ADVANCING A CO-PRODUCTION APPROACH TO UPGRADING INFORMAL SETTLEMENTS IN SOUTH AFRICA - A GUIDE FOR MUNICIPALITIES - VPUU
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ADVANCING A CO-PRODUCTION
APPROACH TO UPGRADING INFORMAL
SETTLEMENTS IN SOUTH AFRICA
A GUIDE FOR
MUNICIPALITIES
Isandla Institute works towards the
realisation and enactment of urban
citizenship, for current and future ACKNOWLEDGEMENTS
generations. We seek to promote and
contribute to systems and practices of This guide is drawn from primary and secondary
urban governance that are democratic, research undertaken by Isandla Institute,
inclusive, equitable, accountable and supported by funding from Comic Relief.
sustainable. Since 2014, we have facilitated
a community of practice on informal The guide is the result of an extensive team effort
settlement upgrading in Cape Town. at Isandla Institute and was written by Palmira
de Almeida, Jens Horber, Martha Hungwe, Tracy
Postal address: Jooste, Rebecca Matsie and Mirjam van Donk.
Isandla Institute Walter Fieuw produced the first iteration of the
P.O. Box 53057 draft guide. Text editing was done by Kristina
Kenilworth 7745 Davidson of Write to the Point.
Cape Town
South Africa During the course of the project, focus groups
were conducted with representatives from
Physical address: Buffalo City Metropolitan Municipality, Nelson
Ubunye House Mandela Bay Metropolitan Municipality and the
70 Rosmead Avenue Western Cape Department of Human Settlements.
Kenilworth 7708
We are indebted to them for their time and
Cape Town
openness to share insights and experiences.
South Africa
We are also grateful to representatives from
T: +27 21 683 7903
Ubuhle Bakha Ubuhle, People’s Environment
E: admin@isandla.org.za
Planning, and the Craft and Design Institute, who
W: www.isandla.org.za
participated in key informant interviews.
Published in 2019 Special thanks to Seth Maqetuka (Cities Support
Design by polygram.co.za Programme, National Treasury), Mark Misselhorn
Photographs courtesy of Masixole Feni/ (Project Preparation Trust), Steve Topham and
Shaun Swingler/Isandla Institute Sarah Watson (eThekwini Municipality) for giving
Cover Photo: Alexia Webster valuable input on earlier drafts of the guide.
CONTENTS
Foreword. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Informal settlements and co-production. . . . . . . . . . . 6
1. Co-production and community participation. . . . . . . . . . 7
2. Institutional capability in the municipality. . . . . . . . . . . 13
3. An environment to enable co-production . . . . . . . . . . . . 15
4. Informal settlements categories and
developmental pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Co-production opportunities in the
upgrading process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
5. The upgrading process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
6. Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
7. Essential services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
8. Tenure and land. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
9. Settlement design and spatial layout . . . . . . . . . . . . . . . . 55
10. Incremental housing consolidation . . . . . . . . . . . . . . . . . . 61
Navigating the complexities of
co-production. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
11. Managing challenges, expectations and conflict. . . . 71
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
FAQ’s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
LIST OF ACRONYMS
BEPP Built Environment Performance Plan The role of communities
CAP Community Action Plan
CBO Community-Based Organisation
in upgrading processes
CDC Community Development Committee is of vital importance.
CSC Community Score Cards
Yet, evidence shows that
CSP Cities Support Programme
DAG Development Action Group a top-down, technocratic
ECD Early Childhood Development approach tends to
EIA Environmental Impact Assessments
EPHP Enhanced People’s Housing Process characterise informal
FEDUP Federation of the Urban and Rural Poor settlement upgrading.
GIS Geographic Information System
HSP Human Settlement Plan
IDP Integrated Development Plan
ISSP Informal Settlements Support Plan
M&E Monitoring and Evaluation
MFMA Municipal Finance Management Act
MLS Managed Land Settlement
MTEF Medium-Term Expenditure Framework
NGO Non-Governmental Organisations
NHBRC National Home Building Registration Council
NHC National Housing Code
NUSP National Upgrading Support Programme
QLC Quick, Light and Cheap
RAC Rapid Assessment and Categorisation
RPA Rapid Participatory Appraisal
SDBIP Service Delivery and Budget Implementation Plan
SDF Spatial Development Framework
TRA Temporary Relocation Area
TRSA Transitional Residential Settlements Areas
UISP Upgrading Informal Settlements Programme
VIP Ventilated Improved Pit Toilets
VPUU Violence Prevention through Urban Upgrading
1
FOREWORD
The need for a broad integrated human National policy and provincial frameworks,
settlements strategy that addresses the such as BNG, the Upgrading of Informal
various housing needs in municipalities was Settlements Programme (UISP) of the 2009
identified and expressed in the Breaking New National Housing Code and the Western
Ground (BNG) policy document of 2004. This Cape Informal Settlements Strategic
led to the prioritisation of informal settlement Framework (ISSF), provide guidance on how
upgrading. to approach informal settlement upgrading.
However, in reality informal settlement These documents also emphasise the
upgrading has been on the backburner, with importance of community involvement
the delivery of RDP/BNG houses remaining on in upgrading and clarify what is required,
the forefront. It seems that only recently, due particularly of municipalities, to embed
to the limitations and challenges associated a participatory approach in upgrading
with large-scale public housing delivery, processes. Furthermore, significant research
government is taking upgrading of informal on coproduction in informal settlement
settlements more seriously. Turnkey projects upgrading has been done, resulting in clear
are failing to meet the housing demand that conclusions on what works, what does
is increasing annually due to population/ not work and how best to work with local
household growth, urbanisation, migration communities, depending on local conditions
and the exclusionary housing market. This and realities.
is resulting in both the proliferation and Municipalities are primarily responsible
permanence of informal settlements, which for informal settlement upgrading, and for
were once deemed temporary. More than doing this in an incremental, inclusive and
ever before, there is a need to transform participatory manner. The critical issue is to
these settlements into livable, vibrant ensure that they have the resolve, knowhow,
neighbourhoods through incremental capacity, resources, relationships/networks
upgrading. and institutional arrangements to do so, in
The role of communities in upgrading accordance with national and provincial
processes is of vital importance. Yet, evidence policy and guidelines, and informed by good
shows that a top-down, technocratic practice examples. This Municipal Guide
approach tends to characterise informal seeks to give practical guidance in this regard.
settlement upgrading. The role of
communities cannot be understated. After all, Mirjam van Donk
they have the best contextual knowledge of Director
what is required to develop their settlement, Isandla Institute
which facilities their community needs and
how those facilities would best be used, and
what the local priorities are.
