ZAMBIA. Participatory Slum Upgrading Programme (PSUP) Funded by the European Commission PHASE II OUTPUTS. 1 of 100

ZAMBIA Participatory Slum Upgrading Programme (PSUP) Funded by the European Commission PHASE II OUTPUTS PROJECT CONCEPT NOTES 1) WATER AND SANITATION IMPROVEMENT PROGRAMME 2) SOLID WASTE MANAGEMENT IMPROVEMENT PROGRAMME 3) FEEDER ROADS AND DRAINAGE IMPROVEMENT PROGRAMME 1 of 100

Content A. Introduction 3 A.1 Site Selection 4 A. 2 Stakeholders involved in producing the output 5 B. Phase 2 Outputs 5 B 1. Slum Situation Analysis and resource mobilization strategy 7 B 2. Policy and Institutional Review 22 B 3. City-wide Slum Upgrading and Prevention Strategy 37 B.4 Resource Mobilization Strategy developed for the MCC proposal attached in the Annex 47 B.5 Concept Notes 55 ANNEX 73 2 of 100

A. Introduction The PSUP seeks to contribute to the MDGs, particularly MDG 7, to reduce by half the proportion of people without sustainable access to safe drinking water by 2015 and achieving significant improvement in the lives of at least 100 million slum dwellers by 2020. The PSUP, with the assistance from the European Commission (EC) and the African, Caribbean and Pacific (ACP) Secretariat, is one of UN-HABITAT s key initiatives to mobilise partners and resources to commonly contribute to urban poverty reduction. In many cities in ACP countries, the urban poor live in slums. UN-HABITAT defines a slum household as a group of individuals living under the same roof in an urban area who lack one or more of the following 1 : 1) Durable housing (a permanent structure providing protection from extreme climatic conditions); 2) Sufficient living area (no more than three people sharing a room); 3) Access to improved water (water that is sufficient, affordable and can be obtained without extreme effort); 4) Access to improved sanitation facilities (a private or public toilet shared with a reasonable number of people); and 5) Secure tenure (de facto or de jure secure tenure status and protection against forced eviction) Since information on secure tenure is not available for most countries included in the UN-HABITAT database, only the first four indicators are used to define slum households and to estimate the proportion of the urban population living in slums.. Not all slums are homogeneous and not all slum dwellers suffer from the same degree of deprivation. The degree of deprivation depends on how many of the five conditions that define slums are prevalent within a slum household. The term slum upgrading refers to the improvement of slum households living conditions which can be achieved through better water supply, sanitation and other basic urban services; housing improvements; and provision of tenure security. The PSUP promotes improvements of existing settlements (in-situ upgrading). This form of slum upgrading is not to be confused with slum clearance or eradication, which is sometimes misinterpreted as a tool for achieving the objective of cities without slums. Slum clearance is based on the redevelopment of slums and requires the resettlement of its residents. Considering the high economic and social costs of resettlement, the PSUP recommends slum clearance/redevelopment only if in-situ upgrading is not possible and not wanted by the affected community (e.g. in cases of hazardous locations), and if the resettlement process leads to all affected households living in adequate housing, with no one being worse off than before. Generally, critical success factors for city-wide upgrading are the right policies, an effective institutional set-up with participation of all stakeholders, adequate regulatory frameworks, and allocation of sufficient resources. 1 UN-HABITAT (2010), State of the World's Cities 2010/2011 - Cities for All: Bridging the Urban Divide (available at http://www.unhabitat.org/pmss/pmss/electronic_books/2917_alt.pdf) 3 of 100

A.1 Site Selection This application intends to focus on one informal neighborhood of Lusaka to apply an integrated slum upgrading approach which can then be replicated and scaled up to other unplanned areas of the city. The following main criteria were applied to select this neighborhood: Priority informal areas presented by the government of Zambia, while discussing the Lusaka Water Sewerage, Sanitation Drainage Program (LWSSD); Priority informal areas as described in the CUDP supported by JICA, which puts distance from the central business district (CBD) as one of the main criteria, because urban renewal in those areas could be more attractive for investments; Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further; Level of poverty of slum dwellers. As explained above, the CUDP supported of JICA indicates as priority informal areas of Lusaka to be upgraded or renewed in the short term those closer to the city Centre. These are: Kuku/Misisi/Frank and Chaisa, which are areas prone to flooding and moderate flooding respectively, with a poor grid network. Due to the latter aspect, infrastructure development in these areas would imply important costs and significant relocation of dwellers. Under these conditions, concrete impact of project activities would be difficult to be obtained considering the relatively short implementation period and the limited budget. Chibolya, next to Misisi, where the inner ring road will be passing. This area has already been considered for improvement by JICA itself, hence it was not recommended. Garden shows a poor but partial grid network (i.e. infrastructure development there should somehow be cheaper and easier to implement than in Misisi or Chaisa) and is much prone to flooding when it rains. In fact, this is where the Bombay primary channel is facing major difficulties for draining storm waters. Kanyama and John Laing are the other areas which show a poor but partial grid network and are much prone to flooding. In addition, according to the surveys carried out during the elaboration of the CUDP, the population living in this area is poorer than in Garden. Importantly John Laing is adjacent to Kanyama 4, and both constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the support of the MCA- Zambia, as part of the series of pre-feasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of closed catchment which suffers from severe flooding after a storm event. In terms of number of people, the population of Kanyama and John Laing was the most affected during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure 4 of 100

Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement. When consulting with the MLGH and the LCC, it was confirmed that Kanyama is a suitable and priority area for UN-Habitat intervention under this proposal. Some data already exist for this informal neighborhood, which can be found in the CUDP and the MCA-supported pre-feasibility studies, but specific surveys and assessments, especially regarding land tenure issues, water and sanitation, socioeconomic conditions and affordable housing still need to be collected. Importantly, Kanyama is being considered as priority area for implementing the water supply component of the MCC/MCA Zambia. A. 2 Stakeholders involved in producing the output The person leading the programme was Mr. David Thomson Tembo, Principal Housing Development Officer. Those involved included the Director Department of Housing and Infrastructure Development in Ministry of Local Government, Housing, Early Education and Environmental Protection, Lusaka City Council peri Urban Section Assistant Director; Kanyama Ward Development Committee Representive; LCC Senior Community Development Officer; Country Coordinator of the NGO, Peoples Process on Housing and Poverty (PPHPZ); National Technical Adviser of UN-HABITAT; They were working as partners, with each partner having a role to play. We met as often as was required to ensure that all tasks were accomplished. The country learned that with greater coordination of actors and partners a lot can be achieved. It helped to establish networks with organizations and community based organizations. The programme assisted to understand community needs better and also that the community has answers and can partner with government as equals. B. Phase 2 Documents The aim of this first step in the process is to review information related to the slum problems in the selected city/cities in order to better understand the slum situation in the present context. Taking into consideration that the second phase of the PSUP aims to develop a slum upgrading and prevention strategy and provide recommendations for policy improvements as well as to produce proposals for project implementation, it is necessary to collect/update information on slums and the stakeholders that will be part of the slum upgrading solution. Conclusions and recommendations derived from the data collected for the two components of the situation analysis, i.e. slum overview and stakeholder analysis, need to be discussed in-depth with slum dwellers and all other relevant stakeholders throughout the process. The recommendations should reflect these consultations and 5 of 100

the needs and agreed priorities of multiple stakeholders in line with PSUP goals and principles. The following outputs of PSUP Phase II were submitted: Slum Situation Analysis Policy and Institutional Review Kanyama Participatory Planning Meeting Pictures and Attendance List Concept Notes: a. Feeder Roads and Drainage Improvement Programme (Kanyama) b. Water and Sanitation Improvement Programme (Kanyama) c. Solid Waste Management Improvement Programme (Kanyama) 6 of 100

7 of 100 B.1 Situation Analysis

ZAMBIA PARTICIPATORY SLUM UPGRADING (PSUP 2) SLUM SITUATION ANALYSIS DECEMBER 2011 8 of 100

1.0 Introduction to Zambia Zambia is one of the most urbanized countries in Sub-Saharan Africa owing to its historical place in the political economy of southern Africa. According to the preliminary results of the 2010 census its urban population is over 40% (second only to South Africa in the sub-region) and is concentrated in Lusaka and the Copper Belt Cities of Ndola and Kitwe, while rural areas remain under-populated. In these cities more than 60% of the population lives in unplanned settlements. Physical infrastructure and services in these informal urban areas are either missing or inadequate, and otherwise in poor condition. Common features in the unplanned settlements are 2,500,000 overcrowding, inadequate water supply, deteriorated Copperbelt environmental conditions characterized by poor sanitation, poor drainage, uncollected solid waste and more importantly 2,000,000 1,500,000 Eastern Luapula Lusaka unsecured land tenure and inadequate housing for most of the Northern 1,000,000 North Western 500,000 Southern population. The quality of the environmental conditions Western found in these areas are likely to degenerate progressively with the increasing population as more and more people opt to settle there. These settlements are subjected to devastating flooding during the rainy season. Households affected by 0 2000 2005 2010 2015 2020 2025 such disasters are often displaced and lose shelter and sources of livelihood. They also suffer from diseases such as malaria and cholera. According to the Economic Commission for Africa, 1 poverty is firmly embedded in Zambia though the poverty incidence was down from 78 per cent in 1996 to 67 per cent in 2003. Though these figures are seriously high, they represent a significant reduction from their historical levels, especially in the early 1990s. Inequality is also fairly high but improving. The Gini coefficient declined from 0.66 in 1998 to 0.57 in 2002. 2 In 2006, the national gini coefficient had bounced back to 0.6 while the urban gini coefficient was 0.66. The current rate of economic growth cannot support rapid population growth or the strain which HIV/AIDS-related issues (i.e., rising medical costs, decline in worker productivity, shortening of productive life) place on government resources. Formal unemployment, at around 67 per cent, is a contributory factor to high levels of poverty. Only 10 per cent of the population is in formal employment following a major decline in both government and mining employment. 3 It is estimated that the formal sector only employs 550,000 workers; the remainder operates in the informal economy. Those in formal employment are traditionally expected to support extended family members in rural areas by providing money and farming inputs. 1 Economic Commission for Africa (2005). 2 Economic Commission for Africa (2005). 3 Chibuye (2011). The decline of the mining sector from 16.5 per cent of GDP in 1994 to 8 per cent in 2002 caused great loss of direct and indirect employment on the Copperbelt. 9 of 100

2.0 Urban Development Needs and Challenges 2.1 Introduction Squatter settlements are partly a post-independence phenomenon caused by the exodus of rural people to town that had been hitherto contained only by colonial restriction of movement and strict policing although there were sizeable squatter settlements within and adjacent to the capital city many years before independence. Nevertheless, squatter settlements have expanded and are expanding faster than the rest of Lusaka. A committee formed in 1971 recommended that upgrading of squatters settlements as opposed to resettlement of squatters was the way forward. This proposal was approved by Government and was incorporated into the Second National Development Plan of 1972 which was published at the beginning of 1972, which stated thus: Government obtained a loan from the World Bank in July, 1973, and embarked on a squatter upgrading programme. The programme consisted of providing squatter settlements with basic amenities such as improved road network, piped water (stand pipes), security lighting, clinics, schools, community centers, etc. at the same time, residents would be provided with security of tenure under the Housing, Statutory and Improvement Areas Act. Today various development programmes are carried out by Non-Governmental Organisations working together with Council officials and Resident Development Committees in a number of Improvement Areas. Key Challenges in Improvement Areas include inadequate waste management, insecure land tenure, poor sanitation, lack of clean water, poor road infrastructure and poverty. The situation in the informal settlements in Zambia is however worsening. Urban poverty is on the increase, while on the other hand, the capacity of local governments to provide adequate bulk infrastructure services is decreasing. Physical as well as bulk infrastructure services in these settlements are either missing or inadequate. Where available they are in poor condition. In 1999, the Ministry of Local Government and Housing declared 10 informal urban settlements as improvement areas under terms of the Housing (Statutory and Improved Areas) Act 194. A typical unplanned settlement in Zambia that has not undergone any upgrading will be characterized by the following: 2.1.1 Lack of clean and safe drinking water Residents of unplanned settlements mostly depend on shallow wells for their water needs. Mention must be made that several wells are located near the pit latrines due to lack of space. There are very few cases where residents of unplanned settlements draw their water from boreholes or communal water stand pipes, in most cases provided by donor agencies. 2.1.2 Sub standard housing structures Most of the houses are built of sun dried bricks. When constructing houses, residents of these areas do not adhere to any planning and or building regulations. They set their own standards, which in most cases compromise their safety and health. Little wonder therefore that every rain reason, there are reports of collapsed houses. Other than houses being of sub standard, the same are congested, and lack order. 10 of 100

2.1.3 Poor road network Road standards and regulations in Zambia are stipulated in the Road and Road Traffic Act (Cap, 464) and the National Road Safety Control Act (Cap. 471). The design of roads, however, is laid down in various Regulations and Statutory Instruments but most important are those in the Town Planning Regulations, Building Regulations and Engineering Standards stipulated by the Engineering Institution of Zambia. Proper roads rarely exist in unplanned settlements. Where some semblance of roads exists, they are usually in a deplorable state of disrepair, to the extent that they become impassable not only during the wet season, but in several cases, the dry season as well. Consequently, in times of emergency, it is extremely difficult to reach those in need of service. 2.1.4 Lack of water borne toilets The majority of the households of unplanned settlements do not use water borne toilets as is the case in the statutory council residential areas. Most residents of unplanned settlements depend on pit latrines that are dug within the premises of their residence. When pit latrines fill up, sometimes there is not enough space for digging a new one. In such a situation, the affected household would look for a neighbour who would be willing to share the use of their pit latrine. (Status quo report of the Lusaka Integrated Development plan, quoted in Zambia Country Report, January, 2002) 2.1.5 Lack of storm drainage facilities Unplanned settlements in majority of cases lack drainage facilities, which in most cases are responsible for flooding and destruction of the already weak housing structures. Due to this problem, in Zambia flood related disasters and falling houses are associated with unplanned settlements. A case in point is Kuku unplanned settlement of Lusaka which experienced perhaps the worst flooding in the history of Zambia, during the last rain season. In some cases the water level reached as far as the lintel level. 2.1.6 Lack of waste management facilities and services Waste management facilities such as garbage collection points are lacking in unplanned settlements. Residents of these areas dispose waste on the roadsides, open spaces, and sometimes in rubbish pits dug within their premises. Waste disposed in these undesignated places is rarely removed. The uncollected waste is a nuisance in that it is not only ugly to look at, but produces offensive smell which attracts flies, which in turn are responsible for the spread of diseases such as cholera. 2.1.7 They lack educational and health facilities With the exception of upgraded unplanned settlements, in most cases, unplanned settlement are usually not provided with educational and health facilities. For their health and educational needs, they have to travel out of the settlement, to statutory council areas. As for educational needs, some unplanned settlements depend on what are called community schools, which are in most cases manned by untrained teachers. As the name implies, community schools are schools initiated and run by the community, and not the government. 11 of 100

