INFORMAL HORIZONS: Urban development and land rights in East Africa

Urban development and land rights in East Africa

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Informal Horizons Published on the occasion of the exhibition Informal Horizons Curated, authored, and edited by Johan Mottelson Chapter 3, Urban Interventions, co-authored by Margarida Waco Chapter 4, Jinja Land Value Project, co-authored by Anton Ryslinge Proofreading by Margarida Waco and Sophie Hornum Inanloo Layout and graphics by Johan Mottelson, Margarida Waco, and Anna Wahlén All photos and illustrations by Johan Mottelson, unless noted Front cover by Rosemary Zeynoun ISBN: 9788778309976 Published by Architects without Borders - Denmark 2019 Printed in Denmark by Toptryk Contact: jmot@kadk.dk Acknowledgements This project was made possible with the financial support of CISU - Civil Society in Development, along with institutional support from the Institute of Architecture, Urbanism and Landscape at KADK - The Royal Danish Academy of Fine Arts Schools of Architecture, Design and Conservation as well as the KADK Library of Architecture, Design, Conservation & Performing Arts. A special thanks to Jørgen Eskemose, Inge Kongsgaard Hansen, Katrine Lotz, and Jakob Knudsen.

Funded by:

Katanga, Kampala, Uganda → 4

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7 Informal Horizon in Kibera, Nairobi, Kenya

INFORMAL HORIZONS

The majority of the ongoing extensive urbanization of East Africa is informal and occurs beyond the limits of state control and regulatory systems. This development is characterized by lack of urban planning, infrastructure provision, and formal rights to the land. Lack of land rights constitutes a major issue within urban development in East Africa, as it leads to forced evictions as well as exclusion from public services and citizenship, compromising sustainable development for millions of urban dwellers across the region.

This publication is called Informal Horizons as the future of African cities is informal and as many African cities are characterized by vast peripheral informal settlements extending towards the horizon. It contains information on current efforts to counter issues relating to informal land ownership in East Africa, along with research on the underlying structures conditioning the informal urban growth. This includes projects by the NGO, Architects without Borders - Denmark, addressing issues with land rights in Uganda and Mozambique.

Additionally, this publication contains material from the KADK-based research project, Understanding Urban Form of Informal Settlements in East Africa, which is currently examining issues related to the informal urban development in the region, in order to improve the basis for developing effective urban planning interventions and policies for such areas. The first three chapters focus on the background, historical context, and current issues confronting the urbanization of the region, while the final three chapters present projects by Architects

without Borders – Denmark, seeking to address issues with land rights and urban poverty through architectural and urban planning interventions. Informal Horizons seeks to synthesize these efforts to improve our understanding of the ongoing extensive urbanization processes in East Africa and showcase current attempts at transforming informal settlements into sustainable neighborhoods.

Urban Africa Africa is the least urbanized continent, but is currently undergoing rapid urbanization processes as people migrate from rural to urban areas in search of a better life. Approximately 40% of the African population resides in cities. However, according to demographic projections, the urban population will surpass the rural population in Africa approximately by 2030 due to migration to the cities. Furthermore, high fertility rates contribute to the urban population growth, causing large-scale urban transformations of African cities in order to accommodate the urban population growth.

Nearly 70% of the urban population lives in areas the UN defines as slums, characterized by substandard housing, overcrowding, insecure tenure, as well as inadequate access to safe water and sanitation. Due to lack of resources and capacities in the public sectors to administer the comprehensive urban growth, the majority of the urban populations reside in informal settlements without formal rights to the land they occupy, leading to insecure tenure. This entails a number of negative implications, such as risk of evictions and decreased access to public services.

Substandard rental housing with the middle-class neighborhood, Langata, in the background, Kibera, Nairobi, Kenya → 8

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Job Market

Church Job Market Home

Home School

School

Church

Main road

Main road

↑ Relationship between urban density, mobility, and infrastructure

Informal settlements typically develop without effective urban planning, enforcement of building code, and appropriate infrastructure provision.

Consequently, they develop undesirable living conditions. This development often includes encroachment on the public space, whereby plot limits are expanded, leaving narrow alleys for access, which complicates future infrastructure upgrades and regularization of the neighborhoods.

In particular, the lack of stormwater infrastructure, lack of sanitation, and limited waste management compromise the public hygiene conditions, leading to unhealthy urban environments. Other possible consequences of this type of unregulated urban development include unhealthy homes, increased risk of fires, and exposure to hazards such as collapsing buildings.

These negative implications of informal urban growth are often labelled ‘the urban penalty’.

Concurrent to the urban densification taking place in almost all informal settlements, African cities are expanding horizontally.

Most studies suggest that the majority of the urban population growth is accommodated through urban expansion. This development leads to a growing infrastructure deficit as the price of infrastructure is areadetermined. Low-density urban expansion thus exacerbates the needed investments in infrastructure, while decreasing cost effectiveness of such investments.

Consequently, the urban expansion leads to declining mobility as well as decreased access to public services and infrastructure, as the new areas are far from the city centers with limited street network capacity, often characterized by traffic congestion.

Pile of garbage, accumulated due to lack of waste management in Kibera, Nairobi, Kenya → 10

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The extensive urbanization of Africa is partly caused by ‘pull-factors’, such as new job opportunities in cities within the service and industrial sectors, as well as better access to education and health services. Meanwhile, ‘push factors’, such as decreasing job opportunities in rural areas, caused by the opening of markets and technological advancement in agriculture, have further increased the migration to cities across the continent. Urbanization is associated with important economic and social transformations, which have brought longer life expectancy, higher levels of literacy, as well as greater access to healthcare, education, and political participation. These positive aspects of improved mobility and access to jobs, healthcare and education are often labelled ‘the urban advantage’.

Nevertheless, the lack of planning, inadequate infrastructure provision, and underutilization of scarce resources, particularly land, may compromise the ‘urban advantage’ through peripheral urban sprawl and consequent decreased mobility, while the ‘urban penalty’ is increased through uncontrolled densification of centrally located informal settlements and consequent increasingly unhealthy living conditions.

The urban development in Africa implicates all 17 Sustainable Development Goals (SDGs) directly or indirectly. While goal 11 Sustainable Cities and Communities has the most direct link to the urbanization of Africa, all other goals are futile to discuss in a larger scale without including issues related to the urban development. Climate change leads to more extreme fluctuations in the weather. This has severe consequences for informal settlements, partly due to lack of stormwater management infrastructure, and

because poor quality homes are destroyed during stormy weather. If the resilience of African cities is not addressed, it may result in waves of migration due to insecure living conditions and unsustainable cities.

Slums, informal settlements, insecure tenure, and land titling According to the UN-Habitat, a slum household is characterized by one or more of five factors: insecure tenure, inadequate access to safe water, inadequate access to sanitation, overcrowding, and substandard housing. The term was reintroduced by the UN in 2003 to promote government interventions with the aim of improving the living conditions in such areas. However, contrary to the intention, the definition was often used to relocate population, serving economic and political elitist interests.

Consequently, the use of the term is contested in academia.

The terms ‘informal settlements’ and ‘slums’ are often used interchangeably, although the definitions of the two terms differ. The OECD defines informal settlements as either A) areas where groups of housing units have been constructed on land that the occupants have no legal claim to, or occupy illegally; or B) unplanned settlements and areas where housing is not in compliance with current planning and building regulations (unauthorized housing). While the term ‘slum’ covers both legal and qualitative assessments, the term ‘informal settlement’ relates to lack of state control of the urban areas and consequent contested legality.

The insecurity of tenure is the common denominator of the two terms, although residents of both slums and informal settlements may have tenure security.

According to the UN, land tenure is the Small scale commercial activities in Maxaquene, Maputo, Mozambique →

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relationship, whether legally or customarily defined, among people, as individuals or groups, with respect to land. According to the Expert Group on Urban Indicators tenure security is “the right of all individuals and groups to effective protection by the state against forced evictions”. Insecure tenure thus indicates contested right to the land and consequent risk eviction for the occupants. However, what constitutes secure tenure is relative and the attributes of security is context dependent. Land titling refers to the process of delivering rights to occupants of land or property. Land titling thus eradicates tenure insecurity of informal settlements, by formalizing the informal landownership and giving the residents legal rights to the land they occupy.

The vast majority of informal settlements are occupied by poor residents and will often have additional forms of deprivation aside from insecure tenure (including overcrowding, low-quality housing, lack of clean water, and lack of sanitation). While the urban areas described in this publication, are slums according to the UN definition, the term ‘informal settlements’ is used, due to the specific focus on land rights and the lack of state regulation.

Informal settlements are characterized by development beyond the jurisdiction and control of the state. However, the reality is more complex than the informalformal binary distinction. In most informal settlements, local public authorities are appointed, such as chiefs, block leaders, and ten-cell leaders. These are responsible for resolving local issues and typically govern with some extra-legal practice. In many cases, there are no approved urban plans

of the settlements, and the residents are unable to apply for formal construction permits. Nevertheless, the locally appointed officials issue informal construction permits, as a ‘no development’ policy would be unacceptable for the local communities.

Similarly, municipalities may issue formal construction permits for larger scale construction projects through informal procedures without formal legal basis, as stakeholders of larger scale investments may consider local informal permits too risky. While such informal systems operate through extra-legal procedures, informal settlements do not develop in complete isolation of governance by the state, e.g. as the local authorities will typically prohibit construction in main public spaces and larger scale projects would require permission at higher levels of the public administration.

Accordingly, informal settlements typically do not develop in a complete vacuum of the state regulatory and administrative systems and more appropriate terms to describe the different nuances of informality are necessary.

These nuances are manifested in the following structural and legal differences of informal settlements: 1. Planned or unplanned settlements recognized by the state 2. Settlements planned by locally commissioned professionals, which have not been approved by the authorities and are thus not recognized by the state 3. Unplanned settlements not recognized by the state 4. Unplanned areas, which have been restructured and subject to interventions but not recognized by the state

People filling up jerrycans with water due to lack of water provision at household level in Kibera, Nairobi, Kenya → 14

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17due to Boiled water is poured into jerrycan and sold for drinking inadequate access to safe water in Katanga, Kampala, Uganda

These nuances are important, as the state recognition of the urban structure determines whether ‘regularization’ (urban planning interventions to change street and plot layouts) is necessary before the occupants can receive rights to the land. Furthermore, the spatial layouts and access conditions of the neighborhoods will typically condition eventual government recognition, as many public authorities have a bias against ‘organic urban forms’ and lack of access by car. Consequently, many governments will require spatial readjustment of unplanned informal settlements prior to initiating eventual formalization processes. This has implications for unplanned informal settlements as such interventions are costly, complicated, and typically require demolition of houses, compensation for lost property, and lengthy negotiations with the residents.

Just as the formal/informal distinction of urban areas lacks nuances, formal/informal distinction of land ownership lacks nuances describing the different levels of rights and tenure insecurity attributed to residents of informal settlements. The levels of tenure security is a continuum represented in the following categories, with legal rights and secure tenure in the top and limited rights and insecure tenure in the bottom: 1. Freeholder 2. Leaseholder 3. Tenant with contract 4. Legal owner of unauthorised construction 5. Owner of plot with unauthorised subdivision 6. Tenant of plot with unauthorised subdivision 7. Squatter “owner” 8. Squatter tenant

Land rights Forced evictions are a threat to residents of informal settlements worldwide as many government agencies consider the occupants illegal squatters, due to their lack of formal land ownership. Evictions can be brutal and cause deaths and homelessness.

Political turmoil is a frequent consequence, as proper compensation for the loss of property is rare. Forced evictions are often the result of government agencies or influential private entities seeking to develop the informal settlements for other segments in society, using the illegal status of the informal settlements as justification for seizing the land. Accordingly, land titling programs will provide rights to the land of the residents and decrease the risk of forced evictions.

