2016 National Human Settlements Conference Proceedings

Editorial Committee | Prof Amira Osman | Prof Sijekula Mbanga | Mr Brendan Boyce | Prof Brink Botha

ISBN 978-0-620-72404-3

Editorial Committee: Prof Amira Osman, Tshwane University of Technology, South Africa Prof Sijekula Mbanga, Nelson Mandela Metropolitan University, South Africa Mr Brendan Boyce, Department of Human Settlements, South Africa Prof Brink Botha, Nelson Mandela Metropolitan University, South Africa

Cover design, Compilation and Layout: Maria Magdalena van der Walt

Contact Persons: Prof Sijekula Mbanga, Nelson Mandela Metropolitan University, Missionvale Campus P0 Box 77000, Port Elizabeth, 6001, Telephone Number : +27 (0) 41 504 3498/1153/1276 Telefax Number: +27 (0) 86 602 2170, Cellphone Number: +27 (0) 72 967 4093 Email Address: [email protected]

Mr Brendan Boyce, Department of Human Settlements, Govan Mbeki House, 240 Justice Mahomed Street, Sunnyside Private Bag x6444, Pretoria, 0001, Telephone Number: +27 (0) 12 444 5090 Cellphone Number: +27 (0) 72 100 0797, Email Address: [email protected] © 2018 NMMU and DoHS Contents

Address by the Minister for Hu- Neoliberalism in low-income housing The plight of women against housing man Settlements i policy — problem or panacea? | Bridgit challenges in the Mdantsane township, Preface v Taruvinga and Manya Mooya (UCT) Eastern Cape province of South Arica Foreword vii 053 | Henry Ssekibuule (OR Tambo district Municipality) 110 The peer review process viii Is the type of developmental local Scientific committee ix government in South Africa poised to Policy constrained by capacity: Out- SUB-THEME 1: lead the sustainable human settlements comes of a pilot project for implementation of the rural housing programme Architecture and urbanism agenda? | Sijekula Mbanga (NMMU) 061 of in the Chris Hani District, the Eastern The influence of urbanism on the ac- Cape | Jonathan Denison, Larry Field ceptability of traditional earth-construct- SUB-THEME 5: and Chenai Murata (Umhlaba Consulting ed houses | Gerhard Bosman (UFS) and Science and technology inno- Group) 117 Chris van Vuuren (UNISA) 001 vations for sustainable human settlements Innovative ways for enhancing public Beyond gentrification? Exploring the service delivery in rural South Africa possibilities of inclusive transformation Assessing the condition of “as built’’ through citizen engagement | Henry Kofi in inner city Johannesburg | Amira innovative building technology homes Bosompem and Thandeka Promise Khowa Osman and Marrit van der Schaar (TUT) against theoretical expectations | Jeffrey (UFH) 126 007 Mahachi (UJ) and Dominique Geszler (NHBRC) 070 SUB-THEME 8: SUB-THEME 2: The governance of increasing pre- Property development, invest- Human settlements planning, ment and management for cariousness in wealthy settings: The development and maintenance sustainable neighbourhoods and case of Msawawa informal settlement, Environmental sustainability: Impacts of cities Johannesburg | Marie Huchzermeyer and Oke Ayodeji, Clin- construction activities | Mpho Nenweli (Wits) 075 Sustainability of planned-from-scratch ton Aigbavboa and Zanele Madonsela (UJ) cities in Africa: The case of Eko Atlantic 016 Natural disaster occurrences and City (Nigeria) and Konza City (Kenya) | poverty linkages in rural communities in Alfred Omenya (Eco-Build Africa) SUB-THEME 3: Vhembe district municipality with a fo- 136 Sustainable livelihoods cus on service and housing conditions | Portia Mudau and Kahilu Kajimo-Shakan- Overcoming ‘dualities’ and re-imagining A synergy in sustainable rural estuarine tu (UFS) the ‘praxis’ of transformation in urban human settlements development where 084 human settlement designs — some natural environment presents opportu- An investigation exploring alternative reflections about the Cosmo City exper- nities for socio-economic development | renewable energy sources in south iment | Kwandile Kondlo (UJ) Tshiphiri Tshivhasa (EC DoHS) african rural areas | Buhlebethu Sithole 163 021 and Kahilu Kajimo-Shakantu (UFS) 093 SUB-THEME 4: Human settlements governance SUB-THEME 6: Integrated sustainable human settle- Service delivery improvements ments in South Africa: Investment the- and Financing Models oretical arguments | Prisca Simbanegavi Strengthening service delivery with ICT and Kolawole Ijasan (Wits) 027 based monitoring and reporting sys- Human settlements governance: An tems: The CSIR’s municipal services ethical consideration | L.D. Naidoo (MUT) corrective action request and report and B.B. Naidoo (DUT) 038 system (CARRS) | Goodhope Maponya, Matome Mothetha, Vusumzi Mema, Ednah How to incorporate special needs hous- Mamakoa, S’bonelo Zulu, Bongi Maposa, ing within the development of social Patrick Hlabela, Ryneth Mbhele (CSIR) Alison Wilson (NASHO) housing? | 101 044

impressed upon us the importance a four year curriculum in the field of access to higher education op- of Human Settlement Studies. The portunities. university will also host the Chair for Human Settlements in the discipline As the debate rages on, we would of Education. The University of Fort like to borrow from our own experi- Hare established a new Bachelor ence, some of the concepts that we of Social Science in Human Set- in human settlements have adopted tlement for the first time in 2015. in order to deal with our housing The University of Witwatersrand is matters. These are the concept of: offering a course that will lead to a ▪▪ Qualifying criteria Master of Built Environment de- ▪▪ Progressive realisation of a goal gree. The Human Settlement Post Graduate Certificate that is offered LN Sisulu, MP ▪▪ Respect for the rights of others Minister for Human Settlements during at Wits is accredited at NQF Level the National Human Settlements Con- It is necessary for me to contextu- 7. This course has been enrolled by ference 2016 , 6 October 2016, Nelson alize this conference against the 350 officials from all three spheres Mandela Metropolitan University, Port backdrop of education because we of government. Elizabeth 6031, Republic of South Africa. are gathered here in the pursuit The University of South Africa is of knowledge. The determination offering a degree of Bachelor of to professionalise this sector was he Eastern Cape Premier, Mr Human Settlement in Public Ad- sown at about the time we our- Phumulo Masualle, Members ministration. The method of tuition selves were busy with reconcep- of the Executive Councils in the course is distance learning T tualising our own position in 2004, for Human Settlements, the Exec- that will entail online learning. This shifting our paradigm from housing utive Mayor of the Nelson Mandela course has the capacity to train to integrated settlements. We strug- Metro, Mr Athol Trollip, Dr Sibongile about 1 000 officials who started gled to find the academic support Muthwa, Acting Vice-Chancellor of in January 2016. The University of to take us to where we needed to the Nelson Mandela Metropolitan Stellenbosch is offering a Human be. We were carried through by the University, Mayors and Councilors Settlement Post Graduate Diploma town planning discipline which, as present, Senior Government Offi- which is pitched at SAQO level you will know, was not human set- cials, International Guests, Ladies 8. The Mangosuthu University of tlements. But as we forged ahead, and Gentlemen. All protocol ob- Technology established a Research we found that it was necessary that served. Chair that is promoting research in we create this new discipline if we the housing studies. As we gather here today, the higher are to sustain ourselves and grow. education landscape in South Africa At these universities our pioneering We sold this new idea to several is the subject of much animated new discipline, we hope, will create universities, and I will never know and concerned discussion, debate a cadre of globally competitive, so- what was more attractive: the idea and mobilisation. This conference cially conscious, technically compe- itself or the money that it brought takes place at a time of the height- tent and knowledgeable graduates with it. Whatever it was, we are the ened struggles of students for to help us address the complex winners in these partnerships. With free education. Most institutions of challenges that will continue to face a view to creating and strengthen- higher learning have been closed us for the better part of this century. ing our professional crop of staff in for two weeks now, and a recently These degree programmes must the housing sector, we have part- held education Imbizo has emerged therefore continue to be support- nered with various universities with with proposals for a solution. The ed so that the art and science of the view to produce these profes- role of the private sector has been human settlements education is sionals. The Nelson Mandela Met- solicited in the endeavour to find a proliferated in a consistent academ- ropolitan University has produced lasting solution. These events have ically taught body of knowledge i

© 2018 NMMU and DoHS with consistency of standards being CSIR and in collaboration with other and understanding, supported by paramount. departments, we can find solutions serious intellectual rigor, and I knew to our problems around the, for in- with every passing hour that I would The global crisis on housing con- stance, escalating costs of building, need to sharpen my own analysis tinues with the issue of shortage using traditional methods. This will and understanding because I liter- of housing, especially affordable be where we can test the viability ally drowned in the depth of knowl- housing, seeming to have been the of our catalytic projects methods, edge of the slum dwellers. main platform on which election of conduct studies of new methods of the Mayor of London was contested This inaugural 2016 National dealing with old problems of how do in 2016. Human Settlements Conference we plan for an increasingly urban- represents another step forward That London, being one of the ising future. The list of possibilities in our journey to professionalise oldest cities in the modern world, is endless. We would also want to and elevate the human settlements is still in the grip of a housing crisis ensure that anyone wishing to do research, education and practice. and when considering that housing their postgraduate studies in Hu- The Conference theme is an inter- remains a global crisis, then you man Settlements can find a home disciplinary effort that is investigat- will understand the enormity of here. Perhaps even invite visiting ing antecedents for transformation the problem still ahead of us. And scholars to share ideas. towards sustainable and environ- the need for well thought through A few years ago a colleague of mentally-friendly cities and neigh- solutions, scientifically tested and mine with whom I served on the UN bourhoods. It straddles across the executed by competent people. Eminent Persons Panel, The Com- social, economic, built and natural However, on a global scale, the mission on Legal Empowerment of environments, calling for immediate African continent is very determined the Poor, Hernando De Soto, came action by all role-players in provid- to find solutions specific to them. to South Africa as a visiting scholar ing tangible solutions to pressing This is the reason that we as South and because his ideas were so un- questions that face all government Africa hosted the Habitat III The- orthodox for South African scholar- spheres, cities and neighbour- matic Meeting on Informal Settle- ship, he was not warmly received, hoods. ments in April 2016 to consolidate and he went away somewhat deflat- The Conference will, also, explore the African solution, specifically for ed. Today he will find a place to research capacity opportunities that informal shelter, to ensure that the discuss his ideas, however violently remain untapped. These include the world does not lose focus on our we may disagree with them. He local and international resources for specific problem. We adopted the can only leave us richer for having augmenting institutional research Pretoria Declaration and we need debated them. capacity that requires collaboration the intellectual rigour that we find at The possibilities are endless and I across and between sectors and universities to test and research our look forward to a time when South countries. position. Africa can be an oasis of knowl- This Conference is therefore ex- The degree programmes must edge in this sector. I may go on to pected to: therefore be supported in their brag at this point that we are indeed interdisciplinary approach so that at the cutting edge of this area in 1. Generate pragmatic solutions the art and science of Human the developing world. We have to challenges facing human set- Settlements education is proliferat- played a leading role in the crafting tlements in both urban and rural ed as a consistent academic body of the African Position for Habitat III settings. of knowledge. It is through these and we regard ourselves as thought 2. Demonstrate best practice institutions that we will continue to leaders in this area. But what do we science, technology and building refine our thinking and infuse new do with all that knowledge? Now we innovations to expedite housing thinking into an otherwise rigid pub- can stop wondering. We have insti- delivery and sustainable human lic service. Doing the same thing tutions of higher learning to impart settlements development. day in and day out is the surest way that knowledge to. of killing creativity and innovation. 3. Consolidate the key priority I was invited some years ago to These short courses offered by research areas for the human India as chairperson of the Fund for some of our partner universities settlements sector that should the International Slum Dwellers, an will help us ensure that our meth- be pursued by all the role-play- organisation I have great admiration ods and solutions are continuously ers. for. And I would sit and chair this sharpened. 4. Foster inter-sectoral and in- organisation of Slum Dwellers and ter-disciplinary strategic partner- ii This is where, together with the be amazed at the depth of analysis

© 2018 NMMU and DoHS ships in pursuit of sustainable ensure processes are in place to regional and globally benchmarked human settlements development support professionalisation, and business practices. Not only will this across all scales. that these culminate in the passing raise and unify standards, it will in- of legislation governing and regulat- crease prestige, mobility and status This Conference therefore is intend- ing human settlements practice in of human settlements practitioners. ed to be a catalyst in the realisation the country. This will in turn have the effect of of the country’s ambitious vision of boosting consumer and investor the development of a capable state. Thus, there is also the need to confidence in the state and its func- In this respect, the capacity of the establish professional standards tionaries operating in the human state will require to be enhanced at that are globally benchmarked and settlements sector. individual, institutional and intra-or- that have the potential to introduce ganizational level. This is central to uniformity in business practices Crucial to any process of meaning- the efficient functioning of the state. and with it increased investor ful social and economic change is confidence. This will require the the issue of the scientific basis for The need to radically scale up and training of professionals to these action. This refers to the systems of augment the existing capacity of the standards across the range of built data collection, research methods, sector is without question a com- environment professions, providing techniques of data analysis and mon focus for partners and stake- huge potential in Africa in terms dissemination of these results to a holders of the sector. Much of the of conducting training courses, wide range of audiences (includ- capacity challenges in South Africa maintaining and standardizing ing audience of peers for scientific relate to historical underinvestment quality and norms. The academic review and critique). in education, the lasting impact sector has a crucial role to play in which the apartheid education has This Conference is responding in a the formal training of students and had on the education and economic practical and meaningful way to the professionals, as well as increasing landscape; and challenges through- current need for further research the attractiveness of and hence the out the skills pipeline. It is vital that into sustainable human settlements numbers of professionals involved these challenges are confront- development and management. in the industry. In this regard, there ed and overcome in the short to is vast opportunity for the private The selection and configuration of medium term. The implications of sector to work alongside academic themes and sub-themes all oper- the current substantial shortage of institutions to ensure that students ationalise a multi and trans-dis- skilled professionals in the built en- are being trained to the latest ciplinary research agenda. This vironment and human settlements standards and receive mentorship approach provides opportunities to sector will severely impede South or internship opportunities. a number of academic Departments Africa’s ability to plan and deliver in- and disciplines to contribute to the frastructure which will in turn have a There is a general lack of sufficient- creation of knowledge. constraining influence on economic ly trained and appropriately skilled performance. professionals operating at full This operationalises a core ele- capacity in the sector. This is sup- ment of the Department of Human The big question that therefore ported by a recent survey that was Settlements’ four-pronged capacity confronts stakeholders active in conducted by the Nelson Mandela enhancement strategy. the human settlements space in Metropolitan University on behalf South Africa is how do we go about The main elements include: of my Department, which reveals strengthening capacity at a sector 1. Focused multidisciplinary educa- that there is a serious need for wide level? How are these initiation in the area of human settle- structured Continued Professional tives to be implemented and what ments education Development through short cours- role can universities play? es. The Department remains com- 2. Development of a trans dis- Historically and currently universi- mitted to facilitating a framework ciplinary Research Agenda ties play a vital role in any country’s to create opportunities, incentives which responds with an ev- development. Universities are key and rewards for those professionals idence based approach to institutions or engines of skills, who attain predefined professional challenges facing the human capacity and knowledge generation. standards. settlement sector in South Africa The change from Housing to It is imperative that our end goal 3. Development of a menu of Human Settlements demands a is to establish a locally adapted short courses to support Contin- systemic response by all actors professionalisation process which is ued Professional Development involved in the sector. The current interlinked, integrated and har- of especially mid-career profes- state of play in South Africa is to monised with efforts at attaining sionals. iii

© 2018 NMMU and DoHS 4. Codification and development of through some of the impediments we face. To our funders, especially the body of knowledge relevant as scholarship meets practitioner- the Nelson Mandela Metro, from to Human Settlements Develop- ship. where I stand, your invaluable ment and Management. support is an extremely worthwhile To the delegates, may your deliber- investment. To the Nelson Mandela Metropoli- ations be fruitful. May you feel that tan University, thank you for agree- you have enriched your knowledge I wish you all a successful inaugural ing to this partnership. I offer my at the end of the Conference. For 2016 National Human Settlements service one week of every semester those engaged in government ac- Conference. I thank you. to lecture here at no cost to the tivities, I wish you come back more University. This will help me to think energised to tackle the problems

and share their innovative solutions immediate interventions to human to housing and human settlement settlements challenges and attain- challenges in a wide range of par- ment sustainable development ticipants. goals across different scales and spaces. In the view of Conference Furthermore, the Conference has Organisers it cannot be that solu- been driven by a formal academic tions that are provided to address content which has been quality-con- today human settlements and trolled through a rigorous double urban development challenges are blind peer review of abstracts and a source of chaos and demise for full conference papers, by a care- the next generation. In essence, fully selected Scientific Committee though this Conference, a call has that is comprised of seasoned been made for more sustainable Prof Sijekula Mbanga, PhD academics and industry experts. Of solutions to human settlements and Chair for Education in Human Settle- importance to recognise has been urban development challenges. ments Development , Nelson Mandela the contribution of academics from Metropolitan University, Port Eliza- various institutions of higher learn- The Conference Theme has been beth 6031, Republic of South Africa. ing in South Africa such as Univer- broken down into seven focus are- sity of Johannesburg, Witwaters- as that attracted plenary speeches he National Department rand University, University of the and formal papers, as follows: Western Cape, Central University of Human Settlements, in SUB-THEME 1: of Technology, Durban University of collaboration with the Nelson Architecture and urbanism T Technology, University of KwaZu- Mandela Metropolitan University, (Outcome: An approach to plan- lu-Natal and Mangosuthu Univer- the Department of Science and ning and design in the Built Envi- sity of Technology. In addition, the Technology, the Nelson Mandela ronment allowing for higher-level Potsdam University in Germany, Bay Municipality, the Estate Agency decision-making and project-level State University of Minnesota in the Affairs Board, the National Home innovations). Builders Registration Council, the USA, University of Ibadan, Univer- Housing Development Agency and sity of Lagos and the Polytechnic SUB-THEME 2: the Eastern Cape Department of University in Nigeria have partici- Human settlements planning, Human Settlements have success- pated in the scientific process of the development and maintenance fully convened an inaugural 2016 Conference. (Outcome: Increasing efficiency, resilience and beauty of neighbour- National Human Settlements Con- The 2016 National Human Set- hoods). ference from 5 – 7 October 2016 at tlements Conference has been The Boardwalk Conference Centre, convened under the Theme ‘Sus- SUB-THEME 3: Summerstrand, Port Elizabeth, tainable Future Cities and Human Sustainable livelihoods South Africa. Settlements Begin Today.’ This (Outcome: Revitalising local eco- The Conference has been posi- Theme is an inter-disciplinary effort nomic development through hous- tioned as a Scientific Conference that investigates antecedents for ing delivery). transformation towards sustaina- which has attracted some 650 sen- SUB-THEME 4: ior leaders in government, human ble and environmentally-friendly Human settlements governance settlements practitioners, business, cities and human settlements. The (Outcome: Managing cities and academics, students, industry ex- Theme invites immediate action by neighbourhoods through appropri- perts and key opinion makers from all role-players in providing tangi- ate policies and systems). Non-Governmental Organisations. ble solutions to pressing questions The Conference has been struc- that confront South African cities, SUB-THEME 5: tured in an engaging format offer- towns, villages and neighbour- Science and technology inno- ing key role-players a platform to hoods. However, perspectives on vations for sustainable human settlements exhibit their work, launch innovative new approaches should seek to (Outcome: Adaptation and mitiga- products, host breakaway sessions strike a smooth balance between v

© 2018 NMMU and DoHS tion strategies to climate change The Nelson Mandela Metropolitan The inaugural 2016 National Hu- and poverty). University would like to extend a man Settlements Conference has word of gratitude to the profession- set a solid foundation for future SUB-THEME 6: als who served in the Conference human settlements conferences in Service delivery improvements and financing models Steering Committee (that oversaw South Africa that will draw academ- (Outcome: Changing culture, edu- the overall conference planning and ia and industry leaders under one cation practices, community en- logistics), the Conference Content roof to find sustainable solutions to gagement and financing options). Committee (which monitored the pressing development challenges inputs of various participants to- facing the country. SUB-THEME 7: wards the realistion of the selected Interdisciplinary and multisec- annual Conference Theme) and tor approaches the Conference Scientific Com- (Outcome: Working across disci- mittee (that led and managed the plines, professions and sectors for conference papers before and after sustainable settlements). the Conference). Indeed, special SUB-THEME 8: thanks go to Prof Amira Osman Property development, invest- and Ms Rirhandzu Khoza of the ment and management for University of Johannesburg who sustainable neighbourhoods and provided tremendous support in the cities post-Conference scientific process (Outcome: Just and equitable prop- towards the publication of Confer- erty ownership patterns and market ence Proceedings. behaviour supporting socio-economic transformation).

to scale up innovation radically. the sector. The work of the unit also requires collaboration with a The NDP acknowledges that ad- number of public and private-sector vances in technological innovation, stakeholders to support the demon- the production of new knowledge, stration of alternative and innova- research collaboration and the tive building systems, water provi- application of knowledge through sion and purification technologies, teaching are vital for a thriving alternative energy solutions and economy. information communication tech- Similarly, the United Nations adopt- nologies. The unit and its partners ed the 2030 Agenda for Sustainable are also exploring decision-support Development, titled “Transforming tools to expedite the creation of Our World”, which also aims to more transformative, self-sustain- Dr Phil Mjwara improve the well-being of people. Director-General of Science and Technolo- ing, liveable and carbon-neutral The 2030 Agenda, to which South gy. neighbourhoods and cities as well Africa is a signatory, consists of 17 as improved service delivery across Sustainable Development Goals government in a manner that can t was with excitement and en- (SDGs) and 169 targets. SDG 11 support and stimulate economic thusiasm that the Department of is about making cities and human growth. Science and Technology par- settlements inclusive, safe, resilient I With urban growth and the migra- ticipated in the National Human and sustainable. Settlements Conference 2016. The tion of people from rural areas to Both nationally and internationally, forum gave us an opportunity to urban centres, cities have become there is an increasing recognition share our vision of the role science, the pillars for development and of the role of STI in human settle- technology and innovation (STI) economic growth, and increasingly ments. could play in shaping the country to play a pivotal role in the world’s meet the demands of the modern By 2030, countries should substan- achievement of the Sustainable technological age. tially increase the number of cities Development Goals. and human settlements adopting The theme of the conference, As we move forward, we need to and implementing integrated poli- “Sustainable future cities and be aware that sustainable human cies and plans towards inclusion, human settlements begin today”, settlements will have to be digitally, resource efficiency, adaptation to challenged us to reflect on options physically and economically smart. climate change and resilience to and discuss future scenarios for our They will have to deploy informa- disasters. These outcomes can evolving settlements and cities. The tion communication technologies to be achieved only through smart decision makers, planners, hu- stimulate citizen action and combat approaches and the use of inno- man settlements practitioners and crime. They will have to transform vation in the developing human researchers attending the confer- energy infrastructure and employ settlements. ence will act as agents of change carbon neutral construction meth- and chart new ways to achieve our The Department of Science and ods. Innovative finance instruments goals. Technology envisages building a will be needed to enable citizens South Africa for the future through and business to share assets and The South African government hubs of innovation. To enable the resources and create employment. adopted the National Development creation of innovative cities, neigh- Plan (NDP), a long-term plan to bourhoods and smart human settle- reduce poverty and inequality by ments, the Department established 2030, which recognises the crucial a unit for STI for sustainable human importance of STI in accelerating settlements. This directorate works South Africa’s socio-economic de- in partnership with the national velopment. To make South Africa a Department of Human Settlements more globally competitive economy, to drive and deliver innovation for both government and industry need vii

ecause of the need to their full papers noting and address- evidence that reviewer comments maintain and assure the ing these comments. Evidence was were responded to. At no stage was Bquality of the conference required relative to the action taken any member of the scientific com- proceedings, and to comply with by authors regarding the comments mittee or the editors/editorial board the requirements for subsidy of the received. These resubmitted papers involved in the review process of South African Department of Higher were double blind reviewed again in their own authored or co-authored Education and training, a rigorous terms of: papers. two-stage peer review process was ▪▪ relevance to conference theme The role of the editors was to conducted by two acknowledged and objectives; ensure that the final papers incor- experts. porated the reviewers’ comments ▪▪ originality of material; In this context, each abstract re- and to arrange the final sequence ceived was twice blind reviewed in ▪▪ academic rigour; as captured in the table of contents. terms of: ▪▪ contribution to knowledge; Of the 57 abstracts originally ▪▪ relevance to conference theme ▪▪ research methodology and ro- received, 26 full papers were and objectives; bustness of analysis of findings; submitted by the authors. Only 19 papers were accepted for inclusion ▪▪ originality of material; ▪▪ empirical research findings; and in the proceedings, representing a ▪▪ academic rigour; ▪▪ critical current literature review. rejection rate of 27%. While some papers were omitted at review ▪▪ contribution to knowledge; and Authors whose papers were accept- phase, others were excluded during ▪▪ research methodology. ed after this second review were editing. This process was man- provided with additional anonymous Authors whose abstracts were aged by Prof Amira Osman of the reviewers’ comments and re- accepted after the stage one review Tshwane University of Technology. quested to submit their full revised process was completed were pro- Any inquiries may be directed to papers. These papers were only vided with anonymous reviewers’ [email protected]. included in the proceedings after comments and requested to submit

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Boston (USA) and an Advanced Diploma in Pauline Adebayo Life Coaching obtained from the Institute Dr. Pauline Adebayo holds a BA Land for Life Coaching (UK). He has a passion Economics (Hons) and an MA Housing for the management of family-owned busi- Administration degree from the University nesses and in particular Futures Studies, of Nairobi, and a PhD in Town Planning Scenario and Strategic Planning, Future from the University of KwaZulu-Natal. Governance and Turnaround Strategies. She is a senior lecturer in the Univer- He also lectures and promotes Futures sity of KwaZulu-Natal’s School of Built Studies, Family Businesses, Entrepre- Environment and Development Studies. neurship, Small Business Management Her research interests include housing and Research Methodology at the NMMU finance and housing policy analysis; urban Business School. integration and urban spatial restructuring in South Africa; asset value and To date, Prof. Adendorff has written value attribution of low income housing; various books on Governance for En- Babatunde Samuel Agbola and landlord tenant relationships and trepreneurs and published over 100 Professor Babatunde Samuel Agbola is an legislation. She also works as a housing articles in national and international Urban and Regional Planner with life long consultant and serves on housing and journals on Family Business, Technological interest in Human Settlement Develop- physical development dispute-resolution Entrepreneurship, Culture, Governance, ment and how this has been affected by bodies in KwaZulu-Natal Province. Futures Studies, Strategic Management, climate change. He holds a BSc Degree Demographics, Systems Management and in Economics from the Ahmadu Bello Turnaround Strategies. He further serves University in Nigeria and an MCP, MA on the Editorial Boards of the Internation- and PhD degrees from the University of al Journal of Social Entrepreneurship and Pennsylvania, Philadelphia. He was the Innovation (UK), the International Journal Pioneer Director of Physical Planning at of Social Enterprise and Entrepreneurship the University of Ibadan, Nigeria. He is (USA), as well as Interscience Publishers currently the Chair of the Regional Com- Ltd (UK). mittee for Africa (RCA) of the Internation- al Council for Science (ICSU). He was the Amongst other affiliations, Prof. Adendorff immediate past Chair of the Association is a member of the Family Firm Institute of African Planning Schools (AAPS), the (USA), a Fellow of FFI (USA), Family Chair of the Nigerian Chapter of the Land Business Network (UK), International Use, Land Cover Change Group of the Family Enterprise Research Association International Geosphere-Biosphere Pro- (IFERA), Development Consultants for Chris Adendorff gramme (IGBP). Prof Agbola was one of Africa, Future Trends Network (USA), Chris Adendorff is a Professor at the the Pioneer Members of what is today the Future in Review (UN), Global Foresight NMMU Business School and MD of various Safer Cities Network of the UN-Habitat. He (USA), International Association of Advi- entrepreneurial ventures. He has been a was a Visiting Professor of Planning at the sors in Philanthropy (USA), International business entrepreneur since 1985 and, University of Northern Iowa, Cedar Falls. Network of Socio-Eco Entrepreneurs along with his architect wife, Gillian, built He is the author of fifteen books, sixty four (INSE), International Scenario, Future and up a family business to such a degree that chapters in highly rated books published Strategy Group (USA), Systems Thinking they are currently active both nationally by reputable international publishers and and Systems Dynamics Practitioners and internationally and both owner-man- over forty-six peer reviewed international Global Network (USA), The Philosophy age their own family businesses. Prof. and local journal articles. Most of these Network (UK), the world acclaimed Adendorff holds two doctoral degrees, a publications are in the area of Human Set- Lifeboat Association (USA) and the PhD he obtained from Rhodes University tlement Development and Management. World Future Society of South Africa. He and a Doctoral in Business Administration also served as a committee member on and Future Studies from NMMU. He also Clinton O. Aigbavboa various other non-profit organisations obtained an M.Commerce from Rhodes Prof. Aigbavboa Clinton, PhD, is an Associ- in South Africa, England and Greece. University in 2002, and an MPhil (cum ate Professor at the University of Johan- laude) in Futures Studies from Stellen- nesburg, South Africa. His research inter- bosch University in 2010. ests are situated in the fields of sustainable His further qualifications include a Cer- human development, with the focus on tificate in Family Business Advising from sustainable housing regeneration (urban renewal and informal housing), Life Cycle ix

