Problem definition, research aims, objectives and research questions

For this study, the following problem definition is formulated:

More than a decade has passed since the UN scroll of honour award winning 1996
National Housing Policy was formulated in Zambia and it still remains largely unimplemented, its effect is also still doubtful. There is still a sustained existence of squatter

compounds with poor drainage system, poor water supply, poor sanitation, poor road networks
and poor street lighting. Access to land by the majority of the poor people is still a great
challenge. There is no sufficient information on how this policy has helped the poor to acquire
decent shelter.

The lack of funds and in some cases lack of commitment on the part of those responsible for ensuring that the Policy is
implemented are the major factors leading to the situation we have at the moment. The success of any countrys housing policy
depends on how well it is implemented. A housing policy, which is not practical, is as good as nothing and a waste of both human
and financial resources used to formulate it. The way the housing problem is tackled however depends on the situation prevailing
in that particular country like the housing situation, the magnitude of the housing shortage problem, the political set -up and also
the economic condition.

Given the environment and the way it was formulated, could this policy have
achieved its goals, had it been fully implemented? If not, what appropriate
adjustments should be made to the policy in order to operationalise it to satisfy
housing needs in the country, and what challenges does this pose to realise its
goal?

The aim of this study is to gain insights into the analyses, formulation,
implementation and operationalisation of a policy, particular related to Zambias
housing situation. To achieve this aim, the study enhances: n study of relevant
literature; n learning from previous experience; and, n investigating the demand,
conditions, opportunities and threats posed by the housing policy to the situation
pertaining in Zambia. The study is not intended to be a panacea for policy
formulation ills, rather it is intended to shed light on understanding with certainty,
depending on the 8 Such as home based care for those affected by HIV/AIDS and
the resultant issue of orphans etc. [ 15 ] way they are formulated, which policies will
absolutely fail and which ones would stand a chance of success. It is therefore
directed at avoiding possible future policy failures, and enhancing the impacts of
the policy on the existing housing situation, based on the development of the 1996
National Housing Policy. This will contribute to filling up the knowledge gap required
to ensure that policies formulated after this will have a higher implementation rate,

and will produce more positive impacts. Suggestions will therefore be made on how
to improve on past shortcomings. To achieve the above stated aim, this study sets
out four specific objectives. n Objective 1: To investigate how a housing policy is
formulated and what attributes constitute a good housing policy. n Objective 2: To
investigate what type of policies were formulated and implemented in Zambia in the
past, to understand how the 1996 Zambian Housing Policy was formulated, and to
assess the extent to which it was implemented. n Objective 3: To assess the extent
of the housing needs in Zambia and to examine what other underlying issues have
to be addressed to satisfy this need. n Objective 4: To make recommendations on
how to develop a more appropriate housing policy in Zambia. From the problem
definition outlined above, the following main research question is derived: How
could a housing policy, which received a UN scroll of honour award for the
innovative and participative way in which it was formulated, and whose goal was,
the provision of adequate affordable housing for all income groups, remain
unimplemented for more than a decade? Can an implementable one be formulated?
The following subquestions are aimed at addressing the main research question and
the specific objectives outlined above. n Subquestion 1: How is a housing policy
formulated, and what criteria constitute an appropriate housing policy? (This
subquestion addresses conceptual issues contained in Objective 1.) n Subquestion
2: How was the 1996 National Housing Policy formulated? what role did the state
and other actors play? How and to what extent was it implemented? (This
subquestion addresses Objective 2.) n Subquestion 3: What urban and housing
development policies existed in Zambia prior to the 1996 National Housing Policy
and how effective in achieving their intended goals and objectives were they? (This
subquestion addresses conceptual issues contained in Objective 2.) n Subquestion
4: How feasible in attaining the set goals was the 1996 National Housing Policy,
given the strategies that were to be used in realising its [ 16 ] objectives? And
moreover, what can we learn from this? (This subquestion addresses conceptual
issues contained in Objective 1, and 2.) n Subquestion 5: How are Zambias housing
problems related to needs, supply, provision and underlying policy structures and,
what are the most rationale and feasible solutions in meeting related costs on a
national scale? (This subquestions addresses Objective 3.) n Subquestion 6: How
could an implementable policy be formulated, and does enough capacity to meet
the challenges of providing adequate shelter for all exist? (This subquestion
addresses Objective 4.) n Subquestion 7: What conclusions can be drawn from the
answers on foregoing questions? And what recommendations can be made? (This
subquestion addresses the problem definition, the research question and Objective
4.) 1.8 Housing policy in the science domain The housing arena is not a discrete
entity, it is a cross disciplinary field located in a multi-dimensional and multi-actor
domain9, encompassing both technical and behavioral sciences, and the political
arena. In the technical sciences, involving its design, construction and maintenance,
housing encompasses fields such as architecture, engineering, and building
technology. In the behavioral sciences, it covers sociology, economics and
management, while planning overlaps both science domains (Smith, 1997). Housing

