FROMPRECARIOUSSETTLEMENTS

TODIGNIFIEDCOMMUNITIES

WesternCapeInformalSettlementStrategicFramework(ISSF)

FinalSeptember2016

inpartnershipwith

TableofContents

1 Introduction.....................................................................................................1Whyaprovincialstrategyoninformalsettlementupgrading.................................21.1 StartingpointsforaprovincialInformalSettlementStrategicFramework.............21.2

2 InformalsettlementsintheWesternCape:Trendsandpatterns......................4

3 Sectorassessment..........................................................................................14

4 Towardsaneworientation.............................................................................21

5 WesternCapeInformalSettlementStrategicFramework...............................235.1Vision...................................................................................................................235.2Mission................................................................................................................235.3Guidingprinciples.................................................................................................245.4Strategicobjectives..............................................................................................255.5Strategiesandactions..........................................................................................25

Strategicobjective1:Upgradesettlementsthroughaccesstoland,services,publicinfrastructureandincrementalhousingopportunities..............................................27Strategicobjective2:Enhancedqualityoflifeandactivecitizenship........................29Strategicobjective3:Strengthenedsectorcapability,governanceandresources...31

6 Conclusion......................................................................................................33Thepolicyandregulatoryenvironmentforinsituandincrementalinformalsettlementupgrading.........................................................................................................................12

AnnexIWesternCapeISSF:ImplementationPlan2016-2030…………………………….36

Acronyms and abbreviations

BNG BreakingNewGround

DM DistrictMunicipality

EPHP EnhancedPeople’sHousingProcess

EPWP ExpandedPublicWorksProgramme

FLISP Finance-linkedindividualsubsidyprogramme

HDA HousingDevelopmentAgency

HSDG HumanSettlementsDevelopmentGrant

IDA IncrementalDevelopmentArea

IDP IntegratedDevelopmentPlan

IRDP IntegratedResidentialDevelopmentProgramme

ISDM InformalSettlementDevelopmentMatrix

ISSF InformalSettlementStrategicFramework

ISSP InformalSettlementSupportPlan

GIS GeographicInformationSystem

LUPA LandUsePlanningAct

MIG MunicipalInfrastructureGrant

MTEF MediumTermExpenditureFramework

Metro MetropolitanMunicipality

NDHS NationalDepartmentofHumanSettlements

NGO Non-governmentalorganisation

NUSP NationalUpgradingSupportProgramme

PERO ProvincialEconomicReviewandOutlook

PSP ProvincialStrategicPlan

RAP RapidAppraisalProject

RDP ReconstructionandDevelopmentProgramme

SPLUMA SpatialPlanningandLandUseManagementAct

TRA TemporaryRelocationArea

USDG UrbanSettlementDevelopmentGrant

WCHSF WesternCapeHumanSettlementsFramework

UISP UpgradingofInformalsettlementsprogramme

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1 INTRODUCTION

The provincial population of theWestern Cape continues to grow, as a result of naturalpopulation growth and in-migration from other provinces.Within the province,migrationandhouseholdsplittingcontributetotheongoingshiftsandchangesindemandsforpublicservices and shelter. A growing number of people in theWestern Cape, unable to affordformalhousingopportunitiesandforwhomadequatepublicsectoralternativesdonotexist,live in informal settlements and/or informal housing arrangements. In 2001, one in sevenhouseholdsintheWesternCapelivedininformalsettlementsorbackyardshacks;by2011,this had increased to one in six. Their living conditions are precarious,with limited or noaccesstosecurityoftenure,services,environmentalsafetyandlegalsecurity.

Informalsettlementspresentparticularchallengesandopportunitiesforplanning,landusemanagement and the provision of public services and infrastructure, which require adifferent strategic response to the challenges related to backyarders. In non-metromunicipalitiesintheWesternCape,over40%ofinformalsettlementshaveexistedforover15yearsandalmost3outof4informalsettlementshaveexistedfortenyearsormore.1Thisshowsthatinformalsettlementsarenotanewphenomenon,andthatgovernmenthasnotbeeneffectiveinrespondingtothegrowingdemandforservicesandshelter.Infact,despitepolicyprovisions for informal settlementupgrading in theNationalHousingCodeof2009,theofficialresponsehasbeendominatedbyhousingdelivery,whichhasbeenslow,unableto respond to existing and growing demand, costly and often subject to poor planningdecisions.

In 2016, the Western Cape Government commissioned a rapid appraisal of informalsettlementsintheWesternCapetoinformanevidence-basedstrategicresponsetoinformalsettlements.Thepurposeoftherapidappraisalwastoassess,categoriseandrankinformalsettlementsacrosstheprovince,basedonagreedcriteria.Therapidappraisalusedsurveys,interviews and focus groups to develop settlement profiles and identify developmentpriorities for each settlement. The rapid appraisal found that in 98 informal settlementssurveyed,basicservices(water,sanitation,electricity)makeupclosetohalfofthetopthreeprioritiesidentified,followedbyshelterandemployment(seebox1).

ThesefindingsechotheWesternCapeGovernment’sassessmentthatadifferentapproachto informal settlement upgrading is needed, one that places people living in informalsettlements at the heart of interventions to improve the physical environment and thequalityoflifeofinformalsettlementresidents.

Box1.WhatdopeoplelivingininformalsettlementsintheWesternCapeidentifyaspriorities?

A2016rapidappraisalofinformalsettlementsintheWesternCapeaskedresidentstoidentifyalistofpriorities.Across98 settlements surveyed,almost31%of settlements identifiedwaterasthe first priority, followed by electricity (24%), shelter (16%) and employment (7%), withsanitationandtenurebothscoring6%.

However,whencombiningthetopthreeprioritiesidentifiedpercommunity,thepicturechangessomewhat,withelectricity, sanitationandwatermakingup49%of thepriorities identifiedandemploymentincreasingto12%.Shelterremainssimilar,at15%.Thedetailedbreakdownofbasicservicesiselectricity(18%),sanitation(16%)andwater(15%).

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Whyaprovincialstrategyoninformalsettlementupgrading1.1

Since1994, informalhousingandshelterarrangementshavebeenon the increase,withagrowing share of theWestern Cape population living in informal settlements or backyardshacks. In recent years, thegrowth in thenumberofpeople living inbackyard shackshasoutpaced the growth rate of people living in informal settlements. Municipalitiesundoubtedlyneedtoaddresstheneedsofbackyardersaspartoftheirurbanmanagementand human settlements strategies. As the issue of backyarding has particular definingelements2, a specific policy and programmatic approach that is distinct from informalsettlement upgrading is warranted. The Western Cape Human Settlements Framework(WCHSF)willprovidefurtherguidanceontheissueofbackyarding.

The Western Cape Government has identified the need for a strategy for informalsettlementsforthefollowingreasons:

1. Informalsettlementsareamoreenduringfeatureof theprovincial landscapethangenerallyappreciated;

2. Thereisalackofaclearandcoherentunderstandingandresponsefromthesector(including all actors involved in human settlements) with regards to planning forinformalsettlements;

3. Informalsettlementcommunitiesareinadequatelyinvolvedinplanninganddecisionmakingprocesses;

4. Non-state actors (the private sector and NGOs) are inadequately utilised inrespondingmoreeffectivelytoinformality.

StartingpointsforaprovincialInformalSettlementStrategicFramework1.2

TheWesternCapeGovernmentrecognisesthataparadigmshiftoninformalsettlementsisneeded,toinformarobustprogrammaticapproachthatguidestheactionsandrelationshipsofmultipleactorsandstakeholdersinthesector.Thisapproachneedstobegroundedinanappreciationthat:

• Informal settlements in the Western Cape are the outcome of urbanisation,migration, failure of the housing market (especially in the context of widespreadpoverty), labour market dynamics and historical exclusionary practices (whichmanifestspatially,sociallyandeconomically);

• Informal settlements are associated with specific risks and vulnerabilities, mostnotably climate change, HIV, xenophobia, crime, gender-based violence andjoblessness;

• There is a significant trust deficit between informal settlement communities andmunicipalitiesinrelationtogovernanceandserviceprovision;

• The challenge is both complex and urgent – poor and hazardous living conditionsand tenure insecurity in informal settlements stand in stark contrast to the rightsenshrinedintheConstitutionandimpedepeople’sabilitytothriveandtakecontroloftheirowndevelopment;

• Housingisbutonecomponentoftheupgradingprocess–publicsectorinvestmentcanbemoststrategicandbeneficialinrelationtothepublicrealm,includingpublicservices,infrastructureandspace.

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ThisStrategicFrameworkprovidesguidancetoprovincialdepartmentsandmunicipalities–as theprimary implementersof settlementupgrading initiatives– in theWesternCape indeveloping a coherent programmatic, sector-wide approach to informal settlements andinformal settlement formation. It is the outcome of an intensive process of research,analysisandconsultationwithdifferentstakeholders.TheStrategicFrameworkdrawsonthefindings of the rapid appraisal of informal settlements in the Western Cape, which wasconducted in 2016, as well as desktop research, review of government policy andprogrammes,focusgroupconsultations,provincialmeetingsandstakeholderworkshops.

Basedonthesevariousstrandsofwork,theInformalSettlementStrategicFramework(ISSF)offers an evidence-based, progressive approach to informal settlements. It has five keysections. The next section presents an assessment of trends and patterns pertaining toinformalsettlementsintheWesternCape.Thisisfollowedbyanassessmentofthesector,distilled in four high level summaries in terms ofmodus operandi, governance, capabilityandresourcinginsection3.Basedonthecontextualanalysispresentedinsections2and3,section 4 outlines a new orientation in responding to informal settlements. Section 5presentsthevision,mission,guidingprinciples,strategicobjectivesandstrategiestodirectthestrategicapproachforthenext15years.

FourimportantproductsaccompanytheISSF:

I. An ImplementationPlan,outliningkeyprovincialandmunicipalactionstoachievethe strategies, strategic objectives and envisaged outcomes outlined in the ISSF(includedasAnnexI).