© 2018 NMMU and DoHS Assessment in the Construction Industry, Managers, an Incorporate of the Char- remanufacturing, leadership in low-in- tered Institute of Building, a Member of come housing, Biomimicry, post occupancy the Ergonomic Society of South Africa evaluation and green job creation. and is serving on the respective Councils of the South African Property owners Rosemary Awuor-Hayangah Association, as well as the Association of Dr. Rosemary Awuor-Hayangah holds Schools of Construction of Southern Africa. a Ph.D. in Planning (Wales) (UK); MA Professor Botha is passionate about ad- in Urban & Regional Planning and BSc. vanced teaching and learning methodolo- (1st Class Hons) Nairobi. She is a Profes- gy, mentoring and life coaching, as well as sional Urban and Regional Planner with community renaissance, hence rendering over 20 years experience in research and various pro bono services whilst support- planning with skills in management; long ing related non-profitable organizations term structure/strategic planning and aligned to the collective objective. place making. Dr. Hayangah has over 16 Brink Botha years experience teaching at university Brink Botha is an Associate Professor in Zodwa Dlamini and supervision of research projects at the Built Environment and Owner/Man- Professor Zodwa Dlamini is the Deputy both undergraduate and postgraduate aging Director of various entrepreneurial Vice Chancellor: Research, Innovation & levels. She is an experienced educator, ventures, primarily Built Environment and Engagements. She also is a Professor of trainer, leader and organizer. She has been Real Estate related. Professor Botha shares Translational Genomics and Molecular project manager in a Web enabled GIS a passion for property development, a Medicine. Her research interests are the project and was in charge of IT training niche discipline in which he is active both “omics” technologies including the use of programme for staff members in a Town as academic and industry practitioner, but bioinformatics to provide unprecedented & Regional Planning Department. Dr. also as an entrepreneur, as well as Profes- possibilities to identify the underlying Hayangah is a former Head of School sional Consultant. He has been involved in molecular basis of many common diseases of Architecture, Planning and Housing Academia and the Built Environment for including cancer, HIV/AIDS and diseases of and Senior Lecturer at the University the past two decades since 1996 with vast lifestyle. She is from the North Coast, Dis- of KwaZulu-Natal. She is currently a experience in the related disciplines. trict of Mahlabatini, esigodini saseNqula- Technical Consultant with the Municipal The author completed a National Diploma wane, KwaZulu-Natal. Professor Dlamini Infrastructure Support Agent (MISA) in Building (cum laude), two Baccalaureus obtained her BSc (Microbiology and degrees, respectively in Quantity Survey- Biochemistry) and BSc. Hons (Biochem- Oke Emmanuel Ayodeji ing and Construction Management (cum istry) from the University of the Western Dr. Oke, Ayodeji Emmanuel is a Quantity laude), an MSc in the Built Environment Cape (UWC); MSc (Plant Biotechnology) Surveyor by training and a PhD holder in with specialization in Property Economics and PhD (Molecular Medicine) from the the same discipline. He bagged his B.Tech and Valuation, as well as a PhD with a University of Natal; Postdoctoral fellow degree in Quantity Surveying from Federal thesis titled: “Property development: A (Functional Genomics) from UWC. University of Technology, Akure, Nigeria Business Process Model”. in 2006 with a first class (Hons.). He is a She then worked as a lecturer and a reviewer for various local and internation- Professor Botha is currently Head of the senior lecturer at the University of the al reputable Journals. To his name and in Construction Management Department at Witwatersrand (Wits) and then briefly collaboration with academia within and the Nelson Mandela Metropolitan Univer- joined University of Limpopo (UL) as an outside Nigeria, he has authored a good sity and Co-Director of the MSc Built Envi- Associate Professor in Biochemistry. She number of journal and conference papers ronment programme jointly hosted by two then joined UNISA as Deputy Executive both locally and internationally. He has Built Environment departments. In this ca- Dean and full Professor. She holds other supervised several students at undergrad- pacity, Professor Botha is actively involved appointments as the Vice-Chairperson of uate and postgraduate level. He has also in conducting, publishing and promoting the South African Medical Research Coun- won several awards, as well as training Built Environment and Real Estate related cil Board. Professor Dlamini represents the and fellowship grants. He is a Corporate research whilst being active in Industry in Department of Health in the DST Scientific member of Nigerian Institute of Quantity his capacity as professionally registered Advisory Committee on Preclinical Drug Surveyors, a registered Quantity Surveyor Construction Projects Manager with the Development Platform and serves on the and a member of Nigerian Institute of South African Council for the Construction National Forensic Oversight and Ethics Management. He is currently a Post-Doc- and Project Management Professions. He Board and as Chairperson for Finance toral Research Fellow at the Department is amongst other fulfilling the function of and Risk Committee for the same Board. of Construction Management and Quantity Project Manager of the implementation of She serves on the Academy of Science of Surveying, University of Johannesburg, various Built Environment related Short South Africa (ASSAf) Science, Technolo- South Africa. He is also a Lecturer in De- Learning Programmes. gy, Engineering & Mathematics (STEM) partment of Quantity Surveying, Federal Education Standing Committee. Professor Professor Botha is also a Member of University of Technology, Akure, Nigeria. Dlamini also serves on the DST National the Association of Construction Project Genomin and Precision (personalised) x

© 2018 NMMU and DoHS Medicine Think Tank and she holds an ap- est of Dr Emuze, who is a member of the Dr. Geminiani is a Construction Manager pointment as an honorary research fellow Association of Researchers in Construction by profession and is involved with various and visiting Professor for the University of Management and the Lean Construction committees such as the South African Bristol, School of Medical Sciences, UK. Institute. Council for Project and Construction Management Professions (SACPCMP) on Affiliation: Central Universi- the Accreditation Panel, and a member ty of Technology, Free State, of the Institute of Safety management Bloemfontein, South Africa. (IoSM). He is also involved with the South Franco Geminiani African National Accreditation System Dr. Franco Geminiani is a Senior Lectur- (SANAS) as a technical expert relative to er at the Nelson Mandela Metropolitan SANS 613 Fenestration Systems. He is also University (NMMU) in the School of the the Testing Officer for the Association of Built Environment, and currently the Head Architectural Aluminium Manufacturers of Department of Building and Human (AAAMSA) relative to ‘Window Testing’ in Settlement Development. Dr. Geminiani the Eastern Cape. completed his matric at Marist Brothers Dr. Geminiani is also part of the Manage- College Port Elizabeth in 1974, and later rial Steering Committee NMMU / National his military commitments in 1995/1996. Fidelis Ifeanyi Emoh Department of Human Settlements. He started off his career in 1977 as an Fidelis Ifeanyi Emoh, (Ph.D., M.Sc., B.Sc., Apprentice Carpenter with Murray and MBA, FNIVS, RSV, MNIM), is the former Roberts Construction (East Cape). Head of the Department of Estate Man- agement, Nnamdi Azikiwe University, He later joined LTA construction in 1986 Awka, Nigeria. He has a Ph.D. (Estate as a Contracts Manager and was in- Management) from Nnamdi Azikiwe volved in various projects in the Eastern University, Awka, Nigeria and an M.Sc. Cape. He later joined the Port Elizabeth (Estate Management) from the University Technical College as a Lecturer in the of Nigeria, Nsukka, as well as a Masters in Building Department, teaching Technical Business Administration in Banking and Vocational subjects related to the Built Finance from Nnamdi Azikiwe University, Environment. He was offered a post and Awka, Nigeria. joined the NMMU in 1990 as a Lecturer in the Department of Building, and was later Emoh is a Fellow of the Nigerian Insti- appointed in 1998 as a Senior Lecturer in tute of Estate Surveyors and Valuers the former Department of Building and Denver Hendricks (FNIVS) and a Registered Estate Surveyor Quantity Surveying. Denver Hendricks is the Head of Depart- and Valuer. He is also a Member of the ment of Architecture at the University Nigerian Institute of Estate Surveyors and Dr. Geminiani has been with the NMMU of Johannesburg. He is an active young Valuers (ANIVS) and a Full Member of the for 27 years and actively involved with ‘black’ researcher and a practising regis- Nigerian Institute of Management (MNIM) Teaching and Learning, Research activ- tered architect originally from Cape Town. (Chartered). ities, Industry related engagements, as well as related community activities. Many He studied architectural technology at He has extensive administrative experi- top successful students who have become the Cape Peninsula University of Technol- ence and has made many contributions CEOs, Directors, Entrepreneurs, etc. have ogy (CPUT), before going on to complete to society and in terms of academic passed through his hands of the past 27 his BArch at UCT, where he focused on leadership. He has over 30 published years. He was appointed as HOD in 2012 housing and public infrastructure projects works in peer reviewed journals, locally in a managerial position up to the present under the supervision of Jo Noero in his and internationally and has published time. thesis year. He won both the Housing three standard professional books. He Development Agency and PG Bison Awards has received numerous rewards and Dr. Geminiani obtained his National Di- during his final year of studies. recognition for his professional roles. ploma: Building in 1983, Higher National Diploma in 1984, as well as a Diploma: He served on the voluntary bodies of the Fidelis A. Emuze Higher Education (Technical) through South African Black Technical and Allied Fidelis A. Emuze PhD, is Associate Profes- UNISA. In 1989 obtained the Masters in Careers Organisation in the Western Cape sor and Head of the Department of Built Construction Management at the NMMU and the Gauteng Institute of Architects Environment, and Head of the Unit for (former PE Technikon), and graduated in (GIFA) on the Education Portfolio while he Lean Construction and Sustainability at 1998 with a Doctorate in Technology in was employed in practices in Cape Town the Central University of Technology, Free Construction Management at the NMMU, and Johannesburg as a senior and partner. State, South Africa. Construction research entitled “An Investigation of the Depart- He focused on both public and private in lean construction, health and safety, ment of Labour Occupational Health and architecture before specialising in public supply chain management, and sustaina- Safety Inspectorate Relative to Construc- projects. He managed teams and offices bility constitutes the main research inter- on medium and large scale projects. He tion”. xi

© 2018 NMMU and DoHS co-directed Urbansoup Architects who Associate Research Fellow of the Institute designed a R350m transport orientated for Economic Research on Innovation development for the City of Johannesburg. (IERI) and the National Research Foun- His work is noteworthy and reflective be- dation’s South African Research Chair cause critically publishes both public and on Innovation and Development. She is conference papers of his work as a mode also a founding director of the Southern of practice. He presented a TED Talk on an African Node of the Millennium Project, energy efficiency homes and was invited to co-founder of ForesightForDevelopment. talk at tertiary intuitions in Leicester, New org, an Associate Editor for the Afri- York and Port Elizabeth about his work. can Journal for Science, Technology, Innovation and Development (Taylor & He has written on themes of community Francis), and Africa Regional Editor for design, socio-economic effects of apartheid Foresight: The journal of future studies, spatial planning, design and education strategic thinking and policy (Emerald). and decolonisation. His latest series of Kahilu Kajimo-Shakantu practicing and publication works includes Prof. Kahilu Kajimo-Shakantu holds a Geci holds Master’s degrees in Urban extensive community design participation PhD in Construction Economics and Planning and in Architecture & Urban projects called My City Futures and the Management from the University of Cape Design, both from the University of Melville Precinct Plan. He is currently Town, a Masters in Property Studies and California Los Angeles (UCLA), and a PhD completing a Masters in Urban Studies a BSc (hons) in Land Economy. She is from the University of Witwatersrand at the University of Witwatersrand and currently the Head at the Department in Johannesburg (planning and innova- writing a proposal for his PHD around of Quantity Surveying and Construction tion systems). She is also a Fellow of the the themes of Brown People and the Management at the University of the Archbishop Tutu Leadership Programme socio-economic impact of space produc- Free State. Kahilu has been involved in (of the Africa Leadership Institute and tion on the Cape Flats in Cape Town. research and consultancy in the areas University of Oxford) and an alumnus of of procurement, human settlement and the Urban Innovation Leadership Lab construction industry development. She (of the Global Leadership Academy). is most passionate about their sustainability and has presented many papers at international and national conferences.

Marie Huchzermeyer Prof. Marie Huchzermeyer is a Professor in the School of Architecture and Plan- Prudence Khumalo ning where she has convened the masters Prudence Khumalo is an Associate Profes- degree in housing over the past 15 years. sor in the department of Public Adminis- Her research has focussed on compar- Geci Karuri-Sebina tration and Management at the University ative housing policy with a particular Dr. Geci Karuri-Sebina is Executive Man- of South Africa. He has published on Public interest in informal settlements and ager for programmes at South African Policy and Development, Leadership, Envi- unregulated private rental housing across Cities Network, an urban research and ronmental Governance, Poverty and Local the contexts of South Africa, Brazil and learning network. Her interests span a Economic Development. He has presented Kenya, and resulting in several books. range of development foresight, policy, papers at both local and international planning and practice topics, particularly conferences. Prudence currently serves as relating to urban governance, the built the chair for the research committee in environment, innovation systems, and the department of Public Administration, local development. She has two decades’ as well as a committee member of the experience working and publishing in Human Settlements Cluster in the same these fields. Her most recent publication department. is the book Innovation Africa (Emerald Prudence holds a Doctorate Degree in Books, 2016). Public Administration, University of Fort Geci is a Council Member on the South Hare 2011, Master of Public Administra- xii African Council of Planners, and an

© 2018 NMMU and DoHS tion, University of Fort Hare 2009, and a prestigious Rockefeller Foundation Bsc Honours in Human Resource Man- Bellagio Academic Residency and is a agement, Midlands State University 2005. 2013 World Social Science Fellow of the He had a stint with the University of Fort International Social Science Council. Hare as a Postdoctoral Fellow in 2011 and later on joined UNISA in a similar capacity under the Poverty Alleviation Field within the Department of Devel- opment Studies in the College of Human Sciences prior to assuming his current position. Prudence has also worked as a Human Resource Practitioner for Dunlop Tyres, a position he held till 2007 and re- signed from it to pursue further studies. Jeffrey Mahachi Dr. Jeffrey Mahachi is a registered professional engineer and a registered construction project manager, and is a Alan Mabin Fellow of the South African Institution of Professor Alan Mabin was born in Jo- Civil Engineering. Jeffrey holds a PhD in hannesburg and studied at Wits Uni- structural engineering from the University versity, Ohio State University, USA, and of the Witwatersrand, a Masters degree Simon Fraser University, Canada. He is a in structural engineering from Surrey Corporate Member of the South African University (UK), a Masters degree in In- Planning Institute. He taught at Wits formation Technology from the University from October 1981, and from 2005 to of Pretoria, and a BSc Civil Engineering 2010 headed the School of Architecture (Hons) degree from the University of and Planning at Wits. In 2014-15 he Zimbabwe. Jeffrey has worked as a an Taibat Lawanson was Research Fellow at the University of Executive Manager at the National Home Taibat Lawanson is an Associate Pro- Pretoria leading the programme ‘Capital Builders Registration Council (NHBRC), fessor in the Department of Urban and cities—space, justice and belonging’. Alan project manager and research engineer at Regional Planning at the University of is now Emeritus Professor associated with CSIR Building Technology, lectured at the Lagos, Nigeria. She holds a PhD in Urban the Wits City Institute. He is a member of University of the Witwatersrand and has and Regional Planning from the Federal the Council of the International Plan- done consulting work in civil and struc- University of Technology, Akure, Nigeria. ning History Society and of the Board of tural engineering. He has also written She has conducted extensive research RC21—Research Committee on Urban and two books on structural engineering and on issues relating to urban informality, Regional Research, International Sociolog- presented several papers at international livability, environmental justice and pro- ical Association. and local conferences and seminars. He poor development. She is interested in how is currently serving as a board mem- Alan has held visiting positions at Yale formal and informal systems can syn- ber of the Engineering Council of South (USA); Queen’s (Canada); Université de thesize in the emerging African city, and Africa and Agrèment South Africa and is Paris Ouest [X]-Nanterre-La Défense, written or co-authored over 50 articles in a Director of SSP Multiconsult (Consult- Laboratoire Architecture Ville Urbanisme peer-reviewed journals, books and confer- ing Civil and Structural Engineers). Environnement, and Sciences Po in Paris, ence proceedings. She is a member of the France; and Universidade de São Paulo editorial advisory board of Area Develop- in Brasil. He holds visiting appointments ment and Policy Journal of the Regional at the Universities of Pennsylvania and Studies Association and represents the Stellenbosch. His urban development Association of African Planning Schools experience includes being founding on the International editorial board of the chairperson of Planact in Johannesburg, Global Planning Educators Association. 1985, an urban development NGO with She is also a United Nations Policy Expert which he has been linked for 30+ years. on Urban Governance, Institutional and He has worked with numerous depart- Capacity Development. ments of national, provincial and local She is a registered town planner and government in South Africa and with a member of the Hunan Capacity De- multilateral organisations. His publi- velopment Association, Urban Affairs cations include 3 edited books and over Association and International Society 100 research articles and chapters. Thozama Majila of City and Regional Planners among Dr. Thozama Majila is Director: Research others. Taibat recently completed the and Policy Development in the Eastern xiii

© 2018 NMMU and DoHS Cape Departments of Human Settlements. and challenging. I am interested in cities, ment positions including those of Director, Out of her 30 years of experience as a pub- people and politics, especially as it relates Chief Director for Housing Policy Planning lic service practitioner, 9 years of practice to issues around transformation in all and Research and Chief Operations Officer have been in the housing/human settle- its manifestation, including physically in the Eastern Cape Departments of Roads ments sector. She has delivered confer- (resilience), ecologically (sustainabili- and Public Works, Office of the Premier, ence papers and published on issues that ty) and socially. I have been in practice Housing Local Government and Tradition- threaten service delivery. Her research for 4 years, working on projects in and al Affairs and Human Settlements where interests are focusing on ethics, gender round the city such as Sci-Bono science he was responsible for long-term human equality, corruption, equity and organisa- centre in Newtown, Metro link in Braam- settlements planning, search and testing tional learning. fontein, Morris Isaacson Hall in Soweto, of alternative building technologies and Marlboro South research project, and I programme management of the eight Her significant areas of expertise include am currently involved in the communi- regional housing operations, inter-gov- Public Policy Analysis and Development, ty engagement urban design precinct ernmental relations, stakeholder manage- Strategic Planning, Performance Monitor- planning of Melville, Johannesburg. ment, policy development and research, ing, Evaluation and Reporting; and Knowl- municipal support and accreditation. He edge Management. She served as a Policy has on several occasions served as the Act- Researcher in the Eastern Cape Depart- ing Head of Department of Housing in the ment of Public Works; Manager: Strategic Eastern Cape. He boasts of strong organ- Support in the Eastern Cape Department isational development and change man- of Health (office of the Chief Operations agement experience and thrives during Officer); Manager: Policy Development in organisational transitions, establishment the Eastern Cape Department of Housing/ of new entities and transfer of functions Human Settlements. between and across different entities. Prof Dr. Majila holds a Bachelor of Adminis- Mbanga is not only an academic, but a tration degree from the University of Fort purpose-driven community development Hare; Master of Public Administration activist that is critical of societal order degree from Nelson Mandela Metro- where a naturally resourced economy politan University; Master of Philos- sits side by side with abject poverty. ophy — Information and Knowledge Sijekula Mbanga Management degree from Stellenbosch Prof. Sijekula Mbanga is an Associate University; and Doctor of Philosophy — Professor for Buildings and Human Settle- Public Administration degree from Nelson ments, a Programme Leader for the Bach- Mandela Metropolitan University. elor of Human Settlements Development, and the Director of the Chair for Educa- tion in Human Settlements at the Nelson Mandela Metropolitan University. He holds a PhD in Public Administration, with his thesis focusing on integrated development planning, obtained from the Nelson Man- dela Metropolitan University. This is the same institution where he completed his Masters’ degree in Administration (Cum Laude) with distinctions in Advanced Aurobindo Ogra Project Management, Advanced Public Aurobindo Ogra joined University of Policy Analysis and 100% pass in Integrat- Johannesburg in 2009 and lectures at ed Development Planning modules. Prof Department of Town and Regional Plan- Mbanga is a registered and active member ning, Faculty of Engineering and the Built Jabu Absalom Makhubu of SAAPAM, SAMEA, GISSA and SAPI. Environment. He is a Professional Planner University of Johannesburg (SACPLAN) and has 16 years of multidisci- His research interests are integrated plinary international professional experi- I am a young, black lecturer and emerging approaches to development management, ence in urban sector from India and South researcher in the Department of Archi- community based planning and develop- Africa. He holds Bachelor of Construction tecture, University of Johannesburg. I am ment, sustainable livelihoods, inter-gov- Technology (2000), MTech in Urban & interested in the politics of space, reimag- ernmental relations, alternative and Regional Planning (2002) and Masters ining of urban public space in an around innovative building systems, public policy in Business Economics (2009), and is Johannesburg. I have recently completed development and analysis. Prof Mbanga currently finishing his doctoral research a Masters in Urban Design (MUD) from spans a wealth of industry experience, and in Engineering Management at University University of Witwatersrand. I find the has worked in a number of government of Johannesburg. He is also trained in spe- often-conflicting relationship between departments and entities. Before joining cialized programmes in urban sector from architecture and urbanism both inspiring the NMMU he has held senior manage- xiv

© 2018 NMMU and DoHS leading institutions in areas of: Urban & Research Supervision (Cross-Discipli- on a small scale. City Management (World Bank Institute), nary Research). Amira taught at a number of institu- Strategic Approach to Urban Challenges ▪▪ Undergraduate Level: Management for tions for about 30 years in total, with 10 (Central European University), Smart Planners (TPM431); Urban Renewal/ years at the University of Khartoum, 11 Cities – Management of Smart Urban Project Work-C (EL3872C) and Plan- years at the University of Pretoria and 5 Infrastructures (IGLUS, EPFL, Switzerland) ning Design: Introduction to Planning years at the University of Johannesburg. and among other specializations. His key Survey (PLSTRB1); and Undergrad- She established the Housing and Urban expertise and interest areas span across uate Research Project Supervision Environments (HUE_UP) research field at multidisciplinary domains of urban sector: (TRP406) the University of Pretoria and at the Uni- Urban Infrastructure Planning and De- versity of Johannesburg. She also estab- velopment, Urban and Regional Planning, Current research project engagements: lished UJ’s research and academic UNIT 2 Urban Development and Management, Special Economic Zones (SEZ), Industrial “Architecture and Agency: DESIGN | MAKE Local Government, Metropolitan and Development Zones (IDZ), Industrial Parks, | TRANSFORM” in 2015. Amira taught City Regions, E-Governance, Geographic Urban Infrastructure (Waste Management Housing and Urban Policy at BTECH level Information Systems, Spatial Analytics, & Planning), Innovative Building Technol- during the period 2016 – 2017. She has and Smart Cities. ogies & Neighbourhood Development. previously worked as a Senior Researcher He is a recipient of Local Government & at the Council for Scientific and Industrial Public Service Reform Initiative (LGI) Fel- Research (CSIR) in Pretoria (2010 – 2012). lowship, Open Society Institute, Hungary Amira was one of the conference conven- (2008). He also served as a Technical Task ers for the World Congress on Housing Team Member, Presidential Infrastructure in 2005 at the University of Pretoria Coordinating Commission (PICC), South and the convener of the Sustainable Africa to provide strategic inputs in areas Human(e) Settlements: the urban of SIP-6: Integrated Municipal Infrastruc- challenge, 2012, hosted by FADA, Uni- ture Project, SIP 7: Integrated Urban versity of Johannesburg and its partners. Space and Public Transport Programme, She also served as UIA 2014 Durban and Innovative Building Technologies General Reporter for the International (IBT) during 2015-16. He is a member Union of Architects (UIA) and the South of various national and international African Institute of Architects (SAIA). professional bodies associated in urban Amira Osman sector and has actively contributed in Amira Omer Siddig Osman is a Suda- invited forums, discussions, workshops and nese/South African architect/lecturer/ other industry engagements. He actively researcher. She is currently a professor in participates and contributes in academic architecture at the Tshwane University of and research engagements at national Technology. and international conferences, forums, Amira studied at the University of workshops and regularly publishes in Khartoum in Sudan in 1988 (B.Sc.) and multidisciplinary thematic areas of urban 1996 (M.Sc.). In between the two she also sector. He served as a Scientific Chair for studied at the Institute for Housing Studies Planning Africa Conference during 2014 in Rotterdam (IHS) in 1992 where she and 2016 and spearheaded the process obtained a post-graduate diploma. She and publication of peer reviewed con- completed her PhD in Architecture at the ference proceedings. He has featured on University of Pretoria in 2004. South African Broadcasting Corporation Finzi Saidi (SABC News) South Africa, on a conversa- She worked as an architect in Khartoum Dr. Finzi Saidi is senior lecturer in the tion on rapid urbanization and challenges during the period 1988 – 1997 with vari- Department of Architecture in the Faculty in Johannesburg (March and July, 2016). ous practices on small and large projects of Art, Design and Architecture (FADA) at and was a United Nations Volunteer (UNV) He is presently the Programme Coordina- University of Johannesburg (UJ). He has in Maseru, Lesotho 1997 – 1998, as an tor for Masters in Sustainable Urban Plan- served in various roles at UJ that include, architect with the Department of Public ning and Development (MSUPD) offered Head of the Department of Architecture Works. She practiced as an architect in the by Department of Town and Regional and Vice-Dean of FADA. Sudan and has participated in a number of Planning at University of Johannesburg. projects in South Africa including a hostel His teaching career began at the Copper- His current teaching responsibilities at upgrade and designs for social housing in belt University in Zambia, where he taught postgraduate and undergraduate level Pretoria. Amira is a registered Profession- in the architecture programmes in the include: al Architect with the South African Council School of the Built Environment. ▪▪ Postgraduate Level: Sustainable for the Architectural Profession (SACAP) Other institutions that he has worked Urban Infrastructure and Smart Cities and while her focus is academic and re- for include the University of Cape Town, Development (SUSC019); and Masters search-oriented, she continues to practice where he was Convenor of the Master of xv

© 2018 NMMU and DoHS Landscape Architecture programme in of Human Settlements with a focus on the School of Architecture, Planning and housing in South Africa. Dr. Wasserman Geomatics and the University of Pretoria, spent his sabbatical in South Africa work- in the architecture and landscape archi- ing with the University of Fort Hare and tecture programmes. has participated in research and conferences with Nelson Mandela University. His educational training spans across three institutions: his bachelor’s degree in architecture obtained from the Copperbelt University; his Master of Landscape Design degree from the University of Newcas- tle-upon-Tyne; and finally his PhD in Ar- chitecture from the University of Pretoria.

His research interests range from Konrad Soyez resilient landscapes, studies of use of Konrad Soyez, PhD, Ass. Prof., Chemical open spaces in South African cities engineer (1969), research and teaching and developing innovative and re- activities in environmental biotechnolo- sponsive curricula in architecture. gy, bioprocesses of organic material, esp. organic waste and water management, environment and climate assessment, and Afua Wilcox green technologies. Long term interna- Afua Wilcox is a young enthusiastic archi- tional research and education projects, tect based in Johannesburg. Her academ- e.g. in Chile, Philippines, and South Africa. ic career consisted of a Bachelor of Archi- Member of German and international tectural Studies at the University of Cape learned societies and working parties Town from 2007 – 2009, an internship at such as European Federation of Biotech- Atelier UWA Architects in London in 2010, nology, DECHEMA, and VDI. President of and per Final postgraduate Honours and the German Association for Ecological MArch at the University of Witwatersrand Technology and Systems Analysis. Editor from 2012 – 2013. and author of text books on general Afua is one of the founding members of the biotechnology, waste management African Architects collaborative. A NPC Winston Shakantu technologies, and climate mitigation. that celebrates African Architecture and Winston Shakantu is a Professor of educates underprivileged students about Construction Management at NMMU. His possible careers in the built environment. qualifications include an Honours degree Alongside Amira Osman, she currently in Building; a Masters in Construction heads up the Human and Urban Envi- Management from the University of Read- ronments Elective at the University of ing; a Doctorate from Glasgow Caledonian Johannesburg(HUE UJ). This elective University and a Post-graduate certificate complements her work at Michael Hart in International Construction Manage- Architects and Urban Designers. Both ment from Lund University. the elective and architectural prac- Winston is also professionally qualified tice are committed to creating well as Professional Construction Manag- designed, humane RDP, social housing ers (PrCM) and is a full member of the and sustainable urban environments. chartered Institute of Building (MCIOB). He is also a Chatered Construction Brian Wasserman Manager. He has published over 100 Dr. Brian Wasserman (DIT), is Depart- papers in journals, conferences and book ment Chair in Construction Management chapters and supervised to completion at Minnesota State University, Manka- 10 Doctoral graduates and scores of to. His Doctor of Industrial Technology Masters and Honours candidates. degree was earned from the University of Northern Iowa (UNI). Dr. Wasserman has taught a wide variety of courses in Construction Management. His research topics have included construction education, concrete materials, and Department of Transportation scheduling. His most recent adventures have been in the field xvi

© 2018 NMMU and DoHS SUB-THEME 1: ARCHITECTURE AND URBANISM The influence of urbanism on the acceptability of traditional earth-constructed houses Gerhard Bosman | University of the Free State, Department of Architecture, Earth Unit Chris van Vuuren | University of South Africa, Department of Anthropology

Abstract The celebration of culture and identity of traditional and vernacular earth building techniques have positively impacted communities world-wide. The impact of the physical context (available materials, climate and topology) has long been established as influences on the typology, morphology and cultural identity (cultural context). However, local groups enjoy different perceptions of their social environments that should be considered in the promotion strategy of upgraded traditional building techniques. A recent qualitative study in central parts of South Africa has confirmed that the urban context, together with the physical environment and living conditions of local groups, are the main influences on perceptions of traditional earth construction. This method formulated a strategy to be followed in raising the status of earth constructed techniques used in contemporary applications in central parts of South Africa. The aim of this paper is to highlight the physical context as the more influential variable — more so than the cultural context — when considering the acceptability of traditional earth construction. Local perceptions regarding traditional earth construction houses showed different levels of acceptability, influenced by the local building culture and basic services. In order to promote contemporary earth construction techniques, it will be useful to have different approaches for training and construction efforts within a specific location.

Key words: Culture, identity, urbanism, perceptions, earth-constructed houses.