production is part of the construction sector, its investment is a part of the overall
capital formation, residential property is a part of the real estate sector, housing
finance is a part of the financial sector, housing subsidies are a part of social welfare
expenditures and residential development is a part of urban development (Angel,
2000). The housing policy formulation process transcends these domains. It is a
public administration and a political process because policy formulation involves
negotiations, an area of human action by which conflict concerning on the one
hand, the common good and on the other, the interests of groups, is carried out or
settled by the use of, or struggle for power (Banfield, 1964; Mutale, 2004; Dunn,
2008). 1.9 Methodological discussion To capture the full spectrum of housing, the
methodological approach follows scientific traditions in the housing domain, and it is
eclectic (see also Van Dijk, 9 A policy domain is a set of actors with major concerns,
whose preferences and actions on policy events must be taken into account by
other domain participants. [ 17 ] 2006). It employs comparative analysis and the
approach combines suitable research instruments based on qualitative and
quantitative methodologies. Qualitative methodology is used to gain a deeper
understanding of peoples views and their feelings about the impacts that partial or
non-implementation of housing policy has had on their lives (Silverman, 2001;
Bogdan and Biklen, 2003). It is also meant to understand how they view lack of
basic services and good quality housing. On the overall, the research instruments
used include desk top surveys, case study methodology, in-depth individual
interviews, lived experiences, and participant observations. It includes the
administration of both semi-structured and structured questionnaires to selected
individuals and organisations who took part in the formulation of the 1996 National
Housing Policy, and those involved in implementing it. The use of quantitative data
in this study, in particular, might be considered statistically insignificant because it
is limited in its use of quantitative methodology, so non-probability, purposive
sampling is used (ibid.). It nevertheless provides useful insights into the study of the
problems of lack of appropriate policy. Statistical data (mainly from the Central
Statistical Office in Lusaka) are used to understand the estimated size of the deficit
in quantitative terms so as to be able to project the financial cost of providing
adequate affordable housing, and understand how feasible it would be to use
internal resources to cover the costs involved in satisfying the housing need. This
approach was found to be suitable because this study wants to investigate a
number of cases that are too big for qualitative methods and too small for
quantitative approaches, at the same time, it considers each case in its complexity
while trying to achieve some level of generalisation (ibid.). Since different research
questions demand different methods, the methodology used for each research
question is elaborated more in each chapter. To keep abreast of rapid changes
occurring in housing in Zambia, engendered by rapid socio-economic changes,
survey data was collected at multiple points in yearly and bi-yearly intervals of 3
months. Although single-survey, cross sectional data could have been extremely
useful in determining what was happening in housing and understanding the
attitudes of participants at one point in time, longitudinal data of this nature