II. TheInformalSettlementSupportPlan(ISSP),outliningdesign,tenureandservicesoptions municipalities (in consultation with communities) can consider forincremental and participatory upgrading in relation to different settlementcategories.

III. TheInformalSettlementsPrioritisationModel,whichisatoolformunicipalitiesinprioritising which settlement(s) to upgrade and what type of interventions topursue. A guiding concept note on how to use the tool accompanies thePrioritisationModel.

IV. A Monitoring and Evaluation Framework, with indicators to measure success,monitor,reviewandrefinetheimplementationoftheISSF.

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2 INFORMAL SETTLEMENTS IN THE WESTERN CAPE: TRENDS ANDPATTERNS

Informal settlements pose a particular challenge to government in terms of all aspects ofdevelopmentplanningandgovernance.Astrategicandprogrammaticresponsetoinformalsettlementsandinformalsettlementformationneedstobegroundedinevidenceandlivedexperiences.ThecomplexrealitiesrelatingtoinformalsettlementsintheWesternCapearesummarisedintofourkeyconclusions.

Informal settlements make visible the inability of cities and towns to cope withurbanisation,demographicchangesandeconomicexclusion.

Between 2001 and 2011, the population of theWestern Cape increased from 4 524 335people to 5 822 734 people. This represents an average increase of 3%per year.Naturalpopulation growth accounts for the lion share of the total population increase in theWesternCape,namely77%,followedbynetin-migrationfromotherprovinces(15%,or192401people) and foreign in-migration (8%). A significant proportionof peoplemoving intoinformal settlements are from theWestern Cape (41%), slightly below the proportion ofpeoplecominginfromtheEasternCape(45%).

Averagehouseholdsizedeclinedfrom3.9in 2001 to 3.6 in 2011. One of themainfactors underlying the decline inhousehold size is the rapid increase ofone-personhouseholds–from16%ofallhouseholds in the province in 2001 to21% of all households in the province in2011. In fact, the number of householdsintheprovincegrewatanaveragerateof3.9% per annum – a faster growth ratethan the averagepopulation growth rate(see graph 1). This puts particularpressureongovernment toprovidebasicservices, manage land use and enable adecentqualityoflifeforall.

The Western Cape anticipates sustained population growth, albeit at a slower rate.Accordingtothe2014ProvincialEconomicReviewandOutlook(PERO)3,theWesternCapepopulation ispredicted togrowby10.5%between2014and2024.Although this suggeststhatthepopulationgrowthrateisslowingdownsignificantlytoanaverageofjustover1%perannum,itstillreflectsanabsoluteincreaseof636366people.

A significantproportionof this increasewill concernhouseholds that areunable toaffordhousingopportunities intheformalmarket.AsTable1shows, it isenvisagedthatby2030over 1million new householdswill be formed in theWestern Cape, either as a result offamilyformationorin-migration.Almosthalf(49%)ofthesehouseholdswillearnlessthanR6400permonth–thecurrentthresholdtobeeligibleforsomeformofhousingassistancefromthestate.

Source:PERO2014

20012002200320042005200620072008200920102011

Graph1.WesternCapepopula\ongrowthandhouseholdgrowth,2001-2011

Populaeonincreased3%perannum

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Table1.Expectednumberofnewhouseholdsthroughfamilyformation/migrationby2030byincome,WesternCape

R0-R3200 R3200-R6400 R6400-R13000 R13000-R26000 R26000+ Unspecified Total

328577 183615 163659 133462 228141 4355 1041809

31,5% 17,6% 15,7% 12,8% 21,9% 0,4% Source:InputPaper1:HousingInterventionOptions,preparedbyShisakaDevelopmentManagementServicesfortheWesternCapeDepartmentofHumanSettlements,2015.

In fact, Census data shows that96% of households in informalsettlements in theWestern Capeearn monthly incomes of lessthanR6367and86%earnbelowR3 183 permonth (see graph 2).This shows the concentration ofpoverty in informal settlementsand the critical importance ofgovernmentsupportforadequateshelter provision for informalsettlementdwellers.

Another important issue to consider is theageprofileof theprovincial population, as thecurrent demographic profile and demographic trends have implications for provincial andlocaldevelopment.ThemajorityoftheWesternCape’spopulationisyoungerthan30yearsold, and 36.7% is between the ages of 15-34 years old. Themedian age of the provincialpopulation is28.7years,which isslightlyolderthanthenationalaverageof25.3years.By2024themedianageisexpectedtoincreaseto32.4years,suggestinganagingpopulation.

Unemploymentisoneofthekeychallengesfacingyouth,nationallyandprovincially.Asthefuture generation of experienced workers, taxpayers, leaders and providers, youthemployment prospects are vital to the local and provincial economy and tax base. Theunemployment rate (between 19.4% and 22%, based on the narrow and expandeddefinitionof employment respectively4) in theWesternCape is the lowest in the country,withimportantjobgainsmadeinrecentyears.Yet,withoneinfiveoftheprovinciallabourforcejobless,unemploymentremainsachallenge.Asprovincialeconomicprospectsremainrelativelyweak,coreeconomicsectorswillnotdrivelargeemploymentopportunitiesforthelowerendofthelabourmarket,withthepossibleexceptionofagriculture.5

Despite the growth in employment, unemployment has continued to grow, especiallyamongwomenandamong25-34yearolds.Withineachofthesedemographicgroups,oneinfourpersonsareunemployed.Ofparticularconcernistheextentofyouthunemploymentin theprovince,which ismore thandouble theunemployment rate fornon-youths.Youthunemploymentrateshavebeenrecordedas35.5%intermsofnarrowunemploymentand44.4%forexpandedunemployment.Youthaged15to34yearsaccountfornearlytwothirds(66.2%)oftheunemployedpopulationintheWesternCape.6

33%

9%19%

25%

10%

2% 1%

Graph2.Incomesplitofhouseholdsininformalresiden\alareas,WesternCape(R/hh/month)

R0-R400

R401-R800

R801-R1633

R1634-R3183

R3184-R6367

R6368-R12817

R12188-R25633

Source:Census2011

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Unemploymentisalsoconcentratedininformalsettlements.Intheprovince,theproportionoftheworking-agepopulationwillingandabletoworkishigherininformalsettlements than in formalsettlements and unemploymentrates are almost double theprovincial unemployment rate (seetable 2). The expandedunemployment rate in informalsettlementsis44%.

Inessence,theprovinciallabourmarket,likethenationallabourmarket,ischaracterisedbypersistenthistoricalpatternsoflabourmarketdisadvantage,whichreflectrace,genderandage disparities7– andwhichmanifests spatially in the concentration of unemployment ininformalsettlements.

In theabsenceof functional housing, landand labourmarkets, informal settlementsprovidecriticalopportunitiesforthepoorandarenottransient.

IntheWesternCape,thehousingmarketforhouseholdsearningaboveR15000permonthis generally functioning. However, the housingmarket for households earning below R15000 is dysfunctional for a number of reasons, including sales of properties not beingregisteredintheDeedsRegistryandpoorqualityofserviceproviders.Thesalerestrictiononsubsidisedhousing,highcostandcomplexityoftransactionsandthelackofdeedstransferstonewoccupantsarekeyreasonswhysalesofpropertiesarenotbeingregisteredontheDeeds Register.8While households earning less than R 6 400 per month are eligible toreceivesomeformofhousingassistancebythestate,governmenthassimplynotbeenableto provide suitable support for shelter provision in accordance with demand. The vastmajority of informal settlement dwellers live in households that earn below R 6 400 permonth(seegraph2–itconcerns96%ofhouseholds).

Unemployment and/or insecure employment, low wages, lack of affordable housingopportunities and exclusionary urban landmarkets are key drivers of informal settlementformation.Between2001and2011thenumberofhouseholdsininformalsettlementsintheWesternCapeincreasedfromabout116000householdstojustover149000households–an average of 2,8% per annum.9These households are currently residing in 235 informalareas in City of Cape Town and an estimated 205 informal settlements in non-metromunicipalities.

Asgraph3shows,over40%ofinformalsettlementsinnon-metropolitanmunicipalitieshavebeen in existence for over 15 years. In Cape Town, 63% of informal settlements wereestablishedmorethan15yearsago.Similarly,inCapeTownalmost7outof10dwellingsininformalsettlementsareinsettlementsthataremorethan15yearsold.Thissuggeststhatforasignificantnumberofresidentsatleast,informalsettlementsofferlong-lasting,ratherthan temporary solutions. This is echoed by Census 2011, which found that only 30% ofpeoplelivingininformalsettlementsintheWesternCapemovedbetween2001-2011.10

Table2.LabourforceparticipationratesandunemploymentratesbysettlementintheWesternCape(2011)

Labourforceparticipationrate

Unemploymentrate(narrow)

TotalWesternCape 59% 22%

Informalresidential 70% 41%

Formalresidential 58% 21%

Farms 65% 5%

Source:HDA2013,p24.

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Informal settlements do not only offer alternative and affordable shelter solutions to thepoor,butalsoimportanteconomicopportunities,becauseoftheirlocationinrelationtothelocal labourmarket (forexample, throughproximity to jobsandworkopportunities)orbyvirtueoftheentrepreneuriallivelihoodstrategiesadoptedbyresidents.

The informal sector plays a significant role in livelihood strategies of informal settlementdwellers.Theinformalsectoraccountsfor10.5%oftotalemploymentintheWesternCape.The provincial informal sector comprises close to 240 000 individuals. The majority ofinformal sectorworkers in theprovince areAfrican,male andbetween the ages of 25-44years.11IntheWesternCape,theinformalsectorprovidesanimportantpointofentrytotheformalsector;in2014,oneinfiveindividualswhoworkedintheinformalsectorfoundajobintheformalsector.However,theinformalsectordoesnotprovideforstableemploymentandalargepartofthisconcernssurvivalistactivities.

Informalsettlementsalsocreateaparticularcontextofenvironmentalandsocialriskandvulnerability,whichisexacerbatedbyclimatechange.

