SECTION 5: A PROGRAMMATIC APPROACH TO

In t roduct ion to In fo rma l Se t t lement Upgrad ing

Sec t ion 5 : A P rogrammat i c Approach , © NUSP 2015 1 | Page

SECTION5:APROGRAMMATICAPPROACHTOMUNICIPALINFORMALSETTLEMENTUPGRADING

Summary

AprogrammaticapproachtoinformalsettlementupgradingIt is now well recognised that there needs to be a radicallydifferent approach to addressing the informal settlementchallenge in South Africa. The historical approach characterisedbyaphilosophyoferadicating informalsettlementsandgivingpreferenceto formalisationandthedeliveryofBNG-stylehousingisnowrecognisedasbeingunworkableonanylargescale and unsustainable. The new approach to upgradinginformal settlements starts with formulating aprogrammatic approach within a municipality or province.This acknowledges that addressing the informal settlementchallengecannotbeachievedbyrespondingtoinformalsettlementsinanadhoc,reactive,andunsystematicfashion.

Aprogrammaticapproachtoupgradingisonethatsimultaneously focusesonanumberofprojects or upgrading initiatives, usually within a specific geographic area (typically amunicipality, district or province). Using simple and rapid evaluation techniques anunderstanding isobtainedof thecircumstancesofeachsettlement in theareaandonthebasisofthiseachsettlementiscategorisedintermsofhowitwillbeaddressedinthefuture.An overall plan for addressing all of the settlements in the area is formulated.Simultaneouslyeverysettlement in thearea isprovidedwithbasicoremergencyservices.Upgradingofthesettlementsintheareaisthenundertakenintermsoftheplanformulatedand budget availability. The imperative is to rapidly deliver meaningful responses to allinformal settlements and to avoid leaving certain settlements on a developmental back-burner.Inordertomeetthisobjective,thebulkofinformalsettlementresponseswillneedto be interim and incremental in nature. In the short-term, typically many features ofinformalitywillremain,butmeaningfulimprovementsintermsofqualityoflifewillneedtobeachieved.

Aprogrammaticapproach isnecessaryandbeneficialbecause ithelpstoensurethat:

• Allinformalsettlementsareincluded.• Arangeofachievable,relevantandrealisticdevelopmentalpathwaysareformulated

foreachandeverysettlement(bothshort-andlong-term).• Allsettlementsreceiveaminimumlevelofassistance(interimarrangements).• Aproactiveinsteadofreactiveapproachisapplied.• Appropriateresponsesareprovidedfordifferenttypesofsettlement.

For more details seeSection5,item1.1




• Theresponseisrapid.• Relocationsandlivelihooddisruptionsareminimised.• The development pathway for each informal settlement is implemented and

sustainedinaneffectiveandco-ordinatedfashion.• Effectivemulti-yearbudgetingforupgradingismadepossible.• Betterinstitutionalco-ordinationandcommunicationoccurs.• Plansareinformedbyanunderstandingofthetotaldemandarisingfromallprojects

withinaparticularmunicipality.• An improved and more functional relationship between informal settlement

residentsandgovernmentoccurs.

Asdetailed inSection3, thepolicyand legislative framework inSouthAfrica,startingwiththeConstitutionandculminatingintherevised Housing Code, Outcome 8, the NDP and MTEF havecreated a framework for how informal settlements should be addressed. Within thisframeworkNUSPprovidessupportandispromotinganapproachwherebyeachmunicipalitydevelops:

• Aninformalsettlementupgradingstrategyandprogrammeattheprogrammelevelthatfocusesonthebasisonwhicheveryinformalsettlementinitsjurisdictionwillbeaddressed.(Thisisthefocusofthismodule.)

• Asettlementupgradingplanforeachinformalsettlementthatsetsoutthebasisonwhichthesettlementwillinitiallyreceiveinterimservicesandwillbeupgradedovertime.(ThisisthefocusofSection10.)

ProgrammeLevel

ProjectLevel




WorkstreamsinupgradingprogrammesandprojectsThere isasetofninedifferentworkstreamsthattypicallymakeupan informal settlementupgradingprogramme.Workstreamsare defined as “areas of activity into which a programme planmaybedividedinordertofacilitateimplementation”.Thenineworkstreamsaretypically:

1. Healthandsafety/emergencyservices(ThisisdetailedinSection6.)2. Tenurerights(ThisisdetailedinSection7.)3. Layout/settlementplanning(ThisisdetailedinSection8.)4. Relocationsorre-blocking(ThisisdetailedinSection6.)5. Urbanservicesinfrastructureinstallation(ThisisdetailedinSection8.)6. Publicdomain/socialinfrastructure(ThisisdetailedinSection13.)7. Housingconsolidationsupport(ThisisdetailedinSection9.)8. Socialdevelopment(ThisisdetailedinSection13.)9. Urbanmanagement(ThisisdetailedinSection13.)

Oneofthefirststeps inorganisingfor informalsettlementupgrading istoensurethattheactivitiesassociatedwiththeseworkstreamsareplacedcorrectlyateithertheprogrammelevel (Informal Settlement Upgrading Strategy and Programme) or at the project level(Settlement Upgrading Plan). The types of activities that are better performed at theinformalsettlementupgradingstrategy(programmelevel)arethosethat:

• Represent a shared issue/requirement across a number of the individual informalsettlementsinthegeographicareaorthemunicipalityasawhole.

• Require policy change, new standards, or operating procedures across themunicipalityorevenataprovinciallevel.

• Requirehighlevelapproval/supportwithinthemunicipalhierarchy.• Needongoingattentionandarenotbeabletoberesolvedorcompletedintheshort-

tomedium-term.

Those activities generally better executed at the settlement upgrading plan level (projectlevel)arethosethat:

• Needhighlevelsofcommunityparticipation,(suchasre-organisingablockofhousestocreatespaceforservices).

• Needanintensivelevelofspatialco-ordinationwithotheractionsinthearea(suchasco-ordinatingwatersupplypipeswithaccesspathconstruction).

