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IntroductiontoInformalSettlementUpgrading

Section10:PlanningUpgradeProjects,©NUSP2015 1|Page

SECTION10:PLANNINGUPGRADEPROJECTS

Summary

Content

Aplannedapproachtoinformalsettlementupgrading

An informalsettlementupgradingplanshould ideallybeput inplace fromtheassessmentandcategorisation(AC)stageofanupgradingprojectandshouldbeupdatedastheprojectplanningunfolds.Theplanshouldbekeptsimpleandaccessibletocommunityleadersandthemunicipalityalike.Themainpurposeofasettlementupgradingplanisto:

• Conceptualise the upgrading of a settlement in broad terms (i.e. the overalldevelopmentalpathway, keydevelopmentalpriorities, stakeholder rolesandbroadtimeframes).

• Provide a focus for stakeholder agreement (in particular the local community andmunicipality)intermsoftheupgradingconcept.

Effective planning and preparation is relatively inexpensivecompared to implementation, but ensures that a viable andappropriate concept is developed, which is accepted by keystakeholders. It can thus be used as the basis for a signed social compact between thecommunity andmunicipalityonce consensushasbeen reached.Anupgradingplan,whichhas not been negotiated and does not have buy-in from key stakeholders, cannot besuccessfullyimplemented.

Makingchangesattheplanningstage isrelatively inexpensivecomparedtochangesmadeduring implementation or construction. In informal settlement upgrading a plannedapproachisimportantinthatriskscanbeidentifiedearlyonandaddressed.Properplanningand feasibility work ensures that the developers understand the settlement site and thecommunity,andtheupgradingconceptisappropriatetothelocalcontext.Keystakeholders,including the local community and municipality, can understand and agree on thesettlementupgradingconcept.Inadditionthattheconceptiswell-researched,definedandadequately negotiated between community and municipality. Project implementation issmoother and easier and the settlement upgrade will not easily become stuck or stalledduring the implementation (construction) phase. Project funders including governmentdepartments are provided with high quality information, such as feasibility studies andbusinessplans,uponwhichtheycanmakeinformeddecisions.Cashflowonthesettlement

For more details seeSection10,item1.1




upgrade ismorepredictable.Expenditurecanbemoreeffectivelyprogrammedover time,including on theMTEF. There ismuch less risk that funding will not be spent within theexpectedtimeframes.

Informal settlement upgrading plans are not static, but evolveover time. The following are the main types of settlementupgradingplansatdifferentstages:

• At the assessment and categorisation stage: A short profile, the developmentalpathway,maindevelopmental priorities, indicative costs basedon costs for similarprojects(thisissufficientfortheMTEF).

• At the pre-feasibility stage: Pre-feasibility-level technical studies/assessmentsincluding geotechnical, environment, legal, bulk services availability assessment,topographicandanyothersite-specificstudieswhichmightberequired(e.g.trafficimpactstudy,floodlinedetermination).

• At the subsidy application stage: A full feasibility study with specialist reports,preliminary services design, cost estimates for the next detailed design andconstructionstage,andabusinessplanoutliningthesettlementupgradingconcept.Forafullupgrading,preliminarytownplanninglayoutsandtop-structuredesignswillalsobeincluded.

• Atthedetaileddesignstage:Theplanmustprovidesufficientinformationtoprocureand contract for constructionand therefore should containdetaileddesign reportsandspecificationswithdetailedandaccuratecostestimatesforconstruction,tenderdocuments.

Developingasettlementupgradingplan

An upgrading response plan is informed by a range of factorsincluding:

• Thetypeofthesettlement• Targetfunder/grantmechanism• Thedensityofthesettlement• Scaleoftheproject/settlement• Technicalsitesuitabilityfactors• Locationalfactors• Theupgradingapproachandhousingdeliverymethod

Asettlementupgradingplanshouldbekeptasshortandsimpleaspossiblesothatitiseasyto read for bothmunicipal officials and community leaders alike. It should be a summarydocumentwhichprovidesoveralldirectionasopposedtoadetaileddocumentcontainingallprojectinformation.Additionaldocumentssuchasfeasibilityreports,townplanninglayouts,Ganttcharts,andsubsidyapplicationsshouldbeattachedtotheplan.





The following key content would typically be included in asettlement upgrading plan. The content is divided into twosections:thebackgroundandassessment,andtheproposedplan.TheproposedplancoversthenineworkstreamsidentifiedinSection5.

1. Background and assessment including settlement profile, categorisation, status quoassessment,sitedevelopmentpotentialassessmentandavulnerabilityassessment.

2. Theproposedsettlementupgradingplanincludingdetailsonhowimminenthealthandsafetythreatswillbeaddressed(ifrelevant),detailsonhowbasicinfrastructurewillbeprovided, details on how tenure will be addressed, a participation plan, housing, arelocationplan,socialfacilitiesaccessandannexures.

Irrespectiveof the categorisationof aparticular settlement, any settlementwhich isnotabouttobeimmediatelyrelocatedshouldreceiveinterimarrangements.