Residents of some informal settlements fear eviction. Consequently, these residents are less likely to invest in home improvements and small scale businesses. This leads to worsened living conditions due to substandard housing, while constraining economic development. Accordingly, some studies suggest that land titling programs may stimulate economic growth, improve living conditions, and reduce poverty.

Investments in infrastructure and public services are typically less frequent in informal settlements, as their legality is contested by public authorities. Residents of informal neighborhoods generally lack access to financial services, since informal property cannot be used as collateral for obtaining loans from financial institutions.

Informal land ownership thus constrains the residents of informal settlements from using their properties as resources for investments Unsanitary urban conditions caused by lack of infrastructure in Antohomadinika, Antananarivo, Madagascar →

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in small scale businesses. Lack of land rights thus contributes to exclusion from public and financial services, contributing to aggravated living conditions. Accordingly, land titling may improve the access to public services and credit for investments, resulting in improved living conditions and reduced poverty. Furthermore, land titling enables taxation of properties, raising revenue which may be reinvested in infrastructure or services.

Formalization the land ownership of informal settlements may contribute to the following factors: 1. Provide security of tenure 2. Increase access to infrastructure through increased public investments 3. Increase access to public services (including healthcare and education) through increased public investments 4. Stimulate economic growth through secure private investments 5. Improving housing conditions through secure investments in home improvements 6. Increase government revenues, through improved land and property taxation 7. Increase access to formal credit to invest in businesses 8. Improve urban planning and land management 9. Improve land market efficiency 10. Decrease spatial integration While the majority of UN reports point out the aforementioned benefits of land titling, some studies suggest less positive outcomes.

These studies highlight that residents of informal settlements typically do not

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consider the risk of eviction and land titling thus has a limited impact on investments and home improvements. Formalization of land ownership increases the land market value, influencing costs of rental housing.

Poor tenants thus risk exclusion from the local housing market due to the rising prices.

Furthermore, the empirical studies show little impact on access to credit, due to cultural conditions or unresponsive financial institutions. Accordingly, it is likely that land titling programmes can have both positive and negative effects.

Informal settlements proliferate due to the lack of resources and capacities in the public sectors. Abiding to the law, by constructing according to the building code and applying for formal construction permits is too costly for the majority of the urban populations, as construction permits require involvement of high-salary, formally trained professionals, and as the qualitative standards of the building codes are much higher than the norm in the informal sector. Accordingly, the majority of the urban population are excluded from the formal housing market and have no other options than residing in informal settlements in unauthorized housing. Most public authorities lack the resources and capacities to provide spatial planning, enforcement of urban regulation, and process the bureaucratic frameworks of urban development, while the majority of the population lack the resources to settle in housing within the framework of the law. Until both sides of this predicament are resolved, informal settlements will continue to proliferate. The question

remains, if the legal framework should be changed in order to accept modes of informality until the urban growth stagnates or additional resources are available at both household level at large as well as in the public institutions governing the urban development?

Most East African countries have laws granting some tenure rights to residents of informal settlements, as governments recognize the conditions of the urban development since independence entailed limited options for much of the population to acquire land and housing within the formal system. Accordingly, legal frameworks for formalizing the informal land ownership have been developed through different procedures. This typically involves some documentation showing the landowner has resided on the given plot over a minimum period, a physical survey of the plot along with a number of application documents. Furthermore, formalization of land ownership will typically require an approved urban plan as well as compliance to the urban plan. However, there are a number of structural conditions constraining the formalization of land ownership. The lack of resources at both household level and public administration level conditioning the proliferation of informal settlements, characterizes the established informal settlements and thus constrain the formalization of land ownership at large.

Many settlements are not recognized by the state and do not have approved urban plans. Many settlements that have approved plans require costly structural adjustments in order to comply with the plan. Finally, most

residents of informal settlements lack the resources to formalize their land ownership, even if the above issues are resolved, due to the lack of resources at household level to fulfill the legal procedures. However, in some cases efforts to formalize land ownership, are carried out by the local governments, local organizations in the neighborhoods, NGOs, or private developers.

Innovation in policy and technology have brought about anti-eviction laws, low-cost surveys, and new forms of land titles which are cheaper to administer. Proliferation of smartphones have enabled more comprehensive community-based datacollection and participatory mapping of land occupancy for GIS platforms. The use of drones have lowered costs of cadastral surveys. New forms of in situ regularisation and issuing collective certificates of occupancy have lowered costs of land titling programs for residents of informal settlements. In some cases, decentralization of public administration have brought decisions closer to the residents of informal settlements and thereby increased tenure security. Anti-eviction laws have increased tenure security in some countries. Such laws include due notice for landowners to inform land users, negotiation for the terms of compensations, requirement of relocation, minimum requirements for period of occupation before rights are ensured, and financial assistance for relocation. However, while these innovations have lowered costs of land titling programs and increased the rights of residents of informal settlements, they have only been incorporated into national policies to a limited degree.

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23 Dysfunctional infrastructure in Kibera, Nairobi, Kenya

Countries featured in this publication

Historical context East Africa is a variably defined region of the African continent. According to the United Nations geo-scheme, it stretches from Eritrea in the North to Mozambique in the South, and from Mauritius in the East to Zambia in the West. The region is geographically diverse and includes the Great Lakes Region, the Swahili Coast, and several island states in the Indian Ocean, covering 20 countries. These are characterized by great cultural and ethnic diversity as well as a multitude of different historical developments. As this publication includes projects from Uganda and Mozambique, as well as research on cities in Kenya and Madagascar, this review of the historical developments of the region focuses primarily on these countries.

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During the 1st millennium BC, speakers of the original proto-Bantu language group initiated series of migrations eastward from areas around present-day southern Cameroon. The Bantu expansion into much of the African Great Lakes region introduced agriculture and metalworking which allowed people to settle in greater densities. In the following centuries, the Bantu slowly intensified farming and cultivation of animals over most regions of East Africa. During this process, the indigenous hunter-gatherers were submerged into the agriculture-based Bantu cultures. Bantu languages and cultures still dominate most of the mainland of East Africa to this day.

Approximately 2000 years ago Austronesian speaking people from present day Indonesia crossed the Indian Ocean and were likely the first humans to settle in Madagascar along with the neighboring islands off the East African coast. Some sources date early trade routes between the East African coastal region and Gujarati traders from present-day India as early as 1700 years ago. Arabic trade intensified approximately 1200 years ago, playing a significant cultural influence along the coast of East Africa.

Bantu communities developed contact with the Arab and Persian traders, leading to the development of the mixed Arab, Persian, and African Swahili City States. The Swahili culture that emerged from these exchanges brought many Arab and Islamic influences not seen in traditional Bantu culture. A product of the multicultural environment

of the Swahili coast was the development of the Swahili language, a Bantu language that contains a number of Arabic and Hindu loanwords due to the trade with Arabic and Indian regions. The influence of the Arabic trade spread Islam along the coastal belt, but most Bantu remained African traditional religion adherents. Approximately 1000 years ago, Bantu speaking people migrated from the Swahili coast to Madagascar and the neighboring islands and mixed with the already established Austronesian cultures, creating the Malagasy culture in Madagascar.

Approximately 600 years ago, large African Great Lakes kingdoms and states emerged, such as the Buganda and Karagwe kingdoms of Uganda and Tanzania.

The Portuguese were the first Europeans to explore the region, initially with the expedition led by Vasco da Gama entering East Africa in 1498, in search for a sea route to India bypassing the costly and unsafe Silk Road caravan routes of the Middle East and Central Asia for spice trade. The expedition was successful in reaching India, which enabled Portuguese trade with the Far East directly by sea. Subsequently, Portugal established ports along the coast from southern Mozambique to Mombasa in present-day Kenya. During this period, Portugal took control of the trade of spices and slaves, which up to this point was largely controlled by the arabic Omani Empire.

The Portuguese controlled most ports and sea routes along the Swahili Coast, enabling the Portuguese to require high

tariffs on items transported between Asia and Europe. However, British, Dutch, and Omani incursions curtailed the Portuguese influence in the region during the 17th century, which declined to cover the coastal region of present-day Mozambique.

Omani Imperial governance of the Swahili coast continued until the 19th century.

However, between the 19th and 20th centuries, the entire region became a part of ‘The Scramble for Africa’, in which the major imperialist European nations conquered almost the entire continent. This development was partially prompted by the abolition of slavery and creation of a wagelabor system, which shifted the economy towards cultivation of the land in the 19th century. This development expanded the previously mainly coastal colonization inland with cultivation of cash crops like coffee and tea, as well as for animal husbandry with primarily cattle and goat products.

The British Empire conquered parts of present-day Kenya and expanded westwards into present-day Uganda. They expanded from Southern Africa into present-day Zimbabwe and Zambia, as well as from Egypt and Sudan in the North into present-day South Sudan, and occupied parts of present day Somalia along with taking control of several islands in the Indian Ocean. The French conquered Madagascar, along with the smaller islands nearby, Réunion and Comoros, as well as Djibouti in the Horn of Africa. The German Empire conquered a

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large area comprising present-day Rwanda, Burundi and the mainland part of Tanzania.

Omani presence continued in Zanzibar and the neighboring Pemba island. Italy conquered parts of present day Somalia and Eritrea in the Horn of African, and unsuccessfully attempted to occupy Ethiopia, which remained independent until 1936 when it became part of Italian East Africa.

After the First World War, Germany was stripped of its colonies and Britain gained mandate over present day Tanzania, while present day Rwanda and Burundi came under Belgian control.

Subsequent to the Second World War, the entire African continent underwent a gradual process of decolonization and all countries gained independence from the European domination. In August 1941 the US and UK agreed on the Atlantic Charter, outlining American and British goals for the world after the war. This included intentions to restore ‘self-government to those deprived of it’, which played an important role in the dismantlement of the British Empire and the decolonization of the African continent. While the post-war European colonial powers were consumed with debt, growing nationalist movements formed across the continent and began to organize and challenge the colonial authorities, through both peaceful and violent tactics.

The decolonization of East Africa took place in the 1950s, 60s and 70s, with rapid transitions from colonial governments to independent nations, often marred with political turmoil.

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Kenya gained independence from Great Britain, following a lengthy process starting with the Mau Mau rebellion in 1952, which prompted the British to give concessions, allowing the first elections to the Legislative Council in 1957, paving the way for independence in 1963. Uganda gained independence from Great Britain in 1962 with limited organized violence.

However, subsequent to independence, the country endured in internal power struggles during the Buganda crisis, leading to authoritarian governance culminating with the mass killings under the regime of Idi Amin. Madagascar had a growing movement for independence subsequent to the Second World War, leading to the 1947-1949 Malagasy Uprising. The growing discontent with the colonial rule prompted France to initiate transition reforms in 1956, and Madagascar gained independence in 1960. Unlike other European colonial powers in the region, post-war Portugal was ruled by a dictatorship, which did not seek to withdraw from its African colonies, prompting anti-colonial movements instigating the Portuguese Colonial War. In Mozambique, the war was fought between the Mozambican Liberation Movement and the Portuguese military 1964-1974, when a coup d’état brought democracy to Portugal and gave independence to Mozambique in 1975. Following independence, Mozambique was torn by a civil war 1977-1992, with the Marxist-Leninist Mozambican Liberation Movement supported by the Soviet Union and Cuba fighting against the Mozambican National Resistance supported by Apartheid South Africa and the United States engaging in a proxy-war.