• Need an activity to be specifically designed to match the local context (a genericapproachwillnotwork),suchasinstallingalocalaccesssystem.

• Requireactionsthatwillbecompletedwithinadefinedtimeframe.

Assessmentandcategorisation

For more details seeSection5,item2



Assessment and categorization (AC) is sometimes also calledrapid assessment and categorisation (RAC). It is the process ofassessingandevaluatingallinformalsettlementswithinaspecificgeographicarea(municipalityorprovince)inordertodeterminewhat categories of developmental responses are appropriate and achievable for eachsettlement. AC is based primarily on desktop information (including existing technicalstudies),sitevisits,andinitialstakeholderengagements.InundertakingACthepurposeistobe able to deliver meaningful responses to all informal settlements rapidly and to avoidleavingcertainsettlementsonadevelopmentalback-burner.

The key determinant of informal settlement categorisation iswhether or not a particular piece of land is suitable forpermanenthumansettlement.Thisdetermineswhetherornotinthelong-termasettlementwillbeupgraded(oneitheraformalorlessformalbasis)insituor relocated.The followingare regardedas themostcriticalkey factors fordetermining iflandissuitableforsettlementupgrading:geotechnicalconditions,environmentalconditions,topography, bulk services availability, locational suitability, land legal issues and landavailability. Site suitability for permanent settlement is the main determining factor.Irrespectiveofsettlementcategory,minimuminterimarrangements(includingmitigationofhealth and safety threats, basic services provision and community participation) shouldalwaysbeprovided.

TheAC categorisation framework currentlybeingused is theNUSPRapidAssessmentandCategorisation(RAC)frameworkseparatesinformalsettlementsintotwocategories:

1. Those that are suitable for permanenthuman settlements, either via conventionalformalisation or via an incremental, less formal type of permanent settlementsolution.Theyareviableforupgrading.

2. Thosethatarenotsuitableandwhichwillneedtoberelocated(eitherimmediatelyorinthefuture).Theyarenotviableforupgrading

Within these two broad categories there are different sub-categories. It is important to note that all settlements aredifferent and a one-size-fits-all approach cannot be adopted.Each settlement will require a response suited to its specific circumstances andcharacteristics.

AtypicalACprocessincludes:

• Collectandassessavailablebaseinformation• Conductsiteassessmentvisits.• Engagewithcommunities,municipalofficialsandcouncillors• Developafinalandinclusiveinformalsettlementlist.• Developpreliminarytechnicalassessmentsandbaseplansforeachsettlement.

For more details seeSection 5, item 3.1 &3.2






• Developafinalprioritisationlisttocoverallidentifiedinformalsettlementsshowingcategorisationandpriority.

• Draw up cash-flow projections (multi-year) for each settlement based on itscategorisation and the presumed grant funding sources to be utilised (e.g.UISP vsUSDGvsMIG).

Developing an Informal Settlement Upgrading Strategy andProgramme

Thefollowinginformsanupgradingstrategy:

• Assessmentandcategorisation.• Theimperativeofprovidingatleastaminimumlevelofdevelopmentalassistance.• Themunicipality’sIntegratedDevelopmentPlan(IDP),HousingSectorPlanandother

spatialdevelopmentframeworksandlandusemanagementplans.• Anyrelevantprovincialplansorstrategies.• Budgetavailability.• Implementationtimeframes.• Thenatureofhousingdemandinthemunicipality.

Thereareusually insufficient resources (human, financial, land) toupgradeall settlementssimultaneouslyandtothesamedegree.Acriticalpartofdevelopinganupgradingstrategyisprioritising which developmental responses should achieve the greatest priority, takingintoconsiderationtheinformationcollectedaspartoftheACprocessoutlinedabove.

For more details seeSection5,item4

For references andresourcesclickhere



Content

1. Aprogrammaticapproachtoinformalsettlementupgrading

1.1 Whatisaprogrammaticapproach?It is now well recognised that there needs to be a radicallydifferent approach to addressing the informal settlementchallenge in South Africa. The historical approachcharacterisedbyaphilosophyoferadicating informalsettlementsandgivingpreferencetoformalisationandthedeliveryofBNG-stylehousingisnowrecognisedasbeingunworkableon any large scale and unsustainable. The newapproach to upgrading informal settlements startswith formulating a programmatic approach within amunicipality or province. This acknowledges thataddressingtheinformalsettlementchallengecannotbeachievedbyrespondingtoinformalsettlementsinanadhoc,reactive,andunsystematicfashion.

Aprogrammaticapproachtoupgradingisonethatsimultaneously focusesonanumberofprojects or upgrading initiatives, usually within a specific geographic area (typically amunicipality, district or province). Using simple and rapid evaluation techniques anunderstanding isobtainedof thecircumstancesofeachsettlement in theareaandonthebasisofthiseachsettlementiscategorisedintermsofhowitwillbeaddressedinthefuture.An overall plan for addressing all of the settlements in the area is formulated.Simultaneouslyeverysettlement in thearea isprovidedwithbasicoremergencyservices.Upgradingofthesettlementsintheareaisthenundertakenintermsoftheplanformulatedandbudgetavailability.

Theimperativeistorapidlydelivermeaningfulresponsestoallinformalsettlementsandtoavoid leaving certain settlements on a developmental back-burner. In order tomeet thisobjective,thebulkofinformalsettlementresponseswillneedtobeinterimandincrementalinnature.

In the short-term, typically many features of informality will remain, but meaningfulimprovements intermsofqualityof lifewillneedtobeachieved.Examplesofthistypeofimprovement include access to cleanwater, safe sanitation, improved road and footpathaccess, improvedfireprotection, improvedsecurity, improvedaccesstokeysocialservicessuchaseducationandhealthcare,informaleconomy,jobcreation.

ThiswasoutlinedinSection1.



1.2 ThebenefitsofaprogrammaticapproachAprogrammaticapproachisnecessaryandbeneficialbecauseithelpstoensurethat:

• All informal settlements are included. All informal settlements are identified andassessed upfront. The number, size and characteristics of informal settlements atmunicipalandprovincial level isunderstoodandmappedoutbasedon informationcollection, assessment work and stakeholder engagement. This includes thecategorisationofeveryinformalsettlement.