1.0 INTRODUCTION qualities of South Africa have influ- are physical contextual variables rescura (1981) studied the ences the cultural context. For the such as climate (Bosman & Van der development of the traditional purpose of this argument cultural Westhuizen, 2014: 117; Frescura, house among the different context will be considered as the 1981), soil type (Bosman, 2015: F form and structure type of house 125), economic subsistence (Steÿn, indigenous groups in South Afri- ca. In his book, Rural shelter in construction that gives a cultural 2009), transhumance, and later southern Africa, Frescura shows identity. This will be followed by the influences triggered by changes in that using earth for constructing research project that supports the the cultural context (colonialism, walls was mainly done in the drier argument that the physical context acculturation or modernization). of communities (with reference only areas of South Africa. The environ- Three types of house forms (mor- to location) plays a bigger role than ment or the availability of materials phology) dominated the southern the cultural context (with reference typically determined the type of African rural landscape (topolo- to only the home language). The material used for wall construction gy), namely an early grass dome findings and discussion will be pre- in different areas. Moore, Gerald (beehive) type, a later cone-on sented in combination to highlight and Donlyn (1974: 71 – 73) used cylinder (rondavel) type and quad- recommendations in the strategy climate as a determining factorW in rangular types (see Figure 1). The for the promotion of contemporary the development of American colo- grass dome was the typical house earth construction efforts. nial housing in the Southwest, while form among the Nguni speaking Rapoport (1969: 18 – 45) showed 2.0 PHYSICAL CONTEXT communities. This house typology that available materials and tech- SHAPES CULTURAL dominated among the Zulu (Knuffel, nology, culture and the form of the CONTEXT IN SOUTH- 1973), Xhosa (Soga, 1931) and house determine the final choice of AFRICA Swazi (Ziervogel, 1959), as well as materials that will be used. It is possible to present a schema the Highveld Ndebele (Van Vuuren, of house typologies among the The following sections will illustrate 1983) and Basotho (Walton, 1956) indigenous communities in South the way that available material, of Lesotho. Apart from a floor, fire Africa. Inherent in such a typology climate and the topographical place and a low fire protection 001

© 2018 NMMU and DoHS wall, the grass dome featured a four quarters of interwoven saplings are entrusted to the roof and wall minimum of earthen work. Towards which are knotted towards the apex timber work, as well as thatching. the late 1800s and early 1900s the of the house (Knuffel, 1973; Van The choice of an earth wall type will grass dome among the Zulu and Vuuren, 1983). This latter type is depend on the regional availability Xhosa had raised earthen walls, considerably stronger and allows of natural resources and the nature which resembled a dome-on-cylin- for the very large domes which are (topology) of the construction site der type (see Figure 2). The early found among the houses of the (flat, terraced, sloped, dry, rocky or cone-on-cylinder houses among the Zulu royals. damp). Xhosa of the east coast of South The introduction of the cone-on-cyl- When wood in the natural environ- Africa had a dome shaped thatched inder house among the Nguni ment is available, earth building on roof and not the typical cone speakers was triggered by mis- house walls might encompass the type. Prominent among the Sotho sionary and western influence. wicker and earth (wattle and daub) speakers of the central Free State The name “rondawel” for this type method. In rocky or sloped regions, and the mountainous Lesotho (see of house among the Xhosa, Swa- the walls are constructed using Figure 2) was a grass dome with an zi and Zulu is urondabuli (Dent & rock and earth, and in some cases elongated funnel like entrance (mo- Nyembezi 1969: 472) and among small stones are cast into a wooden hlongoafatse) that survived colonial the Basotho rontabole for the ‘mesh’ and then plastered with mud. and missionary influences and is cone-on-cylinder house type in In the dry western and north west- still visible in the eastern parts of South Africa. ern parts of South Africa, the locals the Free State and Lesotho. have been using the rammed earth Among the early Northern Sotho, The grass dome in South Africa technique (pise le terre) introduced Venda and Tsonga, and presuma- also presented two varieties in by French missionaries in the years bly Tswana, the cone-on cylinder frame construction. Among the Xho- before 1920 (Archibald, Crosby & house roof construction and earth- sa, Ndebele and Basotho the frame Patty, 1948). en wall construction are separated saplings are knotted in the apex elements. Furthermore, men and Rural black earthen builders use while the lateral lattice consists women engage in different parts various organic components to of a number of parallel saplings. of the building process during this strengthen the quality of mud The Zulu and Swazi dome frame house construction. Earthen work mixtures for earthen walls. Stabi- consists of a complex system of is a female domain, whereas men lizing organic components include

Figure 1: The development of house typologies (Frescura, 1981: 12) 002

© 2018 NMMU and DoHS straw, cow dung (very popular) and around towns and rural settlements The survey questionnaire was termite soil. Since the arrival of in the Free State Province draw formulated in three languages: cement, it has become a common- the attention to the acceptability of Afrikaans, English and Sesotho. ly used component in some mud earth constructed houses. A recent Questions in the survey referred mixtures. The robustness, good project produced data that shows, to demographics, income, present compressive strength, resistance through a quantitative analysis housing conditions and basic hous- to abrasion and erosion has left process, the low acceptability of ing services available. Most of the unstabilized materials with a low traditional earth constructed houses locations were internally and indi- acceptability status. The decline in in central parts of South Africa. vidually homogeneous (in terms of traditional and vernacular building the variables or comparative char- 3.0 METHOD practices is not new. Traditional acteristics being studied). A spatial This paper uses data obtained earth constructed dwellings have cluster sampling method in the from a South Africa-Netherlands received increasingly poor accepta- different townships or settlements Research Program on Alterna- bility the last few decades. Hadjri et in the nine study locations was fol- tives in Development (SANPAD) al. (2007: 147) reported that urban lowed (Steÿn, 2009: 61 – 62). The project. This project investigated residents in Zambia associate earth sample size for each of the areas the perceptions of urban and rural constructed buildings with poverty was calculated according to Stok- South Africans on traditional earth and low socio-cultural status. This er’s (1981: 13) method of: constructed houses. The objec- was confirmed by Ngowi (1997a, tives of the SANPAD project were 1997b, 1997c) on efforts to upgrade to stimulate and promote quality the use of traditional earth con- √ (N ÷ 20) x 20 research, production of Master’s struction techniques in rural areas and PhD students and co-operation of Botswana. According to Oliver between institutions. This paper (2003: 236) some people in devel- With N (the stratum size), therefore draws from the outcome of the oping countries feel embarrassed gave the number of houses for the project entitled: A South African about their vernacular traditions. sample size. Building Renaissance – Accepta- The general state of rural earth A distinction was drawn in all areas bility of high quality, earth construct- buildings and the temporary appli- between urban formal areas (those ed, public and private buildings to cation of traditional earth building with water, sewerage, electricity support sustainable local economic techniques in urban areas in and and site number), urban informal development.

Figure 2: The current dominant languages in South Africa (Linguistic Maps of South Africa: 2016] 003

© 2018 NMMU and DoHS areas (those without services and not it is statistically significant. A 4.0 FINDINGS AND site number) and rural informal ar- correlation is significant when the DISCUSSION eas (bigger sites with site numbers observed relation between two 4.1 Home language in areas governed by traditional variables is unlikely to be due to Home language was found to have chiefs (see Table 1). These areas chance alone. A finding is consid- a strong statistically significant as- were homogeneous; therefore, ered statistically significant if its sociation with wall type; ownership every fourth house was selected for probability (possibility, or likelihood) of the house; the three services and the purpose of the survey. It was (p) of occurrence by chance alone if ever lived in an earth house be- decided on a systematic sample is less than 5 in 100 (p<0.05). The fore (see Table 2). People of a cer- and not a stratified random sample, statistical significance (meaning or tain language, such as Setswana, as maps for some of the areas were connotation) of a correlation coeffi- tend to have the same preferences not available. Only a section of the cient depends not on its magnitude regarding wall type. They tended to first of two surveys will be used for (the extent to which it deviates from have the same level of home own- the analysis on this paper. zero in either a positive or negative ership, the same levels of service direction), but also on the size of and the same histories regarding The means to describe the strength the sample on which it is based. previous types of housing, since of the relationship among variables Schall (2014) agrees that the sta- the area types and locations were described by Ajzen and Fishbein tistical significance also depends the same. This, however, does not (1980: 98) is known as the corre- on the sample size and not only on mean that the Setswana speaking lation coefficient. The correlation the magnitude of the correlation groups were more positive than would often indicate whether or coefficient. other groups.

Location Area type Sample size

Botshabelo Informal urban (Block W) and formal urban (Block K) 390 houses Thaba Nchu Informal urban 221 houses Bulfontein Formal urban 186 houses Bankhara Bodolong Formal and informal urban 231 houses Tshiame B Formal urban 72 houses Makgolokweng Informal rural 130 houses Manokwane Informal rural 91 houses Pampierstad Formal urban 313 houses Mapoteng Informal rural 165 houses

Table 1: The sample size of houses surveyed in different areas.

Lesotho

Figure 3: Towns and settlement visited (circles) and selected (stars) for the survey (Rural Development and Land Reform, 004 2014)

© 2018 NMMU and DoHS The implications are that locations 4.2 Location are more positive about the use were homogenous, and that there Urban informal area type respond- of adobe and Bulfontein respond- were statistically significant associ- ents are more positive about the ents (mean score – 4.11) are most ations (Bosman, 2015: 123) be- use of adobe (sun-dried earth negative about the use of adobe. tween location and all housing char- block) for houses, and urban formal Keep in mind that 13% of Magolok- acteristics (wall type, ownership, all and rural area respondents are weng respondents and only 9.2% of services and ever lived in earth). more negative about the perceived Bulfontein respondents (see section Furthermore home language was quality of earth constructed houses. 4.2) are more positive about the found to have a strong relationship Respondents that perceived the use of earth constructed tech- with area and location since the quality of adobe between good to niques in their locations. A previous North West province and Northern very good are expressed in per- analysis (Bosman, 2015: 136) has Cape Province have mainly Set- centages. For the purpose of this also confirmed that 3.1% of Ma- swana speaking respondents, and paper, it is important to note that golokweng respondents and 0% the central and eastern Free State, the Free State Province locations of Bulfontein respondents will still mainly have Sesotho speaking re- (Bothshabelo – 11.1%, Thaba Nchu live in an earth constructed house if spondents (Bosman, 2015: 131). – 16.5%, Bulfontein – 9.2%, Tsiame they have a choice between earth, B – 6.9% and Makgolokweng – fired brick, cement blocks or cor- The recommendations are that 13%), together with the Northern rugate walls for their houses. The training efforts should be focused Cape Province locations (Bankhara implications are that Magolokweng on providing basic services in the Bodulong 13% and Mapoteng – respondents are more positive areas; focusing on an earth building 7.9%), are more positive than the about the perceived quality of earth technique that is well known and North West Province locations (Ma- constructed-houses and Bulfontein utilized as the local building culture nokwane – 4.4% and Pampierstad respondents are most negative (Bosman, 2015: 125 – 128), before – 3.5%). about the perceived quality of earth starting with a new training program constructed houses. The physi- to promote contemporary earth Table 3 confirms that Magolokweng cal contexts (available materials, construction. respondents (mean score – 3.89)

Personal characteristic Housing characteristic Chi-square statistic df P-value

Home language Wall type 72.5204 5 <0.0001 House size 3.7677 5 0.5833 Opinion on RDP houses 4.8647 5 0.4326 Ownership 40.6812 10 <0.0001 Water service 72.3836 5 <0.0001 Electrical service 189.5738 5 <0.0001 Toilet service 31.6999 5 <0.0001 Ever lived in earth 42.8035 5 <0.0001

Table 2: Association between home language and housing characteristics.

Location N Obs N Mean Std Dev Min Median Max

Botshabelo 390 388 4.05 1.06 1.00 4.00 5.00 Thaba Nchu 212 212 3.70 1.15 1.00 4.00 5.00 Bulfontein 186 186 4.11 0.97 1.00 4.00 5.00 Bankhara Bodulong 231 231 3.91 1.10 1.00 4.00 5.00 Tshiame B 72 72 4.08 0.87 2.00 4.00 5.00 Makgolokweng 130 130 3.89 0.99 1.00 4.00 5.00 Manokwane 91 91 4.21 0.75 1.00 4.00 5.00 Pampierstad 313 311 4.25 0.74 1.00 4.00 5.00 Mapoteng 165 165 4.04 0.89 1.00 4.00 5.00

Table 3: Locations vs. acceptability 005

© 2018 NMMU and DoHS climate and topology) of Magolok- Acknowledgement mation, 25(3), pp. 142 – 147. This paper was originally written for the weng and Bulfontein (see Figure Ngowi, A.B. 1997c. Improving the tradi- TERRA2016Lyon XIIth World Congress 3) differ while the cultural contexts tional earth construction: a case study on Earthen Architecture. The paper (typology, morphology and cultural of Botswana. Construction and Building was not previously presented and was identity) do not differ. See Figure 2 reworked for a South African audience Materials, 11(1), pp. 1 – 7. for the distribution of local Sesotho at the 2016 Human Settlements Confer- Oliver, P. 2003. Dwellings: the vernacu- speaking groups in the Free State ence in Port Elizabeth. lar house world-wide. London: Phaidon. Province. References Rapoport, A. 1969. House form and The recommendations are that Ajzen, I. & Fishbein, M. 1980. Under- culture. Englewood Cliffs, NJ: Pren- training efforts should be focused standing attitudes and predicting social tice-Hall. behavior. Englewood Cliffs, NJ: Pren- on identifying the current building Rural Development and Land Reform. tice-Hall, Inc. culture (what people prefer and 2014. P-System [online]. Available from: what is commercially and naturally Archibald, A.J., Crosby, A.J.T., & Patty, [Accessed: 14 R.L. 1948. Cheap building by pisé de October 2014]. available in the areas). Another terre methods. SA Institute of Race Schall, R. 2014. (Professor: Department factor that should be considered is Relations. The Natal Witness, Ltd, Piet- of Mathematical Statistics and Actuarial the effect of climatic conditions on ermaritzburg. Sciences. University of the Free State). attitudinal change towards earth Bosman, G. & Van der Westhuizen, D. Personal communication on the use of construction in South Africa. 2014. The effects of climate conditions univariate and multivariate analyses, 2 - on attitudinal change towards earth 30 June, Bloemfontein. 5.0 CONCLUSION construction in South Africa. Acta Struc- The impact of location as a se- Soga, J. H. 1931. The Ama-Xosa life tilia 21(1) pp. 117 – 141. and customs. Lovedale: Lovedale lected part of the physical context Bosman, G. 2015. The acceptability of Press. and home language as a selected earth constructed houses in central ar- part of the cultural context have Steÿn, J.J. (Ed.). 2009. Research eas of South Africa. Unpublished thesis report: a South African renaissance: been used to illustrate the effect (PhD): Bloemfontein: University of the acceptability of sustainable, high quali- that these variables have on the Free State, Department of Architecture. ty, earth constructed public and private acceptability of traditional earth Dent, P. & Nyembezi, S. 1969. Schol- buildings to support local sustainable constructed houses in South ar’s Zulu Dictionary. Pietermaritzburg: economic development. Bloemfontein: Africa. Other variables should be Shuter and Shooter. University of the Free State, Depart- ment of Urban and Regional Planning. considered, but for the purpose Frescura, F. 1981. Rural shelter in of this paper location and home Southern Africa: a survey of the archi- Stoker, D.J. 1981. Steekproefneming language have been used, with tecture, house forms and construction in praktyk. Pretoria: Universiteit van some reference to the influence of methods of the rural peoples of South- Pretoria. the building culture characteristics ern Africa. Johannesburg: Ravan Press. Van Vuuren, C. J. 1983. Die vestigings- and the availability of basic housing Hadjri, K., Osmani, M., Baiche, B., & patroon van die Suid Ndebele. Pretoria: services. The findings suggest that Chifunda, C. 2007. Attitudes towards Unpublished MA dissertation, University of Pretoria. the location influences people’s earth building for Zambian housing provision. Engineering Sustainability, building preferences, particularly if Walton, J. 1956. African village. Preto- 160(ES3), pp. 141 – 149. building materials are locally availa- ria: Van Schaik. ble. Furthermore, people’s choices Knuffel, W.E. 1973.The construction of Ziervogel, D. 1959. Swazi texts. Preto- are influenced by the local building the Bantu grass hut. Graz: Akademis- ria Van Schaik. che Druk. culture, as well as the availability of local building services. Although Linguistic maps of South Africa [on- a minority, some people stated a line]. Available from: Linqhttp://www. muturzikin.com/cartesafrique/1.htm preference for earth construction (to [Accessed 1 February 2016]. be used in their preferred houses). Moore, C., Gerald, A., & Donlyn, L. It can therefore be concluded that 1974. The place of houses. New York: the physical context surpasses the Holt, Rinehart & Winston. cultural context for the accepta- Ngowi, A.B. 1997a. Virtues of construc- bility of earth constructed houses. tion training in traditional societies. This should be considered when Building and Environment, 32(3), pp. formulating different approaches 289 – 294. for training and construction efforts Ngowi, A.B. 1997b. A hybrid approach within different locations. to house construction: a case study of 006 Botswana. Building Research and Infor-

© 2018 NMMU and DoHS SUB-THEME 1: ARCHITECTURE AND URBANISM Beyond gentrification? Exploring the possibilities of inclusive transformation in inner city Johannesburg Amira Osman | Tshwane University of Technology, Department of Architecture Marrit van der Schaar | Tshwane University of Technology, Department of Architecture

Abstract This paper presents gentrification trends in inner city Johannesburg – with a focus on Jeppestown – the impact on the city inhabitants and how inclusive development in the inner city can be achieved.

This will be done through a literature review and a comparative study between two developers in the Jeppestown area in Johannes- burg: Bjala and Propertuity. Several research questions and themes will aim to unpack these issues:

▪▪ Does renewal, upgrading and greater investment in the city always lead to displacement? Have higher-level city strategies and project level innovations led to the retaining of the original inhabitants?

▪▪ What are the characteristics of a gentrified neighbourhood and how can the positive characteristics benefit larger segments of society? Can mixed-use residential upgrades be achieved where transformation is dynamic enough to allow for diversity of inhabitants (demographics in terms of gender, age, family structures, income levels), as well as various forms of tenure, spatial arrangement, layouts, size over time as markets change, general economic changes and family structures changes?

▪▪ What is the approach of the developers in Jeppestown, Johannesburg and who do they target? Are there developers that have been able to retain existing communities and how have they achieved that? How do the developers try to create and integrated community?

▪▪ What are the demographics within the renewed areas in Jeppestown? Is there evidence of social exclusion of certain groups?

1.0 INTRODUCTION existing policy, financial models, de- information on Bjala used in this Jeppestown,Johannesburg is a velopment and design approaches. article has been found online and in publicly available reports. Propertu- highly contested and highly desira- It is important to investigate wheth- ity on the contrary were open with ble location in the inner city. There er developments in Jeppestown sharing information and provided us is evidence of this in the numerous have led to the retaining of the with a census carried out by their developers that operate there, as original inhabitants, and ensuring organisation. However, the objectiv- well as the many who have occu- affordability, while still making busi- ity of the census may be a concern. pied its buildings and spaces for ness sense for investors and local The census contained demographic residential and other activities. government agencies, as well as information of 200 contracts, when There is also evidence of this in the identifying how can the roles of the in fact almost 600 units were sold many conflicts that arise between city, wider city residents, specific or rented out in 2015 and 1 325 inhabitants, developers and the city neighbourhood residents and finan- in 2016. Furthermore, the census authorities – these are well docu- cial institutions be conceptualised to outcomes seem to strongly support mented in the media. The area has allow for ease of access for diverse the vision of Propertuity, when in been witness to major evictions and groups of people. displacements over many months. fact our qualitative researchshows 2.0 INFORMATION outcomes which are not so straigh- Two developers in particular have GATHERING forward. Information has also been made an impact on the image of We have approached both develop- gathered via personal observations this part of the city, namely Bjala ers for this research. There was a and work experience in the area. and Propertuity. The comparison stark difference in responses. Our between the two developers will re- experience is that Bjala were not flect on approaches taken towards forthcoming with information. All the 007

© 2018 NMMU and DoHS 3.0 GENTRIFICATION AND sion or origin.” (Jacobs, 1961). The retail prices and property prices. URBAN RENEWAL “new” residents moving in, with their The pioneers sell their houses to Gentrification and urban renewal new interests in arts and eateries, the next generation. The renewal of are terms that are often used when are not always welcomed nor ac- the neighbourhood is complete and looking at the redevelopment of cepted: “the voices they amplify are gentrification has set in. inner cities around the world and the upper-middle class people… Gentrification in this sense is seen have differing meanings. In order You have artists coming in”, using as a negative phenomenon, often to understand what is happening in the neighbourhood “as their portfo- changing the identity (Vigdor, 2002: the inner city of Johannesburg, it is lio, and then force us out” (Moskow- 135) of a neighbourhood completely important to investigate the differ- itz, 2017). The author also quotes: and forcing the original inhabitants ence between them. “There’s an unconscious collabo- of the neighbourhoods to move to ration between artists interested in Urban renewal is defined as “a other less expensive neighbour- living in gentrifying cities, and the process in which the state or local hoods. The changing socio-eco- market forces and developers who community seeks to bring back nomic status of households in a benefit from them.” investment, employment and con- neighbourhood is seen as the root sumption to enhance the quality Smith and Williams (1998: 189) cause for the displacement of the of life in an urban area” (Couch, define gentrification as “middle- and poor. Although this perception of 1990). Collins dictionary defines it upper-class movement into and gentrification dominates, (Vigdor as: “the process of redeveloping renewal of neighbourhoods that had (2002: 135) argues that there is no dilapidated or no longer functional experienced disinvestment and de- evidence that gentrification neces- areas.” The term urban renewal cline.” Visser (2003: 80) describes sarily displaces the poor. Positive emerged after the deindustriali- processes of gentrification as a outcomes of gentrification are often sation of cities and more specifi- “complex and varied form of urban overlooked. New investors bring cally after the Second World War. regeneration”. It is explained that new attention to deprived areas, During the 1970s, many inner cities “gentrification has come to mean a contributing positively by decreas- experienced socioeconomic de- unit-by-unit acquisition of housing ing crime rates, increasing job cline. Governments tried to ad- which replaces low-income resi- opportunities and bringing diversity dress this via several programmes dents with high-income residents, into a neighbourhood. When this and projects aiming to bring back and which occurs independent of diversity is preserved, the poor may investors to the inner city. Wheth- the structural condition, architec- actually benefit from the gentrifi- er or not people always are being ture, tenure or original cost level of cation (Charles, 2003: 167 – 207); evacuated from their homes while the housing (although it is usually Misra (2017) however, does not urban renewal is taking place is not renovated for or by the new occupi- believe that this diversity, perceived clear. Some definitions do state that ers)” (Visser, 2003: 81 – 82). Visser as being superficial and aesthetic, urban renewal entails the clearance continues to explain the possible always leads to more interaction of slums, others don’t. reason there is limited South Afri- between different groups: “If we There is no clear definition of gen- can literature on the topic, as there think that mixed-income, mixed- trification. The first signs of gentri- have been limited gentrification race communities are the panacea fication were written about by Jane activities up until the early 2000s. for poverty, they’re not.” However, this scenario is quickly Jacobs in her book ‘The death and The process of gentrification grad- changing in South African cities, life of great American cities’ (1961) ually changes the characteristics and this has become a topic that which portrayed how artists moving and inhabitants of an area. In the needs deeper interrogation. into affordable space in inner city period after democracy in South neighbourhoods, with increased Today gentrified neighbourhoods Africa, much capital invested in buying power, generated changes are often characterised by coffee cities shifted to centres outside in entrepreneurship patterns and shops and cafes, places where of the traditional city centres and social cohesion. Jacobs believed freelancers can work behind to the suburbs. Developers are that this led to less diversity and their Macbooks with a latte, de- now seeing an opportunity to start more homogeneity in the resident signer boutiques, organic food investing again in the inner city profiles and caused the demise of stores (Kohli, 2015). New shops and trying to attract new clients a key ingredient for positive urban and stores would attract different with higher spending power. This is settings:”… human contact, side- people; often people who have coupled with a desire by people to walks, mixed use, low rent, and au- more to spend or who are willing avoid wasting commuting time and thenticity as a democratic expres- to spend more – leading to higher desiring to live a different form of 008

© 2018 NMMU and DoHS life than that offered by the suburbs. phenomena. Cetin and Has (2014: changed from a city for the rich and In other words, there are both eco- 52 – 55) believe that these type famous, to a place for the poor and nomic and social factors that lead of conflicts in cities are the result displaced and is currently going to gentrification processes in South of neo-liberal urban policies and a through further transformation as Africa. Gentrification can therefore reflection of the resilience of local the ‘new place to be’ for the young be perceived as an opportunity and communities in opposing govern- and entrepreneurial. liberation for many, as well as a ment investments, and government “White flight and black influx” char- source of concern of displacement collusion with the private sector acterised many South African city and exclusion for others. “towards a re-configuring of the centres in the post-Apartheid era spatial economy to the benefit of a Visser (2003: 94) argues: “Gentrifi- and when restrictions enforced on specific section of society instead cation in the South African context the black population were no longer of all urban actors… architecture does not need to take on the typical in place. South Africa has also seen and urbanism can be considered as Anglo-American form in which it is great change in terms of influx of spatial dimensions of an ideologi- generally closely associated with Africans from neighbouring coun- cal war of different interest groups black-white displacement pro- tries. Johannesburg has become in cities… this struggle manifests cesses. On the contrary, in San a city of great diversity in its urban itself as the polarisation between Francisco black gentrification has population. corporate sector and public… been in evidence for some time”, governments [that] use planning as The urban renewal, which is taking stating that something similar could a means of capitalist control over place in many parts of the inner be happening in South Africa. The urban (public) space… space is city, is now focused on establishing author explains that there is a “long an instrument of resilience through a mixed-use environment of retail tradition of portraying working-class accommodating multiple identities and housing. In some cases this urban blacks as the victims of gen- in a single space on the one hand, has happened due to pioneering trification” as compared to literature and spreading the identity of ‘diso- individuals and companies, but has that presents blacks as agents bedience’ in multiple spaces on the also been greatly encouraged by fo- of gentrification (ibid: 94 – 95). other.” cussed and targeted policy chang- Despite this optimistic view, the ra- es, regulatory facilitation and fiscal cialization of disadvantage in South State sanctioned developments incentives. This is well documented Africa is not something that can be mean that “small players” in the by Gerald Garner (2011) in his denied. Race and class will advert- built environment, and their live- book, ‘Johannesburg, Ten Ahead: a ently enter into any discussion on lihood strategies, are disrupted. decade of inner city regeneration’. gentrification (White, 2015). On the opposite of this approach The most well-known examples of is inclusive transformation which Indeed, Visser (2002: 422) says: urban renewal and intensive private promotes policy, legal and finan- “the rather grisly question arises, investment are Braamfontein and cial models that are inclusive and as to whether we dare to argue Maboneng. Braamfontein is known equitable. Space and planning bluntly against gentrification… on for its student population and Mabo- are therefore highly political in the the grounds of displacement of neng is known for being a hub for manner in which they affect the the few?” Buntin (2015) says that artists, hipsters and tourists. residents of cities. gentrification very rarely has the These transformations inevitably re- negative effects of displacing disad- 4.0 INNER CITY sult in changes in the profile of the vantaged blacks and believes that JOHANNESBURG inhabitants – sometimes benefiting this is a widely held perception with The inner city of Johannesburg the original inhabitants through no evidence to prove it. Buntin iden- transformed from being an admin- the diversity offered and increased tifies the real problem as extreme istrative and commercial hub to be- access to jobs and facilities. Yet it poverty in cities and not necessarily come characterised by the exodus can also result in some displace- as gentrification as a phenomena, of companies and an influx of peo- ment and lack of affordability and believing that gentrification is linked ple occupying the empty buildings the gradual “pushing out” of less to decrease in poverty levels. legally and illegally. This transition privileged groups. What is inter- was accompanied by a rise in crime However, it is important to note that esting is that this process would and negative perceptions, seeing there are very real conflicts in city be labelled as gentrification in the many inner city areas become arising because of competition for Northern cities, but in South Africa it “no-go” zones during the 90s and space which is perceived as being seems to be labelled as regenera- early 00s. However, it is also char- desirable in terms of location, qual- tion (Lemanski, 2013: .5) acterised by great dynamism and ity or opportunity. This is a global 009

© 2018 NMMU and DoHS Sometimes, displacement is less transport modes. But Jeppestown Propertuity is to create an inclusive subtle and happens through forced is also known for being in the news neighbourhood. By focussing on evictions. Despite the Act (Pre- numerous times because of its general good principles of street in- vention of Illegal Evictions from disputed evictions (developers and terface, furniture, cleaning, paving, and Unlawful Occupation, of Land) property owners argue that they planting, lighting, as well as using (1988) which outlines the law- have followed legal procedures). murals and other art forms, they ful procedures to be followed for With trendy Maboneng in the vicini- have changed the identity of the evictions to benefit both the owners ty and a medley of interesting build- neighbourhood. The tagline “Bring and illegal occupiers, there are ings and infrastructure with great City Back” (Propertuity, nd.) states claims that a blind eye is turned capacity for reuse and rehabilita- clearly what they are aiming for: when inner city residents are being tion, Jeppestown is being eyed by Bringing the city back to its glory evicted with no notifications and no private developers and investors, days and to the people. Propertuity alternatives offered in terms of ac- and the city does not seem to have owns 70 buildings at the moment in commodation. At the very least, the a clear strategy for addressing the Johannesburg and Durban. A third tensions that are arising due to the resulting upheaval to local commu- of those buildings are situated in very poor and more wealthy com- nities who already live under dire Maboneng (Anderson, 2016). peting for space in the city does not circumstances. The area is subjected to a level seem to receive enough attention It is worthwhile to consider two of surveillance and is cleaned (Pilane & Moosa, 2015). developers in the Jeppestown area and serviced by the developers The Socio-Economic Rights Insti- in Johannesburg who seem to have themselves. There is a school with tute (SERI, nd.) is a good resource vastly different approaches, and opportunities for smaller businesses on evictions in general – and the this is reflected in the image por- on its perimeter – however, these battles poor communities face trayed by the two precincts. Bjala are mostly closed and unoccupied. towards claiming space in the inner and Propertuity both operate in this The weekday reality is very differ- city. However, other reports also area. ent, as the suburb appears to be explain the difficulties of obtain- empty, as compared to the week- By analysing the business model, ing hard evidence with regards to ends when the neighbourhood is the characteristics of the develop- evictions in Johannesburg (Social flooded with visitors to the restau- ments, the demographics within the Housing Foundation and Urban rants, cafes, food markets and art developments and through person- Landmark, 2010: 31): “We found venues. During the weekends, the al observations, the difference in that there are more lease cancel- suburb is buzzing with food mar- approach and the degree of gentrifi- lations than evictions, with people kets, exhibitions and a clientele cation could be assessed. leaving voluntarily, as well as illegal that seems to be highly affluent and evictions in the form of ‘constructive 6.0 MABONENG/ powerful – judging by the types of evictions’ (lock-outs and services JEPPESTOWN, cars and the costs they are willing cut-offs) that are being used by PROPERTUITY to pay for services, food and drink. landlords to get non-paying ten- The neighbourhood of Maboneng While Propertuity is focusing on ants out of properties, rather than is very popular among tourists and an inclusive neighbourhood real following legal process. This was young professionals. A highly rated estate, prices are increasing due to corroborated by the Chairperson backpackers operates in the area, popular demand of the lofts, rents of the Gauteng Rental Housing and many young foreigners are are increasing. The restaurants and Tribunal, who stated that cutting making Maboneng their base to shops located in Maboneng are of- electricity and lockouts were a com- explore the wider city context. ten exclusive and therefore exclud- mon occurrence and these forms Young people living in South Africa ing lower income groups to pass of ‘constructive eviction’ worked move to Maboneng for the attrac- time in the precinct. This is support- most of the time to get non-paying tion due to an identity of being a ed by the income levels Propertuity tenants out of properties, however hip, cool and creative neighbour- is aiming to provide affordable illegal it is.” (ibid: 5) hood. This identity wasn’t there be- housing for: between R12 000 and fore the Propertuity initiative. Prop- 5.0 WHY JEPPESTOWN? R30 000 a month. At the moment ertuity develops empty industrial Jeppestown is one of the older Maboneng is 70% residential, and buildings into lofts and apartments. parts of the inner city of Johan- Propertuity is aiming to get a critical They sell these apartments, and nesburg. It contains historic build- mass of 20 000 people living and/ the owner can then decide to rent ings and is known for its industrial or working in the precinct by 2020 out these apartments. The vision of heritage, hostels and proximity to (Anderson, 2016; TUHF, 2015). 010