The European colonization of East Africa had a significant cultural impact and played a crucial role in the formation of the contemporary states, along with the local political and administrative systems and proliferation of Christianity. English, French, and Portuguese remain official languages across the region. As the colonial borders were drawn irrespectively of local ethnic divisions, post-independence power struggles and consequent violent conflicts spread across the region in the wake of independence. Furthermore, descendants of European settlers still remain a part of the economic elite in most of the former colonies. However, aside from unstable conditions in Burundi, South Sudan, and Somalia, most countries in the region are relatively peaceful today.

Following independence, the power vacuum caused periods of political instability and the scarce economic resources and limited formally trained professionals in the public sectors created fragile states with limited administrative capacity. During the period after independence, most countries in the region underwent developments of urbanization and many of the more centrally located informal settlements in the larger cities were established due to the lack of urban planning capacity to accommodate the influx of rural migrants to urban areas.

This development continues in most countries in the region to this day, and informal urban areas accommodate the majority of the urban population growth.

However, due to the multitude of different

political and historical developments in the individual contexts, the nature of these informal urban environments vary significantly.

While the land ownership in Europe was formalized through slow ‘bottom-up’ processes and gradual development of legal frameworks, the colonial authorities in Africa obtained ownership of the land through ‘top-down’ processes, often with state sponsored violence. Much of the appropriated land was reserved for the state and ignored the local traditions for customary tenure. Subsequent to independence, African governments largely used the colonial legacy to consolidate the power of the elite. This included maintaining a lack of formalized land rights for the majority, enabling the state to exercise control of the land. In more recent years, international institutions such as the UN and the World Bank, have promoted land titling programs. Initially, these programs were justified by their intended economic benefits, while later formalization of land ownership were seen as an end and not a means. This development may be linked to global liberalization processes, with increasing focus on the rule of law in order to support free market mechanisms.

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29 Substandard rental housing with single-room apartments on each side of a central corridor in Kibera, Nairobi, Kenya

URBAN FORM OF INFORMAL SETTLEMENTS Why do centrally located informal settlements in major cities in different East African countries have fundamentally different spatial properties? What factors influence the development of urban form of informal settlements? And how can knowledge of the processes conditioning the development of informal settlements improve the basis for developing effective urban planning interventions and policies for such areas? The KADK-based research project Understanding Urban Form of Informal Settlements in East Africa is currently examining the informal urban development in the region in order to provide answers to these questions. The project is mapping and analyzing informal settlements, seeking to improve the understanding of how spatial structures in informal settlements emerge and what factors influence the development of urban form. The project is developing a model that attempts to explain the impact of structural factors such as geography, governance, economy, history, and culture on the development of urban form. The project is currently in the process of developing multiple papers, each discussing a specific factor in the model on the basis of empirical data. The project uses drones and GPS-devices for collecting high resolution geo-spatial data as well as photogrammetry and GIS software for analyzing the data.

Multiple spatial indicators, such as ground occupation, street space, network density, block size, and floor area ratio are extracted, providing a basis for measuring and describing the urban form of the settlements. Similar case study areas varying within a single factor were selected and surveyed in order to evaluate the impact of

the specific factor based on the extracted geo-spatial data. Thereby, the project seeks to provide an analytical framework improving the general understanding of the formation and transformation of informal settlements in East Africa. On this basis, the project will provide a number of policy recommendations. The project is ongoing, the papers referred to are unpublished, and the conclusions are tentative. However, this chapter presents the preliminary findings of the research project, along with a general description of the analytical model, pending further refinement.

Urban morphology, urban density, and urban form The research project uses urban morphology methods as well as urban form and urban density metrics. Urban morphology is broadly defined as the study of physical form of urban areas. This usually includes examination of the process of formation and transformation of the urban areas in relation to economic and social processes.

There are several branches in the academic field, using various distinctive methods such as cartographic representation of the historical development of the city or mathematical representation and computing of street networks. Urban morphology typically focuses on street pattern, plot pattern, and building pattern, and examines the physical form of a city, the evolution of cities over history as well as comparisons between different cities. Such analyses often include examination of the land ownership and occupation in order to explain the functioning of cities. This may include the study of how social forms produce physical layout of a city, as well as how physical forms produce social forms.

Antohomadinika, Antananarivo, Madagascar →

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Urban density has numerous definitions and methods of measurements, quantifying urban characteristics and describing the relationship between a given area and the number of certain entities in that area, e.g. people, dwellings, services, floor space, and street network size. Knowledge of the size and spatial distribution of human population in an urban area is essential for understanding social, economic, and environmental issues. Urban density information is thus important for urban planning and land management.

Very different urban forms (e.g. high-rise buildings with vacant land around and compact low-rise structures) can have similar measured densities, as urban density measures cannot be used to adequately describe urban form, albeit it contains valuable information about important spatial properties.Urban density and urban form condition the performance of an urban fabric, e.g. daylight access, parking, traffic, privacy, energy consumption, and building types. Urban regulation usually includes multiple indicators that relate to urban density and urban form, such as, building height, Floor Area Ratio (FAR), and building coverage (GSI). FAR is a commonly used urban density measure in urban planning.

It represents the total area of indoor floor space divided by the given area. The ‘given area’ is usually a plot but FAR is also used as a density measure for wider urban areas.

Building coverage (GSI) is another commonly used density measure, which is the total area of the building footprints divided by the given area. A Central Business District (CBD) is the commercial and business center of a city. The highest density of floor space, retail and jobs in any given city typifies CBDs. The population densities are often higher in surrounding urban areas due to high land prices in the CBD and consequent decreased accessibility for residents.

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Understanding urban form of informal settlements in East Africa The model described in this section seeks to provide an analytical framework for understanding the structural factors influencing the development of informal settlements in East Africa, within the following topical headlines: governance, economy, geography, history, and culture.

Although some urban form metrics are included in the discussion, the model uses urban density (FAR) as the primary indicator for simplification. The model utilizes three case study areas, showing extreme variations in urban form and built densities of informal settlements in East Africa. Each settlement thus represents a number of context specific factors influencing the particular urban conditions. The settlements are used to explain the functioning of each factor in the model and include: Kibera, Nairobi, Kenya; Antohomadinika, Antananarivo, Madagascar; and Maxaquene, Maputo, Mozambique.

Governance Urban policies and urban planning practice influence the development of informal settlements through multiple mechanisms and are conditioned by local culture, historical developments, as well as international institutions such as the UN and the World Bank. Eviction policies will likely decrease densification of informal settlements, due to risk of lost investments.

Infrastructure provision, urban planning, increased public services, and formalization of land rights will likely increase urban densification due to increased market value of the land. The administration of urban development and land-use policies condition the economic factors explained in further detail later in this section. Particularly, the land-use categories and urban densities outlined by urban plans as well the level of enforcement of these plans influence the land supply and housing stock. While

of rental housing and consequent high urban densities, while the case study area in Maxaquene, Maputo,Mozambique is characterized by low frequency of rental housing and consequent low urban densities.

Nairobi, Kenya

Antananarivo, Madagascar Maputo, Mozambique

informal settlements are defined by lack of state control, some modes of administration typically exist in informal settlements, as explained on page 12. Accordingly, the mode of administration and the level of enforcement of regulation condition the level of street encroachment and densification.

Tenure systems have significant implications for the development of urban densities, as rental housing provides incentives for landowners to densify their plot with as many housing units as possible in order to increase income generated by tenants.

While the household economy of residential landowners is typically a limiting factor for the development of higher urban densities, rental housing is typically an enabling factor.

This is partially due to the owners of rental housing generally have more resources for investments in densification, and as the income from tenants is reinvested in construction of more rental housing units. Accordingly, the frequency of rental housing in informal settlements influences the development of urban densities. This is supported by the empirical data from the case study area in Kibera, Nairobi, Kenya, characterized by high frequency

Plot sizes influence the urban densities, as they determine the number of households in an urban area. Small plots typically result in higher densities as more individual families can be accommodated, leading to higher ground occupation on each plot and in some cases verticalization. This is supported by the empirical findings in one of the papers of the research project, comparing areas with smaller plots to areas with larger plots in Maputo, Mozambique. However, plot sizes play an ambiguous role in relation to developments of urban densities as larger scale rental housing is typically constructed on larger plots. In the case study area in Antohodanika, Antananarivo, Madagascar, small plot sizes have contributed to increased densification with multi-story housing units and high ground occupation.

In Maxaquene, Maputo, Mozambique, large plots sizes have contributed to lower urban densities. However, in Kibera, Nairobi, Kenya, plots are even larger but the urban densities are higher than in Maxaquene. This is primarily due to high frequency of rental housing and different levels of land supply in each context. In Antohomadinika and Maxaquene most residents are landowners, while most residents in Kibera are tenants.

Accordingly, the large plots in Kibera have contributed to urban densification due to the high frequency of rental housing and limited land supply in the city. Consequently, the correlation between smaller plot sizes and higher densities is only actual in the case of residential landowners, while larger plot sizes and higher densities are correlated to high frequency of rental housing.

33

↑ Maxaquene, Maputo, Mozambique

Economy As most East African cities have high population growth rates, the demand for land and housing is typically high independent of context, while the scale of land supply typically depends on the context.

Maputo, Mozambique, is characterized by limited state efforts to curb the urban expansion and informal urban growth.

Accordingly, land supply is vast and the urban densities of informal settlements are low. These informal settlements consist of scattered single family single story detached houses, often surrounded by a private outdoor space. Contrarily, in Nairobi, Kenya, the government has managed to curb the urban expansion of informal settlements to a certain extent through urban planning mechanisms, causing a limited land supply.

This development has led to the formation of clusters of informal settlements with high urban densities and larger compact

34

housing units. These two cases show how land markets affect the development of informal settlements towards higher or lower caused by the level of land supply.

As both cities have high population growth rates causing high demand for land and housing, the crucial economic factor for the development of urban form is the land supply. In the case of Maputo, most of the urban growth is accommodated through low density informal urban expansion, while in the case of Nairobi, most of the urban growth is accommodated through urban densification in the segregated enclaves of informal settlements where accommodation is affordable. Land supply may be influenced by multiple factors such as greenbelt regulation as well economic incentives, such as income generated by arable land, causing decreased incentive for land use change from agriculture to housing, compared to land use change from natural to housing.

↑ Kibera, Nairobi, Kenya

↑ Antohomadinika, Antananarivo, Madagascar

35

↑ Maxaquene, Maputo, Mozambique

Accordingly, the general affordable land supply in a given context condition the developments of urban density of informal settlements.

As many informal settlements are characterized by overcrowding, residents will typically expand their houses when their economic conditions permit it. Household income and costs of construction are thus important factors curbing the potential densification of informal settlements. As residents of informal settlements typically have limited economic resources, the urban densification occurs over time linked to the accumulated income described later in this section. Costs of construction is context dependent as prices vary across regions due to different costs of transport, production, and taxation. Furthermore, construction practices vary across regions

36

and influence the costs of construction.

Multi-story construction is expensive due to increased structural requirements and verticalization leading to densities beyond 0.5 FAR, will often require higher household incomes or result in unsafe construction. The significance of construction technologies is elaborated later in this section.

Geography The land supply is influenced by the geographic context, as cities with centers located by the ocean, on peninsulas, and on islands will have less available land for urban development, which leads to increasing land prices and urban densities. Proximity of mountains, rivers, lakes, swamps, or other uninhabitable areas will further limit the land supply. Arable land with high yields will decrease the economic incentive for land-use transformation and thereby further

N

Antohomadinika, 1:5.

1 Story building 2 Story building 3 Story building 4 Story building 5 Story building River Public space

N � Maxaquene A, 1:5.000 1 Story building 2 Story building Public space

increase the price of land and increase urban densities. Consequently, the geographic context influence the urban form of any informal settlement.

