RECLAIMING HOUSING AS A UNIVERSAL HUMAN RIGHT

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1 State Department of Housing and Urban Development Ardhi House, Headquarters, 1st Ngong Avenue P.O. Box , Nairobi Tel Fax: Website: Economic and Social Rights Centre (Hakijamii) 53 Park Building, Along Ring Rd, off Ngong Rd. P.O. Box , Nairobi, Kenya Telephone: / Mobile: Website: RECLAIMING HOUSING AS A UNIVERSAL HUMAN RIGHT THE NATIONAL SLUM UPGRADING AND PREVENTION POLICY Sessional Paper Number 2 of March, 2016 Popular Version MAY 2017 HAKIJAMII Founded in 2004, Hakijamii is a national human rights organization that works with marginalized groups to claim their economic and social rights and improve their livelihoods. Our vision is a society that ensures the protection, promotion and fulfillment of all rights for all people. With a secretariat in Nairobi, Hakijamii has strategic community partners in Nairobi, Kisumu, Kitale, Eldoret, Garissa, Kakamega, Kisii, Migori, Homa Bay, Turkana, Lamu and Mombasa. Ministry of Land, Housing and Urban Development In partnership with Economic and Social Rights Centre (HAKIJAMII)

2 RECLAIMING HOUSING AS A UNIVERSAL HUMAN RIGHT THE NATIONAL SLUM UPGRADING AND PREVENTION POLICY Sessional Paper Number 2 of March, All rights reserved State Department of Housing and Urban Development Ardhi House, Headquarters 1st Ngong Avenue P.O. Box , Nairobi Tel Fax: pshud@ardhi.goke Website: Economic and Social Rights Centre (Hakijamii) 53 Park Building Along Ring Rd, off Ngong Rd. P.O. Box , Nairobi, Kenya Telephone: / Mobile: esrc@hakijamii.com Website:

3 TABLE OF CONTENTS List of Abbreviations...iii Foreword...1 Background...3 Introduction...5 Objectives of the National Slum Upgrading and Prevention Policy...7 Need for the Policy...8 Targets and Expected Outcomes of the National Slum Upgrading Prevention Policy...8 The Difference between a Slum and an Informal Settlement...9 Ownership Dynamics in the Informal Settlements/Slums...9 Proposed Policy Actions...10 What Does the Policy Say About Socio-Economic Rights?...10 Social-economic issues...10 The Policy proposes the following solutions...10 Security and safety issues...12 Land Tenure and Administration Issues...12 Shelter and Housing Issues...13 Inter-Government Agency for Slum Prevention and Upgrading...15 Financing of the Policy...16 Kenya Slum Upgrading, Low Cost Housing and Infrastructure Trust Fund...16 Role of County Government within the Policy Framework...16 Conclusion...18 About Hakijamii...19

4 The Popular Version LIST OF ABBREVIATIONS AIDS CBO CMSSG CSR HIV ICESCR KENSUF KENSUP KISIP MCA NGO NLP NSUPP SACCO SDG UDHR TJRC Acquired Immune Deficiency Syndrome Community-based Organization County Slum Upgrading Multi-Stakeholder Support Group Corporate Social Responsibility Human Immunodeficiency Virus International Covenant on Economic, Social and Cultural Rights Kenya Slum Upgrading, Low Cost Housing and Infrastructure Trust Fund Kenya Slum Upgrading Programme Kenya Informal Settlement Improvement Project Member of the County Assembly Non-Governmental Organization National Land Policy National Slum Upgrading and Prevention Policy Savings and Credit Cooperative Organization Sustainable Development Goal Universal Declaration on Human Rights Truth, Justice and Reconciliation Commission Reclaiming Housing as a Universal Human Right iii

