SHELTER FOR THE URBAN POOR:
IS LOCAL GOVERNMENT THE ANSWER?
THE CASE OF LUSAKA, ZAMBIA
by
Sina Raouf
Bachelor of Architectural Engineering
Cairo University
(1979)
Submitted to
the Department of Urban Studies and Planning
in Partial Fulfillment of the Requirements
for the Degree of
Master of City Planning
at the
Massachusetts Institute of Technology
May 1987
Sina Raouf
1987
The author hereby grants to M.I.T. permission to reproduce
and to distribute copies of this thesis document in whole or
in part.
Signature of Author
tudies and Planning
Department of Urban
K)
Certified b
Accepted by
May 18, 1987
Arthur Row
Thesis Supervisor
Philip Clay
Chairman, Defartment Graduate Committee
MASSACHUSETTS INSTITUTE
OF TECHNOLOGY
JUN 0 R1987
LIBRARIES
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SHELTER FOR THE URBAN POOR:
IS LOCAL GOVERNMENT THE ANSWER?
THE CASE OF LUSAKA, ZAMBIA
by
Sina Raouf
Submitted to the Department of Urban Studies
and Planning on May 18, 1987 in partial
fulfillment of the requirements
for the Degree of Master in City Planning
ABSTRACT
The
problem that this thesis addresses is the dilemma
between the
centralization of
housing activities where
bureaucratic procedures have tended to undermine the national
governments'
ability
in
meeting
housing targets
and the
decentralization of housing activities
at a time when local
authorities are too weak and ineffectual to undertake such
responsibilities.
Most
local
authorities
lack
the
administrative capacity and technical staff to undertake
housing and
shelter responsibilities.
In
addition, they
usually have a weak revenue base and lack the capacity to
raise
revenues making them reliant on central
financial
support.
By analyzing the provision of housing in Lusaka, Zambia,
this study aims at identifying the circumstances under which
local
governments can effectively produce a
shelter
programme
for the
urban poor and the prerequisite conditions necessary
for them to implement policies.
In addition, an attempt is
made
at
redefining the roles of both central and local
governments in the provision of shelter.
2
ACKNOWLEDGEMENTS
I would like to thank
assistance in
their
the
following
persons
Nabil
Hamdi
his
and
patience,
and
his
Reinhard Goethert,
for their
Arthur Row,
enabling me to complete my thesis:
my thesis advisor, for
advice;
the
guidance and
my readers,
for
constructive -criticisms; Eva Benedikt for helping me see
light
brother,
and
Firas,
Qunsol for
just
for
being
there when I needed her; my
for his expertise on the word
processor;
Ziad
his help in typing initial drafts; and finally, to
my parents for their support.
Sina Raouf
3
TABLE OF CONTENTS
Abstract
2
Acknowledgements
3
Table of Contents
4
List
5
of Tables and Figures
1.
Introduction
1.1
Statement of the Problem
1.2 Purpose and Objectives
1.3 Plan of the Thesis
1.4
Lusaka: Background and Urban Growth
1.5
Housing Policies: Achievements and Constraints
6
6
7
9
10
14
2.
Institutional Set-up: Central-Local Relations
2.1 Central-Local Relations: A General Overview
2.2
The Lusaka Urban District Council
2.2.1
Period Immediately After Independence
2.2.2
The Lusaka Project Period
2.2.3
The Period Following the Lusaka Project
2.3
Raising Local Revenue
2.4
The Role of National Shelter Policies
23
28
31
34
35
42
43
47
3.
Shelter Components
3.1 Land Tenure
3.2 Provision of Infrastructure and Social Services
3.3 Building Codes and Regulations
3.4 Housing Finance
3.5
Self-Help Programmes and Community Participation
51
52
59
64
69
73
4.
Conclusions
75
Bibliography
84
4
LIST OF TABLES
Page
1.
Changes in Proportion of Population Living
in Self-built Areas of Lusaka, 1963-1980
2.
The Growth of Lusaka's Population in
to Total Population in
3.
Zambia,
12
Relation
1963-1979
Responsibilities of Urban Functions in Lusaka
14
63
LIST OF FIGURES
1.
Structure of the Lusaka Urban District Council
33
2.
Lusaka Upgrading and Sites and Services Project
Organization: City Council, Housing Project Unit,
and Central Agencies.
38
5
Chapter One
INTRODUCTION
A
large
proportion
countries live in
virtually
every
number of the
very
poor
person
has
urban
substandard housing,
basic services.
attempted to
of
poor
urban populations in developing
housing
some form of shelter,
live
in
a growing
and lack adequate
Most governments in developing countries have
situation by first the provision of
low cost housing and later by
projects.
the various
However, all
not keep up with fast urban growth.
countries,
Although
over-crowded conditions,
without secure tenure,
rectify the
and upgrading
conditions.
the supply of housing,
sites and services
these solutions could
In almost
all developing
both private and public,
has
not kept up with demand.
1.1
STATEMENT OF THE PROBLEM:
In most developing countries, public provision of housing
and
shelter
governments
is
a
first
housing, they,
responsibility of central agencies.
realized
in most
charged with the
the
need
cases, created
formulation
of
for
intervention
When
in
ministries of housing
national
housing policies.
These ministries usually coordinated housing programmes rather
than engaging
set
up
for
and
so
on.
in actual
execution and
housing construction,
However,
it
was
6
various agencies were
finance,
soon
estate
realized
management
that
the
proliferation
efficient
of
housing
agencies
and effective work
tended
to
create
governments
in
centralization
not
coordination
problems.
countries
housing activities
As
moved
housing authority.
effectiveness
of
these
better.
seems
It
concentrated
within
of
that
one
such
to
all
many
towards
within one line
usually called the national
most
conducive
because limited responsibilities
developing
of
was
the
agency,
However, the
agencies was not that much
central
bodies,
whether
agency or distributed among various
bodies have not been able to meet their
targets
and
there is
currently a tendency towards decentralization and giving local
authorities
the responsibility
The problem that this
between
the
for housing.
thesis
centralization
of
addresses
housing
bureaucratic procedures have tended
is
the dilemma
activities
to undermine
where
its ability
in meeting housing targets and the decentralization of housing
activities at a time when local
inefficient
to
undertake
authorities lack
staff to
the
authorities are
such responsibilities.
administrative
undertake housing
to
raise
capacity
Most local
and technical
and shelter responsibilities.
addition, they usually have a weak
capacity
too weak and
revenues
revenue base
making
In
and lack the
them reliant on central
financial support.
1.2
PURPOSE AND OBJECTIVES:
The main purpose of this
thesis
7
is
to
show that
neither
local
nor
central
initiatives must
Central
governments,
as
to
need
authorities
new
undertake these
their
up
build
too
pass on more
to
local
To be effective,
local authorities.
to
responsibilities
be made
must
are
mentioned,
previously
efforts
therefore
centralized;
poor; but rather
central and local levels.
at both
be taken
in
effective
be
the urban
programmes for
providing shelter
can
alone
government
institutions so as to
As
responsibilities.
the main
such,
objectives of this thesis are:
-
to
identify
governments
programme
the
can
for
effectively
the
to
redefine
government in
which
produce
a
poor
urban
conditions necessary for them to
-
under
circumstances
the
roles
of
the provision
local
shelter
and the prerequisite
implement policies.
both
central
and local
of shelter for the urban
poor.
An important
just the
issue to keep in
mind is
that
shelter
is
not
provision of a 'house' but rather encompasses a wide
range of activities such as the availability of land, building
materials,
infrastructure
Some of these activities
level while
can better
others may
and
services,
are better
dealt with
require strong
be dealt with at
finance and so on.
at the local
support and therefore
the central level.
Although there may be a number of ways in which the above
objectives may
be carried out, the strategy of this thesis is
to concentrate on one
case study,
8
i.e.- Lusaka.
The Lusaka
Urban District Council has had a long history in the provision
of housing, and ultimately
useful in
governments may
local
obstacles
can be
the responsibility of
identifying the
shelter
roles that
have played in
Lusaka,
strengths and
can better
identifying the
they are to
face if
provision.
In
take on
addition, by
both central and local government
one can
identify their
identify the
weaknesses and
ideal roles that each
needs to undertake.
1.3
PLAN OF THE THESIS:
In summary, this thesis will attempt
shelter
programne
for
the
urban
to show
poor
to
be
that for a
effective
initiatives must be taken at both the local and central levels
and the
thesis will
objective.
of
this
use Lusaka
Chapter 1,
study.
as a case study to reach its
introduces the
In
addition,
it provides a framework for
analysis by providing a background and
of
shelter
provision
in
relations
shelter.
First
understand
why
a
with
brief
local
provision of shelter.
the role
of the
indicating
constraints
its
it
respect
overview
government
Chapter 2,
to
the
will
should
be
focuses on
provision of
presented
to
participate in the
Then an attempt will be made to examine
Lusaka Council
strengths
faces
historical perspective
Lusaka indicating the government's
performance in meeting housing needs.
local-central
purposes and objectives
in
and
in the provision of housing,
weaknesses,
executing
9
an
and
showing the
effective
shelter
programn.
Chapter
components with
3
identifies
the
various
shelter
the aim of understanding who, whether central
of local government, is better suited to act
for the provision of each component.
as a facilitator
Chapter 4 summarizes and
indicates the inferences that can be drawn from this analysis.
1.4
LUSAKA: BACKGROUND AND URBAN GROWTH:
Prior to independence in
'garden
city'
for
1964, Lusaka
Europeans
and
Africans were not allowed to live
employed.
Africans, considered
housed
barracks
in
themselves in
1979).
or
were
as a
other non-Africans, while
in Lusaka
unless they were
only temporary workers, were
allowed
housing
to
build
huts
for
(Schlyter and Schlyter,
designated 'compounds'
Unauthorized
was planned
was
not
permitted
and
was
continuously demolished.
The
first
years
economic boom.
demand
at
rising.
independence
time
was
and
its
critical
resources accounted
for 45
1970's,
however,
price
to
a
period of
Zambia's
economy
foreign exchange
falling
military spending caused by
worldwide was steadily
as copper
percent of government revenue and
about 95 percent of the total
the
marked
Copper, the dominant economic activity, was in
the
This
of
earnings.
In
copper prices and increased
conflicts in
Zimbabwe, Zaire and
Angola greatly affected Zambia's economy to the point that the
per capita GDP was lower in 1979 than it had
1972
(Bamberger
et
al.,
1982).
10
This
been in
situation
1965 or
has not
country's main
remains the
as copper
improved in the 1980's
resource and its foreign exchange earnings, accounting to more
than 80 percent of its exports, continues to decline.
most urbanized
the
After independence, rising
sub-Saharan Africa.
countries in
of
one
At independence, Zambia was
expansion of
copper prices, economic diversification, and the
all
government
led
particularly
Lusaka.
restrictions
on
In
addition,
bring
migration to
the colonial
of
removal
urban areas
towns and freedom of movement
families
their
gap
income
urban
rural
increasing
migration into
allowed workers to
Also,
to
the
and
urban areas.
to
availability
of
employment opportunities in urban areas was another reason for
(Bamberger et al.,
migration
1982 and Pasteur, 1979).
The Lusaka City Council and the central agencies directed
their activities at the growth
In
city.
addition
to
and social
infrastructure
housing sector,
the
of
the
formal
areas
of the
of
housing,
major
provision
were
services
provided.
workers.
state's
a
was
big
decline
in
As such, squatter areas
attitude
was either
of
Lusaka
the
housing and
provision of housing for
grew around
Lusaka and the
to ignore these settlements or to
demolish them (Schlyter, 1984).
population
the
most of the public resources for housing were
spent on the provision of middle and upper-income
there
In
between
Table 1 summarizes
1963
and 1980 indicating the
proportion living in squatter settlements.
11
the total
Table 1
Changes in Proportion of Population Living
in Self-built Areas of Lusaka 1963-80
Population in Thousands
1963
1969
1973
1980
Total Population
119
262
396
550
19
95
166
180
(42)
45
(11)
(33)
100
(18)
Living in
Living in
unrecognized areas)No.
recognized plots
In 1963,
squatter
the
percentage
settlements
(Bamberger et
al.,
the provision
was
1982,
1979.
the
squatter
Lusaka
and
by
1974,
of
the
population
estimated at between 15-20 percent
was not
settlements
As
keeping up with population
continued
(Bamberger et
At independence, Zambia had
two main
the United National Independence Party
to
al.,
grow around
1972,
1982).
political parties,
(UNIP),
National Congress who between them dominated
In
1979).
