PROJECT CONCEPT NOTES - World Urban Campaign · 2019-02-26 · 1.2. RELEVANCE OF THE ACTION - CITY...

ZAMBIA

Participatory Slum Upgrading Programme (PSUP)

Funded by the European Commission

PHASE II – OUTPUTS

PROJECT CONCEPT NOTES

1) WATER AND SANITATION IMPROVEMENT PROGRAMME 2) SOLID WASTE MANAGEMENT IMPROVEMENT PROGRAMME

3) FEEDER ROADS AND DRAINAGE IMPROVEMENT PROGRAMME

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Content A. Introduction 3 A.1 Site Selection 4 A. 2 Stakeholders involved in producing the output

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B. Phase 2 Outputs 5 B 1. Slum Situation Analysis and resource mobilization strategy 7 B 2. Policy and Institutional Review 22 B 3. City-wide Slum Upgrading and Prevention Strategy 37 B.4 Resource Mobilization Strategy developed for the MCC proposal attached in the Annex

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B.5 Concept Notes 55 ANNEX 73

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B.3 City-wide Slum Upgrading and Prevention Strategy

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1.2. RELEVANCE OF THE ACTION - CITY WIDE STRATEGY

With an estimated population of 366,1701 people, Kanyama is one of the oldest and largest unplanned settlements in Lusaka accounting for just under one-eighth of Lusaka’s population. Occupying an area of approximately 366,7372 square meters, Kanyama is one of the closest unplanned settlements to the Central Business District (CBD) of the City of Lusaka, the Capital of Zambia. In the late 1990’s, the Lusaka City Council (LCC) declared Kanyama an Improvement Area (IA). This means that Kanyama is a recognised settlement which receives government support and occupiers of plots can obtain tenure. However, despite Central Government commitment to provide development finance to IA’s, severe budget constraints have prevented adequate financial support from being directed towards IA’s. Perhaps the most consistent has been the Constituency Development Fund (CDF). In most instances government has relied on donor support to provide infrastructure and services to IA’s and many other cases has only been compelled to respond to critical needs in IA’s when there are pending disasters or actual disasters occur. Since the 1960’s Kanyama has experienced 5 devastating floods3 leaving behind a trail of destruction and disease. In 1996 and 2008 the Programme Urban Self Help (PUSH) through funding from the Disaster Management and Mitigation Unit (DMMU) in the Vice President’s Office, conducted rehabilitation of a few key feeder roads and drains through food- for-work programmes. Since then, only community coordinated efforts through the Ward Development Committee (WDC) has been conducted. From the second week of December to the end of January, Lusaka experiences flooding, worst affected is Kanyama, in which sometimes the whole settlement is flooded. The estimated results of the Feeder Roads and Drainage Improvement Initiative (FRDII) are therefore to:

Contribute to a reduction in susceptibility to flooding & disruption to infrastructure and related investments

Contribute to a reduction in vulnerability to water borne diseases Improve access to the settlement and to essential services Contribute to a reduction in urban poverty Contribute to improvements in Coordination between the Ministry of Local

Government and Housing, Lusaka City Council and Ward Development Committee

Recently, a Comprehensive Urban Development Plan (CUDP) has been prepared and approved, for the City of Lusaka, with the support of the Government of Japan through the Japan International Cooperation Agency (JICA). The CUDP indicates that priority informal areas of Lusaka to be upgraded or renewed in the short term are those closer to the city. Therefore, the following main criteria were applied to select Kanyama settlement:

1 Central Statistics Office Census 2010 2 Kanyama Ward 10 Development Plan, October 2008 3 Floods experienced in 1968,1978,1990,2001,2008: Kanyama Ward 10 Development Plan, October 2008

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Priority informal areas presented by the government of Zambia to Millennium Challenge Corporation, while discussing the Lusaka Water Sewerage, Sanitation Drainage program (LWSSD);

Priority informal areas as described in the CUDP supported by JICA, which puts distance from the central business district (CBD) as one of the main criteria, because urban renewal in those areas could be more attractive for investments;

Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further. Form December 2007 to the end of January 2008 the CUDP identifies 21 frequently inundated areas, 14 of which were seriously damaged, Kanyama is at the top of the list with almost the entire settlement flooded during this period;

Level of poverty of slum dwellers. According to the CUDP, Kanyama settlement (and John Laing) shows a poor but partial grid network and is much prone to flooding. In addition, according to the surveys carried out during the elaboration of the CUDP, the population living in this area is poorer than in similar settlements. Importantly Kanyama (which is adjacent to John Laing), constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the support of the MCA-Zambia, as part of the series of pre-feasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of “closed catchment” which suffers from severe flooding after a storm event. In terms of number of people, the population of Kanyama and John Laing was the most affected during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement. When consulting with the MLGH and the Lusaka City Council (LCC), it was confirmed that Kanyama is a suitable and priority area for UN-Habitat intervention under this proposal. Some data already exists for this informal neighborhood, which can be found in the CUDP pre-feasibility study, but specific surveys and assessments, especially regarding feeder roads and secondary or tertiary drainage still needs to be collected. Importantly, Kanyama is being considered as priority area for implementing the water supply component of the MCC/MCA-Zambia which would create significant synergies with the improvements envisaged under the Agreement of Cooperation (AoC) for Participatory Slum Upgrading Programme (PSUP) in Zambia between UN-HABITAT and the MLGH. Through this AoC, a participatory planning session was held on 16th December 2011 at the Constituency office in Kanyama to reconfirm priority upgrading interventions. In attendance were 35 Kanyama Ward Development Committee Representatives from all 13 zones, representatives of Community Based Enterprises, Lusaka City Council Officials and UNHABITAT. After deliberations, discussion and use of the pairwise ranking methodology a list of priority interventions was established as indicated in column 1 of table 1. However, after

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further discussion and voting, priority interventions were determined as indicated in column 2 of table 1 below, with roads and drainage clearly coming out as the top priority. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Methodology

Priority Ranking After Voting

Solid Waste Collection 1 Roads and Drainage Water and Sanitation Clinic High School

2 Solid Waste Collection

Roads and Drainage Establish Local Council Office to deal with land matters

3 Water and Sanitation

House Numbering Land Tenure

4 House Numbering and Security of Tenure

Modern Market 5 Clinic Recreation 6 High School Shopping Mall 7 Establish local Council

Office Post Office 8 Recreation Bank 9 Bank This intervention, especially when implemented through labour based techniques, will also have a significant impact on Kanyama settlement, which has a high population of predominantly young and unemployed women and men.

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1.3. DESCRIPTION OF THE ACTION - CITY WIDE APPROACH

The basis for selecting Kanyama as a Priority settlement and feeder roads and drainage as the primary intervention was derived mainly from the CUDP prepared by JICA in March 2009 which identifies Kanyama Settlement as a flood prone area mainly due to poor feeder roads and drainage. Consultations with the MLGH and LCC in October 2011 also identified the same settlement as a priority. The Kanyama Ward 10 Development Plan of October 2008, discussions held with community leaders including the Participatory Planning Session held in December 2011, with key community leaders indicated that roads and drainage was a key priority. The Objectives of the FRDII are therefore to:

Improve the quality of life of Zambian citizens living in urban unplanned settlements and contribute towards MDG 7: More than 70% of people living in Lusaka live in unplanned settlements under poor infrastructure and services. Improvements in Kanyama will affect close to one-eighth of Lusaka’s population;

Improve the key feeder road & secondary or tertiary drainage network thereby reducing susceptibility to flooding and the associated risks of disease and disruption to infrastructure in Kanyama: Kanyama is at the top of 14 worst affected areas in Lusaka that are inundated with floods from December to January each year. During this period most parts of Kanyama are regularly flooded destroying basic infrastructure and causing disease;

Empower women and men in Kanyama through labour based techniques as they improve the physical living conditions in their neighbourhood: Unemployment is a Country-wide problem for Zambia but more so in urban areas and unplanned settlements where there is insufficient space to do any form of farming. Often, many young women and men resort to crime, prostitution and drugs to earn a living. Employing community members in roads and drainage improvements will not only provide an income for them but leave them with skills that can be used elsewhere;

Support increased collaboration among Lusaka City Government Actors responsible for roads and drainage and other stakeholders: This initiative will provide an opportunity to increase collaboration and capacity for government actors to identify needs and possible solutions.

Below are some of the anticipated activities, their related outputs and expected results

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Anticipated Activities Related Outputs Responsible Expected Results

Meet with community leaders to Identify key feeder roads & secondary or tertiary drainage to be constructed

Key feeder roads & secondary drainage for rehabilitation identified and agreed

WDC,LCC,

MLGH

ZHPF

UNHABITAT

-Key feeder roads & secondary drainage for rehabilitation identified and agreed

-Community Participation

Mobilize and sensitize community Community understanding and commitment to participate in the initiative secured

WDC,LCC,

MLGH

ZHPF

UNHABITAT


-Improved community cohesion & solidarity

Produce layout plan to show costing of identified feeder roads & drainage

Layout Plan, identifying the feeder roads & drains to be constructed and their related costing produced

LCC,MLGH Production of Layout Plan

Identify & Mark affected structures for relocation if any

Structures to be relocated marked & identified with community participation and agreement

WDC,LCC,

MLGH

ZHPF

UNHABITAT


-Improved community cohesion & solidarity

Meet & Sensitize affected residents and negotiate relocation if any

Secure agreement from affected community members to relocate & identify areas for relocation

WDC,LCC

MLGH

ZHPF

UNHABITAT

Community Participation

Construction of identified feeder roads & secondary or tertiary drainage

Report of feeder roads & drains constructed

WDC,LCC

MLGH

-Reduction in susceptibility to flooding & disruption to infrastructure and related investments -Reduction in vulnerability to water borne diseases -Easy access to the settlement and to essential services -Reduction in urban poverty -Coordination between MLGH,LCC & WDC

-Improved community Capacity

-Increase in income for community members who take part

TIME FRAME: It is anticipated that this initiative will be undertaken in 24 months assuming that Government and community support and participation takes place as has been indicated during consultative meetings. The time frame also takes into account some delays resulting from community consultations to secure lasting agreement.

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

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

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

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

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B.4 Resource Mobilisation Strategy

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Years Year 1 Year 2 Year 3

Planned Activity Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Implementing Body

1.4.2. Facilitate the establishment of a regular coordination mechanism for monitoring the implementation of such framework.

MLGH, UN-H

Planned Activity 1.5: Urban upgrading framework formulated 1.5.1. Analyze the results obtained during field surveys, make linkages with the CUDP and other existing planning instruments and carry out additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas

UN-H, LCC, MLGH

1.5.2. Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft

MLGH, LCC, UN-H

1.5.3. Finalize the formulation of the urban upgrading framework and submit it to the LCC for approval LCC, MLGH,

UN-H

IMPLEMENTATION PHASE

Specific Objective 2: “Strengthen the capacity of national and local institutions”

Planned Activity 2.1: Strengthen the urban planning and land management expertise and knowledge at LCC and MLGH

2.1.1. Embed two national experts within the LCC structure and one national expert into the MLGH

LCC, MLGH, UN-H

2.1.2. Deliver training interactive sessions to LCC and MLGH technical staff on the developed slum upgrading guidelines

UN-H, LCC, MLGH

2.1.3. Deliver training interactive sessions to LCC and MLGH technical staff on the application of the simplified land registration and management system

UN-H, LCC, MLGH

Planned Activity 2.2: Define a concrete capacity development strategy for implementing the approved urban upgrading framework (UUF)

2.2.1. Carry out an institutional capacity development needs assessment to implement the UUF

UN-H, MLGH

2.2.2. Organize a workshop to define a capacity development strategy and action plan for implementing the UUF

MLGH, UN-H

Specific Objective 3: “Pilot urban upgrading activities in demonstration areas”

Planned Activity 3.1: Conduct participatory planning sessions in Kanyama and John Laing to identify priority slum upgrading interventions

3.1.1. Conduct on-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support

UN-H, Community LCC, MLGH

3.1.2. Prepare the needed technical plans and designs with all specifications for implementation UN-H, LCC,

MLGH

Planned Activity 3.2: Carry out land management and relocation operations in selected areas of Kanyama and John Laing

3.2.1. Apply the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions

LCC, MLGH, UN-H

3.2.2. Families to be affected by the infrastructure development projects are provided with alternative locations and supported through subsidies for housing reconstruction

LCC, MLGH, UN-H

Planned Activity 3.3: Implement slum upgrading activities in Kanyama and John Laing

3.3.1. Open feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities

Community, LCC, MLGH, UN-H

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Implementing Body

3.3.2. Construct basic, social and/or economic facilities using low-cost, innovative and environmental-friendly techniques through local sub-contractors

Sub-Contractor, LCC, MLGH, UN-H

3.3.3. Stimulate housing improvement/development schemes for those households with secure tenure MLGH, UN-H

Planned Activity 3.4: Establish local urban management structures for income generation and promote community consultations and awareness-raising

3.4.1. Establish community structures with urban management responsibilities

Community, LCC, UN-H

3.4.2. Organize regular community consultations LCC, Community, UN-H

3.4.3. Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, etc.