provided the opportunity to examine housing policy evolution and to keep up to

date with implementation processes. Data collected in this way therefore allowed
the researcher to keep track of changing effects of the housing policy, and the
housing arena. 1.9.1 Research design and general outline This study addresses the
research questions outlined in Section 1.7. Research focuses on the intersection of
the technological and socio-economic environments of politics and public
administration, factoring in the changing role of the state and the significance of
culture and history. It is an attempt to un- [ 18 ] derstand how (housing) policies
emerge, how they are formulated and implemented, in general, and in particular, it
focuses on an emerging young state and economy like Zambia and looks at what
areas can be improved in the process. The study also addresses other emerging and
cross-cutting issues. As indicated by Figure 1.2, the research was designed into
three components: literature surveys, interview surveys, and site visits. n Literature
surveys consisted of an extensive review of relevant available literature, using
desktop surveys, analysis of theory on housing policy including concepts related to
the policy-making and implementation process. Secondly, the policy formulation
process of the 1996 National Housing Policy was reconstructed mainly by archival
materials through searches for reports and documents, which included UN-HABITAT
and Ministry of Local Government and Housing reports, Central Statistical Office
publications, newspaper coverage, journals, scholastic and professional research
and from private individuals, firms and other organisations. The National Housing
Policy of Kenya and the National Shelter Strategy of Uganda were also consulted. n
Interview surveys conducted mainly to find out how participative and innovative the
policy was and to find out why it was only sporadically implemented, were in part
based on archival findings. They comprised of the administration of semi-structured
and structured questionnaires supplemented by in-depth open-ended interviews
conducted, with a UN-HABITAT officer, Ministry of Local Government and Housing
officials from Lusaka and the provincial capitals, members of the steering
committee who formulated the policy, and experts in the housing field composed of
architects and engineers. Goal Objectives Means Instruments Figure 1.2 Research
design and general outline Source: Kanno (2009) Research questions Interview
surveys (Research questions 1,2,3,4,5&6) Assess participation, innovation and why
only sporadic policy Conclusions/ Recommendations (Research question 7)
Qualitative/ Quantitative data Site visits (Research questions 3&4) Assess effects of
unimplemented policy Site visits (Research questions 3&4) Assess effects of
unimplemented policy Literature surveys (Research questions 1,2,3,4,5&6) Review
policy process Source: Author Theories Observations [ 19 ] n Site visits to various
housing areas included both public and privately developed housing involved
walking through various high-, middle-, and lowcost housing areas including
different squatter settlements, in Lusaka and Kitwe, to assess the effects of the
unimplemented housing policy. 1.9.2 Literature study and development In this study
the theories related to housing policy analysis, evaluation, and to a lesser extent
policy impacts, are introduced in this chapter. They are then discussed in the
theoretical frameworks in Chapter 3, and are later used in discussing the findings in

the rest of the chapters. In respect of subquestion 1 both ex post facto and ex ante
approaches are used (Dunn, 2008). It reviews relevant literature on policy
formulation, using the classical rational problem-solving process (Patton and
Sawicki, 1993), and contrasting it with the rational comprehensive theory approach
(Lindblom and Woodhouse, 1993). It illuminates factors that constitute an
appropriate housing policy. Subquestion 2, combines both ex post facto and ex ante
approaches. It reviews relevant literature on policy formulation, implementation,
and evaluation; it combines this with data obtained through questionnaire
administration and in-depth individual interviews, combined with participant
observations to develop an understanding of models used to develop and
operationalise the goals, objectives, means, and instruments of the 1996 NHP. It
also identifies the roles different actors played, and to what extent the policy was
implemented. In subquestion 3, an ex post facto approach is developed. It uses
desktop surveys and participant observations to develop an understanding of what
type, and how effective in achieving their intended goals and objectives past
housing policies were. It notes their successes, failures and impacts. In response to
subquestion 4, both ex post facto and ex ante approaches are used. Using desktop
surveys of existing literature, the approach combines four analytical tools (1) the
SMART Objective Testing Framework (UNCHS, 1989; Hunsaker, 2005, see also
Drucker, 1954), (2) the Objectives Tree Mapping Technique (Kuypers, 1980; Dunn,
2008), (3) the Force Field Analysis (UNCHS, 1989; IHS, 1995; see also Lewin, 1951),
and (4) the Impact Assessment Model, to evaluate the goals, objectives, the means
and instruments that were planned to be used in implementing the policy. Other
data is obtained through the administration of questionnaires and interviews using
selected actors in policy formulation. In respect of subquestion 5, both ex post facto
and ex ante approaches, are used. The housing problem in Zambia is analysed
using demographic projections from census data. A standard house is developed
and the cost of providing adequate housing on a national and district level
(involving two cities, Lusaka and Kitwe), which could be extrapolated to other
districts, is developed. In subquestion 6, an ex ante approach is developed from ex
post analysis of existing lite