42 percent of Lusaka's population were
squatter settlements
settlements.
living in
and Schlyter and Schlyter,
of housing
growth
in
(36)
21
(8)
1986a and Pasteur,
Oestereich,
Source:
living
)%
(16)
)No.
3
)%
(3)
Zambia became a
and the African
all
the squatter
one-party state
and
UNIP eventually took control of most squatter settlements.
The Party is
organized hierarchically
It
down to the household level.
of
elected
officials,
communication
(Pasteur,
1979).
system
mass
from national level
has a sophisticated structure
memberships
between
At the local
12
local
level the
and
and
central
party is
a
two
way
levels
structured
so
every
that
form
households
50
Sections make up a
Branch
approximately
of
A number of
a Section.
700 households,
Branches make up a constituency of approximately
and, several
6000 households.
Economically, most of the squatters in
but due
sector
and
(Pasteur,
there
1979).
were employed in the formal
growth most
to economic
Lusaka were poor,
very
low
unemployment
However,
the
decline
was
real wages.
In
employment and a
per month
(ILO,
1979, about 26 percent of urban
basic needs
households were below the
continued to grow, over one half
population
service
areas
in
(this
inhabitants, slightly
total
to
be upgraded
that
in
population.
1980,
half
settlements
is
on
based
below the
lived
while 100,000
population)
natural increase and
unplanned
About 180,000 inhabitants
service areas
due to
to the total
relation
estimated
lived
100 Kwachas
Table 2 summarizes the increase in
the rest due to migration.
Oestereich
income of
At the same time Lusaka's population
1981a).
Lusaka's population in
the time
copper prices
of
worldwide led to a decrease in formal sector
decrease in
at
lived in
(Oestereich,
an
estimate
in
upgraded
sites
and
of 550,000
and
sites and
(about 18 percent of the
squatter settlements
13
and
official figure of 599,000).
persons
1986a).
of Lusaka's
that
have yet
Table 2
The Growth of Lusaka's Population in Relation
to Total Population in Zambia, 1963 - 1979
Lusaka
Total
Zambia
123,000
262,000
401,000
599,000
3,490,000
4,057,000
4,695,000
5,600,000
Population
1963
1969
1974
1979
Source
Lusaka as % of
total
Zambia
3.5
6.5
8.5
10.7
: Compiled from EIU, 1984 and Martin, 1979.
By the
year 2000,
Zambia will
double its population to
about 12 million people, of which 50-60 percent will be living
in urban
areas.
The ILO Report estimated that the number of
urban households below the
or triple
1.5
by the year 2000
present poverty
(ILO,
1981a).
ACHIEVEMENTS AND CONSTRAINTS:
HOUSING POLICIES:
government intervention in housing started
In Zambia,
independence with the adoption of the
of
providing
line would double
housing
to
its
at
British colonial policy
employees.
The
Zambian
of
African
government's
aim
employees by
giving them the same benefits previously enjoyed
by expatriates.
everyone
was
This
(Bamberger
to
equalize
meant good,
et al.,
1982).
the
status
high standard
It also
meant that the
state became the major supplier of rental housing.
independence, private
ownership of
housing for
Prior
to
housing was restricted to
the relatively few high cost dwellings owned by the Europeans,
14
much of
1977).
which is
now owned
After independence,
Humanism (President
policies)
made
objective.
by the
the adoption of the
Kuanda's term
social
wealthier Zambians
and
philosophy of
for his eclectic
economic
(Jol,
equality
political
a
political
In the housing sector, it implied that housing was
to be a responsibility of the
state while
a 'formal' private
market for housing did not develop as it was not encouraged by
the state.
For example in 1973, only 18 percent
of the total
housing stock in Lusaka was privately owned and was limited to
high and middle income groups
(Martin,
Prior to independence, the
other urban
in
the
councils in
designated
colonial practice
Lusaka City
Zambia,
African
1979) .
Council like all
were responsible
areas.
At
for housing
independence,
the
of authorizing local governments to provide
and maintain public housing stock and its related services was
continued.
In 1965,
the government
introduced its
first sites and
services programme. The idea of sites and services
to Zambia
as it
is not new
was first started by the colonial government
in 1911, albeit on a smaller scale, a practice which continued
off and on until 1963, just prior to independence (NHA, 1975).
The reintroduction of sites and service seems to
as
an
emergency
measure
have started
to temporarily house squatters who
were displaced under the government's clearance and demolition
schemes, until
such a
time that
provided for them (Martin,
more formal
1979 and NHA,
15
1975).
housing can be
The provision of sites and service plots and conventional
housing was
not keeping
the total number of
1965
to
26,300
in
1971.
target
the
was
same
serviced
plots
government policy toward squatter settlements.
'although
squatter areas
they
represent
assets
nevertheless
financial terms'
of
policy
It
(SNDP, 1971:148).
was
demolition
in
housing budget of K106 million
also
recognized
that
and
The
are unplanned,
social
both
and
also acknowledged that
not a practical solution and
allocated K5 million for squatter improvement
Plan
sites
(1972-1976) marked a
plan recognized that
its
were completed
1982).
The Second National Development Plan
change in
time, only 3,071
houses and 14,710
6,790
(Bamberger et al.,
service plots
the
At
7,500 in
increased from
squatter houses
conventional houses and 7,850
although
rapid population growth and
up with
out of
a total
(approximately 5 percent).
public
funds
sufficient to meet the housing demand.
alone
were
The
not
As such, it introduced
a home ownership scheme and councils of large urban areas were
instructed to
abandon all new housing construction programmes
for rental use
(Greenwood
However,
construction
and Howell,
resumed
temporary policy revision and
(TNDP, 1979).
1975
the scheme
as
a
SNDP, 1971).
result
of a
was not implemented
Therefore, actual government investment during
the plan period on
and high
in
1980 and
public housing,
most of
which was medium
cost dwellings, was estimated at K56.9 million while
only K23.5 million went to sites and service
16
schemes and K1.6
33
of
percent
68
and
for sites and services and
service plots were
and
sites
5,000
only
period
plan
the plan (ILO,
allocated out of the total 67,000 in envisaged
The Third
1981b).
National Development
the
unsatisfactory performance in
as well as lack
personnel.
the
uncertain
by
towards the self
help policy'
settlements comprised
1979: 315).
(TNDP,
In 1970,
of the
40 percent
and it
was unlikely that
could provide
any significant
the sites
Lusaka grew
reach the
root of the problem.
did not attract a large number
not
afford
these
highly subsidized, these
percent of
and service schemes
In addition, these
way, still
as most
of squatters
1979).
(Pasteur,
were
only
copper prices
big
which in
influence
was
the
of them
Although
affordable
all urban households (TNDP, 1979).
that may have had a
did not
The sites and service schemes
schemes
plots
the squatter
total population in
solutions.
schemes, although remarkable in their own
could
local
of
attitude
an extent that the government for the first time felt
compelled to seek external assistance.
Lusaka,
Implementation was
problem in
In the early 1970's, the housing
to such
of housing
implementation
of qualified
affected
authorities
Plan attributed the
'organizational, financial and legal difficulties
policies to
adversely
end of
By the
squatter improvement respectively (Jol, 1977).
the
and a
public housing
half the amount originally allocated to
decrease
increase of over
making an
squatter improvement
million for
to 50
Another factor
decline
of the
1974 reached its lowest record in the
17
international market.
the bulk of the housing budget continued to
In addition,
be absorbed in high and medium
percent of
1974, 77
In
housing.
cost
the total amount of urban housing went to high and
while only
medium cost housing (including servants quarters),
13 percent was spent on low cost units, and 5 percent each for
and
and service plots
sites
informal
1982).
al.,
a response
the World Bank that
In
required.
was
of the housing problem convinced
and intensity
The scale
addition,
the
Second
the change of attitude in the
albeit
Plan,
lacking
World Bank
convinced
strategies,
implementation
substantial
settlements, as indicated
Development
National
scale and intensity
of equal
government's perception of squatter
in
(Dewar et
settlements
economic planners that the Bank's assistance in implementing a
would
project in Zambia
shelter
(Bamberger et
investment
for
Negotiations
the
in
changes
promote
al.,
Lusaka
national urban
1982).
Upgrading
and
Sites and
Services Project (referred to as the Lusaka Project for short)
started in 1973.
The Bank loan was approved in July, 1974 and
became effective in
completed in
percent of
1982.
the
April
1975.
The
project
was finally
The project was to target the poorest 40
population
and
comprised
the
upgrading of
17,000 existing dwellings in four major settlements;
provision
of 12,000 sites and service plots; and construction of related
community facilities.
18
stage, comprising between
the implementation
persons) during
(approximately 180,000
families
31,000
reached
although it
(Bamberger et
27-30 percent of the total population of Lusaka
and
sites
the
of
Half
1982).
al.,
of the households in the targeted areas.
90 percent
under conventional schemes.
required
amount
the
The cost
approximately one-
project was
of the houses built under the
The
any way and was to have complete
was not subsidized in
project
plots were
service
upgrading reached over
allocated to low income households and
tenth
families,
29,000
was
beneficiaries
of
number
Total
cost recovery.
Lusaka
The
one distinct aspect from other
had
Project
World Bank funded projects at
degree
funded by the
World
participation
was
(IBRD,
1983).
the
it
Lusaka
The aim of the
of
view,
was
previous experience in
to
one
would
accept the idea, but
should unduly interfere
it
(Bamberger et
Project,
from
al.,
the
with the
1982).
World Bank's
to demonstrate the feasibility of using
upgrading as a way of providing low cost
urban poor.
had community
that
consented on the condition that
timely execution of the project
point
time
was reluctant
be terminated if
the high
The only other project
had no
local pressures finally
would
was
El Salvador Sites and Services
first
The Bank having
community participation
due to
the
at
Bank
which
time
participation.
community
of
the
shelter for Zambia's
If the Bank was successful in this respect, then
expect
a
change
marked
19
in
government policies
towards the provision of shelter.
However,
1979:321).
strategy.
guidelines for carrying out this
standards,
shelter
minimum
On the other hand,
plan in
the
in
of merits
there are a number
it
adopts
low
income
that
to
priority
gives
(TNDP,
clear implementation
lacks
plan
the
families to
standards'
shelter
minimum
the
least,
at
attain,
number of
'enable the maximum
(1979-1983) was to
Development Plan
National
Third
the
of
strategy
The
proposes the withdrawal of subsidies and rechannelling
groups,
them to
low income groups, encourages the revision of lending
policies of financial institutions to allow
low income groups
better access and establishing a housing bank specifically for
low income housing, promotes
a
appoints
Committee
Development
Land
and finally, it
to
ensure
the
1979).
of land (TNDP,
availability
home ownership,
Clearly, if all of the above is implemented, Zambia would
have an
outstanding policy
for the
provision of shelter for
in the
Unfortunately, very little of what was said
the poor.
text was actually executed.
During
the
period,
plan
construction of housing rather than upgrading.
spent on
housing as
1979
and
upgrading,
a percentage
1983
was
amount includes all
including
sites
external
5,7,
and service
of total
total
The
schemes,
and
20
sum
and low cost
public expenditure between
and 11 percent respectively.
available
loans
on the
the emphasis was still
public
grants
resources
(TNDP,
This
for housing
1984).
Private
investment
in
indicating
a
housing
change
it
although
is
investment.
of
of K465,000
(TNDP,
Evidently,
squatter
during
toward
and 1984,
the
projects
total private investment
as against a total public expenditure
improvement
had
1980,
grant for
to
Lack
and upgrading.
seek
of
Zambian
on its
In
and
other
donor
Unfortunately,
donors,
to
the
the
West
completed
only
accounting for
major
German
government
of Kalingalinga,
The
in
Kalingalinga
early
1987,
for
upgrading
88 percent
and 1983
in design to the
shelter
however,
did not
own.
the upgrading
between 1974
with relatively
initiate any upgrading
(TNDP,
1984).
Lusaka Project
13,000
project
of total
persons
provided
a small
one of the squatter
project,
begun in
was the only upgrading
project undertaken by the Council during
also
the
loan and therefore,
funding,
government
settlements in Lusaka.
1980
public
-1984).
success.
persuade
than
the government was relying on external funding
government
little
period,
ownership,
lower
World Bank was reluctant to give a second
the
this
private
substantially
Between 1980
was K88,500
increased
policy
still
in housing
for
has
this period.
in
It is
all of Zambia,
expenditure on upgrading
The project
and was
was similar
to provide improved
(Oestereich,
1986a).
An
interesting feature in the project was more active and intense
community participation.