5 The National Slum Upgrading and Prevention Policy FOREWORD Slums and informal settlements are not a new phenomenon as they have been part of the history of most cities and urban areas, particularly in the early years of urbanization and industrialization. The settlements are characterized by overcrowding and inadequate housing built on land whose occupants do not have secure tenure. In addition, urban planning and zoning regulations are not adhered to. Consequently, the settlements lack basic services such as water, sanitation, waste disposal, storm water drainage, street lighting, paved sidewalks and access roads. Population growth, failure to recognize the rights of the urban poor and lack of enforcement mechanism are the main reasons for slum formation and development. This challenge is exacerbated by lack of social housing for no income and low income earners. The existing slums and informal settlements can be upgraded and gradually improved, through provision of basic services. Slum upgrading initiatives should aim at creating a dynamic community with a sense of ownership and entitlement to attract investment from the inhabitants. A successful slum upgrading process needs a strong political will and partnership among all stakeholders. The initiatives must address the need, be participatory, acceptable and beneficial to the slum communities. There must be clearly defined roles, incentives, good communication and coordination among stakeholders. Legal and institutional mechanisms should also be put in place to curb further slum formation and deterioration. The purpose of the National Slum Upgrading and Prevention Policy is to integrate the existing slums into the formal system, enabling them to enjoy reasonable basic amenities. It will also prevent formation of new slums by adhering to urban planning, provision of infrastructure and low cost housing. There is need to establish land banks for the urban poor and to relocate slum dwellers living in environmentally fragile and disaster prone areas to suitable locations. iv Reclaiming Housing as a Universal Human Right

6 The Popular Version I am confident that together we shall promote, secure and protect dignified livelihoods of our people living and working in slums and informal settlements in line with the Kenya Vision 2030 and The Constitution of Kenya, particularly Article 43. In conclusion, I wish to recognize and appreciate the stakeholders who worked towards the timely completion of this policy. Prof. Jacob T. Kaimenyi, Phd, FICD, EBS Cabinet Secretary Ministry of Land, Housing and Urban Development Reclaiming Housing as a Universal Human Right v

7 The National Slum Upgrading and Prevention Policy Like other slums in other urban areas of Kenya, the sprawling Kibera informal settlements is characterized by lack of basic services The Kibera decanting site: Flats to temporarily house residents who were moved from zones in Kibera slums intended to be improved vi Reclaiming Housing as a Universal Human Right

8 The Popular Version BACKGROUND The National Slum Upgrading and Prevention Policy is a direct response to SDG 11.1 that is designed to ensure access for all to adequate, safe and affordable housing and basic services and upgrade slums. According to the Population Census conducted (2009), about 40 % of the urban households live in informal settlements and by 2030, it is projected that 6 out of 10 people will be urban dwellers. With an anticipated acceleration of urbanization as Counties continuously establish respective capitals, the slum agenda is even going to be more prominent and deserves urgent address. Unless this trend is checked, the country will face insurmountable challenges in fulfilling the basic needs of its growing urban population. The National Slum Upgrading and Prevention Policy must be understood in an evolving policy context, which has taken several decades. The first National Housing Policy was Sessional Paper No. 5 of 1966/67 1. It did not emphasize slum upgrading. However, the and National Development Plans emphasised self-help housing, with the latter suggesting that 30% of lowincome housing would be provided through squatter settlement upgrading and sites and services 2. It is in this context that USAID funded the Umoja Housing Project, completing 4200 units in 1976, and 4406 in USAID further funded 2800 units and municipal improvement programmes in 15 other towns 3. Commonwealth Development Corporation (CDC) funded sites and squatter upgrading schemes in Eldoret, Nakuru, Kitale, Thika and Nyeri, helping deliver serviced plots by Omenya, A. (2006) Understanding Self-Help Housing Through Network Analysis in Nairobi, Kenya and Johannesburg, South Africa. PhD Thesis. University of the Witwatersrand, Johannesburg, South Africa. 2 Syagga, P.M., Mitullah, W. & Karirah, G. (2001) GOK/UNCHS Slum Upgrading Initiative: Nairobi Situational Analysis. Nairobi GOK/UNCHS pp90 3 Syaga, P. M. & Kiamba, J. M. (1992) Housing the Urban Poor: A Case Study of Pumwani, Kibera and Dandora Estates in the City of Nairobi, Kenya. African Urban Quarterly 7 (1 & 2): Pp 86 4 Syagga, P.M., Mitullah, W. & Karirah, G. (2001) GOK/UNCHS Slum Upgrading Initiative: Nairobi Situational Analysis. Nairobi GOK/UNCHS pp90 Reclaiming Housing as a Universal Human Right 1

