An Exploration of State and Non-State Actor Engagement in Informal Settlement Governance in the ...

421 Pages·2013·3.65 MB·English

An Exploration of State and Non-State Actor Engagement in
Informal Settlement Governance in the Mahwa Aser Neighborhood and
Sana'a City, Yemen

Wafa Mohsen Saleh Al-Daily

Dissertation submitted to the faculty of the Virginia Polytechnic Institute
and State University in partial fulfillment of the requirements for the degree
of

Doctor of Philosophy
In
Planning, Governance, and Globalization

Max Stephenson Jr., Chair
Kathleen R. Parrott, Co-Chair
Karen E. Till
Sonia Hirt

February 04, 2013
Blacksburg, Virginia

Keywords: Informal settlements, governance, planning policy, state and non-
state actor, Mahwa Aser, Sana’a, Yemen

© 2013, Wafa Al-Daily
An Exploration of State and Non-State Actor Engagement in
Informal Settlement Governance in the Mahwa Aser Neighborhood and
Sana'a City, Yemen

Wafa Mohsen Saleh Al-Daily

ABSTRACT
Informal settlements are a relatively new phenomenon in Yemen, first
documented in the 1980s (El-Shorbagi, 2008; 2007). They have since grown
at a very rapid rate. Sana’a City, the nation’s capital, alone has an estimated
35 informal settlements that together contain 20.5 percent of that urban
center’s population (El-Shorbagi, 2008; 2007). To date, the Yemeni
government has paid limited attention to informal settlements. The
government has not developed any specific planning policies to address their
needs, partly due to meager resources and professional capacities, and partly
as a consequence of conflicting (and higher priority) needs (World Bank,
2010a). The unchecked growth of informal settlements has alarmed local
and national authorities as well as international organizations and recently
caused officials in these entities to begin to consider seriously how to
address this new community reality.
This dissertation explores the engagement of state and non-state actors
in informal settlement governance in Sana’a. The analysis offered here
employs Mahwa Aser, the largest and most controversial informal settlement
in Sana’a, as an exemplar for a broader set of concerns for all of Sana’a’s
informal communities. The dissertation provides a nuanced portrait of
Yemeni government capacities, policies, and practices related to Sana’a’s
informal settlements generally and to Mahwa Aser particularly via the
perspectives and activities of multiple stakeholders, including, importantly,
the community’s residents. It explores the active governance roles of non-
governmental and international organizations seeking to provide services in
these communities as well. It also explores ways to build informal
community residents’ capacities to work with government and with non-
governmental organizations (NGOs), international non-governmental
organizations (INGOs), and international governmental organizations
(IGOs) to address their many basic needs.
The analysis draws on personal interviews with key stakeholders,
including long-time residents of Mahwa Aser, responsible government
officials, and relevant leaders of NGOs, INGOs, and IGOs in Yemen,
U.S.A., and Egypt. The author also examined government and international
organization reports and documents to gain insight into the governance
challenges linked to continued growth of informal communities in Yemen.
The study identifies a number of factors that have led to worsening living

  iii
conditions in Mahwa Aser and other informal settlements in Sana’a. Taken
together they suggest the Yemeni government and its partners may need to
work far more self-consciously with informal community residents to
establish shared goals and clear expectations. Those entities engaged
collectively in governing these communities in Sana’a and in Yemen more
generally will need to develop reliable policies and coherent programs
within a transparent governance framework if the very difficult living
conditions in such communities are to be improved. In particular,
governance actors will need to devise ways and means to develop
government capacities and resources even as they work to address
community infrastructure and service needs in a sometimes daunting socio-
cultural and economic context.

  iv
DEDICATION

To my family (my Dad, Mom, sisters, brothers, niece, and nephew), to their
unconditional love, care, and support, I dedicate this effort.

I love you, All, so much, Wafa.

  v
ACKNOWLEDGEMENTS

It is with immense gratitude that I acknowledge the support and help of the following
individuals and institutions, without whom this dissertation would have remained a
dream.