Community
Lusaka Project, was organized by the
21
participation,
local party
as in
the
leaders who
were also given the responsibility for running and maintaining
community facilities.
To sum up,
period,
the
during
Third
National
Development Plan
Kalingalinga was the only upgrading project
by the Lusaka Council that targeted lower income
only other
undertaken
groups.
The
investment in housing in Lusaka during this period
was the Helen Kuanda
-
Phase
III,
which
consisted
construction of 100 dwellings for low income families.
of the
No new
construction of medium and high cost housing was undertaken in
Lusaka during the plan period (TNDP, 1984).
22
Chapter Two
INSTITUTIONAL SET-UP:
CENTRAL-LOCAL RELATIONS
last chapter
From the
shelter in Lusaka has
due in
one can see that the provision of
come to
the economic crisis that Zambia is undergoing
part to
at present. High rates of inflation
of building
standstill. This is
a virtual
materials both
has increased
locally produced and imported. In
addition lack of foreign exchange has restricted
building materials
the import of
on which the construction industry heavily
relies. Also it has restricted the import of
needed for
the prices
primary products
the production of building materials
(GTZ,
1983).
Zambia's economic crisis has also decreased the amount of
capital
and
recurrent
maintaining the
grants
available
in
building
publicly owned housing stock.
councils have had to depend on
often
for
short
supply
their own
also.
In
squatter settlements continue to
and
As such, local
resources which are
the
meantime, Lusaka's
grow and
upgraded areas are
quickly deteriorating due to lack of maintenance.
As such,
shelter
have
innovative methods are required to
issue in
stressed
intervention
According
to
Lusaka.
the
in
need
housing
these
recent
In
for
and
experts,
years,
increased
shelter
if
for
deal with the
housing experts
local
the
governments
government
urban poor.
are
to
have
effective housing policies, then local governments must play a
23
more active role in the planning and implementation of shelter
policies and
planning of
consider
to
them
urban areas.
within
context
the
for these views
main reasons
The
of the
are:
-
-
urban
Fast
maintenance
of
efficient
it
if
Local
requires
growth
urban
is
and
services.
This
and
can be more
a local responsibility.
government
conditions
expansion
regular
better
is
needs
at
and
understanding
can
better
local
understand
people's priorities.
-
Only local governments of cities
with
their
own
particular
they can innovate new
can
effectively
deal
housing problems and only
ways of
solving their everyday
problems.
-
It is
only through
local government that communities
can voice their concerns
and can
take a
more active
role in issues that effect their well being.
-
Local government
link
-
can be more effective in acting as a
between local communities and central government.
A system where funds
same area
is more
are mobilized
efficient and
and spent
in the
responsive to local
needs.
This line
of thinking stems from the belief
that
central
governments have become over-centralized and too bureaucratic,
making them ineffectual in
of
developing
countries.
dealing with
the shelter
problems
Sites and services and upgrading
24
projects, for example, have in most instances been carried out
agencies without much coordination with the local
by national
authorities, which resulted
1986).
Einsiedel,
has
tremendously
local
von
of government activity
Over-centralization
weakened
and
(Allport
acceptance
beneficiary
and
problems,
and hand-over
implementation
in
In
governments.
Latin
they have almost
America, governments are so centralized that
completely been taken over the role of local governments up to
the point where 'matters
of
life
are
communities'
(Hardoy, 1982:12).
centralization of
intimately
related
with
at
national
decided
The main
the
is
this
for
reason
the daily
level
the over-
public expenditure where over 90 percent of
by
public expenditure is
controlled
leaving less
percent for
than 10
the
central
government
local governments
(Hardoy,
1982).
Given these strong
surprising
that
local
criticized, ineffectual
technical capability
centralization
governments
and lack
policies,
are,
as
often
of urban areas.
raise revenues,
They also lack the capacity to
very
is not
adequate administrative and
the demands
to fulfill
it
although they
generally have the authority to do so.
As such,
there is
a need
and responsibilities for both
with regard to shelter.
central
and
local governments
It should be mentioned that these new
roles and responsibilities cannot
must be
for the redefinition of roles
be
achieved
overnight but
a gradual process which requires institution building
25
governments to
and increasing the capacity for local
Local governments will have to
more responsibility.
more and
out by
previously carried
undertake a multitude of new roles
central
take on
However, before assuming these roles,
governments.
their
they must first build up
to
institutions
able to
be
handle these roles by undertaking the following tasks:
-
Strengthening their capacity to design, implement, and
monitor local
Local
policies and
needs
government
structure
so as to
to
and
capabilities.
Managerial
in
build
be able
responsibility
lacking
programmes
local
its institutional
this increased
to handle
to
its
improve
skills
government
and
(Schon, 1987).
management
are
very
often
many projects and
programmes have failed or have been delayed because of
managerial
ineptitude
(Burns
and Ferguson, 1987 and
Rondinelli, 1986).
-
The second task that
is improving
urban
growth
local government
its capacity for raising revenues.
has
led
to
government responsibility,
in
revenues
requirements.
expenditure
must undertake
to
in
local
without a matched increase
meet
expanding
The result
requirements
increase
an
Fast
is a
and
expenditure
'fiscal gap' between
resource availability.
Local authorities
need to strengthen their ability to
raise revenues by
improving
systems,
imposition
of
26
their
property taxation
automotive, local income and
sales
commerce,
and
charges,
development
(non
realistic
taxes,
among others
user
and
industry
and
subsidized)
taxes
on
(Bahl and Linn,
1984) .
is often a mismatch between the source of
Also, there
For example,
the revenue and the type of expenditure.
it
is
assumed
local
financed by
charges
and
general
taxes,
social
services can be
urban
utilities
public
by
services
However, very
transfers.
pattern.
that
by user
intergovernmental
few cities
display such a
Studies show that local taxes have financed
many services that should have been financed from user
charges,
or
services
that
financed from
transfers
could
have
have
local taxes
used
been
been
more
or user
to
finance
appropriately
charges
(Bahl and
Linn, 1983).
Finally, the tax capacity
to
be
strengthened
application.
one
of
the
of local
by
more
For example,
most
governments needs
careful
design
and
property taxes, generally
important taxes collected by local
governments, have not increased commensurably with the
increase
of
property
values.
Inadequate assessment
practices, lack of professional
expertise for valuing
properties, and problems of collection and enforcement
are the
main
obstacles
faced
by
local governments
(Bahl and Linn, 1984).
The aim of this chapter is to see how the above mentioned
27
views
to
apply
the
strengthening
shelter
The
Lusaka.
conditions
intent
Lusaka
Council
for the
poor,
to
see
whether
ultimately
improve
is
will
whether there are other
or
factors that may affect the provision of shelter. In doing so,
a general description of local-central relations will first be
and
its
Council
The structure of the Lusaka Urban District
presented.
role
in
discussed; also a
capacity is
the
review
provided.
Council has played in
strengths
and
of
provision
of
the
weaknesses.
is to show what role the
shelter,
role
The
then be
revenue raising
Council's
The purpose
providing
will
shelter
what
and
are its
national shelter
of
policies and how they affect the provision of
shelter is then
discussed.
2.1
CENTRAL-LOCAL RELATIONS:
In the
unit
A GENERAL OVERVIEW:
context of this paper, local government means the
of public administration which administers an urban area,
its surrounding rural areas.
and often
Central government on
the other hand, refers to all branches of government above the
local level
ranging from
state or
provincial government, to
national governments depending on the country's administrative
system.
country
The powers and roles of local government differ from
to
government
colonies,
of
country
they
depending
previously
for example,
administrative
on
had
the
type
(CPFMCG,
1984).
of
colonial
Ex-British
tend to have more or less the same kind
structure
which
28
is
different
from
the
French, Portuguese, Spanish, or Dutch ex-colonies.
categorize the types of local government,
has to
If one
two distinct extremes can be
or
of
offices
Naturally, most local
governments.
central
administrative arms
that are
and the other extreme are those
are those
degree of local autonomy
a high
that have
local governments
extreme
One
made.
governments are somewhere between the two.
governments
local
The more autonomous
have an
usually
elected mayor or city-council, have the autonomy to hire their
a strong
staff who are paid from local funds, have
have
and
more
to
authority
tax base,
implement local services.
this
case,
to
is
The
provide guidance
central
government's role in
in the
form of financial incentives and subsidies rather than
regulation.
form part
At the other extreme are local governments that
of
a
highly
centralized
system
where the mayor is
appointed centrally and local government is
branches
of
appointed centrally
centrally
regulated
passed to
central
as
and
line
central government's
for
funds
agencies
regulations to local governments
functions
is
usually
taxation is
development is
implementation.
The
is to provide detailed
(CPFMCG,
There is also a difference in
deliberative
capital
for
role, therefore,
staff
case,
this
In
well.
composed of local
their
and
ministries
central
usually
1984).
the way
the executive and
of local government are allocated.
In
some countries these functions are housed in the same body, in
29
others
in
In countries influenced by the
bodies.
separate
authorization, and execution
the formulation,
British system
is the responsibility of the city council who often
of policy
committees or boards.
exercise these responsibilities through
In
the
some Latin American countries,
are
functions
while
issues,
decides
the
executive
In
local
body
is
bodies.
and
budgets
other
responsible
As
governmental powers at the local level
such, this person,
(UN,
1973).
The effectiveness of local government depends
degree
government,
of
it
operates.
ministries
can
performance.
public
decentralization,
national policy,
responsibilities
for
for the
supervision of central government, may exercise all
under the
which
policy
other countries, a district officer or governor
may be entrusted with both functions.
the
A
may be shared
of policy
The initiation
and
and deliberate
executive
separate
on
body
execution of policy.
by both.
to
entrusted
representative
France,
such as the United States,
urban areas,
other
at
also
Separate
greatly
and so
the
level
affect
ministries,
for
central
systems within
addition,
national
works, housing
from
and the financial
In
the
support
largely on
division
between
local
of
various
government
example, responsible
on, are
likely to execute
their programmes themselves rather than through local agencies
(Davey,
1985).
Lack of coordination among central ministries
and unclear responsibilities
central
levels
tends
between
to
local,
provincial,
and
fragment responsibilities creating
30
inefficiency
and
confusion
(Bahl and Linn,
1983 and Williams,
1985).
One of the main problems of local government
revenue base.
Local
self sufficient in
revenue
sources
the
due
is
its
weak
governments in many countries were more
but
past
to
some
of
their best
gradual
preemption by central
As such,
the present financial
the
government (Williams, 1985).
lost
weakness of local government could be attributed
to
three main
factors:
-
Revenue is inadequately shared
with local authorities
by central government.
-
Weak
revenue
collection
methods
from
taxation,
charges, and fees, and other means of raising funds.
-
Local government's limited access to
capital
financial
markets for borrowing (UN, 1973).
However there are significant variations from
country as
the degree
ability to
raise revenues
next section,
country to
of autonomy and the local government's
depends on
many factors.
and attempt will be made to show how the Lusaka
Urban District Council fits into this general context
it
diverges
In the
from
it,
particularly
as
it
relates
and how
to the
provision of shelter.
2.2
THE LUSAKA URBAN DISTRICT COUNCIL:
Lusaka is
administered
by
its
Urban
District Council
which is responsible for the management and maintenance of the
31
city and
supply,
the provision
sewerage,
of a number of services such as water
roads,
The
housing.
and
Council also
number of commercial ventures, the biggest being
undertakes a
the liquor operation which brews and distributes beer to local
taverns.
The Council structure is based on the British system of a
24 elected
mayor and
functions
are carried out in
non-executive mayor is
The
officio, the District Secretary.
elected annually by the Council.
and one ex-
government-,
appointed by the central
two members
representing a Ward,
each
councillors,
The management and executive
various committees.
Professional
staff head
a number of departments and are responsible to the
Town Clerk.
Figure 1 illustrates the organizational structure
of the Council.
The Lusaka
Council falls
under the
Ministry of Decentralization which
expenditure
of
spending levels
all
councils
in
controls
Zambia
structure of
and instructs
the
changed very little since independence.
have occurred, apart from the change
Council
the
of the
revenue and
them on
and priorities.
The organizational
City
jurisdiction
to
its
present
name,
Lusaka
Council has
The main changes that
of name
are
from the Lusaka
the
additions of
departments and the formation of the Housing Project Unit.
2.
These members were
Ministry of Local Government
disbandment of this ministry, it
are appointed by the Ministry of
32
previously
appointed
by the
and Housing, but with the
is likely that these members
Decentralization.