9 The National Slum Upgrading and Prevention Policy The National Housing Corporation (NHC) was also involved in sites and services, delivering 19,770 by 1990 (ibid.). In Nairobi, the Nairobi City Council (NCC) built 2,900 units through sites and services before Other efforts to improve slums included development of a data base on slums and informal settlements completed in 1993, funded by USAID. In the 1990s, the National Informal Settlement Committee was established by CSOs to agitate for slum upgrading. In 2000, the government together with UN-Habitat initiated the Kenya Slum Upgrading Programme (KENSUP). This is part of an important process which has led to the initiation and adoption of the National Slum Upgrading and Prevention Policy as Sessional Paper No.2 of The National Slum Upgrading and Prevention Policy uses the terms slums and informal settlements to denote largely self-built urban communities, which are rarely recognized officially and typically are denied life-supporting services and infrastructure. Not only can upgrading these settlements improve health outcomes via enhanced access to shelter, water, or clean energy, but it can also advance the 2030 Agenda for Sustainable Development. The quest for sustainable and coordinated urban development starts with national policies and development plans. The adoption of the NSUPP shows goodwill from the government to formalize the informality that persists within the urban areas. It is important that resources are allocated to implement NSUPP if we are to realize zero informal settlements by Pauline Vata Executive Director Hakijamii-ESRC 2 Reclaiming Housing as a Universal Human Right

10 The Popular Version INTRODUCTION The government, through a wide consultative process, formulated a National Slum Upgrading and Prevention Policy with the aim of implementing policy whose goal is to guide the country towards upgrading existing slums and preventing the emergence of new slums in a coordinated and systematic manner. In the past, local authorities developed affordable housing for low-income households in several towns and cities. However, with time, due to corruption and lack of effective monitoring, most of these units became illegally privatized with the local authorities earning only minimal or no cent at all, or owners getting the market value rates. An example is the Dandora-Umoja Project of the 1970s. Since 2004, through the Kenya Slum Upgrading Programme (KENSUP), the Government has been undertaking slum upgrading projects in most urban areas. From 2011, the Kenya Informal Settlement Improvement Project (KISIP), a World Bank-funded project, has been complementing the Government s effort through provision of social and physical infrastructure, security of tenure and capacity building in slums and informal settlements in 15 urban areas. However, due to inadequate policy and illegal mechanisms, the upgrading scheme soon became a victim of market forces which continued to marginalize the urban poor. The National Slum Upgrading and Prevention Policy therefore, seeks to revisit this narrative. The overall objective of this policy is to promote, secure and protect dignified livelihoods of the poor living and working in slums and informal settlements by strategically ensuring that they meaningfully participate in the social, political and economic activities in line with the Constitution. The reasons for slum formation and development are population growth as a result of rural-urban migration and poor governance, often brought about by failure to recognize the rights of the urban poor and incorporate them into urban planning, and lack of enforcement mechanisms. There is lack of social housing to support low-income earners and failure by employer institutions to provide Reclaiming Housing as a Universal Human Right 3

11 The National Slum Upgrading and Prevention Policy employees with decent housing. The existing slums and informal settlements can be upgraded by gradually improving formalization and provision of basic services. Slum upgrading initiatives would aim at creating dynamic communities where there is a sense of ownership, entitlement and investment in areas, thus becoming an integrated component of investing in citizens. A successful slum upgrading process requires strong political will from the Government. There must be incentives for agencies to work with the poor, effective communication and coordination amongst stakeholders, and clearly defined roles for the various agencies involved. For continuity of slum upgrading, legal and institutional mechanisms should be put in place to curb further slum formation and deterioration. This happens all the time, for example in Nairobi, due to lack of policy. You will find that every piece of land in Nairobi today has been allocated by Chiefs and Members of the County Assembly (MCAs). Nowadays slums are found everywhere in the City of Nairobi. To prevent new slums from coming up, the Government should recognize that urbanization is inevitable and prioritize planning as a prerequisite to new urban development. The National Slum Upgrading and Prevention Policy has been presented in seven chapters. Each of these includes a problem statement, key issues and policy options that address identified issues. The New Urban Agenda (Outcome document from Habitat III) combined with the Sustainable Development Goals (SDGs), especially Target 11.1, which aims to ensure access for all to adequate, safe and affordable housing and basic services and upgrade slums by 2030, is a good beginning to solving the housing shortage and problems faced, especially by the urban poor. The Government can start by formulating a vision for the housing sector with clear attainable short-, medium- and long-term goals. Kenya is ranked third globally in terms of having the largest informal settlement. We need to come together as a country and begin seriously working towards attaining ZERO informal settlements by 2030.This can only be achieved if the Government prioritizes housing as a human right, rather than as a commodity. 4 Reclaiming Housing as a Universal Human Right

