). team qualities that determine innovation. 194 The innovator or the innovator constellation creates new products, new production methods and new organisations (Schumpeter & Böhm 1987: 151–152). This is induced or results in a knowledge increase of the stakeholders. 195 Knowledge of stakeholder networks opens the floor for the observation of the innovators of institutional innovation, who can be congruent. 196 The state can be the innovator, e.g. by political steering, if it plans comprehensive transformations of the institutional system. 197 In addition, Seriki argues that multicultural teams have a high capacity for innovation if they are well managed (Seriki 2007: 43).

85 Innovation phenomenon and the urban

5.4 The global circulation of planning strategies (McCann & Ward 2011: xiv), because the local interests of politics connects them The global circulation of planning strategie s is captured in academia from vario us to the places. Several conditions, e.g. the share of power and the context, shape perspectives. This chapter elaborates on the evolution, objectives, occurrence the transfer, which leads to a local adoptation. Exogenous ideas and innovations and agents of planning diffusion as a trigger for innovation. It will also link to introduced in African cities have always been changed and adapted to local circum- 200 academic concepts of innovation, because the objective of this reasearch is stances, even if it was intended to merely be an imitation (Gewald et al. 2012: based on innovation through planning diffusion. This chapter builds the frame- 1). Thus, this [re-]’territorializing’ is tied to specifi c social, political and econom- work to analytically assess planning diffusion and to interpret the results of ic dynamics (McCann & Ward 2011: 6) , which shape the local adaptation. The planning diffusion and its consequences in the framework system in Kigali. research captures the ‘normal process’ of ‘planning diffusion’ by ‘deterritorializ ing’ 201 Chapter 5.4.1 gives an overview of diffusion research, and chapter 5.4.2 narrows and [re-]’territorializing’ policy knowledge (McCann & Ward 2011: xxi) . the observation to Africa. In chapter 5.5, current global trends are presented, and 5.4.2 Historical perspective on planning diffusion in Africa detailed attention is given to urban consultancy (see chapter 5.5.2). The exchange of urban concepts has existed since the beginning of urba nisation, 5.4.1 Planning diffusion because interchange is a major infl uencing factor of city formation, e.g. through Once ‘planning diffusion’ takes place, once-unknown ideas of urban design and trade. In the Greek Empire, provincial towns adopted the urban concepts of the urban instruments enter the toolbox of urban planners. These ideas are not new but mother town. In the Roman Empire, the rational system of urban planning spread have already been applied elsewhere. Planning diffusion is a process that operates throughout the territory. Centuries later, international networks of trade, e.g. the in the fi elds of tension of ‘learning, challenging, adapting and inventing […] that take Hanse in Europe or the Levant in Asia, paved the way for economic connections place in specifi c instances’ (Healey 2010: 6). Diffusion processes ‘involve complex and infl uenced the transformation of city structures beyond national (administra- processes of translation, interpretation and adaption’ (Healey 2010: 5) base d on tive) borders. The Levant was the main driver of diffusion in urban issues in East the shares of power among stakeholders in the diffusion process. Although the Africa. Mainly coastal towns, e.g. Dar es Salaam or Stonetown on Zanzibar, inten- process of ‘planning diffusio n’ takes place, to a certain degree, unconsciously198, sively experienced the introduction of urban typologies and architectural forms of it requires a positivist urban planning movement in the receiving country (Ward foreign cultures at the time. 2011: 402). The character of an urban plan paves the way for two types of planning Planning diffusion intensifi ed in Africa during colonial times, because the networks diffusion. Planning diffusion can happen by di ffusing content and/or by operating. between the colony and the motherland were very tight. Most of the time, the While adopting content is territorial, adopting the operation is also supra-territorial, colonial motherland imposed urban planning and design principles on the colonies, because it affects the institutional system. ranging from the borrowing of single planning instruments to the implementation The diffusion of ideas has always been a side-effect in innovation theory and in of an entire planning system. Diffusion mainly happened through the colonial urban planning (Ward 2002: 5). Planning diffusion has the capability of innovating, powers of the British, German, French and Portuguese (UN-Habitat 2009: 55) because ideas are constantly being changed when being adopted (War d 2002: 6). when importing their instruments of ‘master planning, zoning, building regulation’ Institutional innovation can be the starting point199 or the consequence of planning (UN-Habitat 2009: 55). In addition, planning age ncies of the colonial mother- diffusion processes. land often did (master) planning in the colonies (UN-Habitat 2013: 9-11). Alt hough colonial planning diffusion is cited very often, colonial planning diffusion In its long history and broad fi eld of objectives, ‘planning diffusion’ has become part cannot be taken as ‘typical’ of planning d iffusion, because this confi guration offers of the planning tradition (Ward 2011: 3). Working with inspiration or external advice a clear distinction between importer and exporter. has become an integral part of the daily urban planning practice of city admi nis- trations and urban consultants. Policies of a country—whether due to ‘planning After the colonial age, planning diffusion phenomena diversifi ed as a result of diffusion’ or not—are ‘intensely and fundamentally local, grounded, and territorial’ fi nancial aid policies of international organisations as well as globalisation. Thus, although independent post-colonial countries in East Africa acted independently 198 The respective behaviours and motivations are, however, actor-specific and often exceed urban planning objectives. 200 Some architectural imitation might approach imitation. For most urban design diffusion, however, 199 Innovation evokes diffusion, because the success of a solution often leads to diffusion to another field adaption to the place is fundamental to the ‘functioning’ and is, therefore, inherent to the transfer. or spatial surrounding. 201 Although McCann and Ward (2011) stress the political notion, my research does not explore this issue.

86 Innovation phenomenon and the urban

following independence, the interdependency with the colonial mother country remained (Ward 1999: 57); (Stren & Halfani 2001: 466). At the very latest, the end of the Cold War marked the breaking of the blok orientation and single-track coloni al planning diffu sion (Silva 2015: 21). Typologies of diffusion, however, are often indefi nite and mixed202. 3ODQQLQJGLIIXVLRQEHWZHHQ 5.5 Current phenomenon of global circulating strategies and its results SODQQLQJDUHDVRIDFLW\ Curr ent phenomena of ‘planning diffusion’ in urban issues range from the spread of best p ractices to international consultancy and international workplace exchange. The fi elds of ‘planning diffusion’ also range from policy diffusion203, diffusion of reform movements (Ward 1999: 57) and the diffusion of spatial concepts that refl ect the crosscutting character of urban planning. The objectives of planning diffusion are wide an d vary from spatial ‘physical design for nation building’ to the conceptual ‘transfer of specifi c techniques’ (Healey 2010: 3). The reasons and driving factors behind planning diffusion are diverse. Amongst them are participation in the international market of real estate de velopment (Ward 1999: 54) ideological motivations and motivations to address urban challenges. The former brings with 3ODQQLQJGLIIXVLRQ the asset of similar planning regimes, which simplify acc ess to the land market and EHWZHHQFLWLHV Development Control regulation. Urban planning diffusion appears at various spatial levels (see Figure 47); it can happen, e.g., within a city204 when successful planning instruments are applied in other quarters, between cities and between cultures.

202 Research methodologies have to abolish bipolar research (colonial planning diffusion) and diversify the approaches towards the phenomenon (McCann and Ward 2011). 203 McCann and Ward (2011) argue that current policies (policy guidelines, policy models or policy knowledge) are always mobile (McCann and Ward 2011: 171). 204 The transfer can work horizontally between institutions and administrative units or between various administrative levels (vertically) (European Commission 2003: 27). 3ODQQLQJGLIIXVLRQEHWZHHQ FRXQWULHVFXOWXUDODUHDV

Figure 47: Typologies of planning diffusion [Illustration Pätsch based on Ward 1999, European Commission 2003]

87 Innovation phenomenon and the urban

Even today, the Global North dominates urban planning paradigms which rule conferencing207. The number and variations of porter s also intensifi ed through new the planning diffusion to/in the Global South (UN-Habitat 2014b: 163). Current media: e.g. websites, blogs or professional publications. examples of planning diffusion are: Agents of planning diffusion have a huge impact on planning diffusion, because • the worldwide spread of the ‘Garden Cities’, inspired by the idea of Ebenezer the output of planning diffusion depends on power relations between parties. Ward, Howard, e.g. in T anzania, however, underlines that the state is more important when it comes to establishing • urban planning being inspired by the ideas of ‘Modern Urbanism’, going back innovation than individual creatives (Ward 2002: 398). Some parties, however, are to the Charta of Athens, e.g. the creation of Brasilia in Brazil in 1960, not free of constraints when choosing the agent of diffusion, because there are 208 • the circulation of the ‘Welfare Model’ through Western states after World War political dependencies and fi nancial needs, e.g. developme nt aid, which steers II, decision-making. 209 • regenerating cities through events, since Barcelona successfully transformed Transnational organisations, e.g. the GIZ or the UN , have infl uenced urban its cityscape through the Olympics (Streich 2011: 588), planning through policy or fi nancial support since the 1970s (Stren & Halfani 2001: 469). In addition, urban policy topics are imposed on urban agendas of cities due to • the acknowledgement of ‘Creative City’ policies, inspired by the Richard Flori- the mandatory fulfi lment of specifi c indicators. International development a gencies da, by city governments all over the world, promote ‘planning diffusion’ to cities in the South through conditions of fi nan- • the adoption of neoliberal policies and private initiatives in Europe, going back cial support (Ward 1999: 54; Stren and Halfani 2001: 469), e.g. the World Bank to policy approaches in the U.S., e.g. PPP, BID205 (Ward 2011), promotes models via business support. UN-Habitat conducts projects worldwide to • waterfront rehabilitation as a stimulus for urban rehabilitation (Ward 2011), as market their project approaches. was done in several cities in the early 2000s, and The sa me applies to no n-governmental organisations (NGOs) and associations, • downtown (re)development th roughout the world (Lauria 1997: 83) to improve e.g. the ‘International Federation of Housing and Planning’ (IFH), ‘Slum Dwellers 206 the city’s status . International’ (SDI) or the ‘International Society of City and Regional Planners’ Globalisati on is the reason for expanding networks and communities (e.g. city (ISOCARP), who advocate special approaches and offer fi nancial aid. unions) throughout ‘circuits of knowledge’ (He aley 2010: 5; Healey & Upton 2010: 5) and ‘mutual learning networks’ (Ward 2011: 84) in academia and in practice. 5.5.2 International urban consultancy These ‘circuits’ frame the operation of planners and proces ses of ‘planning diffu- International consultancy is a device of global planning (Gotsch & Peterek 2002: sion’. City development, thus, becomes part of the i nternational networks of policy- 45) that has gained considerable importance in cities. Urban consultancy is a major makers (McCann & Ward 2011: xiv). planning diffusion phenomenon aside from the work of international bodies (Ward 1999 : 54). Urban consultancy currently includes policy consulting and spatial 5.5.1 Porters and agents of planning diffusion design services. Urban stakeholder structures have diversifi ed into globalised In planning diffusion processes, various agents transport and divide knowledge networks. across multiple territorial levels : politicians, urban planners, researchers, activists There is a growing importance of the ‘urban’ in policy advice thanks to urban and policy consultants. While the agents in the diffusion process act according planners being in policy adviser groups (Healey 2010: 9). While there are adminis- to moral commitments and ideologies, they often use ‘creative’ working methods. trative reasons for consultancy in fi nancially vital countries, countries of the Global Porters of policy transfer range from publications, reports or media to consultancy South often use urban consultancy to overcome fi nancing gaps and human capac- and professional networks (Ward & McCann 2011: 179). Cross-border policy trans- ity gaps. fer increased due to policy networks, professional associations and international Despite the World Trade Organization having included international design

205 For further reading on intense urban exchange between the U.S. and Europe, see Ward, Stephen: 207 Global agents spread best practices (Healey 2010: 13) from their country or models of good policy “Learning from the US: The Americanization of Western Urban Planning” in: Nasr, Volait: Urbanism (McCann and Ward 2011: xxi). imported or exported? 208 Negotiation processes need dedicated attention, but this is not the objective of my research. 206 To become a world city, cities absolutely must have high-rise inner city districts. 209 Although all of the UN’s programmes impact policy, this research refers to the UN-Habitat branch.

88 Innovation phenomenon and the urban

services in their portfolio in 1995 (Knox 2007: 72), the business of interna- do not limit urban design (Knox 2007: 73). This results in a ‘visual nature’ (Ward tional project practice in architecture and urban design started before World 2002: 402) of some urban designs, which runs the risk of not being adaptable to War II (Knox 2007: 72). In the beginning, the practice focussed predominant- the surroundings. l y on master plans, new construction projects and new towns. The international practice increased for many architectural fi rms at the end of the 20th century due 5.6 Interim conclusion – innovation phenomenon and the urban to simplifi ed transportation to and communication with a business area. In contrast to invention, innovation is not co mpletely new, but the socially established Although architecture is still an emerging fi eld in international business, spatial change extends beyond routines (Rammert 2010: 32). The innovator has a strate- patterns of operating are obvious (Knox 2007: 86). Currently, most of the globally gic position in the process while facilitating innovation. Although the term ‘innova- operating fi rms run offi ces in ‘world cities’ (Knox 2007: 75) or in countries offer- tion’ common in everyday communication, this application is not congruent to the ing desirable assignments (Kennedy 2004: 236). Some fi rms, thu s, focus their academic concept of innovation. In urban issues, innovation is neglected, because business in certain areas. Due to the high level and ‘model’ character of urban neither the term ‘innovation’ is used nor the concept of innovation applied. pl anning and design of, e.g., Singapore, involvement in projects in African and Institutional innovation in urban planning, however, merges change to the institu- Asian cities increased (Kennedy 2004: 242). SCE-Surbana is doing consultancy tional system with the actions of stakeholders. Institutional innovation has to make in several countries, including China, Vietnam, Nigeria, Rwanda, Oman and Dubai sense in the urban planning system of the country. The referential character of the (SCE 2012)). framework system, thus, enables institutional innovation, whose features range Consultancy is based on a contract between the loc al entities and the international from spatial to content. fi rm to achieve a certain objective, e.g. master planning or policy advice. Most The diffusion of ideas marks the start or distribution of the innovation process. My of the time, the consultancy’s mission is fulfi lled in cooperation with ‘local affi li- research perceives diffusion as the trigger of innovation. Planning diffusion, which ates and alliances’ (Knox 2007: 73; Kennedy 2004: 239; i-international planning ranges from policy transfer to the transfer of urban design, is common in daily fi rm 2014: 2). There is a variety of legal cooperations, whereas temporary work urban planning practice. More specifi cally, Africa has a long tradition of various placement and local counterparts is the minimum institutional isation.210 Althou gh kinds of planning diffusion through a variety of agents. Apart from planning diffu- international fi rms do the urban planning tasks, the responsibility and direction of sion, which is based on the fi nancial and technical support of international organi- the tasks remain in the hands of the local partner. The operation of international sations, urban consultancy is widespread in globalisation. architecture often involves cooperating with local partners (Knox 2007: 73). Although the objectives of consultancy are agreed upon in the contract, there are technical (e.g. legal), cultural and economic obstacles to the international business (Knox 2007: 73) ; (i-international planning fi rm 2014: 2). The planning transfer between countries/cities is challenged by differing cultural surroundings (Robinson 2006: 142). International design wor k also encourages ‘mutual fl ows of the personnel between the home and overseas offi ces’, which increases the ‘cross-national design knowledge’ (Kennedy 20 04: 239) of the international team. Internationally active design fi rms are also characterised by a multi-national employee structure (Kennedy 2004: 240). The urban planners belong to a mobile g roup of experts, who move from project to project and are based in the location during the project (Gotsch & Peterek 2002: 44). This transforma tion that includes the work of architecture and urban design fi rms is oriented more towards ‘performance-based’ activity which includes codes that

210 Most of the time, the projects of international firms are established as a result of the international tendering of local administrations.

89 Analysing institutional innovation

6 Analysing institutional innovation 6.1 Concepts of innovation The wide range of innovation output shows the large extent to wh ich the concept Handling innovations requires both robust characteristics of content and frame- of innovation concept has been used. This research does not intend to give an work systems and a degree of abstraction in order to effi ciently apply its percep- overview of the phenomenon of innov ation, but the selection of the employed tion to the case at hand. Aside from very specifi c academic considerations, concepts is purpose-driven. Due to the crosscutting character of urban planning academic literature more or less considers coherent dimensions of innovation and the absence of dedicated theory, this study uses theory from social science that do not depend on the academic fi eld. Although coherent dimensions exist, that offers tools and characteristics for the assessment. Despite their various there is no concept dedicated to urban planning. For this reason, my research backgrounds, all concepts agree on the normative dimension. Aside from the operationalises the analysis of institutional innovation, adopting suitable charac- research of (Healey et al. 1997) on strategic planmaking in Europe, there is hardly teristics from a variety of concepts. The concepts of social and institutional any institutional innovation approach dedicated especially to urban planning cases. innovation have the advantage of being—at least partly—operationalised. This chapter describes the concepts of innovation that are applied (chapter 6.1) 6.1.1 Relational-referential concept and develops a specifi c operationalisation for this case (chapter 6.2). Concepts Rammert’s concept is valuabl e in that it enables the classifi cation and multi-layered of social innovation are taken from (Rammert 2010) (chapter 6.1.1) and (Gillwald review of innovation. The classifi cation and review is performed using a referential 2000) (chapter 6.1.2). The case study in urban planning comes from (Healey et aspect of conc ept’s semantic, pragmatic and grammatical dimensions (Rammert al. 1997) (chapter 6.1.3). The concepts are explained through their underlying 2010: 46-47) (see Figure 48). Using these dimensions, various regimes of innova- meanings and d imensions of innovation. tion and their integration in social structures can be empirically analysed. The social dimension of Rammert’s work also poses fru itful questions for the normative discussion of institutional innovation in this case study. (Rammert 2010) aims at extended the research concept of innovation beyond economic perspectives in order for them to be valid for a variety of innovation. Rammert integrates the particularities of innovation by using in dividual reference systems. His relation-referential concept, therefore, demands compliance with all tendencies of innovation. Complementary to characteristics, the relation-referential system adds to the specifi cation and normative perception. His relational elements differentiate between ‘time, objective and social’ (Rammert 2010: 29-34), which are fundamental to describing innovation and delimiting it from, e.g., social change. ‘Time’, however, is not relevant as an absolute term; it is determined by the difference between the old a nd the new. It shows change through the difference between the former and the current (Rammert 2010: 30). Considering the ‘objective’, Rammert determines that the new can be a creation or an evolution. He thereby integrates Schumpeter’s differentiation between invention and innovation into his objective dime nsion. Rammert also agrees with Schumpet- er that the genesis of innovation needs variation or creative capacity to come into being, which can be achieved through the implementation process of innovation (Rammert 2010: 32). For all social innovation, it has to be considered that the ‘social’ refers to a reference system that determines the performance211 and content of innova-

211 The evaluation depends on the social value system of a society.

90 Analysing institutional innovation

tion (Rammert 2010: 401). According to the Rammert’s concept, the refer- relevant social groups (Rammert 2010: 34). The social dimension, therefore, ence system of innovation is perceived as an integral part of the innovation, makes the difference when it comes to the perception of innovation, because its because it permits the assessment of society. First, the social dimension various internal dimensions help to assess the innovation (Rammert 2010: 24). describes the social innovation and then it offers information on whether the Giving an example, Ra mmert stresses that it is not only the economic success that improvement is a positive one or a threat (Rammert 2010: 35). indicates the spread of innovation in society but rather its reference to the framework system of the innovation (Rammert 2010: 45 ). Rammert (Rammert 2010: 42) also stresses that there are necessary and sufﬁ - UHODWLRQ WLPH REMHFWLYH VRFLDO cient conditions for innovation. According to Rammert, the existence of a political agenda only forms a necessary condition. The sufﬁ ci ent condition of innovation i s reference given solely by institutional actions that implement the political agenda. pragmatic

grammatical

semantics

Figure 48: Dimensions of the relational-referential concept [Illustration Pätsch based on Rammert 2010]