Dr. Max Stephenson Jr.
My advisor, who generously supported me throughout the work on this dissertation
Dr. Kathleen R. Parrott
The co-chair, who offered the ultimate care and support to me, especially during the time
of crisis in my home country, Yemen
Dr. Karen E. Till
My former advisor, who guided me during the first steps of this research project and who
offered me advice and great support
Dr. Sonia Hirt
My committee member, who always offered her advice and support

Besides, I would like to express my great gratitude to
Dean Karen P. DePauw
Vice President and Dean for Graduate Education at Virginia Tech University
And
Dr. Gerry Kearns
The former Director of School of Public and International Affairs at Virginia Tech
For their generous assistance and guidance

Also, I would like to acknowledge
The American Association of University Women AAUW
And
Sana’a University in Yemen
For their financial contribution to this project

I am, especially, heartily thankful to my family members
My Dad: Mohsen
My Mom: Saida
My sisters: Jamila, Belgies, and Wedad
My brothers: Sami and Mohammed
My niece and nephew: Malak and Majd
Who gave me unconditional moral and financial support during the journey of my PhD

Finally, I am grateful to all of those who helped me in different ways, especially
Hameed Khattak
For his kind help

  vi
TABLE OF CONTENTS

ABSTRACT iii
DEDICATION v
ACKNOWLEDGEMENTS vi
TABLE OF CONTENTS vii
DEFINITION OF TERMS x
LIST OF FIGURES AND CHARTS xvi
LIST OF TABLES xvii

CHAPTER 1
Introduction 1
1.1. Research Purposes 2
1.2. Research Problem 3
1.3. Research Questions 5
1.4. Significance of the Study 7
1.5. Organization of the Dissertation 8

CHAPTER 2
Literature Review
2.1. Informal Settlements in the Developing World and the Arab States 11
2.1.1 Introduction 11
2.1.2. Evolution of Informal Settlements 12
2.1.3. Typology of Informal Settlements 16
2.1.4. Definition of Informal Settlements 18
2.1.5. Characteristics of Informal Settlements 21
2.1.6. Costs and Impacts of Informal Settlements 22
2.1.7. Official Actions and Public Interventions 23
2.2. Informal Settlements and Governance 25
2.2.1. Governance 26
2.2.2. Shift from Government to Governance 31
2.2.3. Governance and Planning 35
2.2.4. Changing Perspectives of Urban Service Delivery 37
2.2.5. Participatory Urban Governance and Public-Private Partnerships 43
2.2.6. Social Inclusion and Urban Governance 47
2.3. Conclusion 49

CHAPTER 3
Informal Settlements in Sana’a, Yemen
3.1. Informal Settlements in Sana’a 50
3.1.1. Overview 50
3.1.2. Existing Studies Related to Informal Settlements in Sana’a 53
3.1.3. Overview of Sana’a 55
3.1.4. Proliferation of Informal Areas and Squatter Settlements 57
3.1.5. Concept of Informal Settlements in Sana’a 60

  vii
3.1.6. Classification of Informal Settlements in Sana’a 61
3.1.7. Causes of Informal Residential Development 64
3.1.8. Land Related Issues and Strategies 66
Land Registration and Land Ownership 67
Access to Land and Caste/Ethnic Minority 70
Land Market Distortions 71
3.1.9. Poor Land Management and Unplanned Urban Sprawl 73
3.1.10. Urban Planning Efforts for Sana’a: An Overview of the First
and Second Master Plans 76
Master Plans (First and Second Master Plans) 77
Assessment of the First Master Plan (FMP) 81
Assessment of the Second Master Plan (SMP) 82
3.1.11. Institutional Structures and Capacities 84
3.1.12. Service and Infrastructure Delivery 85
3.1.13. Challenges of Related Social Issues 86
Social Caste 87
Challenges to Social Inclusion 89
Security Threat Challenges 90
3.1.14. Donor Interventions 91
3.1.15. Government Responses to Informal Settlements 93
3.2. Overview of Case Study Site: Mahwa Aser 98
3.3. Conclusion 106

CHAPTER 4
Research Design and Methodology
4.1. Research Design 107
4.1.1. Inside Actors 109
4.1.2. External Actors 110
4.2. Methodology 115
4.2.1. Preliminary Research Phase 116
4.2.2. Major Research Phase 119
4.3. Conclusion 131

