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Research Protocol

National Report on Slum Conditions and Shelter Policy

PART ONE: COUNTRY OVERVIEW

1.1 Introduction

Brief history and recent events (especially as related to urbanization, poverty, economic

development, social programs, etc.)

1.2 Socioeconomic Development

Level of development (including UNDP Human Development Index, current annual

GDP, GDP per capita, and annual growth rates)

Relative sizes of the formal and informal sectors of the economy

Percentage of people below the international poverty level (national and urban)

Impact of current events on economy

1.3 Geography, Population, and Urbanization

Area in square kilometers

Topography and climate

Total population, urban/rural composition, and ethnic/religious groupings

Geographic urban distribution and rural/urban configuration

Population growth rate (total, by gender, and rural/urban)

Life expectancy (total, by gender, and rural/urban)

Age composition (total, by gender, and rural/urban)

Literacy levels (total, by gender, and rural/urban)

Rural-urban migration

Impact of current events on urbanization

PART TWO: GOVERNANCE, URBAN PLANNING AND POLICY

2.1 Governance Structure

Form and structure of government (including number of ministries)

Administrative structure and decentralization (relationship between national, municipal

and local)

National planning structure

2.2 Urban Planning

Urban plans, their scope and extent, and their relation to national plans

Influence of central government in relation to municipal/local structures

National development objectives and strategies (e.g. 5-10 year plans) in relation to

urbanization and shelter

Different types of formal tenure set out in the constitution, national law or official

planning and building regulations (Do they adequately respond to the needs and local

conditions? What are the results of these difficulties).

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PART THREE: SLUM CONDITIONS AND SHELTER POLICY

(AT THE NATIONAL LEVEL)

3.1 Characteristics

Slum typologies (theoretical and official)

Informal tenure arrangements commonly found in the cities

Statistics on slums (area, population, etc.)

Estimates of homelessness for both males and females in the main cities

Estimates for the proportion of people who live in precarious sites (flood plains, steep

slopes etc) in the main towns

Proportion of slum residents who migrate directly from the rural areas

Whether access to services in the city’s slums improved or declined in the last five years

How change in access to urban services in slums affected men and women

Estimate of the number of people evicted from slums by the municipal authorities over

the last 2 years

Estimate of the number of people evicted from slums by private landlords

3.2 Legislation related to protection from eviction and security of tenure

Existing legislation related to slums

The effects of legislation in protecting the urban poor (men and women) in practice

Legal and financial remedies available to those evicted from housing built by the poor on

public or private land in slum areas

Provision for alternative areas of settlement or accommodation in advance of eviction

Gender aspects of legislation

Gender aspects of land and housing inheritance rights

Conflicts between legislation with local regulations and practices in respect of land rights

for the poor (how are they resolved, with examples)

3.3 Land use and land ownership regulations

Current national land use regulations and plan which, through zoning guidelines, as

related to access to land for the poor (for both men and women?)

Main administrative and legal steps that must be followed to acquire secure rights to land

(If possible, illustrate these steps on a chart, indicating how long it takes for each step to

be accomplished)

Constraints (e.g. administrative, legal, high prices for land, high planning standards) that

the poor face in securing land rights and how these constraints impact women (i.e are

there any additional constraints on women such as traditions, customs etc.).

3.4 Shelter legislation

Legislation or policy that addresses basic provision of housing for the poor and the

homeless

National housing policy, other related policy, or legislation which promotes access to

credit for the poor, both men and women (Is it being applied in a satisfactory manner?)

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3.5 Institutional setup

Roles played by relevant national authority (ministry or ministries) in response to slum

and shelter issues (Policy, regulation, enablement, oversight of implementation by others,

direct implementation)

Ways in which the relevant national authority collaborates with municipal governments

and other local stakeholders to secure land and housing rights for the poor

Other government ministries that finance urban infrastructure, such as water and

sanitation, in low income housing areas

Sources from which the relevant national authority mobilize financial and non-financial

support for urban development projects

Main partners, public and private, that the relevant national authority works with in

promoting slum upgrading to improve access by the poor to secure land and urban

services

Institutions, public and private, that assemble and disseminate information on slums (how

this information is disseminated --print and electronic media, newsletters, academic

publications)