By adding the internal dimensions of the semantic, pragmatic and grammatical (Rammert 2010: 34-38), Rammert describes reference (Rammert 2010: 46). Rammert’s concept is valuable, because it directly integrat es parts of the framework system into the deﬁ nition of innovation. The reference system shows the enactment of innovation, and it covers the grade of the innovation (Rammert 2010: 24). In the semantic dimension, innovation has to be perceived, appreciated (evaluated) and communicated (reproduced) (Rammert 2010: 34). The pragmatic dimension asks the innovation to become operational through cre ative action (other than routine) and innovative performance. Rammert stresses that selection, adoption and reproduction of the chang ed action are evident in the pragmatic layer of innovation. Expressions of the pragmatic dimension are diverse and range from new forms of expressive activity, e.g. in art and revolutionary thinking, to new practices of intelligence, e.g. multi-perspective thinking of participation. The pragmatic dimension determines whether the phenomenon is an innovation and is deemed important. Last but not least, the grammatical aspects of the referential dimension symbolise the ‘generalization of rules of production and reproduction of linguistics’ (Rammert 2010: 37), which ﬁ ll the linguistic void in the reference system. The change is symbolised by new terms and their use in society. Second, the social dimension assesses innovation normatively. In its performance, a new normality can be offered, disputed or accepted by social stakeholders or

91 Analysing institutional innovation

6.1.2 Comprehensive concept

The completeness of arguments and the claim of universality are the reasons for GLVWLQFWLRQWRZDUGVROGHUSUDFWLFH consulting Gillwald’s compilation. It is an asset that her work aims at connecting various strands of innovation research (Gillwal d 2000: 21), e.g. policy research, psychology and technical-based social innovation. Gillwald shows various conceptual approaches to innovation, e.g. a theoretical approach, innovation as being VSUHDGDQGVWDELOLVDWLRQ synonymous with novelty or inno vation as social achievement. In her introduction, Gillwald makes clear that ideas on the occurrence and functioning of social innovation remain vague (Gillwald 2000: 1). This multi-directional perception offers general characteristics of innovation that GXUDELOLW\EH\RQGWUHQGV distinguish innovation from change (Gillwald 2000: 41) (see Figure 49). While her defi nition of innovation is in line with that of Rammert, she develops a very detailed and tangible representation of social innovation (Gillwald 2000: 1). Although ‘Konzepte sozialer I nnovation’ (Gillwald 2000) does not strive to develop VRFLHWDOFRQVHTXHQFHVWRIXWXUHVRFLHWDOGHYHORSPHQW a theory, the description of innovation establishes categories that can be used to analyse institutional innovation. Gillwald desc ribes several dimensions of innova- Figure 49: Characteristics of social innovation [Illustration Pätsch based on Gillwald 2000: 41] tion for the comprehensive c apturing of innovation (Gillwald 2000: 43): • social area/fi eld of belonging, • orientation, • patterns of organising, • precursors and distinctions to them, • societal benefi t differentiated by benefi ciaries (stakeholders), • grade and dynamics of distribution, • depth due to basic innovation or potential innovation, • effects on direction of societal change, • changes to resources in terms of introduction and spread, • stakeholders, the roles of stakeholders and their motives, • durability, • in case: diversifi cation and disruptive innovation, and • relation to technical innovation. Despite giving a comprehensive description, Gillwald is also precise with regard to the normative dimension. While calling for the application of innovation to society, Gillwald draws attention to functional and quality characteristics of potential innovation which, according to her, makes up the normative dimension of innovation (Gillwald 2000: 42).

92 Analysing institutional innovation

6.1.3 Comparative research concept Although Healey does n ot talk about a normative perception, she does integrate Despite methodological limitations, the work of Healey et al. addresses a coherent the normative dimension of innovation through the term ‘agency’, which is rooted in fi eld of interest. Although Healey et al.’s work consists of a case study method- institutional approaches to social analysis (Healey et al. 1997: 22). ‘Agency’ implies ology, the approach is used in the research as a concept. This approach even an appreciation of new policies similar to the positive normative assessment by serves as the basis for the conceptualisation in the analysis in this dissertation. agents. Although the normative dimension of Healey, et al. does not help assess This is justifi ed by the comparative character of the case study and its claim of the Kigali case, its existence stresses the impo rtance of the normative dimension. describing institutional innovation. While the authors focus on a specifi c type of urban planning, namely strategic planning, which is not congruent to the case, the SURFHVV JHQHUDWLRQ V\VWHP employed components provide necessary categories of institutional innovation in RISROLF\ DQG urban planning (see Figure 50). DJHQGDV IRUFHV The study ‘Making strategic spatial plans. Innovations in Europe’ by Healey et al. (1997) analyses the consequences of the shift in planning approaches to the urban planning framework. The authors ‘explore the processes, contents and forms of institutional policy methods action of strategic spatial plan-making practice in urban regions’ (Healey et al. 1997: 16) and action of ideas and and actors to analyse planning practice of strategic planning for the ‘understanding of planning plan content techniques change systems and practises at several levels’ (Healey et al. 1997: 17). The aim of the making things authors is, amongst others, to ‘suggest a way of conceptualizing spatial plan-making exercises as [a] process of institutional redesign’ (Healey et al. 1997: 17). Figure 50: Components of institutional transformation [Illustration Pätsch based on The study of Healey, Khakee et al. ad dresses the implications of strategic planning Healey et al. 1997: 23–24] in Europe, offering precise insight into institutional innovation in strategic planning. Due to the new character and requirements of strategic plans, the authors antic- ipate strategic planmaking as a social process that demands the redesigning of traditional institutional resources (Healey et al. 1997: 4-6). Healey et al. engage with institutional innovation by attempting to reveal how ‘spatial strategies are made and translated into plans and projects’ (Healey et al. 1997: 3). Healey, Khakee et al. access institutional i nnovation via stakeholder behaviour and power relations (Healey et al. 1997: 21). The components of institutional transformation show the change in perception of institutions r egarding urban planning approaches, while including both the action of plan development and plan performance. They open up th ree arenas that are part of the independent variables of institutional innovation (Healey et al. 1997: 24, 35): • ‘new actors, alliances and networks were involved in the articulation of […] policies’ (Healey et al. 1997: 24), • new arenas for policy articulation, • new ways of thinking about strategies, policy issues and policy too ls, • their articulation and mobilisation and • their translation into action (mentality, culture).’

93 Analysing institutional innovation

6.2 Operationalisation of institutional innovation for urban planning Previous considerations showed that innovation is symbolised by its relation to This chapter explains the target-orientated operationalisation of institutional other innovation, internal characteristics (description), the framework system and innovation that forms the analytical framework and the framework of assessment a normative perception. for the Kigali case. The ope rationalisation develops an analytical scheme to answer This study, therefore, uses the operational dimensions (see Figure 51): the sub-questions of the research: What are the fi elds of institutional innovation • delimitation, in Kigali? How can institutional innovation be assessed in light of the challenges • a descriptive dimension, facing Kigali’s institutional system? How is institutional innovation supported or • a normative dimension and hindered by Kigali’s framework system? • a framework system. The operationalisation is derived from the concepts of (Rammert 2010), (Gillwald The descriptive dimension results in potential innovation, which is the suffi cient 2000) and (Healey et al. 1997) with the objective of observing the Kigali case.212 element in identifying innovation. After the normative discussion, which is the First, the combination of concepts offers a comprehensive picture of institutional necessary condition, relevant innovation can be identifi ed. innovation in Kigali. Second, it correlates with the crosscutting character of ur ban planning. The op erationalisation, therefore, allows for the application of the most relevant dimensions of institutional innovation in urban planning, at least in the case of a master plan.

212 The internal coherence of each concept does not imply that all elements are suitable for the operationalisation.

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Figure 51: Analytical scheme of institutional innovation [Illustration Pätsch]

94 Analysing institutional innovation

6.2.1 The delimitation either new or in changed composition are also represented in this category. This category results from the necessity to capture and demarcate the phenomenon. The category of ‘new channels of articulation’ deal with specifi ed actions of the The elements that are part of this dimension are interlinked and overlapping in their testi- stakeholders regarding communication. This includes acting of the institutions as mony. Innovation is not an unpaired phenomenon but is instead a part of the phenom- well as the use of media. A fi gurative category of the ‘patterns of acting’ is the enon of innovation in neighbouring areas of society (Rammert 2010). Delimitation category of ‘instruments’. This category says something about urban instruments allows for the analysis of innovation to identify the borders of the phenomenon. that are newly applied. The instruments do not have to have been applied previ- The demarcation includes the relation of the phenomenon to technical innovation, ously, because they are induced by the Detailed Master Plan. because social innovation requires and causes technical innova tion in both direc- The most important parameter to describe innovation is the change in resources tions (Gillwald 2000). or resource combinations. It describes the change beyond routines, which shows Another aspect of this delimitation is the identifi cation of the broad content the effectiveness of the institutional innovation. By focussing on new processes, of innovation that marks the innovation fi eld and categorises e.g. social or questions related to new stakeholders or a changed role of existing stakeholders institutional innovation (Gillwald 2000); (Healey et al. 1997). The societal are addressed. fi el d of belonging of innovation is linked to the orientation of the innova- The establishment of a change in everyday acting in urban planning performance tion (Gillwald 2000). Even if institutional innovation is addressed in this case, is a condition shown by durability. My research understands ‘durability’ as the urban, business, social, political, and economic issues can be involved. long-term acting in urban planning performance. A major challenge of delimiting the innovation process is the delimitation of time. The categories of Healey et al. (1997) and the objective dimension of Rammert While the absolute values of time and perception do not have an academic basis, (2010) form the elements of the descriptive operationalisation. In addition, the they are fundamental to the academic characterisation, which makes a differ- descriptive categories (patterns of organising) of Gillwald (2000) are integrated ence in innovation with regard to change and reform. The identifi cation of the into the sub-categories of the operationalis ation. Due to the character of urban precursor and the distinction to it, therefore, specifi es the time relatively. planning, the d escripti ve dimension of institutional innovation in urban planning The delimitation of institutional innovation in the case study uses the following focuses on the categories: (1) stakeholders and networks, (2) new channel s of questions: What is the social fi eld of belonging of the innovation? What is its orien- arti culation and (3) instruments. tation? Is the innovation a creation or an evolution? Where does the innovation The descriptive dimension assesses the change in resources and durability by start and end? asking how it worked before and how it works today. This dimension of innovation results in potential institutional innovation. It fulfi ls conditions of institutional innova- 6.2.2 The descriptive dimension tion but is not yet innovation. The descriptive dimension is an independent variable of the innovation. Unlike the delimitation dimension, the description variable has no interconnections with 6.2.3 The normative dimension other innovation phenomena and can be characterised as self-reliant. The descrip- The normative dimension assesses the performance (normative evaluation) of the tive dimension characterises innovation precisely and opens the focal point. The innovation (Rammert 2010: 40). An innovation is always normatively assessed social dimension of Rammert forms the suffi cient condition of the innovation in (Rammert 2010: 32), because changes can be positive or negative depending on pragmatic, grammatical and semantic dimensions (Rammert 2010), because the the point of view. In addition, the evaluation of an innovation depends on the date establishment of innovation goes hand-in-hand with the establishment of elements of assessment, because an innovation once perceived positively can be perceived of innovation in e.g. everyday acting and linguistics (see Rammert ‘grammatical’ and assessed negatively in later years. The unfamiliar character of innovation has shaping). to prove peaceful, integrable and reliable (Ibdn: 33). The normative dimension of The category of ‘stakeholders and networks’ shows new s takeholders or exist- innovation is, therefore, dependent, which affects the capacity to show a more ing stakeholders with new objectives. Due to the institutionalist approach, these diversifi ed picture. stakeholders are institutions and social groups rather than individual persons The normative assessment builds on the framework system and the objectives and their activities. Stakeholder constellations and formal or informal networks of urban planning (here: steering of urban function s) that make it relative. The

95 Analysing institutional innovation

assessment has to prove that the innovation contains fundamental objectives and of problems—leading, in turn, to improved urban steering—or whether it causes processual changes and not merely optimisations of routines (Kaltenbrunner 2015: problems in some areas. The crosscutting character of urban planning makes it 164). diffi cult to identify the grade of innovation. My research does, however, identify While this dimension has the potential to address wider societal consequences nuances of institutional innovation by assessing the durability, negative impacts and long-term adoptions in the public sphere, my research evaluates the perfor- and reaction to challenges. mance of the potential innovation in the short-term. The normative dimension of 6.2.4 The framework system the Kigali case is discussed positively. The assumption is that the potential institutional innovation has to address the challenges for it become relevant institutional The framework system is a generic part of the appearance of the innovation, innovation (see Figure 52). If the potential institutional innovation fails to address because it makes innovation visible. It complies with the fi eld of belonging and the challenges or even worsens the situation, it is not considered a relevant insti- lays out the rules for innovation (Rammert 2010: 39) that are also used for the tutional innovation. normative perception. The ‘framework conditions’ are discussed in the literature by using a variety of terms. Rammert addresses the framework conditions with the 1RUPDWLYLW\ term ‘innovation regime’ (Rammert 2010: 38). It is also often referred to with the 'RHVWKHSRWHQWLDOLQQRYDWLRQUHVSRQGWRWKH term ‘innovation system’, which helps to distinguish innovation by its integration FKDOOHQJHVRIWKHLQVWLWXWLRQDOV\VWHPLQ.LJDOL" into society and its structure of societal arrangement. $UHWKHUHQHJDWLYHLQWHUDFWLRQV" The compilation of framework conditions of institutional innovation in this case combines the elements named by Gillwald (2000: 24-25) and the context of Healey et al. (1997: 35). The territorial context is referred to and detailed in the observation 5HOHYDQW 3RWHQWLDO of the Kigali case. LQVWLWXWLRQDOLQQRYDWLRQV LQVWLWXWLRQDOLQQRYDWLRQV The focus of this observation calls for a dedicated reference system of innova- LQ.LJDOL LQ.LJDOL tion—urban planning, in this case. The nature o f urban planning establishes impo rtant cornerst ones of observation. The framework conditions of institutional innovation are, fi rst, the institutional system and, second, cultural aspects. 7UDQVIRUPDWLRQRIWKH The institutional system combines the political system with the urban SODQQLQJDFWLRQ 'HWDLOHG0DVWHU3ODQ planning system. According to Casper and van Waarden, ‘Nationally specific structures of organisations and institutions may make the difference’ in the Figure 52: Working scheme of the normative dimension [Illustration Pätsch] innovativeness of countries (Casper and van Waarden 2005: 7). The cultural system combines cultural values, work organisation and everyday The impact shows whether the potential institutional innovation interacts with the routines as well as the population and employment structures of Kigali (see chapter framework system and related potential institutional innovation. These interactions 3.3.3). Common values make a difference in innovation (Schröder et al. 2011: 31). determine the capacity to diminish the impact of the change, hindering the trans- Despite their equal importance, the framework elements have both the potential to formation towards relevant institutional innovation. Parallel to the positive implica- support or to hinder institutional innovation, e.g. openness clearly supports innovations, innovation can also negatively impact related fi elds. My research, thus, looks tion, whereas preservation hinders it. for the actual impact of potential institutional innovation to evaluate any negative impact and interactions. The discussion of the normative dimension reveals relevant institutional innovation. It assesses the potential innovation by checking whether it addresses the challenges of the institutional system in Kigali and by looking at its impact. There- fore, the normative dimension shows whether the changes lead to the solving

96 Analysing institutional innovation

6.3 Interim conclusion – analysing institutional innovation My research applies three concepts of innovation in order to develop a case adapted to the operationalisation of the analysis: the concept of (Rammert 2010) helps specify the referential elements, the concepts of (Gillwald 2000) offer a completeness of indicators and (Healey et al. 1997) provides the urban planning dimension. The operationalisation and, therefore, capturing of innovation processes starts with the del imitation of the phenomenon. Apart from the social fi eld of belonging, delimiting technical innovation is a central concern in this fi eld. The second step is the descriptive dimension, which aims at a detailed description of the change. The change is captured in the categories of (1) stakeholders and networks, (2) new channels of articulation, and (3) instruments. These descriptive dimensions result in potential institutional innovation. The normative dimension addresses relevant innovation, because it determines whether the innovation makes sense. In the third dimension, normativity is discussed against the background of the reaction to urban challenges. The fourth and fi nal dimension is the framework system, which determines the appearance of innovation. In the case of urban planning, the framework system is formed by the institutional system and culture. The totality of the four dimensions forms relevant institutional innovation.

97 Potential institutional innovations and planning diffusion in Kigali

7 Potential institutional innovations and planning diffusion in 7.1 The delimitation of institutional innovation Kigali The fi eld of belonging This chapter analyses institutional innovation and describes the delimitation The social fi eld of innovation is the performance of urban planning, the inter- and potential institutional innovations resulting from the implementation of play between institutions and stakeholders as a central condition for institution- the Detailed Master Plans. Until the new starts can be described, it will remain al innovation (Schwarz et al. 2010: 172). My research focusses on stakeholders an untagged area (Rammert 2010: 32). Chapter 7, therefore, answers the and networks, arenas of articulation, and instruments in Kigali and observes from fi rst sub-question: ‘What are the fi elds of institutional innovation in Kigali?’ a micro-perspective. The broad content of the institutional innovation, therefore, It addresses various aspects: Chapter 7.1 delimits the phenomenon, while chapter corresponds to the formal and informal activities o f Detailed Master Plan imple- 7.2 captures the breadth of potential innovations. Chapter 7. 3 examines wheth- mentation in Kigali. er potential innovations results from planning diffusion. The spatial distribution of The direction of institutional innovation the master plan projects (chapter 7.4) examines whether projects in the Detailed Master Plan are being pursued in Kigali. In the intermediate conclusion, the results Institutional innovation has to address the facilitation of planning action, because of the fi rst step of innovation and the fi ndings of potential innovation and planning the urban planning implementation is a challenge facing Kigali (see chapter diffusion are discussed. 4.3). It provides the framework for key activities and is the starting point for additional activities. The Detailed Master Plan is an instrument that guides governmental stakeholders on how to implement urban strategies: ‘to be able to know that we are investing infrastructure strategically in an area that will require or will benefi t from that infrastructure.’ (i-head of OSC 2014b: 7). The precursor of institutional innovations is urban planning efforts prior to the Detailed Master Plan, the KCMP and all the efforts to tender the Detailed Master Plan. Mandating the Detailed Master Plans is the starting point of institutional innovation. In addition, the precursor of the urban planning approach is, so to speak, the non-existence of urban steering.