© 2018 NMMU and DoHS According to the census carried living in each unit. It supports the Propertuity has also teamed up with out by Propertuity itself, 53 build- statistics of the census that most SPARK schools to introduce a pri- ings will be redeveloped by 2017, people who are moving to Mabo- mary school in the area in line with containing 197 878 square meters neng are single. According to the the vision of Propertuity: innovation of which 83 518 square meters census most units sold or rented and inclusivity. The SPARK school are residential (Propertuity, 2016). are in the 0 – ZAR500 000 (45%) has opened its doors in January This would mean that only 42% of and 0 – R2 000 (27%). This also 2015. SPARK stands for Service, the property is residential in 2017, underpins the average square me- Persistence, Achievement, Respon- 32%, in 2016 and 20.5% in 2015. ter size per unit. It is also interesting sibility and Kindness. It aims is to These numbers are not in line with to see that the other popular price deliver internationally competitive the targets stipulated by Propertuity range is from R3 500 – R4 500. scholars and be affordable to the above. From the census we can see that country. Their education system is ownership is dominated by white online based. The tuition fee is R1 One starts to question: How many people (47%), whereas the tenants 910 a month (Spark Schools, nd.). people have been brought into the are mainly black (66%). area? What is the profile of these RBM Holdings has now bought a people in terms of income levels? The census also showed a map third of Propertuity, which is be- What are the rental prices and sizes of the density and use of buildings lieved to allow Propertuity to scale of the apartments/lofts? Are there within a certain part of Maboneng. up its urban renewal plans. They publicly available numbers and It contained buildings that are not can now start to create neighbour- statistics? owned by Propertuity as well. From hoods instead of precincts (Ander- this map, the heat map, one can son, 2016). It will be interesting And how did Propertuity obtain the conclude that the area is mainly to see what the influence of extra buildings, where there evictions? commercial. 37 buildings from the investment will be on the develop- Propertuity, who initiated and de- 109 have a residential occupancy ments of Propertuity. veloped Maboneng, have denied rate of 50% or higher. vehemently in the media that they 7.0 JEPPESTOWN, BJALA have ever engaged in evictions de- This means that after office hours Bjala Property is another private spite scepticism from many circles and during the week, the neigh- development company operating in – claims of evictions are unverified. bourhood is relying on people living Jeppestown, Johannesburg. They Maboneng is perceived as a “sym- and working in the area creating a aim to develop housing in dilapidat- bol and a scapegoat” (Nicholson, different atmosphere to the pre- ed industrial buildings for low-in- 2015). Propertuity emphasise that cinct. From our observations, the come to affordable housing. When the buildings they buy are always streets seemed very quiet, leaving redeveloping a building, Bjala has unoccupied. The precinct is ex- one with a sense of feeling unsafe. a policy of first prioritising tenants panding at a fast rate. Some areas are also very dark at from the local area, who earn below night. Only the streets with a high According to the Propertuity census a certain threshold, then tenants residential density are well lit. (Propertuity, 2016), 200 contracts from outside the area can apply, but (out of an estimate total number of There are measures being taken by they need to earn above a certain 600 contracts) have been analysed Propertuity towards achieving an in- threshold and need to give back on ownership, rental, age, race, life- clusive neighbourhood. Workshops to the local community in any way style, and property or rental price. held in April 2014 in Maboneng (BJALA, nd.). It is interesting that These contracts have randomly on the perception of people living this threshold is not mentioned on been chosen according to the in and outside Maboneng of the their website. Neither does it state document. The outcomes seem to precinct showcased that there was if they have needed to relocate support the vision and public image a lack of public spaces. Particular people who lived (legally or illegal- Propertuity wants to portray. green spaces, supermarkets, play- ly) in the buildings which are being grounds and a community centre upgraded. When looking at the demograph- were mentioned. In the interview ics in Maboneng we can conclude Bjala likes to refer to themselves with Business Day Live, Jonathan from the census that in 2015 939 as “urbanists” rather than devel- Liebmann, CEO of Propertuity, people have moved to Maboneng opers – the website states that mentioned that Propertuity is now and 8 589 people are working in Bjala is a “social urban enterprise adding more convenience features the area. As stated above there are developing solutions to urbanisation to Maboneng such as a grocery 588 units developed in 2015 with an challenges: “We create innovative store and a gym (Anderson, 2016). average of 38.7m2 and 1.6 people products and holistic solutions aimed at low-income communi- 011

© 2018 NMMU and DoHS ties”. Bjala Property has delivered like TUHF use “punitive financing”, development does have a different 67 high quality affordable housing in the sense that they lend develop- approach. One Eloff, in Marshall- units (from R3 200 a month) at ers working with affordable housing town, is a development with very Bjala Square in its first phase and at higher rates than the banks. affordable apartments with a focus aims to provide a superior product on young professionals rather than It is difficult to understand how to what is currently on offer for the students. the aims of Bjala can be achieved affordable housing market for lower without significant government In Hillbrow, individuals with the and middle-income groups (Mafadi, support: “In the inner city of Johan- support of TUHF have upgraded nd.). Phase two is nearing comple- nesburg, TUHF stated that rentals many buildings and houses. Their tion (TUHF, 2015). Their mission is were mainly in the range of R1 500 business model is very interesting to ultimately deliver 3 000 low cost to R3 000 per month, and that the to comparison with other private innovative housing units (BJALA, cheapest rental, in order to enable developers; low-interest loans are nd.). cost-recovery by the landlord, is obtained to be able to buy a build- Bjala focuses on “people” as a criti- R650 per unit per month, for a room ing and upgrade or transform it. All cal ingredient in urban renewal – as in a housing development where of them target low-income groups the “software”. This can be seen the capital cost of provision was who often live in the neighbourhood through the projects like Streetlight funded by government.” (Social or adjacent neighbourhoods who School and the rooftop garden Housing Foundation and Urban are not able to find an affordable that Bjala supports. The Streetlight Landmark, 2010: 27). place to live in town (TUHF, nd.). School is situated in Bjala Square 8.0 OTHER 9.0 COMPARISONS AND and has the goal to address South DEVELOPMENTS IN DISCUSSION Africa’s education crisis through THE JEPPESTOWN, We have asked the developers low-income primary schooling JOHANNESBURG AREA Propertuity and Bjala to give us (TUHF, 2015). Bjala and Streetlight It is interesting to see how the some insight in their projects, the Schools (nd.) share the vision of developments in Braamfontein and questions mainly focussed on the creating a completely integrated Maboneng have spurred a new demographics of their tenants educational path starting with child- wave of urban renewal. and buyers. Bjala did not provide hood development and moving on Salt City is owned by Dawie Swart. any information, while Propertuity to primary, secondary and tertiary He has a vision for his part of provided a census which seemed levels. Streetlight school fees are Jeppestown: “People will want to to reinforce their own vision and R60 per month. live, where they’ll feel invested in marketing strategy. However, the streets still seem the neighbourhood” He compares it Both developers are rather secre- empty/abandoned, except for the to Maboneng although his buildings tive about their plans and who is ac- occasional group or individuals, are situated a bit further from the tually renting or buying from them. and the buildings are boarded up actual CBD of Johannesburg. The The question rises if they have (in with no real street interface being company owns two buildings that depth) insight in the demographics created – not even in the signa- are renovated to low-income apart- within their developments or if they ture building of Bjala Square. The ments. Salt city aims to have 260 are just not willing to share this surrounding buildings follow suite apartments, all for low-income earn- basic information. It is assumed that with no street presence. The Bjala ers. The units vary from R3 500 for the information should be available website also does not explain how 2 a two-bedroom (38 – 42m ) to R2 as anyone buying or renting a prop- they are able to retain the existing 2 800 for a one-bedroom (25 – 28m ). erty needs to fill out contracts and communities nor how can they The developments have all been forms containing basic information make this into a financially viable financed by TUHF (TUHf, 2014). such as education level, income business model – especially as Marshalltown is the newest neigh- and age. Lack of information makes in personal communication, they bourhood where developers are it more challenging for research- claim to use maximum salary investing in transforming former ers to draw objective conclusions criteria to permit people to rent in industrial buildings to apartments. whether or not the developers are their properties. How can a private The marketing of these buildings able to obtain the set goals of cre- developer achieve this unless it is is similar to what we have seen in ating an inclusive neighbourhood funded by grants or subsidies such Maboneng and Braamfontein. They without the negative effects of gen- as those used for social housing have food markets in the week- trification. It is concerning that this programmes? A Bjala representa- ends, murals and attract young information seems not to be used tive laments the fact that agencies 012 professionals to meet up. But each for management of projects and

© 2018 NMMU and DoHS future planning. It is also informa- and invite people from surrounding afford the resultant increase in tion that could be used as a regula- areas into the precincts Maboneng costs that accompanies new tory target if certain conditions are has implemented several projects. developments. enforced by city authorities for the Green spaces with seating areas ▪▪ A different approach to appropri- granting of development permits. have been developed and the out- ation of existing properties, as door gym is attracting public. The Such information could also be well as new projects in inner city development schools by Bjala and used to reach the target group and infill sites, which aims towards SPARK are interesting to witness. to adjust strategies. The information rental differentiation within the It seems that Streetlight schools can also be used to attract certain same developments. There are doing a better job in terms of investors, companies and retail in are design and financial tools being accessible; their tuition fees order to strengthen the develop- to be able to achieve this and are much lower than the SPARK ment. The future development and would make sense equally to tuition fees. But they are a vital part sustainability of the urban renewal government, as well as private of creating a neighbourhood for is depending on this information as investors. The authors argue everybody, young and old. well. From developments in Europe that strict level/system separa- and the USA we can learn that It is evident that higher-level city tion need to be fully explored management during and after the strategies lead to change and in South African cities – with urban renewal process is as impor- project level interventions that may particular focus on the Johan- tant as the urban renewal in itself. be perceived as being positive inno- nesburg inner city. vations or negative disruptions and We have questioned whether urban This latter point will facilitate mixed- exclusionary. The crime and grime renewal, upgrading and greater use residential upgrades which linked to the decline of inner cities investment in the city must always are dynamic enough to allow for is a global phenomenon at certain lead to displacement – in direct or diversity of inhabitants (demograph- points in their history. The strate- indirect ways. We have also ques- ics in terms of gender, age, family gies in the form of legislation and tioned whether developers have structures, income levels), as well financial incentives that are used been able to retain existing commu- as various forms of tenure, spatial to address that do not address the nities and through what means this arrangement, layouts, size over tensions that arise and the competi- has been achieved. However, the time as markets change, general tion that emerges for city space and answers are not always available economic changes and family struc- opportunity. This is very evident in and evidence is difficult to obtain. tures changes. inner city Johannesburg. The particular image portrayed by There are systems which aim to the developers is also a carefully While it is important to retain of the manage the “messiness” of com- considered part of their unique original and new inhabitants of the plexity in the built environment in marketing strategies and approach- inner city, it is equally important to a democratic manner (ETH, Zu- es to the inner city. In the case of ensure that developments make rich, 2015; Osman, 2015(a) and Bjala, the street image seems to business sense for investors and 2015(b)). By separating the levels be at odds with their intentions of local government agencies; identi- of the built environment to avoid people-focussed developments. In fying how the roles of the city, wider conflict, spreading and delegating the case of Maboneng, the empty city residents, specific neighbour- design decision making to groups weekday streets and closed shops hood residents, financial institutions and individuals over time, small and also seem to be at odds with claims can be re-conceptualised to allow big players are given opportunity to that they have attracted a diverse for ease of access for diverse equally participate. It also allows for group of people to the area and groups of people. all public domains and structures to provided for a mixed use set up – To achieve these, seemingly con- be equally accessible, shared and which would be evident if diverse flicting intentions, two things are used by everyone, irrespective of functions operated throughout the essential: income level. Within this broader day. This conclusion can also be public and shared domain, much drawn from the heat maps in Prop- ▪▪ A government-supported de- variation may be achieved. There ertuity’s Census. Vibrant street ac- velopmental agenda to guide are legal, financial and design tools tivity during the weekends is also a investment in the inner city, with to implement this. case of “private space disguised as an understanding that prime public space” (Asmal, 2015: 101). locations and access to oppor- A Bjala representative stated, when tunity cannot only benefit the it was suggested that they exper- In terms of interventions in the pub- investors and those that can iment with an alternative method lic space to create more interaction 013

© 2018 NMMU and DoHS of delivery: “It is a luxury we can’t implement the basics like plumbing UIA. 2014 Durban Congress Proceed- afford”. In reality, agencies such as and electricity and would then rent it ings, XXV World Congress of Architec- Bjala cannot afford to keep design- out for a very low rent. This means ture, 3 – 7 August 2014, Durban, South Africa. pp. 52 – 58. ing/building/renovating in the same that government subsidies may be conventional way used in the support infrastructure Charles, C.Z. 2003. The dynamics of rather than the infill. It also means racial residential segregation. Annual 10.0 CONCLUSION AND Review of Sociology, vol. 29, no. 1, pp. that a new industry may emerge RECOMMENDATION 167 – 207. where bigger construction compa- The developments in Maboneng Couch, C. 1990. Urban renewal: theory nies provide the support infrastruc- and Braamfontein have definitely and practice. 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© 2018 NMMU and DoHS SUB-THEME 2: HUMAN SETTLEMENTS PLANNING, DEVELOPMENT AND MAINTENANCE Environmental sustainability: Impacts of construction activities Oke Ayodeji | University of Johannesburg, Department of Quantity Surveying & Construction Management Clinton Aigbavboa | University of Johannesburg, Department of Quantity Surveying & Construction Management Zanele Madonsela | University of Johannesburg, Department of Quantity Surveying & Construction Management

Abstract: As a result of pollution, deforestation and other environmental challenges, construction process and activities have contributed in no small measure to environmental degradation. One of the fundamental tri-pod of sustainability is keeping the environment safe for the inhabitants. This study therefore examines the impact of construction activities on the environment with a view to highlighting mitigating approaches and their enforcement strategies. A quantitative research methodology was adopted, and a convenient sampling technique was employed to gather from primary sources. Questionnaires were administered on construction professionals, that is, architects, quantity surveyors, engineers, safety officers, as well as construction and facility managers. Construction activities impact badly on the environment due to waste generation, resource consumption (such as water, electricity and fuel consumption during the construction process), noise pollution, air pollution due to dust from construction activities, as well as bad odours from large diesel powered vehicles/construction machinery. Although, some of these impacts cannot be completely eradicated, there are a number of approaches that could be used to mitigate them. These include Environmental Impact Assessment (EIA), green building (sustainable construction), Quantitative Risk Assessment (QRA), Environmental Management System (EMS) and Environmental Protection Agency (EPA). Therefore, an effort should be made by government and construction stakeholders to efficiently incorporate and enforce the available approaches/initiatives through constant monitoring of the construction process from start to completion and legislative laws that spell out punishment as response to violations. Awareness, learning and trainings of construction stakeholders on the impacts of building construction activities on the environment is also recommended.

Keywords: Construction activities, Construction Industry, Environment, Green building, Sustainable construction.

1.0 INTRODUCTION her citizens, the resulting environ- tal impacts is Environmental Impact onstruction activities involve mental damages may affect human Assessment (EIA). EIA is defined consumption of various health and ultimately undermine the as a process that assesses and form of resources including economic development and growth. evaluates possible impacts of activ- C Therefore, it is imperative for the ities before the commencement of a raw and finished materials that are derived from various sectors of the construction industry to always take project or development with a view environment. The impact of these into account the environmental to plan and mitigate the possible activities on the environment cannot impacts of construction activities impacts (Murombo, 2008: 8). This be over-emphasized. In this re- as an important factor of project helps managers and concerned gard, ways of controlling, managing success. According to Tam, Tam stakeholders to make decisions on and reducing these environmental and Tsui (2004: 9), the construction whether the project or development impacts have been developed and industry plays an important role in should proceed and on the required implemented from time to time. meeting the needs of any society, condition for the project to proceed. Construction project performance as well as enhancing the quality of Over the years, a number of other and success has traditionally life of people. However, the respon- approaches have been adopted been measured in terms of dura- sibility for ensuring that activities in various sectors of the economy tion, cost and quality. According of the industry and its products including the construction industry to Gangolells, et al. (2011: 558), are consistent with environmental (Fuertes et al., 2013; Dong & Ng, the environment has become the guidelines, standard and policies 2015; Ametepey & Ansah, 2015). fourth variable. Fuertes et al. (2013) is an aspect that still needs to be These include: Environmental Pro- stated that while economic devel- defined. tection Agency (EPA), Environmen- tal Management Systems (EMS) opment of a country can lead to an One of the approaches that is and Life Cycle Assessment (LCA). improvement in the quality of life of widely used to reduce environmen- 016 All the approaches have different

© 2018 NMMU and DoHS purposes, functions and procedures of a very high volume of natural such things as soil alteration and to implement them. However, one resources and the generation of excessive use of resources. Gan- thing they have in common is that a great amount of pollution. This golells et al. (2011) stated that one they are all important tools for con- is as a result of energy consump- of the critical issues that involve the servation of the environment. tion during extraction, preparation, greatest level of uncertainty is in the transportation and usage of raw identification and assessment of en- The Government plays an impor- materials. vironmental impacts. It is important tant role in this regard, in terms of to begin with identifying the impacts commitment towards the different 2.2 The environment and followed by the assessment. approaches through appropriate According to Smull and Bourne legislations. According to Murombo (2012) every human being re- Dong and Ng (2015) noted that due (2008), the South African govern- sponds to the environment in which to the various challenges involved ment has put into practice environ- they find themselves in different with the building of construction mental legislation for sustainable ways depending on their level of activities, including differences in lo- use of resources and conservation satisfaction by what surrounds cality, site, parties involved, as well of natural resources, which ad- them. Certain things must be pres- as the tolerance levels, it makes dresses social, economic, and ent in the environment and others it difficult to predict, manage and ecological issues. The implementa- must cease to exist for human be- address environmental impacts. tion of laws and policies provided in ings to be satisfied or content in any There are a number of approaches/ this regard is of great importance, environment. When an environment initiatives that aid sustainable use as it helps with the enforcement of is harmful or extremely unpleasant, and protection of the environment. the approaches. Wasserman (2011) it is what the environment allows or These include EIA, EMS, EPA, states that full implementation of accommodates that causes peo- LCA, Environmental Management these approaches do not entirely ple to have complaints about the Framework (EMF) and Green Build- lie with the Government. Public environment. The typical emotional ing (Sustainable Construction). participation is also necessary for response to a harmful or unpleas- According to Fuertes et al. (2013), the actualisation. In this study, the ant environment is either anger some effective approaches relating common environmental impacts of or depression. By paying special to the assessment of environmental building construction activities were attention to people’s behaviour impacts have been largely over- identified and assessed, current ap- and their reaction to certain condi- looked. In order for the approaches proaches to encourage the minimi- tions, issues that are dissatisfying to be efficient and effective, Ame- zation of the impacts were evaluat- about that particular environment, tepey and Ansah (2015) concluded ed and different means to enforce and what needs to change, can be that it does not end with just the the initiatives were also discussed. identified. implementation of the approaches, 2.0 LITERATURE REVIEW While there are some things ex- but enforcement has to be taken 2.1 Construction activities isting within an environment that into account. The enforcement of According to the Gauteng Growth may prove to be toxic or danger- these approaches contains factors Development Agency (2015), the ous, it does not necessarily mean such as monitoring, controlling, construction industry plays a crucial that they will be toxic to everyone maintenance, as well as mitigation. role in the economy of South Africa concerned. Some things are toxic Furthermore, participation in the by providing more than one million and dangerous to some people, but approaches should not be under- jobs and generating revenue of not to others. Consequently, there taken as a once off event, but a approximately R267bn annually. are some factors that are toxic sustained and continuous iterative However, Ametepey and Ansah and injurious to all and cannot be process. An iterative process that (2015) concluded that construction tolerated. When critical aspects of begins with the identification of the activities cause an impact on the what is important to the public are problem, through project concep- environment through the process absent, this will result in making the tion/formulation, and final approval of construction and the life cycle of environment less healthy and less of the project (Murombo, 2008). safe for the people. development. These impacts start Notable environmental issues in- from the initial work on site, through 2.3 Construction activities and clude global warming, energy crisis the actual construction, operational environment and ozone depletion. In order to or usage period and to the final Most countries are faced with many control environmental pollution and demolition or re-use. According to Li environmental challenges due to sustain the development of infra- and Zhang (2010), the construction the construction of different types structure, sustainable development industry is responsible for the use of infrastructure. These include was proposed by the World Com- 017

© 2018 NMMU and DoHS mission on Environment and Devel- the institution. The questionnaire in Table 1 are resource consump- opment (Fuertes et al., 2013). This took approximately 10 minutes to tion (such as water, electricity and was explained as the development complete. The questionnaire made fuel consumption during the con- that meets needs of the current use of clear and unambiguous struction process) and waste gen- generation without compromising language, so as to ensure that the eration. Others are air pollution due the ability of future generations to respondents understood the ques- to dust from construction activities, meet their own needs. tions being asked and therefore noise pollution, destruction of the could respond accurately. Close ecosystem and air pollution due to 3.0 RESEARCH METHODOLOGY attention was paid to every ques- bad odours from large diesel pow- tion so as to make sure that biased ered vehicles/construction machin- A descriptive survey design was questions would be avoided. ery. The least impact is related to adopted for this study because it effects on biodiversity, soil alteration provides an adequate representa- A 5-point Likert scale was adopted and generation of volatile organic tion of the respondents’ character- for enviromental impact of construc- compounds (VOCs) as a result of istics in term of behaviour, opinions, tion activities, as well as enforce- vehicle movements and machin- abilities, beliefs, and knowledge of ment of measures to mitigate the ery used in construction. The SD a particular situation. This design challenge. The scale ranged from values also indicate that there is was undertaken so as to meet the extreme negative, through neutral agreement among respondents in main objective of the study, which value, to extreme positive. Mean the assessment of the factors is to assess the environmental Item Score (MIS) and Standard De- impacts of building construction viation (SD) was calculated using 4.3 Combating environmental activities. The study population are SPSS 21 and the resulting values impact of construction activities professionals in the South African were used to rank the variables in Construction experts were asked construction industry. These include descending order. For measures about the approaches that are in Quantity Surveyors, Construction to combat the impact, respondents place to mitigate environmental im- Managers, Architects, Engineers were asked to select as many fac- pacts of construction activities. Us- and Safety Officers who have tors as relevant and percentile was ing their frequency of selection and the required experience and are used to analyse this aspect and percentage calculated in Table 2, currently involved in at least one rank the factors accordingly. Environmental Impact Assessment construction projects in the Gaut- 4.0 FINDINGS AND (EIA) and Green Building (Sustain- eng region of the country. DISCUSSION able Construction strategy) are the Questionnaires were adopted as 65 questionnaires were adminis- two important initiatives. Others are research instrument for the study tered, but due to non-responsive- Environmental Management Sys- and were distributed using a con- ness of some of the respondents tem (EMS), Life Cycle Assessment venient sampling method. It was and time contstraints, 54 were (LCA), Environmental Management designed such that the respondents retrieved. However, 50 of the com- Framework (EMF) and Strategic could answer the questions with pleted instruments were adequate- Environmental Assessment. No no hassles; straightforward, clear ly completed and certified fit for other approach was specified by and unambiguous language was further analysis. any of the respondents indicating used. The questionnaire consisted 4.1 Respondents’ information that the selected list of initiatives of a cover page, which outlined the Findings from the analysis of the was expansive. topic and purpose of the research, research instrument indicates that Furthermore, steps to be taken to as well as the details of the re- 66% of the respondents are male enforce the approaches/initiatives searcher, followed by other sections and 34% are female with an aver- for the minimisation of environmen- in relation to various objectives of age years of experience of about tal impacts of construction activities the research. Confidentiality and 7 years. 18% are Architects, 32% are indicated in Table 3. These anonymity were guaranteed to are Quantity Surveyors, 12% are include constantly monitoring of the the respondent. Furthermore, the Engineers, 8% are Construction construction process from start to respondents were made aware that Managers, 4% are Facilities Man- completion, enforceability and audit they were not forced to participate, agers, and the remaining 4% are ability of the strategy, linking miti- and that should they have any que- site agents. gation commitments to monitoring ries or comments, or may wish to and legislative laws that spell out know the findings of the research, 4.2 Enviromental impacts of construction activities punishment as response to viola- they are welcome to contact either The basic environmental impacts of tions. Others are transparency and the researcher, the supervisor, or 018 construction activities as indicated accountability in contract admin-

Resource consumption (such as water, electricity and fuel consumption during the construction 4.02 0.829 1 process) Waste generation 3.92 0.709 2 Air pollution due to dust from construction activities 3.72 0.663 3 Noise pollution 3.60 0.551 4 Destruction of the ecosystem 3.46 0.289 5 Air pollution due to bad odours from large diesel powered vehicles/construction machinery 3.44 0.755 6 Generation of greenhouse gas emissions as a result of vehicle movements and machinery used 3.41 0.597 7 in construction Vibrations due to heavy construction machinery 3.35 0.330 8 Generation of chlorofluorocarbon (CFC’s) as a result of vehicle movements and machinery used 3.26 0.608 9 in construction Effects on biodiversity 3.10 0.618 10 Soil alteration 3.08 0.472 11 Generation of volatile organic compounds (VOC’s) as a result of vehicle movements and machin- 2.96 0.995 12 ery used in construction

Table 1: Environmental impacts due to construction activities

Approaches/initiatives Percentage Rank

Environmental Impact Assessment (EIA) 21.39 1 Green Building (Sustainable Construction) 20.86 2 Quantitative Risk Assessment (QRA) 12.30 3 Environmental Management System (EMS 11.23 4 Environmental Protection Agency (EPA) 10.70 5 Life Cycle Assessment (LCA) 9.63 6 Environmental Management Framework (EMF) 7.49 7 Strategic Environmental Assessment (SEA) 6.42 8

Table 2: Approaches to combat environmental impacts

Mitigation method MIS SD Rank

Constantly monitoring the construction process from start to completion 4.46 1.150 1 Enforceability and audit ability of the strategy 4.22 1.137 2 Linking mitigation commitments to monitoring 4.18 1.008 3 Legislative laws that spell out punishment as response to violations 4.15 0.829 4 Strict disciplinary measures from professional bodies 4.12 0.957 5 Organisations to have programs of awareness 3.98 0.656 6 Transparency and accountability in contract administration 3.94 1.026 7 Continuous professional development 3.84 1.025 8 Delegation of tasks 3.71 0.638 9 Appointment of highly experienced construction professionals 3.70 0.812 10 Devising contingency plans 3.70 1.139 11 Checking company profiles and confirming qualifications 3.44 0.718 12 Giving the public and government access to commitment documents 1.08 0.453 13 Making follow up actions 0.46 0.968 14

Table 3: Enforcement strategies for environmental control measures 019

© 2018 NMMU and DoHS istration, checking company pro- include waste generation, resource Gangolells, M., Casals, M., Gassó, files and confirming qualifications, consumption, noise pollution, air S., Forcada, N., Roca, X., & Fuertes, delegation of tasks and continuous pollution destruction of the ecosys- A. (2011). Assessing concerns of interested parties when predicting the professional development. On the tem and generation of greenhouse significance of environmental impacts lower end are giving the public and gas emissions as a result of vehicle related to the construction process of government access to commitment movements and machinery used in residential buildings. Building and Envi- documents and making follow up construction, ronment, 46(5), 1023 – 1037. actions. The approaches/initiatives currently Gauteng Growth Development Agen- 4.4 Discussion used to mitigate these impacts are cy. (2015). Construction Sector fact sheet, 1, Gauteng Growth Development In support of Zolfgharian (2012), Environmental Impact Assessment Agency. some impacts of construction (EIA) and Sustainable Construction. activities on the environment are However, to ensure the enforce- Jay, S., Jones, C., Slinn, P., & Wood, C. (2007). Environmental impact assess- so minor that they may be con- ment of the mitigating approaches, ment: Retrospect and prospect. Envi- sidered as acceptable, whereas the construction process needs to ronmental Impact Assessment Re- some are highly significant and be monitored from start to com- view, 27(4), 287 – 300. cannot be ignored. However, there pletion, legislative laws that spell Li, X., Zhu, Y., & Zhang, Z. (2010). are certain environmental impacts out punishment as response to An LCA-based environmental impact of construction activities that are violations must be put in place, and assessment model for construction significant such as air pollution, there should be strict disciplinary processes. Building and Environ- noise pollution, resource consump- measures of members by various ment, 45(3), 766 – 775. tion, destruction of the ecosystem professional bodies. There should Murombo, T. (2008). Beyond public and waste generation. This is in be transparency and accountabil- participation: The disjuncture between agreement with Gangolells et al. ity in contract administration and South Africa’s environmental impact assessment (EIA) law and sustainable (2011) and Ametepey and Ansah continuous professional develop- development. Potchefstroom Electronic (2015). Previous studies from ment should be encouraged. An Law Journal/Potchefstroomse Elektron- Ruckelshaus (1992), Rendell and effort should be made to efficiently iese Regsblad, 11(3), 1 – 31. McGinty (2004), Fischer (2006), Jay incorporate the above mentioned Rendell, G.E. & McGinty, K.A. (2004). et al. (2007) and Murombo (2008) approaches/initiatives into construc- Environmental Management Systems: revealed that there are a number tion projects right from the inception A guidebook for improving energy and of approaches/initiatives that are stage. Careful consideration should environmental performance in local available in combating environ- also be taken to ensure that these government. Five Winds International mental impacts, both national and approaches are used efficiently and Ruckelshaus, W.D. (1992). The Role internationally. Some of these are according to standard. of Environmental Protection Agency. regulations that should be adhered Boston College Environmental Affairs References Law Review, 19(4), 725 – 730. to so as to protect the environment. Ametepey, S.O. & Ansah, S.K. (2015). In agreement with these authors, Impacts of construction activities on the Smull, M. & Bourne. (2012). The the findings from this study indicate environment: The case of Ghana. Jour- importance of environment. Annapolis: that EIA and Sustainable Con- nal of environment and earth sci- Support Development Associates struction are the most widely used ence, 5(3):18 – 26. Tam, C., Tam, V.W., & Tsui, W. (2004). approaches to combat environmen- Dong, Y. H., & Ng, S. T. (2015). A life Green construction assessment for tal impacts. cycle assessment model for evaluating environmental management in the the environmental impacts of building construction industry of hong kong. In- 5.0 CONCLUSION AND construction in Hong Kong. Building ternational journal of project manage- RECOMMENDATION and Environment, 89, 183 – 191. ment, 22(7):563 – 571. Construction activities impact badly Fischer, E. A. (2009). Issues in green Wasserman, C.E. (2011). Enforcement on the environment. Though some building and the federal response: An of Environmental Impact Assessment of these impacts cannot be com- introduction. Congressional Research requirements, Proceeding of the 9th pletely extinguished, there are a Service, www.crs.gov. (Accessed 12 International Conference on Environ- mental Compliance and Enforcement, number of approaches/initiatives August 2015). 502 – 523. that have been put in place in order Fuertes, A., Casals, M., Gangolells, M., Zolfagharian, S., et al. (2012). Envi- to minimise and control these ad- Forcada, N., Macarulla, M., & Roca, X. (2013). An environmental impact causal ronmental Impacts Assessment on verse environmental impacts. How- model for improving the environmental Construction Sites, Proceeding of ever, enforcing these approaches performance of construction process- Construction Research Congress 2012, has been a major challenge. The es. Journal of Cleaner Production, 52, with the theme Construction challenges impacts of construction activities 425 – 437. in a flat world, May 21 – 23, USA, pp. 020 299 – 301.