Planningfordifferentinformalsettlementtypes

The different types of informal settlements have different projectpreparation requirements and planning implications or priorities asshowninthetablebelow.

Type ProjectpreparationrequirementsandplanningimplicationsorprioritiesCATEGORYA:CONVENTIONALFORMALFULLUPGRADING

• Conductworkshopsonthecategorisation.• Identifyandrapidlyactioncriticalhealthandsafetymitigation

measures.• Undertakefullassessmentofsitedevelopmentpotential(pre-

feasibilityleveltechnicalstudies).• Determinehousingconcept.• Assessadequacyof,andplanfor,keysocialfacilitiesespecially

schoolsandclinics.• Moveaheadrapidlywithlandacquisition.• Determinerelocationimplications.• Commencewithformalplanningprocesses.• Proactivelymanagefurtherinflux.

CATEGORYB1:INTERIMARRANGEMENTSLEADINGTOEVENTUALFULLUPGRADING

• Workshopcategorisationanddevelopmentaldirectionwithcommunity.

• Identifyandrapidlyactioncriticalhealthandsafetymitigationmeasures.

• Prioritiseplanninganddesignforinterimbasicservices.• Fullsitedevelopmentpotentialassessment.• Determinelikelytimeframeforformalisationandhousingdelivery.• Determineanyrelocationimplications.• Proactivelymanagefurtherinflux.

CATEGORYB1EXTENDED:INCREMENTAL

AsforconventionalformalfullupgradingandincrementalfullupgradingaboveEXCEPTthat:• Formaltownplanningprocessesmaynotberequiredormayonly


For more details seeSection10,item3



Type ProjectpreparationrequirementsandplanningimplicationsorprioritiesFULLUPGRADING

berequiredinpart.• Landacquisitionmaynotbeimmediatelynecessary• Supportforhousingconsolidation/improvementsshouldbe

prioritisede.g.owner-driven.CATEGORYB2:DEFERREDRELOCATIONWITHINTERIMARRANGEMENTS

• Workshopcategorisationanddevelopmentaldirectionwithcommunity.

• Identifyandrapidlyactionkeyhealthandsafetymitigationmeasures(asabove).

• Accelerateprovisionofbasicservices• Assessadequacyofaccesstokeysocialfacilities,especiallyschools

andclinics,andwherenecessarymakeinterimsocialfacilityarrangements

• Initiateandsustainparticipativeplanning.• Determinelikelytimeframesuntileventualrelocation• Starttheprocessofidentifyinganeventualrelocationsiteinclose

consultationwiththecommunity• Proactivelymanagefurtherinflux.

CATEGORYC:IMMEDIATERELOCATION

• Conductaworkshoponcategorisationanddevelopmentaldirectionwithcommunity.

• Confirmthattherelocationisindeedimminentandthatanalternativerelocationsiteisavailable

• Understandandassesslivelihoodimpactsonthosewhoarerelocated.

• Planrelocationprocessincloseconsultationwithcommunity.• Assessandplanforkeysocialfacilitiesespeciallyschoolsand

clinicsatrelocationdestination.• Preventfurthersettlementonthevacatedunsafesite.

A financialplan (model) formsacriticalpartof theoverall settlementupgradingplan. It isalsoinformedbyotherpartsofthesettlementupgradingplanespeciallybythoserelatingtotheconceptandscope(i.e.all the intendedactivities thatneedtobe fundedtomakethesettlement upgrade succeed). There are a rangeof grant instruments that are relevant inrespectofthedifferentsettlementtypes.

PlanningwhenusingtheUISP

TheUISPappliestothefollowinginformalsettlementtypes:

• Conventional formal full upgrading (Category C) and incremental full upgrading(CategoryB1extended):Forservices,landacquisition,andallnecessaryprofessionalwork including town planning, design and planning approvals. Final top-structurephaseisfundedasafinalphaseusingaseparatetop-structuresubsidy.

For more details seeSection10,item4



• Interim arrangements (Category B1): For limited interim services and initialparticipativeandpreplanningwork.

TheUISPplanningframeworkisgenerallynotflexible.Thereasonsforthisare:

• Formal top-structure provision (state-subsidised housing) only occurs at best fromthemiddleofyearfiveintoyearsix.

• Fullengineeringservicesareprovided,atbest,frommidyearfourintoyearfive.

Bothoftheabovecanonlybeprovidedafterformalisationiswellunderway(i.e.afterlandacquisitionandtownshipestablishment).Thelevelofinterimengineeringserviceswhichcanbeprovidedislimited(amaximumofR3.6kisprovidedforinthecurrentsubsidyformula).

Timeframes can be significantly improved if an alternative approach is assumed whichrelatestoenablingamoreinformalupgradingapproach,suchasincrementalfullupgrading.Flexibility can be introduced so that housing improvements and more substantialengineering services can occur earlier. However, such flexibility would require furtherconsiderationbytheprovincialDHSMECsand/orthenationalDHS.