The relation to technical and social innovation phenomena Innovation is embedded in other innovation phenomena with various roots, stimuli and characteristics. In the sense of Gillwald (2000), my research identi- ﬁ es evidence of ramping-up technical innovation to institutional innovation and embedding institutional innovation into potential social innovation phenomena. Rammert (2010) points out that technical and social innovation do not emerge singularly but requi re each other. In this sense, the Detailed Master Plan, which uses technical-based planning methods, brings about technical innovation. While GIS techniques, WebGIS and online permitting are est ablished practices in urban planning, they are new to Kigali. Furthermore, institutional innovation is combined with social innovation in parallel and in the long-run. An immediate consequence of the Detailed Master Plan is a change in the transparency of urban steering. In addition, in line with the Detailed Master Plan, related policies and, e.g., housing schemes will be developed. These have the capacity to lead to societal change

98 Potential institutional innovations and planning diffusion in Kigali

and maybe to social innovation if the housing schemes grant access to public housing to more social groups. 6WDNHKROGHUVDQGQHWZRUNV ([SODQDWLRQ

The delimitation of time 7HFKQLFDODGYLFHEH\RQGDGRSWLRQ ,QWHUQDWLRQDOH[SHUWRI6XUEDQDVXSSRUWV The category of time is substantially shown by the change. The absolute time is RIWKH'HWDLOHG0DVWHU3ODQ WKHSHUIRUPDQFHSURFHVVRIWKH'HWDLOHG based on the empirical observation of the empirical research period of 2008-2016, 0DVWHU3ODQ although the institutional innovation process most likely lasts longer. The develop- &R.5'%FRRSHUDWLRQ VWUDWHJLFDOOLDQFHIRUHVWDEOLVKPHQWRI ment process of the Detailed Master Plan started in 2011 with the tendering of the 26&DQGVHWXSRISURMHFWV Detailed Master Plans. The end of the institutional innovation process will most likely coincide with that of the Detailed Master Plan. The Detailed Master Plan ,QIRUPDOFRRSHUDWLRQ ZRUNSODFHPHQWEHWZHHQLQVWLWXWLRQV includes short-term, medium-term and long-term phases (City of Kigali 2013b: xii). LQIRUPDOQHWZRUNV Although the implementation is being pushed forward very rapidly (i-independent architect 2014a: 8), it will likely take a couple of years. 26&RIWKH&LW\RI.LJDOL VHWXSRIGHSDUWPHQWZLWKFKDQJHG REMHFWLYHLQ 7.2 Description of potential institutional innovations 26&RIWKH'LVWULFWV VHWXSRIGHSDUWPHQWLQ Innovations are identifi ed by matching defi nitions of the Detailed Master Plan with actions on the ground as well as by carefully observing implementation activities (see chapter 2.2.3). The following addresses changes (empirical fi ndings) to 1HZFKDQQHOVRIDUWLFXODWLRQ ([SODQDWLRQ the urban planning approach in Kigali. The description is based on Healey et al. (1997) and is congruent with patterns of organising (Gillwald 2000). The descrip- ,QIRUPDWLRQVWUDWHJLHV DUWLFXODWLRQRIWKH'HWDLOHG0DVWHU3ODQ tive dimension aims at revealing the appearance and the operation mechanism of E\QHZPHGLD potential innovation. The condition of durability is also refl ected in the descriptive dimension. Although pot ential innovat ion amounts to changes in everyday acting &XVWRPHUIRFXVVHGDSSURDFK IRFXVVHGGLUHFWLRQRIDFWLRQRIWKH and in rou tines, it is not yet innovation. DGPLQLVWUDWLRQ 213 The descriptive dimension addresses the following categories : 7LPHEDVHGDSSURDFK WLPHVWDQGDUGVIRUGHYHORSPHQW • Stakeholders and networks: This category includes a description of new SHUPLVVLRQ stakeholders and changed objectives of existing stakeholders. New cooperations and networks as well as changes within existing networks are described. ,QVWUXPHQWV ([SODQDWLRQ • New channels of articulation cover communicating urban planning while 0HWKRGRORJ\RIWKH'HWDLOHG VFRSHRIGHILQLWLRQVRIWKH'HWDLOHG showing the changed objectives regarding communication. 0DVWHU3ODQ 0DVWHU3ODQ • The category of instruments covers new instruments or strategies of implementation. The methodology of the Detailed Master Plan is also analysed, $GGLWLRQDOODZVSODQVDQG GHYHORSPHQWRIDGGLWLRQDOSODQQLQJ because the Detailed Master Plan itself acts as an instrument. VWUDWHJLHV GRFXPHQWV My research identifi es 12 potential institutional innovations (see Figure 53). 5HGLVWULEXWLRQRIGHYHORS VKLIWRIUHVSRQVLELOLW\IURP'LVWULFWWR PHQWFRQWURO &LW\OHYHO 213 The categories are based on Healey, Khakee et al (1997) and are adapted to the case. 1HZSURFHGXUHV XQLILHGDGPLQLVWUDWLYHVWHSVIRUDFWLQJ

Figure 53: Potential institutional innovation [Illustration Pätsch]

99 Potential institutional innovations and planning diffusion in Kigali

7.2.1 Stakeholders and networks importance, because attracting international capital has long been an objective of the government of Rwanda. The effort also fulfi ls the second condition of being a Technical advice beyond the adoption of the Detailed Master Plan potential innovation: the changed input of resources. The technical advice of Singaporean consultants has a special position in Due to the strategic interest of the government in private-public cooperations, the Detailed Master Plans. While consultancy is not new in the administra- durability is high. The cooperation between the CoK and the RDB is permanent, tion, the clear path to implementing the Deta iled Master Plan is. In addition to ensuring durability. the Surbana team, which traveled to Rwanda every three weeks (i-master plan team 2014a: 6), a Surbana consultant worked in the One Stop Center of the Informal cooperation City of Kigali214 after the plans were adopted. He worked on an annual basis Notwithstanding a lack of formal working groups, there are informal institutional and a renewable contract through August/September 2014. He had a variety cooperations that are crucial to implementing the Detailed Master Plan. The opera- of work objectives, e.g. training sessions (i-master plan team 2014a: 2). tion exists in two fi elds. First, there are work placements from other institutions Although consultants have always developed master plans, providing techni- in the One Stop Center of the City of Kigali and vice versa for coordination. In cal advice after a plan’s adoption is a clear departure from previous work plans. case no one is directly placed in the department, counterparts are involved in all Ongoing advising minimises the risk of failed implementation due to inadequate coordination: ‘With regards to other agencies, for example, civil aviation authori- human capacity. The extended cooperation enables the consolidation of defi nitions ty, RDB, REMA, we have even people placed internally within One Stop Center. and processes and stimulates administrative procedures. Thus, the condition of Energy, Water and Sanitation Authority (EWSA) we have somebody placed here changed resource input is fulfi lled, allowing for potential institutional innovation. so whenever we need an updating of what is going on, we have a direct link in While this advising is short-term, the condition of durability is inherent. The advice all these institutions’ (i-head of OSC 2014b: 6). Although work cooperations had secured the immediate functioning of the plan but does not cover long-term existed before the Detailed Master Plan, there were rarely any work placements. adaptation and updating. Although the advice of Surbana consultants launched Cooperation has, thus, intensifi ed, due in part to the extent of urban projects. new procedures (see chapter 7.2.3 new procedures), these procedures do not Second, employees connect independently. International experts deem informal cover all relevant fi elds of performance. The advice did not suffi ciently establish networks necessary for fulfi lling work objectives. There has to be a ‘clear […] inter- administrative procedures. face’ (i-Affordable Housing Unit 2014: 7), because the knowledge of the plan only exists in the OSC of the City of Kigali. These connections are important to reach CoK-RDB cooperation the work objectives (Ibdn: 3). The relation between the One Stop Center of the City of Kigali and the Rwandan Thus, work placements and informal cooperation are a potential innova- Development Board (RDB) is close and intensifi ed during the development of the tion. The extended cooperation happens due to a change of resources. Detailed Master Plan for Nyarugenge and the CBD. The Rwandan Development It is likely that the informal cooperations are durable, because the complexity of Board supported the City of Kigali in setting up a One Stop Center. In 2010, a urban defi nitions made it inevitable. Therefore, the two conditions of being a poten- representative from the RDB worked with the OSC for three months, advising and tial innovation are fulfi lled. identifying premises and infrastructure (i-Rwanda Development Board 2014: 1-2). The original plan to put the One Stop Center under the auspicies of the RDB was New institutions not followed, because the work of the urban planning department is highly directed The restructuring of the administration substantially changed the institution- towards urban planning. During the implementation of the Detailed Master Plan, al system of Kigali. The urban planning department in the City of Kigali and cooperations set up and promoted projects, e.g. key catalytic projects. While the the land offi ces in the Districts were replaced by the One Stop Center (OSC) government promoted key catalytic projects, e.g. the Convention Center, it also of the City of Kigali (2010) and at the District level (2012). In addition, the sets up cooperations with private stakeholders, e.g. the Gahanga airport project Rwanda Housing Authority (established 2010) was created at the national level (Rwandan Development Board 2014: 2). Cooperation between the urban planning to deal with housing issues. The RHA is a completely new agency and, there- administration and business promotion agencies is a new alliance of strategic fore, a new stakeholder in Kigali’s institutional system. At the time of observation, the RHA did not deal with housing issues in Kigali, although it is part 214 The same consultant was based in the City of Kigali during the development of the plan.

100 Potential institutional innovations and planning diffusion in Kigali

of their mandate. The activity of the RHA was not observed, because the RHA regard to project approval and inspection. Some units, e.g. the Doing Business does not have a large impact on implementing of the Detailed Master Plan. Unit, reﬂ ect the objective of the department and the change in urban planning Although the new institutions were created ahead of the adoption of the Detailed objectives (see Figure 54). Master Plan, the transformations happened while Surbana was developing the The changed internal structure goes hand-in-hand with the change in staff at the ‘City Sub-Areas Planning Project’. department. From 2009-2014, the number of people working in the department One Stop Center of the City of Kigali rose by 254%. While the number of international experts has increased constantly, the number of local staff has not risen at the same rate. (see Table 1). The administrative unit of OSC of the City of Kigali is tasked with improving service Operating challenges, nonetheless, remain. Although the number of staff required delivery. The OSC merges the services of several institutions to facilitate access was met in most cases, operational action did not follow requirements, because to development permits for private property owners (i-head of OSC 2014a: 4) in a the capacity of the staff failed to meet demand. The GIS + Master Plan Imple- single location. They offer a single contact point for investors to get all necessary mentation unit operated in 2014 and gathered the land consolidation unit (i-head information and approvals for urban projects related to land use and construction. of OSC 2014a: 3). The affordable housing team consisted of only a single inter- The OSC ‘improve[d] our service delivery, [...] […] a department that is governed national expert and one or two Rwandan planners, with the international expert by a speciﬁ c client charter. […], almost a private sector entity […]’ (i-head of OSC being the only one with experience. The recruitment of ‘international experts’ is 2014a: 4). The One Stop Center groups services provided by other government planned (i-head of OSC 2014a: 3). In addition, an urban design team215 was being entities like the RDB for environmental assessment and energy or EWSA for water prepared in 2014. The sub-unit was expected to extend the Detailed Master Plans and electricity. The objective of the OSC is, therefore, to ‘manage the planning’ to upcoming strategic areas, because design is seen as a principle for other areas (i-master plan team 2014a: 2), which extends the activities of the former land-use (i-Construction Permit Unit 2014:1). Capacity building by the international experts, management and GIS department. therefore, focussed on the training of urban design schemes (i-Construction Permit The OSC operates with a more detailed internal structure than the ‘Land Use Unit 2014: 1). Management and GIS Department’. Although the tasks did not change tremendously, the managing objective and project scope and number of projects required 215 The team does not deal with areas already covered by the master plan. specialisation in internal organisation. Furthermore, the OSC is more directed with

5HYLHZ7HDP $IIRUGDEOH+RXVLQJ ,QVSHFWLRQ7HDP international >+HDGRI*URXS@ 7HDP>@ >+HDGRI*URXS@ Year Land Use Management and GIS experts 2008 no record 2009 11 2 'RLQJ%XVLQHVV *,60DVWHU3ODQ /DQG&RQVROLGDWLRQ Construction and Urban Planning One Stop &OLHQW&KDUWHU ,PSOHPHQWDWLRQ>@ ([SURSULDWLRQDQG Center &RPSOLDQFH>@ /DQG'LVSXWH 0DQDJHPHQW>@ 2010 11 2011 18 2012 20 3 $GPLQLVWUDWLYH$VVLVWDQW>@ 2013 22 &RQVWUXFWLRQDQG8UEDQ3ODQQLQJ +HDGRI'HSDUWPHQW>@ 2014 28 (target 31) 4 2QH6WRS&HQWHU&LW\RI.LJDOL Table 1: Staff in the urban planning department of the City of Kigali [Illustration Pätsch based Figure 54: Units and existing number of staff in the One Stop Center [Illustration Pätsch based on i-head of OSC 2014b] on City of Kigali 2014 (unpublished)]

101 Potential institutional innovations and planning diffusion in Kigali

One Stop Centers of the Districts predicts low durability for the future. The advice of the Implementation Report One Stop Centers have been established at the District level with a lag and indicates the establishment of a Kigali Urban Development Department, which reduced effort. The Districts had previously operated through weak and uncoor- combines infrastructure and urban planning (City of Kigali 2013c: 38). Furthermore, dinated management and oversight, a lack of specialisation and high staff turno- the recent approach to the institutional system showed that frequent restructuring ver. The OSC, thus, has to operate with one coordinator and specialised units for is common. In addition, internal durability of the new institutions is low because land management, construction permitting, inspection and infrastructure (Minis- of frequent staff alternation and constantly changing institutions, which creates try of Local Government 2012a). The District employees are to deliver a more unbalanced structures. Durability in this category is, therefore, inherent because competent service than before (i-OSC Nyarugenge District 2014b: 1). Although the institutions and networks are changing out of necessity in Kigali. equipment of qualifi ed personnel is still weak, the numbers in Table 2 showthat the 7.2.2 New channels of articulation target number of staff were nearly fulfi lled in all Districts in 2014. It is noteworthy that efforts to restructure Gasabo District216 are great (a 100% increase in staff), Information strategies because the main portion of constructible land is situated there (see Table 2). The Detailed Master Plan is articulated via new media, e.g. the internet and Institutions at the City of Kigali and District levels are being transformed in order to television, which were not used previously. Information on urban planning mainly coordinate urban planning activities and to facilitate the implementation of urban occurred as a result of umuganda217, in which community meetings distributed projects. New institutions are the new arenas for policy articulation and institution- information to the umudugudu218. Informational fl yers are also used to provide al potential innovation in Kigali. The changed resource input becomes apparent information on the Development Control System reforms (see Figure 55). Infor- thanks to additional staffi ng in the OSC at both the City and District levels, which mation strategies are employed to inform and increase all stakeholder receptive- shows the increased resource input for urban issues in Kigali. The OSC of the ness to the Detailed Master Plan: ‘We had different communication strategies, City of Kigali and at the District level is potential institutional innovation. synchronization strategies that help people to understand the value and we tried The new institutions show durability, because they are established by a govern- people to understand that there is value in every land you may own’ (i-head of ment resolution/law. Although durability existed at the time of observation because OSC 2014a: 2). Information campaigns were, thus, employed for the land reform it is backed up by law, human capacity and increased competency, my research and for the Detailed Master Plan. The Detailed Master Plan was accompanied by a ‘communication plan’ in order to ‘ensure participation and feedback from the wider 216 In May 2014, there were large hiring campaigns for staff in the Gasabo district. public’ (City of Kigali 2013b: x). The informational campaigns address increasing awareness and knowledge of, e.g., land laws that have to be explained to people (i-consultant RNRA 2014). Year Nyarugenge District One Stop Center target In addition, WebGIS was promoted using a promotional video betweenApril and October 2013 (i-international expert OSC 2014: 1). This approach is an open and avant-garde 2014 10 8 + 4 (temporary) way of communicating in Kigali. It shows the changed resource input regarding stakeholder information. Information strategies are a potential institutional innovation. Year Gasabo District One Stop Center target Due to the fact that information strategies had been planned for a limited period of time, their durability is inherent. Long-term performance of information is not given. 2010 10 2014 20 (thereof 4 construction permitting, 7 land) 14 + 6 (temporary) Customer-focussed approach A customer-focussed approach makes clear the new objective of the administra- Year Kicukiro District One Stop Center target tion. The OSC at the City and District levels acts in accordance with a Client Charter that is ‘a tool to ensure better service delivery to its clients’ (City of Kigali n.d.: 1). 2014 15 (thereof 2 engineer, 1 land management) 14 + 6 temporary Table 2: Staff in the One Stop Centers of the Districts [Illustration Pätsch based on i-OSC 217 Homegrown community service initiative. For further explanation, see chapter 4.2.4. Nyarugenge District 2014b, i-OSC Gasabo District 2014, i-OSC Kicukiro District 2014] 218 Smallest administrative unit in the spatial structure of Rwanda. For further explanation, see Figure 15.

102 Potential institutional innovations and planning diffusion in Kigali

The Client Charter is the operative document for all administrative action. The OSC works with an open-door policy, which connects the work of the administration to the population: ‘to have a closer ear to the ground [...] we do […] get more people in the door that will tell you their stories’ (i-Afforda- ble Housing Unit 2014: 3). This accessibility changed service delivery. Part of the closer connection to the population is the mandatory pre-consultation phase of Development Control, which ensures that projects meet the requirements and that the right documents are delivered for the request. WebGIS and MIS219 simplify access for customers (see chapter 4.6.1) through diversifi ed communication and service available online. Furthermore, workshops are held to prepare architects in two ways: ‘one part is to use the system; another part is to do the project’ (i-Construction Permit Unit 2014: 1). The city also uses ‘interactive meetings with the public, individuals who owns land’ (i-head of OSC 2014b: 2) to advise them on developing their plot in accordance with the Detailed Master Plan. Communication with architects is, thus, improved and supports transparency of planning action in Kigali. The OSC communicates and cooperates more openly (i-independent architect 2014b: 1). The customer-focussed approach indicates a change in resources towards customers of urban planning, which makes it a potential innovation. The new objective is fi xed in the philosophy of the OSC (the Client Charter being the operative document of the OSC), which makes it durable. In addition, the long-term orientation of the customer-focussed approach is most likely due to relevant city offi cials having a vested interest in the implementation of the Detailed Master Plan, which demands a customer-focussed approach. Time-based approach New thinking becomes apparent through a time-based approach which becomes apparent through the amount of time it takes to obtain development permission (City of Kigali n.d.). Delivery is monitored and overseen by the imihigo system, which reports fulfi lment numbers. Development permits are issued within 30 days for building permits, occupation permits and land titles as well as within 15 days for deep plans220 and property contracts, authorisations fo renovation and changes of use (City of Kigali n.d.: 2). The amount of time it takes to issue a development permit for individual housing in the Districts is 10 days (i-OSC Kicukiro District 2014: 1). It, therefore, defi nes ‘the timeline within [which] we must offer a specifi c service which previously did not exist. [...] So we were saving ti me for investors or developers who wanted to use [it] to get construction clear- ance’ (i-head of OSC 2014a: 4). The change in resource input in this catego-

219 Information Management System. For further explanation, see chapter 4.6.1, ‘IV Zoning Plan Report’. 220 Deep plans show the geological situation of the site. Figure 55: Information Flyer on Construction Permit reform [City of Kigali 2015]

103 Potential institutional innovations and planning diffusion in Kigali

ry is very clear, because the administration’s changed approach towards ‘time’ plan, a landscape master plan, a capital improvement plan, and studies, e.g. requires different efforts. A time-based approach is a potential innovation. of institutional structure, which did not exist before. Through strategies, e.g. of The delivery was shortened in January 2015, with permits being further stream- wetland management or tourism development—which are recommended in the lined and delivered within 20 days (City of Kigali 2015: n.p.) (see Figure 55). Detailed Master Plan—the formerly reactive perception of urban planning became The construction permitting reforms also include reducing requirements neces- an active one. sary to obtain permission. Survey plans are no longer required and construc- Furthermore, the importance of land allocation and housing is highlighted in tion inspection has been reduced to foundation inspection (City of Kigali 2015: the Detailed Master Plan. Land allocation strategies for urban areas 223 provide n.p.). A time-based approach is, thus, a p otential institutional innovation. methods of acquiring land for, e.g., large infrastructure developments. The City of Durability existed, because the time-based approach is constantly changing. Two Kigali ‘want[s] to move away from expropriation [...] and so we right now try to fi gure attempts at time reduction have already been made. out exactly what different options [there] are’ (i-Affordable Housing Unit 2014: 4). This strategy is prioritised because of high expropriation costs. Despite the fact 7.2.3 Instruments that the leading institution for land consolidation is the Ministry of Infrastructure, Methodology of the Detailed Master Plan various actors from ‘local entities like the Districts, the sectors and the city’ (i-head of OSC 2014a: 2) come together to develop and implement these strategies. Although the Detailed Master Plan is the starting point of this research, the Detailed In addition to land allocation strategies, which were underway at the time of obser- Master Plan is also the subject of analysis. The scope and sharpness of detail vation, the affordable housing policy (‘National Housing Policy’ (Ministry of Infra- makes the plan a new instrument in the Rwandan planning system.221 Due to the structure 2015)) has also been adopted. This policy integrates investors and civil fact that the Detailed Master Plan is primarily a land-use master plan, the Devel- society stakeholders into the creation of affordable housing in Rwanda. Although a opment Control and Zoning regulations are captured in the category methodology. housing policy existed prior to the Detailed Master Plan, the update added ‘afforda- However, specifi c advice given in the plan, e.g. information strategies, is analysed bility’ as an objective. The policy, thus, became more comple x and was adapted separately. to the Rwandan situation. Additional laws, strategies and plans represent changed The plan provides a comprehensive Development Control System with a resource inputs, which makes them a potential innovation. spatial zoning plan for the entire city and zoning regulations for each District. During the development of the Detailed Master Plan, the institutional system The Development Control System that had been used before the plan was of Kigali transformed itself through additional laws, strategies and policies.224 less advanced in terms of combing spatial and written regulations (see Zoning Although these transformations are not mentioned in the Detailed Master Plan, Plan Report 4.6.1). The system has been diversifi ed through dedicated proce- the changes reinforce the urban planning system and add to the performance due dures for special cases. It is likely that the Development Control System to the added interconnections and complexity of the framework system. is durable, because it is operationalised and backed up by procedures. Four laws were established between 2011 and 2013. The ‘Law determining the Despite the constraints, the methodology and concision of the Detailed Master use and management of land in Rwanda’ (Republic of Rwanda 2013), e.g., refi ning Plan is a potential innovation. The comprehensive development control system is the management of land in Rwanda, which is important for the implementation of durable, because it contains zoning and development control regulations222 that the Detailed Master Plan, and the ‘Law governing urban planning and building in serve as the central urban steering instrument and its updating is planned. Rwanda’ (Republic of Rwanda 2012a), which defi nes urban operations, urban instru- Additional laws, plans and strategies ments and the institutional system. Both specify th e urban planning system and the The claim of ‘development according to the Detailed Master Plan’ requires decent framework conditions of the Detailed Master Plan. In addition, the Economic Devel- implementation procedures that go beyond the defi nitions of the Detailed Master opment and Poverty Reduction Strategy (EDPRS) and the ‘sector plan urbanisation’ Plan. The Master Plan Report and the Implementation Strategy propose the devel- were updated. Bot h stress the importance of urbanisation and private engagement opment of further plans in specifi c sectors, e.g. an industrial plan, a residential-use 223 Although land consolidation strategies are applied in rural areas to establish imidugudu, so far no strategy exists for the City of Kigali. 221 The 1983 Master Plan failed due to a lack of operationalisation (see chapter 4.4). 224 Weighing importance of the laws is not possible, because it is the system that is important. 222 They are established as law.