According to conventional urban theory, there is a direct correlation between the urban density of a neighborhood and the distance to the city center. Central areas develop higher densities due to increased mobility in central areas, with consequent higher land prices and incentives for densifying. Urban land prices are driven by transport costs paid by users (direct cost of transport like transit fare, tolls or gasoline cost, plus the opportunity cost of the time spent). The demand for space is highest in the CBD as transport cost (including time spent on transport) is lower closer to the high concentration of job and service functions in the center of a city. There is

thus an incentive to increase built densities in order to capitalize on the fluctuating land prices by providing more space where the demand is high. Accordingly, population density and building density are indicators dependent on market parameters, mainly households’ income, land supply elasticity, and transport speed and cost. As such, rents, land prices, built densities, and population densities are usually highest in central areas and decrease corresponding to the distance from the center. The trade-off made by land users between the cost of transport in different locations and their desire to consume land results in land prices decreasing as transport costs increase. Land users react to differences in land prices by consuming less land where land is expensive and more where it is cheaper. Land users are able to reduce their land consumption by building taller buildings where land

37

↑ Kibera, Nairobi, Kenya

is expensive close to the city center.

Conversely, land users occupy less ground and construct single-story buildings where land is cheap in the periphery. As a result, there is a direct correlation between built density and distance to the urban center.

The equilibrium of the trade-off depends on spatial, economic, regulatory, and cultural factors.

Centrally located informal settlements often have smaller plot sizes as residents subdivide plots, sold for economic gains, leading to densification. A paper from the research project demonstrate the correlation between densities and distance to the urban center, through case studies of unplanned informal settlements in Maputo, Mozambique. However, another paper from the research project demonstrates that planned settlements in Maputo have higher densities compared to unplanned

38

settlements with the same distance to the city center. Furthermore, a third paper demonstrates that the time of landuse change influence the urban densification and informal settlements densify over time.

As centrally located informal settlements typically are established earlier, it will distort the importance of centrality in relation to densification as the accumulated household economy over time invested in construction influence the development of densities. Accordingly, distance to the center may play a less important role than conventional urban theory would assume due to the different economic frameworks of informal settlements when large scale external investors are absent. However, in the case of informal settlements with high frequency of rental housing, centrality will likely influence the development towards higher urban densities. There may be other location factors aside from distance to the

N Kibera, 1:5.000 ↑ 1 Story building 2 Story building River Public space

city center, including disaster prone areas resulting in lower densities or proximity to main streets leading to the city center, resulting in higher densities. These factors will likely influence the desirability of such areas due to increased risks of disasters or increased mobility, leading to fluctuations of market prices, impacting densification.

Topography influences the street layout and building orientation, and thereby the wider urban fabric. However, the impact on built densities is likely minor for moderately sloping terrain. This is supported by the Kibera case study area, in which built fabric on sloping terrain and flat areas have similar measured densities. However, as more extreme topography is uninhabitable, more extreme sloping terrain will likely lead to decreasing urban densities.

History The colonial urban administration practice as well as the political and economic conditions of the transitions towards independence likely still influence the current urban governance systems. Furthermore, the modes of governance, urban policies, and urban planning practice under previous administrations have conditioned the frameworks under which older informal settlements were established. Accordingly, the historical context influences the urban form of informal settlements.

Planned informal settlements are characterized by regular geometries of street networks, blocks, and plot layouts, while unplanned informal settlements are characterized by organic urban form.

Consequently, the urban planning history condition the urban form of informal settlements. Even in cases with limited

39

↑ Antohomadinika, Antananarivo, Madagascar

enforcement of regulation, the planned informal settlements maintain higher proportions of street space and develop higher urban densities due to smaller plot sizes. Planned urban areas are often seen as more desirable and will thus likely attract residents with higher income who can afford densification at a faster pace compared to the residents of unplanned urban areas.

This is supported by the empirical findings in one of the papers of research project, comparing planned and unplanned informal settlements with similar distances to the city center in Maputo, Mozambique.

The time of the land use change from agriculture or natural to housing influence the development of urban densities of informal settlements due to the limiting factor of household economies. Informal settlements densify over time, as the

40

limited economic resources of each family constrain the scope of construction and consequent densification. Accordingly, built densities represent the accumulated investments in construction since the establishment of the settlement. This is supported by the empirical findings in one of the papers of research project, comparing informal settlements in Maputo which were established at a similar time. The paper found and similar measured densities of the settlements despite different distances to the center.

Culture Cultural factors influence the governance, administration, policies, and urban planning practice in any given context. Accordingly, these will likely influence the urban development of any given city. Housing preferences depend on local culture and

N Antohomadinika, 1:5.000 → 1 Story building 2 Story building 3 Story building 4 Story building 5 Story building River Public space

N ← Maxaquene A, 1:5.000 1 Story building 2 Story building Public space

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may influence densification of informal settlements. However, housing preferences are likely a secondary factor as the limited economic resources of residents of informal settlements constrain the spectrum of housing options.

Construction technologies and practice vary across regions, with consequent variations of costs of construction. Particularly, multistory construction practice influence the cost of vertical densification due to the increased structural requirements and consequent increased costs. The increased costs of multi-story construction will in many cases limit the urban densities to approximately 0.5 FAR and require higher levels of household income before the settlement can verticalize. The three case study areas included in this chapter highlight different nuances of the impact of local construction practice on development of urban densities. In the case of Maputo, multi-story construction is almost exclusively reinforced concrete as timber is expensive in southern Mozambique, increasing costs of verticalization. Accordingly, even in the most centrally located and dense informal settlements, almost all buildings are single-

42

story. Horizontal densification is cheaper than verticalization and the vast land supply in the city decreases the incentives for constructing multi-story housing, even for households which can afford it. In the case of Antananarivo, the case study area features low quality precarious multi-story timber construction as well as multi-story concrete structures of higher quality. The limited land supply and small plot sizes are likely the main factors causing the verticalization.

However, the availability of low cost timber enables low-income groups to verticalize, despite the risk of collapsing buildings. In the Nairobi case study area almost all buildings are timber frame structures cladded with corrugated iron sheets or with mud infill walls. Most multi-story structures are built of low-cost unprocessed eucalyptus logs.

The availability of low-cost construction materials and the local construction practice, have likely increased the densification of the settlement, aside from the limited land supply, and high frequency of rental housing.

Accordingly, prevalent culturally determined construction practices will likely influence the development of urban densities in any given informal settlement.

↑ Maxaquene, Maputo, Mozambique

↑ Kibera, Nairobi, Kenya

↑ Antohomadinika, Antananarivo, Madagascar

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44

45 Multi-story chicken farm in Katanga, Kampala, Uganda

URBAN INTERVENTIONS

In recent years, governments and NGOs across East Africa have initiated programs to counter issues with lack of formal land ownership, poor public hygiene, lack of infrastructure, and substandard housing in informal settlements. These include a multitude of interventions such as clean water provision, storm-water management systems, expanded paved streets, and in some cases resettlement of the residents in newly constructed housing. This chapter outlines a number of such interventions in Kenya, Mozambique, and Rwanda.

Furthermore, this chapter includes interventions in informal settlements which underpin the precarious conditions for residents of such areas.

Kibera Kibera is the largest informal settlement in Africa with unofficial estimates placing the population around 500,000 inhabitants living on 256 hectares of land. Kibera is located 6 km southwest of the center of Nairobi, the capital of Kenya, and it is one of the poorest urban areas in the country with high population densities and widespread urban deficiencies caused by lack of planning and infrastructure provision. Kibera is among

the most unsanitary and insecure informal settlements in the world. The lack of public funded affordable housing options and effective land policy has worsened these conditions. Furthermore, there are problems related to mobility where residents often commute long distances on foot because their homes are not easily accessible or served by affordable transport services. The lack of access into the community makes the provision of urban infrastructure and related services such as healthcare as well as solid waste collection and management difficult.

The precarious conditions characterizing Kibera are a result of the following conditions characterizing the overall development of the city: 1. Widespread poverty 2. Rapid population growth 3. Limited affordable housing options 4. Inequitable patterns of land ownership 5. Shortages of serviced land 6. High urban land prices 7. Insecure tenure for the urban poor 8. Poor enforcement of building and zoning laws 9. Limited housing finance options

Kibera, Nairobi, Kenya → 46

47

48

49 Substandard rental housing in Kibera, Nairobi, Kenya

↑ KENSUP housing project

KENSUP On the background of the Habitat II UN-Habitat conference in 1996 and the Cities without Slums initiative in 1999, the Government of Kenya and UN-Habitat created the Kenyan Slum Upgrading Program (KENSUP) in 2001. Today, KENSUP is an ongoing nation-wide initiative with the goal of eradicating the five UN-defined factors of slums in urban areas across Kenya. In order to counter the negative consequences of unplanned and unregulated urban development in Kibera, the KENSUP program initiated various ‘slum upgrade’ projects in the neighborhood. The pilot project for KENSUP took place in the area, Soweto East, which has suffered a number of hardships since it was established during the colonial time, including evictions in the 1960s and 1970s, starvation in the early 1980s, failing housing schemes in the early 1990s, and

issues related to land tenure throughout.

The pilot project included temporary resettlement of residents to a housing complex outside of Kibera, while existing structures were demolished, land was cleared, and new structures were built. This entailed construction of high-density tower blocks used for resettling the residents and provision of new infrastructure.

Furthermore, formal land tenure systems were implemented as a part of the project.

The new tower blocks are up to eight stories, with gallery systems providing access to a large number of dwellings on each floor with few staircases. This is a low-cost and high urban density housing typology. However, the architectural uniformity and the undefined nature of the public space is very different from the intimate street life typical of informal settlements.

KENSUP housing project →

50

51

↑ KENSUP housing project

Residents who were relocated to the new tower blocks began leaving their new homes and moving back into the informal parts of Kibera soon after they moved in. As Nairobi is known for its high rents and limited housing stock, middle-class citizens began moving into the subsidized tower blocks. Many of these middle-class residents acquired apartments in the new buildings through informal systems involving bribes. Some residents who were given apartments through the pilot project saw a business opportunity and rented their flats

out to middle-class tenants at high rates.

Subsequently, these residents moved back to informal parts of Kibera with a monthly income from the middle-class residents occupying the new housing units. Other residents felt alienated living in highrise structures, as they may be culturally inappropriate for the context and a cause of social isolation. The KENSUP pilot project in Kibera thus exemplifies a number of difficulties such well-intended interventions can face when implemented.

KENSUP housing project → 52

53

↑ Housing project for the relocated communities along the railway

Relocation Action Plan Nairobi Railway Relocation Action Plan is a city-wide project involving resettling approximately 10,000 households and business units along 11 km railway reserves of Nairobi. The project involved resetling more than 3,000 residents and 2,700 businesses in Kibera. Local residents and informal landowners had constructed housing along the railway, compromising the safety of the trains and blocking expansion of the railway. The Relocation Action Plan sought to clear the area along the railway and limit future informal construction on the

54

railway land reserve through construction of new housing forming a barrier between the railway and the surrounding neighborhoods, thus enabling expansion of the train system and decrease risks of interference with the train traffic. The railway passing through Kibera connects directly to Nairobi Railway Station, the main train station in downtown Nairobi. Accordingly, the clearance of the informal settlement, was a part of a city-wide strategy for improving mobility.

However, the project decreased mobility within Kibera by blocking passages across the train line. The project began in 2013 and

↑ Urban space along the Railway

involved a 30,000,000 USD program funded by the World Bank, Bill and Melinda Gates Foundation, the Ford Foundation, and the Norwegian Ministry of Foreign Affairs among others. The residents were temporarily resettled, while the informal structures were demolished and new housing constructed.