• A range of achievable, relevant and realistic developmental pathways areformulatedforeachandeverysettlement(bothshort-andlong-term)dependingontheir characteristics, development potential andhow quickly various project milestones, such asland assembly or bulk services provision, can bereached.

• All settlements receive a minimum level ofassistance(interimarrangements).Variousformsofpositiveandappropriateactionsare taken for every settlement. No settlements are left out for any reason. At aminimum,allsettlementsreceivesomelevelofbasicservices,lesseningofhealthandsafety threats, administrative recognition, andwhere possible, improved access tokeysocialservicessuchaseducationandhealthcare.

• A proactive instead of reactive approach is applied. Instead of reacting tocommunity pressures and situations of crisis,municipalities are able to proactivelyidentify informal settlement challenges, formulate practical short- and long-termplansandtakepreventativeactions.

• Appropriate responses are provided for different typesof settlement. A one-size-fits-all approach is avoided.Upgrading plans are informed by data on the number,size, and characteristics of specific informal settlements.(Thisisasaresultofassessmentandcategorisation.)

• Theresponseisrapid.Delaysinrespondingtocriticalinformalsettlementneedsaregreatly reduced through improved information, better budgeting, and a greaterdiversityofresponses,whicharemoreincrementalandachievable.

• Relocations and livelihood disruptions areminimised.Relocationsareundertakenonly as a last resort and with careful regard for the potential impact on thelivelihoods of residents. As a result of better information about each settlementwithin the overall municipal context, relocations are more easily minimised andwhere they do occur, their negative consequences are more easily reduced (forexamplebyaddressingaccesstokeysocialneeds).

• The development pathway for each informal settlement is implemented andsustainedinaneffectiveandco-ordinatedfashion.

• Effective multi-year budgeting for upgrading is made possible. The necessarybudgetandother resourcesareallocatedacrossamultipleyearperiod (within the

ThisisoutlinedinSection3.

Adevelopmentalpathwayisaplanthatsetsouthowtheinformalsettlementwillbeupgradedovertime.



Medium-TermExpenditureFramework) toensure thatupgrading responses canbeachieved.

• Betterinstitutionalco-ordinationandcommunicationoccurs.Toachievesuccessinupgrading, municipal line departments (e.g. housing, infrastructure, economicdevelopment, health) must communicate and co-ordinate. For example, if thehousingchapterincludesprovidinginterimservicestoanumberofsettlements,thatmustbeincludedintheplansandbudgetsoftheengineeringdepartment.

• Plansneedtobeinformedbyanunderstandingofthetotaldemandarisingfromallprojectswithinaparticularmunicipality.Similarly,themunicipalityandkeyprovincialdepartments (e.g.humansettlements,health,education,socialdevelopment)mustcommunicateandco-ordinatearoundsocial services, suchas schoolsandclinics.Aprogrammaticapproachprovidestheinformationandacommonbasisaroundwhichthiscanoccur.

• An improved and more functional relationshipbetween informal settlement residents andgovernment occurs. There is sustained engagementbetween government and communities in respect ofupgrading plans and their programmatic timeframes. Informalsettlement residents are more fully included and there is agreater sense of realism aboutwhat can actually be achieved.There is a shift away frombrokenpromises towardsgreater trustandpartnership.Thereisimprovedtransparencyandaccountability.

1.3 Howdoesaprogrammaticapproachfitintopolicyframeworks?Asdetailed inSection3, thepolicyand legislative framework inSouthAfrica,startingwiththe Constitution and culminating in the revised Housing Code, Outcome 8, the NDP andMTEFhascreatedaframeworkforhowinformalsettlementsshouldbeaddressed.Thekeycharacteristicsoftheapproachare:

Care:• Workingwith,andnotagainst,informality.• Ensuringthatlivelihoodsandeconomicopportunitiesareprotectedandsupported.• Integratingandincludinginformalsettlementsintotheplanningofcitiesandtowns.• Understandinginformalsettlementsintheirspatialandsocio-economiccontext.

Listen:• Ensuringmeaningfulcommunityparticipation,engagementandlocalownership.

Upgrade:• Givingprioritytotheupgradingandimprovementofinformalsettlementsinsituwith

relocationsonlybeingundertakenasalastresort.

Clickheretoseevideo‘Apolicyandstrategyforupgrading’



• Givingpriority to theprovisionofbasic servicesand functional tenureasthefirstline of response and ensuring that this is expedited (except in rare cases whererelocationsarenecessaryandjustified).

• Maximizingtheuseofscarceland.

Actswiftly:• Ensuring that there isa rapid responseat scale forall informalsettlementswithin

themunicipalareaswithnoinformalsettlementsleftout.• Multi-prongedandflexiblewitharangeofdifferentresponses,whichareresponsive

to,andappropriatefor,localconditions.

WithinthisframeworkNUSPprovidessupportandispromotinganapproachwherebyeachmunicipalitydevelops:

• Aninformalsettlementupgradingstrategyandprogrammeattheprogrammelevelthatfocusesonthebasisonwhicheveryinformalsettlementinitsjurisdictionwillbeaddressed. This is on the basis that every informal settlementwill receive interimservicesintheshort-termandthatalong-termdevelopmentresponseappropriatetotheinformalsettlementwillbeimplementedonaprioritizedbasis.(Thisisthefocusof this module.) The upgrading strategy and programmemust be linked into andintegratedwiththeplansofthemunicipalityandthereforemustbealignedwiththeSpatialDevelopmentFramework,IntegratedDevelopmentPlan,AnnualPerformancePlan.

• Asettlementupgradingplanforeachinformalsettlementthatsetsoutthebasisonwhichthesettlementwillinitiallyreceiveinterimservicesandwillbeupgradedovertime.(ThisisthefocusofSection10.)