12 The Popular Version Objectives of the National Slum Upgrading and Prevention Policy This policy framework will guide the National and County Governments in addressing, upgrading and prevention of slums. The objective of the National Slum Upgrading and Prevention Policy is to; Recognition and integration of slums and informal settlements into the urban fabric, which guarantees access to adequate housing. Provide a legal, regulatory and institutional framework and projects to guide coordinated and accountable implementation of the Slum Upgrading and Prevention Policy at both National and County levels. Encourage, facilitate and secure community and stakeholder participation, transparency and accountability in slum upgrading, rehabilitation, redevelopment and slum improvement programmes. Mainstream slum upgrading and prevention programmes and projects at County level and other units of devolution. Create linkages, strengthen and enhance capacity for research, planning, monitoring and evaluation. Provide for direct Government intervention in provision of social housing for the urban poor. Provision of urban land for private sector-led development in low-cost housing, slum rehabilitation and improvement. Promote National and County integrated financial planning and budgeting, and advocate for creation of an amalgamated fund for slum upgrading and prevention. Need for the Policy Internationally and regionally, the right to adequate housing widely recognized by a number of treaties and conventions to which Kenya is a signatory. These include the Universal Declaration on Human Rights (UDHR), the International Covenant on Economic, Social and Cultural Rights (ICESCR), and the Constitution of Kenya Article 43(1)(b). This policy framework will guide the National and County Governments in addressing, upgrading and prevention of slums. According to the 2009 census, Reclaiming Housing as a Universal Human Right 5

13 The National Slum Upgrading and Prevention Policy one out of every three Kenyans lived in urban areas, implying that of the total population of 38.6 million, 12.5 million (32.3percent) lived in urban areas. By 2030 it is estimated that about 54 percent (30 million) of the population will be living in urban areas. Further, approximately 40 percent of the urban population live in slums and informal settlements. With an anticipated acceleration of urbanization, as Counties seek to establish respective capitals, the slum agenda is going to be more prominent and should receive the attention it deserves. Targets and Expected Outcomes of the National Slum Upgrading Prevention Policy The vision of the National Slum Upgrading Prevention Policy is to ensure a dignified livelihood for slum/informal settlement households, while at the same time providing inclusive and integrated human settlements through: a) Improved security of tenure for slum/informal settlements households. b) Empowered slum/informal settlement households. c) Improved governance and participation through integrated settlements. d) Coordinated, collaborative and accountable approaches to upgrading and prevention of slums/informal settlements, both at County and National levels. e) An established amalgamated fund for slum upgrading and prevention. The Difference between a Slum and an Informal Settlement The term informal settlement is often used interchangeably with slum, but there are some differences between the two. There is no internationally accepted definition for the term slum, hence slums more often than not are defined by their basic characteristics high population density, dilapidated housing structures, overcrowding, inaccessible and inadequate basic physical and social services such as sanitation facilities, storm water drainage, electricity, safe water and solid waste disposal, among others. On the other hand, an informal settlement puts emphasis on the land tenure challenges faced by the residents. 6 Reclaiming Housing as a Universal Human Right

14 The Popular Version Ownership Dynamics in the Informal Settlements/Slums There are different land right ownership systems in informal settlements: Absentee landlords: One who owns land and/or structures, and can rent part or all of it to others. Structure owners: This term refers to those who build and/or own structures/buildings within the informal settlements/slum. A structure owner is not necessarily the legal owner of the land on which the structure stands. Informal settlements/slums there are different types of land rights which include Ownership Freehold, Leasehold, Community Land, Public Land and so forth. Some of the land is owned by absentee landlords who hold Leasehold titles from the Government. Some areas could comprise Public Land owned by the Government, while others could be Community Land. Community Land currently has no title considering that the Community Land law that should govern such titling has not yet been passed. What Does the Policy Say About Socio-Economic Rights? Slum dwellers are largely excluded from exercising any control over material, financial, intellectual and other resources that are necessary in exercising any form of power. Indeed they have minimal access to and control over minimal resources. Slums contribute enormously to the economic and social growth of the country and such contributions remain unrecognized and un-integrated in the national economy. The exclusion of slum dwellers is a direct manifestation of the current unequal power relations. These have been institutionalized by the existence of rules, structures, institutions, authorities and procedures/ processes that do not confer to any formal recognition of the poor as key actors in governance. The above exclusions are reinforced by negative perceptions and attitudes towards slums and informal settlements. Reclaiming Housing as a Universal Human Right 7