3.0 Factors that have contributed to the Growth of Unplanned Settlements - Why the poor live in informal settlements 3.1 Introduction Authorities on this subject have identified several factors as being responsible for the existence of unplanned settlements in developing countries, and these include the following: 3.2 Rural-Urban Migration Rural - urban migration which is the movement of people from rural to urban areas, usually seeking a better life. In developing countries, it is common for young people to migrate from rural areas to urban areas in order to flee from the harsh conditions obtaining in the rural areas. Rural-urban migration and the resulting urbanization in developing countries has been increasing at a fast rate, leading to growth of unplanned settlements, which pose a serious challenge to urban local authorities. In Zambia, urbanization started during the colonial period, when the colonial government introduced various taxes, which had to be paid in cash, and not in kind. The strategy was to compel the indigenous Zambians to offer their labour to the mines, government administration centres, and any other organization that required labour. Usually, these areas were in urban centres. Migrating to urban centres and getting employed, was one sure way of earning the much needed cash for paying government tax. In later years, the colonial government enacted laws that restricted the movement of indigenous people, especially from rural to urban areas. After independence, these restrictive laws were repealed, resulting in freedom of movement for the Zambian people. This freedom of movement ultimately resulted in an influx of people into the urban areas. Indeed, most of the people coming from rural areas could not get accommodation in the statutory residential areas, either on account of affordability or availability of housing. Those who could not find accommodation in statutory residential areas were left with no choice, but to squat on any empty public land. This marked the beginning of unplanned settlements in urban Zambia, which has grown into a huge problem. The proportion of the population of Lusaka and Kitwe, living in unplanned settlements indicate the magnitude of the problem. On the problem of housing, the Fifth National Development Plan (FNDP) has observed that Zambia has been facing a critical shortage of housing since she attained political independence in 1964 (FNDP, 2006-2010, p.197) It is said that during the First and Second Republic, Zambia was only able to provide a few institutional houses to government employees. An equally limited number of houses available for rent were placed under the local authorities. It is therefore easy to understand the contribution of housing shortage to the growth of unplanned settlements in urban Zambia. According to 2000 Census of Population and Housing, 49.7 percent of Zambia s population is living in urban areas after increasing from 39.4 percent in 1990, 38.9 percent in 1980, 29.4 percent in 1969, and 20.5 percent in 1963. The Status quo Report of the Lusaka Integrated Development Plan, Quoted in Zambia Country Assessment Report, has pointed out that the on going urbanization trend was causing growth in informal settlements at the rate of 12 percent per year (Zambia Country Assessment Report, 2002). Due to shortage of appropriate accommodation the rural-urban migrants seeking better urban life decide to build their own shelter on unplanned land while seeking employment. The ever increasing urban 12 of 100

population in unplanned settlements is not provided with facilities and services, such as clean and safe drinking water. Instead, they are left to survive on inadequate and in several cases polluted water, as well as unsanitary conditions. 3.3 Shortage of Affordable Housing s In many urban centres of African countries, the construction of housing units has declined in comparison with the multitudes of people who come to these areas/or demand for affordable accommodation or low cost housing (Silitshena, 2009). For instance, Gumende (1990, quoted in Silitshena, 2009) has observed that construction of new houses ended in 1976 in Mozambique. In Malawi, Mafongo (1991: p21, quoted in Silitshena, 2009) states that new construction and servicing of new plots has drastically declined. For Zimbabwe, the Southern African Economist has stated that Harare suffers from scarcity of serviced land, insufficient funds, rapid population growth and shortage of building materials. Thus the, failure to build new housing units in the region is partly blamed on lack of financial resources. Indeed, Zambia s position regarding the meeting of housing needs is not different from the other African countries in the region. After selling the state owned houses, during the Chiluba government, there has been no aggressive effort to build more houses to replace those that have been sold. The responsibility for constructing housing units for the country has been transferred to National Housing Authority (NHA), a parastatal organization. Indeed, the efforts of NHA are far from meeting the housing needs of the country. According to the Zambia Urban Housing Profile, Zambia needs to construct close to 2 million housing units by 2030. 3.4 Availability of Idle Land Idle or vacant land has been blamed for the development of unplanned settlements in developing countries. Kazaara (2006) has argued that the prevalence of idle land, owned by either the state or absentee landlords, entices the migrants, the landless and the homeless. In Zambia, unplanned settlements have emerged in areas that had land that was vacant. And it is for this reason that most unplanned areas are on the fringes of cities and towns, which in most cases were unoccupied land. 3.5 Economic Hardships Hari (1991) has pointed out that the reasons why people squat are either internal or external to the squatter. Internal reasons include lack of collateral assets; lack of savings and other financial assets; daily wage/low-income jobs which, he argues, are in many cases semi-permanent or temporary The Status quo report of the Lusaka integrated Development plan, quoted in Zambia Country Report made the following observations: That poverty levels were worse in informal settlements than elsewhere in the city; Health was generally poor; Informal employment was estimated at 65% and unemployment at 28% in the informal settlements; External reasons include high cost of land and other housing services; apathy on the part of the government to assist the poor. Hari (ibid) contends that these reasons leave no option for the low-income householder, but to squat on a vacant piece of land. Apart from the above stated factors, the Discussion Document on the Revision of Legislation related to Spatial Planning in Zambia has highlighted a number of problems which seem to have greatly contributed to the growth of unplanned settlements in Zambia, and these include the following: Outdated pieces of planning legislations; Having too many actors in the planning process; 13 of 100

14 of 100 That the planning process in Zambia was characterized by power struggle between local authorities and other players; There is no provision for public participation in the plan making process in the Town and Country Planning Act as well as the Housing Act. The discussion paper has observed that public involved in the planning process is limited to placing advertisements in the press and gazette to which a limited number of people have access; and Due to political interference, Local Authorities find it difficult to carry out their mandated planning tasks, which include preventing illegal developments. One of the effects of this has been the proliferation of unplanned settlements in urban Zambia (Ministry of Local Government and Housing, 2008).

4.0 Basis for Selecting Kanyama as an Intervention Settlement Introduction Specifically for the city of Lusaka, a Comprehensive Urban Development Plan (CUDP) has recently been prepared and approved with the support of the Government of Japan through the Japan International Cooperation Agency (JICA). The plan is expected to be implemented in 2012 with major infrastructure investments including a ring road, drainage system and extension of the water supply network, among others. These interventions will impact on informal settlements, especially high density areas where the population is predominantly young and unemployed, and in which complex socio-political settings can be observed. Considering that 2011 has been an election year, and the increasing number of people settling in informal urban areas, a strong political will can be found in Zambia to address urbanization and slum formation issues. Multilateral and bilateral assistance for urban development is emerging. However, establishing adequate institutional capacity for proper planning and implementation of upgrading activities through basic/social services delivery and infrastructure development is still a challenge, especially at the level of Lusaka City Council (LCC). Furthermore an overall framework of intervention, such as an urban policy, is missing. There is urgent need to define an integrated approach focusing on the regularization and upgrading of Lusaka s peri-urban unplanned and un-serviced settlements. 4.1. Selection of the informal urban areas of intervention in Lusaka This study intends to focus on one informal neighborhood of Lusaka to apply an integrated slum upgrading approach which can then be replicated and scaled up to other unplanned areas of the city. The following main criteria were applied to select this neighborhood: Priority informal areas presented by the government of Zambia, while discussing the Lusaka Water Sewerage, Sanitation Drainage program (LWSSD); Priority informal areas as described in the CUDP supported by JICA, which puts distance from the central business district (CBD) as one of the main criteria, because urban renewal in those areas could be more attractive for investments; Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further; Level of poverty of slum dwellers. As explained above, the CUDP supported of JICA indicates as priority informal areas of Lusaka to be upgraded or renewed in the short term those closer to the city Centre. These are: Kuku/Misisi/Frank and Chaisa, which are areas prone to flooding and moderate flooding respectively, with a poor grid network. Due to the latter aspect, infrastructure development in these areas would imply important costs and significant relocation of dwellers. Under these conditions, concrete impact of project activities would be difficult to be obtained considering the relatively short implementation and the limited budget. Chibolya, next to Misisi, where the inner ring road will be passing. This area has already being considered for improvement by JICA itself, hence it was not recommended. Garden shows a poor but partial grid network (i.e. infrastructure development there should somehow be cheaper and easier to implement than in Misisi or Chaisa) and is much prone to flooding when it rains. In fact, this is where the Bombay primary channel is facing major difficulties for draining storm waters. 15 of 100

Kanyama and John Laing are the other areas which show a poor but partial grid network and are much prone to flooding. In addition, according to the surveys carried out during the elaboration of the CUDP, the population living in this area is poorer than in Garden. Importantly John Laing is adjacent to Kanyama 4, and both constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the support of the MCA-Zambia, as part of the series of pre-feasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of closed catchment which suffers from severe flooding after a storm event. In terms of number of people, the population of Kanyama and John Laing was the most affected during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement. When consulting with the MLGH and the LCC, it was confirmed that Kanyama is a suitable and priority area for UN-Habitat intervention under this proposal. Some data already exist for this informal neighborhood, which can be found in the CUDP and the MCA-supported pre-feasibility studies, but specific surveys and assessments, especially regarding land tenure issues, water and sanitation, socioeconomic conditions and affordable housing still need to be collected. Importantly, Kanyama is being considered as priority area for implementing the water supply component of the MCC/MCA- Zambia. 4.2 Participatory Planning Session to Identify Priority Interventions in Kanyama On 16 th December 2011, a participatory planning session was held at the constituency office in Kanyama. In attendance was 35 Kanyama Ward Development Committee representatives for all 13 zones, representatives of community based enterprises, Lusaka City Council Officials and UN-HABITAT 5. The purpose of the meeting was to identify, in a participatory manner, priority upgrading interventions. After deliberations, discussion and use of the pairwise ranking methodology a list of priority interventions was established as indicated in column 1 of table 1. However, after further discussion and voting, priority interventions were determined as indicated in column 2 of table 1 below. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Methodology Priority Ranking After Voting Solid Waste Collection 1 Roads and Drainage Water and Sanitation 2 Solid Waste Collection Clinic High School Roads and Drainage 3 Water and Sanitation Establish Local Council Office to deal with land matters House Numbering Land Tenure 4 House Numbering and Security of Tenure Modern Market 5 Clinic Recreation 6 High School Shopping Mall 7 Establish local Council Office 4 NB: Kanyama is located a bit further away from the CBD and the main roads, hence is classified as secondary priority areas in the CUDP supported by JICA. 5 See Annex 2, for attendance details 16 of 100

Post Office 8 Recreation Bank 9 Bank 4.3. The role of UN-Habitat With its recognized experience in urban development throughout the Global South and its mandate to coordinate efforts by the international community to achieve urban poverty reduction targets of the Millennium Development Goals, UN-Habitat seeks to assist the Government of Zambia to advance an urban planning agenda with the aim of facilitating the PSUP program delivery in water and sanitation in Lusaka. Between 1997 and 2007, Zambia participated in the UN-Habitat Sustainable Cities Program together with the City Councils of Lusaka and Kitwe. The program supported capacity building at city and community levels to reduce poverty through participatory urban environmental planning and management. UN-Habitat has accumulated significant experience in slum upgrading through participatory approach, informing national policies and strategies, in Mozambique, Sudan, South Sudan and Burkina Faso, just to give few examples. The overall intervention strategy to be adopted by UN-Habitat in Zambia, which represents a clear added-value to the PSUP implementation plans in this country, can be described generally as follows: (i) Ensure bottom-up participatory approach, systematic local consultations and support to community-led initiatives including enumerations and precedents; (ii) Provide proper tools for institutional partners (public, private and popular) as well as practical, on-the-job, experience preparing urban plans and implementing upgrading activities that once piloted, can demonstrate the approach; (iii) Identify livelihood and income generation strategies that draw upon smart growth strategies predicated on the gradual introduction of basic grid street plans and mixed-use zoning; (iv) Propose affordable and environmental-friendly housing strategies targeting low-income households, including the establishment of revolving-loan fund mechanisms; (v) Promote dialogue and establish partnerships between government, cooperating partners, urban poor organizations, professional associations, the domestic financial service industry, private utilities, and academics; (vi) (vii) 5. Overall Objective Review and refine the policy frameworks; and Establish strategies to reduce risks associated with disasters that mitigate the vulnerability of residents in flood-prone settlements, drawing upon the above mentioned actions as these are rolled-out in Lusaka, thus integrating climate change adaptation, disaster risk reduction and poverty reduction. The aim of this application is to assist the Government of Zambia (GoZ) in delivering the PSUP by looking into participatory slum upgrading and prevention with special focus on informal and un-serviced areas, building proper institutional capacity at both central and local levels, promoting dialogue and coordination among the different stakeholders in the public, private and popular sectors as well as development partners, and implementing pilot demonstration activities that build upon community-led initiatives. Such crucial interventions are intended to support the development of policy and regulatory tools on peri-urban settlement upgrading in and around Lusaka city, and the implementation of a comprehensive and sustainable upgrading initiative that includes security of tenure, improved livelihoods, financing strategies, as well as infrastructure and basic services. 17 of 100

6. Specific Objectives To achieve the proposed assistance to the GoZ, four specific objectives are defined, namely: 1. Analysis, assessments and stakeholder consultations carried out ; 2. Strengthen the capacity of Lusaka City Council and Community institutions in participatory slum upgrading and prevention and pilot urban upgrading activities in Kanyama ; and 3. Leverage and coordinate additional private and donor funding to provide complementary urban upgrading activities in Kanyama and scale-up pilots. 7. Proposed Interventions/Technical Approach Strategically, the project will be implemented in two phases. A Preparatory Phase, during which further analysis, assessments and stakeholder consultations carried out (as per Specific Objective 1); An Implementation Phase, during which capacity building activities will be delivered and pilot demonstration interventions carried out (as per Specific Objectives 2). Leverage and related coordination activities (under Specific Objective 3) will be carried out during both Phases and the incorporation of lessons learned from experience in Kanyama. Preparatory Phase Under the Specific Objective 1: Analysis, assessments and stakeholder consultations carried out - Planned Activity 1.1: Carry out strategic planning, surveys and assessments in Kanyama - - Sub-Activity 1.1.1: Obtain detailed mapping products of Kanyama through on-the-job training of LCC and MLGH technicians and planners, including aspects such as road and drainage network, flood risk areas, housing density, existence of basic/social infrastructure, environmental aspects, etc. - Sub-Activity 1.1.2: Carry out specific a socio-economic survey at the household level in Kanyama by applying a sampling scheme (data to be disaggregated by sex) through community-based organizations (CBOs) residing in these informal settlements (to be specifically trained for the purpose) looking at issues such as: family size, land tenure, average income, livelihood options, access to basic and social services, gender issues, etc. Planned Activity 1.2: Develop guidelines and tools - Sub-Activity 1.2.1: Develop specific slum upgrading guidelines for the Kanyama targeting local government technicians and planners - Sub-Activity 1.2.2: Prepare awareness raising materials for community mobilization on urban management activities such as: sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, among other issues - Sub-Activity 1.2.3: Testing, edition and printing of the prepared guidelines and tools 18 of 100

Implementation Phase Under objective 2: Strengthen the capacity of national and local institutions in participatory slum upgrading and prevention and pilot urban upgrading activities Planned Activity 2.1: Strengthen the urban planning and land management expertise and knowledge at LCC and MLGH - Sub-Activity 2.1.2: Deliver training interactive sessions to LCC and MLGH technical staff on the developed slum upgrading guidelines for the informal areas of Lusaka -Sub-Activity 2.1.2: With the support of the results of the socio-economic survey in Kanyama, conduct on-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support. The participants of these planning sessions, well balanced in terms of gender, will be representatives from the targeted communities, LCC, MLGH, private sector, academia and CBOs. Sub-Activity 2.1.3: Based on the priority slum upgrading interventions from the participatory planning sessions, prepare the needed technical plans and designs with all specifications for implementation. Cost-effective and locally-adapted solutions will be privileged, and community involvement (including women) in labor-intensive activities ensured. The priority interventions to be carried out in Kanyama are described in the following sub-activities, and are consistent with the participatory planning session held in Kanyama in December 2011 and the priorities described in the CUDP supported by JICA Sub-Activity 2.1.4 : Open feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities, by employing community members (including women) as manpower. This will allow the targeted community to receive a temporary income or food (if the food-for-work option will be accepted) and at the same time improve the physical living conditions of their neighborhood. These labor-intensive activities will be supervised by qualified technicians and supported by skilled labor to be hired for the purpose. Opening of feeder roads will facilitate transportation, slum upgrading and the extension of the water supply network to reach more households. In addition, improving the drainage conditions, especially in Kanyama which was almost entirely flooded twice during rainy season within the past 4 years, is a must. Experience shows that digging and paving with concrete slabs secondary and tertiary drains and cleaning the existing main drain, although not solving the problem, at least helps alleviating it. In addition of damaging infrastructure and housing, flooding brings waterborne diseases such as malaria and cholera which provoke many deaths in the peri-urban areas of Lusaka - Sub-Activity 2.1.5 : Stimulate housing improvement/development schemes for those households with secure tenure by establishing a small revolving fund and applying micro-finance mechanisms, to provide a concrete response to the need of affordable housing by the low-income population living in the peri-urban areas Planned Activity 2.2: Establish local urban management structures for income generation and promote community consultations and awareness raising - Sub-Activity 2.2.1: Establish community structures (in which women needs to be adequately represented) with urban management responsibilities which can act as local sub-contractors for delivering services such as road and drainage maintenance, water standpipe management and solid waste collection and recycling. These activities can generate income, stimulate the establishment of public-private partnerships between the LCC and these organized community groups and at the same time maintain the urban system in good health - Sub-Activity 2.2.2: Organize regular gender-balanced community consultations during the whole implementation phase of the project 19 of 100