INTRODUCING THE GUIDE TOWARDS A NEW PRACTICE
3
INTRODUCTION communities. Like other communities, the
residents of informal settlements want to be
involved in improving their living conditions
Informal settlements create and to demand accountability from
government.
a particular challenge and
Municipalities need to understand the logic
responsibility for municipalities. of informality. Instead of concentrating only
The living conditions in informal on technical upgrading, which often disrupts
settlements are undignified and the complex social networks and livelihood
threaten the health of residents and strategies of residents, municipalities have to
the sustainability of livelihoods; adopt a more holistic approach to upgrading
yet informal settlements perform informal settlements that looks at more than
a valuable – and often neglected just the physical aspects and vulnerabilities.2
In 2004, national government moved
– social, economic and cultural
towards upgrading informal settlements,
function. but several barriers remain. These include
Well-located informal settlements provide institutional challenges, the lack of alignment
poor and low-income households with a between municipal goals and community
foothold in cities and improved access to needs, and a lack of transparency and 1: Misselhorn, M. 2008. Position Paper on
Informal Settlement Upgrading (draft), Part
economic and other urban opportunities. inclusion in decision-making during the of a Strategy for the Second Economy for
the Office of the South African Presidency.
Informal settlement communities reflect a upgrading process. These barriers can be Available at: http://www.pptrust.org.
za/wp-content/uploads/delightful-
distinct economic and social fabric where addressed by recognising informal settlement downloads/informal-settlement-paper.pdf
housing tenure is flexible and self-regulated, residents as potential co-producers of an 2: Ehebrecht, D. 2014. The Challenge of
and social networks develop over time.1 upgraded settlement and by capacitating Informal Settlement Upgrading: Breaking
New Ground in Hangberg, Cape Town?
Informal settlements offer a glimpse of municipal officials, so that they have the skills Potsdamer Geographische Praxis 7. p.
35. Available at: https://publishup.uni-
both the ingenuity and obstacles facing and orientation to work with communities as potsdam.de/opus4-ubp/frontdoor/deliver/
index/docId/6981/file/pgp07.pdf
co-producers.
4 Isandla Institute
Effective upgrading requires municipalities A secondary target group is municipal
to build trust with communities and engage councillors, who can use this guide to
with representative community structures. support them in fulfilling their mandate in
Municipal officials need to subscribe to the context of informal settlement upgrading.
participatory processes and be equipped Councillors may find useful information
to engage meaningfully with residents of and techniques that supports them in
informal settlements. And municipalities representing their communities in decision-
have to understand that meaningful making, harnessing the skills and knowledge
engagement processes are demanding of informal settlement residents, and aligning
and resource-intensive, and that upgrading co-production approaches to municipal plans
has to balance the financial, technical and and activities.
process constraints of municipalities with the
social needs and structures of communities. WHY THIS GUIDE?
Notwithstanding these complexities, Several guides on informal settlement
ultimately the benefits of engagement will upgrading are available.3 They detail the
outweigh the challenges. tools, methodologies and institutional
arrangements necessary for a more effective
WHO SHOULD READ THIS upgrading process, from the view of the
GUIDE? state. Yet one of the many challenges facing
This Municipal Guide is primarily targeted municipalities is facilitating meaningful
at municipal officials, such as planners, community participation when upgrading
engineers, project managers, and other informal settlements. Participation is often
built environment professionals with some at best limited to consulting the community
experience of informal settlement upgrading on the location of social facilities and,
in South Africa. They include: occasionally, settlement layout. Interviews
with municipal officials revealed the following
• Those who are proponents of participatory
reasons for this limited participation:
informal settlement upgrading. The guide
supports their efforts to pursue co-produc- • A lack of skills or capacity to fully engage
tion and offers practical ways of strength- communities during upgrading.
ening and/or mainstreaming co-production • Insufficient financial and human resources
approaches at city-level scale. allocated to the project.
• Those who are unconvinced of the merits of • Constraining technical regulations, insti-
participatory informal settlement upgrad- tutional arrangements and audit require-
3: These include National Treasury’s Cities
Support Programme toolkit Preparing to ing or uncertain of what it entails. The guide ments.
Scale Up Informal Settlement Upgrading in
South Africa: A City Wide Approach (2017), contains persuasive arguments for co-pro- • Deep mistrust that informal settlement
the NUSP toolkit, and the UN-Habitat Slum
duction and guidance on how to transform communities have for the state.
Upgrading guide and the DHS Housing
Process Guide. their approach. • Existing tensions between centres of power
within communities.