CBOs, LCC, UN-H

Specific Objective 4: “Leverage and coordinate additional private and do nor funding” (NB: the implementation of this objective is occurring both during the Preparatory Phase and the Implementation Phase)

Planned Activity 4.1: Advance a resource mobilization strategy to support efforts by government to implement the urban upgrading framework

4.1.1. Serve as focal point with the UNCT to coordinate the participation of other UN agencies in settlement upgrading and urban development

UN-H

4.1.2. Establish a donor contact group UN-H

4.1.3. Establish a private sector contact group UN-H

Planned Activity 4.2: Broker cooperation agreements between agencies/donors and national/local government to invest in the urban upgrading framework

4.2.1. Work with UNRC and UN country representatives of UN agencies to develop multi-year programming on specific aspects of settlement upgrading and to scale up, feeding this into the preparations for the 2014-2019 UNDAF

UN-H

4.2.2. Work with the UNRC and the World Bank Country Director to integrate specific infrastructure investments of the urban upgrading framework into the 2013-2016 WB CAS

UN-H

4.2.3. Work with bilateral agencies to build into their respective cooperation agreements with GoZ, elements of the urban upgrading framework, including upgrading projects that geographically complement and build upon lessons from UN-Habitat

UN-H, MLGH

Planned Activity 4.3: Facilitate public-private-community partnerships

4.3.1. Broker partnership among private banks, community savings associations, LCC, and local MFIs to develop loan products for self-built house construction that combines community savings, public subsidy, and private capital

UN-H, LCC

4.3.2. Facilitate partnership among water kiosk distributors, private utility companies and LCC to extend the provision of water to residents of informal settlements in peri-urban areas as part of planned expansions envisioned in the urban upgrading framework

UN-H, LCC

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12. Detailed Budget and Financial Plan � Total Costs for the Preparatory Phase (corresponding to Year 1) in USD:

� Key Personnel, Equipment and Other Costs under the Preparatory Phase:

Key Personnel Unit Nr of Units

Unit Cost

Total Cost

MCC Request

UN-Habitat Co-Funding

Director, Liaison Office in Washington (5%) w/m 12 1000 12,000 0 12,000

Human Settlements Officer (20%) w/m 12 3,200 38,400 0 38,400

International Programme Manager w/m 12 12,000 144,000 144,000 0

Programme Management Officer (20%) w/m 12 2,000 24,000 0 24,000

UN-HABITAT National Technical Adviser w/m 12 5,500 66,000 33,000 33,000

National Policy Analyst/Monitoring Officer w/m 12 5,500 66,000 66,000 0

Financial/Administrative Assistant w/m 12 2,000 24,000 24,000 0

Driver/Logistic w/m 12 1,000 12,000 12,000 0

International mission costs (flight + DSA) Per Mission pp 15 2,000 30,000 24,000 6,000

Sub-Total Key Personnel Costs 416,400 303,000 101,400

Equipment and Other Costs Unit Nr of Units

Unit Cost

Total Cost

MCC Request


Office equipment (computers, laptops, printers, furniture, etc)

Lumpsum 30,000 20,000 10,000

Vehicles (4 x 4) Per Vehicle 2 50,000 100,000 100,000 0

Sundries, communication and operational costs Per month 12 4,500 54,000 40,500 13,500

Office rent and services Per month 12 3,500 42,000 31,500 10,500

Sub-Total Equipment and Other Costs 226,000 192,000 34,000

� Budget requirements to carry out activities planned under Specific Objective 1:

Planned Activity 1.1 Unit Nr of Units

Unit Cost

Total Costs

MCC Request


Hiring of National Consultant to review existing planning documentation for Lusaka city w/m 2 4,000 8,000 0 8,000

Detailed mapping products of selected informal and expansion areas of Lusaka (as part of the Agreement of Cooperation -AoC- with LCC)

Lumpsum 50,000 40,000 10,000

Specific a socio-economic survey at the household level in Kanyama and John Laing (as part of the AoC with a CBO)

Lumpsum 30,000 20,000 10,000

Sub-Total Planned Activity 1.1 88,000 60,000 28,000


Unit Cost

Total Costs

MCC Request


Hiring of International Consultant to develop specific slum upgrading guidelines for the informal areas of Lusaka

w/m 3 12,000 36,000 24,000 12,000

Hiring of International Consultant to prepare awareness raising materials for community mobilization on urban management activities

w/m 3 12,000 36,000 24,000 12,000

Testing, edition and printing of the prepared guidelines and tools Lumpsum 30,000 20,000 10,000


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Unit Cost

Total Costs

MCC Request


Hiring of International Consultant to support the improvement and set up a simplified land registration and management system adapted to the informal areas

w/m 2 12,000 24,000 24,000 0

Set up, testing and fine-tuning of a simplified land registration and management system adapted to the informal areas (as part of the AoC with LCC)

Lumpsum 30,000 20,000 10,000



Unit Cost

Total Costs

MCC Request


Organization of two inter-sectorial consultative workshops for delineating a comprehensive urban upgrading framework of Lusaka

Per event 2 35,000 70,000 50,000 20,000



Unit Cost

Total Costs

MCC Request


Hiring of International Consultant to support the drafting and finalization of the urban upgrading framework of Lusaka city

w/m 3 12,000 36,000 24,000 12,000

Analysis of the results obtained during field surveys and additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas (as part of the AoC with LCC)

Lumpsum 20,000 20,000 0

Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft

Per event 1 35,000 35,000 25,000 10,000


� Budget requirements to carry out activities planned under Specific Objective 4 within the

Preparatory Phase:

Planned Activities 4.1 to 4.3 Unit Nr of Units

Unit Cost

Total Costs

MCC Request


Expert and informal meetings Per meeting 10 1,000 10,000 0 10,000

Sub-Total Planned Activity 4.1 to 4.3 within the Preparatory Phase 10,000 0 10,000

Total budget required for the Preparatory Phase Total Costs MCC

Request UN-Habitat Co-Funding

Sub-Total Costs of the Preparatory Phase 1,047,000 786,000 259,400

UN-HABITAT Administrative Costs (10%)* 78,600 78,600 n.a.

Total Costs of the Preparatory Phase 1,126,000 864,600 259,400

*NB: Administrative costs are applied to the MCC request only. These costs are meant to cover the administrative staff time at UN-Habitat Head Quarters to process all procurement, recruitment and payment operations according to the UN rules and regulation. These operations are subject to regular auditing.

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� Total Costs for the Implementation Phase (corresponding to Years 2 and 3) in USD: � Key Personnel, Equipment and Other Costs under the |Implementation Phase:


Unit Cost

Total Cost

MCC Request





Programme Management Officer (20%) w/m 24 2,000 0 0 48,000








Unit Cost

Total Cost

MCC Request







Unit Cost

Total Costs

MCC Request


Hiring of 2 national experts to be embedded in the LCC structure (as part of the AoC with LCC) w/m 48 1,500 72,000 48,000 24,000

Hiring of one national senior expert to second the MLGH w/m 24 3,000 72,000 48,000 24,000

Training interactive sessions to LCC and MLGH Per session 6 5,000 30,000 20,000 10,000



Unit Cost

Total Costs

MCC Request


Hire a Senior National Consultant to carry out an institutional capacity development needs assessment to implement the UUF

w/m 3 6,000 18,000 12,000 6,000

Organize a workshop to define a capacity development strategy and action plan for implementing the UUF

Per event 1 35,000 35,000 25,000 10,000


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Unit Cost

Total Costs

MCC Request


On-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support

Per session 10 1,000 10,000 8,000 2,000

Sub-contract for preparing the needed technical plans and designs with all specifications for implementation

Lumpsum 50,000 40,000 10,000



Unit Cost

Total Costs

MCC Request


Application of the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions (as part of the AoC with LCC)

Lumpsum 30,000 20,000 10,000

Grant to support families to be affected by the infrastructure development projects** Lumpsum 100,000 80,000 20,000



Unit Cost

Total Costs

MCC Request


Grant for opening feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities**

Lumpsum 390,000 330,000 60,000

Local sub-contracts for construction of basic, social and/or economic facilities using low-cost, innovative and environmental-friendly techniques**

Lumpsum 390,000 330,000 60,000

Grant for stimulating housing improvement/ development schemes for those households with secure tenure**

Lumpsum 160,200 160,200 31,800


**NB: The exact number of: (i) families affected by the works to be supported, (ii) meters of feeder roads to be opened, (iii) meters of secondary and tertiary drainage channels to be constructed, (iv) basic, social and/or economic facilities to be built and (v) families to be supported through the housing improvement/ development schemes, is to be determined only once the field surveys are carried out, the participatory planning sessions at the neighborhood level will be conducted and the technical plans and designs with all specifications will be prepared.


Unit Cost

Total Costs

MCC Request


Establish community structures with urban management responsibilities and organize regular community consultations (as part of the AoC with a CBO)

Per consultation 10,000 8,000 2,000

Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, etc. (as part of the AoC with a CBO)

Lumpsum 60,000 50,000 10,000


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Implementation Phase:


Unit Cost

Total Costs

MCC Request


Expert and informal meetings Per meeting 20 1,000 20,000 10,000 10,000

Sub-Total Planned Activity 4.1 to 4.3 within the Implementation Phase 20,000 10,000 10,000

Total budget required for the Implementation Phase Total Costs

B.5 Project Concept Notes

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CONCEPT NOTE

WATER AND SANITATION IMPROVEMENT PROJECT (WSIP)

CITY OF LUSAKA, KANYAMA SETTLEMENT

1.1. SUMMARY OF THE ACTION

Title of the action: Water and Sanitation Improvement Project (WSIP)

Location(s) of the action: Kanyama Ward 10 and 11, City of Lusaka, Zambia

Total duration of the action (months): 36 months

Amount (in EUR) of requested EU contribution

350,000.00

Objectives of the action <Overall objective(s)> To improve access to potable water and decent sanitation in the urban informal settlements of Zambia and contribute towards MDG7 for water and sanitation

<Specific objective(s)> To increase access to clean water and decrease the risk of water borne disease outbreaks.

Enhance hygiene practices in Kanyama settlement

To pilot improved sanitation technology options and contribute to the establishment of a sanitation revolving fund in Kanyama settlement.

To sensitise and train community members on the use and maintenance of different sanitation technology options.

Target group(s)1 Kanyama Residents without access to water and sanitation

Final beneficiaries2 The residents of Kanyama, Lusaka City Council, MLGHEEEP, LWSC

Estimated results Improved access to potable water, improved sanitation & hygiene, reduce susceptibility to diarrheal diseases and related deaths.

Main activities Stakeholder mobilisation, sensitisation and engagement

Identification of priority areas in Kanyama settlement

GIS mapping of water points and sanitation.

Construction of water points

Construction of sanitation options

Hygiene promotion

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1.2. RELEVANCE OF THE ACTION

Preliminary 2010 results of the census of population and housing estimates the population of Kanyama to be around 366,170 people, Kanyama (CSO, 2010). Kanyama is one of the oldest and largest unplanned settlements of Lusaka’s population. Occupying an area of approximately 366,7373 square meters, Kanyama is one of the closest unplanned settlements to the Central Business District (CBD) of the City of Lusaka, the capital of Zambia. In the late 1990’s, the Lusaka City Council (LCC) declared Kanyama an Improvement Area (IA). This means that Kanyama is a recognised settlement which receives government support and occupiers of plots can obtain tenure. According to Ward Development Committee of Kanyama, Kanyama is serviced by 130 water points, 1000 individual water connections 140 ecosan toilets, 3700 traditional toilets catering for 138,000 residents, 8 communal toilets in markets. These figures indicate that there is need to scale up the availability of portable water and decent sanitation to meet the demand which is still growing.

• In addition to the growing demand for water, more than 40% of households have shallow wells to supplement the inadequate water supply. These are prone to pollution from pit latrine effluent when the latrines flood.

• Majority of families share traditional toilets (pit latrines) with a staggering 6 households to 1 latrine (average family size in Zambia is 6, therefore one latrine is used by 36 or more people).

• Due to the inadequate and in some cases lack of toilets Kanyama residents have resorted to ‘flying toilets’ i.e. using opaque beer packets and plastic bags to dispose of excreta waste which they throw on the road or on people’s roof tops.(NWASCO,2005)

• Pit latrines tend to flood during the rainy seasons when the settlement is affected by floods. This exposes effluent from the latrines, causing a public health risk.

Kanyama settlement has been plagued with a high incidence of cholera outbreaks, apart from that the settlement has a high incidence of diarrheal diseases. Therefore improving access to potable water and improving sanitation will ameliorate the situation. According to a Reliefweb report in March 2010 Lusaka recorded a total of 2,521 hospital admission, at least 41 deaths. Kanyama recorded the highest number of new admissions among other settlements which included Chipata, Kamwala, Chawama, Kuku, Misisi, Mandevu, George, Matero and Makeni (Reliefweb 2012).

• The government continues to spend millions of kwacha on the treatment of diseases caused by poor water and sanitation therefore this will assist in reducing government’s expenditure on treatment of such diseases.

• Time spent away from work and school will also be reduced if people are in better health. • Improved access to water and sanitation may contribute to reducing the risk of

opportunistic infections among persons with a compromised immune system, like those living with HIV/AIDS.

This project when implemented will support the Government of the Republic of Zambia (GRZ) to contribute to MDGs 7 to improve the lives of at 100 million slum dwellers by 2020 and to halve the proportion of people without sustainable access to safe drinking water and basic sanitation by 2015. The project fits into the Zambia’s vision of “A Zambia where all users have access to water and sanitation and utilise them in an efficient and sustainable manner for wealth creation and improved livelihood by 2030”. The project will also be in line with Zambia’s Sixth National Development Plan (SNDP) by contributing to ‘achieving 75 % accessibility to reliable safe water

3 Kanyama Ward 10 Development Plan, October 2008

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and 60 % adequate sanitation by 2015 in order to enhance economic growth and improve the quality of life’. (SNDP 2011: 103) In June 2011 an Agreement of Cooperation (AoC) was signed between the Ministry of Local Government and Housing (MLGH) and UNHABITAT to implement the Participatory Slum Upgrading Programme (PSUP). Through this AoC, a participatory planning session was held on 16th December 2011 at the Constituency office in Kanyama to reconfirm priority upgrading interventions. In attendance were 35 Kanyama Ward Development Committee Representatives from all 13 zones, representatives of Community Based Enterprises, Lusaka City Council Officials and UNHABITAT. After deliberations, discussion and use of the pairwise ranking methodology a list of priority interventions was established as indicated in column 1 of table 1. However, after further discussion and voting, priority interventions were determined as indicated in column 2 of table 1 below, with water and sanitation clearly coming out among the top three priorities. This also falls in line with priorities identified in the Kanyama Ward 10 Development Plan of 2008. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Methodology









Office Post Office 8 Recreation Bank 9 Bank

It is anticipated that by the completion of this project, residents of Kanyama settlement will have increased access to potable water, improved sanitation & hygiene practices leading to a reduction in susceptibility to diarrheal diseases and related deaths.