Programme

Level

ProjectLevel



2. Workstreamsinupgradingprogrammesandprojects

Thereisasetofninedifferentworkstreamsthattypicallymakeupaninformalsettlementupgrading programme. Work streams are defined as “areas of activity into which aprogramme plan may be divided in order to facilitate implementation”. The nine workstreamsaretypically:

3. Healthandsafety/emergencyservices:Securingthehealthandsafetyofsettlementresidents throughaddressing risks suchas fire, flooding, slope stability,emergencyvehicleaccess.(ThisisdetailedinSection6.)

4. Tenurerights:Providingandprogressivelyenhancingtenuresecurityandlandrights.(ThisisdetailedinSection7.)

5. Layout/settlementplanning:Arrangingandrearrangingdevelopment and land uses and defining boundaries,through participative planning and layout formationprocesses.(ThisisdetailedinSection8.)

6. Relocations or re-blocking: Managing the processes of household/dwellingrepositioningwhere this is necessary to secure safety or the provision of services.(ThisisdetailedinSection6.)

7. Urban services infrastructure installation: Providing and progressively upgradingurban services such as water, access, sewerage, electricity, stormwater and solidwastemanagement.(ThisisdetailedinSection8.)

8. Public domain/social infrastructure: Planning andmanaging public investments insocialfacilitiesandservices(police,education,healthcare,recreation)andthepublicrealm(openspaces,roads).(ThisisdetailedinSection13.)

9. Housing consolidation support: Providing support to residents to assist them toextendandimprovetheirhomes.(ThisisdetailedinSection9.)

10. Social development: Strengthening of community ties, networks, institutions, andindividual and group capacities and then progressively integrating the settlementanditsresidentsintothemainstreamofurbanlife.(ThisisdetailedinSection13.)

11. Urbanmanagement:Establishingthesystemsandcapacitytomaintainandoperatethe infrastructure and services, including collecting revenue from operating theservices. This also includes strengthening mechanisms for regulation within thesettlement.(ThisisdetailedinSection13.)

Oneofthefirststeps inorganisingfor informalsettlementupgrading istoensurethattheactivitiesassociatedwiththeseworkstreamsareplacedcorrectlyateithertheprogrammelevel (Informal Settlement Upgrading Strategy and Programme) or at the project level(SettlementUpgradingPlan).



The types of activities that are better performed at the informal settlement upgradingstrategy(programmelevel)arethosethat:

• Represent a shared issue/requirement across a number of the individual informalsettlements in the geographic area or the municipality as a whole. For example,developing a simple and quick system for surveying and registering informalsettlementresidents.

• Require policy change, new standards, or operating procedures across themunicipalityorevenataprovinciallevel.Forexample,developingnewstandardsforpedestrianaccessroutesindenseinformalsettlements.

• Require high level approval/support within the municipal hierarchy. For exampleadoption of a system for granting of basic tenure rights to informal settlementresidents.

• Needongoingattentionandarenotbeabletoberesolvedorcompletedintheshort-to medium-term. For example, developing new approaches to building regulationthatrecogniseinformalityandsupportincrementalimprovementsofshacks.

Those activities generally better executed at the settlement upgrading plan level (projectlevel)arethosethat:

• Needhighlevelsofcommunityparticipation,(suchasre-organisingablockofhousestocreatespaceforservices).

• Needanintensivelevelofspatialco-ordinationwithotheractionsinthearea(suchasco-ordinatingwatersupplypipeswithaccesspathconstruction).

• Need an activity to be specifically designed to match the local context (a genericapproachwillnotwork),suchasinstallingalocalaccesssystem.

• Requireactionsthatwillbecompletedwithinadefinedtimeframe.

3. Assessmentandcategorisation

3.1 Whatisassessmentandcategorisation?Assessment and categorization (AC) is sometimes alsocalledrapidassessmentandcategorisation(RAC).Itistheprocess of assessing and evaluating all informalsettlementswithinaspecificgeographicarea(municipalityor province) in order to determine what categories ofdevelopmental responsesareappropriateandachievableforeachsettlement.

AC is quite distinct from pre-feasibility, feasibility andproject-levelplanningwork,whichwouldoftenfollow.ACmakes use of readily available information sources anddoesnotusuallyentailundertakingspecialiststudies.

A pre-feasibility assessment isa preliminary study that isundertaken on the basis ofexisting information todetermine how to upgrade asettlement. The assessmentalso identifies what additionalinformationisrequired.A feasibility assessment is alonger study that entailsresearch and investigation intothe additional informationidentified in the pre-feasibilityassessment. The feasibilityassessment will result indetailed recommendations onhow the settlement should beupgraded



AC is intended to be rapid. It is accepted, however, that the process may take severalmonthstocompleteandtheinitialcategorisationofsettlementsmaywellchangeovertimeas additional information (e.g. from feasibility work) becomes available or as settlementconditionsonthegroundchange.

ACisbasedprimarilyondesktopinformation(includingexistingtechnicalstudies),sitevisits,andinitialstakeholderengagements.Asmoredetailedinformation,suchasgeotechnicalorland legal constraints, becomes available, the categorisation might need to change andMTEFsandtheprojectpipelinescheduleadjustedaccordingly.

Thisisanormalpartofbuildingaprojectpipelineconsistingofalargenumbersofprojects,eachwithdiversecomplexitiesandparticularities.

AC occurs very early in the process of establishing a viable and responsive informalsettlement upgrading strategy and programmewithin a particularmunicipal or provincialarea. Ithelpstodesignandstructurean informalsettlementprojectpipeline.Thisenablesthe necessary budgets to be allocated on amedium-term expenditure framework (MTEF)basis.Therelevantmunicipaldepartmentscanstarttheprocessofprocuring(orrecruiting)thenecessaryprofessional capacities (social and technical) to ensure that theprogrammemovesforwardasrapidlyaspossible.Italsoenablesthedifferentdepartmentstostarttheprocessofaligningbroadstrategiesandinter-departmentalprogrammesandco-operation.



3.2 Whatisthepurposeofassessmentandcategorisation?Mainobjectives:

• Toobtainarapidoverviewofthelocation,scaleandnatureofinformalsettlementsinamunicipality. This should includeprovidinganunderstandingofpriorityneeds,siteconstraintsandthedevelopmentpotentialofthedifferentsettlements.