Acriticalissuewithininformalsettlementsrelatestoriskoffireandflooding.Thehigherthedensityofthesettlementsandthepoorerthequalityofbuildingmaterials,thegreatertherisk. In the case of fire, lack of electricity resulting in the use of various fuel types forcooking, lighting and heating is also a key factor. Graph 4 illustrates the number of firesrespondedtoby theCityofCapeTownbetween1999and2012.Graph5and6showthenumberofstructuresaffectedbyfiresandthenumberofdeathscausedbyfiresininformalsettlements. In 2012, the City of Cape Town reported 1 177 fires and 3 480 structuresaffectedthroughfiresininformalsettlements.12

Sources: 2014/15 Provincial database for informal settlements & City of Cape Town informal settlementdatabase

5%

14%18%

44%

19%

8%

19%

30%

18%

25%

7%

17%

25%29%

22%

0%

10%

20%

30%

40%

50%

0-5years 5-10years 10-15years 15-20years >20years

Graph3.InformalseblementsofdifferentagesintheWesternCape

CapeTown Non-metros Total

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Similarly,closeto70informalsettlements,affecting7500structuresand30000people,areaffectedby floodingeachyear in themetro.13Lackof adequate stormwater infrastructureand propermaintenance of stormwater infrastructure, togetherwith the poor location ofinformalsettlementsonunsuitable landandpoorhousingqualityall leadtothe increasedrisk of flooding. Flooding in informal settlements compromises public health and safety,destroyspersonalpropertyandadverselyaffectslivelihoods.Significantstateresourcesarespenttoprovidefloodingdisasterreliefeachyear.Importantly,thisdisasterreliefisgoingtobecomescarceras it is splitbetweenan increasingoverloadofdisastersacross themetroandtheprovince,asclimatechangeimpactsbecomemoreprevalent.

All these risksandvulnerabilities for informal settlementdwellersare furtherexacerbatedbythe impactsofclimatechange.Foraprovincethat ischaracterisedbyaresource-basedand service-based economy, much economic activity and thus livelihoods may be at risk

0100020003000400050006000700080009000

Graph5.Numberofstructuresaffectedbyfireininformalseblements,Cape

Town

Source:DatafromCityofCapeTown2013

0

20

40

60

80

100

120

140

160

Graph6.Deathsasaresultoffiresininformalseblements,CapeTown

Source:DatafromCityofCapeTown2013

Source:DatafromCityofCapeTown2013

0

200

400

600

800

1000

1200

1400

1600

1800

1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Graph4.FireininformalseblementsinCapeTown(1999-2012)

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depending on the climate change responses across sectors. For example, coastalvulnerability poses a significant risk to tourism, coastal properties and infrastructure, andfisheries-based livelihoods. Drought in particular is a major threat to agriculture, and towater dependent industry and municipal services. The agricultural sector in theWesternCape is a key economic sector, as it is responsible for approximately 20% of agricultureproductioninSouthAfricaandbetween55%and60%ofthecountry’sagriculturalexportsvaluedatmorethanR7billionperannum.14Thesectorisalsoarelativelylargecontributortoprovincialformalsectoremployment,providingemploymentfor7.5%ofthoseemployedin the formal sector.15Climatechangeposesa significant threat to this climatedependentsector,whichinturnraisesfoodsecurityandemploymentconcerns.Recentdroughtsintheprovince have demonstrated the catastrophic impacts on the poor and food insecurehouseholds.

TheurbanareasoftheWesternCapearespatiallyvulnerabletoimpactsofclimatechangeand multiple natural threats. As human settlements continue to expand rapidly inecologically fragile areas, including coastal and low lying regions, the probability of loss isexpected to increase. In addition, the growth of underserviced and vulnerable informalsettlementsisalreadyreflectedinsignificantseasonallossestriggeredbyfireevents,strongwindsandheavyrainfall.Forinstance,mostinformalsettlementslocatedontheCapeFlatshavereportedannualflooding,whichrestrictstheserviceabilityofthesesettlements.

Poor living and housing conditions, poverty and unemployment also create an HIV-riskenvironment.TheHIVprevalenceamongthereproductiveagepopulation(15to49years)intheWesternCapeincreasedfrom5.3percentin2008to7.8percentin2012(PERO2015).Nationally, the HIV prevalence rate in informal settlements (both urban and rural) issignificantlyhighercomparedtoformalsettlements(seegraph7).Theincidencerate,whichindicates the rateof infection, inurban informal settlements ismore than double the incidencerate in urban formal settlements(namely 2.5% and 1.1%respectively. 16 Yet, the samestudy also showed that condomusage is significantly higheramong people living in informalsettlements, suggesting that theliving environment is critical indeterminingriskandvulnerability.

XenophobiahasbeenrampantacrossSouthAfricawithmanyperceptionsthatforeignshopowners in informal settlementsare stealing local jobsorundercuttingpricesof local shopowners.Despite local authorities dispelling the attacks, xenophobia continues to threatenstability within informal settlements. According to the Consortium for Refugees andMigrants in South Africa, attacks on foreigners have continued, with national statisticsshowing that in 2011on averageoneperson aweekwas killed,while 100were seriously

10,1

19,9

10,413,4

0

5

10

15

20

25

urbanformalareas

urbaninformalareas

ruralformalareas

ruralinformalareas

Graph7.HIVprevalenceratebyseblementtype

Source:Shisakaetal(2014),p.xxvii.

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injured and over 1,000 were displaced. Crucially, it was found that foreigners wereparticularlytargetedduringcommunity-basedprotests.17

Underservicedandimpoverishedcommunitiestendtobeatahigherriskofcrimecomparedtopeople living inwealthier suburbs.Murder, sexual violence, commonassault, theft androbbery are disproportionately occurring in police precincts that incorporate (often large)informal settlements. In its 2014 report theKhayelitshaCommissionof Inquirynoted thatthereisacorrelationbetweenhighcrimeandlowallocationofpoliceresources.Asaresult,informalsettlementresidentsareexposedtoaninsecureandunsafelivingenvironmentonadailybasis.

Relationships between informal settlement communities and municipalities arestrained.

Community-basedprotestsareoneofthemanyindicatorsofstrainedrelationshipsbetweencommunitiesandmunicipalities.Asgraph8shows,intheperiod2012-2014almostaquarterof community-based protests (usuallystagedbycommunitymembersagainstamunicipality) recorded in South Africatook place in theWestern Cape, placingtheprovincesecondafterGauteng(30%).At the origin of such protests are oftenissues related to service provision andgovernance that are the responsibility orperceived responsibility of localgovernment (such as councilloraccountability, quality and pace of basicservice delivery and, in themetro areas,housing)(seegraph9).

GT30%

WC22%

KZN14%

NW10%

FS6%

EC5%

LP6%

MP5%

NC2%

Graph8.Provincialshareofcommunityprotests(2012-2014)

Source:DullahOmarInstitute2014

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ProvincialdataconfirmsthatexistingmechanismsandforumsforpublicparticipationintheWestern Cape are underperforming (see graph 10). Significant proportions of wardcouncillorsarefailingintheirdutiestoengagelocalcommunitiesandbeaccountable.Also,one third of ward committees have not adopted operational plans and it has becomeunclearwhetherwardcommitteesare truly representative,effectiveand legitimate in theeyesofthecommunity.

Source: Western Cape Department of Local Government, presentation to Provincial Public ParticipationConference,14-15September2015

Wardcommileepolicies

Funceonalwardcommilees

WardCouncillorsheldcommunitymeeengs

Wardcommileeoperaeonalplans

Publicparecipaeonpolicy

Dedicatedpublicparecipaeonunits/capacity

Budgetforpublicparecipaeon

100,0%

96,6%

62,5%

68,0%

36,0%

76,0%

68,0%

3,4%

37,5%

32,0%

64,0%

24,0%

32,0%

Graph10.Publicpar\cipa\onmechanismsinWesternCapemunicipali\es(1April–30June2015)

Municipalservices45%

Municipalgovernance

7%

Party-poliecal12%

Socio-economic16%

Unspecifiedservices9%

Non-municipalservices11%

Graph9.Grievancecategoriescitedbyprotesters(2012-2014)

Source:DullahOmarInstitute2014

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ThepolicyandregulatoryenvironmentforinsituandincrementalinformalsettlementBox2.Thepolicyandregulatoryenvironmentfor insituandincremental informalsettlementupgradingVarious policies, legislation, plans and programmes guide government responses to in-situ incrementalupgradingofinformalsettlements.

NationalpolicyTheNationalDevelopmentPlan(NDP)2030supportsinsitusettlementupgrading,whereverpossible. Itfurther observes that there is ambivalence across government towards informal settlement upgrading,noting that many provinces and local municipalities still revert to conventional approaches to landdevelopment, i.e. predominantly greenfield developments. The NDP adds that government has not yetdevelopedclearmechanismsfor in situupgrading.TheNDPacknowledges that informalsettlementsarehighly differentiated in terms of history, location, levels of vulnerability and social structures, andrecommendsthat“one-size-fits-all”,generalisedapproachesneedtobetradedinforcontextuallyrelevantresponses.

The2016IntegratedUrbanDevelopmentFramework(IUDF)aimstoleveragetheurbanisationprocessforincreased development gains and sustainability, specifically the strategic goals of spatial integration,inclusion and access, growth, and governance. The overall outcome of the IUDF relates to spatialtransformationbysteeringurbangrowthtowardsasustainablegrowthmodelforcompact,connectedandcoordinated cities and towns, and as such has a close relation to informal settlements. The documentoutlines that by 2030,more than 70% of the country’s population will be in urban areas, with a largeportion of the urban population finding themselves in informality due to a lack of affordable housingopportunities.IntheIUDF’sPolicyLever3:IntegratedSustainableHumanSettlements,theprioritisationofinformal settlement upgrading is highlighted, and emphasis is placed on the identification of safe land,tenure provision, provision of social and infrastructure services, spaces for economic activities andalternativedeliverymodels.