For references andresourcesclickhere



Content

1.Aplannedapproachtoinformalsettlementupgrading

“Failingtoplanisplanningtofail.”

1.1 Whatisaplannedapproach?

In Section5wediscussedhow todevelopaprogramme levelinformal settlement upgrading strategy and programme. ThisSectionoutlinestheactivitiesneededtoplanatthesettlementlevelanddevelopaninformalsettlementupgradingplan.

Whatisaprojectplan?

Aprojectplanwillmeandifferentthingstodifferentpeople.Toacommunityleaderitmaymeanasimplesetofdevelopmentalprioritieswithtimelinesforwhentheywillbeachievedandan indicationofwhowillberesponsibleforachievingthem.Toatownplanner itmaymeana townplanning layout.Toanengineer itmaymeananengineering services layoutwithdetailedcostestimates.Aprojectplanmayconsistofalloftheseandmayalsoincludeotherelements.

WhatisanInformalSettlementUpgradingPlan?

Aninformalsettlementupgradingplanshouldideallybeputinplacefrom the assessment and categorisation (AC) stageof anupgradingprojectandshouldbeupdatedas theprojectplanningunfolds.Theplanshouldbekeptsimpleandaccessibletocommunityleadersandthemunicipalityalike.

Themainpurposeofasettlementupgradingplanis:

• To conceptualise the upgrading of a settlement in broad terms (i.e. the overalldevelopmentalpathway, keydevelopmentalpriorities, stakeholder rolesandbroadtimeframes);

• To provide a focus for stakeholder agreement (in particularthe local community and municipality) in terms of theupgrading concept. It can thus be used as the basis for asigned social compact between the community and

ACwasdiscussedinSection5.

ParticipationapproacheswerediscussedinSection4.



municipality once consensus has been reached. An upgrading plan, which has notbeen negotiated and does not have buy-in from key stakeholders, cannot besuccessfullyimplemented.

1.2 Theimportanceofplanning

Effective planning and preparation is relatively inexpensive compared to implementation,butensures thataviableandappropriate concept isdeveloped,which isacceptedbykeystakeholders.Making changes at the planning stage is relatively inexpensive compared tochangesmadeduring implementationor construction. In informal settlementupgrading aplannedapproachisimportantforthereasonsstatedbelow.

• Riskscanbeidentifiedearlyonandaddressed.Iftheycannotbemitigated(reduced)then the upgrading of the settlementmay need to be terminated or the conceptredevelopedtofindadifferentsolution. Ifkeyriskssuchasgeotechnical instability,environmental sensitivities, land legal problems or the availability of bulkinfrastructure areonly detectedduring implementation, then theupgradingof thesettlementmaystall.Thiscancreatefundingandcommunityproblems.

• Thesettlementupgradingconceptwhichisdevelopedmustbeviable,appropriate,realisticandresponsiveto localcircumstances.Properplanningandfeasibilityworkensuresthatthedevelopersunderstandthesettlementsiteandthecommunity,andthe upgrading concept is appropriate to the local context. Developmentopportunities can also be maximised through proper consideration of a range ofsocial, technical and financial considerations (e.g. different alternatives orinnovationscanbeadequatelyexploredandassessed).

• Key stakeholders, including the local community andmunicipality, can understandand agree on the settlement upgrading concept. Proper planning ensures that theconceptiswell-researched,definedandadequatelynegotiatedbetweencommunityandmunicipality.Thereareusuallyvariouscompromisesthatneedtobemadeandallpartiesneedtofeelthattheyweremeaningfullyengaged.

• Projectimplementationissmootherandeasierandthesettlementupgradewillnoteasily become stuck or stalled during the implementation (construction) phase.Proper planning protects against the tendency to rush too quickly intoimplementation.

• Project funders including government departments are providedwith high qualityinformation,suchasfeasibilitystudiesandbusinessplans,uponwhichtheycanmakeinformed decisions. It alsomeans that the funders canmake faster decisions andthey are less likely to refer applications back for clarification or additionalinformation.

• Cashflowonthesettlementupgradeismorepredictable.Expenditurecanbemoreeffectively programmed over time, including on theMTEF. There ismuch less riskthatfundingwillnotbespentwithintheexpectedtimeframes.



• Under-expenditure onbudgets is a commonproblemdue to a tendency to under-estimate delivery timeframes. This can mean that funding for the next period isreducedduetothefailuretospendwhatwasallocated.

1.3 Developinginformalsettlementupgradingplans

Settlement upgrading plans requirework of various kinds (social, technical and financial).They do not evolve organically. They need to be funded and managed and include keyprocesseswithoutwhich the upgrading of a settlement cannot succeed.Over time,morework is done and the settlement upgrading plan becomes more specific, accurate andrealistic.