© 2018 NMMU and DoHS SUB-THEME 3: SUSTAINABLE LIVELIHOODS A synergy in sustainable rural estuarine human settlements development where natural environment presents opportunities for socio-economic development Tshiphiri Tshivhasa | Eastern Cape Department of Human Settlements

Abstract The South African Housing White Paper set out the vision on the establishment of viable, socially and economically integrated communities, situated in areas allowing convenient access to economic opportunities, as well as health, educational and social amenities. Settlements should also be environmentally sustainable, enable multiple livelihood options and improve the resilience of rural communities to the effects of climate change and other stresses.

To supplement this, coastal regions are known to provide critical inputs for industry including water space for shipping and ports. Also opportunities for recreational activities such as fishing, diving and other raw materials including salt and sand. In all this, the poor are reportedly often underprivileged to take up opportunities, respond or cope with the threats generated by changes on the coast. Some may benefit from diversity of general development programs aimed at rural poverty reduction and community development. Howev- er, in other areas the poorest may be unable to benefit from such development initiatives; especially when such developments involve costs.

The current paper lures international, national and local discussions on the state of infrastructure development, socio-economic activities and available facilities, as well as the adequacy of coastal management systems and plans with specific focus to rural poor residing along estuarine. It portrays how natural environment presents opportunities for sustainable human settlements development and finally recommends a synergy for socio-economic development in rural estuarine.

Keywords: human settlements, rural estuarine, coastal economy, infrastructure, development

1.0 INTRODUCTION OF ization (FAO) embraces the blue tion that there are rural settlements THE DISCUSSION economy concept in the Global nursed with great potential for lue Economy is in line with Initiative on Blue Growth in support socio-economic growth. The latter and mutually supportive of of food security, poverty alleviation is seen to be driven by location of Bthe principles of the Green and the sustainable management such rural settlements in the river Economy concept. The earlier is of aquatic resources. The initiative estuarine, yet the majority of such further a tool that offers specific is a cross-cutting global activity with communities remains impoverished. mechanisms for coastal countries global, regional and national impact to address their sustainable devel- 2.0 CONCEPTUAL on increasing food security, improv- BACKGROUND OF THE opment challenges. The rationale ing nutrition, reducing poverty of DISCUSSION is that three-quarters of the Earth’s coastal and riparian communities The South African Housing White surface is covered by oceans and and supporting the sustainable Paper (1994) set out the vision on seas, which are both an engine for management of aquatic resources, ‘the establishment of viable, socially global economic growth and a key through participatory processes and and economically integrated com- source of food security. actions to improve implementation munities, situated in areas allowing The Food and Agricultural Organ- at local levels. This discussion is convenient access to economic stimulated by the general assump- 021

© 2018 NMMU and DoHS opportunities, as well as health, billion in annual wages in the coast- 3.0 THE FUNDAMENTAL educational and social amenities’ al agriculture, ecotourism, water/ PHILOSOPHY OF THE (DOH, 1994: 19). Settlements wastewater, ports, and recreation DISCUSSION should also be environmentally sus- industries’ (Kauffman, 2011). This discussion seeks to explore tainable, enable multiple livelihood literature on how coastal areas ‘Currently, more than 20 million options and improve the resilience adjoining river estuarine may influ- people live along the Coastal East of rural communities to the effects ence socio-economic opportunities Africa shoreline and this number is of climate change and other stress- of its surrounding community. This expected to double before 2030. es (Sauls, 2016). Rural settlement will be achieved through several Their survival is dependent on the patterns in the world today in view exploratory themes which include: region’s natural resources which of Lewry, (2015) are greatly influ- to investigate how infrastructure are healthy forests, rivers, man- enced by economic forces that may be perceived to satisfy the groves, reefs and oceans’ (Kabubu, have encouraged a steady increase socio-economic development needs 2015). In the same way Glemarec, in farm size and reduction in farm of community residing at rural estu- (2004) reported that, ‘the coast- population. Lewry, (2015) further arine; to determine whether appro- al ecosystem of West Africa are argues that ‘rural settlements priate facilities are associated with highly significant in terms of globally patterns, while still reflecting earlier socio-economic activities in rural important biodiversity. The coastal influences, continue to respond to estuarine; and lastly to ascertain zone supports diverse and impor- the shifting socio-economic condi- the adequacy of available manage- tant ecosystem including rocky tions’. ‘Rural settlements patterns ment systems and implementation shores, sandy beaches, deltas, in Saskatchewan have been greatly plans for the socio-economic devel- estuaries, coastal wetlands, coral influenced by the policies and prac- opment of rural estuarine. reefs, sea grass meadows and tices implemented in the late 19th lagoons. All these types of coastal The objective of this discussion century to promote the spread of ecosystems not only possess a is to lead the development of the agriculture. And the density of rural rich biodiversity, but also constitute conceptual framework for sustain- settlements varies across the prov- important resources upon which able rural estuarine settlements ince. This is influenced by a number the society and the economy are development; to guide planners of factors including the characteris- based’. and policy-makers on linking tics of the physical environment and estuarine to coastal human settle- South Africa River Health Pro- economic orientation of the land’ ments development with the aim to gramme (2015) reveals that, ‘Hu- (Lewry, 2015). encourage planning, development man and economic well-being are Migiro (2010), addressing delegates and implementation of appropriate directly or indirectly dependent on at the opening of World Water Day, infrastructures, that gears-up the the goods and services provided by said ‘the sustainable management participation of rural estuarine com- river systems. For example, people of water resources was vital for munity in socio-economic activities; obtain drinking and irrigating water economic growth and achieving all to mould a prototype for sustainable from rivers. Fish, and reeds may the Millennium Development Goals. rural estuarine settlements develop- be harvested from rivers. Picnics It was also regarded as central to ment, which awards an opportunity held on the riverbanks and bap- public health, food security and sta- for community members to access tisms performed in the river pools. ble societies’. ‘Coastal lagoons are facilities that promotes socio-eco- Some goods and services provided water resources known to support nomic activities; and lastly to by rivers are important for human a range of natural services that are explore the effectiveness of current survival, such as water for drink- highly valued by society, including socio-economic management sys- ing and subsistence fishing. Other fisheries productivity, storm protec- tems and implementation plans in uses of goods and services support tion, tourism, and others’ (Anthony addressing the development of rural social needs and economic growth’. et al, 2009). Kauffman (2011) sup- estuarine settlements. Against this background it is alleged ported this by quoting researchers that coastal line adjoining River 4.0 STATE OF COASTAL who conducted a series of studies. Estuarine award vital opportunities DEVELOPMENT IN The latter indicated that ‘Delaware for socio-economic development of AFRICA River and Bay was worth hundreds its human inhabitants. ‘South Africa is a developing of millions if not billions of dollars country that has a high population two decades ago’. ‘The Delaware density along its long coastline and River Basin was confirmed to be a a high percentage of coastal inhab- jobs engine that supports 600 000 itants living in poverty. Its coastline 022 direct and indirect jobs with $10

© 2018 NMMU and DoHS is over 3 000 km long and is the nities. The Plan stresses that ‘a The term ‘socio-economic’ in this home to millions of inhabitants. The good LED Plan typically calls for discussion signifies the way the point of departure for this discus- improved infrastructure and ser- combination of both social and sion is an assumption that there are vices; the creation of sustainable economic factors affects, shapes or well located villages at the coastal business opportunities based on influences something. area adjoining a river estuarine the strengths and potential of the ‘Green development’ in this discus- which presents a great potential for area; and employment that is relat- sion is a land use planning con- socio-economic growth. There is ed to opportunities that may exist or cept that considers environmental also allegations that the available could be developed in the area’. implications of development, which infrastructure, facilities, as well as In view of the current discussion, includes rural settlements planning, development systems and tools, the reviewed reports, development environmental planning, building sanctions limited access for the ma- plans and programs never attempt- architecture, landscape architecture jority of economically marginalized ed to define the concept of rural and community building. community members to partake on estuarine settlements development. socio-economic activities associat- The totality of human community The latter should involve human ed with River estuarine and coastal with all the social, material, or- habitation and the management fringes; the notion also support- ganizational, spiritual and cultural of estuarine development. The ed by Keal, (2008). Thereto few elements that sustain it will be used development of human habitation economically advanced community to define human settlements in this includes socio-economic oppor- members stand a better chance to discussion. tunities for sustainable commu- such benefits. However, all these nities, which involves residential This discussion considers ‘rural’ as allegations are subject to confir- infrastructure planning and devel- an area outside the limits of a city mation through a comprehensive opment, provision of appropriate fa- or a town where people primarily discussion. cilities, as well as the development farm or depend on natural resourc- Relatively, Kabubu (2015) believes of effective management systems es, under traditional or/and a local that, coastal forests and savanna and well-resourced implementation municipality that includes village, woodlands to mangroves and coral plans to support effective so- small town and any settlements in reefs is one of the continent’s most cio-economic activities. The Local former homelands. biologically diverse areas. These Economic Development (LED) Plan ‘Blue economy’ refers to marine important habitats are reported to for Hamburg solely suggests the based economic development that be a home to abundant wildlife and areas of intervention and further leads to improved human well-be- to sustain the livelihoods of millions identifies the role players without ing and social equity, while signifi- of people. Kabubu (2015) further teasing out the process towards the cantly reducing environmental risks accentuates that coastal East Afri- realization of the implementation of and ecological scarcities. ca, including Kenya, Tanzania and such plan. This discussion seeks Basic physical and organisational Mozambique, shares a coastline to suggest a concept of estuarine structures and facilities such as and innumerable of essential and human settlements as an edition buildings, roads, power supply key natural resources, forests and to the body of knowledge, then needed for the operation of a soci- a variety of ecosystems which sup- develop and unpack the socio-eco- ety or enterprise will be considered port rich biodiversity. Unfortunately, nomic development implementation as infrastructure in the context of for all its natural resources, Coastal approach that is inclined to the this discussion. East Africa is seen to have some of proposed definition. the highest rates of poverty in the 6.0 KEY CONCEPTS 7.0 SATISFACTION OF world. INFRASTRUCTURE In this discussion ‘coastal area’ is ON SOCIO-ECONOMIC 5.0 IDENTIFIED defined as the interface or transition DEVELOPMENT DEVELOPMENT area between land and sea that is NEEDS OF ESTUARINE GAPS IN ESTUARINE diverse in function and form; it is COMMUNITIES DEVELOPMENT dynamic and does not lend well to Inadequate infrastructure accord- The Local Economic Development definition by strict spatial or natural ing to Pottas, (No date) remains Plan for Hamburg, (2011) was boundaries. a major obstacle towards Africa developed with aims to foster and achieving its full economic growth The place, including terrestrial maintain a higher quality of life in potential; ‘in many African coun- areas where a river flows into the Hamburg village by unlocking local tries, infrastructure limitations ocean, is termed a river estuarine in economic development opportu- inhibit productivity as much as other the context of this discussion. 023

© 2018 NMMU and DoHS institutional challenges like weak manent or temporary structural the establishment of a Blue Econo- governance, onerous regulation assets established or installed for my. Coastal and Island developing and lack of access to finance’. The the performance of one or more countries have remained at the recent discussion on infrastructure specific activities or functions. forefront of this Blue Economy ad- confirms that, ‘poor state of infra- Izevbekhai, (2015) believes that vocacy, recognising that the oceans structure in sub-Saharan Africa ‘socio-economic activity in the have a major role to play in humani- reduced national economic growth communities will grow when the ty’s future and that the Blue Econ- by two percentage points and cut facilities to support it are provided. omy offers an approach to sustain- business opportunity by as much If a facility is carefully developed able development better suited to as 40% every year’ (Briceno-Gar- to have multiple functions, more their circumstances, constraints mendia, 2010). Also poor choices benefits will be derived and greater and challenges. The Blue Economy on the location of infrastructure socio-economic activities promoted. paradigm constitutes a sustainable was viewed by Benoit, Dahlia, & Some facilities have advantages of development framework for devel- Peter, (2015), as a limitation to providing social, economic, environ- oping countries addressing equity environmental governance cou- mental and cultural benefits from a in access to, development of and pled with population pressure and single source to communities and the sharing of benefits from ma- overexploitation for the implemen- the society’ (Izevbekhai, 2015). rine resources; offering scope for tation of West Africa Coastal Areas re-investment in human develop- To support this argument, Management Program (WACA). ment and the alleviation of crippling Izevbekhai, (2015) further mentions ‘The demand for resources and national debt burdens. that ‘community organisations can infrastructure development in organise cultural dance events, 10.0 THE CURRENT Africa’s coastal zone is now putting food festivals, carnivals, sales of lo- STATE OF ESTUARINE immense pressure on its fragile cal goods, and other socio-econom- MANAGEMENT IN SOUTH ecosystem which is under severe ic activities in the open green field AFRICA threat from developmemnt related to promote local economic develop- In support of the notion that ‘coastal activities’ (Yannick, 2004). The ment (LED). The same green field region, areas are home to a large current discussion leaning on this may be turned to a sleeping camp and growing proportion of the background proposes further explo- at night where the members of the world’s population’ Creel, (2003:1) ration on the state of infrastructure community with their sleeping bags stated that ‘approximately 3 billion on coastal estuarines with specific can enjoy the cool night breeze people live within 200 kilometers of focus on river estuarine. There under secure environment, saving a coastline’. The reported coastal seems to be limited literature that them some electricity cost’. This world’s population figure is expect- seeks to address infrastructure with section supports the notion of uti- ed to double by 2025. Creel, (2003) a specific focus on micro-economic lising easily accessible facilities to further accentuated that ‘many opportunities for estuarine settle- promote access to socio-economic people in coastal regions produced ments, especially in rural coastal activities in rural estuarine. ample economic benefits’. These lines. Infrastructure is relatively a benefits include ‘improved trans- permanent and foundational capital 9.0 THE ADEQUACY portation links, industrial and urban investment that underlies and OF STRATEGIES AND development, revenue from tour- makes possible economic activities MANAGEMENT SYSTEMS FOR IMPLEMENTATION ism, and food production’. In this of a community. Infrastructure alone OF SOCIO-ECONOMIC case, such benefits seem not to without proper facilities may not be DEVELOPMENT be adequately realized, especially effective in its service delivery aim. PROGRAMS IN within people living below poverty The next section will explore litera- ESTUARINE line. The South African National ture relevant to facilities and align 9.1 Blue economy as a vehicle Estuarine Management Protocol, for coastal development it with socio-economic activities in (2013) is more inclined to biodiver- Each sovereign country is respon- rural estuarine environment. sity management and less inclined sible for its own resources and sus- to the management of human 8.0 APPROPRIATE tainable development. Economies habitation. On the other hand, the FACILITIES TO in developing countries are more PROMOTE SOCIO- national priority list for the devel- directly related to environmental ECONOMIC ACTIVITIES opment of Estuarine Management exploitation. Conservation and FOR ESTUARINE Plans (EMP) targets excludes some sustainable use of biodiversity has COMMUNITIES River Estuarine in the country (Van broader sustainable development Facilities are defined in Business Niekerk & Turpie, 2012: 123 – 125). Dictionary as permanent, semi-per- and poverty eradication in enabling 024

© 2018 NMMU and DoHS The urgent need for Estuary Man- promote access to socio-economic An Investigation of Changing So- agement Plans (EMPs) became activities in rural estuarine. This cio-Economic Conditions, Opportunities apparent during the development of should lend from the Blue Economy and Development Interventions in Small Eastern Cape Towns in South Africa. the new Integrated Coastal Man- paradigm which constitutes a sus- 2008. Grahamstown: Rhodes Univer- agement Bill (ICMB). Estuaries and tainable development framework sity. the management thereof have not for developing countries addressing Anthony, A., Atwood, J., August, P., been adequately addressed by past equity in access to development Byron, C., Cobb, S., Foster, C., Fry, C., marine, freshwater and biodiversity and sharing benefits from marine Gold, A., Hagos,K., Heffner, L., Kellogg, conservation Acts. Estuaries and resources, also offering scope for D.Q., Lellis-Dibble, K., Opaluch, J.J., estuaries management have been re-investment in human develop- Oviatt, C., Pfeiffer-Herbert, A., Rohr, N., marginalized due to the fact that ment and the alleviation of crippling Smith, L., Smythe,T., Swift, J. & Vin- they do not fit the ambit of any one national debt burdens. Also the Es- hateiro, N. 2009. Coastal lagoons and climate change: ecological and social government department. Estuaries tuary Management Authority (EMA) ramifications in U.S. Atlantic and Gulf and the management thereof now should shift the focus to the entire coast ecosystems. Ecology and Society form an integral part of the new estuarine environment, therefore in- 14(1): 8. [Online] URL: http://www.ecol- ICMB which outlines a National cluding human settlements planning ogyandsociety.org/vol14/iss1/art8/ Estuary Management Protocol and development in its protocol. Migiro, A.R. 2010. Sustainable Man- (NEMP). The protocol identifies the Further research and participatory agement of Water Resources Vital to need for the development of EMPs, appraisals that involve estuarine Achieving Anti-Poverty Goals Delegates as these would help to align and communities are recommended for Told, As General Assembly High-Level Dialogue Marks World Water Day, Unit- coordinate estuaries management a closer view and to expand the ed Nations. [Online] URL: http://www. at a local level. The Estuary Man- insights of the current discussion. un.org/press/en/2010/ga10925.doc.htm agement Authority (EMA), support- 12.0 CONCLUSION Benoit, Bosquet; Dahlia, Lotayef; Peter, ed by the Estuary Advisory Forum Infrastructure planning and devel- Kristensen, 2015. West Africa Coastal (EAF), should approach tertiary and opment along estuarine environ- Management Program: A Partnership research institutions such as univer- for Saving West Africa’s Coastal Assets, ments are less considerate of rural sities and the Centre for Scientific s.l.: World Bank Group. livelihoods. Available literature also and Industrial Research (CSIR) for clarifies that current interventions Briceno-Garmendia, V. F. a. C., 2010. assistance. Africa’s Infrastructure: A Time for Trans- are more inclined to biodiversity formation, Washington,DC: World Bank 11.0 A RECOMMENDED management, as well as high com- Publications. SYNERGY FOR mercial market activities, but con- Celliers, L. & Ntombela, C. 2015. First SOCIO-ECONOMIC sider less the issue of settlements DEVELOPMENT IN Regional State of the Coast Report for RURAL ESTUARINE planning especially on rural estu- the Western and Indian Ocean: Urban- COMMUNITIES OF SOUTH arine. This identifies the estuarine isation, Coastal and Vulnerability, and AFRICA development gap that needs to be Catchments, Nairobi: United Nations First and foremost, this discussion filled for the sustainability of settle- Environmental Program (UNEP) and the Nairobi COnvension Secretariat. seeks to propose the concept of ments along rural estuarine. This rural estuarine settlements devel- can be possible through develop- Glemarec, Y. 2004. Adaptation to Cli- opment, thus, ‘the development of ment of inclusive programs that aim mate Change: Responding to Shoreline Change and Its Human Dimensions in human habitation that considers to strike a balance between natural West Africa through Integrated Coastal habitat and its surrounding com- the promotion of existing socio-eco- Area Management, Senegal: United nomic opportunities, infrastruc- munities. Further literature wined Nation Development Programme. ture planning and development, to be explored for further insight on Izevbekhai, M. 2015. Strategies for estuarine development with spe- provision of appropriate facilities, Sustainable Transformation of Devel- effective management systems cific focus to the socio-economic oping Countries: A Road Map for a and well-resourced implementation development of rural estuarine. This Sustainable Developed Nigeria. Bloom- plans to support effective so- should also include the introduction ington, UK: AuthorHouse. cio-economic activities for sustaina- of estuarine development concept Kabubu, J. 2015. Coastal East Africa In- ble estuarine communities’. through participatory interaction itiative, WWF, [Online] URL: http://wwf. with one or more rural estuarine panda.org/what_we_do/where_we_ Infrastructure alone without proper communities in African continent. work/east_african_coast/?src=footer facilities may not be effective in its References Kauffman, G.J. 2011.Socioeconomic service delivery aim. This discus- Value of the Delaware River Basin in Anon. 2011. Local Economic Develop- sion supports the notion of utilis- Delaware, New Jersey, New York, and ment Plan for Hamburg. East London: ing easily accessible facilities to Pennsylvania: The Delaware River Eco Africa. 025

© 2018 NMMU and DoHS Basin, an economic engine for over 400 Yannick, G. 2004. Adaptation to Climate years. University of Delaware, Water Change: Responding to Shoreline Resources Agency, New York. Change and its Human Dimensions in West Africa Through Integrated Coastal Keal, D. 2008. An Investigation of Area Management. Senegal: United Changing Scio Economic Conditions, Nation Development Programme. Opportunities and Development Inter- ventions in Small Eastern Cape Towns in South Africa. Grahamstown (Eastern Cape): Rhodes University. Lewry, M. 2015, online, Rural Settle- ments Patterns. [Online] URL: http:// esask.uregina.ca/entry/rural_settle- ment_patterns.html Creel, L. 2003. Ripple Effects: Popula- tion and Coastal Regions. Washington, D.C.: USA. Nayak, C. 2014. Rural Infrastructure in Odisha: An Inter-District Analysis. PRAGATI: Journal of Indian Economy, 1(1), pp. 17 – 38. Ololajulo, B. 2011. Rural Development Intervention and the Challenges of Sus- tainable Livelihood in an Oil Producing Area of Nigeria. Kroeber Anthropologi- cal Society, 99(100), pp. 184 – 200. Pottas, A. No date. Addressing Africa’s Infrastructure Challenges. Sub Saharan Africa: Deloitte Corporate Finance. Ramesh, D.A., Vel, A.S., Paul, T. & Wadekar, V. 2013. Relationship of Socio-economic Parameters in Coastal Litigations of Coastal States of India. International Journal of Humanities and Social Science Intervention, 2(6), pp. 27 – 32. Riley, G. 2012. Unit 2 Macro: Growth and Development – Some Indica- tors [online] URL: http://beta.tutor2u. net/economics/blog/unit-2-macro-growth-and-development-some-indicators. Rory, O. 1998. An Overview of the Methodological Approach of Action Re- search. Toronto: Faculty of Information Studies. Sauls, H.A. 2016. Eastrn Cape Human Settlements Policy and Budget Speech 2016/17. Bisho: Eastern Cape Provin- cial Legislature. South African National Estuarine Man- agement Protocol (2013) Government Gazette No. 36432. Stern, M. 2013. Sustainable Livelihoods and Resources: How Does South Afri- ca’s Policy for the Small Scale Fisheries Sector Consider Current Changes on the Ground. South Africa: South African Institute of International Affairs. 026

© 2018 NMMU and DoHS SUB-THEME 4: HUMAN SETTLEMENTS GOVERNANCE Integrated sustainable human settlements in South Africa: Investment theoretical arguments Prisca Simbanegavi | University of the Witwatersrand, School of Construction Economics Management Kolawole Ijasan | University of the Witwatersrand, School of Construction Economics Management

Abstract Integrated sustainable human settlements are a national priority to integrate communities and push for transformation in South Africa. There has been substantial Government investment in housing since 1994 (R45 billion in Gauteng Province alone). It is logical to expect that such investments into a neighborhood would have a positive impact on the existing housing market. However, there has been no work done so far to form theoretical arguments guiding the implementation of such investments in the form of integrated sustainable human settlements widely known as mixed income housing. The study aims at drawing theoretical arguments for South Africa in regards to how ‘mixed income housing’ can be improved in a way that such settlements attract investments and maintain value in the future. Drawing from global experiences, academic articles and desktop analysis of relevant industry materials, the paper puts forward theoretical arguments on how a ‘New Integrated Investment City’ model can best be improved in terms of policy and regulation, involved stakeholders, location, design, finance, management and sustainability in order to reduce investment risk associated with such developments.

Keywords: Integrated Sustainable Human Settlements, housing policy, investment risk-return trade-off, poverty reduction, theoretical arguments

1.0 INTRODUCTION becomes: What relevant theory is the theoretical arguments that can esidential markets have there to reduce NIMBY and there- guide the success of this model. by achieve the intended goals of gone through changes This study is guided by the prop- inclusionary housing (urban devel- where social housing is gen- osition that wrong implementation R opment, integration and transforma- erally a component in mixed-tenure strategies of MIH causes NIMBY tion)? This provides a new thinking developments where public private and delays in such housing de- into improving the current mixed partnerships do tap into private velopments. Investment theory income housing model. The in- funds (Whitehead and Scanlon, can help annotate ways of making vestment-theory-based arguments 2007). This is a paradigm shift mixed income housing successful postulated in this paper allow for beyond the social housing subsi- through seven critical pathways an exploration of possible unsat- dized by governments alone. These identified in literature. Factors isfactory effects originating from new housing initiatives generally shown in Figure 1 include the de- the current implementation flaws known as Inclusionary Zoning (IZ) velopment of inclusionary housing of what South Africa faces from or Mixed Tenure (MT) or Mixed policy, location of such a develop- an investment theory perspective. Income Housing (MIH) as part of ment, design of such different hous- The paper puts forward theoretical Integratrated Sustainable Human ing tenures, the financing and in- strategies for poverty alleviation Settlements (ISHS) pose as a com- centives of such developments and (integrating low-income families) plex phenomenon touching across the management of such housing and desegregation of neighbour- spheres of politics, geography, developments. These factors give hoods through MIH recommended real estate economics, sociology, guidance on how composition of in this paper can be found to be psychology, law, planning and de- race within an MIH can be achieved overly ambitious. This could be the velopment disciplines in its goals of to encourage transformation. This limitation of this study. The rest of integration and poverty alleviation. ultimately determines the scale/size the paper will cover how MIH is High levels of Not in My Back Yard of an integrated human settlement defined, the local and international (NIMBY) could be an indication of development. implementation flaws of the current extent of this complex phenome- MIH models. A relevant question non, who the stakeholders are and Stakeholders play a huge role in 027

© 2018 NMMU and DoHS minimising investment risk. As effort to construct and/or own a 3.0 EXTANT LITERATURE clearly stated by Klug et al. (2013), multifamily development that has ON HOW MIXED INCOME Inclusionary Housing Policy (IHP in the mixing of income groups as a HOUSING REDUCE its draft form) requires private de- fundamental part of its financial and CONCENTRATED POVERTY velopments to set aside a minimum operating plans”. Many definitions Literature indicates that mixed share of dwelling units for afforda- in academic literature points to the income housing emerged as a ble housing. However, inclusionary fact that an MIH can be a tool to purposeful reaction to the continua- housing has largely been resisted integrate people of different ethnic tion of poor areas with concentrated due to negative perceptions of and income backgrounds; hence poor households living together. NIMBY discussed earlier. The acts a way of dismantling concen- Despite the different names giv- predominance of court challenges trations of poor urban areas. Thus en to mixed income housing, the by existing home owners suggests an MIH is capable of reducing the concept is not a new phenomenon that there are unfavourable shocks associated problems of high crime (U.S. Department of Housing and on house prices and this causes rates, increased health problems, Urban Development, 2003). In stakeholders to remain hesitant in malnutrition, high unemployment Netherlands, the requirement was committing resources to the devel- rates and high numbers of children that new and larger-scale residen- opment of urban housing, a view dropping out of school (Kempen tial developments are required to shared by SAPOA as well. Thus the and Bolt, 2009). Levy et al. (2013) set aside a minimum share of the goal of eradicating housing short- noted that generally, what counts as dwelling units for social housing ages and by so doing, the needed mixed income, varies considerably (Galster, 2004). In Ireland, this transformation in the residential from a development to another, policy was mostly voluntary until market is delayed (Department of as well as across countries. How- year 2000 when it was included Human Settlements, 2014). Com- ever, a relatively higher income into national legislation (McIntyre & pared to the MIHs in the developed household can be defined as those McKee, 2012). world that end up rejuvenating earning anywhere from 51 to 200 the previously depressed neigh- percent of the Area Median Income. Through the Swedish ‘Development bourhoods, an MIH in South Africa and Justice’ policy (1998), mixed Historically, the concept was neces- located in a good neighbourhood income housing sought to improve sitated by the need to dismantle a is purported to depress the value life chances and social inclusion of history of more marked distinctions of neighbourhoods. Rowlands et disadvantaged groups (Delorenzi, between social classes prevalent al. (2006) find that developers are 2006; Galster et al., 2010). HUD in many European countries after willing to engage in these kinds of (2003) paper reveals that in 1993, the World War II (Atkinson, 2005; developments in the US. To estab- the US Congress and Department Tunstall & Fenton, 2006). In Neth- lish integrated human settlements of Housing and Urban Develop- erlands, the model is named ‘mixed that are integrated, shareholders ment (HUD) created the Urban districts’ where mixed residential need to play a collaborative role Revitalisation Demonstration (URD) environments create opportuni- with a view point that housing/ (HOPE VI) programme which in ties for the poor when they learn shelter per se is not enough without 1995 authorised as Section 24 of and adapt ways from high income roads, clinics, schools, playgrounds the US Housing Act of 1937 that people (Galster et al., 2010; Mus- and places of work. A strategy that MIH comprises housing units with terd, 2005). Many countries have enables such collaboration is there- differing levels of affordability. This instigated policies to encourage fore needed for a paradigm shift strategy has been used to address the development of such housing in the delivery of housing in South problems associated with poverty tenures focusing on private devel- Africa. since the early 1960s. After the opment to include a proportion of 1969 Chicago Gautreaux case, housing units for low income house- 2.0 MIXED INCOME the 1992 HOPE VI replaced public HOUSING DEFINED holds within an otherwise ‘market housing projects occupied exclu- In academic literature, there is no rate’ development (Hughen & Read, sively by poor families, with rede- universally accepted definition of 2014). Theoretically this means signed mixed-income housing while Mixed Income Housing (MIHs) that for an MIH to be successful in providing housing vouchers to ena- which is a part of Integratrated South Africa, it has to pass the risk ble some of the original residents to Sustainable Human Settlements in screening criteria as understood by rent apartments in the private mar- the context of South Africa. How- the beneficiary, the government and ket” (Atkinson, 2005:23). Although ever, a commonplace one is the the private stakeholders in a holistic the term ‘mixed income’ has been Brophy and Smith (1997) definition way. described as an imprecise concept 028 which describes it as “a deliberate