TheUpgradingof InformalSettlementProgramme(UISP)intheNationalHousingCode(2000,revisedin2009)–designedspecificallytocaterforthespecialdevelopmentrequirementsofinformalsettlements–is very clear in its focus on in-situupgrading (with relocation asa last resort) toensure tenure security,improved health and security through the provision of municipal services, and social and economicinclusion.TheUISPmakesitclearthattheprogrammefinancesthedevelopmentofservicedstands,whilehousingconsolidationoccursthoughaccessingoneofgovernment’shousingsubsidyprogrammes.

The Spatial Planning and Land Use Management Act (SPLUMA) of 2013 strongly promotesincrementalisminrelationtoinformalsettlementupgrading,describingitas“theprogressiveintroductionofadministration,management,engineeringservicesandlandtenurerightstoanareathatisestablishedoutsideexistingplanninglegislation...”SPLUMAfurtheroutlinesthatlandusemanagementsystemsneedtoincludeprovisionsthatareflexibleandappropriateforthemanagementofinformalsettlements,whichpoints to the acknowledgement of the complex nature of informality in formal planning legislation.Settlement upgrading needs to be guided by the principles of spatial justice, spatial sustainability,efficiency,spatialresilienceandgoodadministration(asoutlinedintheAct).

In2015,theNationalDepartmentofHumanSettlementsinitiatedaprocessofhumansettlementspolicyreform, which is expected to result in a new White Paper and associated legislation and regulations(includingarevisionof the ‘RedBook’, i.e. theguidelines forhumansettlementplanninganddesign)by2016/17. The discussion document titled Towards a policy foundation for the development of humansettlements legislation suggests that more resources will be directed towards informal settlementupgradingwithanemphasison tenure securityand theprovisionof infrastructure services (followinganarea-basedapproach).

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TheNationalUpgradingSupportProgramme(NUSP)wasdesignedto(1)promoteincrementalupgradingas amajor complementary housing programme, (2) improve the programmatic approach to upgrading,strengthening co-ordination with other sectors and partners, and (3) strengthen the capacity ofgovernmentandprofessionalpractitionersto implementcommunity-based incrementalupgrading.NUSPhasanumberofareasofsupportthatitofferstomunicipalities,provinces,practitioners,councillorsandcommunity members which includes technical assistance (for the development and implementation ofupgradingprogrammesandprojects),capacitybuildingandinformationdissemination,buthas,accordingtotheNDP2030“madeslowprogressduetorigidlocalregulations,ambivalentattitudestowardsinformalsettlementsinpartsofgovernment,andalackofcapacitytoupgradesuchsettlements”.

TheWesternCapeprovincialapproachTheWesternCapeLandUsePlanningAct(LUPA)of2014(andtheassociatedRegulationsof2015)echoesthe importance of incremental settlement upgrading and the land use management implications inaddressing informal settlements outlined by SPLUMA. Moreover, LUPA outlines the close relationshipbetween sound land management, environmental protection and climate change resilience, which hasclearimplicationsforthewayinwhichlocalmunicipalitiesapproachlandusemanagement.

TheWesternCapegovernmenthas,againstabackdropofvariousinterrelatedchallenges,putinplacefiveProvincial StrategicGoals(PSG)withassociatedGameChangers (catalyticpriorityprojectstogiveeffecttotheprovincialgoals)whichseekstoaddressthechallengesassociatedwithloweconomicgrowth,highand increasingunemployment, increasingpopulationpressures, constraints related tonatural resources,energy, climate change, infrastructure and skills shortages. The Better Living Challenge is particularlyrelevant for informal settlement upgrading and the ISSP. It places emphasis on innovative, alternativeapproachestomeetademand(i.e.improvedlivingconditions)throughapartnershipapproach.TheBetterLivingChallengeplacesanemphasisonself-improvementandself-responsibilitywithgovernmentplayinganenablingrole(whichrelatescloselytotheshiftingroleofthestateasexplainedintheISSP).**

Giventherealitiesofpovertyandtheaccompanyingsocialillssuchascrime,substanceabuseandviolencein the Western Cape, the Regional Socio-Economic Programme (RSEP) and the Violence Preventionthrough Urban Upgrading (VPUU) focussing on spatial reconstruction of previously disadvantagedcommunities and social upliftment in local urban contexts have been launched by the Western Capegovernment. These programmes ensure financial support and allow for a number of practicalimplementationprojects,provideaplatformforlinedepartmentstoworktogetheratthelocallevel,andcreateanopportunityfor learningandinnovation.Theprogrammeendeavourstodealwithcommunitiesholisticallyandintegratingphysicalandsocialapproaches.

TheCityofCapeTownapproachTheCityofCapeTown’sIntegratedHumanSettlementsPlan2012-2017isaimedatensuringthattheCityplansandmanagestheconsequencesofurbanisationinaproactiveandsustainablemanner.Itoutlinesitsthreecoreresponsesinaddressinginformalsettlements.Theseinclude:

• Basic services to informal settlements: Continued roll-out of shared services in informalsettlements as conditions permit, focussing on cooperation between local communities andofficials in rolling out basic services, and innovative and alternative long-term developmentoptionsforservicingsettlements.

• Incrementalupgradeof informalsettlements:Predominantlyfocussingon reblocking,theaimofthis intervention istoget somesenseof formality in the settlementsandtoclearaccesstracks,givingtheCityanopportunitytoimproveservicedeliveryinthesesettlements.

• Temporary relocation areas (TRAs) and incremental development areas (IDAs): theCity of CapeTown has embarked upon these temporary housing opportunities, specifically to focus ondevelopingparcelsoflandforfamilieswhofindthemselvesinemergencyhousingneed.

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3 SECTORASSESSMENT

Theactors involved in and/or responsible forhuman settlements, andmoreespecially forinformalsettlementupgrading, includestheWesternCapegovernment,municipalities,theprivate sector, civil society and local communities – jointly referred to as the sectorhere.Municipalities have primary responsibility for planning, land use management and theprovision of basic services and infrastructure, as well as for the development andmanagementofhousingstock.Municipalitiesarealsomandatedtoengage,workwithandconsult local communities in municipal planning and development initiatives. Provincialgovernmentis,amongstothers,responsibleforprovidingpolicyguidancetomunicipalities,forsupportandoversight,andforstrengtheningthecapacityofmunicipalities.Theprovinceis also directly involved in housing projects and signs off on municipal applications forhuman settlement development funds. Private developers and contractors tend to act asproject implementers of government-approved housing projects, whereas civil societyorganisations (most notably NGOs) often have supportive relationships with informalsettlement communities. The extent to which informal settlement communities areorganised and actively involved in collective efforts to improve their living environmentsvariessignificantlyacrosstheprovince,andbetweenandwithinmunicipalities.

There is a significantamountofpolicyand legislation that guides the sector in relation toinformalsettlementupgradingandhousingprovision (seebox2).Atthesametime,SouthAfrica is in amoment of policy flux as the 2004 human settlement policy (Breaking NewGround)isintheprocessofbeingreplaced,withlittleclarityasofyetaboutthekeytenetsofthenewpolicy.Similarly,anewWesternCapeHumanSettlementsFramework(WCHSF)isunderdevelopment,whichwill be finalised in2017. Inboth instances, theemphasis isonevidence-basedpolicydevelopmenttoensurethatthepolicygivessuitableguidancetothesectorinnavigatingcomplexhumansettlementissues.

Despite large policy focus on, and programmatic support for, incremental in-situupgrading,municipaldeliveryisstillpredominantlyfocusedonisolatedturnkeygreenfieldprojects,oftenwithassociatedrelocationstolandontheperipheryofcitiesandtowns.

TheUpgradingofInformalSettlementProgramme(UISP)isveryclearinitsfocusonin-situupgradingwithrelocationasalastresort.ThisisechoedintheNationalDevelopmentPlan(NDP)whichstatesthat“whereverpossible,upgradesshouldhappenin-situ,oratleastwithminimumdisruption to existing communities”.18While the concepts of in situ incrementalsettlementupgradingareembraced inamultitudeofpolicies,programmesandplans (seebox 2), the NDP notes that many provinces and local municipalities still revert toconventional approaches to land development (predominantly greenfields development).DespitetheProvince’sprioritisationofinformalsettlementupgrading,thereislimiteduseofthe UISP (only 9% of expenditure in 2015/16) and there are clear indications that theWesternCapeProvince isnot implementing theUISP to its fullestpotentialor in linewiththe intent of the policy. The problem partially lies at the local municipal level, wheremunicipalitiesfinditchallengingtoadoptanalternativeprogrammaticapproachindealingwithinformalsettlementsastheyaregearedtoproducehousingatscale(projectapproach).

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Graph 11 shows that actual expenditure between 2009-2014 was disproportionatelyallocated towards greenfield projects through the IRDP, Project Linked Subsidy and EPHP,withvery lowutilisationof theUISP.Whileplannedexpenditureon IRDPprojects remainsequivalenttohistoricalallocations,theplannedexpenditureonUISPisgreatlyreduced.YetasshowninGraph12,approximatelyfourtimesmorehouseholdscanbeservicedthroughin-situ upgrading than is possible through public housing projects, resulting in halving thecurrenthousingbacklogover3years.Thecurrentandplannedexpenditurerepresentsonlyan incremental shift fromthepoliciesofmassprovisionof topstructures initiated in1994through the Reconstruction and Development Programme (RDP) and continued to datedespite various subsequent policy manifestations to try and diversify the housingresponse.19Theoutcomesof this singularapproacharewelldocumentedandhave largelylead to an entrenchment of stratified urban settlements, poor place making, anunachievablebackloginservicingtheindigent,aswellasafinanciallyunsustainablehousingsubsidymodel.