Introduction 5
These challenges mean that participatory
informal settlement upgrading, using co-
OUTLINE OF THE GUIDE
production tools and methodologies, is often This guide is structured in three parts: the first
viewed as a “nice to have”, rather than core to part presents an argument for co-production
the process. as an effective way for municipalities to
This guide tries to re-frame seemingly work with communities, emphasising
intractable issues and constraints, and assist its socio-technical underpinnings and
municipal officials in creating and holding contextualising it within the policy and legal
a space for greater participation and co- context. It also examines what is needed
production with communities in informal to create an institutional environment that
settlement upgrading processes. It responds supports co-production. The second part
to the realities and constraints facing gets in to the various components of an
municipalities, and seeks to assist officials in informal settlement upgrading project:
creating the space and shifting the mind- planning, essential services provision, land
set across all three spheres of government and tenure decisions, settlement design
towards co-production in informal settlement and spatial layout, and incremental housing
upgrading. consolidation. It offers practical suggestions
The guide navigates the various moments for working with communities on these
in the upgrading process that present aspects of upgrading, using co-production
opportunities for greater participation and techniques and methodologies. The third part
co-productions. It identifies possibilities for recognises some of the challenges of pursuing
co-production and the relationships between co-production in upgrading and focuses on
all actors in an upgrading project, within managing conflicts and expectations.
the context that the extent of participation
and co-production will vary depending on
the settlement category. Overall, the guide’s
aim is to enable municipalities to engage OBJECTIVES OF THE GUIDE
in upgrading processes that meaningfully • To provide municipalities with guidelines, tools and methodologies
respond to communities needs and to instil and drive co-production in participatory informal
aspirations, and sustain social networks, settlement upgrading.
livelihoods and a better quality of life.
The guide appreciates that municipal • To support the development of institutional capacities to direct
officials operate in a complex and demanding internal conversations, strategy formulation and change processes
towards true participatory informal settlement upgrading.
institutional and socio-political environment.
Managing challenges, expectations and • To clarify the roles and responsibilities of municipalities, local
conflict is an inherent part of informal communities, civil society organisations, human settlements
settlement upgrading processes, and is officials and other actors in informal settlement upgrading.
further discussion in Section 12.INFORMAL SETTLEMENTS AND CO-PRODUCTION MAKING COMMUNITY KNOWLEDGE COUNT
7
1. CO-PRODUCTION often have the ability to identify and solve
governance and service delivery problems
AND COMMUNITY that government cannot.4
PARTICIPATION 1.1 A SOCIO-TECHNICAL
APPROACH
Participation is at the heart of devel-
The National Upgrading Support Programme
opmental local government and has (NUSP) advocates for upgrading projects to
been shown to be the foundation for adopt a socio-technical approach. In such
building sustainable neighbourhoods. an approach, social aspects (participatory,
And South Africa’s policies are clear: consultative, co-production, community-
community participation is essential based planning) and technical skills (layout
for successful upgrading of informal and design, services and infrastructure) are
settlements. placed on an equal footing. Neither of the
approaches can address both the scale and
The national Upgrading Informal
complexity of informal settlement upgrading;
Settlements Programme (UISP) recognises
both are necessary. 5
that communities have a “deep rooted
A socio-technical approach acknowledges
knowledge” of their settlements that must
the intersection of working with people and
be harnessed. Communities should be the
working on the built environment in the
drivers of development in their settlements, 4: Swilling, M., Tavener-Smith, L., Keller,
upgrading process, and the complexity of A., von der Heyde, V., Wessels, B. 2013.
and their knowledge, skills and needs should Rethinking Incremental Urbanism:
facilitating the two. co-production of incremental informal
be at the forefront of decision-making. settlement upgrading strategies.
Communities should be seen as strategic • Social aspects may determine the tech- 5: HDA (Housing Development Agency).
partners in the development process, as they nical component in a particular process. 2015. Participatory Action Planning
for Informal Settlement Upgrading.
e.g. the community identifies the need Johannesburg: HDA, p. 4.8 Isandla Institute
Figure 1:
SOCIAL TECHNICAL
A socio-technical APPROACH TO UPGRADING APPROACH TO UPGRADING
approach
Process driven Target driven
Aims to achieve qualitative outcomes Aims to achieve quantitative outcomes
Involves use of social expertise to facilitate Relies mostly on technical expertise such as
community mobilisation, participatory planning, urban planning, architecture and engineering
capacity building and conflict mediation
Approach is important due to emphasis on
Allows for co-production of contextually efficiency in context where residents do not
appropriate upgrading interventions that have access to basic services
address needs of residents
A target driven approach, combined with
Takes holistic view of development by focusing appropriate timeframes, can result in
on enabling inclusive and integrated substantial and quick change in quality of life of
neighbourhoods with access to basic services, residents
and maintaining and promoting livelihood
Focusses less on integrated neighbourhood
opportunities
development, but rather on implementation of
Approach recognises agency of residents, their specific interventions
inherent knowledge and importance of
enhancing their capabilities
Socio-technical
Approach to Upgrading
6: South African Cities Network. 2014.
From Housing to Human Settlements:
A Perspective. South African Cities for a safe pathway across a central area of knowledge about the conditions and
Network. p. 167 the settlement, which the skilled informal requirements of a liveable neighbourhood.6
7: The extent to which informal
settlement communities are organised
settlement-upgrading practitioner then For example, about installing interim
to become actively involved improving incorporates in the layout design of the or permanent services, the type of
their living environments varies. An
organised community is necessary in settlement. technology, the costs and, most importantly,
order for co-production to be effectively
realised. A Community Development • The technical component may determine maintenance. Residents need to be actively
Committee can play a role in organizing
a community for collective action
the social aspect of the upgrading process. involved in both the installation and interim
(National Treasury. 2017. Preparing to e.g. an informal settlement-upgrading prac- service arrangements. This also implies that
Scale Up Informal Settlement Upgrading
in South Africa: A City Wide Approach. titioner identifies geotechnical conditions co-production establishes different relations
p146-147)
(soil types, slopes and water bodies) during between stakeholders, which municipal
8: Isandla Institute. 2014. Participatory
Informal Upgrading in SA: Moving from a site visit, which is led by a community officials must facilitate at different decision-
Theory to Practice. Cape Town: Isandla
Institute
member who knows areas of the settle- making moments.
ment.
9: National Upgrading Support
Programme. 2015. Introduction to 1.2 WHAT IS CO-PRODUCTION?