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1.3. DESCRIPTION OF THE ACTION

Consultations with the MLGH and LCC in October 2011 identified Kanyama Settlement as a priority area for Water and sanitation. In the last 5 years UNICEF, through its implementing partners, has initiated a number of projects and programmes in water that has led to a reduction in the incidence of cholera and dysentery in the rainy season. The Kanyama Ward 10 Development Plan of October 2008, discussions held with community leaders including the Participatory Planning Session held in December 2011, with key community leaders indicated that water and sanitation was a key priority. The Objectives of the WSIP are therefore to

Improve access to potable water and decent sanitation in the urban informal settlements

of Zambia and contribute towards MDG7 for water and sanitation. Increase access to clean water and decrease the risk of water borne disease outbreaks.

Increasing access to safe water and improved sanitation, will contribute to reduction in hours spent away from school and livelihoods because of disease. This would also assist in reducing the risk of susceptibility to opportunistic infections by person with a compromised immune system like those living with HIV/AIDS.

Enhance hygiene practices in Kanyama settlement: Poor hygiene practices in many unplanned settlements have led to water borne and other communicable diseases to spread rapidly. Kanyama has had cholera outbreaks every rainy season except in the 2011 rainy season.

Pilot improved sanitation technology options and contribute to the establishment of a sanitation revolving fund in Kanyama settlement: More than 40% of Kanyama residents use traditional pit latrine which are shallow and poorly constructed, usually with no roof, and overflow during the rainy season spilling effluent. Others use ‘flying toilets’ as a sanitation option posing significant health risks to community inhabitants.

Sensitise and train community members on the use and maintenance of different sanitation technology options: This is a way to ensure that technical capacity in the community is increased.


Stakeholder mobilization, sensitization and engagement

Awareness among stakeholders

Organised stakeholders to implement the project

LWSC, WDC,LCC,

MLGH

Organised Community Members ZHPPF

UN-HABITAT

Implementation team

Improved community cohesion

Improved stakeholder collaboration

Established community M&E team

Established of sanitation revolving fund

Acceptance of technology options and skill on maintenance

identification of priority areas Kanyama settlement

Report on the priority areas

LWSC, WDC,LCC,

MLGH

Priority areas identified for implementation

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Community Members , ZHPPF

UNHABITAT

GIS mapping of water points and sanitation.

Map of Kanyama settlement indicating water points and toilets in the settlement.

Report on the settlement

LWSC, Water Affairs Dept. LCC, WDC, Organised Community Members, ZHPPF

precise identification of areas where new infrastructure can be constructed

Construction of water points

Constructed water points

LWSC,WDC,LCC,

MLGH

Organised Community Members ,ZHPPF

UNHABITAT

-Improved community cohesion

Increased stakeholder collaboration

Improved access to potable water

Reduced susceptibility to water borne diseases

Reduce number of hours spent on fetching if water points are brought closer

Construction of toilets Constructed toilets WDC,LCC

MLGH

Organised Community Members, ZHPFF

Improved and increased access to decent sanitation

Reduce susceptibility to poor sanitation induced diseases

-Improved community capacity

-Increase in income for community members who take part in the construction

Hygiene Promotion IEC materials, community meetings, door to door meetings, road show and drama

WDC,LWSC, LCC, NGOs, Community members, ZHPPF

MLGH,

-Reduction in susceptibility to disease. -Reduction in time spent away from school and livelihoods due to diseases brought on by poor hygiene -Reduction in vulnerability to water borne diseases -Coordination between MLGH,LCC & WDC and the community

TIME FRAME: The project is expected to take 36 months. This time frame takes into consideration the time it will take to reach consensus on the location of additional water points and the form and location of sanitation options. It is anticipated that local political players will accept the programme and cooperate with external stakeholders.

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1 2000 Zambia Census of Populación and Housing| 2LCC Public Health Department, 1993

3Kanyama Ward 10 Development Plan, October, 2008 4Lusaka City Council Waste Management Unit, 2010

1

CONCEPT NOTE SOLID WASTE MANAGEMENT IMPROVEMENT PROGRAMME


Title of the action: Solid Waste Management Improvement Programme (SWMIP)

Location(s) of the action: ‐ Kanyama Settlement, Lusaka, Zambia Total duration of the action (months): 24 months Amount (in EUR) of requested EU contribution

350,000

Objectives of the action

Overall objective(s): To improve the environment and living conditions of the urban poor community through sustainable, replicable and poverty oriented management of solid waste urban centers in Zambia , contributing to MDG 7 Specific objective(s): (i). To reduce susceptibility to disease caused by unmanaged solid waste (ii). To sensitize community members on the dangers of

indiscriminate solid waste disposal. (iii). To build capacity of solid waste Community Based

Enterprises (CBEs) and work with partners to train more

Target group Kanyama Residents

Final beneficiaries

Kanyama Residents, CBEs, Lusaka City Council (LCC), Ministry of Local Government, Housing, Early Education and Environmental Protection (MLGHEEP) and District Health Management Team (DHMT).

Estimated results

• Reduction in susceptibility to disease • Increase community awareness of the dangers of

indiscriminate dumping of solid waste • Fewer people dumping solid waste in undesignated

areas • Reduction in heaps of historical solid waste

Main activities

• Sensitization meetings with various stakeholders on sustainable community solid waste management

• Printing & dissemination of Information Education & Communication (IEC) materials & by‐ laws on solid waste management.

• Conducting road shows and drama performances on dangers of indiscriminate dumping of solid waste.

• Consultative meetings with existing Community Based Enterprises (CBEs) for solid waste & equipping them with basic tools

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2


Lusaka the Capital City of Zambia, is the fastest growing city in the country. It has an annual growth rate of 3.5 % compared to the national growth rate of 2.5%1. The population of Lusaka is estimated to be 1.4 million people, of which 70% reside in unplanned settlement. High population growth rate in Lusaka has led to more solid waste being generated by the residents. In a study conducted by Lusaka City Council’s (LCC) Directorate of Public Health in 1993, about 1400 tonnes of waste is generated on a daily basis, of which only 10% is collected by Lusaka City Council2. Lusaka City Council has not been able to collect solid waste due to lack of equipment and funds. In 2004, the Council enacted a By‐law, Lusaka City Council (Municipal Solid Waste Management) By‐laws, 2004, compelling people to pay for solid waste management. However, compliance by residents, particularly those in unplanned settlements, in using and paying for solid waste services has been very low due to poor attitudes towards solid waste management. Thus, residents have continued to dispose their waste in undesignated places. Kanyama is one of the unplanned settlements that has a serious problem of solid waste management. The settlement is one of the oldest and largest unplanned settlements occupying an area of approximately 366,7373 square meters and closest to the Central Business District. The settlement was legalized in 1999 by the Government in accordance with the Housing (statutory and Improvement Areas) Act 194 of the Laws of Zambia. Being an unplanned settlement, Kanyama has limited space for location of receptacles (waste bins, containers) and poor road infrastructure to facilitate for the movement of waste collection equipment, thereby resulting in huge amount of uncollected garbage. The problem of uncollected solid waste has been compounded by illegal CBEs which charge lower fees for solid waste collection. The illegal CBEs collect solid waste from one area and dump it in the drain or in an illegal area. The large quantities of uncollected garbage in Kanyama settlement has significantly contributed to air pollution through release of bad odour. Further, solid waste in Kanyama settlement includes fecal matter which is a source of contagios deseases such as cholera. The estimated results of Solid Waste Management Improvement Programme (SWMIP) is therefore to: • Reduce Kanyama residents susceptibility to disease; • Increase community awareness of the dangers of indiscriminate dumping of solid waste

leading to; • Fewer people dumping solid waste in undesignated areas; • In collaboration with partners, reduce heaps of historical solid waste in Kanyama. In June, 2007 the late President Levy Patrick Mwanawasa launched the ‘Make Zambia Clean and Healthy Campaign’ in Lusaka (www.lusakatimes.com/.../levy‐launches‐make‐zambia‐clean‐and‐heal). The programme is aimed at helping and facilitating the making of all home, communities, villages, towns and cities clean. The Programme is a government backed multi‐sectoral, multi‐disciplinary campaign that hopes to include all sections of society in an on‐going effort to achieve a cleaner and healthier environment, which is in line with MDG 7. Lusaka City Council has partnered with CBEs in unplanned settlements in an attempt to provide effective solid waste management services4. The CBEs are responsible for day‐to‐day collection of waste from households to a container stationed at a central place. The Council through the waste management section is then responsible for the transportation of the waste from the containers

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3

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

• The programme will build community led capacity in solid waste management • Strengthen linkages between LCC and CBEs

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4

• Will be a source of income and livelihood for community members involved in solid waste management thereby contributing to poverty reduction

1.3. DESCRIPTION OF THE ACTION

The basis for selecting Kanyama as a priority settlement was derived from consultations with MLGHEEP and LCC in October, 2011 which identified the settlement as a priority. Further, it was derived from the Kanyama Ward 10 Development Plan of October, 2008.

The selection of Kanyama was also based on a community meeting held in Kanyama settlement on 16th December, 2011 which identified solid waste issues as priority number two. The meeting was held at the Constituency office in Kanyama and in attendance were; 35 Kanyama Ward Development Committee representatives from all 13 zones, representatives of Community Based Enterprises, Lusaka City Council officials and UN HABITAT. Table 1 below gives the list of priorities and method used by residents to arrive at solid waste management as priority number two.

Table 1: List of Priority Intervention as Determined by Kanyama Residents

Ranking Pairwise Methodology Priority Ranking After voting

Solid Waste Collection 1 Roads and Drainages

Water and Sanitation

Clinic

High School


Roads and Drainage

Establishing Local Council Office to deal with land matters


House Numbering and Security of tenure

4 House Numbering and Security of tenure

Modern Market 5 Clinic

Recreation 6 High School

Shopping Mall 7 Establishing Local Council Office to deal with land matters

Post Office 8 Recreation

Bank 9 Bank

LCC is also in favor of this priority and that the Council has been working with CARE International Zambia and Lusaka Water and Sewerage Company (LWSC) in implementing a two and half year project called Promoting Peri‐Urban Sanitation Services (PPURSS) in the Peri‐urban settlements

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5

of Chaisa, Chipata and Kanyama. The project focused on fostering improvements in the areas of solid waste management, storm water drainage, household toilets and public fee paying toilets. Further, LCC has been working with the community on solid waste management in the past year 6 years.

The objectives of the SWMIP are therefore to:

• Improve the environment and living conditions of the urban poor community in Zambia and contribute to MDG 7: With a large percentage of the city’s solid waste uncollected over the years, the quality of Lusaka’s environment has drastically deteriorated. The large mounting pile of rotting garbage in the city is a major source of pollution;

• Reduce Kanyama residents’ susceptibility to disease caused by unmanaged solid waste: Large amounts of uncollected solid waste are not only associated with offensive odours, but also attracts flies, rodents and cockroaches, which contribute to the spread of diseases.

• Sensitise community members on the dangers of indiscriminate solid waste disposal: The attitude of the residents to use and pay for solid waste management services established by the council is poor. Most residents dispose their waste in undesignated places such as in drains and the road side. Further, most residents are unaware of the Lusaka City Council (Municipal Solid Waste Management) By‐laws, 2004 compelling residents to use and pay for solid waste management services provided by the Council.

• Build the capacity of solid waste Community Based Enterprises (CBEs) and work with partners to train more: Due to limited capacity of Lusaka City Council to collect waste and congestion of structures in Kanyama, the Council has entered into partnership with community organisations (CBEs) to collect solid waste from individual households to a central place which is accessible by huge equipment. However, many of the CBEs are poorly trained in handling waste and lack basic tools to operate effectively.

Below are some of the anticipated activities, their related outputs and expected results.

Table 2: Anticipated activities, Related outputs, Responsible Organisation and Expected Results

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6

Anticipated Activities Related outputs Responsible Organisation

Expected Results

Sensitisation of various stakeholders on sustainable community solid waste management

Community awareness on the dangers of indiscriminate dumping of waste. Community awareness on the existing solid waste regulations

Lusaka City Council (LCC), Ward Development Committee (WDC). Community Based Solid Waste Enterprises (CBEs), UNHABITAT

Fewer people dumping solid waste in undesignated dumping areas.

Reduction in heaps of historic solid waste

Reduction in susceptibility to disease.

Consultative meetings with existing CBEs & equipping them with basic tools.

Capacity constraints affecting the operations of CBEs identified. Equipping CBEs with basic tools in waste management.

LCC, WDC, CBEs, NGOs, UNHABITAT

Effective management of solid waste by CBEs. Reduction in heaps of historic solid waste Increase income to community members who are involved.

Printing and dissemination of IEC materials

IEC materials on solid waste management printed and disseminated.

LCC, WDC, CBEs, NGOs, UNHABITAT

Fewer people dumping solid waste in undesignated dumping areas. Reduction in heaps of historic solid waste.

TIME FRAME: It is anticipated that this initiative will be undertaken in 24 months assuming that the government and community support and participation takes place as has been indicated during consultative meetings. The time frame also takes into account some delays resulting from community consultations to secure lasting agreements.

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CONCEPT NOTE CITY OF LUSAKA, KANYAMA SETTLEMENT


Title of the action: Feeder Roads and Drainage Improvement Initiative (FRDII)

Location of the action: Kanyama Settlement Ward 10 & 11, City of Lusaka, Zambia

Total duration of the action (months): 24 months

Amount (in EUR) of requested EU contribution

350,000

Objectives of the action <Overall objective: To im prove the qualit y of life of Zambian citizens living i n urban unplanned settlements an d contribute towards MDG 7

<Specific objectives: To improve the key feeder road & secondary or tertiary drainage network thereby reducing susceptibility to flooding and the associated risks of disease and disruption to infrastructure in Kanyama; :To empower women and men in Kanyama through labour based techniques as they improve the physical living conditions in their neighbourhood; :To support increased collaboration among Lusaka City Government actors and other stakeholders.