According to research commissioned by the Western Cape government to inform theprovincialHumanSettlementsFramework20(2015)thecurrentrateofdelivery,perannum,ofnewhousingopportunitiesintheWesternCapeisonly60%oftherequiredrateinordertomeettheprojectedneedininformalsettlementsby2030.However,thisdeliveryrateistoalargeextentdrivenbythecurrenthousingprogrammetypologiesanddeliverymodelsand the consequent costs of these. Using costing data from theWCHS (2015) frameworkinput paper for the four current delivery models, it is clearly evident the impact thattypologyprioritisationhasontheability todeliveratscale.This isdemonstratedclearly inGraph12,indicatingthenumberofhouseholdsthatcouldbeservicedbydifferingtypologiesoverathreeyearperiod,ifvarioushousingprogrammeplannedexpenditure,inrealterms,

Source:DataprovidedbyWCDHS

-10002000300040005000600070008000900010000

IRDP

&ProjectLinked

Subsidy

EPHP

Individu

alSub

sidyand

FLISP

CRU

SocialHou

sing

UISP

Insetueo

nal

EHP

Enhanced

Disc

ountBen

efit

Sche

me

Land

procuremen

t

RealRan

ds(2

015)M

illions

Graph11.Actual(2009-2014)andplanned(2014-2019)expenditure,WesternCapeProvince

PlannedExpenditure2014/15-2018/19

ActualExpenditure2009/10-2013/14

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were reprioritised to a specific deliverymodel. These costs are representative of deliveryonlyanddonotincludetherelatedcostsofdepartmentalmanagementandrelatedcostsinscalingupdeliverytosuchanextent.

Public participation in its current form is ineffective andnot necessarily at the rightscale.

Municipalitiesare legallymandatedwith the responsibility to involve local communities inplanning, budgeting, performance monitoring and strategic decision-making regardingserviceprovision.Municipalitiestendtousewardcommitteesastheprimarymechanismtofacilitatecommunity involvement. IntheWesternCape,over95%ofwardcommitteesarereportedlyupandrunning.21However,municipalitiesarestillfacedwithmajorchallengesinmakingward committees functionwell and be effective in fulfilling their role to enhanceparticipatorydemocracy.22Thisechoesanationalreviewofwardcommitteesconductedin2011,whichfoundthathavingfunctioningwardcommitteesdoesnotnecessarilymeanthattheseareeffectivemechanisms forpublic engagement thatwill better secure theexpressneeds of residents and affirm their democratic agency.23The national review found thatpublicopinionofwardcommitteesdifferssignificantly fromtheopinionheldbymunicipalofficials and ward committee representatives. For the public, ward committees do notdeliverandperformanceisratedpoorly–thisisevenmoresobythosethathaveengagedwardcommittees,asopposedtothosethathavenothaddirectexperiencewiththem.Lackof representivity, partisan politics and partisan conflicts between theward councillor andlocal communities can render ward committees dysfunctional and lacking legitimacy. Thereviewconcludedthatwardcommitteesarenotsecuringdemocraticoutcomessufficiently,andthatcommunitiesarebecomingincreasinglyfrustratedwithwardcommittees.Informalsettlement residents consulted during the research and consultation process for the

Source: WCHDS (for budget); Shisaka WCHSF Research Paper No.1 (for unit costs) and authors owncalculations.

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50000

100000

150000

200000

250000

300000Re

developm

entw

ithfo

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pstructure(BNG)

Rede

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lex)

Relocaeo

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Househ

oldsServiced

ProgrammeTypology

Graph12.Poten\alscenarioofredistribu\ngexis\ngresources

PotenealnumberofsitesservicedoverthreeyearperiodCurrentHousingBacklog

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Strategic Framework echo these findings, noting that partisan politics often become astumblingblockinachievingdevelopmentalobjectives.

TheIntegratedDevelopmentPlan(IDP)enablescommunitiestoinputintostrategicplanningprocesses at municipal level. Municipalities are legally obliged to enable communityparticipationintheIDPprocessonanannualbasis.Thewardcommitteesystemiscentraltothis process, as ward committees are used to informmunicipal wide planning. The 2011nationalreviewofwardcommitteesfoundthat,whilewardcommitteesusetheIDPprocessas the foremost avenue to influencemunicipal governance, their impact in this regard islimited.Again,thisbringstotheforethefunctionalityandeffectivenessofwardcommittees–andthepositionandroleofthewardcouncillor–inbringingaboutdemocraticoutcomes.

TheReviewofUrbanSanitationintheWesternCapecompletedinMarch2016describesthediscontent that communities express with municipal processes of ‘participation’. At theheart of it lies a fundamental difference between government and civil society’sperspectives on the meaning of participation. Government continues to conflateparticipation with consultation (sharing ready-made plans, or merely disseminatinginformation), while civil society organisations advocate for processes grounded in co-productionwherecommunitieshaverealdecision-makingpower.

Opportunitiesforco-productionpresentthemselvesmostcompellinglyatprojectlevel.Afterall, “it is in the ‘nitty-gritty’of informal settlementupgradingandbottom-upparticipatoryplanningwhereaprogramme[suchastheUISP]orprojectiswonorlost.”24Despitepoliticalwill at national level – and the formal buy-in of provinces andmunicipalities – to involvelocal communities in decisions concerning informal settlements, actual projectimplementation realities of informal settlementupgrading areoften verydifferent. This isstarkly highlighted by the pressures to deliver on targets, which force municipalities tocompromiseonprocess.Intheiroperativeparadigm,whatismeasuredcounts;thisisoftenat odds with an approach that values developmental processes and works towardsoutcomes,ratherthanoutputs.Ofcourse,communityinvolvementshouldnotbelimitedtoproject levelparticipation;rather,“municipalupgradingprogrammesandplansneedtobedevelopedandimplementedwithasmuchparticipationaspossiblefromcommunitiesandotherstakeholders.”25

Sector capability for programmatic or project level delivery of incremental andsustainableinformalsettlementupgradingislimited(atpresent).

Current practices and often-innovative solutions involving civil society organisations,municipalities,provincialgovernmentandprivatesectorareunabletoscaleupprojectleveldelivery. However, institutional and sectoral capacity is difficult to assess rigorously andobjectively, with appraisals often based on anecdotal evidence and opinions. Recentresearchconductedfor theWesternCapeHumanSettlementsFramework foundthat“thegovernmental and non-governmental actor capacity to execute informal settlementupgrading in theWesternCape iscomingoffavery lowbaseandexpectations fora rapidscaleupofcapacityshouldbeavoided.”26Stakeholderinterviewsconfirmedthatthelackofcapacity atmunicipal, and in some cases provincial, level is amajor blockage to delivery.They also corroborated the capacity constraints in the non-governmental intermediary

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sector tooffer support to informal settlementupgradingat scale–andoutside themetroareawheremanyoftheseorganisationshaveafootprint.

Municipalitieshavethemandatetoaddressissuesrelatingtoinformalsettlements,withtheexception of housing, health and education, which are provincial responsibilities. Theinternal institutional arrangements to govern informal settlement interventions from amunicipal perspective vary greatly from municipality to municipality. For instance, mostmunicipalities make a distinction between housing, engineering services, communityservices and planning directorates. Only the City of Cape Town and StellenboschMunicipalityhaveinformalsettlementmanagementunitsthatarededicatedtorespondtotheneedsofinformalsettlements.Therearebenefitsofhavingasingleunitdrivinginformalsettlement upgrading while coordinating with multiple departments in the municipality.Withoutastronginstitutionalmodel,oftentimesthereisuncoordinatedactionwithregardsto informal settlements, leading to mixed messages and conflicts between municipalitiesand communities. The evidence frommunicipalities also indicates that significant time isspentonproject level or reactive responses (i.e. to community protests, fire and floodingmitigation,amongstothers),ratherthanproactiveprogrammaticplanning.

Regarding intermediaries in theWestern Cape, three key challenges hinder the effectiveresponsetoinformalsettlementupgrading.Theseinclude:

• An inability on the part of the state (particularly municipalities) to recognise thevalueofintermediation.

• A lack of readiness on the part of NGOs in the Western Cape to performintermediaryfunctionsatscale.

• Alackofappropriateinstitutionalandfinancialarrangementstoadequatelyenableandsupporttheinvolvementofintermediaries.

A study conducted by Isandla Institute in 2012/13 found that the intermediary sector ismore capacitated to undertake the “functions of community mobilisation and support,participatory planning, capacity building and training in communities and research,knowledge management and advocacy”… but that gaps existed, particularly in technicalskillsandcontentknowledgeofgovernmentalpoliciesandpractices.27TheassessmentalsofoundthatNGOswerekeentodeveloptheirowncapacitywhereitwaslacking.

At the settlement level, community leadership structures have also struggled to engagemeaningfullywithmunicipalofficialsandcouncillors.Lackofunderstandingofthelegislativeframework and delivery backlogs often leads to communities demanding services, ratherthan co-creating solutions with government. For these reasons, the National UpgradingSupport Programme (NUSP) investedheavily in community capacitybuildingprogrammes,particularly community designers in order to prepare action plans. This has been done tovaryingdegreesofsuccess,andassuchhasnotbeenabletofullyaddressthehugegapinsectorcapabilitytodeliveratscale.

The role of the private sector and professional service providers in informal settlementupgrading tends to be limited compared to their involvement in housing developmentprojects. Research conducted for the Western Cape Human Settlements Frameworksuggests that these actors could be involved in processes such as settlement planning or

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urbanservicesinfrastructureinstallation,althoughitdidnotreviewtheextentandqualityoftheir involvement. 28 International best practice shows that the private sector andprofessionalserviceproviderscanplayavitalroleininformalsettlementupgradingthrough,amongstothers,theprovisionofmaterials,theprovisionofcommunityfinancingandcredit,andtheinstallationofphysicalinfrastructure.29

Grantframeworksinhibitinnovation,incrementalismandpartnerships.