Under objective 3: Leverage and coordinate additional private and donor funding Planned Activity 3.1: Advance a resource mobilization strategy to support efforts by government to implement the urban upgrading framework (UN, donors, and private sector) - Sub-Activity 3.1.1: Serve as focal point with the ed Nations Country Team (UNCT) to coordinate the participation of other UN agencies in settlement upgrading and urban development, working closely with the UN Resident Coordinator to brief UNCT on progress of the program, integrating ongoing work of other UN agencies, and identifying gaps Planned Activity 3.2: Broker cooperation agreements between agencies/donors and national/local government to invest in the urban upgrading framework - Sub-Activity 3.2.1: Work with UN Resident Coordinator (UNRC) and country representatives of UN agencies to develop multi-year programming by UNICEF, WFP, and other agencies on specific aspects of settlement upgrading and to scale up (and complement) the work of PSUP and UN-Habitat, feeding this into the preparations for the 2014-2019 ed Nations Development Assistance Strategy (UNDAF) Planned Activity 3.3: Facilitate public-private-community partnerships - Sub-Activity 3.3.1: Broker partnership among private banks, community savings associations, LCC, and local micro-finance institutions (MFIs) to develop loan products for self-built house construction that combines community savings, public subsidy, and private capital 8. Partnerships Role of Key Partners The ed Nations Country Team (UNCT), as part of its system-wide effort to Deliver as One UN, regards urban development an emerging priority for multilateral assistance in Zambia, and has called upon UN-Habitat to coordinate the inter-agency process. Under the leadership of the Resident Coordinator, UNCT will serve as coordinating mechanism through which UN-Habitat will facilitate the participation of UN agencies, ensuring they contribute their respective comparative advantages. These include, among others: World Food Programme (WFP) regarding food for work, disaster risk reduction and vulnerability mapping activities; UN Children Fund (UNICEF) concerning water, sanitation, hygiene and education activities. The Ministry of Local Government and Housing will serve as the central government focal point for the initiative, while at the local level the program will involve the Lusaka City Council, the targeted communities and their organizations, as well as professional associations representing domestic banks, property developers, information technology, utility operators and academics. The members of the National Habitat Forum that UN-Habitat helped to establish will play an important advisory role during the implementation of the project. These are, among others: the National Housing Authority, Habitat Civic Forum, Habitat for Humanity Zambia, Swedish Cooperative Centre, Slum and Shack Dwellers International, FinMark and other international and national NGOs. The Local Government Association of Zambia will be another important partner. While private industry representatives have not featured historically in the National Habitat Forum, an effort will be made during the project to reach out to them. This will involve a series of consultations with private companies including banks and micro-finance institutions, and Lusaka-based subsidiaries of mobile phone corporations. It will also include private utility operators keen to expand service delivery to informal settlements through partnerships with community organizations. 20 of 100

UN-Habitat together with the Government of Zambia will draw upon and contribute to the African Ministerial Conference for Housing and Urban Development (AMCHUD), established by UN-Habitat in cooperation with the African Union to strengthen the capacity of member States to manage rapid urbanization. Regarding international partners, UN-Habitat will continue to work with MCC, the members of the Cities Alliance and also reach out to SIDA, JICA, DANIDA, UNDP and the EC regarding slum upgrading, capacity building and basic infrastructure development. Efforts will be made to incorporate urban development more strategically into the ed Nations Development Assistance Framework (UNDAF) by working through the ed Nations Country Team drawing upon the innovative work in Lusaka of WFP, FAO and UNICEF. Further, UN-Habitat will work closely with the Country Director of the World Bank to explore ways to align the project with the Country Assistance Strategy and link the Ministries of Economic Planning, Finance and Local Government. 21 of 100

B.2 Policy and Regulatory Framework Review 22 of 100

ZAMBIA PARTICIPATORY SLUM UPGRADING (PSUP 2) POLICY AND INSTITUTIONAL REVIEW DECEMBER 2011 23 of 100

1.0 Policy Review and Institutional Framework 1.1 Introduction The Participatory Slum Upgrading Programme (PSUP) was launched in April 2008 with a view to contributing towards urban poverty reduction and implementation of the Millennium Development Goals (MDG s), particularly MDG 7, Target 11 through participatory and sustainable slum upgrading activities. The PSUP, with the assistance from the European Commission (EC) and the African, Caribbean and Pacific (ACP) Group of States, is one of UN-HABIATATS s key initiatives to mobilise partners and resources to commonly contribute to urban poverty reduction. In many African, Caribbean and Pacific Countries, the urban poor live in slums. Currently, half of the ACP countries where the PSUP is being implemented are progressing in addressing urban poverty in a participatory and holistic manner. The programme consists of three phases: (i) Urban profiling; (ii) action planning and programme document formulation; and (iii) project /programme implementation. In Zambia, the Urban Housing Profile co-financed by the PSUP has just been completed, in which more than 60 key government and non-government partners have contributed from the general methodology and approach to making crucial comments on the draft report that was released in early December 2011. At the request of the Ministry of Local Government and Housing, the main focus of this Profile was on Housing Policy in order to meet the urgent need to contribute to the Housing Policy review which will be undertaken by the Zambian Government soon and future possible formulation of an Urban Policy. The Profile also focuses on and identifies limited housing supply for low income families. 1.1.1 Policy Review During the copper boom that followed the country s independence, Zambia s cities developed quickly and, from a spatial viewpoint, inefficiently. Previously, towns were not intended to be permanent homes for the majority of the country s workers; thus, legal tenure and the provision of housing and amenities for informal residents were not priorities. With prosperity and rapid urbanization, the republic s new government installed sophisticated and costly urban infrastructure, confident that copper export earnings would provide for its support and maintenance. In fact, however, the infrastructure soon became dilapidated, and operation and maintenance costs let alone those for debt service remained unrecovered. The years of central planning created another, perhaps more significant problem: the development of a culture of dependence on the state and the top-down provision of services. Zambia s 1991 Local Government Act attempted to reverse this centralization, giving the country s city and municipal authorities greater autonomy and responsibilities. However, it did not provide concomitant resources, thus continuing the decline of urban infrastructure and services Today, Vision 2030 and the Sixth National Development Plan (SNDP 20111-2015) are the principal national plans for social and economic development in Zambia. Vision 2030 is the first strategic plan giving clear vision for the long term development of Zambia. The SNDP focuses on policies, strategies and programmes that will contribute significantly to addressing the challenges of realising broad based pro poor growth, employment creation and human development. Among the SNDP strategies are to: promote the review and harmonization of customary and statutory landownership laws, procedures and administrative practices; promote sustainable land management and facilitate rehabilitation of degraded lands in open areas; improve management of waste, chemicals and effluent; mainstream disaster risk 24 of 100

management in infrastructure development, and Local Government and Housing among others and; provide basic services such as water and sanitation, roads, drainages and other social amenities in municipal settlements. Currently, according to the World Bank, 1 Zambia has a sufficient policy and legislative framework regarding the legalization of unplanned and informal settlements; additionally, both the central and local governments acknowledge the need to recognize and regularize such settlements. However, there does not appear to be a clear policy and strategy as to how to deal with informal or unplanned settlements and much of the existing legislation needs to be modified and streamlined to ensure that it is relevant and enabling. In sum, various attempts have been made, in terms of legislation and policy, to regularize (or declare) informal settlements and bring them into the fabric of the towns and cities, but progress in the implementation of regularization schemes has been slow and hampered by financial and human resource constraints at both the national and local government levels. Numerous government requirements also appear to hamper the provision of basic infrastructure and services to appropriate, affordable standards and the granting of secure tenure to existing informal settlement occupiers. Below is a review of the main policy and legal provisions relevant to slum upgrading and prevention: a) The 1996 Zambia National Housing Policy (NHP) This is the main policy governing housing in Zambia. The NHP was produced by the Ministry of Local Government and Housing in 1996 as an endeavour, in which the government through various development programmes and projects attempted to localize international trends in the field of shelter by realising the two themes of the Habitat Agenda, namely adequate shelter for all and sustainable human settlements development (GRZ, MLGH, 1996; UNCHS, 1996). In the policy, priority is given to housing development through the provision of finance, and it is recommended that 15% of the total national budget be allocated to housing each year. The Policy further provides for making serviced land available for housing development and streamlining the land allocation system; streamlining building standards, regulations, and other controls to meet the needs and capabilities of various segments of the population. It also provides for: encouraging the production and use of local and affordable building materials, helping the poor acquire decent shelter by alleviating their affordability problems, fostering housing areas, which are functional, healthy, aesthetically pleasant, and environmentally friendly, and preparing a national housing implementation strategy. According to the Ministry of Local Government and Housing (MLGH), the NHP was envisaged as providing a comprehensive assessment of the housing situation in the country and was a vision for the development of adequate affordable housing for all income groups in the country. It also highlighted the roles of the various stakeholders in the housing matrix and the coordination for an effective housing delivery system, stressing private initiative whilst strengthening the government s role as the provider of requisite enabling environment for sustainable housing delivery. 1 (World Bank, 2002: 10). 25 of 100

In the introduction to the NHP the availability of infrastructure, services and economic opportunities in urban areas compared to rural areas is seen as a contributing factor to the housing problem, as it has encouraged migration into towns and cities for a seemingly better life at scales that cannot be sustained by the resources and infrastructure of the receiving centers. Unfortunately, the reality has been that most of these rural folk hardly find the space to participate in the economic opportunities and or cannot afford to use much of the infrastructure and services the cities offer. This trend contributes to the creation of unplanned settlements with their attendant poor living environments and also the poor and inadequate housing prevailing in the country. The policy identified 12 issues constraining effective housing and infrastructure delivery, as being: (1) population, (2) existing housing situation and rate of supply, (3) access to land tenure, (4) infrastructure, (5) legislation and housing, (6) housing standards, (7) building materials, (8) housing finance, (9) institutional housing, (10) informal housing, (11) housing for the disadvantaged, and (12) rural housing (GRZ, MLGH, 1996, p. 6). The effect of each constraint was itemized and formed the basis on which the government was compelled to act. Key among the constraints is access to land. In Zambia land has since time immemorial been held under customary tenure until the 1960 s when leasehold and freehold tenure systems were introduced. Of the total land mass of the Country, customary land is estimated to be 94% while state land is estimated at 6%. Population increase in the last 4 decades has created localized pressure for land and problems of access and equity for the poor and other vulnerable groups especially in urban centers. Other constraints include: inappropriate laws relating to land tenure systems, inadequate budgetary allocations for provision of infrastructures services, and, lack of affordable building materials were some of the constraints seem to be deterring housing delivery. Major constraints were itemized as follows: provisions of the Land (Conservation of Titles) Act 1975 retarded housing development, especially with regard to land delivery; the alienation and Deed registry procedures was highly centralized and cumbersome; inadequacy of serviced land; and, the rating system was inequitable and had a tendency to discourage investment in housing (GRZ, MLGH, 1996, p. 7). It should be noted that the NHP has not impacted as expected because an implementation strategy to operationalise the policy was not developed, a view supported by the Fifth National Development Plan (GRZ, MFNP, 2006) and Noyoo (2008). Even the National Housing Development Programme (GRZ, MLGH, 1996a), and the revised draft National Housing Policy (GRZ, MLGH, 2007) are all void of one. This could be attributed to perhaps a lack of political will, a lack of resources or trivializing the importance of a strategy. Further, in a weak economy like Zambia, advocating for the allocation of a minimum of 15% of the national annual budget to housing, and yet the same policy was talking of investments in housing having dropped from about 3.0% of GDP in 1969, to less than 0.5% of GDP by 1992 (GRZ, MLGH, 1996). This proposal meant jumping from 0.5% of GDP to 15%.This would demand new priorities and sourcing of other funds through the increased involvement of the private and non-governmental sectors. Additional resources to GDP: The NHP suggestion of establishing housing banks may contribute to private sector involvement but many factors in the delivery of financial services, such as interest rates, issues of collateral would need to be resolved. A financial sector reform programme, coordinated by the Central Bank, was launched 4 years ago to deal with factors affecting delivery of financial services. 26 of 100

Other legislation in slum upgrading and prevention include: b) The Rent Act of 1972 in its form and content, it discourages investors in housing due to the over protection of tenants against eviction for any breach of covenants. c) The National Housing Authority Act Chapter 426 of the Laws of Zambia which was created to advise the government on housing policy and to take an active role in the industry, has not performed some of its major functions due to lack of funding by the central government. This has been the case for a number of sectors as the government battles with increasing competing financial needs and a shrinking public financial resource base. d) A new form of land ownership known and referred to as Sectional Title, which dispensed of the normal cadastral surveying, did not exist in Zambia until late 1994. It was therefore impossible for any person to own a unit of accommodation such as a flat or house in a block of flats or in a housing scheme. e) The Land Act of 1975 centralized, among other restrictive provisions, the allocation of land in the country. By this statute, all land transactions have to invariably involve the commissioner of Lands. This creates significant delays and corruption in the allocation system as one person can not efficiently manage and make decisions on all land transactions. The 1975 Land Act and its amendments introduced many controls and restrictions which in turn has discouraged property investment for non-zambians. 2 f) The Housing (Statutory and Improvement Areas) Act, Chapter 441, which provides for the control and improvement of housing in Statutory Housing Areas and in Improvement areas. It also provides for the issuance of certificates of title and occupancy licenses, which gives security of tenure. Although the issuance of an occupancy license only takes about 4 weeks, the declaration of a settlement as an improvement area, the basis on which the license will be issued, can take more than 5 years. Major weaknesses to this legislation are found in its restrictions to individual and private sector participation in housing schemes. In addition, this Act precludes other laws from applying to areas of its jurisdiction. Necessary amendments are required to bring the Act in line with market oriented housing delivery mechanisms. g) The Land (Conversion of Titles) Act, Chapter 289 and subsequent amendments, which provided for administration and alienation of land, required immediate review for an efficient land administration system. Currently, land administration still remains very centralized and inefficient with the Commissioner of lands playing a significant role. h) The Local Government Act of 1991, providing for Council Bye-laws. The Local Government Act (1991) is important in relation to housing as it has implications for the role of the local authorities and the responsibilities they carry for plan preparation, implementation of plans and provision of services. The Act provides for the administrative structure in different types of local authorities, the establishment and the constitution of Councils, standing and occasional committees and management boards. The Act also describes the functions of local councils and the administrative requirements to carry out those functions. The imposition of levies, fees and other charges are also covered.. 2 Phiri (2005). 27 of 100

i) The Public Health Act providing for Building Regulations and Standards. The Building Regulations for urban Zambia are prescribed in the Public Health Act 3 and relate mainly to Sanitation and Housing. They apply mainly in formal housing areas, areas classified as Statutory Areas, or areas within an Urban Development Plan under the Town and Country Planning Act. The Regulations do not apply in informal unplanned areas or Improvement Areas. The Regulations cover issues such as land use, the construction, occupation and use of dwellings (and other buildings), zoning and basic urban services, and sanctions against breaches of the Regulations. They set a very high standard, among which include materials to use, minimum space of a room, size of windows that most developers in Zambia fail to meet. Under Section 66, Local Authorities must prevent or remedy danger to health arising from unsuitable dwellings. Councils are supposed to closely monitor housing construction and usage (including overcrowding) to ensure that they comply with the Regulations. Owing to inadequate institutional capacity, however, enforcement of the regulations is very weak in most cities and towns offenders are not prosecuted or made accountable. The inability to enforce the regulations has led to uncontrolled developments, even in conventional areas. Rarely have local authorities issued closing orders on, or demolished unfit dwellings. The informal sector builders know the regulations but do not follow them because they increase the cost of building beyond what ordinary people can afford. 4 j) The Town and Country Planning Act, Chapter 475, providing for land use planning and standards. The status of the draft bill of Town and Country Planning Act is not known as of February 22, 2008. On October 2007, a discussion document for the preparation of the Urban and Regional Planning Bill was submitted to MLGH. The report presents a new participatory and transparent planning process with the concept of integrating development planning with local planning. The bill has not been adopted, however, it is expected that the direction of planning decision making will be done at lower levels of the government. With this revision, there may be other related laws that need to be consequently revised. SIDA is currently preparing the draft bill. The decentralization policy of governments will be addressed in the draft bill, which would affect emphasis on capacity development planning. The basic capacity of the City Planning Department and Engineering Services Department needs to be augmented as a capacity development plan, incorporating possible effects from the revised Town and Country Planning Act. k) The Land Acquisition Act 1970. This Act gives the President the power to acquire any land in the public interest by compulsory acquisition. Holders of affected land can appeal against the decision and on the compensation to be paid. The arbitrary power given to the President by this Act may make urban land developers feel insecure as examples can be observed in neighbouring Countries where such power is abused. l) The Building Societies Act (Housing Finance). Zambia National Building Society (ZNBS) was established by the Building Societies Act of 1968 as amended in 1970. The primary objective of establishing the ZNBS was to increase Housing stock in the country by provision of house loans and undertaking construction housing projects. In addition to property Financing, ZNBS also provides Banking services across the country. Unfortunately, over the years ZNBS has not been 3 Cap 295 Vol. 17 Part IX. 4 (Mwango, 2006). 28 of 100

29 of 100 able to provide housing that is affordable to the poor as their current model focuses on the minority middle working class which is considered more secure. Table 1in Annex 1 provides further policy analysis.