Settlement upgrading plans cannot be developed from behind a desk. They need to beinformedbyanunderstandingoftheprojectsite,thecommunityandthecontext,aswellasaclearunderstandingofpotentialfundingsources.Theymustbenegotiatedandagreedtoby key stakeholders (e.g. community and municipality). At the assessment andcategorisation(AC)stage,theplanisinformedbyapreliminaryassessmentandstakeholderengagementwork. Itwillbeanoverallroadmapwithkeypriorities identified.Whereintheprojectcycledoesplanningoccur?

Informalsettlementupgradingplansarenotstatic,butevolveover

time

AttheACstagethesettlementupgradingplanwillbeverybroadwithlimiteddetail.Itwillhighlight the overall upgrading direction,main priorities and targeted funding sources. Bythe time implementation commences there will be significant additional information, forexample detailed feasibility and/or specialist reports, town planning and engineeringlayouts,andtop-structuredesigns.



Thefollowingarethemaintypesofsettlementupgradingplansatdifferentstages:

• At the assessment and categorisation stage: A short profile, the developmentalpathway,maindevelopmental priorities, indicative costs basedon costs for similarprojects(thisissufficientfortheMTEF).

• At the pre-feasibility stage: Pre-feasibility-level technical studies/assessmentsinclude: geotechnical, environment, legal, bulk services availability assessment,topographicandanyothersite-specificstudieswhichmightberequired(e.g.trafficimpactstudy,floodlinedetermination).

• At the subsidy application stage: A full feasibility study with specialist reports,preliminary services design, cost estimates for the next detailed design andconstructionstage,andabusinessplanoutliningthesettlementupgradingconcept.Forafullupgrading,preliminarytownplanninglayoutsandtop-structuredesignswillalsobeincluded.

• Atthedetaileddesignstage:Theplanmustprovidesufficientinformationtoprocureand contract for constructionand therefore should containdetaileddesign reportsandspecificationswithdetailedandaccuratecostestimatesforconstruction,tenderdocuments.

Fundingforprojectpreparationandsubsidyapplication

Atthesubsidyapplicationstagetheinformalsettlementupgradingplanisinformedbyafullfeasibility study including technical work, as well as community and other stakeholderengagement and participation. Funding for such work will be required. Very often suchfundingisnotreadilyavailable,whichposesconstraintsintermsofsubmittinghighqualityupgradingplanstofunderssuchastheDepartmentofHumanSettlements.

1.4 Keyplanningsuccessfactors—projectfundamentals

Whatareprojectfundamentals?

Projectfundamentalsarefactorswhicharefundamentaltoprojectsuccess.Withoutthemaprojectwill surely fail.With them a settlement upgrading ismost likely to succeed. Theyoftenconstitutethekeyissuesthatarethreatsiftheyarenotattendedtoearlyon.

Whatprojectfundamentalsarerequiredforsuccess?

• Aprovenneedfortheproject;• Available funds:Lineitupearlyonandknowthefundersrequirements!Makesure

thereisasourceoffundingthatcanmostlikelybesecuredordon’tproceedfurther;• Asuitablesiteandlocation;• Stakeholder support and involvement: Formulatea clear conceptwith community

buy-in.Thecommunityshouldbeinvolvedindecision-makingandchoices.Thismay



be througha social compactwhich isa signedagreementbetween thecommunityandthemunicipality;

• A professional team (specialists) to do the work of planning and designing thesettlementupgrade.Thisprofessionalserviceisusuallyoutsourcedandprocured.

2.Developingasettlementupgradingplan

2.1 Keyfactorsthatinformhowyouplan

An upgrading response plan is informed by a range of factors. How you plan with varygreatlydependingonthesefactors.

Keypoints

• Thetypeofthesettlement:Differenttypesofsettlementrequiredifferentplanningapproaches.

• Target funder/grant mechanism: The requirements andconditionsofthetargetfunderorgrantvarysignificantlyandwillhaveplanning implications(e.g.UISPvsUSDGvsMIGvsEH vs PHP). For example, who is eligible for the grant andwhat specialist studies need to be included in an application pack will have animpact. You can also only provide what you can secure funding for. For example,under UISP there are set funding limits for specific items such as engineeringservices,soyoucannotplanforalevelofengineeringservicethatisnotsupportedbythegrant.Inadditioneachfundermeasuresspecificoutputsfromthegrantmoney.Thisneedstobeincorporatedandwillinfluencetheplanningprocess.

• The density of the settlement: Settlement density is one of the biggest factorsaffectingsettlementplanning. It isverydifferentandmucheasiertoplanwhenthesettlement density is low and there is plenty of space for access ways, to installservicesandtoenablehousingdevelopment.Bycontrast,inmanyhighdensityurbaninformalsettlementsthereisanacutespaceshortageandalmostallavailablespaceis being used. This makes upgrading much more difficult. Avoiding or minimizingrelocationsmayrequirespecialhousingsolutions(e.g.double-story,attachedunits)andfewerroadsandmorepedestrianpathways.