CHAPTER 5
Perspectives of Mahwa Aser Residents Concerning Government
Practices and Plans
5.1. Major Research Phase 133
5.2. Conclusion 180

CHAPTER 6
Perspectives of Yemeni Government Officials Concerning Mahwa Aser and
Informal Settlements in Sana’a
6.1 Introduction to Chapter 6, 7, and 8 181
6.2. Perspectives of Yemeni Government Officials 189
6.2.1 Preliminary Research Phase 190
6.2.2 Major Research Phase 218

  viii
6.3. Conclusion 232

CHAPTER 7
Perspectives of Non-governmental Organizations,
International Non-Governmental Organizations, and
International Governmental Organizations Directors in
Yemen Regarding Mahwa Aser and Informal Settlements in Sana’a 234
7.1. Preliminary Research Phase 240
7.2. Conclusion 276

CHAPTER 8
Perspectives of Nongovernmental Organizations,
International Governmental Organizations, and
International Governmental Organizations Directors outside of Yemen
(U.S. and Egypt) Regarding Mahwa Aser and Informal Settlements in Sana’a 277
8.1. Preliminary Research Phase 284
8.2. Major Research Phase 302
8.3. Conclusion 321

CHAPTER 9
Summary, Recommendations, and Conclusion
9.1. Summary of the Study 323
9.2. Summary of Key Findings 324
9.2.1. Mahwa Aser Residents 326
9.2.2. Government Officials 329
9.2.3. NGOs, INGOs, and IGOs 339
9.3. Recommendations to Government Officials 342
9.4. Recommendations to NGOs, INGOs, and IGOs 343
9.5. Suggestions for Future Research 344
9.6. Conclusion 345

REFERENCES 347

APPENDICES
Appendix I: Interview Questions for the Preliminary
Research Phase 363
Appendix II: Interview Questions for the Main Research Phase 371
Appendix III: Consent Forms and Virginia Tech Institutional
Review Board Approval Letters for the Preliminary and
Major Research Phases 379
Appendix IV: Organizational Structure of Urban Planning in Yemen 395
Appendix V: Informal Settlement in Sana’a City 396
Appendix VI: Mahwa Aser (Harat Al-Lakama) 398

  ix
DEFINITION OF TERMS

DISTRICTS, CITIES, AND GOVERNORATES
Abyan Governorate
Aden Governorate; the second largest city in Yemen and the Economic
Capital
Al-Hodaidah Governorate
Al-Mahweet Governorate
Dhamar Governorate
Hajja Governorate
Hadramout Governorate
Ibb Governorate
Mukalla Governorate
Old City of Sana’a Historical part of Sana’a city
Raymah Governorate
Sana’a Governorate and the national capital
Sana’a Municipality Municipality of Sana’a (Amanat Al-A’asmah Sana’a)
Taiz Governorate and the third largest city in Yemen
Socotra Island in the Arabian Sea, part of Hadramout Governorate

Moderiat Alwehdah Alwehdah Directorate is one of the ten directorates in Sana’a
Municipality
Moderiat Maeen Maeen Directorate is one of the ten directorates in Sana’a
Municipality

LIST OF INFORMAL AREAS
Al-Khafgi
Harat Al-Dakik
Madinat Al-Lail in Madhbah
Mahwa Aser (Harat Al-Lakama or Algoba Alkhdhra or Ka’at Almotamarat or Mahwa
Akhdam Aser)
Mahwa Aser Adhban
Mahwa Aser Alkassara
Mahwa Bab Al-Yaman
Mahwa Khamsawarbaeen
Suneina

RESETTLEMENT PROJECTS
Al-Berarah in Taiz
Madinat Al-Noor in Taiz
Madinat Al-Sakhaniya in Sana’a (Bani Hushish Zone)
Madinat Al-Ummal in Al-Hodaidah Governorate
Madinat 7th of July in Al-Hodaidah Governorate
Madinat Gholeil
Sa’awan (Sawad Sa’awan/Madinat Sawad Sa’awan) in Sana’a

  x