• To determine the suitability of informally settled land for formalisation or forpermanentsettlement.

• To determine an initial categorisation of, or developmental pathway for, eachinformal settlements in a municipality. This will indicate the appropriate type ofdevelopmental response for each one. It must be noted that as a result of moredetailedsubsequentinvestigations,thiscategorisationmayneedtobereviewedandchangedlater.

• To enable strategic prioritisation of informal settlements for differentdevelopmentalresponses.

• Toenabletheallocationofmulti-yearbudgetsforprofessionalservicesandcapitalexpenditureonmedium-termexpenditureframeworks(MTEF).Theseareassociatedwith further pre-feasibility and feasibility studies, design and implementation orconstruction, e.g. emergency or basic services, land acquisition, full services andhousing.

• To provide input or update the municipality’s housing sector plan in respect ofinformalsettlements.

• To ensure priority, minimum settlement improvement actions for all settlementsrelatingto:

o Reducinghealthandsafetythreats(fireprotection,solidwasteremoval);o Basicinfrastructure(water,sanitation,roadaccess,electricity);o Broader socio-economic improvements (primary health care, early childhood

development,publictransport,basiceducation,informaleconomy);o Tenure improvements (at least in the form of administrative recognition of

settlements).

• To identify priority technical studies and other work required to move projectsforward (pertaining to site development potential, land acquisition, municipalprocurement).

InundertakingACthepurposeistobeabletodelivermeaningfulresponsestoallinformalsettlements rapidly and to avoid leaving certain settlements on a developmental back-burner.



3.3 Isthelandsuitableforpermanentsettlement?The key determinant of informal settlement categorisation is whether or not a particularpieceoflandissuitableforpermanenthumansettlement.Thisdetermineswhetherornotinthelong-termasettlementwillbeupgraded(oneitheraformalorlessformalbasis)insituorrelocated.

KeypointsThefollowingareregardedasthemostcriticalkeyfactorsfordeterminingiflandissuitablefor settlement upgrading. Remember that, in terms of the new approach to upgrading,relocations should only occur as a last resort. The intention is to allow communities toremainwhereverpossible.Thereareinstanceswheresomeflexibilitymaybenecessary(e.g.acceptingsteeperslopeswithreducedroadaccessandapartiallypedestrianisedlayout).

Sitesuitability factorsshouldnotbeusedasanexcuseforrelocations.Whereverpossible,mitigations to limiting factors (suchas those listedbelow) shouldbe soughtand solutionsfound.

• Geotechnicalconditions:Slopeinstability,rockyoutcrops,sinkholes.• Environmental conditions: Sensitivewetlands, sensitive and endangered animal or

plantspecies,residentsexposedtotoxicwaste.• Topography:Verysteepslopesorfloodplains.• Bulk services availability: Are bulk water and sanitation services available to the

settlementandifnothowsooncouldtheybeprovided?• Locational suitability: Proximity to employment and key social facilities such as

educationandhealthcare.• Landlegalissues:Power-lineorrailservitudes,mineralrights,landclaimspending.• Landavailability:Whetherornotthelandonwhichthesettlementislocatedcanbe

acquiredatsomestage–notingthatthestatehasthepowertoexpropriatelandforfair compensation if it is in the public interest. It should also be noted that landacquisition is not initially necessary for the provision of interim arrangements andbasic servicesandmayonlybenecessaryat somepoint in the future (e.g.prior toformaltownplanningprocessescommencing).Landnon-availabilityshouldgenerallyonlybeconsideredareasonforarelocationcategorisationifthelandisrequiredforother important or strategic purposes such as an airport runway extension, mainroadexpansionortheconstructionofanEskompowerstation.

Site suitability for permanent settlement is the main determining factor. Irrespective ofsettlement category, minimum interim arrangements (including mitigation of health andsafety threats, basic services provision and community participation) should always beprovided.



3.4 AssessmentandcategorisationframeworkTheAC categorisation framework currentlybeingused is theNUSPRapidAssessmentandCategorisation(RAC)framework.Settlementsarefirstlyseparatedintotwocategories:

12. Those that are suitable for permanenthuman settlements, either via conventionalformalisation or via an incremental, less formal type of permanent settlementsolution.Theyareviableforupgrading.

13. Thosethatarenotsuitableandwhichwillneedtoberelocated(eitherimmediatelyorinthefuture).Theyarenotviableforupgrading

Withinthesetwobroadcategoriestherearedifferentsub-categoriesassetoutbelow.

Settlementsviableforupgrading

• Conventionalformalfullupgrading:o Informal settlement characteristics: The site is suitable for development and

appropriate for permanent settlement, is implementation-ready andformalisationwillnotresultinsignificantadverseconsequences.

o Developmentalpathway:Informalsettlementcanbeformalisedrapidlyi.e.landacquisition, township establishment, subdivisions, full services, formal top-structuresandformaltenuresuchastitledeedscanbeprovided.

o Categorisation: This type of informal settlement relates to Category A of theNUSPcategorisation.

• Interimarrangementsincludingbasicservices:o Informal settlement characteristics: The site can be developed for full

formalisation as a permanent settlement, but municipal priorities andconstraints have caused the upgrading intervention to be delayed pendingfulfilmentofnecessaryfunding,technicalorsocialpre-conditions.

o Developmentalpathway:Provisionofinterimarrangements:§ Administrative recognition of the settlement and inclusion into municipal

planningprocesses;§ Meaningfulengagementwiththecommunitythroughparticipativemethods;§ Basicinfrastructuralservices(watersupply,sanitation,roadaccess);§ Measures to address imminent health and safety threats (e.g. fire

protection,solidwasteremoval);§ Improvedaccesstokeysocialfacilitiessuchaseducationandhealthcare.

The type of services provided should be able to be converted or expanded as thesettlementmovestowardsformalisationintermsofconventionalfullupgrading.