• Scale of the project/settlement: It isnotalwaysviable toexpendsignificanteffortandfundingtoprepareandplanaverysmallupgradingproject(e.g.lessthan50or100households).Theplanningcostsareusuallyeventuallyfundedfromtheavailablecapital funding and will be disproportionally high for a small project. Very smallprojectswill need tobebatched togetherwithothersordealtwithbymeansof averystreamlinedplanningprocess.

FinancialmechanismsarediscussedinSection11.



• Technical site suitability factors: These include the geotechnical conditions,topography, underlying land ownership and legal issues, and environmentalconsiderations.Thesewillallaffectwhattasksandactivitiesmustbeundertaken.Itisnotpossibletoplaneffectivelywithoutadequateinformationonthesefactors.

• Locationalfactors:Theplanningapproachmaybequitedifferentforperi-urbanlandfallingunderatraditionalauthorityversuslandintheinnercity.Thetypeoflayout,eventuallevelofservice,thetenurearrangementsandthesocialfacilitieswilldiffersignificantly.

• Theupgradingapproachandhousingdeliverymethod:Howyouplanasettlementupgradewillvarysignificantlydependingontheconceptandapproach.Forexample,if formal full upgrading is intended, then land needs to be acquired as soon aspossible. If,however,only interimarrangementsandbasic servicesare intended inthemedium-term,then landacquisition isnotan immediatepriorityand itmaybeinappropriateinfacttoincurlandacquisitioncostsupfront.

2.2 Contentofasettlementupgradingplan

Asettlementupgradingplanshouldbekeptasshortandsimpleaspossiblesothatitiseasyto read for bothmunicipal officials and community leaders alike. It should be a summarydocumentwhichprovidesoveralldirectionasopposedtoadetaileddocumentcontainingallprojectinformation.Additionaldocumentssuchasfeasibilityreports,townplanninglayouts,Ganttcharts,andsubsidyapplicationswillariseasanupgradingprojectprogresses.Howevertheyshouldbeseenasfurtherdevelopmentsoftheinitialupgradingplan,whichmayneedtobeupdatedfromtimetotime.Detaileddocumentsshouldbeattachedtotheplan.

The following key content would typically be included in asettlement upgrading plan. (Note that the first version of this planwould arise from the AC process.) The content is divided into twosections: the background and assessment, and the proposed plan.TheproposedplancoversthenineworkstreamsthatweidentifiedinSection5.

3. Backgroundandassessment

• Settlement profile: Settlement name, locality, number of households or shacks,population,historyandestablishment;

• Categorisation: The NUSP categorisation (see Section 5, section 3.3) including thereason for thecategorisation.This indicates theoveralldevelopmentdirection thatwillbetaken;

• Statusquoassessment:o Existingbasicinfrastructure(water,sanitation,roads,electricity);o Existingaccesstokeysocialfacilities(e.g.schools,clinics,hospitals,ECDcentres);o Land ownership and tenure (including informal tenure relations and sub-

tenancy);

FinancialmechanismsarediscussedinSection11.



o Demographicprofileofthecommunity;o Existing livelihoodstrategies–howresidentscurrentlysurvive (e.g.wherethey

mighthavejobs,informalincomegeneratingactivities);• Site development potential assessment: The potential of the existing site for

eventualformalisationandthereasonforthis;andifthesitecanbedevelopedhowmuch of it and what potential housing yield could be realised. This includescommentaryonaspectssuchasgeotechnicalconditions,topography,environmentalissues,bulkservices,landlegalissues;

• Vulnerability assessment: An assessment of critical health and safety threats orchallenges (e.g. inadequate water and sanitation, flooding, slope instability, solidwastedisposal,firehazards).

4. Theproposedsettlementupgradingplan

• Details on how imminent health and safety threatswill be addressed (if relevant):e.g.fireprotection,solidwasteremoval,sanitation,potablewater;

• Detailsonhowbasicinfrastructurewillbeprovided:Suchaswater,sanitation,roads,electricity. (Note that this will overlap with measure taken to reduce health andsafetythreats);

• Detailsonhowtenurewillbeaddressed: Indicatingeventualintended tenure solution as well as interim tenurearrangements(e.g.administrativerecognition);

• A participation plan: Indicating how communication andcommunity participation will be achieved and sustained,includingwhowill be involved from the communityand themunicipality;

• Housing:Theplanforalong-termsolution,aswellasinterimarrangements.Keymunicipalservicesrequirements:e.g.solidwasteremoval,fireprotection;

• A relocation plan: This is only necessary if there will berelocations(partial,temporaryorpermanent).Thismaybetode-densify the site before formalisation occurs, or if theentire settlement is to eventually be relocated. Remember that relocations arealwaysalastresort;

• Socialfacilitiesaccess:Thisistheplantoprovidesocialfacilitiesincludingeducationandhealthcare;

• Annexures:Thefollowingannexurescouldbeincluded:o Localityplan;o Aerialphotographshowingsettlementboundary;o Availablesitedevelopabilityplans;o Anyothertechnicalstudies,reportsorplans(e.g.geotechnicalreports,landlegal

investigations,planninglayouts).

TenurewasdiscussedinSection7.