The new housing projects are 2-4 story narrow blocks with blank walls facing the railway and gallery access systems facing the informal settlements. Each family were offered a 17 m2 single room apartment with a bathroom, while businesses were offered a 5 m2 space, all of which with formal tenure

systems. The subsidized housing included small loans which the residents had to pay in order to become full owners of the apartments. However, as the prices were set below market value, the project faced similar developments as the KENSUP project. After completion, many residents started renting out their housing units to more economically privileged segments of society and moved into the informal parts of Kibera, with a monthly income from the rent. The project is still ongoing, with some stretches of informal settlement along the railway facing resettling in the near future.

55

56

57 Extra-legal structures with pending demolition orders

↑ Void in the city after forced evictions

Langata – Ngong Road Link The Langata – Ngong Road Link is a controversial infrastructure development project which resulted in the eviction of more than 20,000 residents of Kibera in July 2018. The new road bypasses through Kibera in order to connect the southern suburb, Langata, with the main east-west traffic artery of western Nairobi, Ngong Road, leading to the city center of Nairobi.

The unfinished road has left a temporary void in the settlement with a large undefined space where the future road will be built.

58

The new road will likely decrease traveling time to the center of the city for the residents of the suburbs located south of Kibera. However, the 60 meter wide multilane high-way, passes through the densely populated informal settlement, resulting in an extreme spatial transformation of the neighborhood as the road will form a barrier blocking movement within the settlement.

The project went through a lengthy political process with some scrutiny and protests.

The Kenya Urban Roads Authority argued that a large number of dwellings were

↑ Urban space subsequent to housing demolitions

illegally occupying state-owned land on the road reserve, and the eviction was officially approved by state authorities. Residents of the affected area were evicted with two weeks notice. Police officers from various security agencies arrived before dawn on 23 July 2018 and dispersed attempts at resistance with tear gas while the bulldozers demolished more than 3,000 homes along with two primary schools, a children’s centre and a children’s home. The project emphasizes the importance of land rights, as the residents were not given due notice

for the eviction, there were no resettlement plan, nor proper compensation for the loss of property. In addition, the project feeds into ongoing discussions relating to spatial injustice of informal settlements and the inclusion of the residents in such mega projects. Formal land rights would likely have provided the communities some protection of rights as well as compensation for lost property.

59

60

61 Space for the future highway project

Matola Municipality

Airport

City center

District boundary Main road Railroad Project area 5 km

District of Katembe ↑ Maputo overview

Kaya Clínica Kaya Clínica is a cross-sectorial project on capacity building, land tenure, housing, and infrastructure project in Maputo, Mozambique, initiated in 2016. The project was established as a collaboration between Eduardo Mondlane University, the University of Coruña and the Maputo City Council and seeks to bring together administrative institutions, academia and local communities. Kaya Clínica focuses on providing a framework for legal information, consultancy, and technical support in relation to formalizing land tenure in the informal settlement George Dimitrov.

The project has developed the following methodological framework for regularizing the informal settlement:

62

1. Urban diagnosis through technical assessment, community participation, and involvement of local structures in the informal settlement 2. Community requests for land title, collection of the necessary information, assistance, and legal advice for applicants 3. Data collection: geo-referenced survey, family data, and documents for land title applications 4. Urban planning and intervention, providing the framework for formalizing land ownership 5. Verification of data: Validation of cohesion between local plot survey and master plan (PPU) through cartographic GIS database and field visits with technicians from the municipality, as well as verification of legitimacy of owners 6. Submission of land title applications 7. Delivery of formal land title (DUAT)

N

Project area

Kaya ClĂ­nica context 0

0.25

63 0.5

1km

↑ Everyday life in the informal settlements of Maputo

More than 80% of the population in Maputo lack formal rights to the land they occupy. While there are limited examples of forced evictions without compensation, many other issues relating to informal land ownership characterize the informal settlements of Maputo. Kaya ClĂ­nica was initiated to counter some of these issues and developed methodological frameworks for formalizing informal settlements in the city. The project selected the neighborhood, George Dimitrov, for the initial intervention.

The neighborhood covers 480 ha, 141 blocks, 7,552 households and approximately 40,972 residents, with more than 90% of the dwellings built without construction permits and only 5% of the population in the area having formal land title (DUAT). The neighborhood is located approximately 8 km from the city center, covering both planned and unplanned areas, and is not as densely built as more centrally located informal

64

settlements. Accordingly, compliance with urban regulation will require fewer demolitions of built structures, decreasing the costs of the intervention. The project implementation was initiated with the construction of a community center where Kaya ClĂ­nica established a project office, involving volunteers from the neighborhood, architecture students, as well as technical personnel from the university and municipality. Furthermore, the community center is used for workshops with the community, concerning discussions of urban issues, community involvement, and capacity building. The project has developed a masterplan for the neighborhood and facilitated and processed approximately 800 requests for DUATs as per 2019. Based on the experiences and knowledge acquired through the first phase, the project seeks to scale up interventions in the future.

N ↑ Kaya Clínica 1:5000, courtesy of Kaya Clínica Buildings Current streets Plot boundaries

Street expansions 65

Matola Municipality

Airport

City center

District boundary Main road Railroad Project area 5 km

↑ Maputo overview

Casa Minha Casa Minha is private initiative seeking to counter current informal urban development in Maputo, Mozambique. The project is based on a simple concept: an informal landowner is offered formalization of land ownership and a new house in exchange for some of the land. The landowner’s singlystory substandard house is demolished and a new multi-story house including housing units is constructed on the same plot of land. The landowner is then given one of the housing units and the remaining housing units are sold on market conditions to finance the operation. The project includes urban planning and infrastructure investments in order to provide the framework for formalizing the land ownership and improve the neighborhood conditions. The project collaborates with the municipality of Maputo and is based on the following guidelines:

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1. Non-displacement 2. Affordable housing 3. Innovative financing 4. Incremental architecture 5. Planned urban growth 6. Community participation Casa Minha is based in the informal settlement Polana Caniço, located in proximity of both the city center, the main university campus in the city, the upper class neighborhood Sommershield, and the coast. Accordingly, due to the desirable location, the land value is increasing and the neighborhood is undergoing rapid gentrification processes. Middle- and upper class segments buy plots in the neighborhood, demolish the existing substandard housing and construct new villas. The local residents are often in a weak position of negotiation, as they have little knowledge of their rights and are unaware

N

Project area

0

100

200

400m

↑ Casa Minha context

↑ Casa Minha housing project

67

↑ Casa Minha housing project

of the value of the land. Accordingly, local residents are often bought out without receiving market value of the land and end up settling far from the city center in order to find affordable housing.

Casa Minha developed a finance, housing, and land title strategy in order to counter issues of gentrification, urban sprawl, insecure tenure, substandard housing, and finance of housing. The high land value in Polana Caniço is essential for the feasibility of the project, as the apartments sold on market conditions finance improved housing and formal land title for the landowner.

Thereby, the project provides finance for housing improvements, formalizes land titles, and avoids displacement of the residents caused by the gentrification processes. Casa Minha seeks to counter

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urban sprawl by constructing multiple housing units on one plot, leading to urban densification. The project was approved in 2015 by the city administration and initiated a pilot project in Polana Caniço. The first seven houses were completed in 2018 and 13 are scheduled to be completed by the end of 2019. The project demonstrates a new urban densification strategy in a low-density centrally located neighborhood through new housing typologies and innovate financial models. However, as the scalability of the project depend on high land values, it is questionable if the model is applicable in most other informal settlements in the city, highlighting the context dependency of what constitutes appropriate urban interventions in informal settlements.

Financing

Investors

Residents

Plot

↑ Casa Minha financing concept

Expanded street

Plot boundaries

Existing buildings

New multi-story buildings

↑ Casa Minha intervention concept, courtesy of Casa Minha

Phase 1

Phase 2

Phase 3 Plot boundaries

Existing buildings

Phase 4 New multi-story buildings

↑ Casa Minha urban scale intervention, courtesy of Casa Minha

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N

↑ Current conditions of Casa Minha project area, courtesy of Casa Minha

N

↑ Casa Minha project proposal, courtesy of Casa Minha

70

↑ Casa Minha housing project

↑ Casa Minha housing project

71

↑ PROECCO building prototype, courtesy of PROECCO

The PROECCO Program Promoting Off-Farm Employment through Climate Responsive Construction Material Production (PROECCO) is a program seeking to minimize the environmental degradation while supporting local building material supply chains, through innovation in the construction sector in Rwanda, as well as other countries in the Great Lakes region.

The program has developed and produced machine-made bricks that allows for construction of cost-effective buildings.

The program has developed a catalogue of new compact housing typologies, enabling urban densification. By lowering costs of multi-story construction through application of new construction technologies, and providing the design of compact housing

72

typologies, the program seeks to enable a similar financial model utilized by Casa Minha (described in the previous section) for centrally located informal settlements in Kigali, the capital of Rwanda. The program is funded by The Swiss Agency for Development and Cooperation (SDC) and developed by the independent resource center and consulting, Skat Consulting Ltd. in partnership with Rwanda Housing Authority.

Construction costs in Rwanda are higher than in most other African countries, mainly due to the landlocked geographic location, resulting in high transportation costs of imported construction materials. Rwanda is one of the most densely populated countries in Africa and the population is projected to

↑ PROECCO building prototype, courtesy of PROECCO 73

↑ PROECCO building prototype interior, courtesy of PROECCO

double within the next 25-30 years. Kigali is undergoing rapid urbanization processes causing increasing demand of affordable housing. The resulting large demand for construction materials lead farmers to seasonally mine and mould millions of cubic meters of clay and sand and burn hundreds of thousands of tons of fuelwood in brick kilns each year, causing environmental degradation and the destruction of arable land for future generations.

The PROECCO program seeks to counter issues with environmental degradation through production of bricks utilizing clay from formal clay pits and sustainable energy resources for burning the bricks.

The new technologies to produce the bricks seek to reduce the costs of construction

74

and generate new jobs in the industry, by establishing new production facilities, generating viable solutions in order to transform the Rwandan construction sector at large. The program has developed several systems for implementing the new cost-effective bricks into new buildings through the standardized structural designs, Multiplex systems. The Modern Brick construction technology enables affordable multi-story construction. These systems can be deployed at a plot level with individuals or small groups of landowners, or on a larger scale for urban densification which will allow neighborhood upgrading, financed by selling parts of the land. However, such informal settlement upgrade projects will likely require some external support in order to be realized.

↑ PROECCO construction technology, courtesy of PROECCO

↑ PROECCO construction technology, courtesy of PROECCO

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A

A

Apartment C Third floor

A

A

Apartment C

Apartment B

Second floor

Apartment B A

A Apartment A

First floor ↑ PROECCO housing plans, 1:100, courtesy of PROECCO 76

Apartment C

Apartment C

Apartment C

Apartment B

Apartment A

Apartment B

↑ PROECCO housing section, 1:100, courtesy of PROECCO 77

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79 Single-room substandard apartment in Kibera, Nairobi, Kenya

↑ Current conditions in Kibugambata, courtesy of Vitus Dal

JINJA LAND VALUE CAPTURE PROJECT

The influx of rural migrants along with high population growth rates in cities across Africa lead to increased demand for housing and land, causing increasing land prices, particularly in centrally located urban areas. Many informal settlements which were established prior to independence or recently after, are located in proximity to the city centers, and are built on land which have consequent relatively high value, despite the typically low-quality construction and urban deficiencies caused by lack of infrastructure. Furthermore, formalization of land ownership leads to increasing land prices as inclusion in the formal land market results in decreased risks of investments and increased public services and investments in infrastructure.