2.2 Institutional Framework and Stakeholders 2.2.1 Introduction The Cabinet Office of the Central Government is the highest urban development executive entity in Zambia. The Provincial Administration and, the ministries are directly under the Cabinet Office; the Provincial Planning Offices are within the Provincial Administration. The Provincial Planning Secretariat is the entity responsible for preparing the Provincial Development Plan. The Provincial Development Coordinating Committee coordinates the district plans prepared by the District Planning s. The District Planning in each Council reports to the Provincial Development Coordinating Committee to coordinate the district plans. Various agencies are responsible for providing, operating, and maintaining infrastructure and services in Zambia s urban areas. At the national level, the Ministry of Local Government and Housing (MLGH), through its Department of Physical Planning and Housing, is responsible for identifying housing and improvement areas. The MLGH s Department of Infrastructure Support Services is responsible for the management of donor projects that support infrastructure development, improvement, and rehabilitation. Local authorities are responsible for the provision of council-owned housing, management of informal settlements and allocation of land. In Lusaka for example, there are two directorates under the City Council s Housing and Social Services Department, one for conventional housing and the other for periurban housing. All informal settlements fall under the Peri-Urban Housing Directorate which was established in 1974. Other city councils have housing and social services or community services departments that are responsible for informal/unplanned settlements. City and town councils are responsible for local planning, development control, provision of local roads, drainage and solid waste management plus other environmental health functions. Water, sewerage, and sewage treatment are now the responsibility of commercial utilities, established in Lusaka some years ago but only very recently established (July 2000) in other towns and cities on a regional basis (e.g., there are three commercial utilities covering the Copperbelt). 2.2.2 Role of Local Government It is recognized in Zambia that urban development is very much a local government matter. To this end, local authorities are responsible, under the 1991 Local Government Act, for the following functions: creating capacity in order to provide necessary services, setting local housing delivery goals, creating and allocating land for housing purposes, providing and maintaining infrastructure services to open up land for housing development, enforcing building standards, regulating land-use and controlling development, establishing and managing upgrading and site and service schemes, providing community and recreational facilities in residential areas, constructing low-cost housing and selling it (or existing housing) at market rates. Additionally, local planning authorities ensure that land for housing and basic services is identified and planned for in good time and that appropriate planning standards are in place for the quick and efficient development of settlements. 30 of 100

Urban Planning: Local governments (Province, District, City and Municipality) are required to formulate the Development Plan based on the Town and Country Planning Act (TCPA1962 under MLGH) including spatial and socio-economic development frameworks. In the decades recently, the Government (Ministry of Finance and National Planning) has promoted to establish the Integrated Development Plan (IDP) as the Shortmedium Term Year Plan (three to five years) in line with the National Development Plan (five years) focusing on budgeting and implementation. These two types of plan were formulated in 2008 for Greater Lusaka Area. Zambia has three types of councils: City, Municipal and district. City and municipal councils are Planning Authorities whilst district councils are not. Their urban functions are performed by the Department of Physical Planning and Housing in the Ministry of Local Government and Housing. Therefore, local authorities in Zambia are agencies for town planning and so is the MLGH which has the portfolio for town planning at the national level with responsibilities for policy development and guidelines not only for town planning but also housing The third town planning agency is the Ministry of Lands which has responsibilities for surveying, registration and offer of title. Figure 2 lists the agencies in town planning and their responsibilities District Councils (55) Municipal Councils (14) City Councils (4) Ministry of Local Govt. Housing Ministry of Lands Policy Development & Guidelines Approval of Development Plans Planning Authorities Preparation of Development Plans Final Approval & Issuance of Certificate of Title Surveying Development Control Layout Preparation Approval/ Recommendation for Offer of Plots Figure 2: Public Town Planning Agencies and Responsibilities A special department called The Department of Housing and Infrastructure Development (DHID) was set up in MLGH 1988 to replace the former Department of Housing. It is mandated to provide support services to local authorities development programmes in form of consultancy services, technical guidelines, policy formulation, legislation, and resource mobilization for many infrastructure projects in various parts of the country. It facilitates projects associated with infrastructure development (i.e. construction, rehabilitation, repair and maintenance) of urban, peri-urban and rural water supply and sanitation services, roads and market places in order to provide decent trading places and a clean 31 of 100

environment. The departmental goal is to facilitate infrastructure development, improving co-ordination between the Ministry and local authorities, donors, NGOs and other stakeholders. The programmes are funded through the national budget and donor supports. Performance of the department Regularizing informal settlements has not been as aggressive as it was in the 1960s and the 1970s, and as already noted, even those who get occupancy licenses do not easily get title deeds. In road infrastructure, this task is handled by the National Roads Board, and the activities of the DHID are confined to periurban roads, which have not been maintained or rehabilitated for a long time. Water supply and sanitation is an area where a lot of progress is being made. Urban water supply was implemented by the World Bank and water and sewerage utility companies were set up in each district, and they fall under the DHID. The problems are mostly linked to administrative, coordinating and funding bottlenecks, which also interpret into operational hurdles. The DHID lacks adequately qualified manpower, and most of their projects have to be done in conjunction with other ministries such as the Lands Ministry. This means coordinating two or more ministries each with their own inherent challenges. Most of the projects are undertaken with financial assistance from cooperating partners. This means they have to meet very strict schedules and tight budgets, which is difficult for a poorly staffed department. 2.2.3 Traditional Authorities Chiefs and traditional leaders are very important to Zambian life, especially outside the urban districts. Potentially, they can play a key role in development. Recently, the House of Chiefs was reestablished composed of all senior traditional rulers. It has been established as some kind of Parliament for traditional rulers. After the 20 th September 2011 elections, the new government also established a new Ministry for Chiefs Affairs. Within city boundaries, the chiefs no longer have any authority to allocate land but, in the majority of the country, they are the agents of land allocation. Land is vitally important to Zambians so the traditional authorities ability to ensure that all Zambians have land if they want is central to Zambian culture. Chiefs are responsible for, and play a significant role in, land allocation and development outside municipal borders by consenting (or not) to applications for land. Their permission is a statutory requirement for anyone to be allocated land in a customary area. As a result of their role in land allocation, some Chiefs have succumbed to corrupt practices involving land speculators who want to acquire large tracts of land on the edges of the cities. There is no audit into how much land they have alienated for housing and other developments. Customary powers are enshrined in the Constitution of Zambia but some pressure groups argue that chiefs are abusing their powers to alienate land to business ventures without consulting their people. 5 The Constitution assumes supremacy over traditional leadership, including on matters related to land; it vests the final say in all dealings on land in the State or President who can reverse (or vet) some of the decisions of Chiefs. 2.2.4 Resident Development Committees (RDC) or Ward Development Committees (WDC) In peri urban areas, the RDC s or WDC coordinate settlement level activities including planning and coordinating infrastructure and service provision. They act as a link between the Local Authorities, 5 (Zambia Land Alliance, 2011). 32 of 100

donors and NGO s on the one hand and settlement residents on the other. These Committees have been instrumental in ensuring that residents take part in determining settlement priorities for more than two decades now, a function which has greatly increased the success and sustainability of infrastructure and service provision in peri urban settlements. In Lusaka alone, there are 33 WDC s that were formed and are supported by LCC. The RDC s/wdc s have tended to concentrate purely on the development needs of local residents especially in legalised unplanned settlements. The government has recognized the important contribution of WDCs in governance in the National Housing Policy and the National Decentralisation Policy to facilitate development and implement development projects in a settlement. 6 WDCs have been established in most settlements and the major city authorities make it their business to collaborate with them. They and other CBOs try to mobilize resources for upgrading projects in unplanned settlements from City Council revenues (generated from levies and rates), local and international donors, the Constituency Development Fund, the Ward Development Fund, and the local business community. 7 6 UN-Habitat (2007). 7 UN-Habitat (2009c). 33 of 100

3.0 Proposals for Review 3.1 Introduction It is clear from the foregoing that a number of changes need to be made at different levels. At Policy level revisions and amendments are required to ensure that legislation recognizes unplanned settlements and the attendant development needs. At Institutional level, greater coordination among institutions from National to sub district level is necessary. Due to the magnitude of the task, private sector participation is inevitable. Below are some proposals for review: 3.2 Proposals for Review The Housing (Statutory and Improvement Areas) Act 1974 is in conflict with the Town and Country Planning Act, CAP. 283 section 31(1). For example, while planners were mandated by the Town and Country Planning Act, CAP. 283, to demolish any settlements or structures built without planning permission or approval, the Housing (Improvement Areas) Act, was for regularization through upgrading. This is inspite of the Town and Country Planning Act being the main Act guiding land use development. Due to the above conflict, the Town and Country Planning Act has had no role in an Improvement area. The Country Assessment Report has observed that land administration policy in Zambia has been guided by the1995 Lands Act, and that the current land legislation was inadequate in terms of protecting the poor ( Upgrading of low income settlements, Country assessment Report, January, 2002 ) Consequently, the Zambian government had made an undertaking through the Fifth National Development Plan ( 2006-2010 ) to develop a new land policy during the plan period to address what it called the multitude of constraints in the land sector, which included review of legislation. It went further to state that government shall review the structure of the Ministry of Lands with a view to bringing all land dealing institutions under one roof. (FNDP, 2006-2010, p.57). Mention needs to be made here that the proposed review seems to have started, as there was already a Discussion Document on the Revision of Legislation related to Spatial Planning in Zambia. It was observed above that the existing policy gives Local authorities the mandate to identify and declare unplanned settlement as an improvement area. However, early last year (2009), the late Minister of Local Government and Housing, Ben Tetamashimba had directed Local Authorities to upgrade all unplanned settlements in Zambia. This policy directive was not only unrealistic, but could easily create confusion among the Local Authorities, as this would be misunderstood to mean abandoning the procedures and processes of selecting settlements to be upgraded. Furthermore, when the local authority had declared a settlement as improvement area, and conducted a study, the lay out plan had to be submitted to the Surveyor General for approval. As if this was not confusion enough, the council had to effect improvements in the area in accordance with the specifications of National Housing Authority, NOT The Housing (Statutory and Improvement Areas) Act. To make planning legislation relevant and current, there is urgent need to revise and integrate all pieces of legislation that guide development planning in Zambia into a single Act. This would go a long way towards resolving coordination problems. The updated and integrated planning Act should clearly spell out the planning responsibilities of each and every agency that would be involved in the planning process. This would prevent omissions and duplications of activities by various actors; 34 of 100

There is need to strengthen the enforcement of planning regulations to avoid the expansion of unplanned settlements, development without planning permission, and other related planning problems; In general, there appears to be a sufficient policy and legislative framework in Zambia regarding the legalization of unplanned and informal settlements; additionally, both the central and local governments acknowledge the need to recognize and regularize such settlements. The way this regularization presently works in Zambia is as follows. Currently, the majority of land on which informal settlements are situated is publicly owned. The Council will be required to prepare plans (Improvement Area Plan) showing the particulars or details of the area deposited with and duly approved by the Surveyor-General and the Registrar of Lands and Deeds. The Improvement Area Plan submitted for approval of the Surveyor General should contain detailed information on the following: - a) the name and description by which the Improvement Area is known or to be known; b) the existing roads, if any; c) the roads proposed to be constructed; d) the existing areas for common user; e) the proposed areas for common user; f) the location of each building identified by a serial number. These settlements must be recognized by municipal administrations and regularized (declared) by the national government, through the Ministry of Local Government and Housing (MLGH), so that occupiers of plots within them can obtain tenure. The regularization process can take up to or more than 5 years as the Councils prepare the various detailed documents for the Surveyor General and await final Ministerial approval. Until Ministerial approval is given, no regularization takes place and therefore no occupancy rights can be issued by the Council. The Department of Physical Planning and Housing in the MLGH considers regularizing an unplanned/informal settlement if (1) 60 percent or more of the land on which the settlement is located is publicly owned, (2) the settlement has been in existence since 1974, (3) development for which the land is zoned on the development plan is not imminent, and (4) 50 percent or more of the dwelling structures in the settlement are constructed of conventional materials. Normally, after a settlement is declared an improvement area, the city council is able to issue 30-year occupancy rights. Most occupants of houses in informal settlements deem this to be an acceptable form of tenure that gives them adequate security, although most lending institutions do not accept this form of title as adequate for borrowing. The 30-year occupancy license is renewable. There is no clear policy and strategy as to how to deal with informal or unplanned settlements, and much of the existing legislation needs to be modified and streamlined to ensure that it is relevant and enabling. For example, the National Housing Authority Act, Cap 426, gives the National Housing Authority sole responsibility for managing Zambia s housing portfolio; this approach should be reviewed with an eye toward allowing for private sector competition in the supply of goods and services. Similarly, the 1975 Housing (Statutory and Improvement Areas) Act, Cap 441, has major weaknesses with regard to its restrictions on private sector participation in housing schemes. This Act provides for the control and improvement of housing (statutory housing areas and improvement areas) and is considered the principal legislative document on upgrading regulations; it also provides for the issuance of certificates of title and occupancy licenses, which give security of tenure. The act precludes other laws from applying to areas of its jurisdiction, however. Amendments are needed to bring the act in line with market-oriented housing delivery mechanisms and to better address the unplanned settlement situation. The Land (Conservation of Titles) Act, Cap 289, also requires immediate review to ensure an efficient land administration system. 35 of 100

More recent legislative and policy developments include a National Housing Policy unveiled by the MLGH in 1996, which sets forth an ambitious set of objectives, including allocation of at least 15 percent of the national annual budget to housing to support a sustainable housing development program; making serviced land available for housing development and streamlining the land allocation system; streamlining building standards, regulations, and other controls to meet the needs and capabilities of various segments of the population; encouraging the production and use of local and affordable building materials; helping the poor acquire decent shelter through alleviation of affordability problems; fostering housing areas that are functional, healthy, aesthetically pleasant, and environmentally friendly; and preparing a national housing implementation strategy. At present, however, it appears that few of these objectives are being achieved. The Department of Physical Planning and Housing within the MLGH is also currently drafting terms of reference to aid in formulating a peri-urban strategy policy. To date, a Peri-Urban Water Supply and Sanitation Strategy has been developed with UNDP-World Bank assistance, which has led to the enactment of the National Water Act and stimulated the establishment of water utilities, water trusts and voluntary Water Sanitation and Health Committees (WASHE) to deal with water and sanitation issues in settlements. Despite the development of this strategy important issues of access, drainage, solid waste management, community facilities, and land and tenure still need to be considered. The PSUP programme will add value and contribute greatly as it deals with these important issues. In addition, the Local Government Act (1991) does not specifically identify housing as a Council responsibility, but implies the role of the Council in implementing development. The Act maintains the Minister s overriding powers over Local Councils. but leaves out the all important aspect of local government finance in terms of central government s contribution to local government coffers 36 of 100