Informal Settlement Upgrading, A combination of social aspects and technical
Section 4: Participatory Approaches. p
7. Available: http://upgradingsupport. components is needed to reach a viable Co-production is about giving citizens greater
org/uploads/resource_documents/
solution. It may require equipping informal influence in planning, implementing and
participants-combined/Chapter-4-
Participatory-Approaches-May-2016.pdf settlements residents with the technical monitoring informal settlement upgrading
[2018, July 30]Co-production and community participation 9
projects. It is distinct from “community
WHAT POLICIES SAY ABOUT
participation”, which is how community
involvement in informal settlement
COMMUNITY PARTICIPATION
upgrading has typically been interpreted,
i.e. consultation, information sharing and
collaboration between the municipality and
Municipal Structures Act (1998): municipal decisions the community. While this interpretation
must be based on the needs of the people, and is well intended, it effectively minimises
municipalities need to develop community consultation the active role of communities, who are
mechanisms reduced to being customers/consumers
of government provisions, unable to
White Paper on Local Government (1998):
municipalities must develop structures and manage express their experiences, aspirations and
administration, budgeting and planning processes that priorities in the upgrading process.7 What
give voice to and facilitate involvement of communities. sets co-production apart from other forms com
of community involvement is its scale and
Municipal Planning and Performance Regulations Mun
depth, which makes it a more effective
(2001): local communities should be included in
approach to building sustainable and
planning, monitoring and reviewing the municipality’s revie
performance. dignified neighbourhoods.
Co-production is about a continuing, Mun
Municipal Systems Act (2002): a system of participatory functional and sustained partnership with gove
governance where citizens have a right to contribute in communities that goes beyond participation deci
the decision-making processes of the municipality.
aimed at meeting compliance requirements
Breaking New Ground (2005): upgrading interventions or ensuring community support. Community Brea
should respond to local needs and be a community- members and municipal structures “work resp
driven project. together to create plans and interventions
Nati
aimed at addressing pertinent issues”. 8
National Development Plan (2010): local governments buil
must build relationships of trust with communities to
establish lasting partnership for the creation of
1.3 BENEFITS AND part
sustainable human settlements. CHALLENGES OF CO- Out
PRODUCTION so th
Outcome 8 (2010): the full participation of residents is
required so that they view the upgrading project as their Meaningful community participation opens obli
own and thus feel obliged to maintain it. up opportunities for greater transparency
Inte
and accountability, which builds trust.
Integrated Urban Development Framework (2016): com
Municipalities can only claim to be
communities have the capacity to shape the spac
development of their spaces and should be empowered accountable if they regularly consult with
urba
to transform their quality of urban life. the people and report back on key council
decisions.9 Municipalities demonstrate their
willingness to work collaboratively with the10 Isandla Institute
community when they share information Authentic community participation does
on budgetary commitments, timeframes, not discount the possibility of differences
progress, set-backs etc. in an open dialogue. of opinion or conflicts arising, but does
This has practical implications. present opportunities to deal with disputes
When both parties have access to the as they emerge rather than later, when
same information, decision-making and frustration and resentments may have built
implementation are more efficient – the up. When all parties operate in an open
community and municipality are on the and transparent manner, any obstacles or
same page and understand how decisions conflicts can be negotiated – solutions can
are made (inter-governmental guidelines be found to upgrading technicalities and
and standards), resource flows, constraints limiting bureaucracies (see section 12).
(technical, social and economic) and their Meaningful participation does not presume
roles/responsibilities. The municipality also that the community is always right, nor
has a more nuanced view of residents’ needs does it subvert the norms and standards
and can provide solutions that are more of upgrading projects. Rather, it actively
appropriate and responsive, resulting in more engages community structures and municipal
cost-effective service delivery. Transparent competencies to determine the best-suited
Table 1: planning and monitoring processes lead to response. The key to facilitating these
greater accountability, as communities can engagements is municipal capabilities and
Benefits and challenges
track the implementation, which leads to capacities (see section 3).
of co-production
improved municipal performance. 10 11
Benefits 10 Challenges
• Greater acceptability and legitimacy of the process by • Possible manipulation by outside interests. 11
local communities. • Undermining of the process by certain stakeholders, e.g.
• Effective use of existing skills and resources. professionals with technical expertise and experience may
• Improved quality of information and more comprehensive view community participation as jeopardising their profes-
than local authorities or communities can gather alone. sional judgements, and norms and standards.
• Fewer disputes among local residents and between com- • Reluctant communities unwilling to engage in participa-
munities and authorities. tion because of past experiences (e.g. lack of faith in deci-
• Effective responses to local conditions and priorities. sion-making processes, broken promises, intimidation) or
• Better trust and confidence between all parties. because they do not know how to engage.
• Opportunities for further engagement between communi- • Time-consuming participation processes that informal
ties and authorities. settlements residents do not have time to engage in.Co-production and community participation 11
1.4 GUIDING PRINCIPLES FOR process. This allows not only the municipality Meaningful
COMMUNITY PARTICIPATION to gain a more nuanced understanding
of residents’ views, but also community
participation in the
Co-production techniques and tools make members to influence decision-making, informal settlement
the principles that guide informal settlements planning, prioritisation and budget allocation. upgrading process
upgrading tangible and real. Based on
policy intent and good practices, the ACCOUNTABILITY restores and
following principles reinforce the knowledge Participation can allow communities and supports the dignity
civil society organisations to monitor the
capabilities of urban poor communities. 12 of individuals.
implementation of upgrading projects and
DIGNITY
programmes, and raise concerns and queries
Meaningful participation in the informal through grievance redress mechanisms.
settlement upgrading process restores and Accountability means being open and
supports the dignity of individuals. Dignity transparent about possibilities, constraints
comes from treating the experiences, and trade-offs, and results in improved
aspirations and priorities of residents on a par municipal performance and responsiveness
with professional knowledge to inform the in the upgrading process.
upgrading process. Here dignity is a quality of
self-actualisation. RESPONSIVENESS
Municipalities that listen to and engage
EMPOWERMENT AND AGENCY
with their citizens can improve the success
Community participation recognises that of upgrading processes. Responsiveness
residents have the capacity to actively requires municipalities to acknowledge and
improve their living conditions, and respond to local realities and demands. As a
upgrading projects should empower and result, more locally appropriate solutions can
strengthen this capacity. Empowerment and be found and assessed based on the inputs
agency comes from communities being able given by residents.
to influence the process, and to develop skills
and build capacity through their involvement TRANSPARENCY
in the technical aspects of the upgrading Accessible and relevant information enables
process. residents, community-based organisations 10: Ibid.