• Categorisation:ThistypeofinformalsettlementrelatestoCategoryB1oftheNUSPcategorisation.

• Incrementalfullupgrading:o Informalsettlementcharacteristics:Thesitecanbedevelopedforfullupgrading

into a permanent settlement solution. However there may be insufficient



funding for full conventional formalisation or issues with the land which willresultinfulltitlebeingdelayedsignificantly.Itmayalsobethatformalupgradingmaybeconsideredbythecommunityastoodisruptiveandrequiringtoolargeaportionofthecommunitytoberelocated.Incrementalupgradingisenabled.

o Developmentalpathway:Incrementaldevelopmentledbytheprovisionofbasicservices and leading either to eventual formalisation or other permanentsettlement solution. Will include a wide range of incremental upgradingresponses including participative planning, enumeration, re-blocking,incremental tenure, special zones, settlement layouts, owner-drivenconsolidation.

o Categorisation: This type of informal settlement is not included in the NUSPcategorisation, but would follow on from Category B1 and is identified asCategoryB1extended.

Settlementsnotviableforupgrading

• Deferredrelocationwithinterimarrangements(includingbasicservices):o Informal settlement characteristics: Site is not suitable for development and

there is no urgent need for relocation. A more suitable site is not currentlyavailable.

o Developmentalpathway:Provisionof interimservices,butwithareducedlevelofinvestmentgiventhatthesettlementisnotpermanent:§ Administrativerecognitionandinclusionintomunicipalplanningprocesses;§ Meaningfulengagement;§ Limited basic infrastructural services (water supply, sanitation; emergency

vehicularaccess);§ Measurestoreduceimminenthealthandsafetythreats(e.g.fireprotection,

solidwasteremoval);§ Improvedaccesstokeysocialfacilitiessuchaseducationandhealthcare.

• Categorisation:Thistypeof informalsettlementcorrespondstoCategoryB2of theNUSPcategorisation.

• Immediaterelocation:o Settlementcharacteristics:Thesite isnotsuitablefordevelopment.There isan

urgentneedforrelocationduetoserioushealthandsafetythreatswhichcannotbeadequatelymitigated in the short-term throughbasic servicesprovision.Anappropriaterelocationdestinationiscurrentlyorimminentlyavailable.

o Developmentalpathway:Rapidrelocationtoasitewhichisalreadyavailableorimminentlyavailable.

• Categorisation: This type of informal settlement corresponds toCategory C of theNUSPcategorisation..



SummarisedNUSPCategorisationGuidelineCategory Name Developmentalpathway RationaleA Conventional

formalfullupgrading

Rapidformalisation(i.e.landacquisition,townshipestablishment,subdivisions,fullservices,formaltop-structuresandformaltenure,suchastitledeeds).

1. Siteisviable(developmentispossible)andappropriateforpurposesofformalisationandpermanentsettlementAND

2. settlementisimplementation-readyandconventionalupgradingcancommencerapidly(typicallylandsecured,feasibilitiescomplete,plansapproved)AND

3. formalisationisappropriateandwillnotresultinsignificantadverseconsequences(e.g.extensiverelocationsorlivelihoodsimpacts).

B1 Interim

arrangementswithbasicservices

Developmentledbytheprovisionofbasicservicesandleadingtoeventualformalisation.

1. Siteisviable(developmentispossible)forformalisationorotherpermanentsettlementsolutionBUT

2. settlementisnotimplementation-readyandimminentforformalisation(e.g.therewillbesignificantdelayduetosuchfactorsaslandacquisitionorbulkservicesprovision)OR

3. rapidformalisationonthesiteisnotcurrentlyappropriate(e.g.extensiverelocationsorlivelihoodsimpacts).

B2 Emergency

basicservices(deferredrelocationwithinterimarrangements)

Provisionofemergencybasicservices,butnotleadingtoeventualformalisationorpermanentsettlement—insteadleadingtoasignificantlyimproved,lessformaldevelopmentareaonaninterimbasiswitheventualrelocation(whenandifasuitablerelocationsiteisobtainedanddevelopedandprovidedlivelihoodsandotherrelocationsimpactsareacceptable).

1. Siteisnotviable(suitablefordevelopment)andappropriateforpurposesofeventualformalisationorpermanentsettlement,butthereisnourgentneedforrelocation(i.e.thereisanabsenceofserioushealthandsafetythreats,whichcannotbeadequatelymitigatedintheshort-termthroughbasicservicesprovisionandotheremergencyinterventions)AND

2. thereisnomoresuitablesitecurrentlyavailableforresettlement.

C Relocations(immediate)

Rapidrelocationtoasite,whichisalreadyavailableorimminentlyavailable.

1. Siteisnotviable(suitablefordevelopment)andappropriateforpurposesofeventualformalisationandpermanentsettlementAND

2. thereisanurgentneedforrelocationduetoserioushealthandsafetythreats,whichcannotbeadequatelymitigatedintheshort-termthroughbasicservicesprovisionAND

3. anappropriaterelocationdestinationiscurrentlyorimminentlyavailable.



Keypoints

FromtheACprocess,weknowthatallsettlementsaredifferentandaone-size-fits-allapproach cannot be adopted. Each settlement will require a response suited to itsspecificcircumstancesandcharacteristics.

3.5 Theassessmentandcategorisationprocess

A typicalACprocess is setoutbelow. Theprocessoutlined is significantly simplifiedandsummarised.PleaserefertotheNUSP-PPTRACGuidelistedunderreferencesformoreinformation.

1. Collect and assess available base information(includingGISandpreviousreportsdone).

2. Conduct site assessment visits to settlements toidentify key features and characteristics includingupgradingconstraints.

3. Engage with communities, municipal officials,

councillors to understand each settlement’shistory, priority needs, key local assets andinitiatives.

4. Developafinalandinclusiveinformalsettlementlist.

5. Develop preliminary technical assessments and base plans for each

settlement. These will be based on the social and technical work anddetermining categorisation (see table above), site constraints, developmentpotential,includingassessmentbaseplans(GISderived).

