Squatter Upgrading in Zambia Adequacy of the Institutional Framework Alice Lungu Submitted for the degree of Doctor of Philosophy Heriot-Watt University School of Energy, Geoscience, Infrastructure and Society NOVEMBER 2016 The copyright in this thesis is owned by the author. Any quotation from the thesis or use of any of the information contained in it must acknowledge this thesis as the source of the quotation or information. ABSTRACT The Government of Zambia plans to become a prosperous middle-income country by 2030. Therefore, it has announced intentions to upgrade squatter settlements to improve the living conditions of the urban poor, and enable them to participate in the vision. However, without a squatter upgrading framework in place, the research assumed government would use the existing Lusaka Squatter Upgrading Project (LSUP) framework. Hence, this research titled Squatter Upgrading in Zambia: Adequacy of the Institutional Framework, undertook to examine the extent to which the existing institutional framework was adequate for initiating and supporting squatter upgrading. The research draws on an analysis of data gathered from in-depth interviews with 102 participants (including central and local governments, NGOs, financial institutions, and squatter residents) observations and documentary review. The research has traced the close links between governance – in the form of the historical legacy of colonialism, post-colonial socialist housing policies and power dynamics between central and local government - and the growth of informal housing within Zambia. Further, it has shown that the culture of clientelism is a major barrier to future efforts to upgrade squatter settlements. While this study took place in Zambia, it is likely that similar links between governance and the growth of squatter settlements are likely to be found in many other Sub-Saharan countries. Similarly, the clear links between the critical success factors that relate to governance and the likely effectiveness of efforts to improve living conditions in squatter settlements are likely to be borne out in other sub-Saharan contexts. Moreover, the research revealed the importance of power dynamics between local and central governments. The research has shown how central government wrestles power from local councils through fiscal and administrative manipulations using the very law that created them as autonomous entities. Additionally, this research has expanded the definition of the urban housing situation to include the quality, tenure, and spatial location aspects. Finally, the research confirmed existing literature regarding the importance of tenure security in influencing investment decisions in housing improvements. It established that as long as squatters gained the assurance of being ‘safe’ from eviction, they made decisions to improve their houses. Key words: squatter upgrading, institutional framework, adequacy, governance, power dynamics, Zambia ii DEDICATION To my father, the late Reverend Matenda Thomas Lungu The most loving, selfless person who worked so hard that I could get a good education Rest in eternal peace my dearest father! iii ACKNOWLEDGEMENTS All glory and honour be to Jehovah God, Amen! If I said, I made it on my own, judge me harshly. Truth be told, I stood on the shoulders of many mighty giants who made me see further. I would like to thank sincerely my sponsors the Commonwealth Scholarship Commission, its management and all staff, for the financial and moral support throughout this journey called the PhD. My sincere thanks also go to my employer, the Copperbelt University for the financial and moral support. I am also grateful to Heriot-Watt University for giving me the opportunity to study in one of the world’s most ‘distinctly’ global universities. Special thanks to the administrative staff in the School of Energy, Geoscience, Infrastructure and Society (EGIS) for providing a favourable environment for studying even under very difficult conditions. I am also grateful to my wonderful supervisors, Professors Glen Bramley and Gina Netto, the giants on whose shoulders I stood. I greatly appreciate your invaluable input in this PhD. I give special thanks to all the research participants who included officers from Non- Governmental Organisations, financial institutions, local councils, Ministry of Local Government and Housing, and residents from my case study squatter settlements in Kitwe and Chipata districts, who spared time from their busy schedules to give me interviews. I am especially thankful to Messrs. S. Musichili, M. Lungu, and M. Silumesi (MLGH), Messrs N. Kaonga and J. Ngwenyama (Chipata Municipality), and Messrs B. Luanga and Kapesha (Kitwe City Council) for all the help and information they provided. Thanks also go to my research assistants, Ms. Mahongo Sakeni (Kitwe), Mrs. Towela L. Chanda, and Miss Janet Banda (Chipata). To all my friends in William Arrol 1.29, especially Selina, Emma, Achala, Toriqul, Oum, Farjana, Maha, Perga, Aisling, Busola, Robert, and Edward, you made my stay in Edinburgh memorable. I will miss the restaurants we patronised to let out the PhD steam. Thank you all and may God be with you always. I am eternally indebted to the prayer warriors in my camp: the ‘queen’ my mother, Mrs Cecilia N. Lungu, my guardian angel my grandmother, Ms. Jessy N. Zimba (late), my five siblings and their families, friends and relatives. Your prayers and words of encouragement have been my fuel. I could not have made this journey without you. iv ACADEMIC REGISTRY RESEARCH THESIS SUBMISSION Name: ALICE LUNGU School/PGI: School of Energy, Geoscience, Infrastructure, and Society Version: (i.e. Final Degree Sought PHD Urban Studies First, Submission (Award and Resubmission, Subject area) Final) DECLARATION In accordance with the appropriate regulations, I hereby submit my thesis and I declare that: 1) The thesis embodies the results of my own work and has been composed by myself 2) Where appropriate, I have made acknowledgement of the work of others and have made reference to work carried out in collaboration with other persons 3) The thesis is the correct version of the thesis for submission and is the same version as any electronic versions submitted*. 4) My thesis for the award referred to, deposited in the Heriot-Watt University Library, should be made available for loan or photocopying and be available via the Institutional Repository, subject to such conditions as the Librarian may require 5) I understand that as a student of the University I am required to abide by the Regulations of the University and to conform to its discipline. * Please note that it is the responsibility of the candidate to ensure that the correct version of the thesis is submitted. Signature of Candidate: Date: November 2016 Submission Submitted By (name in capitals): ALICE LUNGU Signature of Individual Submitting: Date Submitted: NOVEMBER 2016 For Completion in the Student Service Centre (SSC) Received in the SSC by (name in capitals): Method of Submission (Handed in to SSC; posted through internal/external mail): E-thesis Submitted (mandatory for final theses) Signature: Date: v TABLE OF CONTENTS ABSTRACT ........................................................................................................................... II DEDICATION ..................................................................................................................... III ACKNOWLEDGEMENTS ................................................................................................ IV RESEARCH THESIS SUBMISSION .................................................................................. V TABLE OF CONTENTS ............................................................................................. VI LISTS OF TABLES ............................................................................................................. XI LISTS OF FIGURES ......................................................................................................... XII LIST OF APPENDICES .................................................................................................. XIV LIST OF ABBREVIATIONS ............................................................................................ XV CHAPTER 1 INTRODUCTION TO THE RESEARCH ............................................ 1 1.1 INTRODUCTION.......................................................................................................... 1 1.2 BACKGROUND TO THE RESEARCH ..................................................................... 1 1.3 STATEMENT OF THE PROBLEM ........................................................................... 4 1.4 RESEARCH AIM AND OBJECTIVES ...................................................................... 5 1.5 RESEARCH RATIONALE, SCOPE AND LIMITATIONS ..................................... 7 1.6 RESEARCH DESIGN AND METHODOLOGY ....................................................... 8 1.7 ZAMBIA – AN OVERVIEW ...................................................................................... 10 1.7.1 Physical and Political Profile ............................................................................... 10 1.7.2 Economic and Social Profile ................................................................................. 11 1.8 ORGANISATION OF THE THESIS ........................................................................ 15 CHAPTER 2 THEORETICAL FRAMEWOK AND LITERATURE REVIEW ... 17 2.1 INTRODUCTION.......................................................................................................