Lusaka Urban
District Council
Figure 1:
Structure of the Lusaka Urban District Council
the
on
relations,
Central-local
the time
undergone various changes since
other
hand,
have
of independence and
there has been considerable encroachment upon local government
autonomy
a
and
(Greenwood and
and district
development.
direction of
the
Lusaka
tended to
centralization
Some decentralization policies
Howell, 1980).
have been introduced in Zambia as
have generally
toward
tendency
general
far back
be directed
as 1968
but they
towards the provincial
administrations with the aim of encouraging rural
It
was
not
until
1980 that a change in the
decentralization policies
Council.
has directly affected
Under the Local Administration Act of
33
1980,
administrative
the
Council was changed,
the
decision
determined
programme
at
the
has
finance available
process
this
of
considerable
to
the
time.
present
faced
and legal status
how effective
but
making
framework
councils
act
has been on
Council
The
of the
cannot
be
decentralization
delays due to shortage of
unsatisfactory financial
and
management by most.
best
can
relations
Central-local
following the changes that have occurred
provision of
shelter.
the three phases:
be
described
with respect
by
to the
This relationship can be divided into
the
first
phase
being
imediately after
independence where the Lusaka Council had a relative degree of
autonomy.
The
second
characterized by
phase
in
the
1970's
which
was
strong central interference, and finally the
present period, where an attempt is
being made
to reallocate
responsibilities to the local authorities.
2.2.1
PERIOD IMMEDIATELY AFTER INDEPENDENCE:
As previously
Council
(as
provision and
it
mentioned, at independence the Lusaka City
was
then
maintenance
Council want to undertake
first
identify
parastatal
approval
Government
of
a
was
responsible
its
housing
stock.
new
housing
project,
for the
Should the
it would
source of funding, whether governmental,
or private,
Official
Local
the
called)
is
and
and prepare the
then
design of
the scheme.
sought from both the Ministry of
Housing
34
and
the
National
Housing
Authority.
The National Housing Authority's job was to ensure
that the design conforms to existing
with
the
acceptable
planning,
housing policy, complies
engineering,
health,
and
building standards, and that the scheme can be realized within
the budgetary
framework imposed
approval
been
has
granted,
by the
the
grant or loan.
Council
would
Once
then
responsible for implementing and maintaining this scheme
be
(Jol,
1977).
The
National
technical
and
Housing
advisory
Authority
body
and
was,
was
at
not
the
an implementing
agency.
Its principal functions were the approval
schemes
and
approval
of
loans
to
local
(Jol,
In
short,
central
control
the Ministry
controlled
National
local housing
1977).
period through
which
of housing
authorities from
government, parastatal, and private sources for
schemes
time, a
the
Housing
was
of Local
revenues
Authority
exercised
during this
Government and Housing
for housing projects and the
which
gave
final
approval
on
housing schemes.
2.2.2
THE LUSAKA PROJECT PERIOD:
During the
planning stages
of the
Lusaka Upgrading and
Sites and Services Project central control became stronger and
more
visible.
A
brief
implementation process
The
National
Housing
description
of the
the
Lusaka Project
Authority
35
of
was
planning and
is as follows:
responsible
for
the
preparation of the project proposal as the City Council lacked
the
technical
capacity
(Pasteur,
'demonstration' project,
make it
previous
make them a suitable
sites
conventional
1982:75).
as a
As such,
and
The
implementation
service projects would not
bureaucratic
housing
procedures
solutions'
Project
the
'result
and
a bias
(Bamberger et al.,
the Housing Project Unit
of
The reasons
implementation.
for
(HPU)
was
set
up
under the umbrella of the Lusaka
semi-autonomous agency
Council.
was a
record of
Council's poor performance was a
of inefficient internal
towards
this
that the Council's poor
body
that the
given were
As
the World Bank was under pressure to
a success, and felt
implementing
1979).
Unit
was
project
responsible
only;
maintenance
for
the
and cost
recovery were to be the responsibility of the Lusaka Council.
However, there is a history behind this decision.
preliminary discussions
with the
World Bank, it was decided,
probably at the Bank's insistence,
the
project
rather
should
than through
the
either
project
was not
would be
the
Council
proposal,
design and
be
or
existing
the
for
specified.
connected to
that
departmental
though
the
structure
National Housing Authority.
included
the
It was
assumed however,
of
The
organizational
a project unit although its
location
that this unit
the National Housing Authority as they
were responsible for the preparation of
even
the implementation of
undertaken by a special project unit
therefore,
staffing
In the
project
was
36
the project proposal,
first initiated by the Lusaka
was preferred by the World Bank, and
This solution
Council.
had it not
this way
been implemented
the project would have
He argued,
the strong insistence of the Town Clerk.
been for
be connected
unit should
and rightfully so, that the project
with the Council as it was the proper authority to undertake a
project of
housing and
provision of
it
since
nature
this
In
infrastructure.
was responsible for revenue collection in
have one
be more
logical
He also
recognized that
within its
to
for the
responsible
was
addition,
it
the city,
as it
would
body collect all local charges.
the Council
have the staff
did not
present establishment to undertake the project, so
he proposed the lifting of controls on staff limits imposed by
the
Ministry
Local
of
Government
Council to hire the necessary staff.
'an
innovative
management
local government
flexibility
1979:24-25).
Bank
controls and
to
enable
it
to
get
Town
proposals
for
the
organizational
was
adopted
relation
Unit
the
to
things
Clerk's
paper
would have the
done'
containing
structure
(Pasteur,
organizational
(Pasteur,
the detailed
of the Housing
1979).
structure
of
Figure
the
HPU
2
in
the City Council.
One cannot predict how successful the
been had it
the conventional
In the end, his persistance convinced the World
the
illustrates
free of
in mind was
which a special
under
procedures and
and
Project
What he had
structure
would be
department of the Council
and Housing to allow the
project might have
been implemented under the jurisdiction
37
of the
00
Inkernai
Coordinating
Strutures
Field Team
L Chawam amLe
>
Hel-dTeam
George Complex
Figure 2: Lusaka Upgrading and Sites and Services Project Organization: City Council,
Housing Project Unit, and Central Agencies. Source: Pasteur, 1979.
Clearly, any outside agency would
National Housing Authority.
have
more
had
getting
in
difficulty
of the
support
the
councillors and political leaders in the squatter settlements.
Also, the Council departments would have
and
coordination
(Pasteur,
Unit
rather
with
This is
1979).
in
its
that
final
would
them
not to
had to
be involved,
have been more difficult
say that
Housing Project
the
did not have any difficulties,
form
but
had it been
it would have faced more difficulties
under the National Housing Authority.
The
from
Housing
Project
Unit
Lusaka
Council
was
the
being functionally separated
to
able
achieve large-scale
shelter development in a fairly short time simply by bypassing
the municipal
who
had
Pasteur,
engineers and
pessimistic
views
1979 and Schlyter,
what
to
do
with
the
of
the
1984).
arose during implementation.
the hand-over problems of
other people
within the Council
project
(Blair,
1983,
However, various problems
The most important of which were
cost recovery
Project
Unit
and maintenance, and
once
the
project
is
completed.
The
separation
implementation
by
of
responsibility
the
Housing
for
Project
collection and maintenance by the Lusaka
confusion
and
Unit
were
Therefore,
blaming
the
one
World
Bank
and
revenue
Council created much
both the Council and Project
another
for
assigned
39
Unit
works
Since cost recovery began
misunderstanding.
before the project was completed,
capital
low
the
cost
Project
recovery.
Unit the
collecting charges until the completion of
responsibility for
the capital project;
Council
(Sanyal,
then
will
be
handed
over
to the
The Project Unit did not achieve
1986a).
better results and the
However, this
it
rate of
cost recovery
is still poor.
is due to other reasons which will be discussed
in the following section.
The issue of maintenance on
easily be dealt with.
maintained,
the
the
other
hand,
could not
Because the project sites have not been
minimal
infrastructure
provided
is
quickly
deteriorating and giving justification to residents not to pay
(Bamberger et
The
raises
1982 and Oestereich,
al.,
problem
the
of
maintenance
question
of
why
implemented by the regular
in
the first
had
hand-over
the
in general
project
departments of
not
been
the Lusaka Council
place thereby avoiding the problems of continuity
and effective hand-over.
wisdom of
and
1986).
In addition, one might
offering special
privileges and higher salaries to
the Project Unit staff
to attract
the
National
Council
and
the
question the
the best
Housing
people from both
Authority,
and the
consequential problems that this caused. The implementation of
the
project
improved
by
the
strengthening
the
management
their
improve coordination
would also
existing Council departments would have
performance
the
Council
by
capabilities
in delivering projects and
between
various
the
ensure replication
On the other hand,
of
this
would
40
of this
have
departments.
project
in
undoubtedly
It
the future.
slowed the
process, which
the World
Bank would
not have agreed to.
It
should be mentioned that the aim of the Bank in the 1970's was
to
demonstrate
the
feasibility
of
projects
rather
than
institution building, which did not become an objective of the
Bank until
For
later.
the
sure,
model
the Housing Project Unit as a
of
special unit would have made further upgrading projects almost
was
This
impossible.
with by the Lusaka Council by
dealt
disbanding the Project Unit and creating a new unit within the
Council
structure
Unit was created
Services to
in
its place.
take
the
The Peri-Urban Areas
of
Department
Housing
and Social
coordinate activities in the project areas and to
as shown in
more upgrading activities,
initiate
unit
to
Figure 1.
has retained the same management procedures and styles
previously had in
approach, the
the Project
In
staff was
this
as
field
the
team
way,
the
experience
of the
retained within the Council to ensure
better implementation of future
would diminish
such
it
operation of the building materials stores, and
allocation of plots.
Project Unit
Unit
The
projects.
In
addition, it
the continuity and hand-over problems faced in
the Lusaka Project.
On the other hand,
has the
autonomy that
controlled by the head
Department.
implementation
Although
of
the
the Peri-Urban
Areas Unit
no longer
the Project Unit had as it is strictly
of
the
the
Housing
unit
was
Kalingalinga
41
and
Social Services
responsible
Project,
all
for
the
pertinent
department and only
of the
the head
made by
decisions were
responsibility given
towards the end of the project was total
to the
of
framework
larger
the
operation of the Unit within
Undoubtedly, the
Unit.
the
unless it
considerably and
has
Council
weakened
it
more support it may not
is given
survive.
THE PERIOD FOLLOWING THE LUSAKA PROJECT:
2.2.3
The Third National Development
the
of
the
authorities
the
National
1979).
Housing
it
has
and
design
to advising local
Authority
the economic difficulties,
Due to
Authority's
now
become
execution of
and limited the
local authorities,
Housing
National
(TNDP,
reduced and
planning,
back to
housing projects
role
for
responsibility
(1979-1983) reverted
Plan
budget
was
self-financing
considerably
by building
houses for sale.
Although
shelter
the
provision,
Lusaka
Council has regained authority for
there remains
one problem
Council deals with upgrading, which is the
This approach tends to
not
have
much
become a
impact
on
in
piecemeal solution
the
city
overall
perspective
of
the
way the
'project' approach.
as a whole.
analysis of the housing situation needs to be
an
the
and does
A careful
devised to give
problem and ensure a better
delivery system.
Another
capabilities.
weakness
This
of
the
problem
42
Council
is
not
is
its
unique
maintenance
to the Lusaka
1985).
of
importance
socially.
and
(Cohen,
ones
existing
maintaining
than
rather
facilities
one as
spent on extending available
are usually
Available resources
the
economically,
technically,
both
maintenance
easy
an
not
of
understanding
lack
makers
in
governments
local
is
The solution
developing countries.
decision
most
in
inherent
is
but
Council
A solution to this problem in Lusaka requires training
has nor
and a new source of revenue which the Council neither
is likely to get as will be discussed in the next section.
2.3
RAIS ING LOCAL REVENUE:
derive its
and
fees,
funds locally through rents,
commercial
revenue
of
sources
main
loans,
and
grants
through
are
taxes,
charges,
comes
finance
Additional
enterprise.
central government
Council's
urban councils in Zambia,
all
as
Council,
Lusaka
The
from
although the
locally
generated
Major services are financed out
(Greenwood and Howell, 1980).
of a number of funds or accounts such as:
-
The
general
rate
Its
services.
and
rates
employed
persons;
revenue
and
source
major
property
fines,
fund, which finances general urban
income
generated
insufficient, the
a
of
sources
this
are
fund
central government
usually supplemented it with grants
43
licence fees,
In cases where the
investment.
from
is mainly
levy on all locally
personal
minor
revenue
proved
to
be
has in the past
(Jol, 1977).