6. Developa finalprioritisation list tocoverall identified informalsettlementsshowingcategorisationandpriority.(Thisisdiscussedinmoredetailinsection4.2below.)

7. Draw up cash-flow projections (multi-year) foreach settlement based on its categorisation andthepresumedgrantfundingsourcestobeutilised(e.g.UISPvsUSDGvsMIG).Thiswouldhaveatotalamount for each settlement and grant, spread over either the next three orfiveyears.

Theintentionistoensurethatallsettlementsareprovidedandbudgetedforintermsof one categoryof responsesor another and thatno settlements are left on abackburner.

VariousmechanismsforfundingarediscussedinSection11.

GISstandsforGeographicInformationSystem.Itisacomputeriseddatamanagementsystemusedtocapture,store,manage,retrieve,analyseanddisplayspatialinformation.Datacapturesisshownonamap.



3.6 Theoutputsofanassessmentandcategorisationprocess

ThetypicaloutputsfromtheACprocessarelistedbelow.

• Listofallinformalsettlementsshowingbroadcategorisationofeachone.Foreach settlement, the rationale/reason for the categorisation should beindicatedaswellastheprioritydevelopmental interventionsand investmentsrequired. This information will be drawn from the preliminary assessmentreportforeachsettlement.

• Base-plan showing the location of all informal settlements and clearlyreferenced to the list. This information should preferably be spatiallyreferencedsothatitcanbeincludedinthemunicipalandprovincialGIS.

• Preliminaryassessmentforeachinformalsettlement.Thisshouldconsistofashortnarrativereportforeachsettlementwithattachedbaseplans. Itshouldprovide:o Aprofileofthesettlement;o Anassessmentofthedevelopmentpotentialofthesite–it’spotentialfor

permanent human settlement (either formalisation or other less formalpermanent solution) and the main constraints including a technicalassessment;

o Thecategorisation;o Identificationofimminenthealthandsafetythreats;o Priority short-term settlement improvement actions. These should cover

the following and indicate what intended funding sources/grants can beused:§ Basic infrastructure provision (e.g. water, sanitation, road access,

electricity);§ Other measures to decrease health and safety threats (e.g. fire

protection, solid waste removal, addressing or offsettingenvironmentalthreats);

§ Tenure(e.g.initialadministrativerecognition);§ Prioritysocio-economicimprovements(e.g.primaryhealthcare,early

childhood development, public transport, basic education, informaleconomy).

o Priorityworknecessarytomovethesettlementforward.Thismayincludegeotechnicalassessments,landacquisition,participativecommunityactionplan;

o Plans (maps) showing land which is not suitable for develop, keyconstraints, existing services and infrastructure, slope analysis and landownership.

• Multi–yearexpenditureprojections.Thisisaspreadsheetshowingtheroughbudgetary requirements for settlements in different categories, the expectedgrantmechanism(e.g.UISP,USDG,MIG),thetotalcostforeachsettlementand



how the funds required are spread out over the next three to five years.Municipalities can then make use of this spread sheet for the planning anddeliveryoftheirinformalsettlementdevelopmentprogrammeaspartoftheirMTEF budgeting processes. TheMTEF would list all settlements by categoryandintermsoftheirprioritywithindicativebudgetsallocatedtoeachoneandwiththeprojectedcash-flowforeachforthenextthree-yearperiodforecast.

• Available vacant land (or buildings) within the municipality for potentialrelocations, but only where the available information indicates this, forexamplethroughpriorstudiesundertaken.

4. DevelopinganInformalSettlementUpgradingStrategyandProgramme

4.1 Whatinformsanupgradingstrategy?

• Assessmentand categorisation.Thedevelopmentofanupgradingstrategy isheavily informed by the AC process outlined above. An effective upgradingstrategy cannot be developed without sufficient information about theinformal settlements within the target area (either municipal or provinciallevel) anda clearunderstandingof their developmental priorities andoverallupgradingresponsetype.

• The imperative of providing at least a minimum level of developmental

assistance. Interim arrangements including basic services should be providedto all settlements as quickly as possible. This is an essential part of the newprogrammaticapproach.

• Themunicipality’s Integrated Development Plan (IDP), Housing Sector Plan

andotherspatialdevelopmentframeworksandlandusemanagementplans.Howeveritisnotedthattheseareoftenhighlevelandbroadinnatureanddonot focus significantly on informal settlements. They may, however, suggestkey movement corridors or activity nodes, which need to be taken intoconsideration.

• Any relevant provincial plans or strategies. The strategy will need to taketheseintoconsideration(provincialupgradingstrategies,provincialgrowthanddevelopmentstrategies,whichidentifykeynodesandcorridors).

• Budget availability. The availability of budget forupgrading is a key factor (e.g. housing budgetallocationsfromprovincialdepartmentsofhumansettlements,MIGfundingavailablefromprovincialCOGTA, USDG budget available from Treasury). Municipalities will inevitablyneedtostructuretheirupgradingprogrammeswithintheavailablebudget.

• Implementation timeframes. A realistic understanding of the actualtimeframesrequiredtoimplementprojectsisakeyfactor.Thereistypicallya

FundingmechanismsarediscussedinSection11.



significant under-estimation of how long projects take to plan, deliver andcloseout. For example low income conventional upgrading projects typicallytake between five and 10 years from initial planning to finalisation ofconstructionandcloseout.

• Thenatureofhousingdemandinthemunicipality.Althoughthestrategywillnot only be about housing provision, it relates in all instances to housingopportunities(includinginformalhousingopportunitieswithinexistinginformalsettlements).Itisthereforecriticaltohavesomelevelofunderstandingofthenatureofhousingdemandwithinthemunicipality.

There has been a historical tendency to assume that the existence of a low incomehouseholdnecessarily translates intoademandorneed foraBNGhouse,but this isnot always the case. Understanding why informal residents have moved to thetown/city,whytheyresidewheretheydoandwhattenureandsub-tenancyrelationsexist, assists in better understanding the actual nature of housing demand. In somecases residentsmight be temporarymigrants requiring short-term affordable rentalaccommodation.Thedemandmightalsobe locality-dependant (i.e.certainresidentsmight need to reside in a particular locality in order to retain jobs or sustain otherlivelihoodsstrategies).