104 Potential institutional innovations and planning diffusion in Kigali

in urban development. The ‘National Land Use Master Plan’ (Republic of Rwanda 2011b) adds urban defi nitions at the national level and complements the Detailed Master Plan. In addition, the ‘National Decentralisation Policy’ (Ministry of Local Government 2012) institutionalises the decentralisation process in Rwanda. Since durability of individual laws existed because restructuring is common, the effort of Rwandan politicians towards urban issues leads to the assumption that durability of an increased numbers of laws, strategies and plan is inherent. Redis tribution of Development Control Restructuring the administration leads to duties of administrative entities being changed. Responsibilities and duties of the Districts shifted to the City of Kigali. This reform was conducted due to lower human capacity at the District level than in the City of Kigali (i-head of OSC 2014a: 5), a lack of specialisation, high staff turnover and poor service delivery. This measure indicates the increased importance of approving construction projects. Although the Districts are responsible for implementing urban planning, the Districts of Kigali have been restricted to handling development permits since 2012 (i-Minalog 2014a: 2) for individual housing only (i-head of OSC 2014a: 5-6). All commercial, industrial, institutional and public interest construction projects are handled at the city level. Furthermore, all housing projects above G+1 with over 15 units and 1,000 m2 (fl oor area) have to be approved by the City of Kigali (i-head of OSC 2014a: 5). After enforcing the human capacity of the Districts, the plan is to return the responsibilities to the Districts (i-head of OSC 2014a: 6; i-Minalog 2014a: 2). The redistribution of Development Control is a potential innovation, with the caveat that it is temporary, making durability inherent. New procedures Procedures that had not previously been institutionalised were established during the implementation of the Detailed Master Plan through unifi ed administrative steps. Institutionalisation became necessary due to the increasing number of projects and political pressure enabled by expediating the permitting process. First, the Surbana consultant worked out a planning procedural manual (i-master plan team 2014a: 7) for internal procedures. Development Control procedures communicated through the MIS were then established. The processes institutionalise urban planning activity in the administration, because they change the routine of ‘case based acting’ towards procedural action. The procedures become part of the Detailed Master Plan performance, which makes them durable. Although procedures are still needed for the performance of the plan, e.g. updating zoning, the established procedures changed the routine durably and are a potential institutional innovation.

105 Potential institutional innovations and planning diffusion in Kigali

7.3 Planning diffusion through the Detailed Master Plan 3RWHQWLDOLQVWLWXWLRQDO 3RWHQWLDO 3RWHQWLDO 3RWHQWLDO While the previous chapter presented potential innovations, this chapter discusses LQQRYDWLRQ LQQRYDWLRQE\ LQQRYDWLRQ LQQRYDWLRQ whether the potential innovations derive from planning diffusion.225 The analysis of GLUHFWWUDQVIHU E\LQGXFWLRQ GXHWRUHODWHG planning diffusion offers additional insight into the origins of potential innovation FKDQJH through the Detailed Master Plan. 6WDNHKROGHUVDQGQHWZRUNV Th e Development Control System, strategies and the approach of certain projects show the dialectic nature (supra-territorial and territorial) of urban planning diffu- 7HFKQLFDODGYLFHEH\RQG DGRSWLRQRIWKHPDVWHUSODQ sion. On the one hand, the instruments are supra-territorial, because they can be transferred to other countries, but on the other, the instruments are adopted to the institutional context and create spatial confi gurations that make them highly local &R.5'%FRRSHUDWLRQ and territorial. My research captures planning diffusion in the former, supra-territorial aspect of the instruments. ,QIRUPDOFRRSHUDWLRQ Although the content of the projects is not focussed (see chapter 2.2.3), my research identifi es some of these spatial projects, e.g. Wetland Park, the Bus Rapid Transport (BRT) line, the Special Economic Zone (SEZ), bringing urban 26&RIWKH&LW\RI.LJDOL projects to Kigali that are new in terms of function and content. Recreation parks like Wetland Park are typical urban functions in the Global North. The same applies 26&RIWKH'LVWULFWV to the BRT lines. This transport infrastructure system of urban agglomerations is used in big agglomerations in the Global South. Special Economic Zones (SEZ) 1HZFKDQQHOVRIDUWLFXODWLRQ contain special characteristics226 that have so far been typical for new town developments in Asia (Gotsch, Peterek 2002: 45). Wetland Park, the BRT line and the ,QIRUPDWLRQVWUDWHJLHV SEZ are, again, new to Kigali and are based on planning diffusion. If potential innovation is based on the Detailed Master Plan, then planning diffusion &XVWRPHUIRFXVVHG induces the ‘new’. Potential innovation through planning diffusion occurs in two DSSURDFK categories: (1) potential innovation transferred directly from the plan and (2) potential innovation induced by the plan. Diffusion through direct transfer encompasses 7LPHEDVHGDSSURDFK defi nitions, regulations and strategies of the Detailed Master Plan. Planning diffusion due to inducement appears if a change is a necessary requirement. Potential ,QVWUXPHQWV innovation not stemming from the Detailed Master Plan results from related chang- 0HWKRGRORJ\RIWKH es (see Planning Diffusion Check in chapter 2.2.3) 'HWDLOHG0DVWHU3ODQ The descriptive dimension (see chapter 7.2) revealed 12 potential innovations. A planning diffusion check shows 10 out of the 12 potential innovations were $GGLWLRQDOODZVSODQV either induced by or transferred from the Detailed Master Plan. Thus, most poten- DQGVWUDWHJLHV tial innovations stem from the Detailed Master Plan (see Figure 56). The most 5HGLVWULEXWLRQRI noteworthy is the distribution within planning diffusion phenomena, many of which GHYHORSPHQWFRQWURO 225 Institutional innovation can occur in both cases after planning diffuion or due to other changes. 226 The peripheral location, connection to modern industry and fiscal facilitation all apply to Kigali. 1HZSURFHGXUHV

Figure 56: Results of Planning Diffusion Check - Origin of institutional innovations [Illustration Pätsch]

106 Potential institutional innovations and planning diffusion in Kigali

were induced by Detailed Master Plan. Thus, most institutional innovations derived from the Detailed Master Plan are not transferred directly but rather interpreted ,PSOHPHQWDWLRQ 3RWHQWLDO 1HFHVVDU\ locally. DFFRUGLQJWR LQVWLWXWLRQDO FRQGLWLRQ GHILQLWLRQV LQQRYDWLRQE\ Potential innovation through direct transfer GLUHFWWUDQVIHU 'HYHORSPHQW 'XUDELOLW\ Three potential innovations were directly transferred from the plan. The ﬁ rst was &RQWURO ‘information strategies’, which are advised by the Detailed Master Plan (City of 6\VWHP 5HDFWLRQ Kigali 2013b: x)227 and were carried out as indicated. Information is obligatory, 'LVWULFW=RQLQJ 5HTXLUHG 3RWHQWLDO WRFKDOOHQJHV UHOHYDQW because formal urban development is new to Kigali. Stakeholder groups lack 3ODQ5HSRUW LPSOHPHQWDWLRQ LQVWLWXWLRQDO LQVWLWXWLRQDO VRXUFH&LW\ LQQRYDWLRQE\ knowledge of formal urban steering, and the Detailed Master Plan uses a new PHFKDQLVPV $FWXDOLPSDFW LQQRYDWLRQ RI.LJDOL LQGXFWLRQ methodology. E\ J SODQQLQJ Second, a ‘customer-focussed approach’, WebGIS and MIS, is directly mentioned *HRGDWDEDVH GLIIXVLRQ in the Master Plan Report (City of Kigali 2013b: ix) and is, therefore, planning :HE*,6 $GGLWLRQDO 3RWHQWLDO diffusion. LPSOHPHQWDWLRQ LQVWLWXWLRQDO Third, the ‘Methodology of the Detailed Master Plan’ is a potential innovation due to PHFKDQLVPV LQQRYDWLRQ planning diffusion.228 Although the Detailed Master Plan is precise only with regard GXHWR UHODWHG to future land use, it does advise having a comprehensive system of plans and FKDQJHV 1RU strategies. The methodology and t he systems of Development Control and Zoning PDWLYH Regulations in the Detailed Master Plan as well as the projects (see chapter 7.4) 1,GHQWLILFDWLRQ 45DVVHVV RIGHILQLWLRQV HPHQW 5HVXOW have been transferred directly from the Detailed Master Plan to planning practice229. A major element of the steering system, thus, goes back to the direct transfer from the Detailed Master Plan (see Figure 57). ,GHQWLILFDWLRQ Potential innovation by induction 2 &DWHJRULHVRI 3RISODQQLQJ PDWFKLQJ GLIIXVLRQ Seven potential innovations have been induced by requirements in the plan. The ‘technical advice beyond the Detailed Master Plan’ is one potential innova- Figure 57: Planning Diffusion Check of Development Control [Illustration Pätsch] tion induced by the Detailed Master Plan. The advice was necessary given the complexity of the plan, to address low human capacity and limited staff. While the e.g. the capital improvement plan or the Land Consolidation Strategy230. Although plan offers no advice for the time following adoption, this innovation was induced the concision of the advice varies, advising strategies are a fundamental aspect of based on the complexity of the plan. the Detailed Master Plan. My research assumes that advice regarding laws, plans The plan’s complexity also induces ‘informal cooperation’ amongst urban planning and strategies are eventually developed, meaning that they are induced. staff. The same applies to new procedures introduced due to the complexity of Although my research has no proof, it is most likely that restructuring the setup of the urban steering and the large amount of regulation. OSC is based on advice. The OSC of the City of Kigali was set up in 2010 as mandated The innovation of ‘additional laws, plans and strategies’ advised by the Detailed by the ‘Detailed Master Plan for Nyarugenge’231. Furthermore, the Detailed Master Master Plan ﬁ ts to the category of induction. Although some strategies are devel- Plan picks up on the the changes and advice for transformations already under oped in the Detailed Master Plan, e.g. Implementation Report, most are advised, way. The Detailed Master Plan advises restructuring the OSC (City of Kigali 2013c: 37), e.g. into a new ‘Urban Development Department’ and many sub-units such as 227 The Detailed Master Plan lays out ‘a communication plan, executed through various print, broadcasting & online media would ensure participation and feedback from the wider public’ (City of 230 Although the plans and strategies are based on planning diffusion, local adoption of the strategies is Kigali 2013b: x). influenced by the framework system of innovation. 228 The methodogical approach of the Detailed Master Plan is practised in several countries. 231 The Detailed Master Plan for Nyarugenge’ is the current basis of urban steering and, therefore, has 229 While zoning might be updated, how zones are defined will remain unchanged. the same status as the Detailed Master Plan.

107 Potential institutional innovations and planning diffusion in Kigali

urban design management (City of Kigali 2013c: 38). The changes are, therefore, part of the institutional innovation induced by the Detailed Physical Plans. Cooperation between the OSC and the RDB started in 2010 as mandated by the ‘Detailed Master Plan fo r Nyarugenge’. While there is no proof, it is likely Surbana advised this cooperation. Cooperation between the RDB and the CoK w as induced by the Detailed Master Plan, because the RDB is one of the agencies mentioned that has to be integrated for the sake of performance (City of Kigali 2013c: 43). Cooperation with the RDB, however, has no special status in the Detailed Master Plan, and is, therefore, grouped under ‘multi-agency effort’ (City of Kigali 2013c: 8) and was induced by the Detailed Master Plan. Potential innovation due to related changes Two innovations are explicitly not based on the Detailed Master Plan and, therefore, do not derive from planning diffusion. These potential innovations are, instead, based on the situation in Kigali that operates without advice from consultants. The ‘time-based’ approach results from the high pressure for rapid results in Rwanda. Although complying with timeframes is necessary in complex urban projects, the constant short timeframes are ambiguous and unique to Kigali. The ‘Redistribution of Development Control’ is part the government’s check on development and is not connected to the Detailed Master Plan.232 Although the Implementation Report takes up the competencies as an ‘existing implementation framework’ (City of Kigali 2013c: 4), the Detailed Master Plan does not advise on redistributing development control. Assigning this potential innovation to planning diffusion categories is sometimes ambiguous, because it is sometimes based on interpretation. This chapter, however, indicates a general trend: the Detailed Master Plan developed for Kigali has major potential for pl anning diffusion (10 out of 12 derive from planning diffusion), which is derived from the complexity of the Detailed Master Plan’s methodology.

232 There is no proof for the induction of this redistribution.

108 Potential institutional innovations and planning diffusion in Kigali

7.4 Spatial distribution of Detailed Master Plan projects the priorities236. Despite prioritising projects in the Detailed Master Plan, the City The Detailed District Physical Plans defi nes Development Control regula- of Kigali has put considerable effort into projects not part of the plan, e.g. a pedes- tion, future land use, and urban design areas (see chapter 4.6.2) and projects. trian street project in the inner city initiated in 2015 by the CoK and the University Although my research does not analyse the institutional innovation of the projects of Rwanda. (see chapter 2.2.3)233, their spatial distribution helps to understand innovation proc esses in Kigali. In addition, checking the status of a project offers informa- 236 Changing priorities is typical of the working culture (see chapter 4.2.5). tion on planning diffusion of projects in Kigali. Hence, the spatial distribution of the ‘urban design areas’ and ‘projects’ (see Figure 58) is explained below. My research focusses on projects of special importance and short-term projects (through 2017) being implemented by government institutions (see 2.2.3). The Detailed Master Plan proposes projects in its Implementation Strategy through ‘capital improvement projects’, ‘catalytic projects’, the ‘Nyarugenge District phasing plan’ (phases 1-3; 2010-2025) as well as through the ‘complete list of development projects’ for the entire city (phases 1-3, 2012-2040). Although nobody seems to have an overview of all projects in Kigali, my research tries to capture the progress of the projects. Out of 21 projects, 13 emerged from the Detailed Master Plan. These projects, therefore, predominantly derive from planning diffusion. It is likely that projects of importance to the government are amongst the projects in the fi rst phase.234 A minority of projects (8 out of 21) being implementing in 2016 preceded the Detailed Master Plan, but were integrated into the Detailed Master Plan. Most of the projects being implemented from the fi rst phase of the Detailed Master Plan are either being planned or being constructed. Only 4 (out of 21) projects have not progressed.235 The City of Kigali has, thus, implemented most projects as of 2016. All of the short-term projects are spread throughout the city, but there is a slight predominance in the inner city, which is probably due to the prioritising of short- term development in the city and its fringes (City of Kigali 2013c: xii). Projects aimed at restructuring the inner city include the ‘centre ville roundabout’ and the ‘CBD phase 1 project’. Both projects refl ect the ambitions to renew the city’s image with modern and Westernised urban structures and architecture. The durability of the projects in the Detailed Master Plan is ambiguous. The Detailed Master Plan is now less relev ant in the City of Kigali (i-international expert OSC 2015: 1; i-master plan team 2015: 1) for projects, because it has changed

233 Definitions at the project level have the capacity to be a potential innovation, because they transfer new functions and project approaches. 234 My research has no information on the initiators of the projects proposed in the Detailed Master Plan. 235 For one project, there is no information.