Target group Residents of Kanyama

Final beneficiaries Residents of the City o f Lusaka, Lusaka City Council, Ministry of Local Government and Housing,

Estimated results Reduction in susceptibility to flooding & disruption to infrastructure and related investments

Reduction in vulnerability to water borne diseases Easy access to the settlement and to essential services Reduction in urban poverty Improvement in Coordi nation between the Ministry of

Local Government and Housing, Lu saka City Council and Ward Development Committee

Main activities Meet with community le aders to Identif y ke y feeder roads & secondary or tertiary drainage to be constructed

Mobilize and sensitize community Produce layout plan to show costing of identified feeder

roads & drainage Identify & Mark affected structures for relocation if any Meet & S ensitize af fected residents and negotiate

relocation if any Construction of identified feeder roads & secondary or

tertiary drainage

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With an estim ated population of 366,170 1 people, Kanyam a is one of the oldest and largest unplanned settlements in Lusaka accounting for just under one-eighth of Lusaka’s population. Occupying an area of approxim ately 366,737 2 square m eters, Kanyama is one of the c losest unplanned settlem ents to the Central Business District (CBD) of the City of Lusaka, the Capital of Zambia. In the late 1990’s, the Lusaka City Council (LCC) declared Kanyama an Improvement Area (IA). This m eans that Kanyama is a recognised settlement which receives govern ment support and occupiers of plots can obtain tenure. However, despite Centr al Governm ent comm itment to pro vide dev elopment f inance to IA’s, severe budget constraints have preven ted adequate financial support from being directed to wards IA’s . Perhaps the m ost consistent h as been th e Constitue ncy Development Fund (CDF). In most instances government has relie d on donor support to provide infrastructure and services to IA’s and many other cases has only been compelled to respond to critical needs in IA’s when there are pendin g disasters or actual disasters occur. Since the 1960’s Kanyama has experienced 5 devastating floods3 leaving behind a trail of destruction and disease. In 1996 and 2008 th e Programm e Urban Self Help (PUSH) through funding from t he Disaster Managem ent and Mitigation Unit (DMMU) in the Vice President’s Office, conducte d rehabilitation of a few ke y feeder roads and drains through food- for-work programm es. Since th en, only community coordinated efforts through the Ward Development Committee (WDC) has been conducted. From the second week of December to the end of January, Lu saka experiences flooding, worst affected is Kanyama, in which som etimes the whole settlem ent is flooded. The estim ated results of the Feeder Roads and Drainage Improvement Initiative (FRDII) are therefore to: Contribute to a reduction in susceptibility to flooding & disruption to

infrastructure and related investments Contribute to a reduction in vulnerability to water borne diseases Improve access to the settlement and to essential services Contribute to a reduction in urban poverty Contribute to i mprovements in Coordina tion between the Ministry of Local

Government and Housing, Lusaka City Council and Ward Developm ent Committee

Recently, a Com prehensive Urban Developm ent Plan (CUDP) has been prepared and approved, for the City of Lusaka, with the support of the Govern ment of Japan through the Japan International C ooperation Agency (JICA). The CUDP indicates that priority informal areas of Lusaka to be upgraded or renewed in the short term are those closer to the city. Theref ore, the f ollowing m ain criteria we re applied to selec t Kany ama settlement:

1 Central Statistics Office Census 2010 2 Kanyama Ward 10 Development Plan, October 2008 3 Floods experienced in 1968,1978,1990,2001,2008: Kanyama Ward 10 Development Plan, October 2008

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Priority inform al areas presented b y th e gov ernment of Zam bia to M illennium Challenge Corporation, while discussing the Lusaka W ater Sewerage, Sanitation Drainage program (LWSSD);

Priority informal areas as described in the CUDP supported by JICA, which puts distance from the central busines s district (CBD) as one of the m ain crite ria, because urban renewal in those areas could be more attractive for investments;

Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further. Form Dec ember 2007 to the end of January 2008 the CUDP identifies 21 frequently inundated areas, 14 of which were seriously damaged, Kanyam a is at the top of the li st with alm ost the entire settlem ent flooded during this period;

Level of poverty of slum dwellers. According to the CUDP, Kanyama settlement (and John Laing) shows a poor but partial grid network and is much prone to flooding. In addition, according to the surveys carried out during the elaboration of the C UDP, the population living in this area is poorer than in similar settlements. Importantly Kanyama (which is adjacent to John Laing), constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the suppor t of the MCA-Zam bia, as part of the series of pre-feasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of “closed catchment” which suffers from severe flooding after a storm event. In term s of nu mber of people, the population of Kanyam a and John Laing was the m ost affe cted during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement. When consulting with the MLGH and the Lusaka City Council (LCC), it was confirmed that Kanyama is a suitable and priority area for UN-Habitat intervention under this proposal. Some data already exists for this informal neighborhood, which can be found in the CUDP pre-f easibility study , but spe cific surv eys and asses sments, especially regarding feeder roads and secondary or ter tiary drainag e still needs to be collected. Importantly, Kanyama is being co nsidered as priority a rea for implementing the water supply component of the MCC/MCA- Zambia which would create sign ificant synergies with the im provements envisaged under the Agreement of Cooperation (AoC) for Participatory Slum Upgrading Programm e (PSUP) in Zam bia signed in June 2011 between UNHABITAT and the MLGH. Through this AoC, a participator y planning session was held on 16 th December 2011 at the Constituency office in Kanyama to reconfirm priority upgrading interventions. In attendance were 35 Kanyama Ward Development Committee Representatives from all 13 zones, representatives of Community Based Enterprise s, Lusaka City Council Officials and UNHABITAT. After deliberations, discussi on and use of the pairwise ranking m ethodology a list of priority interventions was established as indicated in column 1 of table 1. However, after

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further discussion and voting, pr iority interventions were determ ined as indicated in column 2 of table 1 below, with roads and drainage clearly coming out as the top priority. Table 1: List of Priority Interventions as Determined by Kanyama Residents Ranking Pairwise Methodology









Office Post Office 8 Recreation Bank 9 Bank This intervention, especially when implem ented through labour base d techniques, will also have a significan t impact on Kanyam a settlement, which has a hig h population of predominantly young and unemployed women and men.

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Meet with community le aders to Identify key feeder roads & secondary or tertiary drainage to be constructed

Key feeder roads & secondary dr ainage for rehabilitation identified and agreed

WDC,LCC,

MLGH

ZHPF

UNHABITAT

-Key feeder roads & secondary drainage for rehabilitation identified and agreed


Mobilize and sensitize community Community understanding and commitment to participate in the initiative secured

WDC,LCC,

MLGH

ZHPF

UNHABITAT


-Improved community co hesion & solidarity

Produce layout plan t o show costing of identified feeder roads & drainage

Layout Plan, identif ying the feeder roads & drains to be constructed and their related costing produced

LCC,MLGH Production of Layout Plan

Identify & Mark affected structures for relocation if any

Structures to be relocated marked & identified with community participation and agreement

WDC,LCC,

MLGH

ZHPF

UNHABITAT


-Improved community co hesion & solidarity

Meet & Sensitize affected residents and negotiate relocation if any

Secure agr eement fro m affected co mmunity members to relocate & identify areas for relocation

WDC,LCC

MLGH

ZHPF

UNHABITAT

Community Participation

Construction of identifie d feeder roads & secondary or tertiary drainage

Report of feeder roads & drains constructed

WDC,LCC

MLGH

-Reduction in susceptibility to flooding & disruption to infrastructure and related investments -Reduction in vulnerability to water borne diseases -Easy access to the settlement and to essential services -Reduction in urban poverty -Coordination between MLGH,LCC & WDC

-Improved community Capacity

-Increase in income for co mmunity members who take part

TIME FRAME: It is anticipated that this initiative will be undertaken in 24 months assuming that Government and co mmunity sup port and pa rticipation takes plac e as has been ind icated during consultative meetings. The time frame also takes into account som e delays resulting from community consultations to secure lasting agreement.

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ANNEX

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APPENDIX 1

KANYAMA PARTICIPATORY PLANNING MEETING – CONSTITUENCY HALL

FRIDAY 16TH

DECEMBER 2011

ATTENDANCE LIST

NAME ORGANISATION MOBILE NUMBER

1 LYAMBA MUBIANA WDC ZONE 10 0975 814113

2 FRANCIS MUMBA DRR ZONE 13 0977 496544

3 CHRISTOPHER LUO CHAIRMAN ZONE 13 0977 413033

4 ROBERT MAKAYI LEADER ZONE 5 0977 645039

5 JOHN POLE LEADER ZONE 1 0977 686165

6 HABIBA MWAMBILWA ZONE 1 0978 183663

7 MARY M NONDE SECRETARY ZONE 7 0975 177945

8 PENLOPE LIKWASI V CHAIR ZONE 11 0979 164647

9 ASHA MWAMBILWA LEADER ZONE 1 0979 603320

10 TRACY KONDISHOLA LEADER ZONE 11 0976 222034

11 CHRISTOPHER BANDA SECRETARY ZONE 11 0977 798227

12 JOEL MPULUBUSI ZONE 15 0977 822374

13 GEOFREY CHISHIBU CHAIRMAN ZONE 8 0977 707416

14 LISTON LWENDO ZONE 3 0979 892181

15 EDDIE MAKAYI ZONE 3 0977 524265

16 NOAH P MWANGOLA ZONE 9 0977 408930

17 JAMES BAKALA CHAIRMAN ZONE 2 0976 797142

18 PATRICIA SAKALA WDC V/SECRETARY 0976 775142

19 AGGIE BANDA SECRETARY ZONE 10 0977 300087

20 MABUMBO MUHAU DRR CHAIR ZONE 10 0977 121448

21 WANALU LIKANDO KASWAMA CBE 0976 625394

22 AGNESS MUTEMA ZONE 3 0979 821480

23 JOYCE SAKALA V/CHAIR ZONE 2 0977 240948

24 CONSTANCE SAKALA CHAIR ZONE 4 0978 092977

25 LILIAN SOSALA SECRETARY ZONE 9 0977 633356

26 VICTOR CHILAPU LCC KANYAMA 0977 418991

27 ESNART MAKUSA ZONE 8 0964 821970

28 MULIMBA YASINI LCC A/ DIR HOUSING 0979 894086

29 MARTIN PHIRI LCC 0977 807612

30 LEONARD CHEELO CBE 0979 846018

31 PATRICIA MATONGO ZONE 12 0977 504988

32 CHRISTINE MWAMBILWA WDC FACILITATOR 0977 619898

33 ROSEMARY TELEBWE WDC 0977 392691

34 DORIS MWANGA WDC 0977 421436

35 SUSIKU NASILELE WDC 0977 310327

36 ALEXANDER CHILESHE UNHABITAT 0966 728156

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Application to MCC-11-0058-RFA-15

Submitting Agency: United Nations Human Settlements Program (UN-Habitat)

Project Proposal: Settlement Upgrading and Urban Development Program in Zambia

Budget Requested through a Cooperative Agreement with MCC:

2,997,720 USD (including 10% of Administrative Costs)

Resources to be leveraged: 800,000 USD

Total Project Costs: 3,797,720 USD

Proposed Duration: 3 years Executive Summary This Application by the United Nations Human Settlements Program (UN-Habitat) is a request for funding to provide technical assistance to the Government of Zambia (GoZ) on settlement upgrading and urban development in Lusaka. It is prepared at the request of the Millennium Challenge Corporation (MCC) in cooperation with GOZ pursuant to MCC-11-0058-RFA-15. The Application builds on a preliminary concept note submitted by UN-Habitat to MCC in May 2011 and MCC recommendations included in the RFA. It also draws upon periodic consultations between UN-Habitat and MCC, both in Zambia and Washington in 2010 and 2011. The technical support outlined in this proposal will assist GoZ address the significant need in urban areas for affordable housing and land tenure solutions, access to environmentally-sound infrastructure (water, sanitation and transport), enhanced urban planning and management, and innovative financing. Funding secured through the RFA will enable UN-Habitat and MCC enhance ongoing initiatives in Zambia by working with the government to develop an urban upgrading framework for integrating the various elements of settlement improvement. The framework will strengthen efforts of the national government and local authorities to incorporate informal, unplanned settlements as part of larger urban development strategies for Lusaka, including the Comprehensive Urban Development Plan (CUDP) funded by the Government of Japan. It will also serve as a mechanism for coordinating and leveraging private and donor support over time. This will align the assistance of MCC and UN-Habitat to the existing and future investments of the wider United Nations system, the World Bank, several bilateral agencies; as well as facilitate private sector partnerships. As discussed by senior officials of the two institutions in Washington in March 2011, modest investments in settlement upgrading and urban development have significant rates of return. Improvements in the conditions of informal settlements produce positive health outcomes and enhance worker productivity. They also attract private investment and, if combined with basic grid planning, offer a strategy for capturing land value. This in turn can finance public investment in infrastructure and basic services. Smart growth of this kind doubles as a strategy for disaster risk reduction and adaptation to climate change, especially in settlements vulnerable to flooding. Active participation in the planning process by settlement residents not only enhances the success of upgrading. It also fosters urban citizenship, increases the likelihood of accountability of local government, and produces a revenue stream widening the city’s tax base. MCC is currently pursuing water and sanitation initiatives (LWSSD) in settlements of Lusaka as part of its future compact with the GoZ (2012-2016). It also has internal capacity to support land administration and tenure solutions and has partnered with the UN-Habitat Global Land Tool Network. UN-Habitat is supporting a number of member States in Sub-Saharan Africa within its Regional Slum Upgrading Initiative that includes Zambia. The agency has worked historically in

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cities in Zambia on local government capacity building and water and sanitation initiatives, and enjoys a strong working relationship with the Ministry of Local Government and Housing. The wider United Nations system in Zambia, including the WFP, UNICEF, and FAO is keen to draw upon the leadership of UN-Habitat to elevate urban development. The recently signed UN Development Assistance Framework incorporates urban issues providing inter-institutional support for this program, the LWSSD, and the Compact. What follows is a detailed narrative of the proposed, three-year settlement upgrading and urban development program for Lusaka that anticipates a two-step approach: a preparatory phase of one year followed by a two-year implementation phase. UN-Habitat is currently directing funding from its regional initiative to prepare the groundwork and cost-share. Upon securing grant funding, the agency will scale up its efforts in Lusaka to engage partners, build consensus for the urban upgrading framework, field-test tools and instruments, embark on capacity development, and effect settlement improvements. In consultation with GOZ, UN-Habitat has identified Kanyama and John Laing. The first settlement is within the LWSSD portfolio while the latter is adjacent to it, thus providing distinct opportunities for synergy.