4.2 Prioritisingupgradingprojectsandresponses

There are usually insufficient resources (human, financial, land) to upgrade allsettlements simultaneously and to the samedegree.A critical partofdevelopinganupgradingstrategyisprioritisingwhichdevelopmentalresponsesshouldachievethe

greatestpriority,takingintoconsiderationtheinformationcollectedaspartoftheACprocessoutlinedabove.

Prioritisationisaprocessofevaluatingdifferentoptionsoralternativesinthelightof

specified criteria. It is beneficial that this process is formal (documented) and asrational as possible. This alsomakes it easier to explain prioritisation decisions at alatertime.

Everymunicipalitywill need to determine their own prioritisation criteria, however,the following are suggested as some of the key criteria in the context of informal

settlementupgrading:

• Theextentandseverityofhealthandsafetythreatssuchaslackofsanitationandpotablewater, fire, flooding.Anysettlementsaffected inthiswayshouldget top priority and a response that is not delayed – unless relocation isimminent.

• Available budget as informed by grant instruments and other sources offinancewhichcan(orcannot)beaccessed.

• Thesize of the affected population of an informal settlement. It isusual toaffordahigherprioritytolargersettlementsasthereisgreatersocialbenefittoassist people. In addition consideration should be given to assisting morepeopleatalowerlevelofsupporti.e.provideCategoryB1support,asopposedtoprovidingfewerpeopleatahigherlevelofsupporti.e.CategoryA.

• Thelocationofthelandinquestion.Forexampleinformalsettlementslocatedon prime, well-located land with excellent access to job opportunities andsocialfacilitiesmightreceiveahigherpriorityintermsoffullupgradingbecausethehighinvestmenthelpstobuildaspatiallymoreefficientcity/town.

• The state of readiness of a project. Those projects which are more readyusuallyreceivehigherpriority,especiallyintermsoffullupgradinge.g.projectswith land already secured are a better choice for conventional, formalupgrading.

• It is important to avoid selecting projects for full upgrading which becomestalledbecauseoflandandotherproblems.

Itisagainemphasisedthatanoverridingcriterionistheneedtobringbenefitstoallsettlements as quickly as possible and to achieve a balance between breadth and

depth responses (e.g. between formal BNG housing provision and interim oremergencybasicservicesprovision).



Forreferenceonly:Keycontentsofaninformalsettlementupgradingstrategyandprogramme

The followingare suggested as being key elements that should be included inaninformalsettlementupgradingstrategyandprogramme:

• Municipal context. This includes demographics, settlement pattern, localeconomy, land ownership patterns, engineering services, housing sectorplanstatusandkeyimplications.

• Key crosscutting issues or trends. This shouldemerge from the precedingACprocess, forexample informal settlementson traditional land, informalrental accommodation, lack of potable water access, settlements infloodplains.

• Summary (tabular) informal settlement upgrading plan. Thisshouldbe inthe formof a table showingall settlements, their categorisation and theirdevelopmentalpriorities.ThiswouldbedirectlyinformedbyaprecedingACandwouldtypicallyincludethefollowingfields(columns):o Nameofsettlement;o Category;o Categorisationrationale/reasoning;o Existinginformalhousingunits/households;o Infrastructure,tenureandhousingpriorities;o Statusquocomments;o Otherkeydevelopmentalpriorities(e.g.education,healthcare);o Aspecimensummaryresponseplancanbeseenbelow.

• Detailed informal settlement upgrading plan by settlement. For eachsettlementasummaryshouldbeprovidedofthepreliminaryassessmentforthat settlement arising from the preceding AC process and includinginformationsuchas:o Settlementprofile(e.g.name,households,extent,age);o Settlementcategorisationandtherationaleforit;o Development assessment (how much of the site can potentially be

developed);o Keyprioritiesandneeds;o Priorityresponsesregardinginfrastructure,tenureandhousing;o Otherdevelopmentalpriorities(e.g.education,healthcare).

• Upgrading timetable/programme. Usually in Gantt chart format over amulti-yearperiodandnotingthemainassumptionsmade.

• Key programmatic interventions required. For example upgrading watertreatment works, building additional schools, improving and sustainingcommunity participation, increasing access to clinics, improving publictransportinfrastructure.

• Priority follow-up studies, investigations or technical work required tomovetheupgradingstrategyforward(e.g. tounblockbulkservicesor landissues).

• Medium-Term Expenditure Framework (MTEF). This is a draft multi-yearbudget forkeyupgrading responses thatalso indicates the intendedgrantfunding mechanisms to be utilised (or other funding sources whereapplicable,suchasmunicipalfunds).



Exampleofasummarymunicipal-levelresponseplan

A specimen summary of amunicipal-level informal settlement upgrading strategy isprovidedonthefollowingpage,andshowshowindividualprojectassessmentscanberolledupintoasummarymunicipal-levelstrategyandprogramme.



Toolkit

YouwillfindthefollowingresourcesontheToolkitCD:

• RapidAssessmentandCategorisation(RAC)Guideline(HDA2014)• GrantInstrumentsforInformalSettlementUpgrading(PPT,2014)• SummaryInformalSettlementUpgradingPlan• DetailedInformalSettlementCategorisationFramework

ReferencesandResources

ReferenceMaterial

• DecisionFlowChartforUpgrading• ProjectPreparationCycle(PlanningCycle)—PPT2010• Part3oftheHousingCode2009—IncrementalInterventions:

o “UpgradingInformalSettlement”o “EmergencyHousing”o “EnhancedPeople’sHousingProcess”o “IntegratedResidentialDevelopment”

• EmergencyHousingGuidelines(HousingDevelopmentAgency)• USDGNationalTreasuryPresentationSeptember2012• MIGPolicyFramework

SECTION 5: A PROGRAMMATIC APPROACH TO

Documents

Transcript of SECTION 5: A PROGRAMMATIC APPROACH TO