109 Potential institutional innovations and planning diffusion in Kigali

Status of projects in March 2016 1 CBD development phase 1 11 New STP in Gitkinyoni Expropriation and destruction in 2008; Detailed Design exists; 2008-2012 construc- Design is complete; land acquisition is in progress; start of construction end of tion of infrastructure (roads, streetlights, etc.). Private development on plots, e.g. 2016 RSSB Headquarter; 2 plots vacant 12 Kigali SEZ phase 2 2 Centre ville roundabout Phase 2 is 80% booked by investors Detailed design is approved; Development Control permit of buildings exists; 13 Nyamirambo – Nyabugogo – Ndera BRT demolition of building underway; start of construction end of 2016 Tender for detailed design is out 3 Nyabugogo transport hub and market redevelopment 14 Light industry Gahanga Concept completed; detailed design under development (funded by EU and World design completed in 12/2015; construction in progress Bank) 15 Redevelopment Gitega, Kimisagara 4 Kigali CBD wetland park Redevelopment area shifted to Agatare No progress 16 Upgrading of unplanned areas Kimironko, Kicukiro 5 Rugarama township No progress Project existed previous to the Detailed Master Plan as Akumunigo; expropriation 17 Imidugudu project in 2014; ﬁ rst phase of construction starts in May/June 2016 No information 6 Central prison 18 Nyarugenge heritage village Project completed, implementation in progress Relocation of people is in progress 7 Gahanga sport hub 19 Lake Muhazi phase 1 Criquet stadium under construction; detailed design for soccer stadium under Design completed, implementation in progress development 20 Pottery village 8 Airport boulevard No progress 80% of projects for redevelopment of the area is in progress 21 Kigali cultural village 9 Residential township Kanyinya Detailed design approved; start of construction end of 2016 Detailed design is approved; mobilizing of resources in progress 10 Ndera integrated township No progress

110 Potential institutional innovations and planning diffusion in Kigali

Figure 58: Spatial distribution and status of projects of the Detailed Master Plan [Illustration Pätsch, basemap City of Kigali 2005 (unpublished)]

111 Potential institutional innovations and planning diffusion in Kigali

7.5 Interim conclusion on potential institutional innovation communication correlates favourably with the grammatical dimension of Rammert The descriptive dimension revealed 12 potential innovations in the categories of (2010), because it indicates a change to institutional rules (customer addressi ng). stakeholders and networks, new channels of articulation and instruments. Instruments The Detailed Master Plan provides a vision that integrates several urban sectors, The methodology of the Detailed Master Plan, additional laws and strategies, redis- indicates necessary strategies and combines existing projects. The plan also tribution of development control, and new procedures are all potential institutional condenses urban projects, old projects as well as new ones (see chapter 7.4), innovations in the category of instruments. This category of potential institutional assigning the projects to phases. Such a comprehensive land-use plan is new to innovation results in a change in u rban pla nning operationalisation. The Detailed Kigali. While the managerial approach and the combination and prioritisation of Master Plan introduced new methods of urban planning to Kigali, while offering urban projects in urban planning are also new to Kigali, these have been applied comprehensive defi nitions and a compilation of projects. The plan also recom- in several other countries. The Detailed Master Plan, thus, advanced technical mends additional laws, strategies and plans. This comprehensive steering of urban planning to a higher level, because of the up-to-date representation of the plans. functions is new to Kigali and shows a changed resource input. The redistribution Stakeholders and networks of development control from the District level to the level of the City of Kigali shows the importance of construction permitting. New procedures became necessary to The technical advice beyond the Detailed Master Plan, CoK-RDB cooperation, deal with the Detailed Master Plan and to manage complex urban development informal cooperations, and new institutions (the OSC at the levels of the City of processes. The potential innovations in the category of instruments fi t well with Kigali and the District) are potential institutional innovations in the category of Mieg, who perceives institutional innovations as regulations or standards of proce- stakeholders and network. dures (Mieg 2013: 6). The shift in responsibilities indicates a new type of thinking Technical advice beyond the Detailed Master Plan improved the performance and fi ts well with Rammert (2010), who sees creative administrative activity and of the Detailed Master Plan, because several administrative procedures have innovative performance as indicators of institutional innovation. been developed. Cooperation with the CoK as well as the informal cooperations Although all 12 potential institutional innovations are based on changes to resourc- improved coordination of urban planning performance beyond routines. The OSC es, durability of these potential institutional innovations varies (see Figure 59). moved administrative activity in the direction of service delivery and customer While durability is a mandatory condition of institutional innovation, which is identi- orientation. This new activity correlates favourably with Motte, who defi nes institu- fi able thro ugh a lo ng-term orientation, durability can be inherent to the potential tional innovation as ‘the creation of new tools and new organisations’ that symbol- institutional innovation. ise changed sociospatial action (Motte 1997: 232). Only six of these potential institutional innovations are durable. Although six New channels of articulation changes237 do not constitute a long-term orientation, my research identifi es them Information strategies, a customer-focussed approach and a time-based approach as potential innovations. The durability of these changes is inherent, because are potential institutional innovations, because they changed the resource input their transformation or temporality is part of their nature. In addition, all potential in urban performance. Information campaigns diversifi ed the communication institutional innovations are worth discussing in the next step (relevant institutional of urban planning (policy articulation), because new media are being used. innovation). A customer-focussed approach indic ates that urban planning is perceived as a The range of potential innovations shows the diversity of transformation in the insti- service for customers. This focus shows the changed objective of the adminis- tutional system of Kigali, stressing the importance of ‘the urban’. The categories of tration. A time-based approach also represents a new objective: construction potential innovation also symbolise a shift towards urban management practice in permits being delivered within a short timeframe (time-based approach). Kigali: The changes in the planning system foster the application of various instru- The administration, thus, now behaves differently, which confi rms the assertion of ments and the management of stakeholders. Potential innovation covers fi elds Hage (2005) that new institutional behaviour amounts to innovation. The means that go beyond former urban planning approaches. Steering has become more of communication ranging from multimedia and web technologies to open-door comprehensive. policies show that communication is intentionally employed in Kigali. A change in 237 Two potential institutional innovations lack durability, because they are temporary.

112 Potential institutional innovations and planning diffusion in Kigali

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Figure 59: Durability of potential institutional innovation [Illustration Pätsch]

113 Potential institutional innovations and planning diffusion in Kigali

The totality of potential institutional innovations fulfi l the pragmatic dimension of Rammert, because the performance of urban planning in Kigali has changed. The potential innovations in the category of new channels of articulation also fulfi l the semantic dimension of Rammert. The performance of the Detailed Master Plan is being articulated through new channels. The grammatical dimension of Rammert is also fulfi lled by the totality of potential innovation, because the potential institutional innovations are discussed by Kigali urban experts. Planning diffusion Although most of the potential innovations can be traced back to planning diffusion, the majority of them were induced by the Detailed Master Plan. The potential institutional innovations induced by the Detailed Master Plan, e.g. additional plans and strategies, also induce local adoption. Three potential institutional innovations— information strategies, a customer-focussed approach and the methodology of the Detailed Master Plan, e.g. the Development Control System and zoning—result from direct transfer. Thus, a major instrument of urban steering practice in Kigali results from the direct transfer of planning diffusion to Kigali. Most of the projects in the fi rst phase are based on the Detailed Master Plan and, therefore, derive from planning diffusion. The spatial distribution of the Detailed Master Plan projects shows that most of these projects are in areas of strategic importance. The balance between potential innovation through planning diffusion and potential innovation not originating from planning diffusion depends on the instrument and its mechanism.238 My research stresses that detailed master plans do not necessarily induce potential innovation. It is likely that the higher the complexity and range of defi nitions of the master plan, the higher the range of potential innovation and planning diffusion.

238 Potential innovations induced by the Detailed Master Plan and potential innovations due to related changes could have taken place without the Detailed Master Plan. Thus, 9 (out of 12) potential institutional innovations are ultimately not based on the Detailed Master Plan. It is likely, however, that the Detailed Master Plan is necessary to induce comprehensive change.

114 Potential institutional innovations and planning diffusion in Kigali

115 Relevant institutional innovations in Kigali

8 Relevant institutional innovations in Kigali 8.1 The normative assessment of institutional innovations Although innovations are refl exive and break with way things are (Rammert 2010: The eighth chapter deals with the normative discussion of all potential innovations. The 39), breaking with routine is not a suffi cient condition for innovation. A potential normative discussion is the last step in identifying institutional innovations. It reveals innovation has to make ‘sense’ in the framework system (Rammert 2010: 38) to whether institutional innovation indeed occurred in Kigali. The normative discussion is become a relevant institutional innovation. This ‘sense’ is normative and depends necessary to determine the qualities of innovations that make the difference in aff ect- on the time of ass essment and the underlying norms. The normative dimen- ing change. My research uses a qualitative approach to evaluating innovation. sion, therefore, discusses the performance of a potential innovation against the The questions to assess the capacity of innovation are: How can potential innova- background of urban institutional challenges (Rammert 2010: 40). This approach tion be assessed in light of the challenges facing Kigali’s institutional system? goes along with Ibert et al., who assert that innovation must me et demand (Ibert et These challenges are grounded in the objective of this research, which claims al. 2015: 173). The normative dimension is, therefore, grounded in current day-to- that planning performance demands change in the planning framework for steer- day urban steering challenges. ing to be effective. The institutional challenges allow for a short-term assessment scheme that is accessible for the normative dimension. 8.1.1 Stakeholders and networks Chapter 8.1 discusses whether each potential innovation is indeed an innova- Technical advice beyond adoption of the Detailed Master Plan tion. The potential innovations are, therefore, discussed against the background of institutional and governance challenges facing East Africa (see chapter 3.4) Advice beyond adopting the Detailed Master Plan introduced additional processes and Kigali (chapter 4.3) as well as the challenges of implementing the Detailed of operationalisation. It is unlikely that the city administration would have been Master Plan (see chapter 4.6.3), which are indicators (normative dimension) of able to develop these proce dures on their own because of low human capaci- institutional innovation. If the assessment identifi es an innovation as such, then ty and experience. Technical advice from Singapore, thus, responds to the the grade (nuances) is discussed to offer arguments regarding its impact. challenge of feasibility, which is crucial given that previous plans failed to be This research further discusses negative consequences of this change (chapter 8.2). implemented. Potential institutional innovation, therefore, temporarily address- Chapter 8.3 discusses infl uences of the framework conditions on innovation in Kigali. es the request of UN-Habitat regarding institutional capacity (UN-Habitat 2009: The last part of this chapter is a discussion of which elements prevent a potential 77). Improving human capacity also strengthens performance capability of innovation from becoming an innovation (chapter 8.5). urban planning, which is advocated by UN-Habitat (UN-Habitat 2013: 126). Although international experts temporarily enhance the local human capacity, the capacity gap remains a long-term challenge. Advice beyond Detailed Master Plan adoption does not change the human capacity challenge in the long-term. Technical advice beyond the adoption of the Detailed Master Plan is, therefore, not relevant institutional innovation, because its impact is to o low for it to be sustainable. CoK-RDB cooperation Cooperation between the CoK and the RDB in Kigali is a potential innovation. The underlying objective of this cooperation is to encourage private sector activity in implementing the Detailed Master Plan. This cooperation grants multiple stakeholders access to the performance of the plan, which changes the objective of the administration. The RDB is a key stakeholder in urban strategies involving private stakeholders, e.g. for the government approach towards affordable housing (Ilberg 2015). Although the government wants the private sector to invest in, e.g., affordable housing (Master Plan Team 2014a: 5), it does not offer attractive incentives (i-international expert OSC 2015: 1). In addition, although international investment is highly valued

116 Relevant institutional innovations in Kigali

in Rwanda, ‘nobody dare to invest in Rwanda except RSSB’ because of political 3RWHQWLDO 1HFHVVDU\ 1HZSHUIRUPDQFH instability that has impacted urban issues (i-ind ependent architect 2014d: 2). LQVWLWXWLRQDO FRQGLWLRQ Although the CoK-RDB cooperation addresses the challenge of mobilising stake- LPSOHPHQWDWLRQ LQQRYDWLRQ holders in the performance process, implementation does not work properly. The DFFRUGLQJWR GHILQLWLRQV RDB should facilitate private investment for urban issues, but it is still crucial that the cooperation between the government and the private investors not be at LPSURYHG eye-level. The way offi cials talk about investors leads one to assume that investors DFFHVVLELOLW\ 1HZSHUIRUPDQFH are vicarious agents. The CoK-RDB cooperation does not change the performance RISODQQLQJ 2EVHUYDWLRQ UHTXLUHG 5HOHYDQW of urban development, so it is most likely not a relevant institutional innovation, RI LPSOHPHQWDWLRQ UHLQIRUFHG LQVWLWXWLRQDO because private sector activity is facilitated but not stimulated. SHUIRUPDQFH PHFKDQLVPV LPSRUWDQFH LQQRYDWLRQ DFWLYLWLHV Informal cooperation RIXUEDQ SODQQLQJ The same applies to informal cooperation, which addresses the challenge of insuffi cient coordination. While there is an IDP coordination unit, coordination remains 1HZSHUIRUPDQFH DGGLWLRQDO DJDLQVWWKH a crucial issue. Informal networks do form in certain stakeholder groups, but the 6WDNHKROGHUV GHFHQWUDOLVD LPSOHPHQWDWLRQ DQGQHWZRUNV informal activity of some stakeholders does not change administrative activity. PHFKDQLVPV WLRQVWUDWHJ\ Informal cooperation is more hindered than supported by the institutional system. ,GHQWLILFDWLRQ 1RU While it does change some processes, information cooperation is likely not an RISHUIRU PDWLYH innovation, because the political system does not support a substantial increase 1PDQFH 3 4DVVHVV 5 DFWLYLW\ (VWDEOLVKHG 'HVFULSWLRQ HPHQW 5HVXOW in informal networks. SHUIRUPDQFH One Stop Center of the City of Kigali The most dominant potential innovation in administration is the establishment of 0DWFKLQJZLWK the One Stop Center in the place of the ‘Land Use Management and GIS depart- 2 IRUPHU SHUIRUPDQFH ment’ in the City of Kigali.239 The objective of this administrative unit shows the political will to implement the Detailed Master Plan, because its tasks broadened Figure 60: Normative assessment of potential institutional innovation of the One Stop Center at the City of Kigali and District levels [Illustration Pätsch] from planning to ‘manag[ing] the planning’ (i-master plan team 2014a: 2). The administration also became more service-oriented and specialised. The new objective of the department is a response to the challenge of accessibility The restructuring is in line with the redistribution of objectives and duties. Gather- in urban planning as well as to the user-friendliness of services (UN-Habitat 2015: ing development control at the City of Kigali level centralises control and power 24). The changes demonstrate the political will regarding the increased impor- of urban development there, diminishing the power o f the Districts. Although the tance of urban planning. The structure and objective have been improved and creation of the OSC at the City and district levels emphasises the importance of the demands of the investors fulfi lled (Ibert et al. 2015). This also goes along with non-central levels of the administration, the relocation of power disempowers the the claim of UN-Habitat that ‘institutional arrangements have to shape themselves Districts in the decentralisation reform. Given that the creation of the OSC both around the plan’ (UN-Habitat 2009: 59). The OSC’s-facilitated operat ion address- supports and hinders, the OSC of the City of Kigali is not a relevant institutional es how well equipped in terms of resources East African countries are for urban innovation. planning (Okpala 2009: 18). Human capacity in dealing with the Detailed Master Plan, however, remains insuffi cient (i-M inalog 2014b: 2; i-master plan team 2014a: The OSC of the Districts 1; i-independent architect 2014d: 2). Establishing the OSC at the District level, however, was not as intensely supported as at the City of Kigali level. Although restructuring at the District level is line with 239 This research also discusses the new institution of the RHA, which is not a potential innovation.

117 Relevant institutional innovations in Kigali

team specialisation, the objectives did not change tremendously. Although there advanced Development Control regulation present prospective homebuilders with was an increase in staff (see chapter 7.2.1), planned improvements, e.g. technical fi nancial and communicative challenges (i-OSC Kicukiro District 2014: 2). infrastructure, were not implemented. Restructuring the OSC at the District level A customer-focussed approach favours stakeholders who can afford internet did not create the same amount of resources as the OSC of the City of Kigali. access and the services of architects. Although this potential innovation address- Establishing the OSC at the District level is not a relevant innovation, because the es the challenge of accessibility and user-friendliness (UN-Habitat 2015: 24), it restructuring was not backed up by a change in institutional behaviour and respon- does not address all segments of the population equally.240 A customer-focussed sibilities. Although the OSC of the Districts reacts to the challenges, its impact is approach is directed at stakeholder groups in Rwanda who are not the major- insuffi cient (see Figure 60). ity. The stakeholder group with the greatest demand in legal construction is not addressed. It is not a relevant innovation, because it does not address the 8.1.2 Channels of articulation challenge of including all stakeholders (UN-Habitat 2015: 3) and creating ac tive Information strategies members of the development process (UN-Habitat 2009: 89). Steering urban development through the Detailed Master Plan is a big change Time-based approach in Kigali’s urban development approach. Despite the fact that information of the The OSC’s time-based approach improves administrative accountability. The fi xed stakeholders was extended to various media, including the MIS and WebGIS timeframes assure applicants receive a response within the defi ned timeframe, system, relevant stakeholders still consider accessibility to and awareness of the which is very important for developers. The service of the administration is, there- plan a challenge (i-Minalog 2014b: 2; i-Affordabl e Housing Unit 2014: 7). Increas- fore, improved by this time-based approach. ing knowledge and awareness takes longer in societies not used to formal urban The s hortening of the delivery time from 30 days to less than 20 (City of Kigali planning. 2015: n.p.) (see Figure 55) carries with it the risk of a diminished check on technical In addition, one architect points to the understanding (i-independent architect and quantitative aspects. Although the 20-day timeframe for obtaining a develop- 2014c: 1) of the plan. Temporary information has a limited infl uence on behaviour, ment permit is comparable to that of Germany (one month), the procedures of which limits its impact. Although the challenge of accessibility of the planning is development control are new to Kigali and. Shortening the timeframes runs the risk addressed by improved communication, it is still crucial. It is likely that information of sacrifi cing quality because the human capacity in the administratio n is low.241 strategies for a single event has a limited effect. Information strategies are, there- Although a time-based approach addresses a challenge facing Kigali, the constant fore, not a relevant innovation. shortening of timeframes is a disadvantage242 that prevents this potential innova- Customer-focussed approach tion from becoming a relevant innovation. Although WebGIS brings avant-garde urban technical know-how to the Devel- 8.1.3 Instruments opment Control application process, it is double-edged. On the one hand, the access to and distribution of information is transparent, and the open-door policy of Methodology of the Detailed Master Plan pre-consultation and the service, e.g. the provided checklists and the MIS, is helpful The Detailed Master Plan has a high technical standard, combines existing projects (i-independent architect 2014b: 2). On the other, access to WebGIS presents and priotises projects. It, therefore, addresses the ‘policy integration and coordina- selective challenges, because the internet is needed to access these tools. Only tion’ (UN-Habitat 2009: 77) required for effective urban steering.243 a certain group of stakeholders in Rwanda can afford internet access. The plan to 240 Despite not having data on the perception of the master plan in society or of all stakeholder groups, offer free internet-accessible computers at the One Stop Center at the District offi c- this assumption is reasonable one. es was only partly realised in 2014. The technical level of the Development Control 241 Shortening timeframes supports the imihigo performance check, because the number of permits also requires architects for the application. A consumer-care center for those who is easier to measure than quality. It can be assumed that the quantity has changed, because the government wants results from imihigo. cannot afford an architect is planned (i-international expert OSC 2014: 1) but was 242 There is no indication that the timeframes will be further shortened. not realised in 2014. A customer-focussed approach is, thus appropriate for large- 243 The Detailed Master Plan names ongoing imidugudu projects (City of Kigali 2013b: 45) and, therefore, scale, multi-functional developments. Emphasising access via the internet and the integrates a programme of Minalog into the Detailed Master Plan.