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1. Background/Problem Statement 1.1. General information

Zambia is one of the most urbanized countries in Sub-Saharan Africa owing to its historical place in the political economy of southern Africa. According to the preliminary results of the 2010 census its urban population is over 40% (second only to South Africa in the sub-region) and is concentrated in Lusaka and the Copper Belt Cities of Ndola and Kitwe, while rural areas remain under-populated. In these cities more than 60% of the population lives in unplanned settlements. Physical infrastructure and services in these informal urban areas are either missing or inadequate, and otherwise in poor condition. Common features in the unplanned settlements are overcrowding, inadequate water supply, deteriorated environmental conditions characterized by poor sanitation, poor drainage, uncollected solid waste and more importantly unsecured land tenure and inadequate housing for most of the population. The quality of the environmental conditions found in these areas are likely to degenerate progressively with the increasing population as more and more people opt to settle there. These settlements are subjected to devastating flooding during the rainy season. Households affected by such disasters are often displaced and lose shelter and sources of livelihood. They also suffer from diseases such as malaria and cholera.

Specifically for the city of Lusaka, a Comprehensive Urban Development Plan (CUDP) has recently been prepared and approved with the support of the Government of Japan through the Japan International Cooperation Agency (JICA). The plan is expected to be implemented in 2012 with major infrastructure investments including a ring road, drainage system and extension of the water supply network, among others. These interventions will impact on informal settlements, especially high density areas where the population is predominantly young and unemployed, and in which complex socio-political settings can be observed.

Considering that 2011 has been an election year, and the increasing number of people settling in informal urban areas, a strong political will can be found in Zambia to address urbanization and slum formation issues. Multilateral and bilateral assistance for urban development is emerging. However, establishing adequate institutional capacity for proper planning and implementation of upgrading activities through basic/social services delivery and infrastructure development is still a challenge, especially at the level of Lusaka City Council (LCC). Furthermore an overall framework of intervention, such as an urban policy, is missing.

There is urgent need to define an integrated approach focusing on the regularization and upgrading of Lusaka’s peri-urban unplanned and un-serviced settlements. This is particularly important to ensure the effectiveness and sustainability of potential investment on infrastructure with funds from the Millennium Challenge Corporation (MCC) through the Millennium Challenge Account (MCA) of Zambia, under a proposed compact to be entered into force between MCC and the Government of Zambia, currently under discussion: the “Lusaka Water, Sewerage, Sanitation and Drainage” Project or “LWSSD.” 1.2. Selection of the informal urban areas of intervention in Lusaka

This application intends to focus on two pilot informal neighborhoods of Lusaka to apply an integrated slum upgrading approach which can then be replicated and scaled up to other unplanned areas of the city. The following main criteria were applied to select these two neighborhoods: � Priority informal areas presented by the government of Zambia to MCC, while discussing the

LWSSD program; � Priority informal areas as described in the CUDP supported by JICA, which puts distance from

the central business district (CBD) as one of the main criteria, because urban renewal in those areas could be more attractive for investments;

� Susceptibility to flooding in case of heavy rains, as floods increase the vulnerability of the slum dwellers and disrupt basic infrastructure (and any related investment) even further;

� Level of poverty of slum dwellers.

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As explained above, the CUDP supported of JICA indicates as priority informal areas of Lusaka to be upgraded or renewed in the short term those closer to the city centre. These are:

• Kuku/Misisi/Frank and Chaisa, which are areas prone to flooding and moderate flooding respectively, with a poor grid network. Due to the latter aspect, infrastructure development in these areas would imply important costs and significant relocation of dwellers. Under these conditions, concrete impact of project activities would be difficult to be obtained considering the relatively short implementation period of this proposal (3 years) and the limited proposed budget.

• Chibolya, next to Misisi, where the inner ring road will be passing. This area has already being considered for improvement by JICA itself, hence it was not recommended.

• Garden shows a poor but partial grid network (i.e. infrastructure development there should somehow be cheaper and easier to implement than in Misisi or Chaisa) and is much prone to flooding when it rains. In fact, this is where the Bombay primary channel is facing major difficulties for draining storm waters. This is the area where the government advised MCC to intervene urgently.

• John Laing is another area which shows a poor but partial grid network and is much prone to flooding. In addition, according to the surveys carried out during the elaboration of the CUDP, the population living in this area is poorer than in Garden. Importantly John Laing is adjacent to Kanyama1, and both constitute the top priority areas for urgent intervention according to the Drainage Investment Master Plan developed with the support of the MCA-Zambia, as part of the series of pre-feasibility studies. In fact these two neighborhoods fall into the lower part of a topographically "depressed" area, a sort of “closed catchment” which suffers from severe flooding after a storm event. In terms of number of people, the population of John Laing and Kanyama was the most affected during the last floods (rainy seasons 2007/2008 and 2009/2010). The reports of the Ministry of Local Government and Housing (MLGH), in particular through its Department of Housing and Infrastructure Development, indicate clearly that Kanyama is on top of its priority list for drainage and slum improvement.

When consulting with the MLGH and the LCC, it was confirmed that Kanyama and John Laing are suitable and priority areas for UN-Habitat intervention under this proposal. Some data already exist for these two informal neighborhoods, which can be found in the CUDP and the MCA-supported pre-feasibility studies, but specific surveys and assessments, especially regarding land tenure issues, water and sanitation, socio-economic conditions and affordable housing still need to be collected. Importantly, Kanyama is being considered as priority area for implementing the water supply component of the MCC/MCA-Zambia.

1.3. The role of UN-Habitat

With its recognized experience in urban development throughout the Global South and its mandate to coordinate efforts by the international community to achieve urban poverty reduction targets of the Millennium Development Goals, UN-Habitat seeks to assist the Government of Zambia to advance an urban planning agenda with the aim of facilitating the MCA program delivery in water and sanitation in Lusaka.

Between 1997 and 2007, Zambia participated in the UN-Habitat Sustainable Cities Program together with the City Councils of Lusaka and Kitwe. The program supported capacity building at city and community levels to reduce poverty through participatory urban environmental planning and management. As follow up, the agency is implementing the first phase of the Participatory Slum Upgrading and Prevention (PSUP) program funded by the European Commission. UN-Habitat also plans to support the Government of Zambia to develop an urban policy that can adequately complement the current housing policy review effort made by the government. Funding for this activity is being sought from the Cities Alliance, a catalytic trust fund established jointly by UN-Habitat and the World Bank in 1999.

1 NB: Kanyama is located a bit further away from the CBD and the main roads, hence is classified as secondary priority areas in the CUDP supported by JICA.

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UN-Habitat has developed credibility among key institutional partners such as MLGH and LCC, and contributed significantly to the establishment of the multi-stakeholder, National Habitat Forum. More recently, the agency has made a political commitment to the Government of Zambia to support the development of an urban policy as a much-needed framework to address in a coherent and programmatic manner the challenges presented above. Pilot interventions, starting from Lusaka, are crucial to ground the process and obtain a viable, popularly-recognized policy. This support is translated by UN-Habitat immediate support in preparing a national urban housing profile, in parallel to the government-led process of revisiting the national housing policy approved in 1996 and not yet implemented at scale.

UN-Habitat has accumulated significant experience in slum upgrading through participatory approach, informing national policies and strategies, in Mozambique, Sudan, South Sudan and Burkina Faso, just to give few examples. The overall intervention strategy to be adopted by UN-Habitat in Zambia, which represents a clear added-value to the MCC implementation plans in this country, can be described generally as follows:

(i) Ensure bottom-up participatory approach, systematic local consultations and support to community-led initiatives including enumerations and precedents;

(ii) Provide proper tools for institutional partners (public, private and popular) as well as practical, “on-the-job,” experience preparing urban plans and implementing upgrading activities that once piloted, can demonstrate the approach;

(iii) Identify livelihood and income generation strategies that draw upon smart growth strategies predicated on the gradual introduction of basic grid street plans and mixed-use zoning;

(iv) Introduce land tools and management systems that provide security of tenure, attract private investment and increase municipal revenue collection;

(v) Propose affordable and environmental-friendly housing strategies targeting low-income households, including the establishment of revolving-loan fund mechanisms;

(vi) Promote dialogue and establish partnerships between government, cooperating partners, urban poor organizations, professional associations, the domestic financial service industry, private utilities, and academics;

(vii) Review and refine the policy frameworks; and

(viii) Establish strategies to reduce risks associated with disasters that mitigate the vulnerability of residents in flood-prone settlements, drawing upon the above mentioned actions as these are rolled-out in Lusaka, thus integrating climate change adaptation, disaster risk reduction and poverty reduction.

2. Overall Objective The aim of this application is to assist the Government of Zambia (GoZ) in delivering the “Lusaka Water, Sewerage, Sanitation and Drainage” (LWSSD) Project to be supported by the MCC upon signature of a compact, by looking into urban planning and land management aspects with special focus on informal and un-serviced areas, building proper institutional capacity at both central and local levels, promoting dialogue and coordination among the different stakeholders in the public, private and popular sectors as well as development partners, and implementing pilot demonstration activities that build upon community-led initiatives. Such crucial interventions are intended to support the development of policy and regulatory tools on peri-urban settlement upgrading in and around Lusaka city, and the implementation of a comprehensive and sustainable upgrading initiative that includes security of tenure, improved livelihoods, financing strategies, as well as infrastructure and basic services.

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3. Specific Objectives To achieve the proposed assistance to the GoZ, four specific objectives are defined, namely:

1. Develop a comprehensive urban upgrading framework, which will provide the base to manage the urban upgrading issues that will complement and facilitate the LWSSD activities.

2. Strengthen the capacity of national and local institutions in urban planning and land management, especially regarding informal and un-serviced areas;

3. Pilot urban upgrading activities recommended by the framework in demonstration areas, including LWSSD investment areas and their surroundings; and

4. Leverage and coordinate additional private and donor funding to provide complementary urban upgrading activities in the peri-urban areas and scale-up pilots.

4. Proposed Interventions/Technical Approach Strategically, the project will be implemented in two phases.

� A Preparatory Phase, during which an urban upgrading framework for Lusaka city will be designed and tested, and related analysis, assessments and stakeholder consultations carried out (as per Specific Objective 1);

� An Implementation Phase, during which capacity building activities will be delivered and pilot demonstration interventions carried out (as per Specific Objectives 2 and 3).

Leverage and related coordination activities (under Specific Objective 4) will be carried out during both Phases, based on the designed urban upgrading framework and the incorporation of lessons learned from experience in the demonstration areas.

� Preparatory Phase Under the Specific Objective 1: “Development of a comprehensive urban upgrading framework”

• Planned Activity 1.1: Carry out strategic planning, surveys and assessments in selected informal areas and expansion areas of Lusaka

- Sub-Activity 1.1.1: Review existing planning documentation for Lusaka city (such as the CUDP and the MCC pre-feasibility studies) and make use of existing mapping products (such as satellite imagery, etc.)

- Sub-Activity 1.1.2: Obtain detailed mapping products of selected informal and expansion areas of Lusaka through on-the-job training of LCC and MLGH technicians and planners, including aspects such as road and drainage network, flood risk areas, housing density, existence of basic/social infrastructure, environmental aspects, etc.

- Sub-Activity 1.1.3: Carry out specific a socio-economic survey at the household level in Kanyama and John Laing by applying a sampling scheme (data to be disaggregated by sex) through community-based organizations (CBOs) residing in these informal settlements (to be specifically trained for the purpose) looking at issues such as: family size, land tenure, average income, livelihood options, access to basic and social services, gender issues, etc.

• Planned Activity 1.2: Develop guidelines and tools

- Sub-Activity 1.2.1: Develop specific slum upgrading guidelines for the informal areas of Lusaka targeting local government technicians and planners

- Sub-Activity 1.2.2: Prepare awareness raising materials for community mobilization on urban management activities such as: sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, among other issues

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- Sub-Activity 1.2.3: Testing, edition and printing of the prepared guidelines and tools

• Planned Activity 1.3: Set up a simplified land registration and management system for informal areas

- Sub-Activity 1.3.1: Building on existing systems and schemes supported through SIDA funding, improve and set up a simplified land registration and management system adapted to the informal areas in coordination with municipal authorities

- Sub-Activity 1.3.2: Test and fine-tune this land registration and management system in selected areas of Kanyama and John Laing; particular attention will be paid to gender aspects while calibrating this system

• Planned Activity 1.4: Conduct workshops and ensure coordination mechanisms

- Sub-Activity 1.4.1: Conduct two inter-sectorial consultative workshops for delineating a comprehensive urban upgrading framework of Lusaka, which will have also to make provisions for slum prevention in the peri-urban and surrounding areas of the city.

- Sub-Activity 1.4.2: Facilitate the establishment of a regular coordination mechanism for monitoring the implementation of such framework and promoting synergies and partnerships, by involving local and central government, cooperating partners, civil society, private industry, academic and community representatives.