Coordination mechanism for efforts to upgrade slums and improve access to land and

urban services by the poor

Examples of public/private partnerships which have responded to urban development

issues (not more than 3)

3.6 Access to credit

List of main institutions (public, private, NGOs) which provide credit to the poor

Whether or not national agencies (e.g. banks, micro-finance institutions, housing co-

operatives, NGO’s) provide equal access to credit for both women and men

Constraints faced by micro-credit institutions in providing credit to the poor

Constraints faced by the poor in accessing credit

Sex disaggregated statistics on access to credit

Use of credit (construction, home improvement, access to services, economic activities,

etc.)

3.7 Capacity building and training

Capacity building and training priorities of the relevant national authority, with a focus

on policy development, support to slum upgrading, supporting equipment

Ongoing capacity building and training activities within the ministry and whether or not

they respond to priorities (who provide the training?)

Capacity building support received from bilateral and multilateral agencies on slum

upgrading

Main capacity gaps within the relevant national authority with a focus on the formulation

and implementation of slum upgrading policy, training, supporting equipment, etc.

3.8 Upgrading initiatives

Specific initiatives undertaken by the relevant national authority on slum upgrading to

improve the living conditions of the poor (including examples)

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Performance of the above initiatives as well as obstacles and problems

Priority pilot upgrading projects with the potential for scaling-up (not more than 3

examples)

Priority slum upgrading projects that need to be addressed in terms of: (a) legislation,

institutional development and support, funding mechanisms etc.; or, (b) upgrading of

actual slum areas that need specific capital investments (not more than 3).

PART FOUR: SLUMS AND UPGRADING AT MUNICIPAL LEVELS

4.1 Roles and setup

Municipal authorities role in service provision in slums (e.g. water, sanitation, electricity,

solid waste management)

Partners with which the municipalities collaborate in slum upgrading (e.g. central

government agencies, NGOs, CBO’s, donor agencies, private sector, media

organizations)

Roles played by NGOs/ CBOs, the private sector and other local stakeholders in

developing responses to slums

Examples of public /private partnerships which promote slum upgrading

Ways through which local information on settlement issues are collected and

disseminated with a view to informing and bringing about policy change

Means through which slum upgrading activities are coordinated

4.2 Responses to slums

Whether municipal authorities evict slum residents (if so, describe the circumstances in

which it evicts them)

Whether municipal authorities assess the development priorities (eg, urban services and

income generating activities etc) in slums and the process used to determine such

priorities

Examples of past, ongoing or planned upgrading activities within the slums that have

been supported by the municipal authorities

Performance of past upgrading initiatives undertaken by municipalities as well as

problems and obstacles

Whether municipal land use policies encourage or discourage slum upgrading

Whether municipal authorities promote equal rights to land for both men and women

4.3 Management of slums

Main land management problems within slum areas (e.g. conflicting ownership of plots;

no clear physical demarcation of plot boundaries, lack of or a poorly maintained register

of land ownership; lack of maps and plans; insecurity of tenure)

Sources through which municipal authorities mobilize resources for slum upgrading

Whether municipalities give assistance (financial and technical) to women-headed

households and other vulnerable groups to upgrade their dwellings

How municipal authorities cater for the needs of the disabled and vulnerable people in the

city (special types of housing, transport, etc.)

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Revenues (e.g. business license fees), if any, municipal authorities collect from slum

communities and whether such revenues are used for the benefit of the poor

How municipal regulations promote or hinder income-generating activities in slum areas

Whether local credit institutions promote equal access to credit for both women and men

in slums (if not, what are the reasons)

4.4 Capacity needs

Capacity building and training priorities of the municipal authorities, with a focus on

formulation and implementation of regulations, slum upgrading, training, and supporting

equipment

Ongoing capacity building and training activities within municipalities (do they respond

to priorities?)

Main capacity gaps within the in municipalities with a focus on the adequacy and ability

to formulate and implement slum upgrading interventions

PART FIVE: FUTURE DIRECTIONS AND PROSPECTS

Expected outcome of current policy initiatives

Future policy direction

Future prospects