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However, the plan is perceived as ambivalent and is understood differently among central control has been increased. The City of Kigali becomes the main actor in various stakeholder groups (see ‘the under standing of stakeholders’ in chapter the decentralised entities, and the duties of the Districts were reduced. Although 4.6.3). In addition, the projects are not coherently implemented. The Detailed the redistribution of Development Control improved the permitting process, which Master Plan, thus, only somewhat responds to the challenges of coordination and architects appreciated (i-independent architect 2014a: 2, 8) and which represents performance facing urban steerin g in Kigali. the problem-orientated focus of the administration, the District lost a lot of compe- The standards for Development Control regulation, a major aspect of the Detailed tency. Improved service delivery by redistributing development control is, thus, not Master Plan, are high and introduce an international planning regime into Kigali. an institutional innovation, at least in the short-term. The complexity and high standards of zoning and the development control system New procedures result in highly standardised urban planning procedures. While international inves- New administrative procedures have established a new urban planning routine in tors favour this environment and can comply with the standards, it is most likely that Kigali. While the processes are primarily internal—impacting the administration—, low-income groups cannot comply with the international standards, given that they they do partly address a lack of transparency in planning processes (Watson & can incur costs because they are, according to UN-Habitat, complex and time-con- Agbola 2013: 3) as well as the challenges of operationalisation and feasibility of suming (UN-Habitat 2009: 58). Consequently, the defi nitions laid out in the Detailed planning. Although new procedures in the urban planning administration exist, Master Plan exacerbate societal polarisation. procedures or norms in other areas are still lacking, e.g. norms for construction Although the Detailed Master Plan responds in a limited manner to policy integra- projects (i-construction fi rm 2014: 1). This shows that the system of steering in tion and coordination, the defi nitions of the Detailed Master Plan of Kigali facilitate urban development is still immature in Kigali. New procedures are internal and the practices of high-income groups and international investors and create more mainly cover dev elopment control—which makes their coverage low—, so they barriers to compliance for low-income group s. can be perceived as a relevant institutional innovation. The new procedures act in Additional laws, plans and strategies line with the institutional system, because they favour a check on urban develop- My research perceives the performance of strategies as a relevant institutional ment processes and help to further establish top-down working principles. The new innovation. Although there are efforts in Kigali to develop additional strategies, it is procedures have no negative effects. the functioning of the strategies that is crucial. In 2014, an urban land consolidating strategy was being developed. In 2015, the ‘National Housing Policy’ (Ministry of Infrastructure 2015) was developed (see chapter 7.2.3). Although the ‘National Housing Policy’ addressed private-public cooperations in hopes of addressing the key issue of affordable housing, barriers for private investors remain high (i-international expert OSC 2015). Thus, the ‘National Housing Policy’ is limited in performance and implementation, because it has not been adapted to the conditions of the stakeholders. There are restrictions on the application of urban strategies in Kigali. Furthermore, the ‘appropriateness of planning tools’ (UN-Habitat 2009: 77) is crucial. Additional strategies are, therefore, not a relevant innovation. Redistribution of Development Control While shifting responsibilities from the District of Kigali to the City could be a potential innovation, it is not a relevant one. Although this change aims at improving implementation efforts, it clearly disempowers the Districts. Despite centralisation actually helping the Districts (i-head of OSC 2014a: 5-6)—a reaction to the human capacity challenges—, the ‘question of power’ (i-master plan team 2014a: 1) acts against the decentralisation process. While taking over the tasks of the Districts,

119 Relevant institutional innovations in Kigali

8.2 Negative consequences of a change to the institutional system Districts lose a lot of competency. The change may improves services, it ultimately While most of the potential institutional innovations showed some positive changes threatens democratisation in Kigali. in Kigali, there are also negative effects244. Instead of glorifying innovation, a situated, reality-based, pragmatic understanding of innovation (Schwarz et al. 2010) is needed. Another aspect is that a critical refl ection on the ‘new’245 being grounded in a sceptical outlook that acknowl edges that each (suspected) potential innovation has unintended consequences (Krücken 2006: 262), because potential innovations do not automatically solve problem (Schwarz et al. 2010: 170). Innovations in one system can cause trouble and stress in others (Scherzberg 2006: XIV). If relev ant innovation is induced by planning diffusion, negative aspects are also discussed for planning diffusion, because it can also lead to adverse effects for urban development (Shatkin 2014; Watson & Agbola 2013; Huat 2011 ; Nair 2005). In some cases, negative consequences resulting from the changes have alr eady been discussed in a normative dimension (see chapter 8.1). There are, however, some impo rtant general threads246 that arise from the changes and have a certain generality. The fi rst and foremost consequence of the relevant innovations of a ‘customer-focussed approach’ and a ‘Methodology of the Det ailed Master Pl an’ is the increased p olarisation of stakeholder groups in Kigali. Communication of and the defi nitions in the Detailed Master Plan do not recognise particularities in Kigali’s societal structure. Communication and defi nitions are mainly geared towards investors, disre- garding private dwellers. The Detailed Master Plan is in English, which limits its operational range and means that only English speakers receive the information. Although English is the second language in Rwanda, knowledge of it varies. These potential institutional innovations are based on planning diffusion, which means that planning diffusion induces negative impacts in these cases. Although the time-based approach is a potential innovation, it is not a relevant one, because of its negative effects. It may improve administrative processes but it endangers the quality of the check. Stressing the number of checks means the administration is endangering the check on the construction of urban spaces. The ‘Redistribution of Development Control’ works against the Decentralisation Strategy of Kigali, because it does not fi t with the decentralisation objective, which is the creation of autonomous and decentralised governments, in the third phase of the decentralisation strategy. Although this redistribution is only temporarily,

244 Innovation has consequences, some of which are intended and expected and others that are not (side effects). 245 The discussion combines both change and institutional innovation. 246 This research does not aim at completely covering all of the threads.

120 Relevant institutional innovations in Kigali

8.3 Infl uences of the framework system on institutional innovation in 8.3.1 Infl uences by the institutional system and political situation Kigali A characteristic condition for urban planning in Kigali is top-down steering (see This chapter discusses the effects of the framework system, which infl uenc- chapter 7.4). Top-down steering hinders institutional innovation; this claim is es potential institutional innovations and relevant institutional innovations supported by academic research. Top-down enactment (Schröder et al. 2011: (see Figure 61). This framework offers insight into the social rule system in 156), centralisation (Seriki 2007: 162) and power (Schröder et al. 2011: 152) all Kigali. The framework conditions are exogenously infl uenced by the territo- hinder innovation. Rwanda’s political setting hinders innovation, which is in line rial situation of Kigali and the description of this case (see chapter 4) as wel l with the general assessment of Schröder et al. (Schröder et al. 2011: 36). as endogenously by Kigali’s institutional system and culture (chapters 4.2, Although Rwanda follows a decentralisation strategy that supports institutional 4.3.). Although the institutional system is itself a fi eld of innovation, elements innovation in the sense of having an ‘organic structure’ [of institutions]247 (Hage of the institutional system also infl uence institutional innovation. This is not a 2005: 75), the ce ntral government’s control over decentralised entities remains contradiction but rather a logical consequence, since the system of innova- high. The decentralised entities cannot operate independently, because they tion generates the main conditions of innovation. These considerations of the depend heavily on the ministries and the central government. Political steer- framework conditions are specifi c to Kigali; generalisations are not possible. ing here also does no t support stakeholder integration. The exclusive govern- The question guiding the refl ection is: How is innovation supported or hindered by ment importance in decision-making, thus, works against innovation processes, Kigali’s framework system? because forced decision implementation hinders innovation (Schroeder, Huck, de Haan 2011: 156). The lack of congruence between some administrative and political activity infl u- ences the capacity for institutional innovation. Politicians intervene in urban issues even without involving the administration, e.g. by forcing owners to make LQVWLWXWLRQDO SROLWLFDO FXOWXUH changes to their building in accordance to the Master Plan (see chapter 4.2.5). V\VWHP V\VWHP The atmosphere of fear in Kigali hinders institutional innovation. In addition, some projects are implemented, because they attract the attention of politicians. These interventions infl uence the priorities of the Detailed Master Plan and, therefore, its performance. The interventions are usually in the interest of individual stakeholders. The logic of these interventions goes beyond institutional rules separating the administrative and political spheres, and they hinder elements of comprehensive planning and institutional innovation. support barrier barrier support The legal situation also infl uences innovation in Kigali. Despite several laws being passed to implement the Detailed Master Plan, e.g. the ‘condomini- SHUIRUPDQFHRI'HWDLOHG0DVWHU3ODQ um law’248 (Republic of Rwanda 2010), the number of laws poses yet another hurdle to innovation. Having an overview of the laws is diffi cult. Goodfel- Figure 61: Infl uences of the framework system on the performance of the Detailed low (2014) even assumes a will to confuse on the part of the government. Master Plan [Illustration Pätsch] The sheer number of urban laws further hinders institutional innovation. Furthermore, there are no appropriate innovation policies or strategies, which support institutional innovation (UN-Habitat 2013: 126).

247 decentralisation, no formal rules, diversified communication 248 The law changes the conditions of co-housing (i-independent architect 2014b: 2).

121 Relevant institutional innovations in Kigali

8.3.2 Infl uences of culture Despite the fact that functional departments, e.g. the OSC and sub-units, are being planned, they are not in operation. Decentralised entities and functional depart- Cult ural values ments are also unable to support institutional innovation, because th eir action is Community is valued in Rwanda, which can be seen in the contribution of civil limited and neutralised by the tight control of the government. society stakeholders to urban development in Kigali (high collectivism). Civil Furthermore, communication on critical issues is a challenge (GIZ 2014 (unpub- society stakeholders want to contribute in terms of donations to infrastructure and lished): 5) and law e nforcement is very strict in Rwanda. Public debate on critical housing (see chapter 4.2.5). The willingness to contribute through donations can issues is not permitted in Kigali. Wrong decisions are very strictly punished, instill- 249 be traced back to the cultural context and to the situation of the political system . ing fear of taking decisions. A lack of public debate and harsh punishment hinder The willingness to contribute to the development supports the performance of the institutional innovation. master plan and the creation of institutional innovation. Population and employment structure Rwanda’s relatively high ranking250 in the long-term orientation of Hofstede shows that the culture is open to reform and less attached to tradition (Hofstede 2016). While the Rwandan government (the state) is very important252, it is not the only In reality, however, tight government control leaves no space for societal transfor- important actor in innovation processes (Krüc ken 2006: 266). There are innovators mation. Although the Rwandan government very much values change, the political in Kigali operating within the institutional system (see chapter 8.4) that are mainly leadership represses individual attempts to affect change. Although the societal will responsible for the processes of innovation. for transformation exists, it is the government that shapes the long-term orientation The integration of international experts into urban planning performance enables and the will for reform. innovation. The multicultural background of the CoK team bears the capacity Although most of the cultural factors infl uencing innovation do so in one direc- for innovation, because intercultural groups are more creative (Seriki 2007: 42). tion, the speed of achievement in Kigali ambivalently impacts innovation capability. The creativity of the international experts drives innovation. The multicultural Although the speed and eagerness to see results supports the changes, urban background of the CoK team and the activities of international experts support development is complex and takes time. The speed of achievement carries with it institutional innovation in Kigali. the risk that urban development will not offer equal conditions for all stakeholder Human capacity remains weak despite improvement. The human capacity is still groups. Negative consequences of this change run counter to institutional innova- too low to fi ll out new processes (i-independent architect 2014d: 2), deal with tion. implementing the master plan (i-Minalog 2014b: 2; i-master plan team 2014a: 1; i-ind ependent architect 2014d: 2) and support creative application of the defi ni- Work organisation and everyday routines tions (i-Construction Permit Unit 2014: 3). The lack of human capacity hinders The cultural elements of top-down working and power distance ensure that the institutional innovation in Kigali, because the Rwandan staff is overburdened with head of the institution is at the center of all activities and prevent employees from following up on new procedures or with the performance of the Detailed Master acting independently. Urban planning staff, except those at the management level, Plan. This goes along with UN-Habitat, which states that weak local institutions is not allowed to act creatively and individually. In addition, tight timeframes put and inadequate human resources are a limiting factor of institutional innovation high pressure on administrative staff, e.g. the review team (i-international expert (UN-Habitat 2013: 126). OSC 2015). Thus, top-down working, pressure and power distance hinder innova- 252 The political leadership avoids advancing new thinking that might lead to new worldviews . tion (Seriki 2007: 163) in Kigali’s institutional system. Kigali’s ‘complex division of labour’251 through, e.g., ‘functional departments’ may support institutional innovation (Hage 2005: 75) but has not yet been realised.

249 Typical of a dictatorship is the desire to please the state (Sundaram 2016: 40) and ‘flatter one’s superior’ (Su ndaram 2016: 72). 250 Rwanda was ranked 81st out of 93 (data from 2005 to 2008) (Hofstede et al. 2010: 239). 251 Various occupations, ‘functional departments’, ‘complex jobs’, elaborate ‘technical training’, research departments

122 Relevant institutional innovations in Kigali

8.4 Innovators of institutional innovation in Kigali in planning culture.259 Thus, the agent structure is culturally diverse. All of these In the case of Kigali, innovators are Rwandans at the management level (the stakeholders are agents of planning diffusion. The advisers behave differently in elite), who act at the ministerial level and in the City of Kigali as well as inter- the process because of their cultural backgrounds. national experts253 (see chapter 4.2.2). Administrative employees do not fulﬁ l conditions of being an innovator due to a lack of human capacity limiting their 259 In addition to the Italian origin and education of the Surbana consultant working in the OSC within one innovative ability. NGOs and private initiatives play no role in the innovator year after the adoption of the plan, the Surbana team also consists of urban planners trained in India. scheme in K igali, because they have limited access to its institutional system. Innovators are ‘change agents’ (Mieg 2013: 13). The characteristics of the innovator, according to Ward, who uses the characteristic of leisure time, ‘methodical imagination’ (Ward 2002: 396) and ‘problems they can work with’ (Ward 2002: 396)254, ﬁ t to both innovators in Kigali. Whereas all have an entrepreneurial spirit, the Rwandan elite shares cultural knowledge. Innovators from Kigali are very ambitious and motivated to achieve a ‘bright future’ for Rwanda. The latter bring fresh i deas to the urban planning processes in Kigali because of their outside perspective.255 They promote similar ideas and help overcome the challenges at hand.256 While some professionals do use the knowledge to act as innovators, the institutional system allows little space for individual acting.257 The political level is the facilitator of all innovators, because it grants permission for all changes and maintains tight control. The capacity gap also hinders the extension of the innovator network. Access to the structure of decision-making differs depending on whether innovators are permanently or temporarily in Kigali’s administration. Innovators of institutional innovation originate from various power relations and on multicultural grounds. Surbana is the innovator under instruction from the Mayor of the City of Kigali. Despite this clear power structure, the agent structure is much more differentiated.258 Even though the company itself can be seen as an agent that delivers knowledge to Kigali, this actor-centred regard reveals much less homogeneous structures. Surbana hires architects and urban planners of various backgrounds

253 Further clarification is not possible, because the methodology does not focus on innovators. 254 While Ward attributes modest requirements to the innovator in urban planning (Ward 2002: 396), these charcteristics are fundamental. 255 While the Rwandan government’s expectations of the international expert are high and work requests are unusual, they lack access to the decision-making structure and do not know who takes decisions in Rwanda (i-international expert OSC 2014: 1). 256 Although they have to adapt to Rwanda’s working culture, they are ambitious, flexible and have an entrepreneurial spirit. 257 The international experts need a local network in order to succeed (i-international planning firm 2014: 2). 258 While this is not the focus of this discussion, power relations between Surbana and the City of Kigali are sophisticated and can vary with each sub-case.

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8.5 Recommendations for institutional innovation in Kigali the adoption of the plan, it could lead to relevant institutional innovation. The previous chapter showed the gap between potential innovation and relevant Furthermore, streamlining the objectives of international organisations regarding institutional innovation. This chapter shows the elements necessary to fi ll this Detailed Master Plan performance could be an asset. The objectives of all inter- gap, to create relevant institutional innovation. The recommendations do not national organisations, therefore, have to be linked to Detailed Master Plan perfor- claim to be complete and do not give operative measures, because they are mance. derived from the conclusion of the analysis (see 2.2.4). However, my research Human capacity only recommends chang es that follow the rules of Kiglali’s institutional system Despite some improvements, human capacity (inexperienced personnel, insuf- and does not offer recommendations in fi elds that contradict institutional or fi cient education) remains insuffi cient and staff alternation still threatens urban cultural rules, despite the fact that less control affects the capacity to enhance planning activity in Kigali. Comprehensively addressing the human capacity could creativity in management systems of sub-Sahara Africa (Seriki 2007: 163). support potential innovation in all categories. First, support for master’s studies The general question in this chapter is: What can be changed in order to transfer among the urban planning staff has to be extended. More urban planners with potential innovation to relevant institutional innovation? master’s degrees can be fed into the management level of the administration. Inter-institutional and informal coordination Second, on-the-job training has to be extended, because it can enhance the techni- My research revealed insuffi cient cooperation and coordination before implemen- cal level of day-to-day objectives. Fixed and guaranteed time-slots for on-the-job tation of the Detailed Master Plan and during its performance. Although centrally training should be mandatory, because the existing on-the-job training does not 260 guided coordination groups like the IDP and sector working groups exist, coordi- operate effi ciently. Third, efforts to diminish staff alternation could improve nation is insuf fi cient because coordination meetings do not happen regularly human capacity in Kigali. Varying pay continues to lead to staff alternation and the (i-master plan team 2014a: 4), working groups under the IDP steering meetings concentration of highly educated people at the ministerial level. Thus, dedicated do not exist (i-GIZ 2014), and employers are far too busy for horizontal exchange strategies for staff retention, e.g. improving objectives and payment at the District (i-independent architect 2014d: 4). Improved coordination, thus, bears the capac- and City of Kigali levels, must address this issue. ity to generally improve the performance of the Detailed Master Plan, which Decentralisation would then impact the potential institutional innovation of informal cooperation The potential innovation of the ‘Redistribution of Development Control’ does not and additional laws, plans and strategies. First, the range of stakeholders in the reach the status of relevant innovation, because it counteracts decentralisation sector working groups has to be extended—at least on a case-by-case basis— efforts in Rwanda. Redistributing the power of development control to the Districts for relevant issues. Thus, the Head of the OSC or civil society organisations can and strengthening human capacity at the District level would increase institutional be invited in special cases and contribute to coordination. Second, the division innovation, because non-central institutions have the capacity for innovation (Hage of the urbanisation sector working group should be split up and rearranged to 2005: 75). react to the changed needs, e.g. in the fi eld of housing or urban planning. In the long-run, the IDP steering group should also be restructured according Stakeholder integration to the needs of urban issues. While this goes along with the restructuring of the Even though the RDB addresses the activation of the private sector, barri- EDPRS, restructuring only makes sense if the EDPRS is updated or renewed. ers to private sector investment in urban development remain high (i-interna- Furthermore, my research also suggests that informal cooperation and networks tional expert OSC 2015: 1). Reducing the barriers for entering the Rwandan should be supported. Although extending formal coordination might support infor- real estate market could lead to relevant institutional innovation through mal coordination, informal networking can become an asset. the performance of the Detailed Master Plan and additional laws, plans Cooperation with international experts and international organisations and strategies. In addition, the potential innovation of ‘coop eration between the CoK and the RDB’ could become a relevant institutional innovation. Although the ‘advice beyond the adoption of the Detailed Master Plan’ covers The integration of civil society organisations into the performance of the Detailed a limited timeframe, it is a potential institutional innovation. If the technical advice for the Detailed Master Plan were to take place for several years after 260 Personal experiences show that the pressure to keep up with day-day urban planning activity hinders on-the-job training.

124 Relevant institutional innovations in Kigali

Master Plan could also lead to institutional innovation. Civil society organisations Planning norms and strategies have so far been involved only in maintaining existing urban infrastructure (see While many laws exist, there is still a need for norms of urbanisation and construc- chapter 4.2.5). Because the desire to contribute to urban development is high tion processes (see chapter 5.6.3) that perform well and offer equal access. While and homegrown initiatives are already canalising civil society engagement, the it is hardly possible to make general recommendations on the feasibility of planning foundation for extended integration of civil society stakeholders is promising. norms and strategies262, adapting the norms and strategies to the Rwanda’s Furthermore, collaborating with universities holds promise but has not been sufﬁ - demand structure is crucial. Streamlining all urban policies and strategies, focus- ciently considered (i-independent urban planner 2014: 2). Political-academic sing their content and recognising existing conditions of urban development could collaboration could lead to a broader integration of stakeholders and take advan- lead to the potential innovation of instruments becoming a relevant institutional tage of creative assets in planning processes. innovation. Informing and communicating with all stakeholder groups Although a customer-focussed approach is a potential innovation, it is not a relevant 262 It falls beyond the scope of this research work to name them. institutional innovation, because the customer-focussed approach of the COK in Kigali addresses only international investors and not low-income stakeholders. Low-income groups—a majority in Kigali—need support if they are to comply with the regulations of the Detailed Master Plan. The consumer care center for those who cannot afford an architect had not yet been realised as of 2014 (see chapter 8.1.2). Although the OSC of the City of Kigali offers pre-consultations (4.6.1), the equipment (direction of teams, number of staff) does not meet demand in Kigali. Information campaigns on the Detailed Master Plan were only temporary in Kigali, which does not meet the need to sensitise people to formal urban development. If information on and communication of the Detailed Master Plan and urban development issues were intensiﬁ ed, it could become a relevant institutional innovation. Establishing free-access service centres that offer service and information tailored to each stakeholder group could lead to relevant innovation. The service centre needs educated teams to address multi-functional development and single-family dwellings. The service centre can also offer, e.g., handbooks with non-temporary information on the Detailed Master Plan. Furthermore, urban planning activity has to be accompanied by an information campaign that educates the stakeholders and facilitates their action in formal urban steering. The information has to address the various stakeholder groups and be communicated in a way appropriate to each group,261 if this is to become a relevant institutional innovation. Information campaigns should, therefore, take into account the level of education, e.g. university education or basic school education, as well as the interest in urban development, e.g. private house dwellers or multi- functional development.

261 Accessibility of infrastructure-intensive media, e.g. the internet, and the education of stakeholders, have to be considered.