• Planned Activity 1.5: Urban upgrading framework formulated

- Sub-Activity 1.5.1: Analyze the results obtained during field surveys, make linkages with the CUDP and other existing planning instruments and carry out additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas

- Sub-Activity 1.5.2: Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft regarding policies and methods to support supply of affordable housing, innovative financing, livelihoods and income generation, land tenure and management systems and access to water and sanitation for un-serviced areas of the capital city

- Sub-Activity 1.5.3: Finalize the formulation of the urban upgrading framework and submit it to the LCC for approval

� Implementation Phase

Under objective 2: “Strengthen the capacity of national and local institutions”

• Planned Activity 2.1: Strengthen the urban planning and land management expertise and knowledge at LCC and MLGH

- Sub-Activity 2.1.1: To ensure institutional ownership of the implementation phase and sufficient capacity to replicate and scale-up the proposed interventions, embed two national experts within the LCC structure and one national expert into the MLGH

- Sub-Activity 2.1.2: Deliver training interactive sessions to LCC and MLGH technical staff on the developed slum upgrading guidelines for the informal areas of Lusaka

- Sub-Activity 2.1.3: Deliver training interactive sessions to LCC and MLGH technical staff on the application of the simplified land registration and management system adapted to the informal areas

• Planned Activity 2.2: Define a concrete capacity development strategy for implementing the approved urban upgrading framework (UUF)

- Sub-Activity 2.2.1: Carry out an institutional capacity development needs assessment to implement the UUF

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- Sub-Activity 2.2.2: Organize a workshop to define a capacity development strategy and action plan for implementing the UUF

Under objective 3: “Pilot urban upgrading activities in demonstration areas”

• Planned Activity 3.1: Conduct participatory planning sessions in Kanyama and John Laing to identify priority slum upgrading interventions

- Sub-Activity 3.1.1: With the support of the results of the socio-economic survey in Kanyama and John Laing, conduct on-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support. The participants of these planning sessions, well balanced in terms of gender, will be representatives from the targeted communities, LCC, MLGH, MCA-Zambia, private sector, academia and CBOs. Decisions will be taken based on opened negotiations and mutual commitments publicly announced by the different stakeholders. This approach allows obtaining a greater involvement of the beneficiaries during the implementation of the identified priorities and mitigating negative social and political repercussions, since the process is transparent and based on consensus among all participants at each decision-making stage. Participatory planning is a standard methodology that UN-HABITAT has applied in other African countries (e.g. Mozambique, Burkina Faso, Sudan, etc.) even in difficult contexts, with successful results. It avoids conflicts at implementation stage and allows collaboration between the parties to spring. Since implementation of interventions is decided with the full involvement of the resident population, and that the latter understands that these interventions are meant to benefit the community as a whole, experience shows that individual families are ready to make the necessary effort of relocating if, for example, their house falls in the middle of the road to be opened or of the drainage channel to be constructed

- Sub-Activity 3.1.2: Based on the priority slum upgrading interventions resulting from the participatory planning sessions, prepare the needed technical plans and designs with all specifications for implementation. Cost-effective and locally-adapted solutions will be privileged, and community involvement (including women) in labor-intensive activities ensured. In this manner, the implementation of priority interventions represents a temporary income-generation activity for the community, and the ownership of the beneficiaries, which were involved from planning and decision-making to works’ execution, can be ensured. Experience shows that this is a sustainable approach, as communities feel that implemented interventions are “theirs” and meant to improve their own living conditions; hence the possibility of establishing effective maintenance mechanisms through community involvement is higher

• Planned Activity 3.2: Carry out land management and relocation operations in selected areas of Kanyama and John Laing

- Sub-Activity 3.2.1: Apply the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions, with the idea of grating land occupancy permits to those households whose plot respects minimum standards (orientation, regularity, etc.) and do not hinder the execution of the upgrading works

- Sub-Activity 3.2.2: The least possible number of families to be affected by the infrastructure development projects are provided with alternative locations and supported through subsidies for housing reconstruction. These families should also be supported by establishing adequate livelihood conditions for them. Importantly, eventual disputes will be mediated by the community leaders themselves and/or concerned authorities and not by UN-HABITAT directly. This mediation system will work only if the participatory planning approach, as described under Planned Activity 3.1, is appropriately carried out and facilitated

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• Planned Activity 3.3: Implement slum upgrading activities in Kanyama (which is one of the LWSSD project implementation areas which will benefit from water supply and sanitation interventions) and John Laing

The priority interventions to be carried out in these two informal areas are described in the following sub-activities, and are based on the priorities described in the CUDP supported by JICA (NB: the exact interventions will be determined only once the participatory planning exercises have been carried out)

- Sub-Activity 3.3.1: Open feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities, by employing community members (including women) as man-power. This will allow the targeted community to receive a temporary income or food (if the food-for-work option will be accepted) and at the same time improve the physical living conditions of their neighborhood. These labor-intensive activities will be supervised by qualified technicians and supported by skilled labor to be hired for the purpose. Opening of feeder roads will facilitate transportation, slum upgrading and the extension of the water supply network to reach more households. In addition, improving the drainage conditions, especially in Kanyama which was almost entirely flooded twice during rainy season within the past 4 years, is a must. Experience shows that digging and paving with concrete slabs secondary and tertiary drains and cleaning the existing main drain, although not solving the problem, at least helps alleviating it. In addition of damaging infrastructure and housing, flooding brings waterborne diseases such as malaria and cholera which provoke many deaths in the peri-urban areas of Lusaka

- Sub-Activity 3.3.2: Construct basic (public toilets), social (schools, clinics, community centers) and/or economic (markets, vocational centers) facilities using low-cost, innovative and environmental-friendly techniques through local sub-contractors. It is essential to ensure that an integrated approach is adopted for achieving slum upgrading, which looks at improving both the physical and socio-economic conditions of the dwellers. Establishing basic and social services and at the same time creating livelihood options is a key factor to sustainable urbanization. The latter can be done through skilled trainings received in vocational centers or commercial activities practiced in local markets

- Sub-Activity 3.3.3: Stimulate housing improvement/development schemes for those households with secure tenure by establishing a small revolving fund and applying micro-finance mechanisms, to provide a concrete response to the need of affordable housing by the low-income population living in the peri-urban areas

• Planned Activity 3.4: Establish local urban management structures for income generation and promote community consultations and awareness raising

- Sub-Activity 3.4.1: Establish community structures (in which women needs to be adequately represented) with urban management responsibilities which can act as local sub-contractors for delivering services such as road and drainage maintenance, water standpipe management and solid waste collection and recycling. These activities can generate income, stimulate the establishment of public-private partnerships between the LCC and these organized community groups and at the same time maintain the urban system in “good health”

- Sub-Activity 3.4.2: Organize regular gender-balanced community consultations during the whole implementation phase of the project

- Sub-Activity 3.4.3: Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, among other issues

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Under objective 4: “Leverage and coordinate additional private and donor funding”

• Planned Activity 4.1: Advance a resource mobilization strategy to support efforts by government to implement the urban upgrading framework (UN, donors, and private sector)

- Sub-Activity 4.1.1: Serve as focal point with the United Nations Country Team (UNCT) to coordinate the participation of other UN agencies in settlement upgrading and urban development, working closely with the UN Resident Coordinator to brief UNCT on progress of the program, integrating ongoing work of other UN agencies, and identifying gaps

- Sub-Activity 4.1.2: Establish a donor contact group, working systematically with representatives of MCC, World Bank, JICA, SIDA, DANIDA, EC, China, among others, to support settlement upgrading and urban development in Lusaka, building upon existing donor initiatives

- Sub-Activity 4.1.3: Establish a private sector contact group, reaching out to key players in Lusaka working in the industries of domestic financial services, ICT, real estate development, water utilities, and transport services, engaging them in discussions about ways that they can support particular aspects of settlement upgrading efforts underway in Lusaka

• Planned Activity 4.2: Broker cooperation agreements between agencies/donors and

national/local government to invest in the urban upgrading framework

- Sub-Activity 4.2.1: Work with UN Resident Coordinator (UNRC) and country representatives of UN agencies to develop multi-year programming by UNICEF, WFP, and other agencies on specific aspects of settlement upgrading and to scale up (and complement) the work of MCC and UN-Habitat, feeding this into the preparations for the 2014-2019 United Nations Development Assistance Strategy (UNDAF)

- Sub-Activity 4.2.2: Work with the UNRC and the World Bank Country Director to integrate specific infrastructure investments of the urban upgrading framework into the 2013-2016 WB Country Assistance Strategy (CAS)

- Sub-Activity 4.2.3: Work with bilateral agencies to build into their respective cooperation agreements with GoZ, elements of the urban upgrading framework, including upgrading projects that geographically complement and build upon lessons from UN-Habitat

• Planned Activity 4.3: Facilitate public-private-community partnerships

- Sub-Activity 4.3.1: Broker partnership among private banks, community savings associations, LCC, and local micro-finance institutions (MFIs) to develop loan products for self-built house construction that combines community savings, public subsidy, and private capital

Sub-Activity 4.3.2: Facilitate partnership among water kiosk distributors, private utility companies and LCC to extend the provision of water to residents of informal settlements in peri-urban areas as part of planned expansions envisioned in the urban upgrading framework

- Sub-Activity 4.3.3: Work with research and development arms of major mobile phone companies operating in Lusaka to establish ICT centers in informal settlements, and to link mobile phone subscribers throughout the city to select health and education services

- Sub-Activity 4.3.4: Work with private real estate developers to embark on mixed-income property developments as part of planned expansions envisioned in the urban upgrading framework

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6. Partnerships Role of Key Partners

The United Nations Country Team (UNCT), as part of its system-wide effort to “Deliver as One UN,” regards urban development an emerging priority for multilateral assistance in Zambia, and has called upon UN-Habitat to coordinate the inter-agency process. Under the leadership of the Resident Coordinator, UNCT will serve as coordinating mechanism through which UN-Habitat will facilitate the participation of UN agencies, ensuring they contribute their respective comparative advantages. These include, among others:

� World Food Program (WFP) regarding food for work, disaster risk reduction and vulnerability mapping activities;

� UN Children Fund (UNICEF) concerning water, sanitation, hygiene and education activities.

The Ministry of Local Government and Housing will serve as the central government focal point for the initiative, while at the local level the program will involve the Lusaka City Council, the targeted communities and their organizations, as well as professional associations representing domestic banks, property developers, information technology, utility operators and academics.

The members of the National Habitat Forum that UN-Habitat helped to establish will play an important advisory role during the implementation of the project. These are, among others: the National Housing Authority, Habitat Civic Forum, Habitat for Humanity Zambia, Swedish Cooperative Centre, Slum and Shack Dwellers International, FinMark and other international and national NGOs. The Local Government Association of Zambia will be another important partner.

While private industry representatives have not featured historically in the National Habitat Forum, an effort will be made during the project to reach out to them. This will involve a series of consultations with private companies including banks and micro-finance institutions, and Lusaka-based subsidiaries of mobile phone corporations. It will also include private utility operators keen to expand service delivery to informal settlements through partnerships with community organizations.

UN-Habitat together with the Government of Zambia will draw upon and contribute to the African Ministerial Conference for Housing and Urban Development (AMCHUD), established by UN-Habitat in cooperation with the African Union to strengthen the capacity of member States to manage rapid urbanization.

Regarding international partners, UN-Habitat will continue to work with MCC and the members of the Cities Alliance and also reach out to SIDA, JICA, DANIDA, UNDP and the EC regarding slum upgrading, capacity building and basic infrastructure development. Efforts will be made to incorporate urban development more strategically into the United Nations Development Assistance Framework (UNDAF) by working through the United Nations Country Team drawing upon the innovative work in Lusaka of WFP, FAO and UNICEF. Further, UN-Habitat will work closely with the Country Director of the World Bank to explore ways to align the project with the Country Assistance Strategy and link the Ministries of Economic Planning, Finance and Local Government. Commitments and Leverage

UN-Habitat will make available 800,000 USD of own funding towards the Settlement Upgrading and Urban Development Program to augment the proposed cooperation agreement with MCC amounting to 2,977,720 USD.

The Program enjoys the full support of the Ministry of Local Government and Housing and the Lusaka City Council such that both have agreed to provide dedicated staff and in-kind assistance, and to integrate their present public investments towards the development of an urban upgrading framework. National and local governments view the program as a capacity development initiative that will enable them put into practice operating principles of settlement upgrading and urban planning in Lusaka while at the same time build consensus for a national urban policy for country. This level of involvement by national and local government is anticipated to continue throughout the 86 of 100

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life of the Compact and beyond, resulting in a significant increase of the national budget towards urban development.

As mentioned, UN-Habitat maintains strong working relations with the United Nations Country Team, the World Bank Group, and with leading bilateral development agencies operating in Zambia, including members of the Cities Alliance. These relations and the leadership role of UN-Habitat in urban development will accelerate the efforts of MCC, GOZ and UN-Habitat to mobilize resources for settlement upgrading and urban development in Lusaka. In addition, the Program will facilitate public-private-community partnerships that will leverage the funds allocated by MCC and UN-Habitat.

Third-party contributions (UN agencies, donors, INGOs, community savings, and private capital) will be assessed at two junctures over the three-year period. The first will be at the end of the Preparatory Phase at which time the Program will secure the commitments of a minimum of two bilateral agencies, one international NGO, one UN agency, and one partnership for specific activities associated with the implementation phase (these will be activities in addition to those outlined above and therefore include funding beyond the monies budgeted by UN-Habitat/MCC for the Program). The value of these third-party contributions is expected to be at least two times the initial UN-Habitat/MCC investment.

The second juncture will be towards the end of the implementation phase when UN-Habitat will facilitate cooperation agreements between various donors and GoZ/LCC for investment in specific aspects of the urban upgrading framework. The amount of third-party contributions is anticipated to be at least five times the initial UN-Habitat/MCC investment. 7. Expected Impact Over the past 30 years UN-Habitat has developed a methodology for participatory planning that it intends to apply in Lusaka for settlement upgrading and urban development. The impact of this approach has shown time and again to significantly reduce poverty. A study conducted by the Institute of Social Studies (ISS) in 1999 reveals that UN-Habitat systematically increased household incomes in the settlements in which it operated. Based on evaluation research that included 1,000 household surveys in seven countries, including Zambia, the study compared households living in settlements where UN-Habitat worked and in settlements that were not part of the initiative. Researchers substantiated that the concepts of community-based planning and co-management (joint local government and CBO programming) as applied by UN-Habitat significantly reduce poverty.

In addition to generating income, participatory settlement upgrading improves health outcomes as it lowers the likelihood of residents contracting water-borne diseases or illnesses associated with contamination by human waste. Healthier households are more productive and avoid spending scarce resources on preventable diseases. A further advantage of participatory settlement upgrading is that it stabilizes neighborhoods economically. It creates confidence among residents to invest own resources in home improvement, small business enterprises, and community facilities. Local capital combined with strategic public investments in road infrastructure, land tenure, water and sanitation create further incentives for private firms based outside the settlement to set up retail branches and offer services. The net effect of settlement upgrading is a boost to the municipal tax base, providing opportunities for further capital investments that can be plowed back into the settlement.