(CBOs) and non-governmental organisations 11: National Upgrading Support
VOICE AND INFLUENCE
(NGOs) to participate fully in the planning and Programme. 2015. Training Manual:
Introduction to Informal Settlement
Empowering citizens through participation monitoring processes. Transparency means Upgrading Section 4: Participatory
Approaches.
can strengthen the community’s voice and that the municipality provides pro-active
12: Swilling, M., Tavener-Smith, L.,
influence in the upgrading process. Voice is and timely disclosure of information, which Keller, A., von der Heyde, V., Wessels, B.
about informal settlement residents being forms the basis for further participation and
2013. Rethinking Incremental Urbanism:
co-production of incremental informal
able to express their experiences, aspirations accountability. settlement upgrading strategies. Available:
http://markswilling.co.za/wp-content/
and priorities in relation to the upgrading uploads/2015/10/Swilling-et-al-2013-
Isandla-paper-first-draft.pdf12 Isandla Institute
TRUST
Participation, when effective and meaningful,
can build trust. If communities believe that
their needs and views are taken into account,
and that the municipality is acting reliably
and consistently, they are more likely to have
trust in the municipality and the upgrading
process. Trust in the municipality and the
process results in a mutually beneficial
13: Wang, X. & Van Wart, M. 2007. When and constructive relationship, and true
Public Participation in Administration
Leads to Trust: An Empirical Assessment democratic engagement,13 whereas a lack
of Managers’ Perceptions. Public
Administration Review. 67:265 - 278 of trust can lead to higher costs of both
14: Ibid. engagement and service delivery. 14
Figure 2:
Municipal organisational
capability
Leadership
and values
Organisational
Culture
Capability of
individuals Organisational
structure and
systemsInstitutional capability in the municipality 13
2. INSTITUTIONAL 2.1 LEADERSHIP AND VALUES
CAPABILITY IN THE In democratic South Africa, strong municipal
leadership emphasises professional
MUNICIPALITY competence, and values associated with
public service and representivity.17 For co- For co-production,
A capable and functional municipal production, strong leadership entails putting strong leadership
institution that embraces the principles of co- into practice the principles associated with entails putting
production is a fundamental prerequisite for meaningful community engagement in
effective community engagement. upgrading (see section 2.3). The leadership into practice the
Yet municipalities are ill-equipped to sets the tone of the organisation, and principles associated
engage in (and process) robust forms of so senior managers need to embrace with meaningful
social accountability and engagement. The community involvement and put institutional
measures in place to support and improve the
community
challenge for local government is growing its
capacity to be able to effectively respond to municipality’s capability to work alongside engagement in
civil society and community-based initiatives, communities and support organisations upgrading.
which are increasingly more organised and during the upgrading process. This practice
robust in nature. 15 aligns strongly with the values of public
Municipal officials are trained to service that include: integrity, accountability,
manage the technical aspects of informal transparency, openness and ethical
settlement upgrading, but they often lack conduct.18
the skills needed to engage effectively with
communities. While training these officials is
2.2 ORGANISATIONAL
an obvious response, the capacity challenge STRUCTURE AND SYSTEMS
facing municipalities goes well beyond that of To be able to fully embrace and implement
increasing the skills of technical practitioners. a community-centred, partnership-based
To make a genuine shift towards co- approach to upgrading, municipalities
production, a change in capability has may need to revisit their structures and
to happen at an organisational level. systems. For instance, they need to consider
Figure 2 shows a useful framework for if sufficient allocations have been made for
understanding municipal capability that the types and extent of human resources
comprises leadership and values, capability required to work differently with communities
of individuals, organisational structure and and facilitation partners, and if existing
systems, and organisational culture. 16 systems are adequate to initiate, receive and 15: Palmer, I, Moodley, N, Parnell, S. 2018.
In the context of informal settlement respond to opportunities for engagement and Building a capable state. London: Zed
Books. p. 102 and p. 127.
upgrading, municipalities need to consider exchange. If not, then improvements must
16: Ibid p. 11 (adapted).
the following: be introduced, to ensure that both officials
17: Ibid. p. 118
and communities are supported to engage
18: Ibid.
effectively, through:14 Isandla Institute
• Clear process guidelines for how communi- and monitoring and reporting.
ties will be engaged. Municipalities may need to conduct a gap
• Accessible points of contact. analysis, to identify which skills are needed
• A set of co-production measures and tools to effectively engage informal settlement
that the municipality will apply throughout communities, which skills exist within the
the upgrading process. institution, and which skills are absent. A
• Changes to procurement requirements, to process should then be put in place to address
emphasise both social and technical com- the gaps, which may mean having to adapt the
petencies. organisational structure and recruit additional
• Changes to contract management, to mon- capacity. Where recruitment is not possible
itor the contracted party’s performance in re- or too costly, the municipality could consider
lation to the required mix of socio-technical bringing in capacity, such as NGOs, to provide