125 Relevant institutional innovations in Kigali

8.6 Interim conclusion on relevant institutional innovation The discussion (see chapter 8.1) revealed various nuances of institutional innova- The previous chapter discussed transitioning potential institutional innovations to tions (see Figure 62). The nuances in the relevant institutional innovations build on relevant institutional innovation. The reaction to challenges, the actual impact and the durability, the reaction to challenges, and actual impact and represent patterns the framework conditions show the potential areas of adjustment that can majorly of potential institutional innovations in the ﬁ eld of stakeholders, arenas of articula- impact institutional innovation in Kigali. tion and instruments, which have the capability of becoming institutional innovation. Although new procedures were deemed a relevant institutional innovation, it The potential innovations of stakeholders and networks, advice beyond the Detailed is not clear whether the Detailed Master Plan inﬂ uences institutional innovation Master Plan implementation and cooperation between the CoK and the RDB have in Kigali in such a way that fundamentally changes planning performance (see limited impact due to operational or time constraints. The potential institutional chapter 9.1). innovation of informal cooperations is not supported by the institutional system. Although the OSC at the level of the City of Kigali is shifting its urban planning approach towards managing urban planning so as to address challenges, the consolidating of power at the City level undermines the institutional system’s decentralisation efforts. Creating the OSC of the Districts received too little backing in terms of resources for it to become an institutional innovation. Redistributing development control also diminishes the power of the OSC of the Districts. Here, the potential innovation of redistributing development control minimises the power of the potential innovation of establishing the OSC at the District level. The potential institutional innovation of new channels of articulation is not a relevant institutional innovation. Information strategies also do not become a relevant institutional innovation, because temporary information does not adequately address the need to sensitise a society not used to formal urban planning procedures. While a customer-focussed approach did improve accountability and accessibility of Kigali’s urban administration, it ultimately favours the stakeholder group of large investors, limiting its impact. A customer-focussed approach is, therefore, not a relevant institutional innovation. The potential institutional innovation of instruments is the only one to also be a relevant institutional innovation. Although the Detailed Master Plan is a comprehensive instrument which transfers an international standard into Kigali’s urban planning approach of Kigali, the regulations of the Detailed Master Plan do not comply with the requirements of the demand structures. This constraint hinders the transfer of the Detailed Master Plan towards relevant institutional innovation. Although additional laws, plans and strategies are developed in the follow-up to the Detailed Master Plan, their operating capacity is limited, which impacts the appropriateness of the instruments. Although redistributing development control is a problem-solving intervention, it impacts the empowerment of decentral institutions in Kigali. The new procedures alone could be said to have the status of relevant institutional innovation, because they are supported by the institutional system and the working culture in Kigali. They also have an actual impact, because they are elements of the performance of the Detailed Master Plan.

126 Relevant institutional innovations in Kigali

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Figure 62: Nuances of relevant institutional innovation in Kigali [Illustration Pätsch]

127 Relevant institutional innovations in Kigali

My research also showed that the potential institutional innovations have negative consequences. The deﬁ nitions, communication and performance of the Detailed Master Plan favour certain stakeholder groups. The changes also impact decentralisation efforts. Thus, potential institutional innovations lead, at least partly, to inequality. The discussion on the framework in chapter 8 unveiled that the rules of the regime of innovation (framework conditions) are mainly formed by the political system and by the working culture of Kigali. There are fundamental facts that hinder institutional innovation in the institutional system and culture, e.g. control of the central government, top-down working, power distance and a weak human capacity. The hindering facts far outweigh elements supporting innovation in this case. While challenges faced by the institutional system are addressed through potential innovations in Kigali, e.g. accessibility of planning or comprehensive approaches, none of the potential innovations address the challenges stemming from the government’s centrally guided steering approach (see chapter 8.2). The framework system of institutional innovation also impacts the actions of innovators. Although the Rwandan elite and international experts are innovators in the Rwandan system, the innovators cannot act independently. Both groups of innovators are tied to political, institutional and cultural rules. The recommendations given are independent from the challenges facing the institutional system as well as institutional innovation. Recommendations focus on coordination between stakeholders, which remains crucial despite improvement. My research suggests harnessing the cooperation with international agencies and experts in order to improve the performance of the Detailed Master Plan. Human capacity is one of the most crucial aspects for creating institutional innovation. On the one hand, further human capacity increases to the urban planning staff have to be addressed by master’s studies and on-the-job training. On the other, staff retention strategies need to enhance long-term institutional capacity. Integrating stakeholders into urban planning actions could lead to this potential institutional innovation becoming a relevant institutional one. Civil society organisations and universities have to be integrated in urban steering. Informing and communicating with all stakeholder groups is also one of the most crucial issues affecting innovation in Kigali. Permanent communication on urban issues and free-access service centres are possible measures to achieve more equal conditions for all stakeholders. Last but not least, the performance issue of planning norms and struggles has to be strengthened. Detailed knowledge on the demand structure helps strategies become more adaptive.

128 Relevant institutional innovations in Kigali

129 Reflections on institutional innovation and planning diffusion in Kigali

9 Refl ections on institutional innovation and planning diffusion tional innovation at an early point in time, allowing for process to be readjusted. In in Kigali this sense, my research offers attempts (recommendations) to transfer potential institutional innovation into relevant institutional innovation. This chapter reconnects the fi ndings while referring to the general research Although the Detailed Master Plan induced potential innovations with one passing question: How does the Detailed Master Plan performance induce institutional to relevant innovation (small-scale innovation), the changes, as a whole, do not innovation in Kigali? This fi nal chapter also gives an overview of the results and amount to relevant institutional innovation (large-scale innovation). Urban planning refers to the sub-questions: What are the fi elds of institutional innovation in Kigali? performance in Kigali did not fundamentally change because only one out of 12 How can institutional innovation be assessed in light of the challenges facing potential institutional innovations could also be considered a relevant institutional Kigali’s institutional system? How is institutional innovation supported or hindered innovation. Although procedures address the challenge of liability, administrative by Kigali’s framework system? procedures are not suffi cient to create fundamental change to Kigali’s planning This chapter is structured into three parts. Chapter 9.1 takes up the results and system. Besides the fact that the new procedures fulfi l all suffi cient and necessary answers the general research question, while the following sub-chapter (chapter conditions, procedures have limited impact on institutional performance. Nonethe- 9.2) discusses methodological limitations. The dissertation ends by highlighting less, ‘sustainable innovations’ do after all ‘come from the cumulative effects of further avenues of research in chapter 9.3. implementing small, useful ideas over quite long periods of time’ (Hall 2010: 2), my research doubts that the changes will create innovation in the long-run. Although 9.1 Refl ections on the results some cultural aspects favour innovation, Kigali’s political framework system does The Detailed Master Plan of Kigali has a dual objective: On the one hand it repre- not permit fundamental changes. In addition, the City of Kigali very often shifts sents the imaginary desire of the government to change Rwanda’s image (see its priorities (see chapter 4.6.3), which threatens ongoing innovation processes chapter 4.6.2). On the other, it guides planning practice. My research observes because innovation takes time (Kaltenbrunne r 2015: 168). Potential institutional the latter, asking whether the Detailed Master Plan induces institutional innova- innovation, thus, does not have the time and supporting framework to become tion. The results of the research are situated in the fi eld of institutional innovation relevant institutional innovation. Institutional innovation, thus, does not occur and planning diffusion. Consequently, the research also refl ects on the impact of through the Detailed Master Plan in Kigali due the impact of Kigali’s political/insti- the Detailed Master plan, which becomes apparent while observing institutional tutional263 and cultural context.264 innovation processes. The performance of the Detailed Master Plan does not have the capacity to change Institutional innovation the planning system (and the planning culture in the long-run265), because the Detailed Master Plan is in line with the dominant steering approach in Kigali. It is In the fi rst step of the results (regarding sub-question 1), the research revealed 12 unlikely that there will be fundamental changes to the institutional system, because potential institutional innovations in the categories of stakeholders and networks, the methodology and content of the Detailed Master Plan has been adapted to the new channels of articulation and instruments between 2008 and 2014. These existing institutional system. There is, thus, no ‘creative destruction’, which is a patterns of potential institutional innovation comprise the stakeholder structure condition of relevant institutional innovation. of the urban planning system and urban planning performance as well as urban steering instruments. The assessment of potential institutional innovations (results Although offi cials in Kigali did not intend to achieve innovation, because they regarding sub-question 2) shows that all potential institutional innovations react to want to ensure sustainable development in the City (i-head of OSC 2014b: 7), challenges of Kigali’s institutional system. Durability, actual impact and the frame- they do act purposefully. Potential institutional innovation may have resulted, more work system hinder the transfer to the status of relevant institutional innovations. or less, from comprehensive changes in the approach to urban issues since the New procedures alone reached the status of relevant institutional innovation. While early 2000s, yet it is likely that institutional innovation demands more conscious some of Kigali’s institutional factors enable institutional innovation and support 263 My research assumes political stability and the ongoing domination of the government. cultural features, most hinder it (results regarding sub-question 3). 264 It is most likely that framework conditions of the same kind influence institutional innovation processes Innovation processes in Kigali have so far not exceeded the phase of latency and in other cases or in other fields of urban planning or related issues. 265 The processes in Rwanda are in the latency phase (waiting time) and the introduction of innovation, introduction. Processes have only recently begun. My research evaluates institu- which has no capacity to change planning culture, because this changes only in the long-term.

130 Reflections on institutional innovation and planning diffusion in Kigali

action to create innovation. The changes refl ect, however, the increasing impor- elements (modular innovation (Hauschildt & Salomo 201 1: 8)) and new connec- tance of urban issues and recognition of the need for urban development steering. tions (architectural innovations (Hauschildt & Salomo 201 1: 8)). The relevance of ‘the urban’ shows that urban planning is not solely a technical The discussion on the change in Kigali shows a new balance of objectives and aspect anymore but is, rather, part of Rwanda’s transformation from an agrarian resources: to a service society. • the performance of the Detailed Master plan widened the toolbox of urban Planning diffusion instruments towards a more comprehensive urban planning approach, A fundamental part of the answer to the question ‘How does the Detailed Master • an international planning framework with international standards for develop- Plan performance induce institutional innovation in Kigali?’ is planning diffusion. ment control guidelines, It became evident that most of the potential institutional innovations had been • urban planning activity is done within a broader stakeholder network, induced by Detailed Master Plan (see chapter 7.3). The planning diffusion check • the OSC of the City of Kigali demonstrates the increased importance of urban brought evidence for 7 (out of 12) potential innovations (see Figure 56). The direct planning in Kigali267, transfer through planning diffusion is minor in the case of Kigali. Only three (out • urban planning administration improved customer service and of 12) potential innovations are directly transferred from the Detailed Master Plan. • the work of the administration has been upgraded technically (MIS, WebGIS). Only information strategies, a customer-focussed approach and the methodology The actions of the administration have also been upgraded to an urban manage- of the Detailed Master Plan are directly transferred. ment approach, because the approach to urban planning changed towards being My research, thus, confi rmed that planning diffusion brings about potential institu- comprehensive and increasing social action. Although the government did not tional innovation and changed planning action. The assumption of the research is change the locus of control, service delivery through the Detailed Master Plan partly confi rmed, because ‘the mandated physical master plan acts as a planning strove for potential institutional innovation. Despite the fact that the government is diffusion process, which induces potential institutional innovation in the urban still the controlling stakeholder in the ‘organisation of activities in space’ (Europe- planning framework.’ While there is no relevant institutional innovation, potential an Commission 1997: 26), the performance of the Detailed Master Plan changed institutional innovation was created. stakeholder shares, e.g. redistributed development control. Innovation is, nevertheless, not an automatic consequence of planning diffusion. Potential institutional innovation strengthens the signifi cance at the level of the How planning diffusion is applied determines the process of transfer. The stake- City of Kigali, both spatially and administratively. The Detailed Master Plan is a holder structure and the institutional system, thus, make the difference in how citywide plan that establishes catalytic and capital improvement projects enacted urban defi nitions are translated in planning diffusion. My research also proved that at the level of the entire city.268 This is refl ected in the short-term projects of the urban consultancy in master planning does not lead to an undiluted adoption of Detailed Master Plan (see chapter 7.4). The great effort to establish the OSC of ideas in this case. Urban consultancy, however, creates changes in the planning the City of Kigali in contrast to the Districts and the redistribution of development system determined by the rules of the institutional system. control concentrates the power of control in urban development at the level of the Impact of the Detailed Master Plan in Kigali City of Kigali. The discussion on institutional innovation increased insight into the transformation Limits of the Detailed Master Plan of the Rwandan planning system. Despite a lack of institutional innovation, poten- Public awareness of the Detailed Master Plan of Kigali and the ambitions of the tial institutional innovation improved Kigali’s steering capacity. Despite accessi- City of Kigali, for it to ‘develop as a competitive, safe and clean modern city’ (City bility and exclusiveness constraints (see chapter 8.2), the Detailed Master Plan of Kigali 2013b: ix), are remarkable. The Detailed Master Plan does not, however, updated the planning system towards international standards already in place in have the capacity to realise these ambitions. The performance of the instrument many countries.266 The system of potential innovation contains fundamental new

266 The ‘methodology of the master plan’ is directly transferred through planning diffusion. Although 267 While the OSC should act as a coordinating and maintaining body, it has relatively little freedom to act my research does not follow a defined range to explain the grade of institutional innovation because of the tight control of the government. because technical categories do not fit with urban planning issues, the most fitting description of the 268 Although the Detailed Master Plan also contains a District development plan, the plan is enacted at phenomenon in Kigali would be ‘trend’ (Ram mert 2010: 37). the city level rather than the district level.

131 Reflections on institutional innovation and planning diffusion in Kigali

is reduced to its ‘nature’ (UN-Habitat 2009: 10), which a re land-use regulation, 9.2 Methodological challenges advice for implementation mechanisms, and additional strategies and plans. Challe nges arose during the research that at least partially inﬂ uenced the research The Detailed Master Plan is, nevertheless, an integral part of the urban planning methodology. system in Kigali, which disproves the claim of Watson (2014: 13) that newly Although all interview partners were very kind, friendly and open, obstacles limited the invigorat ed master plans neither apply appropriate implementation instruments expert interview method that could have also impacted the interview content. First, it nor integrate into the planning system. While institutional innovation does have was not always possible to have an uninterrupted talk with the interview partner. Some the capacity to address related issues, urbanisation challenges remain269, e.g. interviews were disturbed by the interviewee being called on urgent matters. housing, land security and technical standards that cannot be addressed by the Second, language might have impacted the interviews, given potential misun- Detailed Master Plan. The Detailed Master Plan also lacks the capacity to optimise derstanding due to vocabulary and accent. Interviews could not be conduct- ﬁ nancial challenges facing the Government and the City of Kigali. ed in the native language of the interview partners in nearly every case. My research proved that an urban master plan applied in line with the steering Third, the interviews did not reveal many personal assessments of government approach of the country most likely does not create institutional innovation. Institu- employees from ministerial, City of Kigali or District levels.270 Many interview tional innovation cannot be achieved in Kigali without a wider political and cultural partners also did not consent to the interview being recorded, and some interview renewal process. It is likely that future change will follow the patterns of potential partners were only willing to talk in busy public settings.271 The interview research, innovation in the research, because they are determined by the framework system. thus, might have been impacted by the degree to which the urban planning staff Although new instruments bring change, it is most unlikely that a single instrument members were able to speak freely. can fundamentally change the urban steering practice. My research did, however, show that new urban planning processes are a ‘social learning process for all 270 Personal assessments were collected from experts of the private sector or from international experts parties involved’ (UN-Habitat 2009: 85). working in government institutions or international organisations. 271 Although the reasons for this might differ, it seemed that people spoke more freely when the recorder was off.

269 They can, however, be intentionally addressed by instruments.

132 Reflections on institutional innovation and planning diffusion in Kigali

9.3 Need of further research Fourth, the effects of the revealed potential innovations ought to be observed in The nee d of further research does not intend to show a comprehensive compilation society in the long-term. Researching this issue could also bring fruitful knowl- of the lack of research in institutional innovation and planning diffusion but, rather, edge on the impact of potential institutional innovation on society (see Healey et 274 lists fi elds of research that seem fruitful for further discussion on the case of Kigali. al. 1997) . The need of further research deals with questions related to urban planning (1-7) Fifth, empi rical surveys on planning culture in Rwanda would bring further insight and questions related to the phenomenon that cannot be answered through the into the factors that hinder or support institutional innovation. This additional lens of urban planners. knowledge on the framework conditions would provide profoundly useful adjusting First, accessing the phenomenon in the coming years may offer further fi ndings screws for institutional innovation in Kigali. on institutional innovation, because my research assessed this immediate- Sixth, my research shows the relevance of institutional innovation on planning ly after the adoption of the Detailed Master Plan. My research also suggests practice. Whether the potential innovations diffuse to related urban planning activ- shifting the focus of renewed access: In order to show shifts in Kigali’s steer- ities in Kigali and Rwanda must be observed in the future. Institutional innovation ing approach, research on innovation can be widened to integrate more instru- through Detailed Master Plans elsewhere and in secondary cities in Rwanda, thus, ments of the planning system. Research on the role of the innovator could ought to be researched.275 The comparative research of institutional innovation bring further insight into their roles.272 Focussing on planning culture would offer through urban master planning would bring more insight into the general applica- further insight into the long-term impact of the Detailed Master Plan in Kigali. bility of master plan instruments in this regard. Furthermore, the role of the Detailed Master Plan in informal development is Seventh, there is a need of further research into how the urban management struc- more diffi cult to determine. Although the Detailed Master Plan did not specifi cally ture of Kigali can be transformed in order to increase effectiveness. Although the address this issue273, observing how the Detailed Master Plan impacts informal ‘Rapid Planning Project’ (AT Association 2016) is attempting research in this direc- development (both the occurrence and spatial effects (see the next point) could tion, the research should be widened to include, e.g., social infrastructure. help address informal development. Questions that cannot be answered through urban planning lenses concern Second, my research recommends observing spatial effects of the Detailed Master power relations and the reasons of the Detailed Master Plan. Research on this Plan in Rwanda. Although observation needs to continue long after the adoption issue can be addressed by urban studies, sociology or political science. of the Detailed Master Plan, the spatial recommendations of the Detailed Master My research suggests that research on stakeholder relations and backgrounds, Plan can lead to innovation. e.g. multicultural grounds for advice from Surbana, would bring further insight into Third, an extended evaluation of the content and the methodology of the master and the consequences of the process. The question as to why an authoritarian plan is needed, because the academic literature critiques the appropriateness of state needs urban planning for legitimation could provide interesting results. the planning (Watson & Agbola 2013: 40). My re search revealed that some stakeholders are excluded from the objectives and performance mechanism (see, e.g., a customer-focussed approach). The evaluation has to, therefore, address the 274 Healey et al. discuss, e.g., shifting perceptions of plans and urban planning as well as plans serving as blueprints for others (Healey 2007: 289). defi nitions of the master plan against the background of sociospatial conditions 275 Research focussing on ‘downstream circulation’. in Kigali. 272 The importance of the state in planning innovation is more significant than ‘individual creativity’ (W ard 2002: 398). 273 The Detalled Master Plan does, however, offer approaches to redeveloping and rehabilitating informal areas (see chapter 8.1.3).

133 References

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Interviews

i-Affordable Housing Unit (2014) guideline based expert interview architect One Stop Center City of Kigali, Kigali. i-construction ﬁ rm (2014) informal chat civil engineer, Kigali. i-Construction Permit Unit (2014) guideline based expert interview architect One Stop Center City of Kigali, Kigali. i-consultant RNRA (2014) informal chat Rwandan Natural Resource Authority, Kigali. i-GIZ (2014) guideline based expert interview Deutsche Gesellschaft für internationale Zusammenarbeit, Kigali. i-head of OSC (2014a) guideline based expert interview urban planner One Stop Center City of Kigali, Kigali. i-head of OSC (2014b) guideline based expert interview urban planner One Stop Center City of Kigali, Kigali. i-independent architect (2012) informal chat architect, Kigali. i-independent architect (2014a) guideline based expert interview architect, Kigali. i-independent architect (2014b) guideline based expert interview architect, Kigali. i-independent architect (2014c) guideline based expert interview architect, Kigali. i-independent architect (2014d) guideline based expert interview architect, Kigali. i-independent urban planner (2014) guideline based expert interview urban planner, Kigali. i-international expert OSC (2014) informal chat urban planner, Kigali. i-international expert OSC (2015) informal chat urban planner, Kigali. i-international planning ﬁ rm (2014) guideline based expert interview urban planner. i-master plan team (2014a) guideline based expert interview architect, Kigali. i-master plan team (2014b) guideline based expert interview architect, Kigali. i-master plan team (2015) guideline based expert interview architect, Kigali. i-Minalog (2014a) guideline based expert interview Ministry of Local Government, Kigali. i-Minalog (2014b) guideline based expert interview Ministry of Local Government, Kigali. i-Mininfra (2014a) informal chat Ministry of Infrastructure, Kigali. i-Mininfra (2014b) guideline based expert interview Ministry of Infrastructure, Kigali. i-OSC Gasabo District (2014) guideline based expert interview One Stop Center Gasabo District, Kigali.