ParticipationwasdiscussedinSection4.

ImproveddwellingswerediscussedinSection9.

RelocationswerediscussedinSection6.



Interimarrangements—anessentialplanningelement

Irrespective of the categorisation of a particular settlement, anysettlementwhich is not about to be immediately relocated shouldreceive interim arrangements. It is noted that the level ofinvestment and degree of interim response will vary between settlements depending onavailableresourcesandsettlementcategory.Interimarrangementscouldinclude:

• Basic infrastructural services: Water supply, sanitation, road access, possiblyelectrification;

• Redress of imminent health and safety threats: Forexample fireprotection, solidwasteremoval;

• Participativeengagement;• Improvedaccesstokeysocialfacilities:Suchaseducationandhealthcare;• Administrative recognition: Either as a permanent settlement or a temporary

settlementdueforeventualrelocation;• Inclusioninmunicipalplanningandbudgetingprocesses.

InterimarrangementswerecoveredindetailinSection6.3.Planningfordifferentinformalsettlementtypes

3.1 Planningprioritiesfordifferenttypesofinformalsettlement

Thedifferenttypesofinformalsettlementshavedifferentprojectpreparationrequirementsandplanningimplicationsorpriorities.Intheinformationbelow,thefollowingabbreviationsareused:

UISP=Upgradingof InformalSettlementsProgramme(DepartmentofHumanSettlements(DHS))

USDG=UrbanSettlementsDevelopmentGrant(Treasury)

IRDP=IntegratedResidentialDevelopmentProgramme(DHS)

MIG=MunicipalInfrastructureGrant(COGTA)

PHP=Peoples’HousingProcess

RelocationswerediscussedinSection6.



Conventionalformalfullupgrading(CategoryA)

Relevantgrants:UISP,PHP,IRDP(USDG/MIGforbulkservices).

CATEGORYA:CONVENTIONALFORMALFULLUPGRADING

KEYPROJECTPREPARATIONANDPLANNINGIMPLICATIONSANDPRIORITIES

Basicservices,tenureandhousing Socio-economicfacilities,economy,participationandintegration

• Conduct workshops on thecategorisation and developmentaldirectionwithcommunity.

• Identify and rapidly action criticalhealthandsafetymitigationmeasurese.g. fire protection, solid wasteremoval.

• Undertake full assessment of sitedevelopmentpotential (pre-feasibilityleveltechnicalstudies).

• Determine housing concept andhousing yield which can be achieved(broadhousingtypologyanddensity).

• Move ahead rapidly with landacquisition.

• Determine relocation implications—this should be minimised throughmaximisinghousingyield.

• Commence with formal planningprocesses(e.g.topographicalsurveys,planning approvals, townshipestablishment, environmentalapprovals).

• Proactively manage further influxthrough effective communitycommunications.

• Assessadequacyof,andplanfor,keysocial facilitiesespeciallyschoolsandclinics.

• Initiate and sustain participativeplanning.

• Undertake other priority initiativesidentified by the community throughparticipativeprocesses.



Interimarrangementsleadingtoeventualfullupgrading(Category

B1)

Relevantgrants:UISP,USDG,MIG(USDG/MIGforbulkservices).

CATEGORYB1:INTERIMARRANGEMENTSLEADINGTOEVENTUALFULLUPGRADINGKEYPROJECTPREPARATIONANDPLANNINGIMPLICATIONSANDPRIORITIES


• Workshop categorisation anddevelopmental direction withcommunity.

• Identify and rapidly action criticalhealthandsafetymitigationmeasures(asabove).

• Prioritise planning and design forinterim basic services. Preliminaryblock layout sufficient for interimservices.

• Full site development potentialassessment. As above to confirmlong-termformalisationpotential.

• Determine likely timeframe forformalisation and housing delivery;when current impediments to fullupgrading such as land availability orfundingorbulkservicesprovisionwillbe resolved and plan further projectphases (e.g. housing delivery)accordingly.

• Determine any relocationimplications.

• Proactivelymanagefurtherinflux.Note: Land acquisition is not required forinterim services (especially when usingUSDGandMIG),butshouldbeundertakenin advance of formalisation and housingdelivery.

As for conventional formal full upgrading(above)andincrementalfullupgrading(below).



Incrementalfullupgrading(CategoryB1extended)

Relevantgrants:UISP,PHP,IRDP(USDG/MIGforbulkservices.)

CATEGORYB1EXTENDED:INCREMENTALFULLUPGRADINGKEYPROJECTPREPARATIONANDPLANNINGIMPLICATIONSANDPRIORITIES


As for conventional formal full upgrading andincrementalfullupgradingaboveEXCEPTthat:• Formaltownplanningprocessesmay

not be required or may only berequired inpart.Alternativeplanningsolutions such as an informalsettlementdevelopmentzonemaybeconsidered.

• Land acquisition may not beimmediately necessary especially ifowner-driven non-formal housingimprovements or consolidation willoccur on improved engineeringservicesprovision.