competencies and approaches. support in engaging with communities (going
beyond what is provided for in the UISP)(see
2.3 CAPABILITY OF section 4.7).
INDIVIDUALS
2.4 ORGANISATIONAL CULTURE
Facilitating meaningful engagement and
co-production approaches is not an easy Co-production requires an organisational
undertaking, and so municipal officials need process to re-focus municipal officials’
to build their capacity to support participatory attention and activities away from a supply/
processes. Beyond facilitation skills, officials target-driven approach towards community-
have to be excellent coordinators of processes, centred development. This stands in stark
capable of assembling partnerships, and contrast to the compliance culture that
effective in managing stakeholder engagement dominates in municipalities. To change the
activities. Alternatively, they would have to culture of the organisation and the behaviour
be able to insource these skills, and manage of municipal officials, a process is needed
external stakeholders tasked with those to deepen the understanding of the value
responsibilities. The importance of allocating of co-production and how to apply it in the
sufficient resources, to recruit or upskill local context. Municipalities can learn by
existing personnel, cannot be understated. The doing and use the lessons that emerge to
types of skills and training that would be of strengthen practice. This experience may
most value include: stakeholder management; reveal the challenges and opportunities that
facilitation of community engagements; are presented by co-production. Making this
community-based planning, research shift is not a once-off activity but a process,
and data collection; conflict management which begins with a commitment by the
and resolution; enabling, assembling and organisation’s leaders and managers to
coordinating partnerships; management of advance co-production and support their
contracted parties, co-ordination of processes; teams throughout the process.An environment to enable co-production 15
3. AN ENVIRONMENT municipality, the benefit is that an organised
community represents a functional platform
TO ENABLE CO- for collaborative engagement.
Where communities are not self-
PRODUCTION organised, the municipality may need to
consider supporting the establishment of
To create an
To create an environment that is conducive a Community Development Committee environment
to participation and co-production requires (CDC). This committee would need to be that is conducive
investing in communication and relationships a legitimate, inclusive and representative to participation
with the community. To achieve this, structure for community engagement with
municipalities can do the following: the municipality. The process comprises five
requires investing
• Recognise and support existing organised steps: 20 in communication
community structures. i. A scoping exercise of local structures and relationships
• Communicate clearly the policy and strate- within the settlement community. with the
gic context. ii. Confirmation of legitimacy and represen-
• Clarify participatory processes and time-
community.
tivity of local structure(s) that may exist
lines. and can serve as the local development
• Demystify housing allocation processes. committee.
• Share settlement-specific information early iii. Where structures are absent, establish-
on in the process. ment of a representative CDC by working
• Establish community-based monitoring with the local councillor and community
measures linked to organisational monitor- members.
ing and evaluation. iv. Confirmation of roles and responsibility
Moreover, an external organisation may act as of CDC and forms of engagement with
a social facilitator between the municipality municipality.
and the community and/or offer specific v. Identification of capacity gaps and contri-
technical expertise in informal settlement bution towards capacity of CDC.
upgrading processes.
3.2 COMMUNICATE POLICY
3.1 SUPPORT SELF- AND STRATEGIC CONTEXT 19: Lande, K and Zimmermann, M. 2018.
Ingredients for a Successful Area-
ORGANISED COMMUNITIES
wide Informal Settlement Upgrading.
National, provincial and even local Community Organisation Resource
Centre. CORC News. January 25. Available:
Self-organisation within informal settlement government processes often operate at a https://www.sasdialliance.org.za/
ingredients-for-successful-area-wide-
communities has been shown to be a success distance, and insufficient time and energy are informal-settlement-upgrading/
factor in upgrading projects. Organised spent on engaging communities. Explaining 20: The five key steps are based on a draft
communities that operate in a systematic, the broader frameworks and policies – why toolkit developed by the Cities Support
Programme: National Treasury. 2017.
inclusive way are more likely to succeed in and how decisions that affect settlements Preparing to Scale Up Informal Settlement
Upgrading in South Africa: A City Wide
negotiating with local government.19 For the are made – can go a long way in facilitating Approach. pp 155–156.16 Isandla Institute
transparency, building trust and Communities should be engaged on associated participatory processes.
managing expectations. The following human settlements-related policy and This will mitigate negative perceptions
should be explained: practice as early as possible during the that may arise when nothing appears
preparatory stage of an upgrade project. to be happening in the community,
• National Housing Code: objectives,
Clearly communicating upfront the yet internal municipal processes are
differences between the various hous-
municipality’s policies, strategies and at play to secure funds, additional
ing programmes, and the qualification
plans will assist in addressing concerns capacity and resources.
criteria and subsidy options available
or misunderstandings of what informal • The annual budget cycles, with an
to individuals, and how government
settlement upgrading means. It will emphasis on how public consultations
caters for people who are “non-qual-
also provide a sense of clarity and help help to identify necessary chang-
ifiers”.
communities identify their role in the es and may lead to the plans and
• UISP: how it is implemented in upgrading process. allocations being adjusted – and that
municipalities, and how decisions are community inputs on other sectors
made regarding implementation. 3.3 CLARIFY are expected because the annual
• Integrated Development Plan PARTICIPATORY budget consultations cover more than
(IDP): how it charts a way forward for PROCESSES AND housing.
human settlements development, in TIMELINES • The platforms available for communi-
the context of the broader municipal ties to make submissions on the IDP
budget. Communities need to be informed of and the associated budget.
• Municipal Human Settlement Plan the participation process that happens
(HSP) and associated upgrading prior to the drafting of key documents 3.4 DEMYSTIFY HOUSING
strategy: the housing opportunity such as the IDP and the HSP. This ALLOCATION PROCESSES
targets and upgrading targets over the means providing information about
the timeframe for IDP consultations, There is merit in engaging informal
next five years, and (if included) lists of
compilation of the IDP, identification of settlement communities on how
projects according to wards. 21
projects, securing and allocating funds housing allocation is implemented,
• Municipal Spatial Development
(annual budget) and development even if a settlement is unlikely to be
Framework (SDF): spatial vision
activity (when the upgrading project will fully consolidated. Housing allocation
and development priorities aimed at
begin). processes need to be unambiguous,
achieving a reconfigured spatial form
Informing communities of the and information on allocation must be
(in the context of human settlements).
probable timelines helps them clearly communicated:
• Built Environment Performance
Plan (BEPP) – metro municipalities better understand the process and, • How the allocation process works for
only: outcomes-led plan for transform- importantly, manages expectations. The those registered on the waiting list and
ing and spatially integrating the built messaging should make communities for those not on the waiting list.