Table 3 summarises the national grants applicable to informal settlement upgrading. Theprimary instrument for informal settlement interventionhasbeen theHumanSettlementsDevelopmentGrant(HSDG),whichisusedtofundarangeofprogrammes(e.g.IRDP,UISP,EPHP,FLISP,SocialHousing,etc.).Forinformalsettlements,theHSDG,whichfundsinternalserviceprovision,issupplementedbymunicipalfundingforlandandservices,usuallyintheformofMIG for bulk service provision outside of themetro and theUSDG in the case ofCape Town. Existing instruments using the HSDG in terms of the housing code are notflexible enough for incremental upgrading.30Most subsidy instruments are targeted athouseholdsearninglessthanR3500permonth.HouseholdsearningmorethanthisamountmaybeeligiblefortheFinance-LinkedSubsidyProgramme(FLISP)31orsocialrentalhousing,neitherofwhichareapplicabletoinformalsettlementupgrading.Theresultofapplyingfullsubsidiestothelowestincomebracket,withalackofsubsidyandhousingsupplyjustabovethis, results in the much publicised ‘gap’ market32and the unintended consequences ofdownwardraidingandcontinuedinformalsettlement.Afurtherconsequenceofthis isthelack of provision for non-qualifiers in the planning processes for in-situ upgrading,particularly in cases where there is a deficit of formalised housing opportunities relativeinformal households in a particular settlement. The outcome of this is the expectation ofrelocationforsubsidisedhousingnon-qualifierswithresultantprotestationanddelaysintheupgradingprocess.

Giventhatinformalsettlementscomprisemanyhouseholdsthatmaynotbeeligibleforthesame, or any, grant assistance, the subsidy instrument should be geographically basedratherthanlinkedtoindividualbeneficiaries.However,eventheUISP,whichisdesignedforthis purpose, assumesotherprogrammeswill beused for thehousing top structure,withthe accompanying limitations on beneficiary qualification and norms and standards. TheresulthasbeenthattheUISPisnotbeingusedasintended.33ThefocusontheIRDPandtheuse of UISP for greenfield development is driven by expediency and the need to deliverhousingopportunitiesatscaletohittargets.Thisisaresultofthemonitoringandevaluationframeworkforgrantperformancefocussingonoutputsratherthanoutcomes.

With regards to partnerships with intermediary organisations, inadequate protocols andprocurement processes inhibit intermediaries attempting to upscale their efforts atprovincial level. Funding for such non-technical aspects, such as facilitation, is relativelyopaque. Research undertaken for the Review of Urban Sanitation in the Western Capeindicated that the 3% allocation of the UISP for social facilitation is aligned with currentnationalbenchmarksandmaybeadequateforarangeofpre-implementationactivities,butit is not clear how thismoney is being used at present as there is no clear reporting andmonitoring system in place. It is also not clear what/if additional funding is required tosustainintermediaryorganisationsthatfulfilthisrole.

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Table3:Nationalgrantsapplicabletoinformalsettlementupgrading34

GrantMetroallocation(2015/16)

Non-metroallocation(2015/16)

Relevanceforinformalsettlementupgrading

General HumanSettlementDevelopmentGrant(HSDG)

R1.4billion R587millionApproximately 9% has been allocated to UISP,52% to IRDP and 15% to EPHP for 2015/1-2017/18

Metropolitan

UrbanSettlementDevelopmentGrant(USDG)

R1.38billion

This is a supplementary grant for landacquisition, bulk infrastructure, communityinfrastructure and internal services specificallyaimed at providing services for informalsettlements, it tends to be captured for largeinfrastructure projects, often unrelated toinformalsettlement(PDG,2015).

IntegratedCityDevelopmentGrant

R50million

Couldpossiblybeusedforplace-makingaroundcommunalfacilitiesifthesearelocatedinintegrationzones,butthisisnottheprimaryintentofthegrant.

MunicipalHumanSettlementsCapacityGrant

R14million Intendedtoimprovereadinessforassignment.Couldbeusedforengagementcapacitybuilding.

NeighbourhoodDevelopmentPartnershipGrant

R60million

Intendedforleveragingprivatefixedinvestmenttoimprovethequalityoflifeofpeoplelivinginmarginalisedcommunitiesviathedeliveryofeconomicandsocialfacilitiesandinfrastructure.

Non-metropolitan IntegratedNationalElectrificationProgrammeGrant

R140million(municipalandEskom)

R152million(municipalandEskom)

Canbeusedtoprovideconnectionsininformalsettlements

MunicipalInfrastructureGrant(MIG)

R483million

Primarilyaimedatbulkinfrastructure,butalsoallowsforinternalservicesalthoughitisreportedlynotusedinthisway.Thisistheprimarysourceofcapitalinfrastructurefundingformostnon-metromunicipalitiesintheWesternCape.

RegionalBulkInfrastructureGrant(RBIG)

R174million Targetedatbulkwaterservicesinfrastructureonly.Requirescounter-funding.

Total R3.0billion R1.4billion Only a portion of this is used in informalsettlements

ResearchfortheReviewofUrbanSanitationintheWesternCapesoughttodeterminethecostfornon-technicalcomponentsofacommunity-drivenapproachtosanitationprovision(e.g. employing intermediaries, community facilitation, enumeration, surveys, capacitybuilding,knowledgesharing,etc.).ItcametoaroughestimateofbetweenR20-R55million(excludinghumanresources35),basedonanaveragecalculationofR80-R216perhousehold(excludingmunicipalandintermediarystaffingcosts).36Theresearchconcludedthatthiswaslikely to be a low estimate due to the complexity of running processes in multiplesettlementsandtheinevitabilityoftheprocessestakinglongerinsomesettlements.

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4 TOWARDSANEWORIENTATION

Current informal settlement upgrading initiatives, whether undertaken by municipalities,civilsocietyorganisations,communitiesortheprivatesector,aresmall inrelationtoneed.All interventions, especially those by government, need to be scaled up to ensure theprogressiverealisationof therightsofpeople living in informalsettlements, inaccordancewiththeSouthAfricanBillofRights.Infact,amajorreshapingofgovernment’sapproachtoinformal settlements – and in particular the housing programme – is needed. Futureupgrading initiativesneedtotaketoheart lessonsfrompastexperiences,andneedtoputpeople first – as users of public services and co-creators of local neighbourhoods. Thisrequiresgovernmenttomakeafundamentalparadigmshift–fromaserviceprovideractingforlocalcommunities,toafacilitatorandenablerofdevelopmentwithlocalcommunities–andtodevelopthenecessarysystemsandcapabilitiestomakethisshifthappen.

Thisreorientationhasthefollowingunderpinnings:

1. Acknowledge that informal settlements play a critical role in responding topeople’s shelter and livelihood needs – informal settlements offer people animportantfootholdintotownsandcities,andinmanyinstancesthisisamedium-tolong-termreality,ratherthanatemporarysolution.

2. Peoplematter–informalsettlementcommunitiesmustbedecisionmakersandco-creatorsindevelopment.

3. Devolve decision making – decision making needs to take place as closely aspossibleto,andjointlywith,informalsettlementcommunities.

4. Embed project delivery within a programmatic (municipal wide) approach –informalsettlementupgradingneedstobepursued inacoordinatedandcoherentmannerwithaneyeon integrating these settlements into the spatial fabricof themunicipality, and in a manner that enables municipalities to plan for landdevelopmentinadvance.

5. Shift the role of government from service provider to broker and enabler –government has a critical role to play in enabling local development and goodgovernance,which includes facilitating the involvement of other stakeholders andaffectedcommunitiesandhouseholds.

6. Pursuedevelopmentthroughpublic-private-civicpartnerships–asnon-stateactorscan bring critical values, skills, expertise and resources to bear, collaboration candriveinnovationandscaleupdelivery.

7. Spend public funds wisely and invest in neighbourhood development – publicfundsshouldbedirectedtowardsthecreationofintegratedcommunitiesandinthepublic interest, i.e. to advance safety, dignity, social cohesion and economicempowerment.

8. Incentivizepoolingof resources–public fundsshouldbeusedto leveragefurtherinvestment from the private sector, donors/bilateral agencies, civil societyorganisationsandhouseholdstowardsneighbourhooddevelopment.

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9. Allow for incremental housing opportunities – with the right incentives andsupport,communitiesandhouseholdscanbeassistedtoinvestandinnovatebasedontheirownshelterneeds.

10. Plan for the future – this implies both proactive planning with an eye on futureinformalsettlementformationwhilebeingcognisantthatnaturalresourcesarenotjustforcurrentdevelopmentneeds,butalsofortheneedsoffuturegenerations.

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5 WESTERNCAPEINFORMALSETTLEMENTSTRATEGICFRAMEWORK

The contextual analysis presented in sections 2 and 3, which in turn were based onconsultations with different stakeholders, including organisations representing informalsettlement communities, provincial departments, municipalities and NGOs, provides thebasis for the new orientation (outlined in section 4) that needs to underpin a strategicprovincial approach to informal settlements. The vision, mission, guiding principles,strategies and actions presented here have been discussed and agreed with relevantstakeholdersduringmeetingsandconsultations.

The2030timeframealigns the ISSFwiththeNationalDevelopmentPlan. Italsoreinforcesthe sense of urgency required in responding to the poor, insecure and undignified livingconditions in informal settlements and in being proactive with regard to new settlementformation.

5.1Vision

By 2030, informal settlements in theWestern Cape Province are transformed intoliveable,integrated,vibrantandresilientneighbourhoods.Informal settlementsofferpoorpeoplean important foothold into townsand cities, i.e. aplace where they can live relatively cheaply and access economic and/or socialopportunities. While they want to have better living conditions for themselves and theirfamilies,thereareveryfew,ifany,viablealternatives.Thegoalistoensurethatpoorpeoplewillhaveabetterandsecureplaceofresidenceby2030:

– in liveableneighbourhoods thatofferbasicconditions thatallowpeople to inhabitthesettlementwithdignityandsecurity;

– in integratedneighbourhoodsthatofferawidevarietyofpublicservicestopeoplefromdifferentsocial,culturalandeconomicbackgrounds,whoseethemselvesandtheirneighboursaspartofthesameneighbourhood;

– in vibrant neighbourhoods that have a thriving socio-economic environment,underpinnedbygoodqualityurbaninfrastructure,publicspaceandservices;

– inresilientneighbourhoodsthatareabletowithstandnaturalshocksandstresses,suchasfloodingandclimatechange.