© 2018 NMMU and DoHS by de Souza Briggs et al., (2009), allocated otherwise”. He argues an investment asset. In the 1930s Mixed-Income Research Design rather that MIH developments do Fisher pioneered modern invest- Group (2009) and also Galster contribute to the high cost of hous- ment theory in that the value of (2012) asserted that the ‘recipe’ for ing in those jurisdictions where they an investment asset is the sum of ‘social mix’ is complex and cave- are developed. He instead argues present value of its future income. at-laden and so the prescription to for a voucher system that effec- From this theory came the notion end concentrated poverty is not a tively disperses people across all of Net Present Value (NPV) and one size fits all. Nevertheless many sub-markets. Internal Rate of Return (IRR) as states in the US (Maryland, Chica- a yardstick to evaluate the perfor- Clearly, there is still an indication go, Massachusetts, California, Con- mance of investments as shown in that there is less consensus in necticut, Missouri and San Francis- Equation 1. academic literature on how the co to mention a few have carried model can be modified and stir out inclusionary housing efforts (de policy towards the intended goals Souza Briggs et al., 2009). of poverty reduction integration and Countries in Europe such as sustainability of neighbourhoods. Netherlands, Ireland and United Perhaps as suggested by Brophy Kingdom have reversed historical and Smith (1997), it is necessary racial discrimination by demolishing to have strategies that are more public housing to more inclusion- ‘grassroots –bottom-up’ approach- ary housing. In Ireland, the move es capable of empowering people towards mixed housing dates back according to their needs that are to as early as the 1920s through in- specifically aimed at creating oppor- clusionary housing delivery system tunities for low income households Equation 1: Net present value of investments (Freeman et al., 2004) termed ‘social housing’. It is termed (Escobar, 1995). In this case, the ‘social mix’ in the UK, after Juppe’s argument that MIH alone is not a concept (1999) of ‘pepper potting’ sufficient condition to eradicate pov- When stakeholders (including gov- where low income people are erty and integrate people of differ- ernment) invest in residential mar- rehoused/scattered across better ent incomes and race holds water. kets, they should get a competitive income suburbs to reduce prob- ‘Pepper remains pepper’ no matter IRR that is above the cost of money lems associated with concentrated where households are located if in the open market. Markowitz poverty. Only a few countries in there are no other poverty interven- (1959) took it further in that future Africa (South Africa and Botswana) tion tools put in place. investments in diversified assets and the growing economies such prove to reduce investment risk. The proposition is that one of the as Malaysia, China, Columbia and Although referring to the financial solutions to the success of MIHs India have adopted MIH models markets, Sharpe (1963) further pos- in South Africa lies in the ability due to huge income differences be- tulated that share returns are de- of residential markets to attract tween the poor and the rich (Smit & termined by systematic and unsys- investments within the context of Purchase, 2006 in Klug et al., 2013) tematic risk in the equity investment mixed income housing. This means market. This has become text book However, despite the good intended that failure to attract investments analysis in building investment port- goals of MIH, there has been little by South Africa’s transforming folios without the unsystematic risk empirical evidence that better-off residential markets is as a result because it can be diversified away. residents acted as ‘role models’ of misalignment of the model to Mixed income housing should as who help the poor in finding better risk-return theories of property well conform to modern investment employment opportunities or raising investment. Despite MIH being an theory considering both risk and expectations of attainment (Bailey old phenomenon, there is no con- return of an investment where the & Manzi, 2008a). There was also sensus in literature on how it can balance between the two is max- no evidence that mixed tenure had successfully be implemented world- imised. As with other risk-bearing enhanced social capital. Not basing wide given the increasing poor-rich investments, the notion of a risk-re- on empirical evidence, Ellickson income disparities (Galster, 2012). turn balance does have use in the (2009:34) also contends that “inclu- 4.0 INVESTMENT THEORY way the seven factors found from sionary policies, such as the federal Following the proposition put literature affect the viability of mixed programs in the US, are mediocre forward in this study, residential income housing as an investment. in the sense that the resources markets ought to attract invest- devoted to them could be far better ments in the context of housing as 029

© 2018 NMMU and DoHS 5.0 RESEARCH in South Africa as shown in Figure trips made to seven selected devel- METHODOLOGY/DESIGN 1. Information found from academic opments. This study mainly used document, journals together with documents Table 1 shows some of the docu- desktop and observation analysis to from Department of Human Set- ments from which this study was draw out conclusions on how better tlements and its subsidiaries was drawn. These include published to implement mixed income housing complemented by observational journal articles, housing regulations pre apartheid and post democracy government custodians, municipalities and their other entities, Not-for-Profit-Organizations and Independent Consultancy Organ- isations. The published research journals show that mixed income housing is still a debated issue that pools researchers into two lines of thought. One school of thought (mainly government) pushes for such developments as a tool to deconcentrate poverty while the private sector finds many issues Figure 1: Document, desktop and observational analysis (Author, 2017) regarding MIHs incompatible with investment requirements making.

Nature of Documents Documents & Websites

Academic research journal 1. Research articles from the USA articles 2. Research articles from Europe 3. Research articles from Africa & South Africa

The housing regulations: pre 4. The Housing Act 32 of 1920, The Native Urban Areas Act 35 of 1923, Group Areas apartheid and post democracy Act of 1950 5. Constitution of South Africa 6. Housing Act 107 of 1997 7. A Comprehensive Plan to Housing delivery (2004) 8. Human Settlements, South Africa Year Books and documents. http://www.dhs.gov.za/ content/documents-public-comments 9. A Framework for Inclusionary Housing Policy Initiated at an Indaba in September 2005 http://abahlali.org/files/Framework%20for%20an%20Inclusionary%20Hous- ing%20Policy%20in%20SA.PDF 10. Social Housing Act 16 of 2008 11. Comprehensive Housing Plan (CHP- BNG) Integrated Sustainable Human Settle- ments

Municipalities & Entities 1. City of Johannesburg 2. City of Cape Town 3. http://www.durban.gov.za/City_Services/housing/Pages/Cornubia.aspx: eThekwini Municipality 4. Johannesburg Social Housing Company: http://www.joshco.co.za/ 5. Johannesburg Property Company: http://www.eprop.co.za/commercial-property-news/item/7998-Contracts-signed-for-breakthrough-mixed-income-housing-development.html

Table 1: The nature of documents used for analysis > 030

© 2018 NMMU and DoHS Not-for-Profit-Organization & 1. South African Property Owners Association (SAPOA) Independent Consultancy 2. Center for Affordable Housing Finance in South Africahttp://housingfinanceafrica.org/ documents/case-study-fleurhof-project-south-africa/ 3. Gauteng City-Region Observatory (GCRO) 4. Ahmed Kathrada Foundation 5. https://www.finmark.org.za/ 6. http://www.urbanlandmark.org/research/x09.php 7. Johannesburg Housing Company : https://www.bshf.org/world-habitat-awards/winners-and-finalists/johannesburg-housing-company/

Developer Companies and 1. Basil Reeds/Crowzen Banks 2. Calgro M3 3. Tongaat Hulett: http://www.cornubia.co.za/ 4. Standard Bank, Nedbank, ABSA, FNB 5. Development Finance Institutions (DFI) 6. Gauteng Partnership Fund (GPF)

Table 1: The nature of documents used for analysis (continued)

Figure 2: Factors guiding the implementation of mixed income housing (Author, 2015)

The Department of Human Settle- proposition of this research that for in literature on taking housing as ment’s website provided a handful MIHs to achieve optimal inclusion, an investment asset in making MIH of documents guiding housing in there are critical pathways to con- successful. South Africa. This information was sider. They include policy develop- Following the seven factors from then mirrored in comparison to what ment, location and design, finance literature, trips were made to some private research and consultant and incentives and management. of the projects listed in Gauteng companies’ documents. This doc- This list is by no means exhaustive, Partnership Fund (2013). Table 2 ument analysis discovered seven but it guides all theoretical argu- shows the seven visited develop- factors on which mixed income ments for MIH composition and ment projects with Cornubia being housing anchors on. These were scale. This paper expands ideas by the largest so far in Durban. summarized into Figure 2. It is the Khadduri (2001) on factors debated 031

Lufreng 24 100 Cosmo City 14 800 Yes K206 (Alex) 3 199 Yes Droogeheuwel 3 648 Mohlakeng Ext 11 3 495 Fleurhof 10 441 Yes Westonaria Bowra 5 000 Chief Mogale 6 800 Thorntree View 11 700 Nellmapius New 3 597 Yes Olivenhoutbosch 4 452 Yes Leeuwpoort 17 899 Chief Albert Luthuli Ext 6 5 398 The Willows 10 977 Yes Hatherly East 7 300 Lady Selbourne 6 000 Elandspoort/ Danville 2 000 Cornubia 25 000 Yes

Table 2: Flagship projects for sustainable human settlemets ( Extended from Gauteng Partnership Fund, 2013)

6.0 INVESTMENT investment theory is automatically mize their investments. THEORETICAL linked to integrated sustainable hu- The theory behind risk-return trade- ARGUMENTS man settlements. When developer off is that mixed income housing FORMULATED companies and banking institutions, should reward risks taken by all 6.1 Stakeholders as investors supported by real estate agents stakeholders for the development to The desktop analysis shows that and property valuers, give finance be considered successful. Invest- the initiative to promote inclusionary for construction and acquisition of ment theory does link MIH to sus- housing delivery is being pursued MIH developments, they all become tainability screening in an objective at national, provincial and local investors. House-owners ward manner assessing the model as an authority, as well as private sector councillors and rate payers asso- investment asset that is capable of levels. Following Freeman et al. ciations are also indeed investors. giving good returns and integrat- (2004), when the department of In summary, stakeholders include ing the poor (effectiveness) at the human settlements, other govern- managers of organizational inter- associated costs and risks (efficien- ment departments and municipali- ests who are directly involved in cy). This means that government ties give support in the form of land implementing, regulating or provid- is a social investor who needs to and financial incentives to housing ing advisory service to, or affected be rewarded, as well as the private delivery, they become investors. by an MIH development. As with sector. Its reward is captured in What is apparent is that South Afri- any other risk-bearing investments, the number and value of affordable can government approach to public the concept of a risk-return trade- income for the amount contributed. housing provision has progressed off does have application in mixed from RDP housing-free/fully sub- income housing investments. Thus 6.2 Inclusionary housing policy development sidized housing to mixed-income MIH investment should be valued There are two views on this policy; housing since 2004/5 (IHP and in terms of expected rental returns one view suggests legislating inclu- BNG). Government has joined and capital growth through Net sionary housing distorts free play of hands with private sector through present value (NPV) analysis and markets and distort land and prop- inclusionary housing delivering a Internal rate of return (IRR). The erty prices while one view maintains total “…of 5,6 million formal hous- NPV discounts cash-flows using the that enforcing it would make all ac- es since 1994 (a growth of 50%) market opportunity cost of capital tors comply. So far developers are (Human Settlements, 2012). Thus where stakeholder investors maxi- 032 not required to comply regarding

© 2018 NMMU and DoHS inclusion of some affordable units in to as all neighbourhoods will be et al., 2006). Effective manage- a development. Interviews done so developing such MIH. This will see ment includes increasing security far with built environment experts a reduction in NIMBY syndrome measures, resident relations, site point to an interesting emerging and property prices will stabilize. maintenance, trash collection, and theme; housing or residential real Without MIH, very poor households management of child play areas. estate class is not a high end class in South Africa’s major cities who Tenant selection, intake standards, compared to other real estate spend 23% of their income on enforcement of lease provisions (in- investment classes (Office, Retail, transport alone (Verster, 2009) will cluding rent collections) and house Industrial) in terms of the returns it continue to face hardships. Inclu- rules, as well as providing extra gives for the risks taken. Outstand- sionary housing will put low income services such as in-unit upgrades, ing returns in this market are only households closer to work opportu- package acceptance, cable TV and possible when partially financed by nities and make housing an invest- internet service and a business government bulk infrastructure. ment asset for which beneficiaries centre (HUD, 2003). Who should and buyers care about the future be responsible for management From the investment point of view, value of their assets. For this to is often debated in literature. For developers benefit by cross-sub- work well, title deeds are important. South Africa, an in-house developer sidizing capital from market rate company or contracted by a devel- units to depending on the state 6.3 Financing and incentives oper company with property man- of the market. Where the market In the United States, for example agement experience is argued for is weak, subsidization to market Montgomery, Maryland, inclusion- other than the other options. This rate is required and the opposite ary zoning policy and land use is because the company’s office flow is true where the market is regulations reserve 15% of housing visibility onsite gives a good impres- stronger (Brophy & Smith, 1997; for low-income families. Density sion making such developments Hughen & Read, 2014). For South bonuses encourage mixed income viable and capable of maintaining Africa, this is a chance for devel- developers to build more units per value and is not based on the fact opers who agree to comply and given area than permitted. In South that some units are subsidised. include affordable housing in their Africa MIH development would developments to engage govern- receive financial assistance in the 6.5 Sustainability ment in footing costs such as bulk form of local tax abatements or For South Africa, the greatest infrastructure while increasing increment that helps remove bar- challenge of developing viable and returns on their investments. The riers to financing. The most noted successful mixed-income housing is researcher finds an important MIH form of financing incentive is when in the sustainability of maintaining investment aspect; there is need to developers benefit from govern- its mixed-income character over accurately calculate the financial ment supplying bulk infrastructure time. This means what matters incentives given to all stakeholders in exchange for adding low income most is whether MIHs will be capa- involved in the delivery of MIHs. units in a development. South Africa ble of upholding investment values This is in terms of the value of land, follows suit where municipalities contrary to the fears of landlords the value of the bulk infrastructure play an important role in promot- in relation to houses loosing value. and the arm’s length for affordable ing inclusionary housing. There The low income components should housing units. If this is not done is therefore no need to enforce house government employees such well, most of the investment value regulation of IHP as long as finance as teachers and nurses and not skews to private developers. incentives are properly linked to increase the ‘zero income’ part. affordable housing. Remember that there is a higher The question of whether it should unemployment rate (22%) in South be policy or not becomes unnec- 6.4 Management Africa. If it has to be included, then essary, and what it means is that It is crucial that the social and RDP the concept of new cities makes an MIH becomes a quasi-asset housing component is properly investment theoretical sound judge- where ownership rights accrue to managed, as its failure has a great ment. If not, then it requires that stakeholders according to what they potential to affect the entire MIH subsidy amounts should be higher invest while benefiting the whole development. Literature shows than what it is currently which is society. In the long term, housing that good management of an MIH approximately R180 000. markets will reach a point of satu- is a critical factor in maintaining ration, and this may break stigma- its attractiveness and marketabil- 6.6 Location tization, as people who move away ity and hence investment value The argument is that MIH develop- from neighbourhoods that receive over time (Bailey & Manzi, 2008a; ments have power to relocate peo- MIH will have nowhere to, move Brophy & Smith, 1997; Doherty ple currently working in suburban 033

© 2018 NMMU and DoHS areas from peripheries/outskirts of ‘pepper potting falls away because mix’. This raises questions on how cities, commonly known as ‘ghettos’ such percentages are not pepper households would pay for living or ‘townships’, to places they easily potting at all. In this case, the devel- expenses, utilities and food even find jobs, good schools and oppor- oper should minimise risk by build- when they have cut on transport tunities that help them secure eco- ing in middle income or low income costs, as the people will remain nomic and social stability (Ahmed areas save for those developments poor despite the change in hous- Kathrada Foundation, 2013; Human that can be located in previously ing design. In the US, the design Settlements, 2012; Landman, 2012; advantaged areas where the per- is such that in every development Lemanski, 2014). However, mixed centage can be reduced as shown of Hope VI, there is a section of income communities are intended in Figure 4 if developers should smaller affordable units within a for local residents with a wide range be indifferent to location. This will complex of larger market-rate units. of incomes and are designed to fit ensure all MIHs are market-rate This design supports buyers who into the surrounding communities. regardless of location and this guar- might eventually “graduate” into the Ideally these residents include low antees high occupancy and absorp- larger units within the area where income workers who already work tion rate on marketing. Developers Government further subsidizes and are accepted in the area. For argue for outskirt location; ‘where mortgages in market-rate sections South Africa, researchers agree the market has higher absorption of the development (Feijten & Van that mixed income housing could be rates and cheaper private land Ham (2009). successful if located close to amen- (contradicts). In South Africa, however, the IHP ities and supported by infrastruc- 6.7 Development and house continues to prescribe affordable ture development (Verster, 2009). design housing units with a minimum floor However, internationally, there is Development of affordable housing area of 40 m2 and must have an evidence that lower income house- should architecturally be compat- internal bathroom and kitchen. holds who moved to areas with ible with neighboring market-rate The inconsistency is in the fact more employment opportunities homes, thereby preserving the that a ‘40m2’ house will not blend were not necessarily more likely character and marketability of the with market rate houses in a mixed to access and retain jobs or obtain neighborhood (Khadduri, 2001). development of an affluent neigh- jobs with higher wages and end up Conceptually, MIH should have a bourhood such as Sandton. This is suffering due to purchasing power uniform design so that it is not obvi- where the policy has to change in parity (Popkin, 2007). By default, ously certain that some houses are terms of recommending a ‘house-in the arguments for location to be in for low income and consequently a mix’ that is compatible with the the middle to high income markets alluding to the notion of inferior peo- neighbourhood. For South Africa, henceforth become nullified. Also ple. This means subsidies should this means the subsidy amount on the other hand, if the percentage put residents on an optimal market has to be upgraded to match the number to be included in the MIH rate otherwise such developments housing market in which the devel- developments must increase to are not able to necessitate ‘social opment has to be located otherwise about 30 – 60%, the argument of

Figure 3: Location/Market determined the appropriate income mix (Author, 2015) 034

© 2018 NMMU and DoHS the development will be misaligned. bring along social ills dreaded by framework that accurately cap- A household earning between people in the receiving neighbour- tures government — private value R3 501 – R15 000 is eligible for the hoods. One would argue for other created by a healthy mixed income Flisp gap housing program (Klug et national development plans such housing PPP could be the answer. al., 2013).The subsidy amount for as increased skills, inclusive and One can envisage high income the 40m2 house has risen to R180 shared economic growth where people buying houses in a mixed 000 from as low as R15 000 in the there are poverty alleviating policies income development located in 1990s, yet the subsidy is currently to increase opportunities for the ‘lower’ income neighbourhoods. not competitive for the MIH to at- poor. This kind of an MIH would have tract subsidies according to loca- achieved the intended goal of de- Households will be able to graduate tions. Thus if the subsidy amounts concentrating poverty, encouraging from low to high income housing remain low, the less affluent neigh- integration and encouraging racial markets depending on their levels bourhoods become the ultimate mix since race and income levels of income at some future time. The MIH location. Therefore, one can move together. argument is that people are able to argue that by prescribing the size ‘self-select’ their markets upwards of the subsidy house to remain 8.0 STUDY LIMITATIONS or downwards depending on their the same as the ‘apartheid’ one Theoretical arguments postulated income levels. The argument is that in terms of size and value, one is in this paper provide recommenda- if poverty was measured in accord- voting for the lower market location. tions guiding the implementation of ance to where people stay, then this This renders the MIH concept to be mixed income developments in an poverty would have been a failure a low income concept rather than overly ambitious way. This could be to ‘plan issue’ that could easily be what it is intended to be in South the limitation of this study. rectified by merely moving people Africa (a desegregating model of from lower to higher submarkets. 9.0 PRACTICAL/POLICY housing). As shown in Figure 3 However, pepper will always be IMPLICATIONS on location of the MIH develop- pepper, shifting one’s place of ▪▪ The development of the ‘New ment, stigma can be minimised by residence does not increase their Integrated Investment Cities’ ‘pepper’ or ‘sweet’ potting income wealth and wellbeing. If people are (NIIC) such as Cornubia in households depending on the poor because of where they find Durban could provide a good market of the development. Low-in- themselves staying, ‘poverty per se’ example of future cities that come families and market-rate fam- becomes a planning other than an encompass commercial and ilies should be housed in the same economic developmental issue. In industrial space where residents development where it is possible South Africa, planning and rezon- could find jobs. to provide optimum opportunity for ing can only go as far as induc- interaction. ▪▪ Government subsidizes such ing transformation in the already developments through cost of 7.0 DISCUSSIONS AND created cities. On the other hand, bulk infrastructure and land in CONCLUSIONS it holds true that it does not matter a Public Private Partnership. The study reveals that for South where people live for as long as However, for the sustainability Africa, mixed income housing is they find employment to increase of such future funds, the money an enabler for social integration their income levels. After all, people contributed by government must to end inequalities reminiscent of are also known to be happy staying be accurately capitalized into apartheid. Although theoretical among people of the same status, affordable units in such a way arguments put forward in this paper religion and culture. that the created value does not can be found to be exaggeratedly Thus one can conclude that the skew or tilt to the private sector. ambitious, the recommendations for future of MIHs lies in the develop- If developers refuse to share MIH implementation are plausible ment of a ‘new integrated invest- in the Internal Rate of Return in reducing NIMBY and improve the ment city’, a concept. This is where (IRR), then ‘Not-for-Profit Devel- delivery of housing using an invest- spheres of government subsidize opers’ may be able to carry out ment perspective. A broad base ap- such developments through bulk such developments on behalf of proach that supports the concept of infrastructure and land of which government as is done in some ‘creating new integrated investment the value of these investments is countries such as Switzerland. cities’ as a package that stretches accurately capitalized into afforda- beyond the built environment would ▪▪ Thus it is envisaged that even ble units. Otherwise the created circumvent the failure associated the high income people may value of MIH investments skews with ‘scattering poverty’. This is be- invest in such cities located in a to the private sector. A regulatory cause just scattering poverty would ‘lower’ income neighbourhood 035

© 2018 NMMU and DoHS (sweet pot) by choosing to stay sharing strategy where stakehold- ing developments. Round-up (York: in the neighbourhoods they grew ers view residential market develop- Joseph Rowntree Foundation). up even if they may be consid- ment as an investment asset where Bailey, N. & Manzi, T. (2008b). Develop- ered ‘high income’ people. all players care about the future ing and sustaining mixed tenure hous- value of housing in a ‘New Integrat- ing developments. Round-up (York: ▪▪ By enforcing inclusionary housed Investment Cities’ concept. Joseph Rowntree Foundation). ing, government would have Brophy, P.C. & Smith, R.N. (1997). achieved the intended goal of 11.0 FURTHER STUDY Mixed-income housing: Factors for deconcentrating poverty, inte- Interviews with government officials, success. Cityscape 3 – 31. gration/racial mix since race and planning practioners, banks and de- Center for Affordable Housing Finance income levels move together. veloper companies may shed more in South Africa (2012), Case Study: Affordable housing in the afflu- light into exactly how mixed income Fleurhof Project (South Africa) (2012) ent areas would be occupied by housing may be improved into the Emerging Markets Private Equity Asso- people who already work in such New Integrated Investment Cities. ciation. neighbourhoods. City of Johannesburg, (2011). City of References Johannesburg, Stories and Images; ▪▪ However, job creation efforts Abahlali Organization. (2007). A Frame- Annexures. by government is paramount work for Inclusionary Housing Policy to complement the viability and (IHP) in South Africa. Constitution of South Africa (2003). A Social housing policy for South Africa, functionality of the ‘new integrat- Abelson, P. (2006). Market Impacts and s.l.: Constitution of South Africa. ed investment cities’. Efficiency Implications of Taxation and Subsidies for the Australian Housing Delorenzi, S. (2006). Going Places: ▪▪ To note is the fact that govern- Market. Neighborhood, Ethnicity and Social ment alone cannot create new Mobility. Institute for Public Policy Ahmed Kathrada Foundation. (2013). Research. investment cities. When it does, Living together, separately in the new the quality of neighbourhoods is South Africa”: the case of integration Department of Human Settlements, greatly compromised. Thus col- housing in Mogale City and Lehae (2014). Chapter 8: Transforming Human laboration with the private sector Project. Settlement and the National Space Economy. should yield social/fair value to Atkinson, R. (2005). Neighborhoods all investors. and the impacts of social mix: crime, De Souza Briggs, X., Duncan, G., Edin, tenure diversification and assisted mo- K., Joseph, M., Mare, R.D., Mollenkopf, 10.0 SUMMARY OF bility. CNR paper 29. J., Pattillo, M., Quillian, L., Sampson, POLICY IMPLICATIONS R., & Solari, C. (2009). Research Bailey, N. & Manzi, T. (2008a). Develop- Policy implications for this study are Design for the Study of Mixed-Income ing and sustaining mixed tenure hous- summarised in Figure 4 as a value Housing. Doherty, J., Boyle, P., Graham, E., His- cock, R., & Manley, D. (2006). Mixing All public sectors Developers housing tenures: Is it good for social ▪▪ Land price amount ▪▪ Construction costs well-being? St Andrews: University of St Andrews. ▪▪ Subsidy amount ▪▪ Land price amount Eklund, J.E. (2013). Theories of Invest- ▪▪ Bulk infrastructure ▪▪ All other costs ment: A Theoretical Review with Em- pirical Applications, Research Network Debate, SWEDISH ENTREPRENEUR- SHIP FORUM.

The city regulates Financiers Ellickson, R.C. (2009). False Promise of the Mixed-Income Housing Project, ▪▪ Spatial development planning framework ▪▪ Banks The. UCLA L. Rev. 57, 983. ▪▪ Collects rates and taxes ▪▪ DFIs Escobar, A. (1995). Encountering De- ▪▪ Infrastructure provision velopment. The making and Unmaking of the Third World. Princeton University Press and Oxford. Total value created and grassroots requirements Fama, E.F. & Schwert, G.W. (1977) Created value is calculated and shared into high quality affordable housing for Asset returns and inflation. Journal Of funds invested by government and the city. This yields safe desegregated resi- Financial Economics 5, 115 – 146. dential markets where all stakeholders are investors Feijten, P. & van Ham, M. (2009). Neighborhood Change... Reason to Figure 4: Value sharing strategy for ‘New Integrated Investment Cities’ delivery in 036 South Africa (Author, 2017)

© 2018 NMMU and DoHS Leave? Urban Studies 46, 2103 – 2122. Built Environment 28, 667 – 678. Tunstall, R. & Fenton, A.(2006). In the doi:10.1177/0042098009339430 doi:10.1007/s10901-013-9351-8. Mix, a Review of Mixed Income, Mixed Tenure and Mixed Communities: What Freeman, R.E., Wicks, A.C. & Parmar, Landman, K. (2012). Stirring the urban do we know. York, Housing Corporation, B. (2004). Stakeholder Theory and pot: The nature and future of mixed Joseph Rowntree Foundation & English “The Corporate Objective Revisited.” housing in South Africa. Partnerships. Organization Science 15, 364 – 369. Lemanski, C. (2014). Hybrid gentri- doi:10.1287/orsc.1040.0066 Urban Landmark. (2011). Urban Land- fication in South Africa: Theorising Mark Land Release Assessment Tool: Galster, G. (2004). Measuring the across southern and northern cities. Pennyville Case Study Report July 2011 Impacts of Community Development Urban Studies 51, 2943 – 2960. [WWW Document]. URL https://mail. Initiatives: A New Application of the doi:10.1177/0042098013515030. google.com/mail/u/0/#search/godwish- Adjusted Interrupted Time-Series Meth- Markowitz, H.M. (1959). Portfolio selec- es.simba%40gmail.com/14551f47386f- od. Evaluation Review 28, 502 – 538. tion: efficient diversification of invest- 77b0?projector=1 (accessed 6.1.14). doi:10.1177/0193841X04267090 ments, Cowles Foundation Monograph, U.S. Department of Housing and Urban Galster, G., Andersson, R., & Musterd, New Haven: Yale University Press. Development, (2003). Mixed-income S. (2010). Who Is Affected by Neighbor- McIntyre, Z. & McKee, K. (2012). Cre- Housing and the HOME Program. hood Income Mix? Gender, Age, Family, ating sustainable communities through Employment and Income Differenc- Verster, 2009. Western Cape Inclusion- tenure-mix: the responsibilisation of es. Urban Studies 47, 2915–2944. ary Housing Discussion Document. marginal homeowners in Scotland. doi:10.1177/0042098009360233 GeoJournal 77, 235 – 247. Whitehead, C. & Scanlon, K. (2007). Goko, C. (2013). IFC Invests $63 Social Housing in Europe. London Modigliani, F. & Miller, M.H. (1958). Million in Affordable Housing. Financial School of Economics and Political Sci- The Cost of Capital, Corporation Mail. ence: LSE London. Finance and the Theory of Investment. Green Building Council of South Africa, The American Economic Review Vol. 2014. Socio Economic Category Pilot. 48, No. 3. pp. 261 – 297, Published by: American Economic Association, Hervé, F. (2009). Integrating poor pop- Stable URL: http://www.jstor.org/sta- ulations in South African cities. Paris: ble/1809766. Agence Française de Développement. Musterd, S. (2005). Social and ethnic Hughen, W.K. & Read, D.C. (2014). segregation in Europe: levels, causes, Inclusionary Housing Policies, Stig- and effects. Journal of urban affairs 27, ma Effects and Strategic Production 331 – 348. Decisions. The Journal of Real Estate Finance and Economics 48, 589 – 610. National Treasury,(2014). The Budget doi:10.1007/s11146-013-9402-7. Speech. Human Settlements. (2012). South Onatu, G.O.(2010). Mixed-income Africa Year Book. housing development strategy. Interna- tional Journal of Housing Markets and Jorgenson, D. (1967). “The Theory of Analysis Vol. 3, 203 – 215. Investment Behaviour, In: Determinants of Investment Behaviour” Universi- Popkin, S.J. (2007). Race and public ties-National Bureau Conference Series housing transformation in the United No. 18, Ed.: Ferber, R., Colombia States. Neighborhood Renewal & Hous- University Press: New York. ing Markets: Community Engagement in the US & UK 138 – 162. Jupp, B., Sainsbury, J., & Akers-Doug- las, O. (1999). Living together: com- Prinsloo, S. (2008). The South African munity life on mixed tenure estates. Inclusionary Housing Policy. Demos: London. Roux, T. (2007). Inclusionary Hous- Kempen, R. & Bolt, G.(2009). Social ing Bill Initial Regulatory ImpactAs- cohesion, social mix, and urban policies sessment [WWW Document]. URL: in the Netherlands. Journal of Housing https://mail.google.com/mail/u/0/#- and the Built Environment 24, 457–475. search/godwishes.simba%40gmail. doi:10.1007/s10901-009-9161-1 com/14551f47386f77b0?projector=1 (accessed 6.1.14). Khadduri, J. (2001). Deconcentration: What do we mean? What do we want? Sharpe, W.F. (1963). A simplified model A Journal of Policy Development and for portfolio analysis. Management Research 5. Science IX (2), 277 – 293. Klug, N., Rubin, M., & Todes, A. (2013). Tobin, J. (1969). A General equilibrium Inclusionary housing policy: a tool Approach to Monetary Economics, for re-shaping South Africa’s spatial Journal of Money, Credit and Banking, legacy? Journal of Housing and the vol.1, 15 – 29. 037

© 2018 NMMU and DoHS SUB-THEME 4: HUMAN SETTLEMENTS GOVERNANCE Human settlements governance: An ethical consideration L.D. Naidoo | Mangosuthu University of Technology B.B. Naidoo | Durban University of Technology

Abstract The failure of the South African local government to contain the backlog in housing provision has highlighted governance issues that exist in these and similar organizations that are increasingly impacting on service delivery and sustainability. The latest service delivery protests increased scrutiny not only on government as a whole, but on local government in particular. The recent Tshwane R97M flats that are ‘unfit for human occupation’, the Soweto hostel eradication program that cost millions, but achieved almost nothing and the multimillion rand eThekwini Metro housing scandal, amongst others, have raised questions about governance in these organizations. This paper considers some of the existing guidelines and legislation such as the Company’s Act, the King Reports and the PFMA, amongst others, that provide guidelines for proper governance and recognises that these have been insufficient to overcome the challenges of governance. It maintains that with the escalating corruption and maladministration in organisations in the low cost housing sector, the ethical recapture of these organisations through ethical leadership is a necessary condition for sustainable housing development. In this spirit it welcomes the introduction of Draft King IV Report. King IV whilst reemphasising the importance of well-grounded leadership in governance and pays particular attention to ethics in leadership. Ethical leadership is seen as a means of changing the culture of organisations to ensure officials perform their jobs efficiently, effectively and with integrity. The paper, in noting the strategic direction leaders provide to organisations, comments on the probable effectiveness of King IV in ensuring behaviour change in the low cost housing sector.