15 PROPOSED POLICY ACTIONS The Policy proposes the following solutions Mainstream the slums and informal settlements into all aspects of the economy and public service delivery. Improve livelihoods in informal settlements through creation of facilities like studios, digital centres and theatres for socio-economic empowerment. Promote creation of financial services by supporting formation of saving schemes, cooperatives and SACCOs, among others. Promote utilization of local skilled and unskilled labour in slum upgrading projects. Mainstream programmes dealing with health and wellness services for vulnerable groups, i.e.,those addicted to alcohol and/or other drugs, people living with HIV/AIDS, victims of gender-based violence or rape, children who have been abused, ex-prisoners, and the physically challenged, among others. Allocate adequate resources for social infrastructure in slum upgrading including; social halls, markets, schools, daycare centres, health facilities and counseling centres, among others. Promote good governance and innovative structures for enforcement of law and order. Create awareness of existing government funds targeting different categories of the society. Create functional buildings with adequate privacy for everyone. Recognize and integrate informal economies in slum areas into the formal economy. Nurture positive cultural values in the family set-up. Promote information sharing and communication through resource centres, local community media and forums in slums. 8 Reclaiming Housing as a Universal Human Right

16 The Popular Version Security and safety issues Security and safety are major problems in slums and informal settlements. Communities living and working in slums and informal settlements are exposed to various adverse security and safety issues that range from violence, rape, theft, floods and fires, among others. The policy proposes the following solutions to predominant slum issues: Create employment opportunities and develop support systems for income generation. Ensure that firefighting systems are located in close proximity to the slums and informal settlements. Increase the number of police posts and patrols to match the population size in informal settlements. Promote effective communication and information management for security intelligence. Subsidize and install utility services to avoid illegal power connections or contamination of water. Install floodlights in slums to enhance safety and security. Land Tenure and Administration Issues Land tenure and administration in slums are quite complex. Lack of security of tenure is perhaps the greatest challenge since informal settlements are usually built on Public, Community and Private Land. Due to insecurity of tenure, most slum residents live under constant fear of evictions, which in turn makes development initiatives difficult. In addition, there are competing land rights in slums: we have tenants, structure owners (both resident and absentee) and land title holders. The policy proposes the following solutions: Introduce user rights and other mechanisms that would deal with the finite nature of land use. This will address the issue of competing land rights in slums. Reclaiming Housing as a Universal Human Right 9

17 The National Slum Upgrading and Prevention Policy Develop procedures for recognition of slum areas and informal settlements to come up with a suitable land tenure system. Develop and implement a land tenure regime that recognizes differentiated rights: the right to transfer, manage and own. Establish innovative instruments of land ownership such as Community Land Trusts, Certificates, Leases and Residential Licenses for progressive realization of security of tenure. This includes creating cooperative land tenure ownership. Advocate for accessible and affordable tenure administration and management systems. Tenure on upgraded slums in public land should be transferred by way of periodic leases to beneficiaries. Ensure that resettlement programmes do not leave beneficiaries worse off. They should be integrated into the wider urban set-up. Facilitate implementation of the Ndung u Report, the Truth Justice and Reconciliation Commission (TJRC) Report and the National Land Policy (NLP) to repossess public land for use in slum upgrading. Shelter and Housing Issues Slums and informal settlements are characterized by houses constructed using different materials, diverse technologies and designs. They are variously referred to as structures, shacks or dwelling units, among others. Most of the houses are single roomed (3x3 metres), built with materials such as cartons, polythene papers, tins, mud or wood, thus exposing the residents to the weather elements. The use of sub-standard building materials requires frequent maintenance of the structures. Most of the houses belong to absentee structure owners who are an impediment to the slum upgrading process. The policy proposes the following solutions to predominant slum issues: Promote use of appropriate low-cost building materials and technologies. Promote multi-storey houses (tenements) through enforcement of appropriate regulations and guidelines. 10 Reclaiming Housing as a Universal Human Right