Architects without Borders - Denmark is currently developing a pilot project in cooperation with the NGO ACTogether Uganda, seeking to utilize the increased land value of formalizing centrally located informal settlements to invest in improved

80

housing, regularizing the urban form, and provide basic infrastructure in Kibugambata, a centrally located informal settlement in Jinja, Uganda. The project is inspired by the UN urban development tool, Participatory and Inclusive Land Readjustment (PILaR), which is a technique to finance urban interventions in informal settlements, entailing landowners conceding parts of their property, which is sold in order to finance the land readjustment, invest in infrastructure, and construct housing. The process is summarized in the following steps: 1. The land units of different owners and claimants are combined into a single area 2. The land is restructured, allocating land reserved for infrastructure (including roads), land for redistribution between the landowners, and land for sale 3. The freed area is sold in order to finance infrastructure and construction of new compact housing units 4. The landowners receive the new housing units with formal land rights

↑ Current conditions: informal settlement with lack of basic services, poor public hygiene, and risk of eviction

Preserved houses School New houses Public square

Land for sale

↑ Project intervention: the neighborhood is restructured and a part of the land is sold in order to co-finance construction of new housing

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Context Jinja is a medium-sized Ugandan city located on the shores of Lake Victoria, between the capital, Kampala, and the Kenyan Border. The city has approximately 90,000 inhabitants and the economy is primarily based on industry, powered by the nearby dams spanning across the Victoria Nile.

Furthermore, the city has some tourism attracted by recreational outdoor activities and the proximity of Lake Victoria. In recent years, Jinja had a modest urban growth compared to the Ugandan average. However, the urban growth will likely increase in the following years due to a planned new highway to Kampala, providing additional incentives for investments in industry and tourism in the city, with consequent job creation.

Kibugambata is an informal settlement located 3 km east of the center Jinja. It was established in the 1960s by fishermen and workers at an adjacent steel factory settling temporarily on vacant municipal land, on the sloping landscape facing the shore of Lake Victoria. Kibugambata means �ducktown� and some residents claim the name is derived from duck-breeding within the settlement, while others source the name from the duck-like way of walking in the settlement in order to prevent slipping in the mud during rains. Today, the settlement has approximately 4,000 residents and around 1,000 built structures. An estimated 15-20 buildings are constructed with bricks and are of high quality, while the remaining structures are of low quality, the majority constructed with mud-andwattle. The settlement is characterized by many of the urban deficiencies typical of informal settlements, including poor access conditions, problems with waste management, and lack of infrastructure such as stormwater management systems, sanitation, and adequate water provision.

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Jinja, Uganda

The residents of Kibugambata include 273 landowners most of which reside in the settlement with their families, and approximately 3,000 tenants who pay rent to these landowners. There are a few absentee landlords (landowners living outside the settlement) who have fewer incentives to invest in improvements of the settlement.

There are both tenants who rent a room directly from the landowners, while others have constructed makeshift shacks on land held by the landowners to which these tenants pay rent. Many households have toilets or latrines while few have private access to water and electricity. Households without water provision fetch water from private outlets in the settlement. The price of a single room rental housing unit is approximately 5-10 USD/month.

↑ Current conditions in Kibugambata, courtesy of Vitus Dal

ACTogether Uganda and its affiliate, the National Slum Dwellers Federation of Uganda (NSDFU) have assisted the residents in drafting a local plan which was approved

by Jinja Municipal Council. Consequently, the land owners can obtain a 99 year leasehold title to the land by paying approximately 250 USD to the municipality, and thereby obtain the right to a plot in the plan when the plan is implemented. However, the implementation lacks funding and many residents cannot afford the leasehold title.

The majority of the Kibugambata residents are already organized as members of NSDFU. The residents are thus already engaged in discussions about land rights, formalization processes, and housing finance.

Kibugambata was chosen for the pilot project due to the following reasons: 1. The project partner has built up a cooperative relationship with the local community 2. The neighborhood is already engaged in a formalization process of land ownership 3. There are a limited number of absentee landlords 4. The settlement has an attractive location overlooking Lake Victoria adjacent to middle-class neighborhoods, leading to relatively high land value 5. The value of land will likely increase in Jinja when the new highway to Kampala is completed

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↑ Women cooking in Kibugambata, courtesy of Vitus Dal

Land readjustment, value capture, and poverty reduction Value capture is a land based tool to finance urban development, utilizing the land value increase to finance investments in an urban area. Formalization of land ownership and infrastructure provision lead to increased land value, benefiting the landowners, while these investments are typically financed by the public. Value capture seeks to utilize the increasing value of land to finance such investments through various instruments such as property taxes and land

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readjustment. Often, the value increases will exceed the cost of implementation and will lead to a win-win situation for both landowners and the public. The Jinja Land Value Capture Project is based on formalizing land ownership and land readjustment, providing the economic resources for housing and infrastructure provision, with the aim of transforming the informal settlement into a sustainable neighborhood.

The landowners acquire increased property values through investments in infrastructure and formalization of the land ownership. The

↑ Woman plastering house with mud in Kibugambata, courtesy of Vitus Dal

landowners concede parts of their land, sold in order to finance the intervention. While the landowners give up parts of their land, they acquire improved housing conditions along with formal land ownership and increased property values of their remaining land. By utilizing the increased land value of formalized land ownership and improved infrastructure, through selling parts of the land, the project will invest in improved housing conditions and infrastructure, and thereby reduce the ‘urban penalty’ of dense informal settlements through improved

public hygiene conditions. Thereby, the project seeks to improve the general living conditions in the neighborhood, including addressing the issues associated with informal land ownership and insecure tenure. Furthermore, land ownership formalization will entail state recognition of the neighborhood, which will likely lead to increased public services and infrastructure provision, contributing to further poverty reduction.

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↑ Current conditions in Kibugambata, courtesy of Vitus Dal

Project intervention The Jinja Land Value Capture Project is currently in an initial development phase and research on issues such as economic feasibility, rights of tenants, and modes of redistributing the land is still ongoing.

However, Architects without Borders Denmark, and ACTogether Uganda along with municipal, state, and UN officials are currently engaged with the community in Kibugambata, and gradually advancing the project. Architects without Borders Denmark have produced a sketch project of a new urban plan for the area, envisioning a new and improved settlement structure for the neighborhood. Once the viability of the project is further confirmed, the project will engage in the following steps to test the land value capture method in the context of Kibugambata: 1. Develop an urban plan according to municipal requirements 2. Formalize land ownership by assisting the community through the process in cooperation with the municipality 88

3. Establish a democratically governed housing cooperative, in which landowners pool their land 4. Develop an urban plan, allocating land to be sold, in order to co-finance construction of housing 5. Obtain a long-term low-interest loan from a financial institution, using the economic gains from the sold land as an investment and the formalized collectively owned land as collateral 6. Implement structural land readjustment and construction of new housing units, financed by the loan 7. Landowners are offered a standard apartment along with individual rooms for subletting corresponding to their assets prior to the intervention 8. The rights of tenants are protected through clauses in the statutes of the cooperative owning the land prohibiting rent increases exceeding inflation 9. Advocate for municipal investments in infrastructure

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↑ Process diagram, courtesy of Anton Ryslinge

A key challenge is the so-called holdout households, namely landowners refusing to take part in the project and insist on keeping their current houses irrespective of the project. These receive the benefits of investments in infrastructure, formalization of land ownership, and consequent increase of property value without contributing to covering the costs of the intervention.

Furthermore, this complicates the urban planning process, as new roads will have to bypass these detached buildings, decreasing the potential occupation efficiency of the plan. However, the community has a strong local organization through the work of

ACTogether Uganda, and the formation of the housing cooperative will advocate for residents to join the project, and thereby reduce the number of holdout households.

The new plan restructures the neighborhood with a southern part reserved for the current residents and a northern part reserved for sale. The new plan developed for the area allocates approximately 30% of the land for infrastructure, including roads, 25% for the local housing cooperative, 10% for ‘holdout’ houses and 35% of the land for sale with the objective of co-financing the intervention.

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The financial viability of the project depends on the value of the land freed for sale through the land readjustment process. In order to reach as high a price as possible, the land is restructured with a part to be sold to a private developer, who will likely develop the area for middle class clients, similar to the surrounding neighborhood.

The northern part of the neighborhood is assessed to have the highest value and is thus reserved for sale. Accordingly, the northern part is parcelled with individual plots for suburban detached housing typologies similar to the neighboring areas, offering the highest profit margins for a developer in the context. The southern part is laid out with low-rise high-density rowhouse typologies, enabling compact land occupation for accommodating the current residents close to their current workplaces and fisheries by the lake shore.

The project sketch proposal plan includes two new primary streets in north-south direction connecting to the surrounding road network. One main street intended for cars provides the direct route between the lake and the industrial area north of the neighborhood. The second main street has several adjoining public spaces with direct view over Lake Victoria and is intended for pedestrians. Each of these main streets have a number of perpendicular secondary streets which provide access to the row-houses. A new market is planned in the center of the plan, in which low-income groups from the settlement can sell products. A community center is planned next to the main public space adjoining the pedestrian main street.

Local public services, such as schools and daycare is planned in the southern part of the neighborhood, resembling the current settlement pattern.

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↑ Plan proposal diagram 1 New buildings Existing buildings Land for sale Hold-out households

The plan includes 2-4 story housing types, arranged in row-houses in order to cut costs per household by sharing walls and service provision. Four story mixed-use buildings with commercial programs on the ground floor are planned next to the main street in the periphery of the settlement where commerce is already widespread. Threestory row-houses make up the majority of housing in the plan. These have two bedroom apartments on the ground floor, with private backyards, designated for landowners, and single room apartments on top accessed through galleries and external staircases, to cut costs, providing a semiprivate social transition zone between the apartments and the street for cooking and

↑ Plan proposal diagram 2 Main public space Pedestrian passage Private backyards

recreation. Charcoal is commonly used as fuel for cooking and all apartments have access to a small exterior space with a chimney, decreasing the hazards of fire and air pollution. The current uneven distribution of land between landowners is reflected in the amount of rental apartments each receive. The plan proposal is a sketch project, made in order to show a possible outcome of the project, provide an example of land readjustment enabled through collective ownership, and create a tangible vision for the neighborhood. Accordingly, many issues remain unresolved. The sale of land freed through the land readjustment will provide an initial economic resource of the project. The value of the land is

↑ Plan proposal diagram 3 Mixed-use Housing Commercial

Institutions

likely too low to finance the whole project.

However, the formalized land ownership will provide an asset which the collective owners may use as collateral to obtain a loan, and economic gains from the sold land may be used as an initial investment in housing and urban improvements. As a pilot project, the World Bank or a large scale international donor, would be ideal for providing such loan, as the poverty reducing development aspects of the project would have a number of positive side effects such as improved health, better access to education, and participation in the labor market. However, it remains uncertain if the land value will be high enough to cover substantial costs of the intervention.

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↑ Model of current conditions in Kibugambata

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↑ Model of project proposal

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99 Makeshift housing in Kibera, Nairobi, Kenya

LAND RIGHTS IN MAPUTO The Land Rights in Maputo project seeks to support communities of informal settlements in Maputo, Mozambique in formalizing their land ownership through urban planning, urban interventions, capacity building, and advocacy. The project is carried out by Architects without Borders - Denmark, the Mozambican NGO Estamos, and the Maputo-based architectural office Bulande Arquitectos. The first phase of the project is currently in the process of implementation in the centrally located informal settlement, Maxaquene D. The project has developed a plan for a part of the neighborhood pending approval of the municipality. Subsequently, the project will assist the local community through the legal process of formalizing the land ownership.