Key words: service delivery, local government, governance, sustainable development, ethical leadership

1.0 INTRODUCTION and shacks, the swelling number of which argues for the adoption of he apartheid era in South homeless and the snowballing pop- increased ethical considerations Africa has been noted for the ulation of the country has increased and ethical leadership have recently worst kind of atrocities to the the pressure on government to been introduced and provides fur- T speed the delivery of housing ther guidance to help overcome the ‘non-white’ people of this country. Notably amongst these marginal- services. The call for an integrat- ethical governance challenges of ised groups, the indigenous peo- ed approach that provides for job service delivery and sustainability to ples suffered the most and despite creation and well performing human the entities involved in the provision attempts by the post-apartheid settlements that are sustainable of housing. It is premised on the government to address the housing has resulted in an examination of importance of ethical leadership as shortage in particular, with what the functioning of municipalities and a means of capacitating municipal- is regarded as the world’s largest their leadership. This examination ities and presents ethical govern- housing development programme has further led to the exposure of ance as necessary for facilitating in the world, the situation remains governance failures, evidenced by service delivery and promoting dire. The provision of close on large-scale corruption and systemic the creation of sustainable human three million housing units and maladministration, as being one settlements. of the contributory causes of the the approximately four million To create a context to discuss the failure to address the housing need housing subsidies provided by the impact of King IV recommenda- more effectively. post-apartheid government has tions, this paper will firstly provide done little to tackle the fragmenta- The Company’s Act, King Reports clarity on the concepts of: human tion and inequality that continues to I to III, and PFMA amongst others settlements; governance; and eth- exist in housing provision in South sought to provide guidelines for ics. Thereafter some of the provi- African and service delivery pro- proper governance, but serious sions of the legislation that provides tests remain a daily constant. The infractions continued to occur. The guidelines for proper governance 038 proliferation of informal housing Draft King IV recommendations will be scrutinized. The argument

© 2018 NMMU and DoHS will be advanced that with the esca- government intervention to redress channelled into activity corridors lating corruption and maladministra- those wrongs and enable “equitable and nodes that are adjacent tion in organisations in the low-cost and sustainable development”. It is to or that link the main growth housing sector, the ethical recap- intended to be a crucial tool for the centres…” ture of these organisations through government in pursuing its goals of The principles set out above pro- ethical leadership is a necessary “ensuring greater economic growth, vide the guidelines for government condition for sustainable housing buoyant and sustained job creation to act in a manner that fulfils the development. The paper will then and the eradication of poverty”. It objectives that have been set to consider what impact, if any, King states that: redress the imbalances of the past. IV may play in strengthening gov- “The ultimate purpose of the This comes with the expectation ernance in these organisations. NSDP in the South African that government will undertake its 2.0 THE RELATIONSHIP setting is to fundamentally function in a manner that is beyond BETWEEN HUMAN reconfigure apartheid spatial re- reproach. In fact the United Na- SETTLEMENTS, lations and to implement spatial tions Department of Economic and GOVERNANCE AND priorities that meet the consti- Social Affairs believes that for the ETHICS tutional imperative of providing various institutions and organisa- To be able to understand why King basic services to all and allevi- tions that act to implement govern- IV is relevant to the discussion of ating poverty and inequality…” ment objectives to be able to do so, Human Settlements in South Africa, (NSDP, 2006) especially in developing countries, it is important to understand the good governance is crucial (UN, dependence of successful Hu- The normative principles provided 2005). man Settlement interventions on by the NSDP (2006) is aimed at good governance. Once this link contributing to the growth and de- 2.2 Governance is understood it is then possible to velopment policy objectives of the Governance can be seen as the: government. These principles are examine the place of ethics and “… establishment of policies, given as: ethical leadership in enabling good and continuous monitoring of governance. ▪▪ “Rapid economic growth that their proper implementation, by 2.1 Human settlements is sustained and inclusive is a the members of the governing The concept of ‘Human settlements’ pre-requisite for the achieve- body of an organization. It in- has been described as: ment of other policy objectives, cludes the mechanisms required among which poverty alleviation to balance the powers of the “…an integrative concept that is key. members (with the associated comprises: (a) physical compo- accountability), and their primary nents of shelter and infrastruc- ▪▪ Government has a constitutional duty of enhancing the prosperity ture; and (b) services to which obligation to provide basic ser- and viability of the organiza- the physical elements provide vices to all citizens (e.g. water, tion…” (The Business Dictionary. support, that is to say, commu- energy, health and educational n.d.) nity services such as education, facilities) wherever they reside. According to Nnoli (Nnadozie, health, culture, welfare, recrea- ▪▪ … Government spending on 2015:193) governance may be tion and nutrition” (Glossary of fixed investment should be “… determined by the relationship Environmental Statistics, 1997). focused on localities of eco- between the rulers and the ruled” To address human settlement chal- nomic growth and/or economic and as such is different from gov- lenges in South Africa, the National potential in order to gear up ernment which “… is the agency Spatial Development Perspective private-sector investment, to of the ruling or dominant class in (NSDP) was created by the South stimulate sustainable economic the society, which is saddled with African government. The NSDP activities and to create long-term the duty of exercising state power (2006) is an intervention seeking employment opportunities. on behalf of other members in that to address the ills of apartheid. ▪▪ Efforts to address past and class’. Dassah (2015:716 – 717) in It is positioned as a critical focus current social inequalities should summarising the views of various that will enable the government to focus on people, not places… other authors expands on the views redress the harm inflicted by apart- ▪▪ In order to overcome the spatial of Nnoli (2003) in stating that the heid and colonialism on “settlement distortions of apartheid, future term government gave rise to the patterns and economic activity settlement and economic devel- term governance. Dassah sees in South Africa”. It is expected to opment opportunities should be governance as the manner in which provide the structure necessary for 039

© 2018 NMMU and DoHS power is used in “managing the consider what the right or morally year (Tomlinson, 2015: 3 – 4). economic and social resources for correct course of action would be Another reason put forward is the a country’s development”. and that such a consideration may fact that the population is increasing entail rejecting or turning away from and household sizes are getting According to the United Nations the biggest short-term profit. (The smaller (World Bank, 2011). Fur- (2005), “Fostering effective lead- Times 100 Business Case Studies, ther theories speak more directly to ership is perhaps one of the most n.d. ). issues of the capacity of municipal- important and first steps to take in ities to deliver services, the inability the reform of the public sector … 3.0 DISCUSSION to maintain, or neglect of, existing Effective leadership is critical to the 3.1 Unethical Behavior and Hu- infrastructure, and ‘institutional future of governance, of democracy man Settlement Failures problems of corruption and mis- and of people’s well-being…” The first democratic elections were held in South Africa in 1994 and management’ (Nnadozie, 2013). In terms of the above definitions signaled an end to the policy of Supporting Nnadozie’s contention governance can be seen as man- apartheid. The systemic discrim- that corruption and mismanage- ner in which governments or rulers ination that was practiced by the ment is in part to blame for the exercise the power placed in their apartheid government and that failure of human settlement service trust by the ruled or the people of had led to massive housing short- delivery is the spate of highly publi- a country when rendering public ages for the black population was cized investigations undertaken by service though the use of resources one of the primary concerns of the the Public Protector’s Office. The made available to them. Govern- incoming ANC majority govern- investigations where the allegations ance therefore is aligned to ac- ment and was specifically called were borne out include the inves- countability, trust and effective lead- out in the 1994 election manifesto tigations into the following: Senqu ership. Ciulla defines leadership (ANC, 1994). Human settlement Municipality, December 2014, as; “a complex moral relationship policies and initiatives were created George Municipality in December between people based on trust, and there was an expectation that 2014, Department of Public Works, obligation, commitment, emotion, there would be rapid improvements Roads and Transport in Mpuma- and a shared vision of the good” in housing and related services langa in December 2013, etc. The (Ciulla, 2014:xv). Once leadership provision within even the ANC’s first issues range from unlawful and is identified as having a moral di- term of government. Yet even if we improper conduct in the appointing mension the concept of ethics is at focus on a single element, namely of staff, to unlawfulness and impro- its core. Ciulla, in fact places ethics housing provision, we find that over priety in the awarding of leases and “at the heart of all human relation- the next 20 years, although the other similar instances of corruption ships and hence at the heart of the government provided more than and maladministration. (PPSA) relationship between leaders and 2.5 million houses and another 1.2 followers.” (Ciulla, 2014:xv) Again, if we focus on the single million serviced sites, the housing aspect of housing delivery investi- 2.3 Ethics backlog increased from 1.5 million gations undertaken by the Public Ciulla defines ethics as being to 2.1 million units. Over the same Protector we find: “about how we distinguish between period the number of informal set- right and wrong, or good and evil tlements increased by 650%, from 1. In her report, ‘The Cost of in relation to the actions, volitions, 300 to 2 225. Similarly, although Deviation’ released on the 26th and characters of human beings.” the housing subsidy has increased January 2016, the Public Protec- (Ciulla, 2014:xv). Similarly, in a from R12 500 per household to tor found that the tender process business case study developed approximately R160 500 today, conducted by the Nelson Man- around Cadbury Schweppes, Ethics and state spending on housing and dela Bay Metropolitan Munic- was defined as “an individual’s community amenities has improved ipality for the construction of moral judgements about right and from 1% to 3.7% of GDP, the quality RDP houses was irregular and wrong”. The case study emphasis- of the houses being delivered is constituted maladministration. es that when decisions are made often poor (Tomlinson, 2015:1). In addition, that the municipality by individuals or groups within Very many reasons are theorized had failed to comply with the an organisation the culture within as being behind this including the Provincial Department of Human these organisations will influence observation that the actual delivery Settlement’s directives (Madon- whoever makes these decisions. of houses has decreased over time sela, 2016). They advise that since the deci- from 235 600 units in the 1998/99 2. Similarly, a July 2013 report, sion to behave ethically is a moral financial year, to approximately 106 ‘The Pipes to Nowhere’, into the 040 decision, it behoves employees to 000 units in the 2013/14 financial

© 2018 NMMU and DoHS Nala Local Municipality referenc- (Corruption Watch, 2017). themselves when there is such a es a KPMG report that identified conflict of interest. (PFMA. 1999). As early as November 2012 the double salaries and bonuses Public Protector had stated the Notwithstanding the implementa- that were paid forcing an inves- need for “ethical leadership to tion of these provisions, corruption tigation into “misappropriation raise the bar regarding integrity in amongst public servants remained of funds on the payroll system”, public sector service delivery”. She widespread. It is for this reason further maladministration that declared that “Integrity applies with and in keeping with the idea that led to the contractor abandoning respect to both the manner in which ethics and ethical leadership was the site of the Marantha Housing people are treated and control over needed that the provisions of King Project after only 4 units were public resources and opportunities III are being revised for King IV. built and infrastructure for the is exercised.” (Madonsela, 2012b). The revision seeks to assist the site that had also not been de- Yet at this point both the Company’s leaders and others within organisa- veloped (Madonsela, 2013). Act and Public Finance Manage- tions by clarifying the role that they 3. A February 2012 report, ‘Glim- ment Act (PFMA) were already well need to undertake to model, influ- mer of Hope’ confirmed with the established. ence and galvanize the rank and Head of the Mpumalanga De- file in the organisation so that ethics 3.2 Company’s Act and PFMA partment of Human Settlements and ethical behaviour becomes The legal and regulatory constraints that houses in Siyathemba did systemic. for ethical behaviour is provided not have toilet facilities, that by the Company’s Act and Public 3.3 DraftKing IV numerous houses were defec- Finance Management Act (PFMA). Draft King IV provides guidance for tive and that on some plots only the internal culture and self-reg- the steel structures had been The Company’s Act requires that ulatory environment that ethical erected. The report also includ- directors act in good faith and for organisations need to inculcate. It ed mention of credit note fraud proper purpose, in the compa- identifies that organisations need to within the Dipaleseng Municipal- ny’s best interest and with care, foster ethical behaviours for cor- ity of R1.5 milion that was not skill and diligence. They may not ruption and maladministration to be reported to the SAPS (Madonse- use their position or knowledge neutralised. Essentially, King IV is la, 2012a). obtained through their position to a determined effort by Institute of take advantage or harm the organ- Looking outside the Public Protec- Directors South Africa to temper the isation. Any information that may tor’s office, and directly at state- privilege of power with the respon- harm the organisation needs to be ments released by the government, sibility of ethics. The Draft King IV immediately disclosed if they are we find the following reports. On 2 report explicitly states that its objec- not legally precluded from doing so. February the government report- tives include to: They must take reasonable steps ed that a Sol Plaatje Municipality to keep themselves informed, must ▪▪ “promote good corporate gov- official was arrested for fraudulent have a rational basis for making ernance as integral to running actions committed from 2011 to or supporting a decision, but may a business or enterprise and 2016. In that period he profited rely on competent employee, board delivering benefits such as…an from the combined salary and fraud committee or expert opinion to do ethical culture… to the tune of R2.2 million (SAPS, so where there’s a reasonable ba- 2017). A councillor in Aliwal North ▪▪ present good corporate gov- sis for it (Company’s Act. 2008). was found guilty of corruption ernance as concerned with not (Eastern Cape Human Settlements, To this the PFMA adds that direc- only structure and process but 2016). On 9 December 2015 five tors must protect the assets and also an ethical consciousness former Gugulethu Officials were records, act with fidelity, honesty, in- and behaviour” (Draft King IV, sentenced to seven years imprison- tegrity whilst managing financial af- 2016:2) fairs, disclose to the minister when ment for defrauding the social grant In clearly identifying its underpin- requested necessary information, system. (GCIS, 2015). Corruption ning philosophy as addressing eth- and act in protection of the finan- Watch, a chapter of Transparency ical effective leadership, it speaks cial interests of the state. Further, International, in its Annual Report of an ethical ‘culture’, ‘conscious- that they may not contravene their noted that it received 4 391 reports ness’ and ‘behaviour’. In taking this board responsibilities or the terms from the public in 2016 that purport- approach it suggests that an organi- of the PFMA and must in addition ed to be instances of corruption. sations culture is set from the top to not using their position to benefit 61% were adjudged to be so and of and that the behaviours of leaders these 5% related to housing issues themselves or their families, recuse influence those that they lead. 041

© 2018 NMMU and DoHS King IV develops each of the princi- by reforming the way organisations Tshwane municipality has estab- ples of responsibility, accountability, set goals and objectives. It recom- lished a fraud hotline, launched fairness and transparency in terms mends that organisations redefine Fraud Awareness campaigns, of how the governing body of an their focus away from short-term developed a whistle blowing policy, organisation should conduct itself to capital markets to long-term sus- created a code of conduct, main- effect ethical leadership. It states: tainable capital markets (Draft King tains a gift register and is constantly IV, 2016:14). It further suggests reviewing policies to strengthen “Responsibility: The governing that they move from financial capi- controls. Yet, notwithstanding this, body should assume ultimate talism to inclusive capitalism (Draft it reported a 41% increase in the responsibility for the organisa- King IV, 2016:14) and extends the number of cases reported through tion, as well as the protection idea of integrated reporting that was whistleblowing channels in the of resources: financial, man- introduced in King III to the concept 2014/2015 financial year (City of ufactured, human, social and of integrated thinking (Draft King IV, Tshwane, 2016). relational, and intellectual and 2016:10). natural capitals. 4.0 CONCLUSION Draft King IV speaks specifically to Accountability: The governing Draft King IV contains a compre- the company’s role and responsi- body should be held responsible hensive set of recommendations bility in society, corporate citizen- for its decisions and actions by that provides the leadership of ship, sustainable development and stakeholders. Accountability organisations with a blueprint to stakeholder inclusivity and respon- follows from the assumption demonstrate ethical behaviour siveness (Draft King IV, 2016:14). or designation of responsibili- by personally adhering to the It recommends the establishment of ty. Governance structures and guidelines provided. It also pro- a social and ethics committee that arrangements should connect vides guidance on organisational is able to address ethical behaviour responsibility and accountability. policies, practices, functions and and ethics management (Draft King Accountability cannot be dele- capabilities that when implemented IV, 2016:17) and emphasises the gated or abdicated, and should can fundamentally change organ- critical role of stakeholders in the be communicated clearly. isational processes to proscribe governance process (Draft King IV, unethical practices and promote Fairness: The governing body 2016:31). It even speaks directly ethical behaviour. The intent is to should ensure that it balances in to corporate codes of conduct and have the demonstrated behaviour its decisions the legitimate and identifies the place of values with and reformed processes change reasonable needs, interests and recommended practices (Draft King the organisational culture so that expectations of material stake- IV, 2016:34) and the role of state- at every level personnel identify holders of the organisation, in ments of vision and mission (Draft and weed out unethical behaviour the best interests of the organi- King IV, 2016:4). amongst their peers and personally sation. However, Draft King IV remains aspire to the highest standards of Transparency: The governing a set of recommendations. It is integrity. However, as discussed body should ensure that reports the Company’s Act and the Public earlier Draft King IV remains a set and disclosures enable stake- Finance Management Act (PFMA) of recommendations and therefore holders to make an informed that provide the ‘teeth’ for regula- by itself cannot hope to stem the assessment of performance, in- tory agencies such as the Public systemic and widespread corrup- cluding the impact of the organi- Protectors Office to hold leaders of tion that has been evidenced within sations activities and its ability to organisations to a high standard of the organisations and institutions sustain creation of value. (Draft ethics. charged with effecting the govern- King IV, 2016:3 – 4) ments NSDP. It will be up to the 3.4 Evidence of Effectiveness of leadership of these organisations In carefully explicating each of the Draft King IV Recommendations to have the courage to engage with principles, it clarifies for organisa- The recommendations contained in organs such as the Public Protec- tions that the leadership need to Draft King IV are fairly comprehen- tors Office and the Courts and use apply integrity to the management sive and numerous public organisa- the provisions within the PFMA and of people and resources. tions have already instituted some the Companies Act to act decisively of these measures after they were King IV also provides some funda- to eradicate corrupt and unethi- alerted to unethical practices within mental concepts that if embraced cal behaviour. The authors take their organisation. However there by organisations will start to create heart from the outstanding courage is no evidence that these have the context for cultural change and displayed by the outgoing Public proven effective. For example, the 042 a commitment to ethical practices

© 2018 NMMU and DoHS Protector, Thuli Madonsela, and ment”, http://www.gov.za/speeches/ Affairs official”. http://www.gov.za/ believe that as long as South Africa justice-crime-prevention-and-secu- speeches/police-court-appearance- has people of such calibre, there is rity-clusters-media-briefing-state- home-affairs-official-8-feb-2017-0000. ment-13-dec-2015-0000. Government Government of South Africa, Retrieved hope for the future. of South Africa, Retrieved 1st March 1st March 2017 2017 References The Business Dictionary. n.d. http:// African National Congress. 1994. “ANC Madonsela, T. 2012a. “Glimmer of www.businessdictionary.com/definition/ Election Manifesto”. http://www.anc.org. Hope: Report No. 19 2011/2012”. governance.html#ixzz4Caxh4aIk, Web- za/docs/manifesto/1994/manifesto.html. http://www.pprotect.org/library/inves- Finance Inc. Retrieved 13th July 2016 th Retrieved 13 July 2016 tigation_report/2012/Dipaleseng%20 The Times 100 Business Case Stud- Local%20Municipality%20Report-Fi- City of Tshwane. 2016. “City of Tshwane ies. n.d. http://businesscasestudies. nal%20version%202-signed.pdf, Public Annual Report 2014/2015”. http://www. co.uk/cadbury-schweppes/ethical-busi- Protector South Africa (PPSA). Re- tshwane.gov.za/sites/about_tshwane/ ness-practices/the-importance-of-eth- trieved 13th July 2016 CityManagement/Office%20Of%20 ics-in-business.html#axzz4CmUoZ6Sk, The%20City%20Manager/Pages/Annu- Madonsela, T. 2012b. “An address by 1995 – 2016 Business Case Studies al_Reports_2014-2015.aspx, Retrieved Public Protector at the second Dai- LLP th 13 July 2016. ly Maverick Gathering Conference”. Tomlinson, M. 2015. “South Afri- http://www.pprotect.org/media_gal- Ciulla, J. 2014. “Ethics, the Heart of ca’s Housing Conundrum”, @Lib- lery/2012/23_11_2012_sp.asp, Public Leadership”. Praeger erty, October 2015, No.4; Issue 6, Protector South Africa, Retrieved on 12 pp.1 – 7, 11 – 14. http://irr.org.za/ Companies Act of 2008 as amended June 2016 by the Companies Amendment Act, reports-and-publications/atLiberty/files/ 2011 (Act No. 71 of 2008). Government Madonsela, T. 2013. “Pipes to No- liberty-2013-south-africas-housing-co- th Gazette 3423 Vol. 550. dated 26 April, where: Report No. 9 2013/2014”. http:// nundrum, Retrieved 30 June 2016. www.pprotect.org/library/investiga- 2011. South Africa. http://www.gov.za/ United Nations Department of Eco- tion_report/2013-14/pipes%20to%20 sites/www.gov.za/files/34243_gon370. nomic and Social Affairs (UN). 2005. th nowhere.pdf, Retrieved 13th July 2016 pdf. Retrieved 13 July 2016. Report on: “Human Resources for Corruption Watch. 2017. Annual Report, National Spatial Development Perspec- Effective Public Administration in a https://www.corruptionwatch.org.za/ tive (NSDP). 2006. 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Wash- Administration, Volume 50, Number 4, services in post-apartheid South Africa: ington: World Bank. December 2015. What has changed? Measuring on a Draft King IV Report on Governance for relative basis” (B. Kiregyera, & C. L. South Africa. 2016. Report of Institute Lufumpa, Eds.) The African Statistical of Directors in Southern Africa. http:// Journal , Volume 16, Number 83. www.adamsadamsip.com/wp-content/ Nnoli, O. 2003. “Introduction to politics”. uploads/2016/05/King_IV_Report_draft. Emgu, Pan African Centre for .Re- pdf, Adams and Adams, South Africa. search on Peace and Conflict Resolu- th Retrieved 13 July 2016. tion (PACREP) Eastern cape Human Settlements. Public Finance Management Act No 2016. Eastern Cape Human Settle- 1 of 1999 as amended by the Public ments intensifies human settlements Finance Management Amendment Act, municipal support. http://www.gov. 1999 (Act No. 29 of 1999). 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© 2018 NMMU and DoHS SUB-THEME 4: HUMAN SETTLEMENTS GOVERNANCE How to incorporate special needs housing within the development of social housing? Alison Wilson | National Association of Social Housing Associations

Abstract Internationally Social Housing programmes have often provided a key component in providing housing for people with special housing needs. In South Africa, where this linkage is made, it has been an ad hoc response, limited to a small number of social housing institutions (SHIs) and not built into either the policy or regulatory framework of social housing in South Africa. To date most special needs group housing projects that have been developed have been via NGOs, and very few through social housing institutions, and perhaps “outside” of the formal Housing Code. The proposed Special Needs Housing Policy addresses provision by NGOs, and excludes the role of social housing institutions. Special needs has therefore slipped through the cracks as a priority area within social housing. Ideally SHIs should cater for a range of housing needs across a spectrum from providing a shelter for people, to ownership, independent housing, in order to cater for people’s housing needs across their lifespan.

This paper presents the findings of research carried out on the implementation, policy and regulatory regime regarding the incorpo- ration of special needs housing within social housing. It looks at compliance with building regulations, and covers group homes and individual living scenarios. A recommendation is made for an agreed policy and proposes an implementation framework for special needs provision within the South African Social Housing programme, including suggestions on the proposed ratio for specially adapted social housing units to be applied in future social housing developments.

1.0 INTRODUCTION sessment is made of what current housing in South Africa. According his paper looks at the policy policies and programmes exist to the Project Preparation Trust surrounding special needs regarding special needs housing (PPT) in D G Murray Trust (2013) housing and how special and a survey of current practice by special needs group housing is not T SHIs with regard to special needs provided for within the policies and needs can be incorporated within the social housing programme. A housing undertaken, along with programmes of the National Depart- research study and interviews were interviews with relevant stake- ment of Human Settlements. holders. Compliance with building carried out for the National Asso- Historically a number of local and regulations (e.g. SANS 10400 Part ciation of Social Housing Organ- national initiatives to have a more S – accessibility) and related costs isations (NASHO) to investigate programmatic approach to the link- to provide special needs housing whether social housing institutions age have produced documents, but was also looked at. (SHIs) were open to address the there has been little change in the housing needs of individuals with 2.0 CURRENT STATUS approach with the exception per- special needs and how special OF SPECIAL NEEDS haps of KwaZulu-Natal (KZN) and needs might be located within the HOUSING AND SHIS Gauteng. Most special needs group social housing policy and grant 2.1 Overview housing projects that have been framework. Internationally Social Housing pro- developed have been via non-gov- The background to Special Needs grammes have often provided a key ernmental organisations (NGOs) (in Housing and the involvement of the component in providing housing for Kwa-Zulu Natal and in the Eastern Social Housing Sector is covered; people with special housing needs. Cape). Very few special needs pro- what Social Housing and other In South Africa, where this linkage jects have been developed through relevant legislation says regarding is made, it has been an ad hoc social housing institutions (SHIs). special needs housing, including response, limited to a small number Both models of provision, by NGOs the new draft Special Needs Hous- of Social Housing Institutions (SHIs) and SHIs, have perhaps been ing Policy for Non-Governmental and not built into either the policy “outside” of government’s formal Organisations (NGOs). An as- or regulatory framework of social National Housing Code (2009) and 044

© 2018 NMMU and DoHS are not covered by the restructur- and management of special needs ▪▪ parolees, probationers and ing grant framework set out in the housing through: youths in conflict with the law; Social Housing Act 2008 and the and 1. Group homes — by the develop- Social Housing Regulatory Author- ment of group housing facilities ▪▪ other vulnerable people such ity’s (SHRA’s) Regulations (2010). for people with special housing as victims of serious crime and Likewise interventions by SHIs to needs, either directly by the SHI, trafficing. provide individual self-contained or via an Non-profit Organisation units for people with particular spe- Housing for these groupings will (NPO) (Special Needs Group cial needs that required adaptation depend on whether they need to Homes are abbreviated as- to the unit has had to be funded be served by an NPO with exper- SNGH). by SHIs themselves. Discussions tise in health or welfare matters to on policy interventions on special 2. Independent living — by pro- give them the necessary care and needs housing to date have mainly viding support to people with support, and whether they could be excluded the role of social hous- special needs in self-contained housed by an SHI in a typical social ing institutions — special needs social housing units. (Social housing project. Housing Independent Housing is as a priority has slipped through There are two main types of Special abbreviated as SNIH). the cracks as a priority area within Needs Housing (SNH): group hous- 1 social housing . 3. Recommendations on the policy ing and individual housing. changes required for this to Social housing is aimed at pro- The principle difference between happen. viding (self-contained) housing in them lies in the ability or inability designated restructuring zones to 2.2 Defining Special Needs of a person with a special housing people earning up to R7 500 per Housing need to live independently and month. Social housing institutions Housing for special needs has been the degree of care and support are accredited institutions with the described by PPT (2013a) as: expertise required. The distinction Social Housing Regulatory Authority “… any form of state-assisted or between the two types of special (SHRA). The main focus of this pa- state-funded housing for persons needs housing, therefore, is ac- per is the provision of special needs in special need and/ or with special commodation which caters to the housing through SHIs, either as needs.” needs of people to enable them group homes (Special Needs Group Special needs groups include: to live independently (in a house Housing (SNGH), or in independent provided via project linked or indi- ▪▪ orphans and vulnerable children; units (Special Needs Independent vidual housing subsidy or in rental Housing (SNIH). ▪▪ the seriously ill (including those accommodation — such as provid- SHIs accommodate people based infected by HIV/AIDS) if they are ed by social housing institutions), on income threshold and afforda- able to live independently; or where they are not able to live independently, in group housing bility (and per the eligibility require- ▪▪ older persons (including frail arranged through a registered NPO. ments of the National Housing care, assisted living and inde- Code), not according to any particu- pendent living); Group housing can range from lar need — unlike other countries, short term (overnight) shelters, ▪▪ those with physical disabilities such as in the UK. As such, it is to medium term shelters (up to 6 (including frail care, assisted difficult for SHIs to accommodate months stay) to a longer term solu- living and independent living); people who might not have a tion for independent living in social regular income as a result of their ▪▪ those with intellectual and psy- housing. particular special need, and who cho-social disabilities; 2.3 Policy development with re- might therefore not be able to afford ▪▪ victims of domestic abuse gard to Special Needs Housing to pay the required rental. Some- (emergency and second stage, As stated above, special needs one on disability benefit alone for ‘move-on’ housing); group housing is not directly pro- example might not be able to afford vided for within the policies and to pay the rental of the cheapest ▪▪ the homeless/those living on the programmes of the National Depart- self-contained SHI unit. street (including street children); ment of Human Settlements. At a The paper looks at how SHIs could ▪▪ those receiving substance abuse Provincial level two provinces, KZN get involved in the development rehabilitation services; and Gauteng, have implemented