Trading accounts in water and sewerage are intended to
-
be self-financing as both operating and debt servicing
The liquor account
user charges.
met from
costs are
its revenues have
is also self-financing and at times
be very profitable and the surplus was used
proved to
a
housing.
However
steadily
declining
particularly in
1980 and Jol,
self-
grants from central
50 percent of the capital cost of
Up to
met by
a grant from
In addition, interest rates on
are
low,
relating
the
loans
supposedly
loans and
government.
official
losses,
Capital expenditure for new
rents.
any low income shelter scheme is
central
been
(Greenwood and Howell,
are
accounts
financed by
government.
been
have
1977).
financing through
housing is
have
there
the mid 1970's
housing
Recurrent
-
liquor
from
profits
and
services, particularly
of
range
wide
to finance
implying
a
pattern
of
subsidy
(Jol,
1977).
a
In
study
revenues
and
expenditures of the Lusaka Council, it was found that revenues
from the
general rate
urban services, user
spending
social
not
and
grants
services.
directly
fund exceeded
central
from
Therefore,
relate
fell
charges
to
expenditures on general
short
government
the pattern
the
1983).
44
of
public utility
do not match
of expenditure does
revenue source (Bahl and Linn,
Ministry
the
through
government,
central
The
of
Decentralization, and previously through the Ministry of Local
Government and
all local council finances.
Housing, controls
and recurrent expenditure,
capital
ministry
on all
regardless of the source or
the Ministry
Also,
1977).
(Jol,
expenditure
size of the
the
by
annually
Approvals must be granted
on spending levels and priorities thereby
issues instructions
ensuring control over local
and Howell,
(Greenwood
councils
1980).
central government retains control over all
In addition,
constraints
major
on
authorities
Local
price and rate levels.
the
growth
have experienced
of revenue because of the
reluctance of central government to introduce
The
same
applies
to
central government.
to
part
price
housing rents, which are determined by
losses
Liquor
controls
commodities such as
higher charges.
maize
were
central
by
and
beer
also
attributed in
government
over basic
(Greenwood
and Howell,
1980).
One of
the most serious problems that the Lusaka Council
continuously faces is the
from rental
dodging" is
1980:175).
housing.
a minor art
collection of
As Greenwood
form in
For example,
and Howell state '"rent-
Zambia'
arrears in
revenue particularly
(Greenwood and Howell,
the Lusaka Council were
estimated at 11 million Kwachas at the end of 1980, 43 percent
of which
were water
and sewerage.
In 1979, it was estimated
that the seven largest local authorities in Zambia had a total
45
of K28 million on their
deficit
al.,
(Bamberger et
housing accounts
1982).
full cost
to have
The Lusaka Project which was intended
recovery, in fact continues to have one of the lowest rates of
In
has undertaken around the world.
service areas.
sites and
the average
rate
in
85 percent
the upgraded
in the sites and service areas
60 percent
areas and
in the
42 percent
Loan repayments were even worse as
default was
of
of default
the rate
1978,
areas and
the upgraded
was 65 percent in
the World Bank
that
cost recovery among the 62 urban projects
(Sanyal,
1986a).
be attributed
1972,
imposed
difficult
by
Lusaka Council had
The second
holders.
firm
Rates
sites
projects
service
Project were even higher.
evicted and
therefore,
Lusaka Project areas only.
publicly
announced
generate political
their
of default
repayment for
which
Despite
In
it
very
As such, the
evict plot
to
political support for
in public
implemented prior
this,
no
housing and
to the Lusaka
one
had been
could not be enforced on the
addition,
opposition
support for re-election
As such, the Council
rate of
on
lack of
eviction
made
non-payment.
basis
was the
enforcing eviction.
and
for
renters
no
which
government,
central
evict
to
The first is the Rent Act of
factors.
to two
Lusaka Project can
in the
The low rate of cost recovery
could not
to
local politicians
eviction
(Sanyal,
so as to
1986a).
establish a satisfactory
the Lusaka Project, and an enforcement
46
on all areas of the city would have been politically unsound.
To sum up, the Lusaka Council generates most of its funds
locally, supplemented to the extent possible by central grants
and
loans
revenues
where
is
virtually
Its
necessary.
attributed
impossible
weakness
to
central
for
local
in
controls
authorities
generating
that
make it
to
enforce
sanctions for non-payment.
It is also due to central controls
over
making
prices
and
charges
rents or fees without
political will
central
it very difficult to raise
approval.
Finally,
lack of
has also affected revenue collection.
Without
central support, it is highly unlikely that the situation will
get better in the future.
2.4
THE ROLE OF NATIONAL SHELTER POLICIES:
A precondition
existence of clearly
for strengthening local government
stated
national policies
for the provision of shelter.
poor.
the
and guidelines
Therefore, one needs to closely
look at Zambia's shelter policies to see whether
the necessary
is
they provide
guidelines for the provision of shelter for the
Both the
Second and
Third National
Development Plans
recognize the assets of informal settlements although they are
vague on implementation strategies.
The
policy of
the Third
National Development Plan was to provide the maximum number of
families with
1979).
at
least
the minimum
shelter
standards
(TNDP,
However, the plan does not indicate how this was to be
achieved as there were no clear strategies for implementation.
47
Therefore,
plans are quite vague in
both
et al.
Bamberger,
(Schlyter, 1984).
housing policy
their
go so
to argue
far as
that:
really
cannot
Zambia
National
said
be
(1979-83),
Plan
Development
the Third
do
contain
lack a clear
but they
housing demand,
analyses of
to have a national
especially
plans,
The
housing policy.
delivery system and of capacity
articulation of a
which are absolutely vital to
of
both
constraints,
the planning of a national housing policy (Bamberger
1982:168).
et al.,
The Lusaka Project was supported by the Bank on the basis
the feasibility of using upgrading
would demonstrate
that it
way of providing low cost shelter.
as a
promote changes
be incorporated
(Bamberger
policies
shelter
was to
investments and initiate squatter
in shelter
upgrading which would eventually
national
The project
et
in Zambia's
al.,
1982).
Unfortunately, the World Bank has failed in this respect as no
national
policies
have
had
yet
a clear strategy for doing
The Lusaka project was completed in 1982 and to date no
this.
incorporates upgrading.
policy has been developed that
shelter
apparent reliance on external funds for
The government's
the provision of
Project,
not
shelter
has,
apart
the Kalingalinga
instance,
At the first
either.
been successful
from
of Zambia's economic crisis and the
one can accept the reality
funding as a logical explanation for the
lack of international
government's failure to initiate shelter improvements
poor.
However, one
of the subsidies that
Housing subsidies
for its
cannot overlook the regressive structure
the
government
were introduced
48
in
provides
1964
for housing.
to maintain a low
and were increased in 1968 as maintenance and
rent structure,
to
surpluses.
For example,
cost house in
per
recurrent
for
subsidies accounted
homes
from
Development
Plan
be
would
to take
their
removed but
on a
making it
number of
worse, the
make matters
with the
same
the subsidies.
time, the
its subsidies with
that subsidies were
support.
This resulted into
the councils' accounts.
problem of
introduction of
To
arrears increased during
the Rent
Act of 1972,
much easier for residents to dodge rent
Consequently, the
to buy
1977).
happened was
gained popular
overall deficits
allowed
not increased, and the home ownership
rents were
programme never
that period
in fact
the
reduce
(Jol,
eventual removal by 1975
However, what
proposed a home
Annual increases in
At
correspondingly
would
the total
effect beginning 1973 so that by 1975 full
economic rents would be collected.
government
of
councils; it also introduced economic
the
rents for those who did not wish to buy.
rent were
By 1972,
percent
25
ownership scheme whereby residents
their
1979).
1977).
(Jol,
National
Second
Martin
and
1977,
(Jol
year
housing account revenues
The
and K6
whereas actual rents charged ranged between
from the Council)
K50-100
government
(K24 from central
1968 was K30
for a low-
annual subsidy
the total
were
subsidy from their liquor
further
a
provide
instructed
councils
local
Also,
increased.
costs
operation
(Jol,
1977).
government had no choice but to reintroduce
Furthermore,
it introduced
49
a new
subsidy in
1975 that
aimed at
encouraging home
ownership by allocating
allowances to homeowners.
The Third National Development
the issue
percent of
of housing subsidies,
the government's
percentage is
(TNDP).
approximately 44
percent of
employees basic
In
while the
et al.,
only 10
it
15-20
salaries.
was
all housing
by
the
poorest 30
1.8 percent of the total subsidies.
workers received
again raised
This
for parastatal and private
1978,
sector employees were received
highest incomes,
once
which were estimated at
considerably higher
company employees
Plan,
estimated that
subsidies to public
10
percent
with the
percent received only
The poorest 50 percent of
percent of the subsidies
(Bamberger
1982).
The
Third
government's
National
support
Development
for
home
Plan
ownership
reiterated
the
and suggested the
removal of subsidies and rechannelling the funds to low income
shelter
seems
provision
to
question
be
(TNDP,
picking
of
subsidies
1979).
up
The home ownership programme
momentum,
remains
but
unfortunately
unchanged
due
to
the
lack
of
political support.
The adverse effects of
these subsidies
on the provision
of shelter for the poor cannot be overlooked.
According to an
estimate
subsidies
done
estimated at
b).
in
the
late
1970's
these
were
between K90-100 million annually (ILO, 1981a and
Such a large amount could go a long way in
shelter conditions of the poor.
50
improving the
Chapter Three
SHELTER COMPONENTS
of shelter entails more than just building
The provision
location,
such as -land acquisition,
activities
multitude of
encompasses a
but rather
or improving a house,
provided by
Each of these elements is
and
different
bodies making the
finance.
and
provision of infrastructure
affordable building materials,
services,
of
availability
of shelter
eventual attainment
a
difficult and cumbersome process, particularly to the poor who
spend most of their time earning enough money to survive.
coordination between various bodies,
Building
which
local,
national or
and
codes
Land tenure
willing
people are not
security
tenure.
of
at
can
standards
expensive materials making
families.
is
them
services requires
either
public or private,
times
lead
often
unaffordable
in
invest
to
Self-help
shelter
programmes
provision of
problems.
to
the
dictate
yet another essential
facilitate the
participation can
and
infrastructure
of
The provision
to
use
of
low income
component
as
without some
and
community
shelter.
But
finally, without housing finance very little can be attained.
The
aim
of
this
chapter
is
to
look
at the various
components of shelter to identify the problems that
with each
one.
For each of these components, an attempt will
with this
be made to identify who deals
or central
are faced
government and
issue, whether local
how effective they have been.
51
The
to see how these components
3.1
have
provision of
the
affected
Lusaka.
in
shelter
as a
Also, an attempt will be made
this component.
facilitator of
act
to
suited
more
is
who
identify
to
purpose is
LAND TENURE:
A high proportion of the urban poor occupy land that they
become
has
Squatting
there.
a
common way of meeting the
very often rent
demand of low income families for shelter who
as an additional source of income
out rooms
Public action with respect
the
example,
used
in
in
and
altogether
issue
cases
most
to land
opt
for
been to avoid
solutions.
easier
avoiding
thereby
(Doebele, 1982).
has mostly
and services projects,
sites
to reside
owner's permission
do not own nor do they have the
public land
the problems of land
the land issue has mostly been avoided (Angel et al.,
provision of
political
and
Procurement of
possibly
that land
shelter
land
measure which
poor
the
rather
involves
provision of
In
1983).
is
the
that
than
a
addition,
most
the poor
issue is
technical one.
legislation,
negotiation,
land for
will eventually
use (Angel et al.,
1983).
has become a major obstacle in the
institutional
confrontation.
consider the
poor need
for
had been
In the slum upgrading schemes,
acquisition and expropriation.
The reason
For
and
politicians
as a temporary
be vacated for more profitable
Politicians fail
to see
that the
to be housed somewhere and that this problem sooner
52
or later must be confronted.
one
realize
they
thing
can
eviction
mass
that
For
issue.
Also, governments face a dilemma in the land
lead
to
political unrest while at the same
time they
cannot deny the
land.