• Support for housingconsolidation/improvements shouldbeprioritisede.g.owner-driven.

Asforconventionalformalfullupgradingabove.



Deferredrelocationwithinterimarrangements(CategoryB2)

(Emergencybasicservices)

Relevantgrants:USDG,MIG,EH.

CATEGORYB2:DEFERREDRELOCATIONWITHINTERIMARRANGEMENTSKEYPROJECTPREPARATIONANDPLANNINGIMPLICATIONSANDPRIORITIES


• Workshop categorisation anddevelopmental direction withcommunity.

• Identifyandrapidlyactionkeyhealthand safety mitigation measures (asabove).

• Accelerateprovisionofbasicservicesandpossible temporary top-structureimprovements to addressvulnerabilities and health and safetythreats.

• Determine likely timeframes untileventual relocation (greenfieldsdevelopments take many years tocomplete).

• Start the process of identifying aneventual relocation site in closeconsultation with the community(preferably permanent otherwisetemporary if unavoidable) and startprocess of planning it (including sitefeasibilities, land acquisition in thecaseofapermanentdestination).

• Proactivelymanagefurtherinflux.

Note: a site development potential assessment(pre-feasibility) of the informally-settled land isnotnecessary.

• Assess adequacy of access to keysocialfacilities,especiallyschoolsandclinics, and where necessary makeinterim social facility arrangements(e.g. mobile clinics, transport forschoolchildren).

• Initiate and sustain participativeplanning.



Immediaterelocation(CategoryC)

Relevantgrantsforapermanentrelocationdestination:UISP,MIG,EH,IRDP,PHP.

Relevantgrantsforatemporaryrelocationdestination:EH.

CATEGORYC:IMMEDIATERELOCATIONKEYPROJECTPREPARATIONANDPLANNINGIMPLICATIONSANDPRIORITIES


• Conduct a workshop oncategorisation and developmentaldirectionwithcommunity.

• Confirmthattherelocationisindeedimminent and that an alternativerelocation site is available (eithertemporarysiteorpermanente.g.lowincomehousingproject).Confirmthatthe relocation destination isappropriate and functional for thepeoplebeingrelocated.

• Plan relocation process in closeconsultationwithcommunity.

• Prevent further settlement on thevacatedunsafesite.

• Understand and assess livelihoodimpactsonthosewhoarerelocated.

• Ensure relocation is negotiated withresidents.

• Ensure relocation destination isvisitedandunderstoodbysettlementrepresentatives.

• Assess and plan for key socialfacilitiesespeciallyschoolsandclinicsatrelocationdestination.

3.2Budgetingforupgrading:fundingmechanisms

Afinancialplan (model) formsacriticalpartof theoverall settlementupgradingplan. It isalsoinformedbyotherpartsofthesettlementupgradingplanespeciallybythoserelatingtotheconceptandscope(i.e.all the intendedactivities thatneedtobe fundedtomakethesettlement upgrade succeed). There are a rangeof grant instruments that are relevant inrespectofthedifferentsettlementtypes.TheywillbecoveredinSection11.



4.PlanningwhenusingtheUISP

4.1TheUISPandtheinformalsettlementtypes

TheUISPappliestothefollowinginformalsettlementtypes:

• Conventional formal full upgrading (Category C) and incremental full upgrading(CategoryB1extended):Forservices,landacquisition,andallnecessaryprofessionalwork including town planning, design and planning approvals. Final top-structurephaseisfundedasafinalphaseusingaseparatetop-structuresubsidy.

• Interim arrangements (Category B1): For limited interim services and initialparticipativeandpreplanningwork.

4.2TimeframeswithinthecurrentUISPframework

TheUISPplanningframeworkisgenerallynotflexible.Thereasonsforthisare:

• Formal top-structure provision (state-subsidised housing) only occurs at best fromthemiddleofyearfiveintoyearsix.

• Fullengineeringservicesareprovided,atbest,frommidyearfourintoyearfive.

Bothoftheabovecanonlybeprovidedafterformalisationiswellunderway(i.e.afterlandacquisitionandtownshipestablishment).Thelevelofinterimengineeringserviceswhichcanbeprovidedislimited(amaximumofR3.6kisprovidedforinthecurrentsubsidyformula).

Reducingthetimeframes

Timeframes can be significantly improved if an alternative approach is assumed whichrelatestoenablingamoreinformalupgradingapproach,suchasincrementalfullupgrading.SetoutbelowaretwoGantttimetablesforaUISPIncrementalUpgradingProject.Thefirstshows the time frame for the project assuming formal upgrading. The second shows thetimetableforassumingandalternativenonformalapproach.



Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Communityenagagement&participation ongoing

Initiation: 3Assessment,categorisation,responseplan 3

Application/approvalUISPph1 3

Phase1(Feasibility,temp.services,landacq.) 21Procureprofessionalservices 3

Socio-economicsurvey 3

Geotechnicalinvestigation 3

Othersitefeasibilitystudies-environmental,

topograpy,bulksservices,landlegaletc.