The project includes capacity building of local communities in order to raise awareness of their rights as well as advocacy activities seeking to increase investments in infrastructue and formalization of land ownership in the informal settlements of the city. On the basis of the first phase, the project seeks to develop the methodological tools for scaling up the project activities in subsequent interventions.

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Context: Maputo Mozambique is one of the poorest countries in the world. The capital, Maputo, is characterized by social inequality and urban development without effective planning, enforcement of regulation, and appropriate infrastructure provision. The formal city center was planned and developed by the Portuguese colonial rule until independence and has wide streets structured in a grid layout, as well as relatively well-functioning infrastructure. The city center is surrounded by a 20-25 km belt of informal settlements, characterized by lack of planning and basic infrastructure. The divide between the formal and the informal city is manifested in vast differences in urban structures, as well as wider cultural and societal differences, such as language, economy, housing types, and legality of land ownership.

Approximately 80% of the population of Maputo lives in the informal settlements.

Due to political instability and the scarcity of resources after independence, the city developed with limited planning and affordable housing options. The majority of the population were financially excluded from the formal land- and housing market and settled on land without formal legal

permits. This development continues to this day, resulting in vast unplanned urban areas with limited infrastructure provision. The informal settlements are locally known as ‘bairros’ or ‘suburbia’ and the vast majority of these are characterized by the UN defined slum-characteristics, such as lack of infrastructure, insecure tenure, and housing of poor quality.

The public administration has a hierarchical structure, with public administration officials at each level. The municipality is subdivided into seven districts (distrito).

Each district is subdivided into a number of neighborhoods (bairro), 53 in total.

The neighborhoods are subdivided into a number of blocks (quarteirão), typically covering 35-100 housing units. Some blocks are subdivided into 10-cells (10 casas), but blocks are typically the base of the governance structure. Blocks are managed by block leaders (chefe de quarteirão) who receive no formal salary and are residents of the block they administer. However, both neighborhoods and districts have formally employed professionals carrying out administration of the neighborhoods, including the informal settlements.

Urban planning in Maputo is usually linked to the administrative systems. The urban plan at the municipal level, covering the whole city, is known as the structural urban plan (PEUMM - Plano de Estrutura Urbana do Município de Maputo). The structural urban plan includes land use categories and main infrastructure, as well as a formal/ informal ownership classification. Urban plans (PPU – Plano Parcial de Urbanização) are usually carried out at neighborhood level, which includes local street layout and dimensions as well as infrastructure, urban densities and building regulation.

Finally, local plans (PP - Plano Pormenor) are developed at block level, specifying plot boundaries, street dimensions, densities, zoning, building typologies, and open spaces.

Construction permits can only be issued on formally owned land in areas with approved urban plans by the municipal department of planning. Nevertheless, construction permits are often issued by the local administration, without legal basis and with no top level municipal involvement.

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↑ Inadequate infrastructure in Maxaquene, Maputo, Mozambique

Land rights in Mozambique All Mozambican land was nationalized following independence in 1975.

Mozambican land law does not allow people to own or sell land. Instead, an individual can be granted the right to use and benefit from the land, known as DUAT (Direito do Uso e Aproveitamento da Terra). These rights can be transferred to another person, when the house on a given plot of land is sold. The land law of 1997 recognizes the rights of long term residents of informal settlements and DUATs can be granted through ‘the rights to use and benefit from the land through ten years of good faith occupation’.

However, it is only possible to obtain a DUAT, if the following conditions are met:

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1. A master plan (PPU – Plano Parcial de Urbanização) for the area has been approved 2. A local plan (PP - Plano Pormenor) has been approved 3. The plot has access for cars 4. Documentation of the residents and a survey of the house has been conducted 5. The house and plot complies with the regulatory requirements of the approved urban plans These formal requirements are occasionally disregarded, as there can be legitimate opposing considerations to the regulation.

The municipality, UN-Habitat, and locally commissioned professionals planned some areas after independence. These areas have well-organized urban structures, mostly accessible by cars. However, despite being

↑ Infrastructure upgrade in Maxaquene, Maputo, Mozambique

planned many of these areas are informal settlements without approved plans and most of the residents lack formal land rights.

In these cases, the municipality accepts formalization processes without an urban plan (PPU) and only requires a local plan (PP) for the area. Furthermore, in the informal settlement Chamanculo C, the municipality accepted initiating a land ownership formalization process without access to the plots by car, as it would require demolishing a significant amount of houses in the area.

Formal land rights are unattainable for the majority due to lack of resources at household level, complexity of the land law, as well as lack of awareness about it, even among residents fulfilling the formal requirements. Furthermore, the

vast majority of informal settlements do not fulfill the formal requirements as they lack approved urban plans and many areas lack access by car. These areas thus require surveying, planning, and interventions, which the residents are largely unable to organize due to limited economic resources.

The fragility of the situation is faced by those residents who live in the ever-expanding growth zone around the formal urban core, where land value is rising and investors are seeking out land for development. Without formal rights, these residents are unable to capitalize on the land value gains, as they are easily pushed out with minimal compensations by more privileged segments of society.

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Matola Municipality

Airport

City center

District boundary Main road Railroad Project area 5 km

↑ Maputo overview

Project The Land Rights in Maputo project seeks to reduce poverty by addressing informal land ownership in Maputo. The project includes urban planning and formalizing land rights in a sub-area of Maxaquene D. On this background, the project seeks to develop the methodological tools for scaling up these activities in subsequent interventions. The project is carried out in cooperation with the municipal authorities, to bridge the gap between local communities and authorities, as well as advocating for infrastructural investments and formalizing land ownership in the informal settlements.

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The informal settlement Maxaquene D was selected for the project as it is one of the densest informal settlements in Maputo. It is characterized by qualities related to its proximity to the formal city center, having some degree of infrastructure, and being relatively well-connected to the public transportation system. Due to its central location, gentrification of the area within the following decades is likely. Formalization of land ownership will likely improve the conditions of the residents in this process.

Additionally, most of the neighborhood already has a structured plan layout as a result of a structural land readjustment program by UN-Habitat in the 1970s, hence

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Rail road

University faculty

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Industry

Industry

Public institution

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School Ministry of agriculture

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Maxaquene D context 0 100 200 400m

rendering an approved master plan (PPU) unnecessary, as a local plan (PP) is sufficient in cases that have a planned urban layout.

Furthermore, little restructuring of the urban layout is necessary for complying with the urban regulation. Consequently, there are fewer obstacles and higher chances of successfully completing the project. Finally, t many informal settlements have planned urban layouts but lack formal land rights, due to the planning categories discussed on page 12. Accordingly, providing the methodological steps for formalizing such areas in a low-cost procedure could pave the way for larger scale formalization processes in the city.

The first phase of the project seeks to formalize land rights at the scale of one block, including approximately 500 residents.

The formalization process of the first block will serve as a reference for formalization of the neighborhood in future interventions.

The block is located adjacent to a paved street connecting two major roads in the city. The area has a structured layout with rectangular plots of approximately 10x15m, and 2-4m wide streets characterized by some encroachment. While most of the plots have access through this street network, some plots only have access through narrow alleys or by passing through the neighboring plot.

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↑ Pilot project area in Maxaquene D, 1:1000

The project has developed a local plan for the block, as an approved local plan (plano por menor) is a prerequisite for the residents to obtain formal land rights (DUAT). The urban plan for the area was developed in dialogue with the municipality, in order to comply with the concerns of the administration responsible for approving the plan. Concurrently, the plan was discussed with the local community in order to provide an understanding of the requirements for getting the plan approved and the process of formalizing the land ownership. The plan includes expansions of the streets which will require some demolitions of built structures

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and concessions of land appropriated by the residents through street encroachment. The plan outlines zoning of future construction in the area, with four story mixed-use rowhouses adjacent to the local main street and two-story ‘twin-houses’ and detached houses in the rest of the plan. The project suggested a plan including more rowhouses and higher densities, which was rejected by the municipal planners, who favoured lower densities and open space between the buildings. The plan was submitted to the municipality and is currently pending approval by the municipal authorities.

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↑ Pilot project area in Maxaquene D, 1:1000

Concurrent to the urban planning activities, the project organized capacity building workshops with the local community, focusing on urban planning and land rights.

These workshops sought to improve the understanding of the importance of land rights and involved two target groups: 1. The 38 block leaders (locally appointed officials) in all of Maxaquene D. 2. The approximately 500 residents in the area of the pilot project in Maxaquene D. The workshops with the block leaders are intended to raise awareness of the law and requirements for obtaining land

rights, facilitating future interventions in the neighborhood. The workshops with the community in the block for the first phase, focused on the importance of land rights and the process of obtaining these. During these workshops different plan proposals for the block were presented and discussed, in order to include the community in the planning process. Once the plan is approved by the municipality, future workshops will support the community in completing and submitting applications for formalizing their land ownership.

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↑ Intervention street expansions and plot structure changes, 1:1000 Existing streets Street expansions Old plot boundaries

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New plot boundaries

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↑ Maxaquene D intervention plan 1:1000 Regularized streets Plot boundaries

Two-story construction zone

Four-story construction zone

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↑ Workshop with local community and administration in Maxaquene D

Throughout the simultaneous processes of organizing capacity building workshops and developing the local plan, regular meetings were held with the municipal planners.

During these meetings, the authorities gave feedback to the urban plan, to ensure the plan complied with the regulations and concerns of the administration.

Concurrently, these meetings were used as a platform for airing the feedback from the community. The meetings included discussions of a subsequent intervention

of the project, intended to formalize the larger parts of Maxaquene D. Through these discussions, more general issues were raised in order to advocate for increased investments in infrastructure, public services, and formalization of the land ownership of informal settlements.

The first phase of the project is scheduled to conclude in 2020, and the project seeks to develop a larger scale intervention in Maxaquene D subsequently.

Unsanitary urban conditions caused by lack of infrastructure in Maxaquene, Maputo, Mozambique → 110

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↑ Model of current urban conditions in pilot project area 113

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↑ Model of future development of pilot project area based on the plan proprosal 115

↑ Casas Melhoradas, phase 2: Multi-story housing built of prefabricated timber elements in order to lower costs

CASAS MELHORADAS

Casas Melhoradas is a housing development project seeking to improve the living conditions for low-income residents of Maputo through a three-fold focus: 1. Improve the quality and reduce the cost of housing through development of alternative construction methods.

2. Initiate sustainable urban development by curtailing urban sprawl and utilizing space and infrastructure more economically through development of compact housing typologies.

3. Scale up the impact of the project by engaging in partnerships with civil society, private companies, and public institutions.

The project is carried out by Architects without Borders - Denmark and KADK The Royal Danish Academy of Fine Arts - Schools of Architecture, Design and

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Conservation. The project has developed and built several housing prototypes in the informal settlements of Maputo. Through the hands-on work with construction of housing, the project has acquired knowledge of the formal and informal procedures of the municipal administration and local organizations working on issues related to informal urban development, and interventions in such areas. On this basis, the project is collaborating with Architects without Borders - Mozambique (Arquitectura Sem Fronteiras / Moçambique) on urban planning, formalization of land ownership, and housing provision in the informal settlement Chamanculo C. This chapter summarizes the past project interventions, current work in Chamanculo C, along with ongoing experiments with alternative construction methods.

↑ Casas Melhoradas, phase 2: Social transition-zone between public and private

Urban density and housing in the informal settlements of Maputo Maputo has a high population growth rate (approximately 5% annually) and expands horizontally at high pace, covering vast new areas with low urban density developments lacking appropriate infrastructure provision, such as paved streets, stormwater management systems, sanitation, electricity, and water provision. Much of the recently developed settlements are far from the job opportunities in the center of the city, causing an increasing pressure to find housing near the center. However, this is only possible by increasing the urban density within the already built up urban fabric. The continuing urban sprawl with low urban densities in the periphery of the city decreases the mobility and increases the need for investments in infrastructure.