As such,
it would appear
to their
landowners' right
that
governments need to
the poor
compromise between
find a
who are in need of shelter and therefore land, or at least the
and the
use of the land,
al.,
(Angel et
There
1983).
the
also
is
In
land.
agricultural
wants economic gains
landowner who
of
argument
for
Egypt,
use
the
of
where
example,
prime
only 4
percent of the total land area is arable, more than 10 percent
agricultural
of this
last
years,
30
subdivision.
been lost
to
the first
result
provides
incentives
quality
of
housing.
invest in their housing
security
once
the
(Rodwin
where
hectares of
to
et
al.,
squatter
gives squatters
for
squatters
in
ten years
irrigated land has
1981).
settlements offers
security and as a
to
improve
the
It has been shown that people only
if
they
and Sanyal,
government
Lima
(Blitzer
The provision of tenure
their
to
than 14,000
urban functions
two advantages:
the
the form of illegal squatting or
in
mostly
The same applies
(1965-1975) more
to urban sprawl in
land has been lost
are
1987).
stopped
the
ensured
some
form of
In Turkey, for example,
demolition
of
gecekondu
(squatter) settlements and accepted their existence, dwellings
were built less rapidly
and to
53
higher standards
while older
dwellings were improved and enlarged, and once public services
were provided the gecekondus were barely
squatter settlements
of tenure in the
the
rapid
in
increase
Ferguson, 1987).
degree of
(Danielson and Keles,
income areas
other low
As
Burns
and
use
of
of Bogota
and
also led to
housing (Burns and
of
pointed
Ferguson
needed to
Security
1985).
out,
'the
achieve a perception of
(Burns and
circumstance'
second advantage is that it enables
The
the government to collect
provision
and
culture
with
Ferguson, 1987:30).
quality
the
property rights
security varies
distinguishable from
property taxes
public
and charge
for the
services (Burns and Ferguson,
1987).
Clearly the
issue of
land is
a local
one, since local
authorities control land use, zoning, cadastral surveys, etc..
As such, local government
land tenure
to the
poor.
needs to
of providing
devise ways
However, they need strong national
policies that can facilitate land acquisition.
Access to land
can take a variety of forms, such as government procurement of
land,
opening
encouragement of
up
new
of
land,
or
simply
owners to rent rooms, among others.
these alternatives has its
and only
tracts
own
advantages
the
Each of
and disadvantages
local government can decide what is more suitable to
its local conditions.
One of the problems of developing countries is
that land
expropriation is costly and time consuming due to outdated and
inefficient
legislature.
Doebele
54
proposes
the
method of
as
such
'quick-taking',
used in the United States and
that
most European countries, as a solution whereby governments get
to
access
land
the
(Doebele,
continue
the land.
once while negotiations for a price
1982).
most socialist
used in
Another method
separation of
at
ownership of
more affordable
from ownership of
the structures
system is
The advantages of this
that
makes land
it
be diverted towards
funds could
and private
countries is the
investment in structure, while giving the state the
This may have great advantages
the increments in land values.
services
in large sites and
(Doebele,
In
1982).
projects
the
groups
poor and
al.,
upgrading schemes
the provision of land
reduced the needs of low income
has greatly
et
(Blitzer
and
and the Sudan, for example,
Tanzania
public ownership of land has facilitated
to
rights to
1981).
Central governments'
role in
the land
issue will mainly
be to give legislative power to local government to produce an
effective urban land
significant
change
policy
in
(Blitzer
land
policies
et
is
al.,
1981).
Any
likely to attract
attention and therefore, cannot take place unless it is widely
supported by
the major centres of power (Angel et al.,
Central governments need to encourage local
1983).
government in its
land policies and to provide incentives for the them to do so.
Local
governments
face
a
difficult
numerous problems to be confronted.
ensure that
once tenure
had been
55
task as there are
For example,
given to
how does one
the poor that
the
Also, how can
them.
not displace
higher income groups will
local government
ensure that the provision of tenure will not
encourage further
squatting (Angel,
and
easily
public
ownership
is
not
certain
in
available
be
in theory, has
Zambia,
land and therefore, problems associated
of
should be
with land
not
(Angel, 1983).
developing countries
a
require
may
that
machinery
implementation
rights
Tenure
attainable.
administrative
its
action,
political
requires
issue is political
the land
that although
Angel argues
1983).
occurred in 1975
This change
minimal.
under the Land (Conversion of Titles) Act of 1975 which vested
the
all land ownership in
freehold rights
to land
converted to leasehold.
value of
President.
have been
Land
act all
abolished, and tenure was
no
has
this
Under
except
value
for the
improvements as leases are charged at standard rates
per hectare regardless of variations in
1982 and Pasteur,
Another
the Housing
(Dewar et
quality
al.,
1979).
major
legislation
(Statutory
and
concerning land in Zambia is
Areas)
Improvement
Act
of 1974
passed specifically for upgrading and sites and service areas.
This act allows for occupancy leases up to
and service
99 years
in sites
areas and occupancy licenses of up to 30 years in
upgraded areas.
Previously, sites and service areas
had a 10
year tenure term which was not backed by any legislation.
Land
problems as
acquisition
freehold
in
Zambia
rights
to
56
should
land
have
not
present
any
been abolished,
tenure converted
and land is
to leasehold,
no value apart from the value
regarded as having
However, the
of improvements.
administrative procedures required for such a change have been
and
difficult
complicated.
acquisition was
one of
caused delays of up
three
land
through
nationally
the
in
years
and
were,
1982
and
of
responsibility
Ministry of
and
Land
Lands,
who
upgrading,
Lusaka Council
however,
(Angel,
At the outset of
is
issued
for sites
the
ministry
and service
and administered by the
1983 and Pasteur,
the project,
of
the
and compensation
Housing
The occupancy licence
is
Office
paid by central government through this
1979).
is
(Bamberger
valuation
Valuation
and
Government
dealt with
procedures
1979).
Regional
the
Local
payments are
(Pasteur,
Pasteur,
Most
sites.
are,
of
responsible for acquisition and transfer
et al.,
some
still
Commissioner
the
Project, land
Lusaka
problems that it faced and
the major
to
concerning
matters
In
1979).
the Housing
Project Unit
transferred matters of land acquisition to the Commissioner of
Lands.
As the Commissioner's office
land transfers
in Zambia,
and had limited staff.
priority and
acquisition
Secretary and
to
It did not give the Lusaka Project any
be
it at normal pace.
obtained
the Minister
from
of Local
and then submitted
to
the
further
In
addition,
delays.
for all
it was under considerable pressure
proceeded with
had
was responsible
President
57
the
both
Approval for
the
Permanent
Government and Housing,
for
approval, causing
properties
had
to be
some sites
not registered.
have been subdivided but
had
to
and
surveyed
surveyor in Lusaka.
These subdivisions
only
Also, the sites had
registered land
one
valued by the
to be
compensation could be paid for the
this office is
bottleneck as
was another
This again
land.
was
there
so that
Valuation Officer
parts of larger properties that
to be
were found
delays as
causing more
verified with the Registrar of Titles
responsible for all land valuation in Zambia.
After one year, the Project Unit realized that the matter
taking considerable
of land acquisition was
to take matters into its own hands.
It also used the device of
Conversion
Act
were not
willing to
prices and generally resisted selling.
the valuation
sell at
It tried to purchase land
However, owners
by direct negotiation.
time and decided
powers
allowed
which
of
entry
entry
for
under
the
the Land
purpose
of
constructing roads.
This
is
an
procedures can be.
example
of
how
difficult
administrative
In part this was due to the newness of the
legislation and the inexperience of staff with it.
due to
the centralized
handled by one office.
It is also
procedure where all land in Zambia is
And
contributed to these delays.
finally
lack
of
trained staff
A system where issues related to
land are handled locally and within one agency that deals with
valuation, surveying,
title, and registry would simplify land
acquisition and registry of deeds.
58
3.2
PROVISION OF INFRASTRUCTURE AND SOCIAL SERVICES:
The provision of infrastructure
services for
and social
the urban poor requires the provision of essential
shelter of
such
and/or minimal services
as
of
Provision
transportation.
water,
disposal and
waste
and
infrastructure
minimal
services are essential for the success of these programmes and
it is a positive way of showing government support for them.
The
problem
encompasses
a
with
wide
the
provision of services is that it
range
of
functions
including
but not
necessarily limited to water supply, sewerage, drainage, waste
Health and
disposal, roads, electricity and street lighting.
education
also
need
to
activities is carried out
some
public,
priorities
between
some
of
all
Valencia,
by a
is
are
very
water
is
Each
different unit,
while
units
them
Venezuela,
considered.
national
these
of
be
others
different
the
state
and
Electricity
is
the
local
Health is
Venezuela
education is
of
If
is
of both the
of
Public
Works.
one national and the
controlled by the Ministry of Health
Institute
in
in
a national
of
Social
Security,
a responsibility of the central government.
government
maintenance.
Ministry
provided by two agencies,
other private.
and
the
The
and coordination
hands
road building a responsibility
Carabob
local.
For example,
government agency,
of
these
some private
are
difficult.
in
of
charge of
anything is
only sanitation
to be done in
59
the
while
The
and street
city, the city
council
to
petition
must
the
state
or national agencies.
make any decisions
Local government is virtually powerless to
since
of
most
these
made centrally (Gilbert and Ward,
are
1985).
In
Bogota,
authorities
Colombia,
are
in
on
charge
other
waste disposal.
planned and
the
local
In
fact, most
locally in the local
carried out
planning department and housing corporation
(Gilbert and Ward,
matters of coordination are considerably
Therefore,
1985).
hand,
of electricity, water, drainage,
telephones, local roads, and
activities are
the
reduced.
Some cities
may have
are
others
whereas
government
seen to
for
the provision
the state usually
these
services
remaining
infrastructure
is
system,
productivity cannot
be accelerated.
argument
of
with
the
industrial
such
It
central
on
the
If
a service is
national growth and industrialization,
the
services
authorities.
of services.
intervenes
to
dependent
completely
contribute to
degree of autonomy
a considerable
as
widely
aim
sector
waste
known
of facilitating
and
leaving the
disposal
that
to
without
local
a
good
industry cannot function and therefore,
be increased,
and economic growth cannot
As such, the national government has used the
economic
provision of services
local authorities.
development
leaving
the
for
intervention
non-economic
As Gilbert and Ward argue:
60
in the
services to
[services] are provided to the population
While all
they have
that
reasons, we would propose
for social
been developed primarily not because of organized
as a
political pressure from residential groups but
organized statement of needs from
response to the
In
powerful industrial and commercial interests.
it
general,
has
those areas of critical
in
been
interest to industry and commerce where services
have expanded not in areas which have been primarily
even middleor
growing
working-class
subject to
class
pressure.
(Gilbert
emphasis in original)
Most large cities
fairly
adequate
in
developing
these
than
that
an
unhealthy
1985:132,
countries,
for
the
Therefore,
these services need to be
Also, public
poor areas
it
It
is
more productive
seems quite apparent
provided to
residential
(and private) utility
areas
agencies operating at
the national level are not always sympathetic to
poor.
For
public utilities
poor to
and
those of the poor.
particularly
the
have a
industry resides.
a healthy work force is
one.
now
industrial
in
services
where the labour required to run this
also widely known that
Ward,
system
infrastructure
economic growth but lack
and
instance,
'pricing and management
may unnecessarily restrict
public services at reasonable cost.
charges, for example, may
be incompatible
of the
poor.
supply'
(54 Grimes, 1976:87).
the needs of
the
rules of
access of the
High installation
with income levels
Rules of financial management restrict overall
In Zambia, the provision of services is relatively easier
to deal
with as
range of services,
coordination
the local
urban authorities
provide a wide
with no overlapping responsibilities
relatively
easier.
61
Table
3
making
outlines
the
responsibilities
for the various urban functions.
in Zambia
are essentially
the provision
waste collection, roads and
Lusaka
and
provided.
Kalingalinga
the
Therefore,
mainly that
street
of water, sewerage,
lighting.
projects,
In
both the
electricity
coordination that
was
difficulties
caused
encountered
in
undue
the past.
Lusaka has access to piped water.
now concerns
the distance
number
of
provided by the
education),
transport
Bus Company of Zambia
financial
using
the
tap,
with water
government,
frequency of
(transport,
a major
has for
some time
making
the
Of the essential services
has been
difficulties
were many
Almost every person in
So the problems
and payment.
central
nor
and
at which water taps are available,
families
breakdowns, wastage,
delays
not
required was
is
within the departments of the Lusaka Council,
this has not previously
the
for squatter improvements
services required
The minimal
the
health and
problem.
The United
been facing serious
expansion
of bus routes
almost impossible, and residents have to rely on private taxis
and minibuses
for transportation
and have
had to
pay higher
prices.