5.2Mission

Toimprovethequalityoflifeofpeopleininformalsettlementsbyenablingaccesstopublic infrastructure, finance, land,tenure,economicopportunitiesand incrementalhousingopportunitiesthroughaninnovative,people-centredandpartnership-basedapproach.To achieve the vision requires a significant commitment to improving the lives and livingconditions of people in informal settlements. This includes tenure security, improvedinfrastructure and social services, adequate shelter, and greater access to jobs, transport,financeandlivelihoodopportunities.Peopleininformalsettlementsmustdrivetheprocess

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and direction of neighbourhood development, with non-state actors being enabled tosupporttheseprocesses.

5.3Guidingprinciples

In pursuing the vision andmission, a set of guiding principles has been developed. Theseguidingprinciplescharacterisetheneworientation,asconcludedfromthecontextanalysisandsectorassessment,anddirect theobjectives, strategiesandactionsasoutlined in thisStrategicFramework.

1. Advancehealth,safetyanddignity -Supportandenablecommunitiesinimprovingtheirqualityoflifeinamannerthatinstilsself-respectandpride.

2. Encourageinsituincrementaldevelopment-Inasmuchaspossible,improvelivingconditions and tenure security where people reside and use a participatoryneighbourhooddevelopmentplanningprocesstoguidephaseddevelopment.

3. Scaleupcurrent interventions -Currentprogrammesmustbenefitalargernumberofinformalsettlementsandrapidlyimprovelivingconditions.

4. Minimise relocations -Avoid disruptions to existing community networks andrelocateonlythosehouseholdslocatedinhighriskandhazardousareas.

5. Acceptthatlandhassocialvalue-Lookbeyondtheeconomicvalueoflandinwaystobenefitthelandinvestmentsforthewholesocietyandinthepublicinterest.

6. Involve and invest in people -Support community agency and improve socio-economicandpoliticalrights.

7. Adopt a systems- and municipal-wide perspective on informal settlements –Planning must be undertaken with a long-term strategic perspective linked tointegratingsettlements intothespatial fabricofthemunicipality, inamannerthatenablesmunicipalities to plan in advance for land development, and in amannerwhich does not compromise the principles of spatial justice, spatial sustainability,efficiency,resilienceandgoodadministration.

8. Plan for climate change, sustainability and resource efficiency -Reduce strain onnatural resources and incorporate climate change adaptation and resilience in allupgradinginterventions

9. Implement and act through partnerships–Enable community groups, civil societyorganisations and private sector institutions to co-create and supportneighbourhooddevelopmentinitiatives.

10. Incentivisegoodpracticeandbuildonlessonslearnt-Developarobustmonitoringand evaluation framework and learn frommistakes of the past,while recognisingandreplicatingsuccessfulinterventions.

11. Safeguard the rights of vulnerable groups -Ensure that the rights of all, and inparticularsociallymarginalisedgroups,arerespectedandprotected.

12. Utiliseprogressiveinstruments–Userights-basedinstrumentstosecuretenureandimprovethequalityoflifeininformalsettlements.

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13. Encourageco-financing-Usepublicfundswiselyandencouragefurtherinvestmentfromtheprivatesector,civilsocietyandhouseholdslivingininformalsettlements.

14. Recognise the contextual realities -Recognise that all settlements have uniquecharacteristicsandpotentialandrequireacontextuallyspecificapproach.

5.4Strategicobjectives

Thestrategicobjectivesaddressthreecriticaldimensionsofinformalsettlementupgrading.The first objective relates to improving the poor physical environment and insecure legalstatus of informal settlements. This implies an explicit shift away from the current biastowards turnkeydevelopmentsandhousingprovision.Thesecondobjectiveaddresses theinadequate involvement of people living in informal settlement in determining the shapeand form of their communities and houses and recognises that informal settlementupgrading and neighbourhood development transcends the provision of publicinfrastructure and services. The third objective relates to theweak sector capability for arobust,programmaticandpartnership-basedapproachtoinformalsettlementupgrading.

TheISSFstrategicobjectivesareasfollows:

Strategicobjective1: Upgrade settlements through access to land, services, publicinfrastructureandincrementalhousingopportunities

Strategicobjective2: Enhancedqualityoflifeandactivecitizenship

Strategicobjective3: Strengthenedsectorcapability,governanceandresources

5.5Strategiesandactions

Each strategic objective is supported by a number of strategies, which point to specificaspectsoftheprogrammaticandsector-wideapproachunderpinningtheISSF.Inturn,eachstrategyincludesasetofactionstooperationalisetheISSF.Ifthestrategiesarepathwaystoachievethedesiredoutcomes,theactionsarethestepsthattakeusthere.Theactionsareoutlinedintheimplementationplan,withassignedrolesandresponsibilitiesandindicativetimeframesforimplementation.

Eachstrategyhasdefinedoutcomesattwolevels:formunicipalities,andatsettlementlevel.Theseoutcomesarehighlightedinthediagramsthatsummarisethestrategiesunderpinningeachstrategicobjective.

Diagram1outlinesthelogicmodelunderpinningtheISSF.

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Diagram1

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Strategicobjective1:Upgradesettlementsthroughaccesstoland,services,publicinfrastructureandincrementalhousingopportunities

Seven strategies have been identified to achieve the strategic objective of upgradingsettlementsthroughaccesstoland,services,public infrastructureandincrementalhousingopportunities.Thisstrategyisunderpinnedbythelogicthatcommunitiesunderstandtheirneeds and priorities best. Addressing these needs and priorities, linked to a long-termprogrammatic approach, is at the core of transforming informal settlements into vibrantneighbourhoods.Thephysicalimprovementsincludeinvestingininfrastructureonlandthatis suitable for development and serves the livelihoodneeds of communities by improvingbasic services in communities,providing incremental tenure security, improving thepublicrealm and enabling incremental housing opportunities. Government policies, projects andprogrammesmustputpeopleandcommunityneeds first, soas toadvance thesephysicalimprovements.All this relieson theguidingprinciple that relocations shouldbe seenasalastresort.Relocationandresettlementmustbedoneselectivelyandonlythroughastrongprocess of consultation. In situ development shouldbeprioritised to reducedisruption tothelivesofpeopleandfurtherfragmentationinsociety.

Strategiessupportingstrategicobjective1

1 Prioritiseemergencyandbasicserviceprovision

2 Strengthenplanningforneighbourhooddevelopment

3 Unlockpublicandprivate landassets thatare suitable fordevelopmentandservingthelivelihoodneedsofthecommunity

4 Enablealternativeformsoftenuresecurity

5 Resettle people selectively with appropriate choices within a municipal widedevelopmentframework

6 Support incremental and affordable housing opportunities for people living ininformalsettlements

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Diagram2

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Strategicobjective2:Enhancedqualityoflifeandactivecitizenship

Fourstrategieshavebeen identifiedtoachievethestrategicobjectiveof improvingqualityof life and active citizenship. Bringing about vibrant, lively and inclusive neighbourhoodsmeans adopting a holistic perspective that addresses socio-economic dimensions ofcommunity life. This requires the involvementandcoordinationofmultiple sectors.Whilephysical improvements are vital to bring about better living conditions, these do notnecessarily change the socio-political statusof thepoor, unless they are able to influencedecisions as partners in development. This strategy is underpinned by participation andsustainedengagementwithcommunities.Governmentprogrammesmustacknowledgetheneeds of the communities and enable prioritising these needs within a programmaticapproach. Capacity for community based planning and savings is weak within mostsettlements and should be advanced using intermediary organisations and academicinstitutions.Inparticular,governmenthasanobligationtosafeguardtherightsofthemostvulnerable.Thiswillrequireareorientationonthepartofgovernment,frombenefactortopoorcommunitiesanddelivererofservicestoco-creatorsandpartnersindevelopment.

Strategiessupportingstrategicobjective2

7 Supportlocalentrepreneurismandlivelihoodstrategies

8 Promoteholistichumandevelopmentwithafocusonyouthdevelopmentandsocialcohesion

9 Supportandenhancecitizencapabilityinplanning,decisionmaking,implementationandmonitoring

10 Shiftmindsetsingovernmentandsocietytowardsrecognisingcommunityagencyandcivicresponsibility

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Diagram3

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Strategic objective 3: Strengthened sector capability, governance andresources

The final five strategies support the development of improved capacity and resourceallocation for sector governance at the local and provincial levels. Capacity withinmunicipalities remains weak, and is compounded by chasing targets relating to housingdelivery. Much of the problem lies at the local level where municipal planning lacks anintegratedstrategicdimension,withlimitedresponsetoinformalsettlementupgradingandneighbourhooddevelopment.Spatialintegrationandinvestmentplanningareseldomlinkedeffectively. Capacity development for local municipalities needs to focus on strategicmunicipal planning, implementation and informal settlement upgrading. This needs to beinformed by innovations and good practice in informal settlements upgrading, and onimproved project identification, feasibility, packaging and structuring. Similarly, provincialcapacity to provide the necessary support, oversight and coordination of integratedneighbourhooddevelopmentinitiativesneedstobeenhanced.Intermsoffinance,thereistheneedtoreviewtheapplicationofgrants(atnationalandprovinciallevel)inanefforttotargetneighbourhooddevelopment. It isequally important toofferprogressivesupport tolocal households who want to invest in housing solutions that suit their needs andconditions. To enable this, a strong ethos of participation, community engagement,partnershipand,wherenecessary,intermediationisrequired.