Strategies for countering the extensive urban

sprawl are thus essential for initiating a more sustainable urban development. There is limited experience with high densities in the informal settlements, as multistory construction is expensive. However, increasing demand for centrally located land causes increasing prices, which provides the economic framework for urban densification through multi-story construction in the informal settlements. Consequently, informal multi-story structures have recently started to appear in the most centrally located informal settlements of Maputo.

Almost all houses in the informal settlements are built without the involvement of the formal construction sector and virtually the entire construction process takes place on individual plots, leading to waste of resources as building materials often deteriorate during the lengthy process.

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↑ Casas Melhoradas, phase 3: Vertical addition to old house

Occasionally, families run out of money during the construction process, leaving halffinished structures. There is a limited degree of industrialization in the construction sector and the quality of construction is often low.

An optimization of the production processes in the construction sector by increasing the degree of prefabrication of building components could thus reduce the waste of resources, time, and cost of construction.

Project Casas Melhoradas develops compact housing models and alternative construction techniques in order to facilitate urban densification of centrally located lowincome settlements as well as providing improved quality and decreased cost of housing. The developed housing models and construction techniques are tested in full scale in collaboration with local builders, through construction of test houses which

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are subsequently evaluated in order to identify the most appropriate solutions for low-income groups in Maputo. The constructed houses are rented out to local families through the registered company Casas Melhoradas ltd and the generated income is reinvested in construction of new housing units.

The project develops multi-story housing typologies, rooted in the local socioeconomic and cultural conditions, seeking to utilize space more efficiently in order to contain the urban sprawl and use the land and infrastructure more economically.

Thereby, the project seeks to facilitate the development of more compact urban environments in the informal settlements and make future infrastructure investments more cost-effective. On this background, the project seeks to enhance the sustainable urban development of Maputo. The project

↑ Casas Melhoradas, phase 3: Increasing the urban density of the existing urban fabric

has tested several different multi-story housing typologies and optimized ground occupation concepts adapted to the context.

This includes exterior kitchens in multistory construction (as cooking is largely an outdoor activity), vertical additions to existing houses, and multi-family homes with shared facilities.

The project develops semi-industrial building component production, and is experimenting with prefabricated element construction, produced locally in the informal settlements of Maputo, based on the local capacities.

Thereby, the project seeks to limit the waste of resources, reduce the price, reduce the time of the construction process, and improve the quality of housing. The project has tested pre-fabrication of lightweight timber elements produced in a local carpentry workshop. These elements were subsequently transported by hand

and assembled into a complete house in a relatively short time, without the use of heavy machinery. Finally, the project has tested alternative construction materials with low carbon footprints in order to decrease the environmental impact of construction. This includes sustainably produced timber as well as compressed earth-block construction. The project is currently testing production techniques utilizing plastic waste as a construction material.

The project seeks to engage in public and private partnerships on construction of affordable rental housing in order to scale the impact of the project. As of 2019, the project has developed five housing typologies (the fifth is under construction), and collaborated with Universidade Eduardo Mondlane (public institution), Reall (private housing development enterprise),

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↑ Casas Melhoradas, phase 4: Compact housing built of compressed earth blocks

Arquitectura Sem Fronteiras / Moçambique (NGO), Estamos (NGO), Bulande Arq. (architecture studio), and Tækker Group (private developer).

Given the scale of the informal urban growth across the African continent, it is apparent that large-scale intervention is required to confront the negative consequences of urban development without planning and infrastructure provision. However, the notion of ‘slum upgrade’ programs have mostly been misguided as the architectural models that replace the informal urban areas often produce problems of alienation, crime, and social segregation. Furthermore,

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shortsighted economic considerations and hidebound perceptions of informal urban areas seem to be the main drivers of political decision-making, which will cause future problems for such areas. Accordingly, innovation of adequate urban development strategies, models of urban design, housing typologies, and construction techniques for informal settlements in Africa is vital for the future of African cities. On this background, Casas Melhoradas seeks to engage in discussions about future sustainable development of informal settlements in Maputo and the wider African context through construction of alternative housing projects.

↑ Casas Melhoradas, phase 4: six housing units on a single-family plot

↑ Casas Melhoradas, phase 4: Outdoor space for cooking

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Casas 122 Melhoradas, phase 2: Public space

Casas Melhoradas,123 phase 3: Public space

124 Casas Melhoradas, phase 2: Ventilated roof improving the indoor climate

125 Casas Melhoradas, phase 3: Cross-ventilation improving the indoor climate

Matola Municipality

Airport

City center

District boundary Main road Railroad Project area 5 km

↑ Maputo overview

Collaboration with Architects without Borders / Mozambique in Chamanculo C Architects without Borders / Mozambique (Arquitectura Sem Fronteiras / Moçambique) is currently working with the municipality and the local communities in the informal settlement Chamanculo C on the Habitat Project (Projecto Habitat - Chamanculo C), which includes regularizing plots, formalizing land ownership, provision of affordable housing, infrastructural upgrades, and capacity building. Casas Melhoradas is collaborating with Architects without Borders / Mozambique on developing new housing prototypes in the neighborhood as a part of the project.

Architects without Borders / Mozambique works in dialogue with the communities to open up the narrow alleys in order to improve conditions for access for services,

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mobility, and infrastructure provision. This enables implementation of stormwater infrastructure, water provision, and waste management. Opening the alleys for cars would require the demolition of a significant number of houses in the neighborhood and many plots are smaller than the requirements of the law. Accordingly, the municipality agreed to accept formalizing the land ownership without complying to the requirements in the law, thereby recognizing that the legal frameworks of formalizing land ownership may be too rigid for centrally located densely occupied informal settlements. A total of 37% of the plots in the first phase of the project did not fulfill the requirements to access DUAT (minimum 100m2 plot size and direct access to the street that a car can enter).

↑ Urban conditions prior to intervention

The project has developed the following methodological steps for formalizing the neighborhood: 1. Survey of residents 2. Geo-referenced survey 3. Street expansions and improvements 4. Participatory urban planning 5. DUAT application 6. DUAT assignment As a part of the Habitat project in Chamanculo C, Casas Melhoradas is collaborating with Arquitectura Sem Fronteiras / Moçambique and the British NGO Water and Sanitation for the Urban Poor (WSUP) on the construction of multi-story housing typologies in cases where street expansion would leave too little space for the affected families. The

first two housing projects are currently being developed and include rainwater harvesting, improved water and sanitation design, as well as outdoor space, allowing permeability of the rain into the ground in order to counter problems of stormwater management in the area. Both houses are designed for two families. Casa M has two separate entrances with a living room, kitchen and bathroom on the ground floor, and two bedrooms on the second floor.

Casa K has a shared outdoor space and a single floor apartments with exterior stairs providing access to the second floor. Each apartment has a living room with a kitchen, two bedrooms, a bathroom, and a balcony/ veranda. Construction is scheduled to begin in 2020.

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129 Urban conditions subsequent to intervention

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↑ Chamanculo C intervention plan 1:1000, courtesy of Arquitectura Sem Fronteiras / Moçambique Existing streets Street expansions Plot boundaries Two story construction zone 134

Three story construction zone

Casa M

Sites for housing prototypes 135

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↑ Casa K section, 1:100

↑ Casa K elevation, 1:100 143

Plastic waste experiments The quality of construction is often low and the lifespan of buildings is generally short in the informal settlements of Maputo.

The wood used in the roof structures is typically pinewood or spruce, imported from neighboring South Africa. These structures typically have particularly short lifespans due to decay and fungi caused by humidity, or infestation by termites and other insects.

Parallel to the challenges in the built environment, plastic waste is widespread in low-income areas in Maputo. There are limited initiatives to handle or recycle plastic waste at the central landfill with negative consequences for the environment. On this basis, Casas Melhoradas is currently seeking to develop construction methods utilizing plastic waste as a building material.

Casas Melhoradas has established a small production unit in Maputo, testing components for construction made out of recycled plastic. The initial primary focus of the project is production of plastic beams that can replace the use of South African pinewood rafters in roof structures, due to the technical advantages in relation to problems with insects, decay, and fungi.

Recycling plastic is a relatively simple process including few steps. Different types of plastics have different properties as well as different melting and boiling points.

Accordingly, it is advisable to sort the plastic before it is recycled as toxic fumes can develop when some types of plastic are heated above the boiling point. The sorted

144

plastic is cleaned in order to ensure the quality of the product and not damage the machines. Manufacture of plastic beams for roof constructions requires a plastic shredder and a plastic extruder. The plastic shredder cuts larger pieces of plastic into smaller pieces, which is necessary for the later production process. The extruder compresses the smaller plastic pieces through a screw in a heated pipe that melts and compresses the plastic through a mold with the dimensions of the plastic beam.

The project is currently developing a series of roof prototypes in order to identify the following: 1. Appropriate types of plastic for beams for roof structures 2. Appropriate dimensions of plastic beams for roof structures 3. Appropriate joints between the plastic beams and the wall structures 4. Performance of different solutions over time 5. Availability and price of different types of plastic in Maputo 6. Production costs and competitiveness The project has built several mockup models of roof structures and will continue to produce prototypes in order to identify the most appropriate solutions. Subsequently, the project will stream-line the production process in order to produce components for a test house. Thereby, the project seeks to demonstrate the viability of the developed solutions.

Decaying roof structure

Landfill in Maputo

Sorted plastic waste

Shredded plastic waste

Plastic extrusion machine

Plastic beams, courtesy of Anna Wahlén

Roof prototype, courtesy of Anna Wahlén

Roof prototype, courtesy of Anna Wahlén

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↑ Roof mockup model built of different types of recycled plastic beams produced in Maputo 147

↑ Exhibition at the KADK Library

EXHIBITION

This publication was published on the occasion of the exhibition with the same title at the KADK Library of Architecture, Design, Conservation & Performing Arts.

The exhibition featured a condensed adaptation of this publication along with films and physical models. The material was displayed on an exhibition framework built of recycled plastic, linking to the plastic waste experiments of the Casas Melhoradas project. The configuration of the exhibition framework emulated the spatial structures of informal settlements, providing the experience of walking through the narrow alleys characterizing such urban environments.

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150 Exhibition at the KADK Library, courtesy of Jรณannes B. Lamhauge

151 Exhibition at the KADK Library

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153 Exhibition opening event at the KADK Library, courtesy of Jรณannes B. Lamhauge

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The majority of the ongoing extensive urbanization of East Africa is informal and occurs beyond the limits of state control and regulatory systems. This development is characterized by lack of urban planning, infrastructure provision, and formal rights to the land. Lack of land rights constitutes a major issue within urban development in East Africa, as it leads to forced evictions as well as exclusion from public services and citizenship, compromising sustainable development for millions of urban dwellers across the region.

This publication contains information on current ongoing efforts to counter the issues relating to informal land ownership in East Africa, along with research on the underlying structures conditioning the informal urban growth. This includes projects by the NGO, Architects without Borders Denmark, addressing issues with land rights in Uganda and Mozambique.

Additionally, this publication contains material from the KADK-based research project, Understanding Urban Form of Informal Settlements in East Africa, which is currently examining issues related to the informal urban development in the region, in order to improve the basis for developing effective urban planning interventions and policies for such areas. Informal Horizons seeks to synthesize these efforts to improve our understanding of the ongoing extensive urbanization processes in East Africa and showcase current attempts at transforming informal settlements into sustainable neighborhoods.