While providing clear benefits to the residents of peri-urban neighborhoods and the city at large, settlement upgrading can trigger negative consequences if not properly anticipated and adjusted for. The formalization of water, sanitation, electricity, rental housing can undermine the livelihood strategies of households who derive income from providing these services informally. Efforts to improve the delivery of services must therefore directly involve in the planning process the water kiosk operators, waste collection scavengers, persons skilled in illicit power-tapping, and owners of illegal structures who extract rent. Upgrading can also gentrify neighborhoods forcing up rents that dislocate very low-income tenants. Here the tactic is to introduce improvements gradually, beginning with modest enhancements to streets, followed by storm drainage, electricity and the like; providing 87 of 100

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block titles, then temporary occupancy licenses, then moving to lease-hold title. A further challenge with upgrading is the need for residents to relocate from their structures to make way for roads and storm drainage systems. As indicated above, the upgrading must be driven by residents who engage in the planning process, arrive collectively at decisions about relocation, and incorporate into the upgrading exercise a protocol for resettlement replete with terms and conditions for compensation. As part of the preparatory process, UN-Habitat will work with government and local, non-State actors to develop a set of indicators to measure the impact of the settlement upgrading initiative. The agency will draw upon monitoring and evaluation frameworks that it has used in upgrading programs in Sub-Saharan Africa, Asia, Latin America and Central Asia, working with Zambian counterparts to tailor these to local conditions. A major challenge of measuring impact is to develop a combination of conventional economic/environmental indicators and intermediate process indicators. It is important to measure increases in consumption patterns and improvements in health outcomes, it also crucial to capture the process of social mobilization, stakeholder consultation, and changes in local government attitudes about devolving decision making to residents of peri-urban settlements. Upon establishing an appropriate indicator framework, UN-Habitat will design and apply a survey instrument to document base line conditions in the settlements. Further surveys and focus group discussions will be conducted at the beginning and end of the implementation phase to monitor progress over the course of the project to measure impact. 8. Risks Financial: presuming the compact is put in force, the central financial challenge will be building confidence and consensus among diverse partners to buy-in to the settlement upgrading and urban development program. Lack of trust by communities and their organizations, by government at all levels, by various donor agencies and/or by private industry will limit the modest MCC/GoZ/UN-Habitat investment to a one-off, partial upgrade of two settlements. To address this risk and achieve scale, UN-Habitat has built into the program activities designed to build trust. It will incorporate residents of the settlement directly in planning process, and coordinate and leverage private and donor resources for the urban upgrading framework. Operational: the proposed program is ambitious in its scope of operations, aiming to work with a highly diverse set of actors and to interface with institutional structures in central government line ministries, in the municipal council, and among forms of social organization in the two settlements. UN-Habitat regards working in this way an operational risk worth taking because the objectives of the program require multi-stakeholder, multi-level engagement. A program that combines policy reform, community mobilization, capacity development, tool development, partnership modelling, and donor coordination warrants complex operations. UN-Habitat seeks to minimize operational risks by diversifying its time, resources and staff to engage the various institutional cultures. Political: the quality of life in urban areas featured prominently in the campaign rhetoric of political parties during the elections, suggesting that Zambians of all walks of life will enthusiastically support an urban upgrading program. Another political opportunity is the peaceful transition from one political party to another in Zambia -- the envy of many countries of Sub-Saharan Africa. Noting these advantages, however, the advent of President-elect Sata will result in major political changes that may impact negatively on the program. There will be a new cabinet, shifts in civil service, and an urban population with unrealistic expectations about the new political dispensation. UN-Habitat is well placed to address these political risks. The Government of Zambia serves on the Governing Council of UN-Habitat and on the African Ministerial Conference for Housing and Urban Development. The agency is also in strong position to facilitate multi-actor platforms that include the new government having worked with LCC and community groups in Zambia since the mid-1980s. Social: Kanyama and John Laing are but two settlements in Lusaka. While UN-Habitat has secured the support of the Ministry and LCC to work in these settlements, there will be communities in Lusaka who feel excluded, and members of the new cabinet with constituency issues. UN-Habitat will address this risk by facilitating the development of an urban upgrading framework. The city-wide 88 of 100

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scope of this exercise and its association with CUDP and LWSSP will offer opportunities to multiple settlements throughout the city. Another potential social problem is that the benefits of the program will go to a small sub-group of Kanyama and John Laing, confined only to those who are well organized or well connected. UN-Habitat will address this risk by promoting the development of public goods that are well disbursed throughout the settlements, and by diversifying its networks and establishing links with multiple elements in the community including youth, women, entrepreneurs, the disabled, and ethnic minorities adopting practices applied in three regions for over 30 years. Environmental: one ecological risk to this program is that the environmental aspects of settlement upgrading will be side-lined as government and non-state actors focus on improving tenure, planning systems and the built environment. Less consideration will be given to the ecological footprint of the program, including measures to adapt to climate change, the energy-efficiency of materials used for upgrading, and the down-stream externalities of settlement improvements. UN-Habitat views the settlement upgrading and urban development program as a unique opportunity to bring together agenda that have previously been kept separate. The design and execution of the program will be a convergence of climate change adaptation, disaster risk mitigation and settlement upgrading with participatory urban planning serving as means to advance each. 9. Work Plan



Implementing Body

PREPARATORY PHASE

Specific Objective 1: “Development of a comprehensive urban upgrading framework”

Planned Activity 1.1: Carry out strategic planning, surveys and assessments in selected informal areas and expansion areas of Lusaka

1.1.1. Review existing planning documentation for Lusaka city

UN-H

1.1.2. Obtain detailed mapping products of selected informal and expansion areas of Lusaka through on-the-job training of LCC and MLGH technicians and planners

LCC, MLGH, UN-H

1.1.3. Carry out specific a socio-economic survey at the household level in Kanyama and John Laing CBO/NGO,

LCC, UN-H

Planned Activity 1.2: Develop guidelines and tools 1.2.1. Develop specific slum upgrading guidelines for the informal areas of Lusaka

UN-H, MLGH

1.2.2. Prepare awareness raising materials for community mobilization on urban management activities

UN-H

1.2.3. Testing, edition and printing of the prepared guidelines and tools UN-H, MLGH

Planned Activity 1.3: Set up a simplified land registration and management system for informal areas 1.3.1. Improve and set up a simplified land registration and management system adapted to the informal areas

LCC, MLGH, UN-H

1.3.2. Test and fine-tune the land registration and management system in selected areas of Kanyama and John Laing

LCC, UN-H

Planned Activity 1.4: Conduct workshops and ensure coordination mechanisms 1.4.1. Conduct two inter-sectorial consultative workshops for delineating a comprehensive urban upgrading framework of Lusaka

MLGH, UN-H

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Implementing Body

1.4.2. Facilitate the establishment of a regular coordination mechanism for monitoring the implementation of such framework.

MLGH, UN-H

Planned Activity 1.5: Urban upgrading framework formulated 1.5.1. Analyze the results obtained during field surveys, make linkages with the CUDP and other existing planning instruments and carry out additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas

UN-H, LCC, MLGH

1.5.2. Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft

MLGH, LCC, UN-H

1.5.3. Finalize the formulation of the urban upgrading framework and submit it to the LCC for approval LCC, MLGH,

UN-H

IMPLEMENTATION PHASE

Specific Objective 2: “Strengthen the capacity of national and local institutions”

Planned Activity 2.1: Strengthen the urban planning and land management expertise and knowledge at LCC and MLGH

2.1.1. Embed two national experts within the LCC structure and one national expert into the MLGH

LCC, MLGH, UN-H

2.1.2. Deliver training interactive sessions to LCC and MLGH technical staff on the developed slum upgrading guidelines

UN-H, LCC, MLGH

2.1.3. Deliver training interactive sessions to LCC and MLGH technical staff on the application of the simplified land registration and management system

UN-H, LCC, MLGH

Planned Activity 2.2: Define a concrete capacity development strategy for implementing the approved urban upgrading framework (UUF)

2.2.1. Carry out an institutional capacity development needs assessment to implement the UUF

UN-H, MLGH

2.2.2. Organize a workshop to define a capacity development strategy and action plan for implementing the UUF

MLGH, UN-H

Specific Objective 3: “Pilot urban upgrading activities in demonstration areas”

Planned Activity 3.1: Conduct participatory planning sessions in Kanyama and John Laing to identify priority slum upgrading interventions

3.1.1. Conduct on-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support

UN-H, Community LCC, MLGH

3.1.2. Prepare the needed technical plans and designs with all specifications for implementation UN-H, LCC,

MLGH

Planned Activity 3.2: Carry out land management and relocation operations in selected areas of Kanyama and John Laing

3.2.1. Apply the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions

LCC, MLGH, UN-H

3.2.2. Families to be affected by the infrastructure development projects are provided with alternative locations and supported through subsidies for housing reconstruction

LCC, MLGH, UN-H

Planned Activity 3.3: Implement slum upgrading activities in Kanyama and John Laing

3.3.1. Open feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities

Community, LCC, MLGH, UN-H

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Implementing Body

3.3.2. Construct basic, social and/or economic facilities using low-cost, innovative and environmental-friendly techniques through local sub-contractors

Sub-Contractor, LCC, MLGH, UN-H

3.3.3. Stimulate housing improvement/development schemes for those households with secure tenure MLGH, UN-H

Planned Activity 3.4: Establish local urban management structures for income generation and promote community consultations and awareness-raising

3.4.1. Establish community structures with urban management responsibilities

Community, LCC, UN-H

3.4.2. Organize regular community consultations LCC, Community, UN-H

3.4.3. Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, etc.

CBOs, LCC, UN-H

Specific Objective 4: “Leverage and coordinate additional private and do nor funding” (NB: the implementation of this objective is occurring both during the Preparatory Phase and the Implementation Phase)

Planned Activity 4.1: Advance a resource mobilization strategy to support efforts by government to implement the urban upgrading framework

4.1.1. Serve as focal point with the UNCT to coordinate the participation of other UN agencies in settlement upgrading and urban development

UN-H

4.1.2. Establish a donor contact group UN-H

4.1.3. Establish a private sector contact group UN-H

Planned Activity 4.2: Broker cooperation agreements between agencies/donors and national/local government to invest in the urban upgrading framework

4.2.1. Work with UNRC and UN country representatives of UN agencies to develop multi-year programming on specific aspects of settlement upgrading and to scale up, feeding this into the preparations for the 2014-2019 UNDAF

UN-H

4.2.2. Work with the UNRC and the World Bank Country Director to integrate specific infrastructure investments of the urban upgrading framework into the 2013-2016 WB CAS

UN-H

4.2.3. Work with bilateral agencies to build into their respective cooperation agreements with GoZ, elements of the urban upgrading framework, including upgrading projects that geographically complement and build upon lessons from UN-Habitat

UN-H, MLGH

Planned Activity 4.3: Facilitate public-private-community partnerships

4.3.1. Broker partnership among private banks, community savings associations, LCC, and local MFIs to develop loan products for self-built house construction that combines community savings, public subsidy, and private capital

UN-H, LCC

4.3.2. Facilitate partnership among water kiosk distributors, private utility companies and LCC to extend the provision of water to residents of informal settlements in peri-urban areas as part of planned expansions envisioned in the urban upgrading framework

UN-H, LCC

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Implementing Body

4.3.3. Work with research and development arms of major mobile phone companies operating in Lusaka to establish ICT centers in informal settlements, and to link mobile phone subscribers throughout the city to select health and education services

UN-H

4.3.4. Work with private real estate developers to embark on mixed-income property developments as part of planned expansions envisioned in the urban upgrading framework

UN-H

10. Detailed Sustainability Plan Participatory Planning Approach: viewing residents of the settlement not as passive beneficiaries but as genuine development partners is crucial to the sustainability of the program. Most activities starting from the preparatory phase therefore involve households and their organizations directly in the planning process. Not all people living in Kanyama and John Laing are well organized and many fear that settlement upgrading will undermine their livelihoods or require them to be displaced without consultation or compensation. Participatory planning, if properly done, enables conflict resolution and stimulates the different stakeholders to work together for a common cause: in this case the improvement of a neighbourhood. The most important aspect is that the different parties (beneficiaries, authorities, private sector, civil society and academia) comes together, discuss in an opened and transparent manner and take decision publicly, based on consensus. The role of the facilitators (who should limit themselves to technical aspects) is critical, as well as the presence of decision makers at different scales (e.g. the community leader at the neighbourhood level; representatives from the municipality, with a vision at the city level; representatives from central government, with a vision at the national level), so that decisions can be substantiated with a proper planning analysis and implications at the different spatial levels. This is a powerful approach. In Quelimane city, Mozambique, participatory approach has led to households deciding spontaneously to dismantle and move their dwellings which were hindering the process of opening an access road for the benefit of the whole community. Other community members helped these households in this operation. Similar examples of “solidarity” are found during recent implementation of projects in Burkina Faso and Sudan, in which community members supported the most vulnerable in self-help housing construction by producing some extra stabilized soil blocks. Participatory approach is a key requirement for successful slum upgrading. Capacity Development: observable physical improvements will emerge from this initiative but the most lasting outcome of the program will be the civil servants, community leaders and private entrepreneurs who have made possible the upgrading of the settlements. They will provide ideas and inspiration for subsequent initiatives identified in the urban upgrading framework. This expanding cohort of people who have learned from on-the-job experience will reduce the need for external interventions and enable GoZ to embark on progressively larger programs in Lusaka and in other cities throughout Zambia. Efforts to link the capacity development to training institutes and planning departments in Zambia will further mainstream upgrading practices. Field-Based Tools and Instruments: the project will help producing planning tools and guidelines as well as improving existing land registration systems to target the needs of informal urban areas in Lusaka, and more extensively in Zambia. Producing capacity development and community awareness tools which fit the local context is extremely important, in parallel to the process of building the required institutional capacity to use these tools and instruments in the longer term. This will represent a very concrete contribution of the project to knowledge and increased capacity to deal with urban management issues in Zambia. Urban Upgrading Frameworks and National Urban Policy: the UUF to be produced for Lusaka should be replicated in other main urban settlements in Zambia, and then combined with a critical