environment of cities to ensure greater aware of the following: • The difference between the primary
socio-economic inclusion. • How the informal settlement upgrad- “waiting list” and an informal settle-
ing links into the broader cycle of ment list, which municipalities may
municipal infrastructure delivery and establish.An environment to enable co-production 17
• Housing beneficiaries may not be selected 3.6 INVEST IN COMMUNITY-
only from the municipal waiting list but BASED MONITORING AND
may also rely on an area-based approach,
EVALUATION
as for example in the City of Cape Town. 22
Monitoring and evaluation (M&E) frameworks
Each municipality will have its own allocation
serve a dual purpose: to comply with Involving
policy which needs to be communicated,
government requirements, such as the
including clear guidance on how community
Service Delivery and Budget Implementation
communities in
members can register and update their monitoring the
Plan (SDBIP) as per MFMA requirements;
contact information.
and to promote organisational learning, upgrading process
3.5 SHARE SETTLEMENT- accountability and transparency. Most brings benefits that
municipalities have already developed
SPECIFIC INFORMATION go beyond meeting
reporting mechanisms for the SDBIP, such
Communities must be informed of as performance management frameworks, technical objectives
settlement- and project-specific information balanced scorecards and combined associated with
that will directly affect their living checklists. These mechanisms can be used reporting.
environment. Municipalities usually rely as a monitoring framework. This institutional
on existing information to make decisions capacity to report on service delivery should
on timing and the type of upgrading to be extended to track the indicators associated
be implemented. Sharing and testing this with implementing the upgrading strategy
information upfront with communities will and to include communities.
ensure a more inclusive approach and allow Involving communities in monitoring
for improved planning and the correcting the upgrading process brings benefits that
of information. Where further settlement- go beyond meeting technical objectives
level information is absent and needs to be associated with reporting. Benefits include
collected, communities should be involved in better accountability, detailed insight into the
the information-gathering process. local context, and improved programmes, as
Ideally, communities should be given a result of the community identifying areas of
space to share their vision for the settlement weakness or concern. To enable community
21: City of Cape Town. 2016.
and identify their needs, both of which participation in M&E activities, a structured Integrated Human Settlements
Five-Year Plan July 2012 – June 2017,
then guide the work of technical officials in and systematic approach is needed early 2016/17 Review. Available: https://
an upgrading process. It is an opportunity on in the process. Monitoring instruments tdacontenthubfunctions.azurewebsites.
net/Document/395 [2019, March 7]
to bring the social and technical aspects available to municipalities include: 22: City of Cape Town, 2015. Allocation
together, and emphasising the exchange of Policy: Housing Opportunities
• Citizen satisfaction surveys, which assist the (Policy Number 11969). Available:
information can be empowering for both http://resource.capetown.gov.za/
municipality to engage with citizens and documentcentre/Documents/Bylaws%20
parties. Where the needs and vision of the and%20policies/Allocation%20Policy%20
address their service delivery concerns.
community cannot be met, the reasons must -%20Housing%20Opportunities%20
• Community Score Cards (CSC), which help %20(Policy%20number%2011969)%20
be given and, where possible, plans should be approved%20on%2025%20March%20
2015.pdf [2019, March 6]
made to address these needs in the future.18 Isandla Institute
to support monitoring and improve- an important learning opportunity for
ment of the quality of services, facili- officials.
ties or projects. CSC can also track in- For municipalities, support
puts and expenditures (e.g. availability organisations bring their extensive
of medicine at a medical centre) and specialist skills and experiences in a
improve feedback and accountability range of different areas that are vital to
loops between providers and users. 23 successful upgrading. These include
• The CSC findings can be linked with participation and participative planning,
the municipality’s internal manage- community training and capacity
ment and incentive systems, as well building, social compacts, re-blocking,
as those of external service providers. mobilising community investments
When an upfront commitment to and contributions, and owner-
value-based service delivery cannot driven housing consolidation. These
be achieved, incentives are powerful organisations play an important role in
ways of influencing the behaviour of assisting municipalities to move towards
stakeholders. greater participation and co-production
with residents in the informal settlement
Initiating a community-based M&E
upgrading process.
framework early on sets the scene for a
Yet, it is important that the
co-operative and inclusive approach to
knowledge, skills and networks that
upgrading, and creates a pathway for
are developed and deepened in
assessing delivery. 24
these processes are institutionalised
3.7 DRAW IN EXTERNAL in the municipality, to ensure that
municipal capacity is enhanced and that
SUPPORT
relationships between the municipality
Municipalities (and communities) and residents are built. This will support
benefit from the support of an the sustainability of the action and
external organisation, to act as a social of relationships established during
facilitator between the municipality the upgrading process, even after the
and the community, and/or to offer external stakeholder’s role has been
specific technical expertise in informal concluded.
settlement upgrading processes. This
support may come from an NGO,
an academic organisation, or a for-
profit facilitation service provider.
Such support organisations should
supplement, not substitute, efforts on
the part of the municipality, and presentInformal settlements categories and developmental pathways 19
4. INFORMAL inform municipal (and provincial) budgets for
related key social services, such as education
SETTLEMENTS and health care.
The four main categories of a
CATEGORIES AND developmental response (see figure 3)
DEVELOPMENTAL are informed largely by whether or not
the settlement is regarded as permanent Communicating with
PATHWAYS (either through eventual formalisation or
other permanent, “less formal”, settlement
residents on how
the categorisation
In 2014, the housing backlog was 2.3 million solution). Site suitability and possibility for
development are key determining factors,
process works
and growing at around 178 000 units per
year.25 The existing backlogs in housing although it should also be recognised that, will assist in
delivery, coupled with frustrations over even though some sites are not ideal, there building trust in the
delays that result in protests, demonstrate may be no better alternative available. municipality.