142 References

i-OSC Kicukiro District (2014) guideline based expert interview engineer One Stop Center Kicukiro District, Kigali. i-OSC Nyarugenge District (2014a) informal chat One Stop Center Nyarugange District, Kigali. i-OSC Nyarugenge District (2014b) informal chat One Stop Center Nyarugenge District, Kigali. i-RSSB (2014) guideline based expert interview Rwandan Social Security Board, Kigali. i-Rwanda Development Board (2014) guideline based expert interview Rwandan Development Board, Kigali. i-UN-Habitat consultant (2014) guideline based expert interview urban planner, Kigali.

143 Appendix 1

Appendix 1 - urban Plans and their content

Images which are not designed by the author are used based on § 51 Urheberre- chtsgesetz (UrhG) of the Federal Republic of Germany.

Physical plan Rwanda - National Land Use and Development Master Plan

144 Appendix 1

Strategic plans Kigali - City of Kigali Development Plan (CKDP)

145 Appendix 1

146 Appendix 1

Strategic plans Kigali - Nyarugenge District Development Plan (DDP)

147 Appendix 1

148 Appendix 1

Physical plans Kigali - Kigali Conceptual Master Plan (KCMP)

149 Appendix 1

Physical plans Kigali - Detailed District Physical Plans (Detailed Master Plan)

150 Appendix 1

151 Appendix 1

152 Appendix 1

153 Appendix 1

154 Appendix 1

155 Appendix 1

156 Appendix 1

157 Appendix 1

158 Appendix 1

159 Appendix 2

Appendix 2 - System of Targets of the Detailed Master Plan Report vision (City of Kigali 2013b: xi)

City of character, vibrant economy and diversity Visionary statement 1 vision (City of Kigali 2013b: xi) vision (City of Kigali 2013b: xi) City of character, vibrant economy and diversity City of character, vibrant economy and diversity

cross-sectional strategies (City of Kigali 2013b: xi)

establishing a range of employment centers in Kigali; to develop a compact, vibrant & transit oriented city; creating affordable and quality living environments in Kigali; managing and improving the environment and infrastructure; to preserve urban heritage & enhance public greens; to consolidate and reserve land for goals (City of Kigali 2013b: 10-11) future needs 100 % of 1 hour 1 hour 100 % 20 km / million national roads connectivity to connectivity to provision of green network and class 1 international mayor pedestrian district roads to transport employment walkway along goals (City of Kigali 2013b: 10-11) be paved and terminal (e.g. node development designed to airport, side of the road making Kigali a Providing providing promote high- 10% non- lengths of international international modern adequate adequate value added motorized expressway = standards rail station) Regional working spaces working spaces agriculture and green trips 30 km / mil Financial Hub for 1.1 mil. for 0.6 mil in agro-based population in Africa Service center industrial industries jobs sector principles (not directly linkable to objectives)

principles (not directly linkable to objectives)

characterisatio To establish a to create a n of each comprehensive sustainable proposed transport transport spatial system network economy center in Kigali

strategy strategy

land-use utilization strategy (City of Kigali 2013b: 13)

160 Appendix 2

Visionary statement 2 vision (City of Kigali 2013b: xi)

City of affordable homes

vision (City of Kigali 2013b: xi) vision (City of Kigali 2013b: xi) City of affordable homes City of affordable homes

cross-sectional strategies (City of Kigali 2013b: xi)

goals (City of Kigali 2013b: 10-11)

Slum free city 90 % home 60 % 4sqm public 1 local open ownership affordable recreation open space within housing space/ capita 400 m walking distance

principles (not directly linkable to objectives) principles (not directly linkable to objectives)

restructuring new Comprehensive removal of strategic Identifying key Ensuring a phased zoning Kigali into development to approach to unplanned acquisition for government system of guidelines and integrated respect the unplanned area developments the new land suitable to effective implementation townships (City topography and rehabilitation form steep proposed kick start management strategies to of Kigali 2013b: context by slopes townships catalyst and upgrading support 34) allowing higher along key affordable of theses development density transit corridors housing townships development projects along the ridges

strategy strategy

Rehabilitation Create 90% Easy access to develop and home quality, integrated regeneration of ownership and affordable transit unplanned 60% of homes facilities within orientated areas in Kigali to be affordable all residential townships to create a housing areas slum free Kigali in year x

161 Appendix 2

Visionary statement 3 vision (City of Kigali 2013b: xi)

City of enchanting nature & biodiversity

vision (City of Kigali 2013b: xi) vision (City of Kigali 2013b: xi) City of enchanting nature & biodiversity City of enchanting nature & biodiversity

cross-sectional strategies (City of Kigali 2013b: xi)

establishing a range of employment centers in Kigali; to develop a compact, vibrant & transit oriented city; creating affordable and quality living environments in Kigali; managing and improving the environment and infrastructure; to preserve urban heritage & enhance public greens; to consolidate and reserve land for goals (City of Kigali 2013b: 10-11) future needs 20 m zero net loss of afforestation in reforestation to creation of mandatory existing forests slopes > 60% restore former innovative buffer for all forests urban water bodies agriculture for goals (City of Kigali 2013b: 10-11) (organic law) slopes > 20 % no relocation of mandatory soil a city wide flood free city 100 % development unplanned stabilization of watershed for a 50 years conservation of on steep communities in all slopes management of flood return all water bodies slopes steep slopes above 20% plan period and full restauration of slopes above principles (not directly linkable to objectives) 40%

principles (not directly linkable to objectives)

manage improve conserve protect steep protect open integrate abundant farming and diminishing slopes and spaces and natural wetland and forestry forests and watershed allow access to landscapes water bodies biodiversity areas natural with the urban (City of Kigali amenities landscape 2013b: 40) strategy

strategy

162 Appendix 2

Visionary statement 4

vision (City of Kigali 2013b: xi)

City of endearing character and unique local identity

cross-sectional strategies (City of Kigali 2013b: xi)

goals (City of Kigali 2013b: 10-11)

preservation of minimum of 1 tourism urban design all historic and regional & strategy for strategies for culturally recreational Kigali to key urban important sites, destination on enhance the areas in the and promotion each district character of city to enhance of culture & different areas their identity heritage for and character locals and tourism

principles (not directly linkable to objectives)

strategy

163 Appendix 2

Visionary statement 5 vision (City of Kigali 2013b: xi)

City of sustainable resource management

vision (City of Kigali 2013b: xi) vision (City of Kigali 2013b: xi) City of sustainable resource management City of sustainable resource management

cross-sectional strategies (City of Kigali 2013b: xi)

establishing a range of employment centers in Kigali; to develop a compact, vibrant & transit oriented city; creating affordable and quality living environments in Kigali; managing and improving the environment and infrastructure; to preserve urban heritage & enhance public greens; to consolidate and reserve land for goals (City of Kigali 2013b: 10-11) future needs Sewerage Rural Separate Use of swales Recycling rate: Illegal dumping Coverage: 20% sanitation: wastewater and 15% (2025) & & open (2025) & 75% Ecosan system sewerage and constructed 50% (Yr. X) burning: 25% (Yr. X) or septic tanks storm water wetland to slow (2025) & 0% goals (City of Kigali 2013b: 10-11) developments drainage: 20% down storm (Yr. X) of 0.4 ha and (2025) & 75% water runoff in 20% lower water supply available rainwater water leakage Temporary on- above (Yr. X) all new urban water usage network supply: 80 lpcd harvesting & loss: 30 % site STP for all developments than world coverage: 75 % (2025) & 120 water saving (2025) & 15 % new urban of 0.4 ha and average lpcd (Yr. x) devices: for all (Yr x) developments above new of 0.4 ha and developments above (2025); above 0,4 ha Centralised principles (not directly linkable to objectives) STP for each sector (Yr. X)

principles (not directly linkable to objectives)

strategy

164 Appendix 2

vision (City of Kigali 2013b: xi)

City of sustainable resource management vision (City of Kigali 2013b: xi)

City of sustainable resource management

goals (City of Kigali 2013b: 10-11)

20% lower 20% alternative energy usage energy sources than world average

principles (not directly linkable to objectives)

strategy

165 Appendix 3

Appendix 3 - Photo documentation

Inner city of Kigali - skyline of Nyarugenge

Inner city of Kigali 2008, skyline of Nyarugenge, view south-east [Pätsch]

166 Appendix 3

Inner city of Kigali 2012, skyline of Nyarugenge with City Tower, Pension Plaza, M.Peace Plaza (under construction) (left to right), view south-east [Pätsch]

Inner city of Kigali 2016, skyline of Nyarugenge with Acacia, Banque, Pension Plaza, M. Peace Plaza, City Tower (left to right), view west [Camille Nyamihana]

167 Appendix 3

Inner city of Kigali

Inner city of Kigali 2014, Pension Plaza (background left), M. Peace Plaza (background right) [Pätsch]

Inner city of Kigali 2014, Pension Plaza (background right) [Pätsch] Central Roundabout Nyarugenge 2016 [Camille Nyamihana]

168 Appendix 3

Primary road between Kiyovu and Kacyiru 2014, RSSB Headquarters [Pätsch] Inner city road Kiyovu Nyarugenge 2016, Pension Plaza (background left) [Camille Nyamihana]

Inner city road 2016, appartment building ﬁ nished in 2016 (right) [Camille Nyamihana] Inner city road 2014, houses from the 1960th (right) and recent transformation - Pension Plaza (background and left) [Pätsch]

169 Appendix 3

Inner city road 2012, houses from the 1960th (foreground), City of Kigali town hall Inner city road 2016, the only dedicated cycling lane in Kigali, Acacia (background right) (background) [Pätsch] [Camille Nyamihana] [Pätsch]

Central market, Nyarugenge 2012 [Pätsch] ‚Commercial shopping mall‘, Nyarugenge 2016 [Camille Nyamihana]

170 Appendix 3

Commercial quarter Nyarugenge 2008 [Pätsch] Commercial quarter Nyarugenge 2008, construction from colonial period [Pätsch]

171 Appendix 3

Development of iconic buildings and reference sites 2008 - 2016

Construction site of Pension Plaza 2008 [Pätsch] Pension Plaza 2014 [Pätsch]

City of Kigali administration 2008 [Pätsch] City of Kigali administration and Kigali town hall 2016 [Camille Nyamihana]

172 Appendix 3

Convention Center 2016 [Camille Nyamihana] Construction site of Convention Center 2012 [Pätsch]

Construction site of Convention Center 2014 [Pätsch]

173 Appendix 3

Construction site of City Tower 2008 [Pätsch]

City Tower 2012 [Pätsch]

174 Appendix 3

Demolition of Lower Kiyovu, Nyarugenge 2008 construction site RSSB Headquarter (background) [Pätsch]

Demolition of Lower Kiyovu, Nyarugenge 2008, construction site RSSB Headquarter (background) [Pätsch] Demolition of Lower Kiyovu, Nyarugenge 2008 [Pätsch]

175 Appendix 3

Lower Kiyovu, Nyarugenge 2014, RSSB Headquarter and Kigali City Tower (right) [Pätsch]

Lower Kiyovu, Nyarugenge 2012, street light provision [Pätsch] Lower Kiyovu, Nyarugenge 2014 [Pätsch]

176 Appendix 3

Patterns of settlement and housing typologies 2008 - 2016

Urban structure Kigali 2014, no construction on steep slopes and wetlands [Pätsch] Urban structure Kigali 2008, majority of one storey detached houses [Pätsch]

Low income housing area 2008, one storey detached houses [Pätsch] Low income commercial area 2008, one storey detached houses [Pätsch]

177 Appendix 3

Batsinda low cost housing 2008 [Pätsch] Batsinda low cost housing 2008 [Pätsch]

178 Appendix 3

Batsinda low cost housing 2014, transformations of the typology [Pätsch] Batsinda low cost housing 2014, transformations of the typology [Pätsch]

179 Appendix 3

Middle income house Nyamugali 2008, one storey detached house [Pätsch] Street in middle income housing quarter 2008 [Pätsch]

Paved street in middle income housing quarter 2008 [Pätsch]

180 Appendix 3

High income housing quarter‚ ‚caisse social estate‘ 2008, RSSB semi-detached High income housing quarter‚ ‚caisse social estate‘ 2008, RSSB semi-detached houses [Pätsch] houses [Pätsch]

High income housing 2014 [Pätsch] High income housing quarter 2008 [Pätsch]

181 Appendix 3

Settlement structure outside Kigali 2012 [Pätsch] Constructions outside Kigali 2014, constructions avoiding Detailed Master Plan regulations [Pätsch]

182 Appendix 4

183 Appendix 4

Appendix 4 - Information of Interviews

no Date/ Duration Interviewee Background Organisation Type Record Comment Reference

Informal talk (not recorded) informal chat for Rwandan Private i-independent 1 Sept.12 Architect Kigali private company information -- Atmosphere architect 2012 gathering informal chat for Foreigner working Private 2 Sept.12 Architect Kigali private company information -- Not referred in Kigali Atmosphere gathering informal chat for Foreigner working Consultant in OSC Private 3 Sept.12 Urban planner Kigali information -- Not referred in Kigali of City of Kigali Atmosphere gathering informal chat for i-OSC Head of OSC and OSC of District 4 03.04.14 Rwandan information -- Busy office Nyarugenge others Nyarugenge gathering District 2014a Private informal chat for Foreigner working Atmosphere i-construction 5 04.04.14 Civil Engineer private company information -- in Kigali (Language firm 2014 gathering German) informal chat for i-international Foreigner working Consultant in OSC Private 6 04.04.14 Urban planner information -- expert OSC in Kigali of City of Kigali Atmosphere gathering 2014 informal chat for 10.04.14 + OSC of City of 7 Urban planners Rwandan information -- Busy office Not referred 11.04.14 Kigali gathering informal chat for Director of Urban Rwanda Housing 8 14.04.14 Rwandan information -- Busy office Not referred planning Authority gathering EDPRS M&E informal chat for Facilitator, Transport Ministry of 9 24.04.14 Rwandan information -- Busy office i-Mininfra 2014a Housing & Infrastructure gathering Meteorology Sector

184 Appendix 4

no Date/ Duration Interviewee Background Organisation Type Record Comment Reference

Private Technical advisor, informal chat for Foreigner working Atmosphere 10 09.05.14 political scientist and GIZ information -- Not referred in Kigali (Language geography gathering German)

i-OSC Head of Unit informal chat for OSC of District Nyarugenge 11 13.05.14 Construction Permit Rwandan information -- Busy office Nyarugenge District 2014b and land lawer gathering

informal chat for Busy Office Foreigner working 12 13.05.14 Expert Taxation City of Kigali information -- (Language Not referred in Kigali gathering German) informal chat for Rwanda Natural i-consultant 13 16.05.14 Consultant Rwandan information -- Busy office Resource Authority RNRA 2014 gathering Telephone informal chat for i-international Foreigner working OSC of City of call 14 20.10.15 Urban planner information -- expert OSC in Kigali Kigali (Language gathering 2015 German) informal chat for Former director One OSC of City of What’s up 15 16.02.16 Rwandan information -- Not referred Stop Center Kigali call gathering informal chat for OSC of City of What’s up 16 17.03.16 Urban planners Rwandan information -- Not referred Kigali call gathering Guideline based expert interview (recorded) Skype i-international No relation to guideline based 17 09.03.14/ 1 h Urban planner record (Language planning firm Rwanda expert interview German) 2014 Foreigner working Surbana guideline based Private i-master plan 18 27.03.14/ 1 h Architect record in Kigali expert interview Atmosphere team 2014a 03.04.14/ 40 OSC of City of guideline based i-head of OSC 19 Urban planner Rwandan record Busy office min Kigali expert interview 2014a

185 Appendix 4

no Date/ Duration Interviewee Background Organisation Type Record Comment Reference

Foreigner working guideline based Private i-UN-Habitat 20 23.04.14/ 1 h Urban planner UN Habitat, RHA record in Kigali expert interview Atmosphere consultant 2014

i-Affordable 24.04.14/ 50 Architect, affordable Foreigner working OSC of City of guideline based 21 record Busy office Housing Unit min Housing Unit in Kigali Kigali expert interview 2014 28.04.14/ 30 OSC of Gasabo guideline based i-OSC Gasabo 22 Director of Permits Rwandan record Busy office min District expert interview District 2014

28.04.14/ 15 OSC of Gasabo guideline based 23 Director of Land Rwandan record Busy office Not referred min District expert interview Private Office 29.04.14/ 47 Monitoring and Rwanda Housing guideline based 24 Rwandan record (Language Not referred min Evaluation Unit Authority expert interview French) 25 29.04.14/ 40 Architect, Construction Foreigner working OSC of City of guideline based record Private Office i-Construction min Permit Unit in Kigali Kigali expert interview Permit Unit 2014 26 30.04.14/ 30 Engineer Rwandan OSC of Kicukiro guideline based record Busy office i-OSC Kicukiro min District expert interview District 2014 27 09.05.14 Urban Engineer Rwandan Urban Planning and guideline based record Private Office i-Mininfra 2014b Housing expert interview Development Unit, Ministry of Infrastructure 28 09.05.14/ 30 Decentralization Foreigner working GIZ guideline based record Private i-GIZ 2014 min in Kigali expert interview Atmosphere (Language German) 29 12.05.14/ 1 h Architect Foreigner working private company guideline based record Private i-independent in Kigali expert interview Atmosphere architect 2014a (Language German) 30 13.05.14/ 30 Architect Foreigner working Surbana guideline based record Private i-master plan min in Kigali expert interview Atmosphere team 2014b

186 Appendix 4

no Date/ Duration Interviewee Background Organisation Type Record Comment Reference

31 16.05.14/ 45 Director One Stop Rwandan OSC of City of guideline based record Busy office i-head of OSC min Center Kigali expert interview 2014b Guideline based interview (not recorded) 32 02.04.14/ 30 Head of Infrastructure Rwandan City of Kigali guideline based -- Busy office Not referred min Department expert interview 33 11.04.14/ 2h Urban planner Rwandan private company guideline based -- Private i-independent 30 min expert interview Atmosphere urban planner 2014 34 15.04.14/ 45 Head of division Rwandan Rwanda guideline based -- Busy office i-Rwanda min investment Development Board expert interview Development implementation Board 2014 35 16.04.14/ 3 h Architect Kigali Rwandan private company guideline based -- Private i-independent expert interview Atmosphere architect 2014d 36 21.04.14/ 1 h Architect Kigali Rwandan private company guideline based -- Private i-independent expert interview Atmosphere architect 2014b 37 23.04.14/ 30 Rural settlement task Rwandan Ministry of Local guideline based -- Busy office i-Minalog 2014a min force Government expert interview

38 23.04.14 Coordinator IDP Rwandan Ministry of Local informal chat for -- Busy office i-Minalog 2014b (Integrated Government information Development Project) gathering 39 30.04.14/ 45 Director Real Estate Rwandan Rwandan Social guideline based -- Private i-RSSB 2014 min Division Security Board expert interview Atmosphere 40 08.05.14/ 30 Architect Rwandan private company guideline based -- Private i-independent min expert interview Atmosphere architect 2014c 41 10.10.15 Architect Foreigner working Surbana guideline based -- Busy office i-master plan in Kigali expert interview team 2015

187 ISBN: 978-3-00-057610-2