B.3 City-wide Slum Upgrading and Prevention Strategy 37 of 100

1.2. RELEVANCE OF THE ACTION - CITY WIDE STRATEGY With an estimated population of 366,170 1 people, Kanyama is one of the oldest and largest unplanned settlements in Lusaka accounting for just under one-eighth of Lusaka s population. Occupying an area of approximately 366,737 2 square meters, Kanyama is one of the closest unplanned settlements to the Central Business District (CBD) of the City of Lusaka, the Capital of Zambia. In the late 1990 s, the Lusaka City Council (LCC) declared Kanyama an Improvement Area (IA). This means that Kanyama is a recognised settlement which receives government support and occupiers of plots can obtain tenure. However, despite Central Government commitment to provide development finance to IA s, severe budget constraints have prevented adequate financial support from being directed towards IA s. Perhaps the most consistent has been the Constituency Development Fund (CDF). In most instances government has relied on donor support to provide infrastructure and services to IA s and many other cases has only been compelled to respond to critical needs in IA s when there are pending disasters or actual disasters occur. Since the 1960 s Kanyama has experienced 5 devastating floods 3 leaving behind a trail of destruction and disease. In 1996 and 2008 the Programme Urban Self Help (PUSH) through funding from the Disaster Management and Mitigation (DMMU) in the Vice President s Office, conducted rehabilitation of a few key feeder roads and drains through food- for-work programmes. Since then, only community coordinated efforts through the Ward Development Committee (WDC) has been conducted. From the second week of December to the end of January, Lusaka experiences flooding, worst affected is Kanyama, in which sometimes the whole settlement is flooded. The estimated results of the Feeder Roads and Drainage Improvement Initiative (FRDII) are therefore to: Contribute to a reduction in susceptibility to flooding & disruption to infrastructure and related investments Contribute to a reduction in vulnerability to water borne diseases Improve access to the settlement and to essential services Contribute to a reduction in urban poverty Contribute to improvements in Coordination between the Ministry of Local Government and Housing, Lusaka City Council and Ward Development Committee Recently, a Comprehensive Urban Development Plan (CUDP) has been prepared and approved, for the City of Lusaka, with the support of the Government of Japan through the Japan International Cooperation Agency (JICA). The CUDP indicates that priority informal areas of Lusaka to be upgraded or renewed in the short term are those closer to the city. Therefore, the following main criteria were applied to select Kanyama settlement: 1 Central Statistics Office Census 2010 2 Kanyama Ward 10 Development Plan, October 2008 3 Floods experienced in 1968,1978,1990,2001,2008: Kanyama Ward 10 Development Plan, October 2008 38 of 100

Priority informal areas presented by the government of Zambia to Millennium Challenge Corporation, while discussing the Lusaka Water Sewerage, Sanitation Drainage program (LWSSD); Priority informal areas as described in the CUDP supported by JICA, which puts distance from the central business district (CBD) as one of the main criteria, because urban renewal in those areas could be more attractive for investments; Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further. Form December 2007 to the end of January 2008 the CUDP identifies 21 frequently inundated areas, 14 of which were seriously damaged, Kanyama is at the top of the list with almost the entire settlement flooded during this period; Level of poverty of slum dwellers. According to the CUDP, Kanyama settlement (and John Laing) shows a poor but partial grid network and is much prone to flooding. In addition, according to the surveys carried out during the elaboration of the CUDP, the population living in this area is poorer than in similar settlements. Importantly Kanyama (which is adjacent to John Laing), constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the support of the MCA-Zambia, as part of the series of prefeasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of closed catchment which suffers from severe flooding after a storm event. In terms of number of people, the population of Kanyama and John Laing was the most affected during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement. When consulting with the MLGH and the Lusaka City Council (LCC), it was confirmed that Kanyama is a suitable and priority area for UN-Habitat intervention under this proposal. Some data already exists for this informal neighborhood, which can be found in the CUDP pre-feasibility study, but specific surveys and assessments, especially regarding feeder roads and secondary or tertiary drainage still needs to be collected. Importantly, Kanyama is being considered as priority area for implementing the water supply component of the MCC/MCA-Zambia which would create significant synergies with the improvements envisaged under the Agreement of Cooperation (AoC) for Participatory Slum Upgrading Programme (PSUP) in Zambia between UN-HABITAT and the MLGH. Through this AoC, a participatory planning session was held on 16 th December 2011 at the Constituency office in Kanyama to reconfirm priority upgrading interventions. In attendance were 35 Kanyama Ward Development Committee Representatives from all 13 zones, representatives of Community Based Enterprises, Lusaka City Council Officials and UNHABITAT. After deliberations, discussion and use of the pairwise ranking methodology a list of priority interventions was established as indicated in column 1 of table 1. However, after 39 of 100

further discussion and voting, priority interventions were determined as indicated in column 2 of table 1 below, with roads and drainage clearly coming out as the top priority. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Priority Ranking After Voting Methodology Solid Waste Collection 1 Roads and Drainage Water and Sanitation 2 Solid Waste Collection Clinic High School Roads and Drainage 3 Water and Sanitation Establish Local Council Office to deal with land matters House Numbering Land Tenure 4 House Numbering and Security of Tenure Modern Market 5 Clinic Recreation 6 High School Shopping Mall 7 Establish local Council Office Post Office 8 Recreation Bank 9 Bank This intervention, especially when implemented through labour based techniques, will also have a significant impact on Kanyama settlement, which has a high population of predominantly young and unemployed women and men. 40 of 100

1.3. DESCRIPTION OF THE ACTION - CITY WIDE APPROACH The basis for selecting Kanyama as a Priority settlement and feeder roads and drainage as the primary intervention was derived mainly from the CUDP prepared by JICA in March 2009 which identifies Kanyama Settlement as a flood prone area mainly due to poor feeder roads and drainage. Consultations with the MLGH and LCC in October 2011 also identified the same settlement as a priority. The Kanyama Ward 10 Development Plan of October 2008, discussions held with community leaders including the Participatory Planning Session held in December 2011, with key community leaders indicated that roads and drainage was a key priority. The Objectives of the FRDII are therefore to: Improve the quality of life of Zambian citizens living in urban unplanned settlements and contribute towards MDG 7: More than 70% of people living in Lusaka live in unplanned settlements under poor infrastructure and services. Improvements in Kanyama will affect close to one-eighth of Lusaka s population; Improve the key feeder road & secondary or tertiary drainage network thereby reducing susceptibility to flooding and the associated risks of disease and disruption to infrastructure in Kanyama: Kanyama is at the top of 14 worst affected areas in Lusaka that are inundated with floods from December to January each year. During this period most parts of Kanyama are regularly flooded destroying basic infrastructure and causing disease; Empower women and men in Kanyama through labour based techniques as they improve the physical living conditions in their neighbourhood: Unemployment is a Country-wide problem for Zambia but more so in urban areas and unplanned settlements where there is insufficient space to do any form of farming. Often, many young women and men resort to crime, prostitution and drugs to earn a living. Employing community members in roads and drainage improvements will not only provide an income for them but leave them with skills that can be used elsewhere; Support increased collaboration among Lusaka City Government Actors responsible for roads and drainage and other stakeholders: This initiative will provide an opportunity to increase collaboration and capacity for government actors to identify needs and possible solutions. Below are some of the anticipated activities, their related outputs and expected results 41 of 100

Anticipated Activities Related Outputs Responsible Expected Results Meet with community leaders to Identify key feeder roads & secondary or tertiary drainage to be constructed Mobilize and sensitize community Produce layout plan to show costing of identified feeder roads & drainage Identify & Mark affected structures for relocation if any Meet & Sensitize affected residents and negotiate relocation if any Construction of identified feeder roads & secondary or tertiary drainage Key feeder roads & secondary drainage for rehabilitation identified and agreed Community understanding and commitment to participate in the initiative secured Layout Plan, identifying the feeder roads & drains to be constructed and their related costing produced Structures to be relocated marked & identified with community participation and agreement Secure agreement from affected community members to relocate & identify areas for relocation Report of feeder roads & drains constructed WDC,LCC, MLGH ZHPF UNHABITAT WDC,LCC, MLGH ZHPF UNHABITAT LCC,MLGH WDC,LCC, MLGH ZHPF UNHABITAT WDC,LCC MLGH ZHPF UNHABITAT WDC,LCC MLGH -Key feeder roads & secondary drainage for rehabilitation identified and agreed -Community Participation -Community Participation -Improved community cohesion & solidarity Production of Layout Plan -Community Participation -Improved community cohesion & solidarity Community Participation -Reduction in susceptibility to flooding & disruption to infrastructure and related investments -Reduction in vulnerability to water borne diseases -Easy access to the settlement and to essential services -Reduction in urban poverty -Coordination between MLGH,LCC & WDC -Improved community Capacity -Increase in income for community members who take part TIME FRAME: It is anticipated that this initiative will be undertaken in 24 months assuming that Government and community support and participation takes place as has been indicated during consultative meetings. The time frame also takes into account some delays resulting from community consultations to secure lasting agreement. 42 of 100

Zambia s Urbanisation Over the past 30 years UN-Habitat has developed a methodology for participatory planning that it intends to apply in Lusaka for settlement upgrading and urban development. The impact of this approach has shown time and again to significantly reduce poverty. A study conducted by the Institute of Social Studies (ISS) in 1999 reveals that UN-Habitat systematically increased household incomes in the settlements in which it operated. Based on evaluation research that included 1,000 household surveys in seven countries, including Zambia, the study compared households living in settlements where UN-Habitat worked and in settlements that were not part of the initiative. Researchers substantiated that the concepts of community-based planning and comanagement (joint local government and CBO programming) as applied by UN-Habitat significantly reduce poverty. In addition to generating income, participatory settlement upgrading improves health outcomes as it lowers the likelihood of residents contracting water-borne diseases or illnesses associated with contamination by human waste. Healthier households are more productive and avoid spending scarce resources on preventable diseases. A further advantage of participatory settlement upgrading is that it stabilizes neighborhoods economically. It creates confidence among residents to invest own resources in home improvement, small business enterprises, and community facilities. Local capital combined with strategic public investments in road infrastructure, land tenure, water and sanitation create further incentives for private firms based outside the settlement to set up retail branches and offer services. The net effect of settlement upgrading is a boost to the municipal tax base, providing opportunities for further capital investments that can be plowed back into the settlement. While providing clear benefits to the residents of peri-urban neighborhoods and the city at large, settlement upgrading can trigger negative consequences if not properly anticipated and adjusted for. The formalization of water, sanitation, electricity, rental housing can undermine the livelihood strategies of households who derive income from providing these services informally. Efforts to improve the delivery of services must therefore directly involve in the planning process the water kiosk operators, waste collection scavengers, persons skilled in illicit power-tapping, and owners of illegal structures who extract rent. Upgrading can also gentrify neighborhoods forcing up rents that dislocate very low-income tenants. Here the tactic is to introduce improvements gradually, beginning with modest enhancements to streets, followed by storm drainage, electricity and the like; providing block titles, then temporary occupancy licenses, then moving to lease-hold title. A further challenge with upgrading is the need for residents to relocate from their structures to make way for roads and storm drainage systems. As indicated above, the upgrading must be driven by residents who engage in the planning process, arrive collectively at decisions about relocation, and incorporate into the upgrading exercise a protocol for resettlement replete with terms and conditions for compensation. 43 of 100

As part of the preparatory process, UN-Habitat will work with government and local, non- State actors to develop a set of indicators to measure the impact of the settlement upgrading initiative. The agency ill draw upon monitoring and evaluation frameworks that it has used in upgrading programs in Sub-Saharan Africa, Asia, Latin America and Central Asia, working with Zambian counterparts to tailor these to local conditions. A major challenge of measuring impact is to develop a combination of conventional economic, environmental indicators and intermediate process indicators. It is important to measure increases in consumption patterns and improvements in health outcomes, it also crucial to capture the process of social mobilization, stakeholder consultation, and changes in local government attitudes about devolving decision making to residents of peri-urban settlements. Upon establishing an appropriate indicator framework, UN-Habitat will design and apply a survey instrument to document base line conditions in the settlements. Further surveys and focus group discussions will be conducted at the beginning and end of the implementation phase to monitor progress over the course of the project to measure impact. Financial: presuming the compact is put in force, the central financial challenge will be building confidence and consensus among diverse partners to buy-in to the settlement upgrading and urban development program. Lack of trust by communities and their organizations, by government at all levels, by various donor agencies and/or by private industry will limit the modest MCC/GoZ/UN-Habitat investment to a one-off, partial upgrade of two settlements. To address this risk and achieve scale, UN-Habitat has built into the program activities designed to build trust. It will incorporate residents of the settlement directly in planning process, and coordinate and leverage private and donor resources for the urban upgrading framework. Operational: the proposed program is ambitious in its scope of operations, aiming to work with a highly diverse set of actors and to interface with institutional structures in central government line ministries, in the municipal council, and among forms of social organization in the two settlements. UN-Habitat regards working in this way an operational risk worth taking because the objectives of the program require multi-stakeholder, multi-level engagement. A program that combines policy reform, community mobilization, capacity development, tool development, partnership modelling, and donor coordination warrants complex operations. UN-Habitat seeks to minimize operational risks by diversifying its time, resources and staff to engage the various institutional cultures. Political: the quality of life in urban areas featured prominently in the campaign rhetoric of political parties during the elections, suggesting that Zambians of all walks of life will enthusiastically support an urban upgrading program. Another political opportunity is the peaceful transition from one political party to another in Zambia -- the envy of many countries of Sub-Saharan Africa. 44 of 100

Noting these advantages, however, the advent of President-elect Sata will result in major political changes that may impact negatively on the program. There will be a new cabinet, shifts in civil service, and an urban population with unrealistic expectations about the new political dispensation. UN-Habitat is well placed to address these political risks. The Government of Zambia serves on the Governing Council of UN-Habitat and on the African Ministerial Conference for Housing and Urban Development. The agency is also in strong position to facilitate multi-actor platforms that include the new government having worked with LCC and community groups in Zambia since the mid-1980s. Social: Kanyama and John Laing are but two settlements in Lusaka. While UN-Habitat has secured the support of the Ministry and LCC to work in these settlements, there will be communities in Lusaka who feel excluded, and members of the new cabinet with constituency issues. UN-Habitat will address this risk by facilitating the development of an urban upgrading framework. The city-wide scope of this exercise and its association with CUDP and LWSSP will offer opportunities to multiple settlements throughout the city. Another potential social problem is that the benefits of the program will go to a small sub-group of Kanyama and John Laing, confined only to those who are well organized or well connected. UN-Habitat will address this risk by promoting the development of public goods that are well disbursed throughout the settlements, and by diversifying its networks and establishing links with multiple elements in the community including youth, women, entrepreneurs, the disabled, and ethnic minorities adopting practices applied in three regions for over 30 years. Environmental: one ecological risk to this program is that the environmental aspects of settlement upgrading will be side-lined as government and non-state actors focus on improving tenure, planning systems and the built environment. Less consideration will be given to the ecological footprint of the program, including measures to adapt to climate change, the energy-efficiency of materials used for upgrading, and the down-stream externalities of settlement improvements. UN-Habitat views the settlement upgrading and urban development program as a unique opportunity to bring together agenda that have previously been kept separate. The design and execution of the program will be a convergence of climate change adaptation, disaster risk mitigation and settlement upgrading with participatory urban planning serving as means to advance each. Participatory Planning Approach: viewing residents of the settlement not as passive beneficiaries but as genuine development partners is crucial to the sustainability of the program. Most activities starting from the preparatory phase therefore involve households and their organizations directly in the planning process. Not all people living in Kanyama and John Laing are well organized and many fear that settlement upgrading will undermine their livelihoods or require them to be displaced without consultation or compensation. Participatory planning, if properly done, enables conflict resolution and stimulates the different stakeholders to work together for a common cause: in this case the improvement of a neighbourhood. The most important aspect is that the different parties (beneficiaries, authorities, private sector, civil society and academia) comes together, discuss in an opened and transparent manner and take decision publicly, based on consensus. The role of the facilitators (who should limit themselves to technical aspects) is critical, as well as the presence of decision makers at different 45 of 100

scales (e.g. the community leader at the neighbourhood level; representatives from the municipality, with a vision at the city level; representatives from central government, with a vision at the national level), so that decisions can be substantiated with a proper planning analysis and implications at the different spatial levels. This is a powerful approach. Capacity Development: observable physical improvements will emerge from this initiative but the most lasting outcome of the program will be the civil servants, community leaders and private entrepreneurs who have made possible the upgrading of the settlements. They will provide ideas and inspiration for subsequent initiatives identified in the urban upgrading framework. This expanding cohort of people who have learned from on-the-job experience will reduce the need for external interventions and enable GoZ to embark on progressively larger programs in Lusaka and in other cities throughout Zambia. Efforts to link the capacity development to training institutes and planning departments in Zambia will further mainstream upgrading practices. Field-Based Tools and Instruments: the project will help producing planning tools and guidelines as well as improving existing land registration systems to target the needs of informal urban areas in Lusaka, and more extensively in Zambia. Producing capacity development and community awareness tools which fit the local context is extremely important, in parallel to the process of building the required institutional capacity to use these tools and instruments in the longer term. This will represent a very concrete contribution of the project to knowledge and increased capacity to deal with urban management issues in Zambia. Urban Upgrading Frameworks and National Urban Policy: the UUF to be produced for Lusaka should be replicated in other main urban settlements in Zambia, and then combined with a critical regional planning analysis which should lead to greater attention to secondary cities. Currently the general trend in Sub-Saharan Africa is that intermediate cities and towns are growing at a faster pace than bigger cities. Such phenomenon needs to be properly monitored, and tackled through the formulation of national urban policies and subsequent implementation strategies. Zambia urbanization growth rate is one of the fastest in the region. UN-Habitat has already started supporting the GoZ from that perspective, by providing strategic recommendations for reviewing the housing policy within such rapid urbanization context. Donor Coordination and Leverage: this is an activity that will occur all along project implementation (rather than at the end) to ensure that there will be proper follow-up investment and consequent scaling up of the urban upgrading interventions. This is a key moment in Zambia history in which the consciousness of the challenges posed by rapid urbanization reached its highest levels at government level. The results of the recent elections are a clear signed of a democratization process which goes hand in hand with the observed urbanization trend. Donors, including multi-lateral partners such as the MCC, the World Bank, the EU and increasingly even the UN system in Zambia, are also very much aware that there is an urgent need to act before the situation deteriorates. 46 of 100