the urgency of informal settlement Currently, categorisation is a closed
upgrading across the country. To improve a process within municipalities, with little
municipality’s ability to respond to the unique transparency for settlement residents to know
service needs of each informal settlement, their settlement’s category and what this
Rapid Assessment and Categorisation (RAC) means for its development. As categorisation
is used to identify and better understand is a highly contentious process and may lead
informal settlements within a particular to ‘queue-jumping’, it is understandable that
municipality. Undertaken at a programmatic the municipality would not want to reveal
level, RAC categorises informal settlements information, but the process can be managed
based on the type of developmental in a more transparent and democratic
responses that are appropriate and manner. Communicating with residents on 23: CSC is a community-based monitoring
achievable. how the categorisation process works will instrument picked up in the Back to Basics
programme initiated by the Department of
RAC is different from the pre-feasibility, assist in building trust in the municipality. Co-operative Governance.
feasibility and project-level planning that Each of the informal settlements categories 24: The DPME Community-based
Monitoring Toolkit is a community-based
comes next, such as planning related to provides specific opportunities for co- M&E innovation that has been applied
to the IDP process since 2017. For more
the delivery of interim services, because it production (see figure 3). information see: https://www.dpme.
gov.za/keyfocusareas/cbmSite/CBM%20
uses readily available information sources
and does not require specialist studies.
4.1 CATEGORY A SETTLEMENT Documents/CBM%20Toolkit%20V1.pdf
25: Latest figures available from Africa
Check. 2014. Factsheet: The housing
RAC is a key input and pre-requisite for the Category A refers to a site that is viable for situation in South Africa. May 9. Available:
formulation of a city-wide upgrading plan,26 development (“developable”),27 and where a https://africacheck.org/factsheets/
factsheet-the-housing-situation-in-south-
and should inform municipal and provincial full in-situ upgrade is possible. The end result africa/
MTEF budget allocations (and BEPPs, where of the upgrading will be formalisation: full 26: National Treasury. 2017. Preparing to
Scale Up Informal Settlement Upgrading in
applicable) for infrastructure, housing and and permanent municipal services, formal South Africa: A City Wide Approach. p. 184
land acquisition. RAC should also help to housing and formal tenure. Usually, funds 27: Ibid.20 Isandla Institute
Figure 3: are available for upgrading to commence
Categorisation of
informal settlements
CATEGORY A SETTLEMENT immediately. The beneficiary community
participates in making decisions about
human settlements development relating
Full conventional
upgrade to essential municipal and social services,
(formalisation and tenure and housing consolidation.
formal housing Co-production involves the participation
delivery). of the beneficiary community in initiating,
planning, designing, implementing and
monitoring the upgrading process for their
settlement.28
CATEGORY B1 SETTLEMENT 4.2 CATEGORY B1 AND B2
Incremental upgrade A Category B1 settlement site is viable
with essential for full upgrading but is not ready for
services (leading to implementation – land, funding or
formalisation or community buy-in are still required. The end
other solution). result of the upgrading will be formalisation,
after the provision of essential services
and incremental upgrading arrangements
CATEGORY B2 SETTLEMENT (inclusive of interim essential services) over
time, or another permanent less formal
settlement solution.29 In such a settlement,
Deferred relocation the community and municipality need to
with emergency reach a consensus on:
services.
• Which essential services are required and at
what level.
• The hindrances (and solutions) to imme-
diate full upgrade. Each solution needs
to be explained and include the roles and
CATEGORY C SETTLEMENT responsibilities of the community and the
municipality.
Immediate A Category B2 settlement site is unsuitable
relocation. for formalisation or permanent settlement,
but there is no urgent need for relocation. The
end result is most likely to be relocation, and
emergency services will be provided.Informal settlements categories and developmental pathways 21
RAPID ASSESSMENT OF
ALL INFORMAL SETTLEMENTS
to determine appropriate developmental
pathway and response (desktop + site visits)
Decision Flow
What kind of in-situ upgrading Settlement permanent Is relocation urgent, necessary
is appropriate and viable? and land suitable or at and possible?
least acceptable for
YES NO Are there serious health & safety
human settlement (once
essential services are threats? Have livelihoods impacts
Full upgrade Rapid Response provided)? been assessed and residents
ready? needed? consulted? Is a relocation
Full budget secure? Lack of essential destination ready? Can
Project implementa- services but re-occupation of land be prevented?
tion-ready (feasibility, conventional
land, bulks, approvals, upgrade/formalisation
township establish- not rapidly achievable? NO YES
ment)?
YES YES
CATEGORY A: CATEGORY B1: CATEGORY B2: CATEGORY C:
Upgrading Response
Full Conventional Incremental Upgrade Deferred Relocation Immediate Relocation
Upgrade with essential services with emergency
services Rapid relocation to a
Formalisation consisting of Commencing with comprehensive essential
prepared site [i.e. greenfields
full services, state-funded services package (e.g. water, sanitation, Commencing with housing project, temporary
housing, formal tenure (e.g. roads & footpaths, electricity, fire emergency services relocation area (TRA), site and
title deeds), township protection, waste removal key social package (e.g. water, service (serviced land
establishment. May be facilities). Incremental tenure. People build sanitation, fire protection, release)].
conventional ‘RDP’ or own housing in the short term. May lead to solid waste removal).
densified housing solution. formalisation or other permanent Eventual relocation
settlement solution.
Figure 4:
The reality is that the settlement will see growth explained to the community. With
minimal development. the help of the municipality, the community Rapid Appraisal Categorisation
• Emergency services available to them. If op- will have to decide how to manage settle- of Informal Settlements in
upgrading. Source: National
tions are available, they can be presented ment growth.
Treasury (2017) 30
to the community to choose, for instance • A suitable site for relocation needs to be
between portable toilets and chemical presented to the community together and 28: NUSP. 2015. Introduction to Informal
Introduction to Settlement Upgrading: urba
toilets. 30 decisions made on who will be relocated, Section 4: Participatory Approaches.
29: National Treasury. 2017. Preparing to
• Settlement growth will need to be man- why and when. Scale Up Informal Settlement Upgrading in
aged and the need to constrain settlement South Africa: A City Wide Approach.
30: Ibid.You can also read