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regional planning analysis which should lead to greater attention to secondary cities. Currently the general trend in Sub-Saharan Africa is that intermediate cities and towns are growing at a faster pace than bigger cities. Such phenomenon needs to be properly monitored, and tackled through the formulation of national urban policies and subsequent implementation strategies. Zambia urbanization growth rate is one of the fastest in the region. UN-Habitat has already started supporting the GoZ from that perspective, by providing strategic recommendations for reviewing the housing policy within such rapid urbanization context. Donor Coordination and Leverage: this is an activity that will occur all along project implementation (rather than at the end) to ensure that there will be proper follow-up investment and consequent scaling up of the urban upgrading interventions. This is a key moment in Zambia history in which the consciousness of the challenges posed by rapid urbanization reached its highest levels at government level. The results of the recent elections are a clear signed of a democratization process which goes hand in hand with the observed urbanization trend. Donors, including multi-lateral partners such as the MCC, the World Bank, the EU and increasingly even the UN system in Zambia, are also very much aware that there is an urgent need to act before the situation deteriorates. 11. Role of MCC By submitting this application, UN-Habitat acknowledges that the Preparation Phase will be supported through project development funds that MCC will provide to GoZ if and when a compact between the parties is signed, and that the Implementation Phase will be supported through compact funds MCC will provide to GoZ if and when the proposed compact enters into force. UN-Habitat also acknowledges that in the event that MCC issues the award initially on behalf of GoZ, the latter can subsequently assume the administration and management of the cooperative agreement. This assumption will be carried out by MCC terminating the cooperative agreement and the applicant and GoZ entering into a new replacement cooperative agreement that will continue the terms of the MCC awarded cooperative agreement, including the remaining period of performance and all associated tasks and deliverables. As specified in the request for Application, the MCC will be substantially involved in the following areas: (i) Approval of the recipient’s workplan; (ii) approval of specified key personnel; (iii) approval of urban planning framework, including recommendations for demonstration areas prior to moving forward into implementation phase; (iv) MCC and UN-Habitat collaboration or joint participation with the Government of Zambia (including relevant sub-governmental units) in oversight of implementation of activities in demonstration areas, especially regarding land, infrastructure, and private sector development; (v) development and coordination regarding UN-Habitat’s monitoring and evaluation (M&E) plans, including approval of key progress indicators and supply of information for MCC’s M&E impact evaluation contractor. Importantly UN-Habitat, thanks to its mandate and institutional role, will play an important role in facilitating the implementation of the compact to be signed between MCC and GoZ by smoothing the inter-sectorial coordination, work at the local and community level, and attract the attention of bilateral and multilateral partners in this process. 93 of 100

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12. Detailed Budget and Financial Plan � Total Costs for the Preparatory Phase (corresponding to Year 1) in USD:

� Key Personnel, Equipment and Other Costs under the Preparatory Phase:


Unit Cost

Total Cost

MCC Request





Programme Management Officer (20%) w/m 12 2,000 24,000 0 24,000








Unit Cost

Total Cost

MCC Request


Office equipment (computers, laptops, printers, furniture, etc)

Lumpsum 30,000 20,000 10,000

Vehicles (4 x 4) Per Vehicle 2 50,000 100,000 100,000 0






Unit Cost

Total Costs

MCC Request


Hiring of National Consultant to review existing planning documentation for Lusaka city w/m 2 4,000 8,000 0 8,000

Detailed mapping products of selected informal and expansion areas of Lusaka (as part of the Agreement of Cooperation -AoC- with LCC)

Lumpsum 50,000 40,000 10,000

Specific a socio-economic survey at the household level in Kanyama and John Laing (as part of the AoC with a CBO)

Lumpsum 30,000 20,000 10,000



Unit Cost

Total Costs

MCC Request


Hiring of International Consultant to develop specific slum upgrading guidelines for the informal areas of Lusaka

w/m 3 12,000 36,000 24,000 12,000

Hiring of International Consultant to prepare awareness raising materials for community mobilization on urban management activities

w/m 3 12,000 36,000 24,000 12,000

Testing, edition and printing of the prepared guidelines and tools Lumpsum 30,000 20,000 10,000


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Unit Cost

Total Costs

MCC Request


Hiring of International Consultant to support the improvement and set up a simplified land registration and management system adapted to the informal areas

w/m 2 12,000 24,000 24,000 0

Set up, testing and fine-tuning of a simplified land registration and management system adapted to the informal areas (as part of the AoC with LCC)

Lumpsum 30,000 20,000 10,000



Unit Cost

Total Costs

MCC Request


Organization of two inter-sectorial consultative workshops for delineating a comprehensive urban upgrading framework of Lusaka

Per event 2 35,000 70,000 50,000 20,000



Unit Cost

Total Costs

MCC Request


Hiring of International Consultant to support the drafting and finalization of the urban upgrading framework of Lusaka city

w/m 3 12,000 36,000 24,000 12,000

Analysis of the results obtained during field surveys and additional assessments as required to draft an urban upgrading framework for Lusaka city and surrounding areas (as part of the AoC with LCC)

Lumpsum 20,000 20,000 0

Through the conduction of one inter-sectorial consultative meetings, derive recommendations on the urban upgrading framework draft

Per event 1 35,000 35,000 25,000 10,000



Preparatory Phase:


Unit Cost

Total Costs

MCC Request


Expert and informal meetings Per meeting 10 1,000 10,000 0 10,000

Sub-Total Planned Activity 4.1 to 4.3 within the Preparatory Phase 10,000 0 10,000

Total budget required for the Preparatory Phase Total Costs MCC


Sub-Total Costs of the Preparatory Phase 1,047,000 786,000 259,400

UN-HABITAT Administrative Costs (10%)* 78,600 78,600 n.a.

Total Costs of the Preparatory Phase 1,126,000 864,600 259,400

*NB: Administrative costs are applied to the MCC request only. These costs are meant to cover the administrative staff time at UN-Habitat Head Quarters to process all procurement, recruitment and payment operations according to the UN rules and regulation. These operations are subject to regular auditing.

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� Total Costs for the Implementation Phase (corresponding to Years 2 and 3) in USD: � Key Personnel, Equipment and Other Costs under the |Implementation Phase:


Unit Cost

Total Cost

MCC Request





Programme Management Officer (20%) w/m 24 2,000 0 0 48,000








Unit Cost

Total Cost

MCC Request







Unit Cost

Total Costs

MCC Request


Hiring of 2 national experts to be embedded in the LCC structure (as part of the AoC with LCC) w/m 48 1,500 72,000 48,000 24,000

Hiring of one national senior expert to second the MLGH w/m 24 3,000 72,000 48,000 24,000

Training interactive sessions to LCC and MLGH Per session 6 5,000 30,000 20,000 10,000



Unit Cost

Total Costs

MCC Request


Hire a Senior National Consultant to carry out an institutional capacity development needs assessment to implement the UUF

w/m 3 6,000 18,000 12,000 6,000

Organize a workshop to define a capacity development strategy and action plan for implementing the UUF

Per event 1 35,000 35,000 25,000 10,000


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Unit Cost

Total Costs

MCC Request


On-the-job training of LCC and MLGH staff on participatory planning approach at the neighborhood level through mapping support

Per session 10 1,000 10,000 8,000 2,000

Sub-contract for preparing the needed technical plans and designs with all specifications for implementation

Lumpsum 50,000 40,000 10,000



Unit Cost

Total Costs

MCC Request


Application of the tested land registration and management system in those areas to be concerned by the implementation of the designed infrastructure development interventions (as part of the AoC with LCC)

Lumpsum 30,000 20,000 10,000

Grant to support families to be affected by the infrastructure development projects** Lumpsum 100,000 80,000 20,000



Unit Cost

Total Costs

MCC Request


Grant for opening feeder roads and construct secondary or tertiary drainage channels through labor-intensive activities**

Lumpsum 390,000 330,000 60,000

Local sub-contracts for construction of basic, social and/or economic facilities using low-cost, innovative and environmental-friendly techniques**

Lumpsum 390,000 330,000 60,000

Grant for stimulating housing improvement/ development schemes for those households with secure tenure**

Lumpsum 160,200 160,200 31,800


**NB: The exact number of: (i) families affected by the works to be supported, (ii) meters of feeder roads to be opened, (iii) meters of secondary and tertiary drainage channels to be constructed, (iv) basic, social and/or economic facilities to be built and (v) families to be supported through the housing improvement/ development schemes, is to be determined only once the field surveys are carried out, the participatory planning sessions at the neighborhood level will be conducted and the technical plans and designs with all specifications will be prepared.


Unit Cost

Total Costs

MCC Request


Establish community structures with urban management responsibilities and organize regular community consultations (as part of the AoC with a CBO)

Per consultation 10,000 8,000 2,000

Organize awareness raising activities at community level using the materials developed regarding sanitation and hygiene promotion, solid waste management, land occupation mechanisms and rights, gender issues, etc. (as part of the AoC with a CBO)

Lumpsum 60,000 50,000 10,000


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Implementation Phase:


Unit Cost

Total Costs

MCC Request


Expert and informal meetings Per meeting 20 1,000 20,000 10,000 10,000

Sub-Total Planned Activity 4.1 to 4.3 within the Implementation Phase 20,000 10,000 10,000

Total budget required for the Implementation Phase Total Costs MCC


Sub-Total Costs of the Implementation Phase 2,503,800 1,939,200 540,600

UN-HABITAT Administrative Costs (10%)*** 193,920 193,920 n.a.

Total Costs of the Implementation Phase 2,697,720 2,133,120 540,600

***NB: Once again, administrative costs are applied to the MCC request only. � proposed milestone-based disbursement schedule for MCC funds

It is proposed that the full amount of the preparatory Phase is transferred to UN-Habitat upon signature of the Cooperative Agreement between MCC and UN-Habitat.

The full amount of the Implementation Phase should be transferred to UN-Habitat upon successful finalization of the urban upgrading framework of Lusaka city. 13. Key Personnel

Alexander Chileshe, National Technical Advisor (Lusaka, Field Office)

Facilitates cooperation between Zambia and the international community; maintains smooth working relations with various Zambian partners including Ministry of Local Government and Housing, Lusaka City Council, neighborhood organizations, NGOs, private industries; builds consensus for the development of urban upgrading facility; provides technical advice on all aspects of settlement upgrading and urban development.

A Zambian national, Alexander Chileshe, 41, holds MA in Urban Management and BA in Economics with over 15 years of professional experience in program management and project development. He served as Country Director, Habitat for Humanity International (in Malawi and Zambia), and has worked for CARE International, the Ministry of Finance. Prior to joining UN-Habitat, he served as the Executive Director of the Economics Association of Zambia (EAZ).

Time Allocation: 100%

Vacant, International Program Manager (Lusaka, Field Office)

Supports the efforts of the National Technical Advisor; provides technical advice and program management support; facilitates fund management; serves as liaison between UN-Habitat headquarters in Nairobi and the field operations in Lusaka; strengthens efforts to coordinate and leverage private and donor support for the program and for anticipated follow up activities.


Vacant, National Policy Analyst/Monitoring Officer (Lusaka, Field Office) Conducts analysis of previous urban upgrading initiatives and prepares situation analysis; establishes partnerships with local academic institutions and training institutions; develops an indicator

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framework and conducts base-line surveys; oversees application of indicator framework and monitoring of progress; prepares quarterly reports and analyses for internal use at UN-Habitat and for MCC.


Vacant, Administrative and Financial Assistant (Lusaka, Field Office)

Provides assistance to the International Program Manager in Lusaka and the Program Management Officer in Nairobi; maintains day-to-day administration and financial management; assists in recruitment, procurement and development of cooperation agreements with partners; provides additional administrative report as required.


Vacant, Driver/Logistics (Lusaka, Field Office)

Responsible for all aspects of vehicle including registration, maintenance, and driving; provides logistical support for shipments, communications, mail, visiting missions, organization of site visits, etc.


Jawed Suliaman, Program Management Officer (Nairobi, HQ)

Serves as certifying officer for all financial transactions related to the Program; monitors overall budget for the program ensuring availability for funds requested by the Program Staff in Lusaka; serves as focal point in the Program Support Division in UN-Habitat for the Zambia initiative reporting to the Director of the Division (COO equivalent).

A Kenyan national, Jawed Suliaman holds an MBA and BA in Business Administration, with ten years of experience, of which the past four have been with international organizations including UN-Habitat.


Mathias Spaliviero, Senior Human Settlements Officer for Sub-Saharan Africa (Nairobi, HQ)

Serves as principal project manager for Zambia initiative; reports to the Regional Director for Africa and Arab States and holds regional portfolio that includes Sudan, Senegal, Mozambique and Angola as well as Zambia; provides overall technical support for the Program, linking it to other relevant initiatives in SSA and to the African Ministerial Conference for Housing and Urban Development; supervises the International Program Manager and the National Technical Advisor; undertakes periodic technical back-stopping missions to Zambia; facilitates relations with UN Resident Coordinator, World Bank Country Director, MCA leadership, and Zambian counterparts at national, local and settlement levels.

A Italian national, Mathias Spaliviero, 37, has a Ph.D., in Environmental Sciences, with 12 years of experience in program management and project execution; served previously as Chief Technical Advisor to the UN-Habitat Mozambique project.


Christopher Williams, Director, UN-Habitat Washington Office (Washington Liaison Office)

Serves as the focal point in UN-Habitat for the Millennium Challenge Corporation; provides technical and political advice to personnel involved in the Zambia program; liaises with donor community, UN 99 of 100

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HQ in New York, and World Bank Group in Washington to nurture inter-institutional relations helpful to the Zambia project.

A US national, Christopher Williams, 50, holds a Ph.D. in Urban Sociology, M.A. in Public Policy Studies, and B.A. in Economics, with 25 years of experience in economic and social development, including 16 years of progressively responsible work at UN-Habitat. Mr. Williams was the founding coordinator of the Nairobi Slum Upgrading Initiative.

Time Allocation: 5% 100 of 100

PROJECT CONCEPT NOTES - World Urban Campaign · 2019-02-26 · 1.2. RELEVANCE OF THE ACTION - CITY...

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