B.4 Resource Mobilisation Strategy 47 of 100

Years Year 1 Year 2 Year 3 Planned Activity 1.4.2. Facilitate the establishment of a regular coordination mechanism for monitoring the implementation of such framework. Planned Activity 1.5: Urban upgrading framework formulated 1.5.1. Analyze the results obtained during field surveys, make linkages with the CUDP and other existing planning instruments and carry out additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas 1.5.2. Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft 1.5.3. Finalize the formulation of the urban upgrading framework and submit it to the LCC for approval Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Implementing Body MLGH, UN-H UN-H, LCC, MLGH MLGH, LCC, UN-H LCC, MLGH, UN-H IMPLEMENTATION PHASE Specific Objective 2: Strengthen the capacity of national and local institutions Planned Activity 2.1: Strengthen the urban planning and land management expertise and knowledge at LCC and MLGH 2.1.1. Embed two national experts within the LCC structure and one national expert into the MLGH 2.1.2. Deliver training interactive sessions to LCC and MLGH technical staff on the developed slum upgrading guidelines 2.1.3. Deliver training interactive sessions to LCC and MLGH technical staff on the application of the simplified land registration and management system LCC, MLGH, UN-H UN-H, LCC, MLGH UN-H, LCC, MLGH Planned Activity 2.2: Define a concrete capacity development strategy for implementing the approved urban upgrading framework (UUF) 2.2.1. Carry out an institutional capacity development needs assessment to implement the UUF 2.2.2. Organize a workshop to define a capacity development strategy and action plan for implementing the UUF Specific Objective 3: Pilot urban upgrading activities in demonstration areas UN-H, MLGH MLGH, UN-H Planned Activity 3.1: Conduct participatory planning sessions in Kanyama and John Laing to identify priority slum upgrading interventions 3.1.1. Conduct on-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support 3.1.2. Prepare the needed technical plans and designs with all specifications for implementation UN-H, Community LCC, MLGH UN-H, LCC, MLGH Planned Activity 3.2: Carry out land management and relocation operations in selected areas of Kanyama and John Laing 3.2.1. Apply the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions 3.2.2. Families to be affected by the infrastructure development projects are provided with alternative locations and supported through subsidies for housing reconstruction Planned Activity 3.3: Implement slum upgrading activities in Kanyama and John Laing 3.3.1. Open feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities LCC, MLGH, UN-H LCC, MLGH, UN-H Community, LCC, MLGH, UN-H 48 of 100

Years Year 1 Year 2 Year 3 Planned Activity 3.3.3. Stimulate housing improvement/development schemes for those households with secure tenure Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Planned Activity 3.4: Establish local urban management structures for income generation and promote community consultations and awareness-raising 3.4.1. Establish community structures with urban management responsibilities 3.4.2. Organize regular community consultations 3.4.3. Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, etc. Implementing Body 3.3.2. Construct basic, social and/or economic facilities using low-cost, innovative and environmental-friendly techniques through local subcontractors Sub- Contractor, LCC, MLGH, UN-H MLGH, UN-H Community, LCC, UN-H LCC, Community, UN-H CBOs, LCC, UN-H Specific Objective 4: Leverage and coordinate additional private and donor funding (NB: the implementation of this objective is occurring both during the Preparatory Phase and the Implementation Phase) Planned Activity 4.1: Advance a resource mobilization strategy to support efforts by government to implement the urban upgrading framework 4.1.1. Serve as focal point with the UNCT to coordinate the participation of other UN agencies in settlement upgrading and urban development 4.1.2. Establish a donor contact group UN-H 4.1.3. Establish a private sector contact group UN-H Planned Activity 4.2: Broker cooperation agreements between agencies/donors and national/local government to invest in the urban upgrading framework 4.2.1. Work with UNRC and UN country representatives of UN agencies to develop multi-year programming on specific aspects of settlement upgrading and to scale up, feeding this into the preparations for the 2014-2019 UNDAF 4.2.2. Work with the UNRC and the World Bank Country Director to integrate specific infrastructure investments of the urban upgrading framework into the 2013-2016 WB CAS 4.2.3. Work with bilateral agencies to build into their respective cooperation agreements with GoZ, elements of the urban upgrading framework, including upgrading projects that geographically complement and build upon lessons from UN-Habitat Planned Activity 4.3: Facilitate public-private-community partnerships 4.3.1. Broker partnership among private banks, community savings associations, LCC, and local MFIs to develop loan products for self-built house construction that combines community savings, public subsidy, and private capital 4.3.2. Facilitate partnership among water kiosk distributors, private utility companies and LCC to extend the provision of water to residents of informal settlements in peri-urban areas as part of planned expansions envisioned in the urban upgrading framework UN-H UN-H UN-H UN-H, MLGH UN-H, LCC UN-H, LCC 49 of 100

12. Detailed Budget and Financial Plan Total Costs for the Preparatory Phase (corresponding to Year 1) in USD: Key Personnel, Equipment and Other Costs under the Preparatory Phase: Key Personnel Nr of s Cost Total Cost MCC Request UN-Habitat Co-Funding Director, Liaison Office in Washington (5%) w/m 12 1000 12,000 0 12,000 Human Settlements Officer (20%) w/m 12 3,200 38,400 0 38,400 International Programme Manager w/m 12 12,000 144,000 144,000 0 Programme Management Officer (20%) w/m 12 2,000 24,000 0 24,000 UN-HABITAT National Technical Adviser w/m 12 5,500 66,000 33,000 33,000 National Policy Analyst/Monitoring Officer w/m 12 5,500 66,000 66,000 0 Financial/Administrative Assistant w/m 12 2,000 24,000 24,000 0 Driver/Logistic w/m 12 1,000 12,000 12,000 0 International mission costs (flight + DSA) Per Mission pp 15 2,000 30,000 24,000 6,000 Sub-Total Key Personnel Costs 416,400 303,000 101,400 Equipment and Other Costs Nr of s Cost Total Cost MCC Request UN-Habitat Co-Funding Office equipment (computers, laptops, printers, furniture, etc) Lumpsum 30,000 20,000 10,000 Vehicles (4 x 4) Per Vehicle 2 50,000 100,000 100,000 0 Sundries, communication and operational costs Per month 12 4,500 54,000 40,500 13,500 Office rent and services Per month 12 3,500 42,000 31,500 10,500 Sub-Total Equipment and Other Costs 226,000 192,000 34,000 Budget requirements to carry out activities planned under Specific Objective 1: Planned Activity 1.1 Hiring of National Consultant to review existing planning documentation for Lusaka city Detailed mapping products of selected informal and expansion areas of Lusaka (as part of the Agreement of Cooperation -AoC- with LCC) Specific a socio-economic survey at the household level in Kanyama and John Laing (as part of the AoC with a CBO) Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding w/m 2 4,000 8,000 0 8,000 Lumpsum 50,000 40,000 10,000 Lumpsum 30,000 20,000 10,000 Sub-Total Planned Activity 1.1 88,000 60,000 28,000 Planned Activity 1.2 Hiring of International Consultant to develop specific slum upgrading guidelines for the informal areas of Lusaka Hiring of International Consultant to prepare awareness raising materials for community mobilization on urban management activities Testing, edition and printing of the prepared guidelines and tools Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding w/m 3 12,000 36,000 24,000 12,000 w/m 3 12,000 36,000 24,000 12,000 Lumpsum 30,000 20,000 10,000 Sub-Total Planned Activity 1.2 102,000 68,000 34,000 50 of 100

Planned Activity 1.3 Hiring of International Consultant to support the improvement and set up a simplified land registration and management system adapted to the informal areas Set up, testing and fine-tuning of a simplified land registration and management system adapted to the informal areas (as part of the AoC with LCC) Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding w/m 2 12,000 24,000 24,000 0 Lumpsum 30,000 20,000 10,000 Sub-Total Planned Activity 1.3 54,000 44,000 10,000 Planned Activity 1.4 Organization of two inter-sectorial consultative workshops for delineating a comprehensive urban upgrading framework of Lusaka Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding Per event 2 35,000 70,000 50,000 20,000 Sub-Total Planned Activity 1.4 70,000 50,000 20,000 Planned Activity 1.5 Hiring of International Consultant to support the drafting and finalization of the urban upgrading framework of Lusaka city Analysis of the results obtained during field surveys and additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas (as part of the AoC with LCC) Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding w/m 3 12,000 36,000 24,000 12,000 Lumpsum 20,000 20,000 0 Per event 1 35,000 35,000 25,000 10,000 Sub-Total Planned Activity 1.5 91,000 69,000 22,000 Budget requirements to carry out activities planned under Specific Objective 4 within the Preparatory Phase: Planned Activities 4.1 to 4.3 Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding Expert and informal meetings Per meeting 10 1,000 10,000 0 10,000 Sub-Total Planned Activity 4.1 to 4.3 within the Preparatory Phase 10,000 0 10,000 Total budget required for the Preparatory Phase Total Costs MCC Request UN-Habitat Co-Funding Sub-Total Costs of the Preparatory Phase 1,047,000 786,000 259,400 UN-HABITAT Administrative Costs (10%)* 78,600 78,600 n.a. Total Costs of the Preparatory Phase 1,126,000 864,600 259,400 *NB: Administrative costs are applied to the MCC request only. These costs are meant to cover the administrative staff time at UN-Habitat Head Quarters to process all procurement, recruitment and payment operations according to the UN rules and regulation. These operations are subject to regular auditing. 51 of 100

Total Costs for the Implementation Phase (corresponding to Years 2 and 3) in USD: Key Personnel, Equipment and Other Costs under the Implementation Phase: Key Personnel Nr of s Cost Total Cost MCC Request UN-Habitat Co-Funding Director, Liaison Office in Washington (5%) w/m 24 1000 24,000 0 24,000 Human Settlements Officer (20%) w/m 24 3,200 76,800 0 76,800 International Programme Manager w/m 24 12,000 288,000 288,000 0 Programme Management Officer (20%) w/m 24 2,000 0 0 48,000 UN-HABITAT National Technical Adviser w/m 24 5,500 132,000 66,000 66,000 National Policy Analyst/Monitoring Officer w/m 24 5,500 132,000 132,000 0 Financial/Administrative Assistant w/m 24 2,000 132,000 48,000 0 Driver/Logistic w/m 24 1,000 24,000 24,000 0 International mission costs (flight + DSA) Per Mission pp 30 2,000 60,000 48,000 12,000 Sub-Total Key Personnel Costs 832,400 606,000 202,800 Nr of Total MCC UN-Habitat Equipment and Other Costs s Cost Cost Request Co-Funding Sundries, communication and operational costs Per month 24 4,500 108,000 81,000 27,000 Office rent and services Per month 24 3,500 84,000 63,000 21,000 Sub-Total Equipment and Other Costs 192,000 144,000 48,000 Budget requirements to carry out activities planned under Specific Objective 2: Planned Activity 2.1 Hiring of 2 national experts to be embedded in the LCC structure (as part of the AoC with LCC) Hiring of one national senior expert to second the MLGH Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding w/m 48 1,500 72,000 48,000 24,000 w/m 24 3,000 72,000 48,000 24,000 Training interactive sessions to LCC and MLGH Per session 6 5,000 30,000 20,000 10,000 Sub-Total Planned Activity 2.1 174,000 116,000 58,000 Planned Activity 2.2 Hire a Senior National Consultant to carry out an institutional capacity development needs assessment to implement the UUF Organize a workshop to define a capacity development strategy and action plan for implementing the UUF Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding w/m 3 6,000 18,000 12,000 6,000 Per event 1 35,000 35,000 25,000 10,000 Sub-Total Planned Activity 2.2 57,000 37,000 16,000 52 of 100

Budget requirements to carry out activities planned under Specific Objective 3: Planned Activity 3.1 On-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support Sub-contract for preparing the needed technical plans and designs with all specifications for implementation Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding Per session 10 1,000 10,000 8,000 2,000 Lumpsum 50,000 40,000 10,000 Sub-Total Planned Activity 3.1 60,000 48,000 12,000 Planned Activity 3.2 Application of the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions (as part of the AoC with LCC) Grant to support families to be affected by the infrastructure development projects** Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding Lumpsum 30,000 20,000 10,000 Lumpsum 100,000 80,000 20,000 Sub-Total Planned Activity 3.2 130,000 100,000 30,000 Planned Activity 3.3 Grant for opening feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities** Local sub-contracts for construction of basic, social and/or economic facilities using low-cost, innovative and environmental-friendly techniques** Grant for stimulating housing improvement/ development schemes for those households with secure tenure** Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding Lumpsum 390,000 330,000 60,000 Lumpsum 390,000 330,000 60,000 Lumpsum 160,200 160,200 31,800 Sub-Total Planned Activity 3.3 972,000 820,200 151,800 **NB: The exact number of: (i) families affected by the works to be supported, (ii) meters of feeder roads to be opened, (iii) meters of secondary and tertiary drainage channels to be constructed, (iv) basic, social and/or economic facilities to be built and (v) families to be supported through the housing improvement/ development schemes, is to be determined only once the field surveys are carried out, the participatory planning sessions at the neighborhood level will be conducted and the technical plans and designs with all specifications will be prepared. Planned Activity 3.4 Establish community structures with urban management responsibilities and organize regular community consultations (as part of the AoC with a CBO) Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, etc. (as part of the AoC with a CBO) Per consultation Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding 10,000 8,000 2,000 Lumpsum 60,000 50,000 10,000 Sub-Total Planned Activity 3.4 70,000 58,000 12,000 53 of 100

Budget requirements to carry out activities planned under Specific Objective 4 within the Implementation Phase: Planned Activities 4.1 to 4.3 Nr of s Cost Total Costs MCC Request UN-Habitat Co-Funding Expert and informal meetings Per meeting 20 1,000 20,000 10,000 10,000 Sub-Total Planned Activity 4.1 to 4.3 within the Implementation Phase 20,000 10,000 10,000 Total budget required for the Implementation Phase Total Costs MCC Request UN-Habitat Co-Funding Sub-Total Costs of the Implementation Phase 2,503,800 1,939,200 540,600 UN-HABITAT Administrative Costs (10%)*** 193,920 193,920 n.a. Total Costs of the Implementation Phase 2,697,720 2,133,120 540,600 ***NB: Once again, administrative costs are applied to the MCC request only. proposed milestone-based disbursement schedule for MCC funds It is proposed that the full amount of the preparatory Phase is transferred to UN-Habitat upon signature of the Cooperative Agreement between MCC and UN-Habitat. The full amount of the Implementation Phase should be transferred to UN-Habitat upon successful finalization of the urban upgrading framework of Lusaka city. 54 of 100

B.5 Project Concept Notes 55 of 100

CONCEPT NOTE WATER AND SANITATION IMPROVEMENT PROJECT (WSIP) CITY OF LUSAKA, KANYAMA SETTLEMENT 1.1. SUMMARY OF THE ACTION Title of the action: Location(s) of the action: Total duration of the action (months): Amount (in EUR) of requested EU contribution Objectives of the action Target group(s)1 Water and Sanitation Improvement Project (WSIP) Kanyama Ward 10 and 11, City of Lusaka, Zambia 36 months 350,000.00 <Overall objective(s)> To improve access to potable water and decent sanitation in the urban informal settlements of Zambia and contribute towards MDG7 for water and sanitation <Specific objective(s)> To increase access to clean water and decrease the risk of water borne disease outbreaks. Enhance hygiene practices in Kanyama settlement To pilot improved sanitation technology options and contribute to the establishment of a sanitation revolving fund in Kanyama settlement. To sensitise and train community members on the use and maintenance of different sanitation technology options. Kanyama Residents without access to water and sanitation Final beneficiaries2 The residents of Kanyama, Lusaka City Council, MLGHEEEP, LWSC Estimated results Main activities Improved access to potable water, improved sanitation & hygiene, reduce susceptibility to diarrheal diseases and related deaths. Stakeholder mobilisation, sensitisation and engagement Identification of priority areas in Kanyama settlement GIS mapping of water points and sanitation. Construction of water points Construction of sanitation options Hygiene promotion 56 of 100