3

Landacquisition 12

Preliminaryplanning 6

Designinterimservices 6

Procureforconstructioninterimservices 3

Interimengineeringservicesconstruction 12

Application/approvalUISPph2&3 3

Phases2and3(Fullservices,design,approvals) 30

Procureprofessionalservices 3

Topographicsurvey(contours+keyfeatures) 3

Geotechsurvey 3

EIA(environmentalauthorisations) 6

Detailedtownplanning 6

Detailedengineeringdesign 6

Townshipestablishment&planningapprovals 6

Generalplansubmit&approve 3

Beaconsites 3

Procureforconstructionperm.services 3

Permanentengineeringservicesprovision 12

Application/approvalUISP/PHPph4 3

Phase4(Topstructures/tenure) 21Procureforhousingphaseasapplicable 3

Housingdelivery/consolidation 12

Individualtitle/conveyencing 12

Closeout 3

SimplifiedTime-tableforUISPIncrementalUpgradingProject-Ganttformat(assumingformalupgrading)Year6

Activity/phaseDuration(mnths)

Year1 Year2 Year3 Year4 Year5



Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4Communityenagagement&participation ongoingInitiation: 3Assessment,categorisation,responseplan 3Application/approvalUISPph1 3Phase1,2A,3A(Feasibility,temporaryandfullservices,housingimpr.)

21

Procureprofessionalservices 3Socio-economicsurvey 3Mitigationofurgenthealth&safetythreats 6Geotechnicalinvestigation 3Othersitefeasibilitystudies-environmental,topograpy,bulksservices,landlegaletc.

3

Landacquisition 12Topographicsurvey(contours+keyfeatures) 3Geotechsurvey 3Prelimplanning(atleastblocklayout) 6Planhousingimprovements/consolidation 6Additionaltownplanningasnecessary 6Designinterimandfullservices 6Beaconsites 3Procureforconstructionservices-interim&perm. 3Engineeringservicesconstruction-interim&perm. 12Housingimprovements/consolidatione.g.EPHP 24Interimtenuree.g.municipalcertificate 24Lessformalplanningsolutione.g.specialdev.zone 12Application/approvalUISPph2B,3B 3Phase2B&3B-asapplicable&relevant-includingEIA,townshipestablishment,generalplan

15

EIA/environmentalapprovals 3Townshipestablishment&planningapprovals 6Generalplansubmit&approve 3Application/approvalUISPph4 3Phase4-asapplicableandrelevant-incl. f ormalhousing/titledeeds)forqualifyingbeneficiaries

21

Procureforhousingphaseasapplicable 3

Housingdelivery/consolidation-formalasrequired 12

Individualtitle/conveyencing-asrequired 12Closeout 3

SimplifiedTime-tableforFullUpgradingProject-Ganttformat(assumingalternative/non-formalapproach)Year5 Year6

Activity/phaseDuration(mnths)

Year1 Year2 Year3 Year4



Keypoints

• InthesecondGantttimetableflexibilityisintroducedsothathousingimprovements

andmoresubstantialengineeringservicescanoccurearlier.However,suchflexibility

wouldrequirefurtherconsiderationbytheprovincialDHSMECsand/orthenational

DHS.

• Incrementaltop-structureimprovementsandconsolidationcouldnowstartfromthe

middleofyeartwo(broughtforwardbythreeyears)evenifthesemightinitiallybe

largelyowner-drivenandnotusingthefullstatetop-structuresubsidy(buthopefully

withsomestatesupport).

• Fullengineeringservicescouldnowpotentiallybeprovidedfrommidyeartwointo

yearthreeprovidingamuchbetterplatformforhousingconsolidation.

• Bothtop-structureimprovementsandengineeringservicesarenowprovidedonthe

basis of site suitability studies and municipal categorisation for less formal, full

upgrading.Theyareprovidedinparallelwithlandacquisitionandarenotputonhold

untillandisacquired.

• Topographic and geotechnical surveys aremoved earlier into Phase 1. This would

alsorequiregreaterflexibilityintermsofusualregulationsrelatingtotownplanning

schemes, municipal by-laws and building regulations so that a less formal

development area can be accommodated. Examples would be relaxation of

requirements for road access to every house, parking bays, usual building lines,

formal building regulations, usual township establishment processes. The use of

somethinglikeaspecialinformalsettlementzonemightassist.Notethatthereisnot

yetanylegalorstatutoryframeworkforless-formalupgrading.

Summary—theUISPplanningprocess



Toolkit

YouwillfindthefollowingresourcesontheToolkitCD:

• DetailedInformalSettlementCategorisationFramework(NUSP)

• The National Housing Code, Volume 4, Incremental Interventions, Upgrading

InformalSettlements

ReferencesandResources

• Informal Settlement Rapid Assessment and Categorisation Guideline and Summary

Guideline(HDA/PPT2014).

• DecisionFlowChartforUpgrading.

• ProjectPreparationCycle(PlanningCycle)—PPT2010.

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