On the other hand,
maintenance.
quickly
problem
a fundamental
problem with
The services provided in the Lusaka Project have
deteriorated
maintenance
there is
and
(Oestereich,
the
community
broken
1986).
leaders
down
In an
have
because
of
lack of
effort to solve this
been
given
the
responsibility of maintenance in the Kalingalinga Project, but
62
Table 3: Responsibilities of Urban Functions in Lusaka
Function
Central
Ministries
Lusaka
Council
Basic Infrastructure:
Water Supply
PDEMR
Sewerage
Fire Services
Electricity
PDEM
PDEM
R
Waste Disposal
Street Lighting
PDEM
PDEM
Communications & Transport:
Telephone
Main Roads
Other Roads
Bus Services
PDEMR
PDE
National
Parastatals
Zambia Electricity
Supply Corporation
(ZESCO): PDEM
M
PDEM
United Bus Company of
Zambia (UBZ): PDEM
Taxi & Mini-bus Services(a)
Housing & Sites:
Public Housing
Sites & Services
Housing Loans
Upgrading
Land Tiles
Health Services:
Curative Health (hospitals &
health centres)
Preventive Health (clinics)
Cemetaries
Education:
Pre-School
All Others
PD
PD
P
P
P
DEM
DEM
M
PDEM
M
PEM
PEM
PDEM
PM
PM
Community Development
& Welfare:
Community Centre
PDEM
Amenities & Recreation:
Parks & Gardens
Sports & Recreation
Liquor Brewery & Taverns
PDEM
PDEM
PDEM
Trade & Control Promotion:
Trading Licences
Markets
Public Order & Law
Enforcement:
Police
Town Planning & Control:
Local Planning
Building Control
Land Administration
P
M
PDEM
PM
PD
P
M
PDM
(a) Private owned and operated.
Key:
P= Policy and Planning
D= Design
E= Execution
M= Operational Management
R= Revenue Collection
Source: Compiled from Greenwood and Howell, 1980, and Muller, 1979.
63
it
is
too
still
soon
tell whether this method is more
to
successfully implemented in
could be
effective or whether it
the other areas.
The
that
of
lask
local
development
for
projects
roads and
sewage,
water,
have
authorities
expanded, the
independence
since
colonial days.
were
extended
have
not
services to the
serviced during the
the expansion
incorporation of the squatter areas,
has
manpower. In
finance and
not previously
Finally with
provided there.
As these services
street lighting.
authorities
"African areas" that
embarked on
maintenance necessary also increased
amount of
local
the fact
extension of services such as
the
and has become a burden in terms of
addition,
to
can be attributed
maintenance
services
of Lusaka and the
had to
also be
All these require maintenance but the Council
its
increased
capacity
to
these
maintain
areas
(Greenwood and Howell, 1980).
3.3 BUILDING CODES AND REGULATIONS:
standards, and
Building codes,
with the aim of ensuring certain
These may
include fire
health, as well as
there are
regulations were devised
health and
prevention,
structural
certain aesthetic
numerous reasons
for the
safety criteria.
safety, public
requirements.
However,
ineffectiveness of these
standards, mainly:
-
Standards
experiences
are
but
not
based
have
64
either
on
local
conditions
been inherited
and
from the
colonial days or imported from developed countries.
Standards do not reflect
-
or lack of
the availability
The high demand for shelter affects
local resources.
these resources by
first
use
national resources
of
such as timber, soil, and minerals, and second, by the
land for building construction.
use of agricultural
-
Standards
often
traditions
and
local
reflect
not
do
has a direct
and this
living patterns
cultures,
impact on the poor.
-
Since standards are based on Western models, the
technology involved is therefore
intensive
capital
often
prefabrication is
mass
or
production
the provision
used in
Very
inappropriate.
of low cost
housing.
-
Standards do
the local economic situation
not reflect
on the
and are not based
capacity of
the people and
governments to pay for shelter.
-
Since standards
who very often
government,
it is
are supposed
very difficult
to be enforced by local
are weak
to enforce
and ineffectual,
them, except in the
cases of upper and upper-middle income housing.
-
reflect
Standards
dwellings
reflect
a
social
stratification
since
certain
socio-economic
status
(Mabogunje et al., 1978).
Also, many of these building and sanitary codes are based
on
codes
developed
in
the
nineteenth
65
century
before the
discovery of disease
1979).
prevention
Nowadays, it
adequate
way
of
and
control
diseases
and
ensuring
disposal of human waste by simple methods such
need only
shelter
Similarly,
this
(Oram,
1979 and
requirement
methods.
can
met
only
restrictions
by
In
very
be
rooms in
schemes,
their
source of
structurally
that
about
receiving
(Vernaz,
prevent overcrowding.
all
government would
and regulations
local
real
of
can
Standards
needs
and
from renting
eliminating
an important
it
seems
should
a
logical
review its
understand
66
rent
out rooms
1982).
codes that
not
studies indicate
their income from this source
suited to
and adopt
many sites and
prohibited
residents
Doebele,
be more
In
for example,
barrio
above,
government
people's needs.
people's
of
one-fifth
the
are
thereby
In Bogota,
1973 as cited in
Given
Only
dwellings
one-third
about
stable and
on the number of persons to an unit
participants
income.
warmer climates,
simple construction
deprives the poor from a source of income.
service
or minimum
few basic
1968).
to
should provide adequate space to
Finally,
a
satisfy
Turner,
be
Shelter need
use of
from the elements both physical and
as shelter
standards such
as the
adequate methods of waste disposal.
and simple
latrines,
natural
health
These basic services usually include clean water,
standards.
pit
(Oram,
that basic services are an
is believed
preventing
methods
be
that
local
building codes
suit local conditions.
local conditions and
developed
to reflect
'middle class-technocratic
of
perception
Local government should aim at developing standards
1978:15).
(Blitzer et
majority of households
the
serve
to
better
had
families
Tanzania
In both
exceptions.
1978).
al.,
et
(Mabogunje
access
no
Sudan,
standards
are
the
Sudan,
and
land
codes that
locally made
materials would
1981).
be more accessible to
not only
building materials
the local
the poor but would also promote
al.,
use of inexpensive,
would permit the
Consequently,
because
areas in the
et
(Blitzer
imposed
lower income
shelter
certain urban
low; in
standards were kept very
However, there are a few
and
to
whole
the upper
population, but in effect they have benefitted only
classes
by the
1981).
al.,
developed
are
standards
Most
affordable
be
should
they
and finally,
activities;
by small construction
particularly
attained
easily
be
criteria mentioned above;
and safety
the health
that ensure
can
al.,
et
(Mabogunje
are'
needs
these
what
industry.
adopted
Zambia
(Schlyter,
standards from the British
were
applied
previously
only, while in the
(Schlyter
and
authorities
formal areas
the
1979).
of Lusaka,
1984).
67
These standards
no standards
were enforced
After independence, local
construction
low-income housing.
sanitation
European areas of the city
except the sites
new
and
codes
to enforce these stringent
by applying them to all
upgrade most
in
African areas
Schlyter,
tried
building
the
standards in
all
and service schemes,
and
attempting to
The effect of this was the
which
systems
adoption of industrialized building
intensive and had a large import content
capital
and
sites
The Lusaka Council
sizes, and minimal sanitary requirements.
with each new sites and
these standards
continuously reduced
were
narrower streets, smaller plot
included
These
introduced.
1981b).
standards
modified
prograne,
service
(ILO,
the government first introduced its
1960's, when
In the
were very
service project due to high costs and lack of affordability by
As such, minimal adjustments in
groups.
the target
were required for the
sites
and
services
standards
component
of the
Lusaka Project.
However there
areas
and
this
standards available for upgrading
were no
caused
considerable
debate
about
the
appropriate level of services. The World Bank wanted to reduce
standards considerably to reduce
costs.
The
city engineers,
however, felt that the same standards applied elsewhere in the
city should also apply to project areas, and were reluctant to
accept
lower
standards
(Schlyter,
1984).
In the end, the
engineers reluctantly accepted the lower standards.
It
certain
should be mentioned at this
trade-off
Minimal standards
increasing
the
that
one
reduce
costs
of
point,
makes
capital
that
there is
a
when reducing standards.
costs
maintenance.
considerably,
This is
while
an important
point that needs to be considered particularly in Lusaka where
maintenance has always been a problem.
been more logical in the long
run to
68
In Lusaka, it may have
accept higher standards
ultimate high costs, to ensure a longer life cycle.
and their
This matter needs careful
consideration to
are not
the same
too high
yet at
ensure that
time maintenance
costs
is
at
a
minimal level.
Although
Third
minimal shelter
National
standards
Development
Plan
'to be extended to
adopted the
as many of those
as possible'
households not enjoying these standards
existing
(TNDP, 1979:322),
and
politicians
administrators continue to
oppose lower standards.
They reluctantly
standards in
the Lusaka
Project due to the fear of a cholera
epidemic and
continue
emergency
measures.
upgraded areas are
showpieces that
3.4
accepted the lower
consider
In
the eyes of politicians in Zambia,
'still
just muddy
offer political
upgrading
as
merely an
to
compounds',
display
and
(Schlyter,
are not
1984).
HOUSING FINANCE:
There is no doubt that finance plays an important role in
the provision of shelter.
lack
adequate
or
However,
most developing countries
well-developed housing finance systems, or
when they do exist they tend to exclude
of
the
population
requirements.
Most
because
housing
of
their
finance
persons have a certain level of income,
employment, and have
requirements tend
some
form
of
between 70-80 percent
high
schemes
eligibility
require that
have steady dependable
collateral.
All these
to exclude the poor from access to finance.
The poor, by definition,
are usually below the
69
minimum income
for loans,
required for eligibility
level
often
very
lack
incomes
steady
very
it
making
fluctuate
high mortgage
cannot afford
the fact that they
borrow money
Also, they are constrained by
1979).
and UN,
(Sanyal, 1986b
them to
that enables
assets nor the collateral
and neither have the
difficult
payments and
as
their earnings tend to
to
meet regular payments
demanded by such loans.
In
response
to
most
this,
banks aimed
countries, created national housing
credit
to
lower
However, in
financing.
private sector
developing
at providing
who have been excluded from
groups
income
in
governments
reality, these banks
are only slightly more effective than the private sector since
albeit
the same requirements,
The
income
households.
was
still
apply.
requirement, although lower than the
eligibility
private sector,
still
stringent,
less
In addition,
not
enough
low
for
low income
there is no flexibility for income
fluctuation and small repayments.
As such, there is a need
requirements to
This can be done
make them
in
collateral
required
short-term
repetitive
schedules.
many
for
more accessible to the urban poor.
ways
such
security
loans
In addition,
the eligibility
for redefining
and
of
as
reinterpreting the
loans,
making
offering small
flexible repayment
an effort could be made at locating
financial institutions in residential
areas
of
the
poor to
facilitate physical access (UN, 1979).
Clearly, financial
institutions must
70
be large enough to
be
able
to
loans
provide
to
the
majority
Therefore, to be effective they must
and
supported
by
guaranteed
capable
of
governments.
central
national
financial
At the
capacity
could be
for
housing
with the
system.
same time,
of
credit
institutions
these
Central
to develop financial
providing
construction and to incorporate
the poor.
be national institutions
government must take the necessary steps
institutions
of
the poor
done in
local government could strengthen the
in
obtaining
loans for
housing.
This
the form of building material loans whereby
in-kind loans are granted to those wishing to build or upgrade
there dwellings.
In
Zambia,
housing
did
attributed
housing
at
financial
Zambia
financial
not
to
develop
the
the
Superannuation
until
time.
Building
Fund,
of
Currently
that
a
such
Society,
the
This
private
there
offer
the
offering credit for
recently.
non-existence
institutions
National
institutions
are
could be
market for
a
number of
credit such as the
Local
Authorities
Zambia National Provident Fund, as
well as private institutions.
In
addition, building material
loans are usually provided in designated project areas.
Most
of
these
financial
geared their lending towards
institutions,
upper
income
however,
groups.
have
In the
Lusaka Project, the building materials loan was crucial to the
success of the project as most families did not appear to have
access to
other sources of finance.
71
Those that were eligible
for loans from the Zambia National Provident Fund were unaware
that this
source
Eligible families
was
available
may make
(Bamberger
of their
retirement plan.
savings for
may receive these funds in
form
the
1979).
Project participants,
the Lusaka
give loans because of
al.,
wages as a
loan certificate
a
local materials stores
source for
the only alterative
This was virtually
their low
were reluctant to
as banks
(Bamberger et
income status
1982).
The Third
National Development
Plan estimated that over
90 percent of non-governmental housing finance
financing private
high cost
and company
Plan, realizing the importance
institutions
to
change
of
their
policies
(TNDP, 1979).
is
must earn
to
provide private
group, access
to credit
at present
for an amount less than 5000 Kwachas,
be paid back in five
years.