1.2. RELEVANCE OF THE ACTION Preliminary 2010 results of the census of population and housing estimates the population of Kanyama to be around 366,170 people, Kanyama (CSO, 2010). Kanyama is one of the oldest and largest unplanned settlements of Lusaka s population. Occupying an area of approximately 366,737 3 square meters, Kanyama is one of the closest unplanned settlements to the Central Business District (CBD) of the City of Lusaka, the capital of Zambia. In the late 1990 s, the Lusaka City Council (LCC) declared Kanyama an Improvement Area (IA). This means that Kanyama is a recognised settlement which receives government support and occupiers of plots can obtain tenure. According to Ward Development Committee of Kanyama, Kanyama is serviced by 130 water points, 1000 individual water connections 140 ecosan toilets, 3700 traditional toilets catering for 138,000 residents, 8 communal toilets in markets. These figures indicate that there is need to scale up the availability of portable water and decent sanitation to meet the demand which is still growing. In addition to the growing demand for water, more than 40% of households have shallow wells to supplement the inadequate water supply. These are prone to pollution from pit latrine effluent when the latrines flood. Majority of families share traditional toilets (pit latrines) with a staggering 6 households to 1 latrine (average family size in Zambia is 6, therefore one latrine is used by 36 or more people). Due to the inadequate and in some cases lack of toilets Kanyama residents have resorted to flying toilets i.e. using opaque beer packets and plastic bags to dispose of excreta waste which they throw on the road or on people s roof tops.(nwasco,2005) Pit latrines tend to flood during the rainy seasons when the settlement is affected by floods. This exposes effluent from the latrines, causing a public health risk. Kanyama settlement has been plagued with a high incidence of cholera outbreaks, apart from that the settlement has a high incidence of diarrheal diseases. Therefore improving access to potable water and improving sanitation will ameliorate the situation. According to a Reliefweb report in March 2010 Lusaka recorded a total of 2,521 hospital admission, at least 41 deaths. Kanyama recorded the highest number of new admissions among other settlements which included Chipata, Kamwala, Chawama, Kuku, Misisi, Mandevu, George, Matero and Makeni (Reliefweb 2012). The government continues to spend millions of kwacha on the treatment of diseases caused by poor water and sanitation therefore this will assist in reducing government s expenditure on treatment of such diseases. Time spent away from work and school will also be reduced if people are in better health. Improved access to water and sanitation may contribute to reducing the risk of opportunistic infections among persons with a compromised immune system, like those living with HIV/AIDS. This project when implemented will support the Government of the Republic of Zambia (GRZ) to contribute to MDGs 7 to improve the lives of at 100 million slum dwellers by 2020 and to halve the proportion of people without sustainable access to safe drinking water and basic sanitation by 2015. The project fits into the Zambia s vision of A Zambia where all users have access to water and sanitation and utilise them in an efficient and sustainable manner for wealth creation and improved livelihood by 2030. The project will also be in line with Zambia s Sixth National Development Plan (SNDP) by contributing to achieving 75 % accessibility to reliable safe water 57 of 100 3 Kanyama Ward 10 Development Plan, October 2008

and 60 % adequate sanitation by 2015 in order to enhance economic growth and improve the quality of life. (SNDP 2011: 103) In June 2011 an Agreement of Cooperation (AoC) was signed between the Ministry of Local Government and Housing (MLGH) and UNHABITAT to implement the Participatory Slum Upgrading Programme (PSUP). Through this AoC, a participatory planning session was held on 16 th December 2011 at the Constituency office in Kanyama to reconfirm priority upgrading interventions. In attendance were 35 Kanyama Ward Development Committee Representatives from all 13 zones, representatives of Community Based Enterprises, Lusaka City Council Officials and UNHABITAT. After deliberations, discussion and use of the pairwise ranking methodology a list of priority interventions was established as indicated in column 1 of table 1. However, after further discussion and voting, priority interventions were determined as indicated in column 2 of table 1 below, with water and sanitation clearly coming out among the top three priorities. This also falls in line with priorities identified in the Kanyama Ward 10 Development Plan of 2008. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Priority Ranking After Voting Methodology Solid Waste Collection 1 Roads and Drainage Water and Sanitation 2 Solid Waste Collection Clinic High School Roads and Drainage 3 Water and Sanitation Establish Local Council Office to deal with land matters House Numbering Land Tenure 4 House Numbering and Security of Tenure Modern Market 5 Clinic Recreation 6 High School Shopping Mall 7 Establish local Council Office Post Office 8 Recreation Bank 9 Bank It is anticipated that by the completion of this project, residents of Kanyama settlement will have increased access to potable water, improved sanitation & hygiene practices leading to a reduction in susceptibility to diarrheal diseases and related deaths. 58 of 100

1.3. DESCRIPTION OF THE ACTION Consultations with the MLGH and LCC in October 2011 identified Kanyama Settlement as a priority area for Water and sanitation. In the last 5 years UNICEF, through its implementing partners, has initiated a number of projects and programmes in water that has led to a reduction in the incidence of cholera and dysentery in the rainy season. The Kanyama Ward 10 Development Plan of October 2008, discussions held with community leaders including the Participatory Planning Session held in December 2011, with key community leaders indicated that water and sanitation was a key priority. The Objectives of the WSIP are therefore to Improve access to potable water and decent sanitation in the urban informal settlements of Zambia and contribute towards MDG7 for water and sanitation. Increase access to clean water and decrease the risk of water borne disease outbreaks. Increasing access to safe water and improved sanitation, will contribute to reduction in hours spent away from school and livelihoods because of disease. This would also assist in reducing the risk of susceptibility to opportunistic infections by person with a compromised immune system like those living with HIV/AIDS. Enhance hygiene practices in Kanyama settlement: Poor hygiene practices in many unplanned settlements have led to water borne and other communicable diseases to spread rapidly. Kanyama has had cholera outbreaks every rainy season except in the 2011 rainy season. Pilot improved sanitation technology options and contribute to the establishment of a sanitation revolving fund in Kanyama settlement: More than 40% of Kanyama residents use traditional pit latrine which are shallow and poorly constructed, usually with no roof, and overflow during the rainy season spilling effluent. Others use flying toilets as a sanitation option posing significant health risks to community inhabitants. Sensitise and train community members on the use and maintenance of different sanitation technology options: This is a way to ensure that technical capacity in the community is increased. Anticipated Activities Related Outputs Responsible Expected Results Stakeholder mobilization, Awareness among LWSC, Implementation team sensitization and engagement stakeholders WDC,LCC, Improved community cohesion Organised stakeholders MLGH Improved stakeholder to implement the project Organised collaboration Community Established community M&E Members ZHPPF team identification of priority areas Kanyama settlement Report on the priority areas UN-HABITAT LWSC, WDC,LCC, MLGH Established of sanitation revolving fund Acceptance of technology options and skill on maintenance Priority areas identified for implementation 59 of 100

GIS mapping of water points and sanitation. Construction of water points Map of Kanyama settlement indicating water points and toilets in the settlement. Report on the settlement Constructed points water Community Members, ZHPPF UNHABITAT LWSC, Water Affairs Dept. LCC, WDC, Organised Community Members, ZHPPF LWSC,WDC,LCC, MLGH Organised Community Members,ZHPPF UNHABITAT Construction of toilets Constructed toilets WDC,LCC MLGH Organised Community Members, ZHPFF Hygiene Promotion IEC materials, community meetings, door to door meetings, road show and drama WDC,LWSC, LCC, NGOs, Community members, ZHPPF MLGH, precise identification of areas where new infrastructure can be constructed -Improved community cohesion Increased stakeholder collaboration Improved access to potable water Reduced susceptibility to water borne diseases Reduce number of hours spent on fetching if water points are brought closer Improved and increased access to decent sanitation Reduce susceptibility to sanitation induced diseases -Improved community capacity poor -Increase in income for community members who take part in the construction -Reduction in susceptibility to disease. -Reduction in time spent away from school and livelihoods due to diseases brought on by poor hygiene -Reduction in vulnerability to water borne diseases -Coordination between MLGH,LCC & WDC and the community TIME FRAME: The project is expected to take 36 months. This time frame takes into consideration the time it will take to reach consensus on the location of additional water points and the form and location of sanitation options. It is anticipated that local political players will accept the programme and cooperate with external stakeholders. 60 of 100

CONCEPT NOTE SOLID WASTE MANAGEMENT IMPROVEMENT PROGRAMME 1.1. SUMMARY OF THE ACTION Title of the action: Location(s) of the action: Total duration of the action (months): Amount (in EUR) of requested EU contribution Objectives of the action Target group Final beneficiaries Estimated results Main activities Solid Waste Management Improvement Programme (SWMIP) Kanyama Settlement, Lusaka, Zambia 24 months 350,000 Overall objective(s): To improve the environment and living conditions of the urban poor community through sustainable, replicable and poverty oriented management of solid waste urban centers in Zambia, contributing to MDG 7 Specific objective(s): (i). To reduce susceptibility to disease caused by unmanaged solid waste (ii). To sensitize community members on the dangers of indiscriminate solid waste disposal. (iii). To build capacity of solid waste Community Based Enterprises (CBEs) and work with partners to train more Kanyama Residents Kanyama Residents, CBEs, Lusaka City Council (LCC), Ministry of Local Government, Housing, Early Education and Environmental Protection (MLGHEEP) and District Health Management Team (DHMT). Reduction in susceptibility to disease Increase community awareness of the dangers of indiscriminate dumping of solid waste Fewer people dumping solid waste in undesignated areas Reduction in heaps of historical solid waste Sensitization meetings with various stakeholders on sustainable community solid waste management Printing & dissemination of Information Education & Communication (IEC) materials & by laws on solid waste management. Conducting road shows and drama performances on dangers of indiscriminate dumping of solid waste. Consultative meetings with existing Community Based Enterprises (CBEs) for solid waste & equipping them with basic tools 1 2000 Zambia Census of Populación and Housing 2 LCC Public Health Department, 1993 3 Kanyama Ward 10 Development Plan, October, 2008 4 Lusaka City Council Waste Management, 2010 1 61 of 100

1.2. RELEVANCE OF THE ACTION Lusaka the Capital City of Zambia, is the fastest growing city in the country. It has an annual growth rate of 3.5 % compared to the national growth rate of 2.5% 1. The population of Lusaka is estimated to be 1.4 million people, of which 70% reside in unplanned settlement. High population growth rate in Lusaka has led to more solid waste being generated by the residents. In a study conducted by Lusaka City Council s (LCC) Directorate of Public Health in 1993, about 1400 tonnes of waste is generated on a daily basis, of which only 10% is collected by Lusaka City Council 2. Lusaka City Council has not been able to collect solid waste due to lack of equipment and funds. In 2004, the Council enacted a By law, Lusaka City Council (Municipal Solid Waste Management) By laws, 2004, compelling people to pay for solid waste management. However, compliance by residents, particularly those in unplanned settlements, in using and paying for solid waste services has been very low due to poor attitudes towards solid waste management. Thus, residents have continued to dispose their waste in undesignated places. Kanyama is one of the unplanned settlements that has a serious problem of solid waste management. The settlement is one of the oldest and largest unplanned settlements occupying an area of approximately 366,737 3 square meters and closest to the Central Business District. The settlement was legalized in 1999 by the Government in accordance with the Housing (statutory and Improvement Areas) Act 194 of the Laws of Zambia. Being an unplanned settlement, Kanyama has limited space for location of receptacles (waste bins, containers) and poor road infrastructure to facilitate for the movement of waste collection equipment, thereby resulting in huge amount of uncollected garbage. The problem of uncollected solid waste has been compounded by illegal CBEs which charge lower fees for solid waste collection. The illegal CBEs collect solid waste from one area and dump it in the drain or in an illegal area. The large quantities of uncollected garbage in Kanyama settlement has significantly contributed to air pollution through release of bad odour. Further, solid waste in Kanyama settlement includes fecal matter which is a source of contagios deseases such as cholera. The estimated results of Solid Waste Management Improvement Programme (SWMIP) is therefore to: Reduce Kanyama residents susceptibility to disease; Increase community awareness of the dangers of indiscriminate dumping of solid waste leading to; Fewer people dumping solid waste in undesignated areas; In collaboration with partners, reduce heaps of historical solid waste in Kanyama. In June, 2007 the late President Levy Patrick Mwanawasa launched the Make Zambia Clean and Healthy Campaign in Lusaka (www.lusakatimes.com/.../levy launches make zambia clean andheal). The programme is aimed at helping and facilitating the making of all home, communities, villages, towns and cities clean. The Programme is a government backed multi sectoral, multidisciplinary campaign that hopes to include all sections of society in an on going effort to achieve a cleaner and healthier environment, which is in line with MDG 7. Lusaka City Council has partnered with CBEs in unplanned settlements in an attempt to provide effective solid waste management services 4. The CBEs are responsible for day to day collection of waste from households to a container stationed at a central place. The Council through the waste management section is then responsible for the transportation of the waste from the containers 1 2000 Zambia Census of Populación and Housing 2 LCC Public Health Department, 1993 3 Kanyama Ward 10 Development Plan, October, 2008 4 Lusaka City Council Waste Management, 2010 2 62 of 100

to the disposal site. The SWMIP therefore complements the Government and Lusaka City Council programmes, described above, aimed at improving the living environment of the Zambian citizens and the urban poor in particular. Recently, a Comprehensive Urban Development Plan (CUDP) was prepared and approved, for Lusaka City, with the support of the Government of Japan through Japan International Cooperation Agency (JICA). The plan indicates that priority informal areas of Lusaka to be upgraded or renewed in the short term are those closer to the city. Thus Kanyama settlement has been selected as priority areas for the Solid Waste Management Improvement Programme. The SWMIP will bring the following benefits to the target group and final beneficiaries. Kanyama Residents: These are citizens of the republic of Zambia who own property or reside in Kanyama settlement. The programme will bring benefits to the residents of Kanyama by significantly reducing the amount of uncollected solid waste in the settlement and thereby contribute to the reduction in susceptibility to diseases. Community Based Enterprises (CBEs) in Kanyama: These are solid waste collection community organizations that were first established and formed by Lusaka City Council to help in solid waste management in unplanned settlements. The CBEs have been charged with the following responsibilities: to conduct community awareness and education programmes on solid waste management; to ensure that the settlement is clean and all waste generators are part of the solid waste management scheme; and to collect solid waste fees and ensure that (secondary) waste collection is paid for. The SWMIP will help to build capacity in CBEs through skills training and provision of basic equipment for solid waste management. This would significantly improve the effectiveness of the CBEs and the income of its members. Lusaka City Council (LCC): This is a local government authority established by the Government under the Local Government Act Cap 280 of the Laws of Zambia charged with the responsibility of providing services to the residents of Lusaka city. The programme will benefit LCC in that it will reduce the amount of uncollected solid waste in the city thereby making the Lusaka city clean and healthy. This will also improve the image of the Council and relationship with the residents. Ministry of Local Government Housing Early Education and Environmental Protection (MLGHEEEP): This is the Government Ministry responsible for formulation and implementing Government policies on Local Government, Housing, Early Education and environmental Protection. The programme will improve the living conditions of the urban poor, thereby contributing to MGD7. Further, MLGHEEEP will be able learn lessons and replicate the best practices to other districts in Zambia. The following will be achieved through SWMIP: The programme will build community led capacity in solid waste management Strengthen linkages between LCC and CBEs 1 2000 Zambia Census of Populación and Housing 2 LCC Public Health Department, 1993 3 Kanyama Ward 10 Development Plan, October, 2008 4 Lusaka City Council Waste Management, 2010 3 63 of 100