18 The Popular Version Encourage use of standard building materials and designs in construction of low-cost houses. Encourage negotiated minimum standards in slum upgrading. National and County Governments should ensure that upgraded projects are affordable and accessible to the target groups. Promote secure tenure for the urban poor and stop commercialization of slum upgrading on Public and Community Land by promoting the principle of one structure per household. Develop and implement effective mechanisms for rent regulations, including resolving rent disputes between landlords and tenants. Promote community justice systems to counteract the existence of cartels and other forms of extortion. Slum upgrading should include establishment of transitional rescue centres and safe houses for protection of vulnerable groups e.g. battered spouses. Develop and implement engendered individual and communal land tenure. Encourage occupation rights based on leasehold and temporary occupation licenses/residential licenses. Promote participatory slum upgrading that incorporates innovative ideas and lessons on the use of space and, social and economic organization of the urban poor. The upgraded areas in slums should reflect the cultural diversity present in Kenya and should meet the constitutional threshold. Inter-Government Agency for Slum Prevention and Upgrading The implementation of the policy should have a well-coordinated institutional and legal framework. To achieve this, the Government should establish an Inter-Government Agency for Slum Upgrading and Prevention whose functions shall include the following: Coordination of slum upgrading through integration of projects. Promote improved accountability of upgrading projects through inclusivity of stakeholders and ensure the delivery of efficient, cost-effective and equitable basic services. Reclaiming Housing as a Universal Human Right 11

19 The National Slum Upgrading and Prevention Policy In collaboration with County multi-stakeholder committees, formulate guidelines, standards and regulations. Administer the Kenya Slum Upgrading, Low Cost Housing and Infrastructure Trust Fund (KENSUF). Kibera decanting site overlooking the Kibera slums 12 Reclaiming Housing as a Universal Human Right

20 The Popular Version FINANCING OF THE POLICY Kenya Slum Upgrading, Low Cost Housing and Infrastructure Trust Fund Other slum upgrading policies have employed public, private and community funding models. Many cases utilize all three approaches, at various stages of planning and implementation. The NSUPP has established a trust fund known as the Kenya Slum Upgrading Low Cost Housing and Infrastructure Trust Fund (KENSUF). The Fund shall be a central depository of all and shall be run by the Board of Directors of the agency. It will have a secretariat at both National and County levels. The Agency shall draw its funding from annual budgetary allocation, donors, CBOs, the private sector, individuals and grants. The Agency shall also draw proceeds from sale or rental from upgraded facilities, corporate social responsibility (CSR) programmes run by companies and goodwill ambassadors for purposes of sustainability. The Agency is also expected to mobilize financial resources for slum upgrading programmes through fundraising, and the creation and management of a housing levy. Role of County Government within the Policy Framework In the spirit of embracing devolution, the policy establishes a County Slum Upgrading Multi-Stakeholder Support Group (CMSSG) whose functions will be: Implement slum upgrading programmes and projects. Formulate County-specific slum upgrading policies in line with the National Slum Upgrading and Prevention Policy. This is strategic, considering that it is in line with the devolved functions of Government. Approve development plans, keep updated records of a slum database and enhance governance and accountability through organizing County stakeholders meetings and capacity building of County officials and community members. The National and County Governments are therefore expected to ensure that adequate budgetary allocations are made to provide housing, especially for those in desperate need. Reclaiming Housing as a Universal Human Right 13

21 The National Slum Upgrading and Prevention Policy CONCLUSION The process of National Slum Upgrading and Prevention Policy formulation has been participatory and all-inclusive through Multi-Stakeholders Steering Committee, thematic working groups, Regional Consultative Workshops, the field visits in selected counties and urban areas and a National Consultative Workshop. This Policy comes at a critical time when the devolved governments are expected to assume greater responsibilities in investment, development and consequently provide for increased urban populations. This policy will serve as a comprehensive framework for addressing the slum question by both the National Governments and the forty seven County Governments. On its full implementation, the relevant aspirations as contained in the Constitution and the Kenya Vision 2030 will be realized. 14 Reclaiming Housing as a Universal Human Right