Therefore, a person
a minimum of K200 per month to be eligible
income
The
Unfortunately this has not been so successful.
extend credit
which must
in
finance requested
The Zambia National Building Society, as a policy,
does not
utilized
owned housing.
housing
borrowers, particularly lower income
low
1982).
Project participants
of
which is accepted as in-kind payment at
(UN,
al.,
from this fund to
one withdrawal
which they have annually contributed part
4 percent
et
families
earn
between
K40-100
(whereas
monthly).
In
addition, the Zambia National Building Society does not accept
the
occupancy
purposes
licenses
(Sanyal,
1980).
and
leasehold
As such,
72
titles
for mortgage
low income families have
relatively little access to finance in Lusaka.
3.5
SELF-HELP PROGRAMMES AND COMMUNITY PARTICIPATION:
and
Sites
services
upgrading schemes are not only
and
less expensive per unit than public housing, but they are more
particularly
appropriate
if
active role in these
than
effective
central
that
decide
aim at
government should
their
can be more
encouraging
shelter
(Rondinelli,
needs and
1986).
Local
than
working with the people rather
More active dialogue
and
communities and
allow
on
own living conditions
improve their
for them.
to
communities take an
in
government
programmes
groups
local
Local government
schemes.
supporting self-help
neighbourhood
the
government and
between local
local communities leads to better understanding of their needs
by local
government while,
understanding
of
local
at the
same time,
government
leads to better
limitations
by
the
communities.
In
has been
Zambia,
the United National
Independence
Party
(UNIP)
very influential in organizing self-help activities.
In addition to its
and economic
political functions,
responsibilities.
squatter
areas
building
activities,
where
the
it undertakes social
This is most prominent in the
Party
allocates
plots, controls
particularly commercial ones, organizes
self-help water supply projects
clinics, schools
and markets,
order (Pasteur,
1979). Pasteur
73
and
maintains
wells, builds
as well as maintaining law and
maintains that
the Party has
been
strong
very
in
settlements
squatter
for
three main
reasons:
First, being illegal settlements, there is a need
for organisation to defend their interests against
central and local
authority.
Secondly, since
government have bee virtually uninvolved in the
areas, there is a need to provide as far as feasible
for
rudimentary urban services and controls. The
party's achievements in filling this vacuum, while
not an adequate substitute for services, have still
been remarkable, and in a very real sense the party
acted as the local authority.
organisation has
Thirdly,
from the point
of view
of national
leadership the party control provides the best means
of excercising tight security and social control
over the mass of
lower-income population, and of
maintaining support for the Government (Pasteur,
1979:11).
In both
was
very
briefing
and Kalingalinga projects, the Party
the Lusaka
influential
participants,
in
organizing
participating in decisions
al.,
1982).
However
mobilizing
about
popular participation,
self-help activities, and
road
layout
(Bamberger et
the party leaders have not welcomed the
help of the community development staff of the
Council due to
fear of rivalry.
Given
this
high
degree
of
Lusaka, it seems obvious that every
community
effort should
encourage these communities to help themselves.
74
organization in
be made to
Chapter Four
CONCLUSIONS
This
study
has
attempted
District Council's performance
with the
intention
local government
cannot reach
to
in
of making
analyze the Lusaka Urban
the
provision
certain generalizations about
participation
in
shelter.
experience in
housing provision
learned from.
The
requisite
Obviously one
generalizable conclusions from the experience of
one country but, on the other hand, the
findings and
of housing
aim of
attempt to
conditions
effectively carry
this
Lusaka Council's long
is an experience that can be
chapter
is
to
summarize the
draw some conclusions about the preunder
which
out shelter
local
governments
can
programmes and to identify the
roles of both central and local government in
the provision of
shelter.
In Zambia, the government is the main supplier of housing
as a formal private market
did
not
develop
until recently.
This undoubtedly has put tremendous pressures on all levels of
government, as well as on
the
national
parastatals
for the
provision of housing.
Some general points can be made with respect to the roles
of
both
local
provision
of
and
central
government
shelter.
Central
in
Lusaka
governments
in
the
main
responsibilities have been:
-
Production of national housing policies based
75
upon an
implementation strategies.
clear
-
needs but have generally lacked
housing
of
analysis
the
However,
finance.
for housing
institutions
The development of financial
has
government
been
not
of these
successful in directing the lending policies
institutions towards lower income groups.
-
The
of
provision
to
the Lusaka
local authorities
can charge
and
loans
grants
Council for housing programmes.
-
Setting the amount that
for
rents
setting
and
fees
charges for urban
and
services.
-
Adoption of minimal standards for shelter provision.
-
Finally,
with
respect
at
the
as all
matters
relating
central level,
tended to frustrate
The Lusaka
land,
to
has
provided
on
land are handled
administrative procedures have
implementation
Council,
it
to facilitate housing provision.
adequate legislation
However,
to
the
other
at
the local level.
hand,
has
had the
following responsibilities:
-
Design and
execution of
housing programmes, although
there have been times when the
central government has
taken
design
the
responsibility
of
such as in
the
Lusaka Project.
-
Provision
of
essential
services
such
as
water,
sewerage, roads and so on.
-
Working with
communities in
76
the execution of shelter
projects.
-
Collection of all fees, rents and charges.
-
Maintenance of all public housing stock.
weakness of
It seems that in Lusaka, the
low income families is not a
shelter for
delivering improved
lack of technical
direct result of inefficient management nor
and
charges
raising
revenue
financial
powerless in
limited the ability of the Council's
has
capacity
and
imposing
made
the
Also,
support.
over price levels,
Central control
control and interference.
rents
a result of central government
rather mainly
capability, but
the Council in
sanctions
it
that
fact
for
reliant
the
non-payment
on central
Council is
of rents,
again due to central policies, has weakened its revenue base.
The main
weaknesses
the Lusaka
within
Council could be
summarized as follows:
-
The
Council's
poor
performance
serious implications
on the city
problem
as
a
requires
periodic
maintenance has
only shelter schemes but
whole.
the
structure capable
and
on not
in
Solving
existence
of planning
maintenance;
a
the maintenance
of a organizational
and monitoring routine
set
of
maintenance
standards against which performance targets are based;
availability
recurrent
-
of spare parts;
expenditures.
With respect to
upgrading
and adequate revenues for
and
shelter,
sites
the
and
77
Council's
services
approach to
continues
to be
project
oriented.
practice
Although
everywhere,
one
approach might not be
are
gradually
this
has
wonders whether an overall
whereby services
more feasible
introduced
to
all slums and squatter
settlements, rather than concentrate
area.
been common
resources on one
research and experimentation in this
Further
field is needed.
Finally, in the absence of strong
central
government,
and
given
its
reduce subsidies and rechannel funds
would be
the Council
unlikely that
policy guidelines from
inability
to
the
to remove or
poor,
it seems
successful in delivering
marked improvements to squatter settlements.
The objectives of this thesis are to draw inferences from
the
experience
of
the
Lusaka
identifying the circumstances
can effectively
Council
under
produce a shelter
with
which
the provision
effective
of shelter.
local
aim
of
local authorities
programme
to redefine the roles of both central and
the
for the poor;
and
local government in
The Lusaka case indicates that for
government
participation
in
shelter
the
following pre-conditions should be available:
-
A comprehensive
the
national
shelter policy must be established at
level.
anticipate problems
Housing
acute that
possible and
should
and should aim at preventing them
from occurring rather than waiting for
become so
policies
the problem to
a sensible approach is
piece-meal
78
actions
need to
no longer
be taken to
(Karnjanaprakorn et al.).
cope with the urgent demands
Housing policies should
provide
both
local
the
central
and
guidelines to
clear
levels;
for
how much aid
private and public sectors; and indicate
local authorities
both the
from central government
can expect
and how much needs to be raised locally.
-
the provision of a
set
support
policies.
national
of
laws
and
Land
example, require strong central
regulations to
policies,
support as
for
any major
change can attract attention and may be unpopular.
-
Due
to
the
economic
problems
that most developing
countries are facing it would seem logical for central
governments to
reduce subsidies
for middle and upper
income groups and reallocate them
Lusaka, for
to
the
poor.
In
example, subsidies which were intended to
help low income families have in fact benefitted upper
income groups.
review
this
them.
and
either
remove
subsidies
to rechannel them to those most in need
However,
implications
subsidies,
such, central governments need to
policy
altogether or
of
As
in
there
such
a
particularly
are
move.
on
certain
political
Attempts to remove
basic
commodities, have
generally not been well received by the public and has
often
led
to
rioting.
As
such,
any
removal or
reduction of subsidies requires careful analysis.
-
The removal
of all
controls over
79
prices, rents, and
charges and to give
power to
the
authorities
local
increase charges and rents.
Finally, local authorities need to have the freedom to
-
In
against
enforce
sanctions
charges,
fees and taxes.
the
redefining
government,
both
of
roles
rents,
local
and
central
seems clear from Lusaka's case that
it
of
non-payment
the central
government's role, in addition to ensuring the availability of
the above conditions,
-
should be limited to
to
Encouraging local governments
and
necessary,
where
authority
to
provide
more
undertake
the following:
be
them
more autonomous
with
the legal
In
responsibilities.
Lusaka, the Council has lost considerable autonomy due
to central interference
and
decentralization efforts
have not been successful.
-
Where necessary they should provide financial and/or
technical assistance to local governments to carry out
their shelter programmes.
This however does not imply
that
should
local
governments
national funds
for
their
depend
programmes
but
complement them with funds raised locally.
Council
planning
seems
and
to
have
execution
the
of
technical
shelter
solely
on
rather to
The Lusaka
capacity for
programmes
but
clearly lacks the finance to do so.
-
Establishing
or
encouraging
financial institutions
80
the
development
for shelter purposes.
of
Housing
finance plays
an important
role in
housing,
the
government
and
necessary
to
to
steps
capable of
central
develop
must take the
financial
institutions
for housing construction;
providing credit
guarantee these
the provision of
and
institutions;
to
incorporate
In
them within the national financial system.
income
virtually
are
groups
loans for low
providing small
financial institutions
Zambia,
non-existent and steps
should be taken in that direction.
-
raising
capabilities
provide
and
mentioned,
to
and
maintain
use these resources to
As
services.
Council's
Lusaka
the
revenues has been due to
a
revenue
expanding their
Assisting local governments in
large
previously
inability to raise
extent
to
central
regulations and laws.
-
Assisting
local
administrative
technical,
to
capabilities
-
Also,
in
government
in
organizational
and
where
or to
and
infrastructure
services are centrally provided either
ensure that
The provision of basic services by
seems to
their
deliver urban services.
cases
these services
improving
to
social
decentralize
they are provided.
the Lusaka Council
have minimized coordination problems and has
facilitated the provision
of
these
services
to low
income groups.
Local governments,
on the
81
other hand,
need to evaluate
and
conditions
local
encouragers of shelter
facilitators, managers and
act as
need to
Local authorities
requirements.
shelter
understand
to
effective local
be
To
activities.
governments need to widen their scope from 'project level' and
to act as a coordinating body that ensures
to perform
functions.
effective capacity
The main issues that local authorities
need to consider are:
-
adopt codes
Review building codes and regulations and
Codes that permit the use
that suit local conditions.
not only
of inexpensive, locally made materials would
accessible to the poor but would also promote
be more
the local building materials industry.
-
Encourage and support self-help
communities
their
and
shelter
programmes that allow
groups
neighbourhood
to
decide on
own living
and
improve
their
and/or
minimal
services
needs
conditions.
-
essential
Provide
such as
water, waste disposal, sewerage and so on.
-
Also,
local
recipients to
authorities
devise
to
need
ways
for
pay for these services without too much
burden on their scarce resources.
-
Provide
land
tenure
to
ensure
a
perception
of
security.
It
seems
responsibilities
redefinition
clear
that
the
of
both
central
requires institution
building to
82
and
of
local
roles
and
governments
enable local authorities to
take on
the
these increased
training
local government personnel, particularly in
of
the areas of financial management,
needs and
for effective shelter programmes,
the Housing
grounds of
a
certain
it of
improvement
extent,
staff
and maintenance,
a
is
need
Finally,
to work
to improve them rather than
The creation of
efficiency.
Project Unit for the implementation of the Lusaka
Project was successful in the
scale shelter
there
institutions and
replace them on the
operation
and investment planning.
demand analysis,
within existing
It also requires
responsibilities.
it
in
a
it
provided large
sense
that
fairly
short time.
weakened the Lusaka Council
However, to
by depleting
and did not provide the opportunity for improving
the effectiveness of the Council itself.
83
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