Will be a source of income and livelihood for community members involved in solid waste management thereby contributing to poverty reduction 1.3. DESCRIPTION OF THE ACTION The basis for selecting Kanyama as a priority settlement was derived from consultations with MLGHEEP and LCC in October, 2011 which identified the settlement as a priority. Further, it was derived from the Kanyama Ward 10 Development Plan of October, 2008. The selection of Kanyama was also based on a community meeting held in Kanyama settlement on 16 th December, 2011 which identified solid waste issues as priority number two. The meeting was held at the Constituency office in Kanyama and in attendance were; 35 Kanyama Ward Development Committee representatives from all 13 zones, representatives of Community Based Enterprises, Lusaka City Council officials and UN HABITAT. Table 1 below gives the list of priorities and method used by residents to arrive at solid waste management as priority number two. Table 1: List of Priority Intervention as Determined by Kanyama Residents Ranking Pairwise Methodology Priority Ranking After voting Solid Waste Collection 1 Roads and Drainages Water and Sanitation Clinic High School Roads and Drainage Establishing Local Council Office to deal with land matters House Numbering and Security of tenure 2 Solid Waste Collection 3 Water and Sanitation Modern Market 5 Clinic 4 House Numbering and Security of tenure Recreation 6 High School Shopping Mall 7 Establishing Local Council Office to deal with land matters Post Office 8 Recreation Bank 9 Bank LCC is also in favor of this priority and that the Council has been working with CARE International Zambia and Lusaka Water and Sewerage Company (LWSC) in implementing a two and half year project called Promoting Peri Urban Sanitation Services (PPURSS) in the Peri urban settlements 1 2000 Zambia Census of Populación and Housing 2 LCC Public Health Department, 1993 3 Kanyama Ward 10 Development Plan, October, 2008 4 Lusaka City Council Waste Management, 2010 4 64 of 100

of Chaisa, Chipata and Kanyama. The project focused on fostering improvements in the areas of solid waste management, storm water drainage, household toilets and public fee paying toilets. Further, LCC has been working with the community on solid waste management in the past year 6 years. The objectives of the SWMIP are therefore to: Improve the environment and living conditions of the urban poor community in Zambia and contribute to MDG 7: With a large percentage of the city s solid waste uncollected over the years, the quality of Lusaka s environment has drastically deteriorated. The large mounting pile of rotting garbage in the city is a major source of pollution; Reduce Kanyama residents susceptibility to disease caused by unmanaged solid waste: Large amounts of uncollected solid waste are not only associated with offensive odours, but also attracts flies, rodents and cockroaches, which contribute to the spread of diseases. Sensitise community members on the dangers of indiscriminate solid waste disposal: The attitude of the residents to use and pay for solid waste management services established by the council is poor. Most residents dispose their waste in undesignated places such as in drains and the road side. Further, most residents are unaware of the Lusaka City Council (Municipal Solid Waste Management) By laws, 2004 compelling residents to use and pay for solid waste management services provided by the Council. Build the capacity of solid waste Community Based Enterprises (CBEs) and work with partners to train more: Due to limited capacity of Lusaka City Council to collect waste and congestion of structures in Kanyama, the Council has entered into partnership with community organisations (CBEs) to collect solid waste from individual households to a central place which is accessible by huge equipment. However, many of the CBEs are poorly trained in handling waste and lack basic tools to operate effectively. Below are some of the anticipated activities, their related outputs and expected results. Table 2: Anticipated activities, Related outputs, Responsible Organisation and Expected Results 1 2000 Zambia Census of Populación and Housing 2 LCC Public Health Department, 1993 3 Kanyama Ward 10 Development Plan, October, 2008 4 Lusaka City Council Waste Management, 2010 5 65 of 100

Anticipated Activities Related outputs Responsible Organisation Sensitisation of various Community stakeholders on sustainable awareness on the community solid waste dangers of management indiscriminate dumping of waste. Consultative meetings with existing CBEs & equipping them with basic tools. Printing and dissemination of IEC materials Community awareness on the existing solid waste regulations Capacity constraints affecting the operations of CBEs identified. Equipping CBEs with basic tools in waste management. IEC materials on solid waste management printed and disseminated. Lusaka City Council (LCC), Ward Development Committee (WDC). Community Based Solid Waste Enterprises (CBEs), UNHABITAT LCC, WDC, CBEs, NGOs, UNHABITAT LCC, WDC, CBEs, NGOs, UNHABITAT Expected Results Fewer people dumping solid waste in undesignated dumping areas. Reduction in heaps of historic solid waste Reduction in susceptibility to disease. Effective management of solid waste by CBEs. Reduction in heaps of historic solid waste Increase income to community members who are involved. Fewer people dumping solid waste in undesignated dumping areas. Reduction in heaps of historic solid waste. TIME FRAME: It is anticipated that this initiative will be undertaken in 24 months assuming that the government and community support and participation takes place as has been indicated during consultative meetings. The time frame also takes into account some delays resulting from community consultations to secure lasting agreements. 1 2000 Zambia Census of Populación and Housing 2 LCC Public Health Department, 1993 3 Kanyama Ward 10 Development Plan, October, 2008 4 Lusaka City Council Waste Management, 2010 6 66 of 100

CONCEPT NOTE CITY OF LUSAKA, KANYAMA SETTLEMENT 1.1. SUMMARY OF THE ACTION Title of the action: Location of the action: Total duration of the action (months): 24 Amount (in EUR) of requested EU contribution Feeder Roads and Drainage Improvement Initiative (FRDII) Kanyama Settlement Ward 10 & 11, City of Lusaka, Zambia months 350,000 Objectives of the action <Overall objective: To im prove the qualit y of life of Zambian citizens living i n urban unplanned settlements an d contribute towards MDG 7 <Specific objectives: To improve the key feeder road & secondary or tertiary drainage network thereby reducing susceptibility to flooding and the associated risks of disease and disruption to infrastructure in Kanyama; :To empower women and men in Kanyama through labour based techniques as they improve the physical living conditions in their neighbourhood; :To support increased collaboration among Lusaka City Government actors and other stakeholders. Target group Residents of Kanyama Final beneficiaries Residents of the City o f Lusaka, Lusaka City Council, Ministry of Local Government and Housing, Estimated results Main activities Reduction in susceptibility to flooding & disruption to infrastructure and related investments Reduction in vulnerability to water borne diseases Easy access to the settlement and to essential services Reduction in urban poverty Improvement in Coordi nation between the Ministry of Local Government and Housing, Lu saka City Council and Ward Development Committee Meet with community le aders to Identif y ke y feeder roads & secondary or tertiary drainage to be constructed Mobilize and sensitize community Produce layout plan to show costing of identified feeder roads & drainage Identify & Mark affected structures for relocation if any Meet & S ensitize af fected residents and negotiate relocation if any Construction of identified feeder roads & secondary or tertiary drainage 67 of 100

1.2. RELEVANCE OF THE ACTION With an estim ated population of 366,170 1 people, Kanyam a is one of the oldest and largest unplanned settlements in Lusaka accounting for just under one-eighth of Lusaka s population. Occupying an area of approxim ately 366,737 2 square m eters, Kanyama is one of the c losest unplanned settlem ents to the Central Business District (CBD) of the City of Lusaka, the Capital of Zambia. In the late 1990 s, the Lusaka City Council (LCC) declared Kanyama an Improvement Area (IA). This m eans that Kanyama is a recognised settlement which receives govern ment support and occupiers of plots can obtain tenure. However, despite Centr al Governm ent comm itment to pro vide dev elopment f inance to IA s, severe budget constraints have preven ted adequate financial support from being directed to wards IA s. Perhaps the m ost consistent h as been th e Constitue ncy Development Fund (CDF). In most instances government has relie d on donor support to provide infrastructure and services to IA s and many other cases has only been compelled to respond to critical needs in IA s when there are pendin g disasters or actual disasters occur. Since the 1960 s Kanyama has experienced 5 devastating floods 3 leaving behind a trail of destruction and disease. In 1996 and 2008 th e Programm e Urban Self Help (PUSH) through funding from t he Disaster Managem ent and Mitigation (DMMU) in the Vice President s Office, conducte d rehabilitation of a few ke y feeder roads and drains through food- for-work programm es. Since th en, only community coordinated efforts through the Ward Development Committee (WDC) has been conducted. From the second week of December to the end of January, Lu saka experiences flooding, worst affected is Kanyama, in which som etimes the whole settlem ent is flooded. The estim ated results of the Feeder Roads and Drainage Improvement Initiative (FRDII) are therefore to: Contribute to a reduction in susceptibility to flooding & disruption to infrastructure and related investments Contribute to a reduction in vulnerability to water borne diseases Improve access to the settlement and to essential services Contribute to a reduction in urban poverty Contribute to i mprovements in Coordina tion between the Ministry of Local Government and Housing, Lusaka City Council and Ward Developm ent Committee Recently, a Com prehensive Urban Developm ent Plan (CUDP) has been prepared and approved, for the City of Lusaka, with the support of the Govern ment of Japan through the Japan International C ooperation Agency (JICA). The CUDP indicates that priority informal areas of Lusaka to be upgraded or renewed in the short term are those closer to the city. Theref ore, the f ollowing m ain criteria we re applied to selec t Kany ama settlement: 1 Central Statistics Office Census 2010 2 Kanyama Ward 10 Development Plan, October 2008 3 Floods experienced in 1968,1978,1990,2001,2008: Kanyama Ward 10 Development Plan, October 2008 68 of 100

Priority inform al areas presented b y th e gov ernment of Zam bia to M illennium Challenge Corporation, while discussing the Lusaka W ater Sewerage, Sanitation Drainage program (LWSSD); Priority informal areas as described in the CUDP supported by JICA, which puts distance from the central busines s district (CBD) as one of the m ain crite ria, because urban renewal in those areas could be more attractive for investments; Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further. Form Dec ember 2007 to the end of January 2008 the CUDP identifies 21 frequently inundated areas, 14 of which were seriously damaged, Kanyam a is at the top of the li st with alm ost the entire settlem ent flooded during this period; Level of poverty of slum dwellers. According to the CUDP, Kanyama settlement (and John Laing) shows a poor but partial grid network and is much prone to flooding. In addition, according to the surveys carried out during the elaboration of the C UDP, the population living in this area is poorer than in similar settlements. Importantly Kanyama (which is adjacent to John Laing), constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the suppor t of the MCA-Zam bia, as part of the series of prefeasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of closed catchment which suffers from severe flooding after a storm event. In term s of nu mber of people, the population of Kanyam a and John Laing was the m ost affe cted during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement. When consulting with the MLGH and the Lusaka City Council (LCC), it was confirmed that Kanyama is a suitable and priority area for UN-Habitat intervention under this proposal. Some data already exists for this informal neighborhood, which can be found in the CUDP pre-f easibility study, but spe cific surv eys and asses sments, especially regarding feeder roads and secondary or ter tiary drainag e still needs to be collected. Importantly, Kanyama is being co nsidered as priority a rea for implementing the water supply component of the MCC/MCA- Zambia which would create sign ificant synergies with the im provements envisaged under the Agreement of Cooperation (AoC) for Participatory Slum Upgrading Programm e (PSUP) in Zam bia signed in June 2011 between UNHABITAT and the MLGH. Through this AoC, a participator y planning session was held on 16 th December 2011 at the Constituency office in Kanyama to reconfirm priority upgrading interventions. In attendance were 35 Kanyama Ward Development Committee Representatives from all 13 zones, representatives of Community Based Enterprise s, Lusaka City Council Officials and UNHABITAT. After deliberations, discussi on and use of the pairwise ranking m ethodology a list of priority interventions was established as indicated in column 1 of table 1. However, after 69 of 100

further discussion and voting, pr iority interventions were determ ined as indicated in column 2 of table 1 below, with roads and drainage clearly coming out as the top priority. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Priority Ranking After Voting Methodology Solid Waste Collection 1 Roads and Drainage Water and Sanitation 2 Solid Waste Collection Clinic High School Roads and Drainage 3 Water and Sanitation Establish Local Council Office to deal with land matters House Numbering Land Tenure 4 House Numbering and Security of Tenure Modern Market 5 Clinic Recreation 6 High School Shopping Mall 7 Establish local Council Office Post Office 8 Recreation Bank 9 Bank This intervention, especially when implem ented through labour base d techniques, will also have a significan t impact on Kanyam a settlement, which has a hig h population of predominantly young and unemployed women and men. 70 of 100

Anticipated Activities Related Outputs Responsible Expected Results Meet with community le aders to Identify key feeder roads & secondary or tertiary drainage to be constructed Mobilize and sensitize community Produce layout plan t o show costing of identified feeder roads & drainage Identify & Mark affected structures for relocation if any Meet & Sensitize affected residents and negotiate relocation if any Construction of identifie d feeder roads & secondary or tertiary drainage Key feeder roads & secondary dr ainage for rehabilitation identified and agreed Community understanding and commitment to participate in the initiative secured Layout Plan, identif ying the feeder roads & drains to be constructed and their related costing produced Structures to be relocated marked & identified with community participation and agreement Secure agr eement fro m affected co mmunity members to relocate & identify areas for relocation Report of feeder roads & drains constructed WDC,LCC, MLGH ZHPF UNHABITAT WDC,LCC, MLGH ZHPF UNHABITAT LCC,MLGH WDC,LCC, MLGH ZHPF UNHABITAT WDC,LCC MLGH ZHPF UNHABITAT WDC,LCC MLGH -Key feeder roads & secondary drainage for rehabilitation identified and agreed -Community Participation -Community Participation -Improved community co hesion & solidarity Production of Layout Plan -Community Participation -Improved community co hesion & solidarity Community Participation -Reduction in susceptibility to flooding & disruption to infrastructure and related investments -Reduction in vulnerability to water borne diseases -Easy access to the settlement and to essential services -Reduction in urban poverty -Coordination between MLGH,LCC & WDC -Improved community Capacity -Increase in income for co mmunity members who take part TIME FRAME: It is anticipated that this initiative will be undertaken in 24 months assuming that Government and co mmunity sup port and pa rticipation takes plac e as has been ind icated during consultative meetings. The time frame also takes into account som e delays resulting from community consultations to secure lasting agreement. 71 of 100

ANNEX 72 of 100

APPENDIX 1 KANYAMA PARTICIPATORY PLANNING MEETING CONSTITUENCY HALL FRIDAY 16 TH DECEMBER 2011 ATTENDANCE LIST NAME ORGANISATION MOBILE NUMBER 1 LYAMBA MUBIANA WDC ZONE 10 0975814113 2 FRANCIS MUMBA DRR ZONE 13 0977496544 3 CHRISTOPHER LUO CHAIRMAN ZONE 13 0977413033 4 ROBERT MAKAYI LEADER ZONE 5 0977645039 5 JOHN POLE LEADER ZONE 1 0977686165 6 HABIBA MWAMBILWA ZONE 1 0978183663 7 MARY M NONDE SECRETARY ZONE 7 0975177945 8 PENLOPE LIKWASI V CHAIR ZONE 11 0979164647 9 ASHA MWAMBILWA LEADER ZONE 1 0979603320 10 TRACY KONDISHOLA LEADER ZONE 11 0976222034 11 CHRISTOPHER BANDA SECRETARY ZONE 11 0977798227 12 JOEL MPULUBUSI ZONE 15 0977822374 13 GEOFREY CHISHIBU CHAIRMAN ZONE 8 0977707416 14 LISTON LWENDO ZONE 3 0979892181 15 EDDIE MAKAYI ZONE 3 0977524265 16 NOAH P MWANGOLA ZONE 9 0977408930 17 JAMES BAKALA CHAIRMAN ZONE 2 0976797142 18 PATRICIA SAKALA WDC V/SECRETARY 0976775142 19 AGGIE BANDA SECRETARY ZONE 10 0977300087 20 MABUMBO MUHAU DRR CHAIR ZONE 10 0977121448 21 WANALU LIKANDO KASWAMA CBE 0976625394 22 AGNESS MUTEMA ZONE 3 0979821480 23 JOYCE SAKALA V/CHAIR ZONE 2 0977240948 24 CONSTANCE SAKALA CHAIR ZONE 4 0978092977 25 LILIAN SOSALA SECRETARY ZONE 9 0977633356 26 VICTOR CHILAPU LCC KANYAMA 0977418991 27 ESNART MAKUSA ZONE 8 0964821970 28 MULIMBA YASINI LCC A/ DIR HOUSING 0979894086 29 MARTIN PHIRI LCC 0977807612 30 LEONARD CHEELO CBE 0979846018 31 PATRICIA MATONGO ZONE 12 0977504988 32 CHRISTINE MWAMBILWA WDC FACILITATOR 0977619898 33 ROSEMARY TELEBWE WDC 0977392691 34 DORIS MWANGA WDC 0977421436 35 SUSIKU NASILELE WDC 0977310327 36 ALEXANDER CHILESHE UNHABITAT 0966728156 73 of 100

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