Strategiessupportingstrategicobjective3

11 Makeadequateandappropriatefinancialresourcesavailableforinformalsettlementupgrading

12 Expandtheroleofmicro-financeandcommunityfinanceforhousingconsolidation

13 Initiatepartnershipsbetweenpublic-private-NGOs-communityorganisations

14 Improve municipal capability for coordinating and implementing a programmaticapproachtoinformalsettlementupgrading

15 Enhanceprovincial capability formonitoring,oversight, technical guidance, learningandsupport

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Diagram4

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6 CONCLUSION

AstheProvinceandmunicipalitiesintheWesternCapearestrugglingtocometotermswithurbanisation, demographic changes and economic realities, people are creating their ownsolutionstoaddresstheirshelterandlivelihoodsneeds.Thesesolutionsshowresilienceandagencyonthepartofthepoor,yetareinmanyrespectsinadequatetoensurethattheyliveinhealthy,dignifiedandenablingconditions.

Todate,government’sresponseto improvethese livingconditionsandtransforminformalsettlements into liveable, integrated, vibrant and resilient neighbourhoods has beenwoefully inadequate. The institutional bias has been to respond to this reality throughhousingdelivery,yetevidencehasshownthatthishasbeenslow,costly,unabletorespondtoexistingandgrowingdemand,andoftensubjecttopoorplanningdecisions.

Hence,adifferentapproachisneeded.Forone,informalsettlementupgradingneedstobeprioritisedasacriticalhumansettlementstrategytorespondtothetenure,services,shelterand livelihood needs of a large part of the Western Cape population. This goes beyondproviding sites and services (whichmay be a critical step in the process of upgrading), toenvision, plan for, co-create andmaintain settlements that are fully serviced (inclusive ofpublic amenities) and integrated into the municipal fabric. Secondly, people living ininformalsettlementsneedtobeplacedattheheartofinterventionstoimprovethephysicalenvironmentoftheirsettlementsandtheirqualityoflife.

Thecomplex,costlyandpotentiallycontestednatureofinformalsettlementupgradingandneighbourhooddevelopment requires social compactswith communities andpartnershipswith other actors, including government, civil society organisations, local communities,financialinstitutionsandtheprivatesector.

TheWestern Cape ISSF seeks to shift the practice towards a people-centred, partnership-based and incremental approach to informal settlement upgrading and neighbourhooddevelopment. Its primary focus is on provincial departments and municipalities, but it isstronglygroundedinanappreciationoftheroleandcontributionofother,non-state,actors.

FourotherdocumentshavebeenproducedtosupportthestrategicandinstitutionalshiftsoutlinedintheISSF:

I. The Implementation Plan (see Annex I) outlines key provincial and municipalactions to achieve the strategies, strategic objectives and envisaged outcomesoutlinedintheISSF.

II. The Informal Settlement Support Plan (ISSP) outlinesdesign, tenureand servicesoptions municipalities (in consultation with communities) can consider forincremental and participatory upgrading in relation to different settlementcategories.

III. The Informal Settlements Prioritisation Model is a tool for municipalities inprioritising which settlement(s) to upgrade and what type of interventions topursue. A guiding concept note on how to use the tool accompanies thePrioritisationModel.

IV. The Monitoring and Evaluation Framework proposes indicators to measuresuccess,monitor,reviewandrefinetheimplementationoftheISSF.

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Notes

** In 2015, Western Cape Provincial government announced sanitation as one of the eight game changers.However in February 2016, the SanitationGameChanger switched its status to a provincial strategic priority,** In 2015, Western Cape Provincial government announced sanitation as one of the eight game changers.However in February 2016, the SanitationGameChanger switched its status to a provincial strategic priority,basedonarecognitionthatsanitationprovisionisbestpursuedatmunicipallevel.Someofthebackgroundworkconducted for the SanitationGameChanger,which focused specificallyon informal settlements, is specificallyrelevanttotheISSPproject.LiketheBetterLivingChallenge,theSanitationGameChangerplacedemphasisoninnovative,alternativeapproachestomeetlocaldemand(inthiscase,forsanitation).Italsoreferredexplicitlytocommunity-basedapproachestosanitation.1Provincialdataof2014showsthat115settlementsoutof277non-metrosettlementshaveexistedforover15years.2In 2014, SALGA adopted a Local Government Position onMunicipal Responses to Backyarders and BackyardDwellings,whichidentifiesthefollowingcoreelementsofbackyarding:itisgenerallya)asmall-scaleactivity;b)producedonprivatelyownedandprivatelyheldorcontrolledland;c),wherestockisprocuredandmanagedbyprivate individuals; d) generally occupied by separate households or extended family members; and, e)predominantlyutilizedforresidentialhabitation.

Generally occupied by separate households, or extended family members and kin-networks through privaterentaltreaty,accordingtoconditionssetoutinaformal(written)orinformal(verbal)agreement.

Predominantly utilised for residential habitation, but a proportion are also utilised for retail and commercialactivitiessuchasstores,smallserviceactivitiesormanufacturing.3PERO2015isavailableatthetimeofthisstudybutdoesnotpresentanypopulationprojectionsfor2015.4https://www.westerncape.gov.za/news/western-cape-records-sas-highest-job-creation-numbers5ThelabourmarketwillbeatfurtherriskifclimatechangeresponsesarenotrapidlyandeffectivelytakenupasperSmartAgriImplementationPlan.6Provincialunemploymentdata,includingyouthunemploymentdata,isfromPERO2015.7ProvincialEconomicReviewandOutlook(PERO)2015.8InputPaper1:HousingInterventionOptions,preparedbyShisakaDevelopmentManagementServicesfortheWesternCapeDepartmentofHumanSettlements,October2015,p27.9Thenumberofhouseholdslivinginbackyardshackshasgrownataveryhighrate,from47000householdsin2001to105000householdsin2011.10 The Housing Development Agency (HDA) (2013). Western Cape: Informal Settlements Status (2013).Johannesburg:HDA.11DataontheprovincialinformalsectorisfromPERO2014.12Data on fires in informal settlements taken from a City of Cape Town presentation at the Fire SafetySymposium, Goodwood, on 28 February 2013 (available onhttps://www.westerncape.gov.za/text/2013/March/fires-in-informal-settlements.pdf).13http://www.gondwanaalive.org/enviromental-management/climate-change-exacerbates-flooding/14 Rapid Capacity Audit of the Western Cape Natural Resource Departments (available onhttp://www.footprintservices.co.za/email_resources/bep/7.pdf). 15ProvincialEconomicReviewandOutlook(PERO)2014,p94.16ShisanaO,RehleT,SimbayiLC,ZumaK,JoosteS,ZunguN,LabadariosD,OnoyaDetal.(2014)SouthAfricanNationalHIVPrevalence,IncidenceandBehaviourSurvey,2012.CapeTown:HSRCPress,p.xxxii.17 http://www.dailymaverick.co.za/article/2013-05-28-analysis-the-ugly-truth-behind-sas-xenophobic-violence/#.Vxzx_mOuzdk18ThePresidency2012.NationalDevelopmentPlan2030.p273.19TheseincludetheBreakingNewGround(2004)policy,TheNationalDevelopmentPlan(2014),andtheDraftWhitePaperfortheDevelopmentofHumanSettlementsLegislation(2015)20In2015, theWesternCapeDepartmentofHumanSettlementscommissioned5researchpapers:onhousinginterventionsoptions,thedecisionmakingframework, innovationtestbeds,deliveryleversandpartnerships&sectorcapability.212015datafromWesternCapeDepartmentofLocalGovernment.Seealsograph11.

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22Termsofreferencetoconductanimpactassessmentofthefunctioningandeffectivenessofthecurrentwardparticipatory system (ward committees) aswell aspublicparticipationprocesses, issuedby theWesternCapeDepartmentofLocalGovernment,September2015.Theassessmentwillbeconductedin2016.23FinalResearchReportontheEvaluationoftheWardCommitteeSysteminSouthAfrica,10February2011.24Socio-EconomicRights Instituteof SouthAfrica (SERI)2012. “Informal SettlementUpgrading inSouthAfrica:LinkagestoLivelihoodCreation,InformalSectorDevelopmentandEconomicOpportunityGeneration.WorkingPaperNo.2.November2012.p10.25Ibid,p11.26Input Paper 5: Partnerships, Housing Sector Stakeholder Capacity and Relationships, prepared by ShisakaDevelopmentManagementServicesfortheWesternCapeDepartmentofHumanSettlements,November2015,p.48.27Isandla Institute, 2013. Assessment of the current state of practice, capacity and potential of civil societyorganisationstoperformintermediaryfunctionsininformalsettlementupgrading.p6.28Input Paper 5: Partnerships, Housing Sector Stakeholder Capacity and Relationships, prepared by ShisakaDevelopmentManagementServicesfortheWesternCapeDepartmentofHumanSettlements,November2015.29UnitedNationsHumanSettlementsProgramme,2014.APracticalGuidetoDesigning,Planning,andExecutingCitywideSlumUpgradingProgrammes.30FiscalandFinanceCommission(FFC)2012.BuildinganInclusionaryHousingMarket:ShiftingtheParadigmforHousingDeliveryinSouthAfrica.31TheFLISPhasbeenremarkablyunsuccessful,withzerosubsidiesallocatedbetween2011/12and2013/14andonly100estimatedfor2014/15(WesternCapeDHS,2015).32SeeRust,K.2012.PerspectivesonSouthAfrica’sAffordableHousingMarket:Currenttrends&issues,CentreforAffordableHousingFinanceinAfrica.33InputPaper1:HousingInterventionOptions,preparedbyShisakaDevelopmentManagementServicesfortheWesternCapeDepartmentofHumanSettlements,October2015.34Other national grants aimed at providing services, namely the Bucket Eradication Grant, Rural HouseholdsInfrastructureGrant,andMunicipalWaterInfrastructureGranthavenotbeenallocatedtotheWesternCape.35TheNGOinvolvedwasunabletoprovidehumanresourcescostsasthesearefundedthroughdonorfundingandarenotincludedintheprojectcosting.36Reviewofurbansanitation in theWesternCape,Phase2Report, researchconductedbyPDG for theWaterResearchCommissioninpartnershipwiththeWesternCapeDepartmentofHumanSettlements,February2016,p.8-9.