1 Interview with Marten Govender, SOHCO, 12th February 2015. 045

© 2018 NMMU and DoHS their own provincial policies for the applying NPO. These recom- housing policy to be approved at special needs housing. In KwaZu- mendations were subsequently national level before finalising it. lu-Natal the Department of Human included in the current draft Nation- The City of Cape Town (2007) Settlements’ Housing Policy for The al Special Needs Group Housing developed a draft special needs Aged and Disabled (undated) rec- Policy (). This draft policy, however, housing policy that referred to the ognises that the aged and disabled does not mention the role of, or strong synergy between its so- persons have been a low priority for funding for Social Housing Insti- cial housing programme and the policy makers and service providers tutions to enable them to provide development needs around special for a very long time, and as such special needs group housing, only needs housing. It advocated strong their special housing needs are not for NPOs. partnerships between SHIs and adequately catered for in society. The aim of the draft national policy organisations representing special Gauteng has policies on various for special needs group housing is needs care providers, as well as aspects of housing for people with to give grant support for the de- targeting social housing funding particular needs — for example, velopment of special needs group towards special needs which could they developed an HIV/Aids Policy housing, with funding going direct- lever in other sources of finance. on Housing (2007), followed by a ly to NPOs that have first been The City of Cape Town’s draft policy Special Needs Policy (2012). The approved by the Department of mentioned the following housing Western Cape provincial depart- Social Development. Some project typologies for special needs: ment of Human Settlements devel- preparation funding support would oped a programme for the Delivery ▪▪ Independent living, where social be made available, and minimum of special needs housing (2009), housing projects are adapted building space standards set for dif- while the City of Cape Town has a for people with special needs so ferent typologies. It is currently on draft Special Needs Housing Policy that they can live independently. hold within the National Department — Social Housing. The draft policy required the SHI of Human Settlements awaiting to commit 10% of its housing There have been moves for govern- approval. stock to this model. ment to adopt a policy on special In Kwa-Zulu Natal in particular spe- needs housing that came out of ▪▪ Cluster and group housing as cial needs group housing has been discussions held by the Special part of the development of social developed by NPOs, in partnership Needs Housing Forum that was housing involving special care with the provincial Departments facilitated by the Social Housing organisations to give the neces- of Social Welfare or Health, and Foundation (SHF). In 2008 the Spe- sary support to residents. This receive a Transitional housing sub- cial Needs Housing Forum asked could be in the form of individual sidy from the Department of Human for a Directive from the National units or as a cluster of units Settlements. (This is through using Department of Human Settlements within a social housing develop- their housing policy for the’ aged on special needs housing so that ment. and disabled’, and a policy frame- organisations could access fund- work for war veterans (recognising ▪▪ Cluster and group care housing ing for the capital requirements to them in the special needs ambit), independent of social housing build accommodation using hous- and guidelines on AIDS). The — a development provided by ing subsidy, as well as funding for Eastern Cape Provincial Govern- a special care organisation or in daily operational requirements. ment has signed a Memorandum tandem with an social housing Since then the Project Preparation of Agreement with the Department institution. Trust made a Joint Civil Society of Social Welfare to broaden the Submission to the Department of 3.0 METHODOLOGY ambit of housing special needs Human Settlements with a Request Desk top research and a literature and has funded projects mainly for to Expedite Special Needs Housing review of special needs housing orphans and vulnerable children. (2012). This covered institutional were undertaken and a Policy and The Provincial Government: West- arrangements for funding (namely Research document produced ern Cape (2009) policy for special approval by provincial departments (Drummond. 2015). This was needs group housing was used to of human settlements); the availa- followed by qualitative research on signed a Memorandum of Under- bility of project preparation funding; the status of special needs housing standing with the Departments of and oversight by other provincial within social housing institutions. Social Development and Health in departments such as the Depart- This looked at the different forms the province. This policy has not ment of Social Development or of special needs housing, financ- yet been implemented, as they are Health of the project application, ing frameworks, legal and policy waiting for the draft special needs 046 and the viability and credibility of implications, institutional mecha-

© 2018 NMMU and DoHS nisms, current policies and position were interviewed or were part of the Authority (SHRA) and the National papers on the subject, design and survey. Instead the focus was on Department of Human Settlements other technical and other techni- those that were either already en- was also consulted, and they also cal elements such as compliance gaged in housing people with spe- attended the Kwa-Zulu Natal PSC. and norms and standards, as well cial needs in some way, or who had 4.0 DISABLED as the experiences of the social expressed an interest in doing so, ADAPTATIONS housing institutions that engaged but did not know how to go about it. The disability provisions included in housing for people with special The degree of interest and partici- in the National Housing Code give needs in terms of challenges and pation was taken from the author’s greater accessibility for people with lessons learnt. A questionnaire knowledge of the sector and from physical disabilities in normal hous- was developed and circulated to interest expressed by participants ing projects who are homeowners key stakeholders, tailored to each from different housing institutions and mainly as part of a new RDP stakeholder grouping, followed up who were present at a meeting of housing development. Under the by interviews concentrating on the NASHO members at which the renew Norms and Standards (2013), key stakeholders. Two site visits searcher had made a presentation after April 2014, 45 meter square were undertaken, one as an exam- on the research work about to be dwellings would be constructed ple of people with a special housing undertaken on special needs hous- for people with disabilities who are need living in independent accom- ing. However, one SHI who had wheelchair users. modation (SNIH), and to one social been present at that meeting, and housing institution that provided who had said that they would like 5.0 PRESENT STATUS group homes in conjunction with to take part in the survey, did not WITH REGARD TO THE their partner voluntary organisation respond to phone calls or emails HOUSING PEOPLE WITH SPECIAL NEEDS: (SNGH). (SOHCO in Cape Town, requesting details of their policy SUMMARY OF THE and Yeast City Housing in Pretoria). and practice in respect of housing RESULTS OF THE people with special needs. In anoth- Interviews were conducted with so- SURVEY OF SHIS er case a telephonic interview took cial housing institutions as follows: There are two SHIs that active- place. Visits took place to two social ly cater for the needs of people ▪▪ Management in housing associ- housing institutions, one that had with special housing needs, both ations who have engaged with extensive experience of developing linked to a faith based charity special needs housing such as special needs group housing, and arm — Madulammoho HA (MHA) Communicare and Madulammo- another that was carrying out ad- in Johannesburg and Yeast City ho Housing Association. Note: aptations to self-contained flats for Housing (YCH) in Pretoria, but in Yeast City Housing Association people with a physical disability. different ways. MHA has signed were not specifically interviewed Other interviews were conduct- a Service Level Agreement with for this piece of work, but re- ed with relevant personnel in the their faith based charitable part- search and information about Cities of Johannesburg and the ner, MES, to provide social work their engagement in special City of Cape Town where there was support to meet the needs of their needs was taken directly from some activity in the development tenants. YCH has worked with their the author’s previous experience of special needs housing, from partner faith based organisation, of working with them, and the both a human settlements and Tshwane Leadership Foundation organisation was aware of this social development perspective. (TLF) and developed special needs research. Interviews were also conducted group homes using the institutional ▪▪ Selected SHIs who were either with representatives from provincial housing subsidy for different needs interested in engaging in special government in Gauteng and the groups (women and girls at risk, needs housing such as SOHCO Western Cape’s human settlements OVC’s, people with mental health and IMIZI, as well as those who and social development depart- problems, a hospice for homeless had not yet really considered ments. The Social Housing Provin- people). These specially developed this: JOSHCO and First Metro cial Steering Committee (PSC) for facilities are managed by TLF, the Housing Association, to find out Social Housing in Kwa-Zulu Natal NPO, for which they sign a lease the reasons for this, and what was also attended and a presenta- with YCH and pay a (in some cases factors would encourage them tion given on the purpose of the subsidised) rent. to partake in a programme to research and to elicit the views Communicare in Cape Town has develop special needs housing. of SHIs and municipalities in the also provided accommodation Not all social housing institutions province who attended the meeting. for people with particular needs, The Social Housing Regulatory 047

© 2018 NMMU and DoHS in their case the elderly, and has SHIs are focussing on the needs of headed households, persons employed social workers to provide their business and have no appe- with disability and the elderly”. support to this group. Currently tite to address the needs of people ▪▪ There is no national policy 55% of their total tenant base is with special needs. If the provision or agreed guideline on what made up of older persons. They are of special needs housing is not percentage (if any) of new units now, however, trying to move away perceived to be part of the mandate developed should be adapted from this emphasis on housing of social housing, then SHIs do not for people with physical disabili- older people and are developing a see it as a problem or issue that ties or other special needs. more coherent community develop- they are not catering for this client ment strategy with increased focus group. ▪▪ No dedicated capital funding on the tenants. That will involve is available to SHIs in order to In England where there are about the phasing out of non-core pro- carry out adaptations of units 2 000 SHIs, most SHIs used to grammes.2 They also currently let for people with particular phys- leave the development of special out three of their houses on a lease ical needs. SHIs are therefore needs housing up to dedicated agreement to separate NPOs ca- providing or retrofitting units for SHIs set up for that purpose. Over tering for women at risk, the elderly, people with physical disabilities time, however, generalist SHIs took and people with intellectual disa- out of their own funds — either on the responsibility of being ac- bilities, who manage the care and out of total scheme costs if a countable for all the housing needs support required for the residents. new development, or out of their (including special) in their areas. operating (day to day) mainte- Some SHIs had a sister arm which The sector in SA is perhaps not yet nance budgets. dealt with social development or at that stage of its development to social work care issues with benefi- be able to state that all SHIs must ▪▪ Most SHIs felt that the main ciaries of special needs accommo- cater for all the needs in their area, issue was that the demand for dation. For Communicare there is especially as the funding structure disabled units was not that high, an internal division which deals with does not support the provision of and even when specially adapt- community development matters special needs housing. No funding ed units are built or set aside, through its social workers, whereas is provided by the SHRA for the then there are often problems in Madulammaho HA had a sister arm development of group homes for finding tenants for them despite in Mould, Empower, Serve (MES), special needs, or to meet the needs reaching out to disability groups and Yeast City Housing in Tshwane of the disabled. and NPOs. Liaison with organ- Leadership Foundation (TLF) which isations dealing with special 5.1 Summary of main findings dealt with these matters. Both MHA of the Special Needs Survey of needs beneficiaries did not yield and Communicare have a commu- SHIs results. nity development department, but The main findings were as follows: ▪▪ SHI’s found it easier to retrofit a “special needs” is not necessarily ▪▪ Only one SHI has embraced unit to meet the allocated ten- the same and requires a different special needs housing by ants’ individual needs. set of competencies and funding developing a range of different ▪▪ SHIs said that they could be streams. housing options for a range of open to housing people with Apart from the three specialist special needs groups. special needs if that could be SHIs, of the SHIs contacted, only a ▪▪ Most SHIs are not providing for made sustainable and proper few expressed interest in providing the housing needs of people funding arrangements were in housing for the broader definition of with special needs, apart from place. At present SHIs focus on housing people with special needs, perhaps people with a physical complying with the qualifying apart from perhaps providing for an disability. This is despite the fact criteria at the cost of providing arbitrary percentage of new build that the Social Housing Act 2008 for special needs beneficiaries. units adapted for wheelchair users. states that SHIs should: “ensure ▪▪ NPOs dealing with special Most SHIs cater for the needs of their respective housing pro- needs do not have a champion individual tenants who require grammes are responsive to local to create the linkages between their unit to be adapted because housing demands, and special special needs and housing. of mobility problems as they arise priority must be given to the and retrofit a unit specifically for the needs of women, children, child ▪▪ The income of people on state needs of that tenant.

2 Communicare. Annual Report. 2014 048

© 2018 NMMU and DoHS pensions or allowances pre- needs. SHIs could offer special behalf of the SHI (PPT (2013b). cludes their ability to access so- needs housing to those individuals The SHI signs a lease agreement cial housing, as rentals are not who are able to live independently with the NPO for the use of the affordable to the client group. or communally in a mixed residen- property for which a rental will be There would need to be an tial housing setting, i.e. a combi- payable. For example, Yeast City operational subsidy to cater to nation of individual units combined Housing in Pretoria has developed people with special needs who with a group facility, for beneficiar- various group homes (SNGH) in cannot the current rent levels in ies who do not require any addi- conjunction with their partner NPO, social housing. tional need for care giving. An SHI Tshwane Leadership Foundation could also provide special needs (TLF). Yeast would sign a separate ▪▪ The City of Johannesburg has group housing through a partner- lease agreement for each build- a Pay for Service model that is ship with an NPO, as has been the ing developed for a special needs meant to fund NGOs to provide case of Yeast City Housing in Preto- group that TLF would provide an identified service to people ria. However, NPOs mainly provide support services to residents and in need, that could be replicated group homes independently of would be responsible for paying a elsewhere as a funding model, SHIs. The types of facilities which rental for the facility developed to but insufficient funding has been NPOs would provide could vary Yeast, to cover maintenance (and set aside under the programme from independent living to institu- any loan or management) costs. and it is not meeting the needs tional care settings which require The NPO would cover the balance of NPOs. differing needs of care giving and of the running costs themselves, as 5.2 Possible reasons for lack of support. The main delivery models well as the care costs, out of grant interest among Social Housing providers: are as follows: that they would apply for from the Department of Social Development, ▪▪ Lack of sustainability in the 6.1. Special Needs Group Hous- Health, the Lottery Fund, etc. social housing grant model; lack ing (SNGH) of capital grant (capex subsidy Special Needs Group Housing Special needs housing makes up outstripped by development (SNGH) refers to group housing 23% of Yeast City Housing’s overall costs) and operating cost. and associated residential care housing portfolio currently. The provided to low income people who different models of provision are ▪▪ The Communicare 2014 An- are vulnerable and/or in special therefore dependent on there being nual report mentions a shift in need usually requiring specialized funding available from the relevant organisational strategy from the care, resources or expertise. Such oversight department to cover the current business model de- people are usually not able to live necessary care and support costs. ployed to provide social housing, independently and have special They provide group homes, with to a broader mantle providing care requirements, although there SNGH and SNIH located on the affordable housing. are cases where people who are same site as independent, non-spe- ▪▪ The ‘support wing” attached to able to live independently are ac- cial needs, self-contained accom- some SHIs, such as the TLF to commodated in SNGH for particular modation — a truly mixed housing Yeast City Housing and MES to reasons (e.g. older or disabled development that showed that it is Madulammoho, are the ‘do-ers’, persons for reasons of affordabil- possible to integrate special needs not the SHI. ity, security, or in need of general group housing, special needs indi- 6.0 WHO ARE THE support). vidual housing and self-contained units all within the redevelopment PROVIDERS AND MAIN NPOs are responsible for the fur- of an inner city building and site. TYPES OF SPECIAL nishing and equipping of facilities The RCG programme allows for NEEDS HOUSING? and for ongoing operating costs and cross subsidisation between middle Non Profit organisations (NPOs) maintenance costs are institutions which provide social and low income earners, and this service type programmes within 6.1.2 SHI involvement in SNGH scheme allowed some cross subsi- communities and are generally Most specialist supported housing disation between the tenure types registered with provincial Depart- is usually independent of social as well. housing projects, but special needs ments of Social Development for Communicare currently let out group housing could work in SHI- this purpose. three of their ordinary housing units led subsidy schemes where the on a lease agreement for use as There are differences in the form NPO identifies the beneficiaries and SNGH to separate NPOs catering of housing which SHIs and NPOs manages the social care aspects would offer in cases of special for women at risk, the elderly and of the housing development on 049

© 2018 NMMU and DoHS people with intellectual disabilities. An SHI could build self-contained on an individual basis. Yeast City The NPO pays a monthly rental to units as part of social housing pro- Housing has followed the practice Communicare, and is responsible jects with special adaptations to al- of setting aside units for people for the management of the care and low individuals and households with with a disability in each of their new support required for the residents. special needs to live independently. RCG developments of 2 – 2.5% of Other SHIs could follow this mod- the new units developed. SOHCO In general therefore, mainstream el, if they had larger houses within would like to reach a target of at housing subsidy programmes are their stock portfolio to let out to least 10% of their developments appropriate for SNIH (persons with registered and capacitated NPOs. catering to people with special special needs able to live without needs. In the meantime they have Madulammoho Housing Associa- institutionalised support and care) adopted a retrofitting strategy. tion (MHA) do not provide SNGH even if it may be difficult in practice directly, but have signed a Service for people to access such housing 7.0 THE PROFILE Level Agreement with their faith opportunities. OF PERSONS WITH based charitable partner, MES, to DISABILITIES IN National Association of Social provide social work support to meet SOUTH AFRICA AND Housing Organisations (2011) RECOMMENDED the needs of their tenants. MES, as recommended that 5% of all units RATIO OF DISABILITY an NPO, have applied directly to on social housing projects could PROVISIONS IN SHI provincial governments (in Gauteng be adapted for the needs of peo- PROJECTS and the Eastern Cape, for example) ple with disabilities to enable them The 2013 General Household for subsidy funding to provide and to live independently in a housing Survey found that 5,4% of South run shelters for people with special model which incorporates self-con- Africans aged 5 years and older needs, mainly for the homeless. tained units for people with disabil- were classified as disabled. It is possible therefore for SHIs to ities which are built as part of a so- Gauteng’s Demand Database undertake special needs group cial housing development. The draft and Allocation Policy (2009) also housing schemes, either directly special needs policy in the Western stipulates that 5% of each housing themselves, or in partnership with Cape’s recommended 10%, but it project to is be allocated to SNH. an NPO. This could be as a stand- was never enacted. alone project, or by creatively using For purposes of social housing SHIs are open to exploring de- the relevant housing subsidies with- therefore perhaps a figure of 2% of velopment of SNIH, but felt that in a mixed housing development. all new social housing units should there needed to be an operational be set aside for people with disabil- 6.2. Special Needs Individual subsidy in cases where people ities (mobility and sight, as well as Housing (SNIH) cannot afford the rentals. Most SHIs other special needs), taking out the This is where low income indi- do cater for the needs of individual age and locational factors. viduals with special needs can tenants that require an adaptation live independently of institutional to their unit because they have It is noted that just 5% of England’s assistance, support or group care. mobility problems or are in a wheel- housing stock is fully accessible These individuals in special need chair as they arise, by retrofitting a to older people and a quarter of are typically unable to compete for unit specifically for that tenant. Any homes have no accessibility fea- housing (rental or ownership) in the response is therefore ad hoc. tures at all. The number of homes open market due to affordability and for older people owned by English Another model for SNIH is that vulnerability issues. They also typ- housing associations has fallen to an SHI could provide stand-alone ically find it difficult to access con- its lowest level in more than eight communal houses in one of their ventional low income state housing years by 2014. developments for say 6 – 8 persons subsidies (‘RDP’ housing). In some with single/double rooms, shared In terms of actual demand for dis- instances, independent living might kitchen, ablutions and living areas abled adapted units, it was difficult require additional care support in for persons with special needs. for SHIs to get a proper assess- the beneficiary’s own home, such ment of the demand for the number as home-based care that will then From the survey conducted other of units that should be set aside for be linked to an organisation provid- SHIs provide dedicated, adapted people with special needs housing. ing such specialist services. The units in their developments for peo- SHIs have to comply with the Western Cape wanted to allocate ple with disabilities, or retrofit units provisions of the National Building 10% of all units on social housing to meet their needs. They also try Regulations and Part S of SANS projects to meet this need. and engage with the needs of their 10400 (2011) in social housing for 050 tenants in the provision of SNIH

© 2018 NMMU and DoHS persons with disabilities. Dwellings income rental units for particular for the Aged and Disabled. KZN Human can either be designed to conform groups—for example for abused Settlements. to this definition or existing dwell- women, or people with mental Madulammoho Housing Association. ings can be altered, or retro-fitted, health problems (the Ottowa model 2013. A stepped approach. www. to conform. Universal Design in Canada). These could be in com- mh.org.za. Johannesburg. principles are recommended that munal housing schemes and should National Association of Social Housing should allow for ease of living for all be matched with revenue support. Organisations. 2011. Special Needs people, regardless of their age, size Communal housing units should and Social Housing Draft 1: Position or disability. Paper. NASHO. Johannesburg. be eligible for Restructuring Capital 8.0 RECOMMENDATIONS Grant from the SHRA (at pres- National Department of Human Set- tlements. 2013. Enhancements to the AND CONCLUSION ent this grant is only available to National Norms and Standard for the When an SHI carries out a Market self-contained units of more than construction of stand-alone residential demand assessment the needs of thirty square meters). dwellings and engineering services and people with special needs should SHIs should work towards comply- adjustment of housing subsidy quan- be included. Meetings should be tum. ing with Universal Design Principles held with key stakeholders in an in their new Greenfield develop- D.G Murray Trust. May 2013. Learning area to decide what percentage of, Brief 43 a. Hands on: Learning from our ments. say disabled, units will be required Implementing Partners’ in ‘Towards a in a particular development, and Specialist NPO’s should be funded more Inclusive Special Needs Group Housing Programme in South Africa: disability statistics at Ward level by provincial social development departments to provide a care and Addressing a Situation of Crisis’. Pro- interrogated in this regard. ject Preparation Trust of Kwa-Zulu Natal support service to SHI tenants who People with special needs have .2013 have particular special needs. Un- significant difficulty in accessing Project Preparation Trust of Kwa-Zulu der the Canadian model the NPOs mainstream housing so SHIs Natal. 2013a. Overview of the Use of sign an agreement with an SHI to should accept the principle of pref- Housing Subsidies for Special Needs provide support to a certain agreed Group Housing in South Africa S:\PPT erential access to their accommo- number of tenants who have a spe- CURRENT FILES\PROGRAMS\763 dation for people with special needs cial need. Alternatively there should DG MURRARY SNH\PRODUCTS\SNH who are able to live independently. be a revenue subsidy provided so RESEARCH PROJECT\SNH NATION- For example, SHIs could set aside AL OVERVIEW\13011 SNH OVER- that an SHI can employ the rele- a percentage of their low income VIEW R15.DOC vant people with skills to manage housing units for people moving on the care and support of any special Project Preparation Trust of Kwa-Zulu from a special needs scheme. Natal. 2013b. Special Needs Hous- needs beneficiaries. ing Options for Abused Women and There should be a dedicated sub- References Children and Older Persons and the sidy grant for disabled adaptations City of Cape Town Social Housing Pro- Utilisation of State Housing Subsidies. to SHI units, and clarity on where to gramme Special Needs Housing Policy Durban get the funding from. Draft 1.2007. City of Cape Town Project Preparation Trust and Civil There are no uniform regulations Drummond. M., 2015. Policy and Society Organisations. 5 December 2012.The Joint Civil Society Submis- that are nationally applicable and research and literature review prepared for the National Association of Social sion: Request to Expedite Social Needs for norms and standards of accom- Housing Organisations (unpublished). Housing. Durban modation for people with special Provincial Government: Western Cape needs. (For SNGH they are cov- Gauteng Department of Housing (2007) Department of Local Government and ered in the draft special needs HIV/AIDS Policy on Housing. Draft Document. Gauteng Provincial Govern- Housing. 2009. Provincial Programme housing policy). ment. Johannesburg. for the delivery of Special Needs Hous- ing. Cape Town. There should be nationally applica- Gauteng Department of Local Govern- ble regulations regarding provision ment and Housing. 2009. Demand Da- Republic of South Africa., South African for adaptation and design, and tabase and Allocation Policy. Gauteng National Standard. The application of the National Building Regulations. Part percentage quotas for the delivery Provincial Government. Johannesburg. S: Facilities for persons with disabilities. of special needs independent living Gauteng Department of Local Gov- SANS 10400-S 2011. IBSN 978-0-626- ernment and Housing. 2012. Special units. It is recommended that SHIs 25219-S provide 2% of all their units for peo- Needs Policy. Gauteng Provincial Gov- Republic of South Africa. National ple with disabilities. ernment. Johannesburg. Department of Human Settlements and Kwa-Zulu Natal Department of Human NPOs should negotiate with SHIs Department of Social Development. Settlements. (undated). Housing Policy for the allocation of clusters of low 2015. National Housing Code. Draft 051

© 2018 NMMU and DoHS Special Housing Needs Programme. Pretoria. Republic of South Africa. Department of Human Settlements. 2009. The Nation- al Housing Code. Republic of South Africa. No. 16 of 2008. Social Housing Act 2008 Republic of South Africa. Government Gazette. Notice 862 of 2010. Social Housing Act 2008 (Act No 16 of 2008) Social Housing Regulations Special Needs Housing Forum 13th February 2008. Briefing Document Provided to the National Department of Housing: National Policy Directive for Special Needs Housing.

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© 2018 NMMU and DoHS SUB-THEME 4: HUMAN SETTLEMENTS GOVERNANCE Neoliberalism in low-income housing policy — problem or panacea? Bridgit Taruvinga | University of Cape Town, Department of Construction Economics & Management Manya Mooya | University of Cape Town, Department of Construction Economics & Management

Abstract: The provision of decent, affordable and well-located housing for low-income communities has been an intractable problem, especially for developing countries. A recurrent issue in the discourse about this problem relates to the appropriate role of the State, on one hand, and the private sector, on the other. The debate has being given renewed urgency in the current context of a growing critique of ‘neoliberalism’ and a resurgent State. In the face of limited State resources, neoliberalism has been the dominant policy option. Through rigorous literature review, this paper intends to review the successes and failures of neoliberalism and explore the intricate linkages between neoliberal housing policy and low-income housing provision. The raison d’etre for the paper is that, despite the growing disen- chantment with neoliberal housing policy, the empirical basis of this criticism has not been established convincingly, and neither have that of potential alternative policies. This paper therefore fills a critical gap in the low-income housing policy literature. Key words: Neoliberal housing policies, private sector capital, low income housing provision.

1.0 INTRODUCTION water quality (Winchester, 2005), all results of which were global. But he provision of decent, of which are a threat to sustainable the importance of housing policy affordable and well-located cities. This is of concern as urban cannot be overlooked even locally, housing for low-income com- housing delivery systems have as it has both economic and social T been failing to anticipate the influx implications. Urban poverty shows munities has been an intractable problem, especially for developing of people into urban centres (Kam- itself though low earnings (Win- countries. With the development of ete, 1999; Özdemir, 2011; Chitek- chester, 2005) amongst other things the society and economy, urban- we-Biti, 2009; Winchester, 2005). and therefore, housing policies that ization is the inexorable trend The housing delivery systems that have the potential to deliver low for human society (Acma, 2005; are in place are also not flexible income housing solutions will be a Mashoko, 2012; Winchester, 2005) enough to adjust to the demand for double edged sword, contributing as is evidenced by a ballooning ur- housing being exerted by the grow- towards poverty reduction whilst ban population. In Africa, the num- ing number of low income families resulting in sustainable cities. ber of urban dwellers is projected in need of decent housing. Van The result would be a reduction in to increase from 400 million to 1.26 Waeyenberge (2015) posits that as households that are economically billion between 2010 and 2050 (Van the ability of African cities to cope and socially vulnerable. with the increase in urban popula- Waeyenberge, 2015). This exerts The World Bank is an international tion is questionable, it remains likely pressure on existing urban housing policy leader on housing, and the that a large part of these new urban and exacerbates the scarcity of way it conceptualizes and supports dwellers will reside in slums and/or decent accommodation (Makinde, housing policy influences national informal settlements, unless a solu- 2014), which has been a perennial housing policy for governments in tion is found. Governments all over issue particularly for the low income the developing world (Van Waey- the world, particularly developing, groups, often the most underserved enberge, 2015). The international are thus seized with the search for in the housing market. community is expected to support a solution to the housing crisis. There is empirical evidence sug- national efforts to meet the human gesting that if the urbanization Housing policy is defined as gov- settlements challenges facing process is left unchecked, there will ernment action to achieve housing developing world governments, be uncontrolled growth of cities, re- objectives. Badly-designed housing through supplementing the scanty sulting in urban sprawl, overcrowd- policies played an important role resources of these governments by ing, lack of adequate infrastructure, in triggering the 2007-2008 eco- providing them with the necessary as well as deteriorating air and nomic and financial crisis (OECD), financial and technical assistance, 053

© 2018 NMMU and DoHS as well as support for evolving insti- relates to the appropriate role of the (Mosha, 2013; Potts & Mutambirwa, tutional arrangements as they seek State on one hand, and the private 1991) contributing towards the inef- new and effective ways to solve sector on the other. The role of the fectiveness of these programs. the housing challenge (Buckley & State, as suggested through the From the 90s onwards, lending Kalarickal, 2004). World Bank funded projects has for physical assets became less been evolving, from direct provision Given this context, the purpose of important in the housing sector, to technical planning solutions to this paper is to review evolution in favor of an enhanced focus on affordability (Beer et al., 2007). A of housing policies, successes incentive related interventions, cru- summary of the policy lending in- and failures of neoliberalism and cially through finance. The shift to struments used by the World Bank explore the intricate linkages be- housing finance sought to address to influence housing policy in coun- tween neoliberal housing policy and two objectives: it provided opportu- tries and the associated role of the low-income housing provision. The nities for the World Bank to address government is detailed in Figure 1. rest of the paper is arranged in five broader economic issues and sections as follows: The following A critical analysis of these pro- housing sector performance issues. section briefly reviews the evolu- grams and strategies reveals that A well-developed financial sector is tion of World Bank housing policy. these programs have largely been perceived to yield greater econom- Based on this review, the third unsuccessful. Problems that have ic benefits that would also impact section maps out the key issues been cited with sites and services positively on the housing sector under a neoliberal housing policy include: land acquisition problems, (Mayo & Angel, 1993), and this has and the implications for low income insufficient resources committed seen an increase in housing finance housing. Criticisms of a neoliberal and poor cost recovery for the loans and housing policy loans. housing policy are detailed in sec- infrastructure and services provid- A housing policy loan would typi- tion four. The penultimate section ed (Mooya, 2009; Mayo & Angel, cally seek to strengthen the in- draws on the above discourse and 1993). In addition to the above chal- stitutional, regulatory and fiscal explores neoliberalism as a po- lenges, onsite upgrading problems environment for a well-functioning tential panacea to the low income also faced challenges of unsustain- housing market and to increase housing challenge. The paper ends ability due to lack of replicability, access for low-income and severely with conclusions and suggestions focus on physical construction, disadvantaged households to more for research. government failure to provide affordable and higher quality hous- essential services, community 2.0 EVOLUTION OF ing through promoting mortgage failure to maintain facilities and land WORLD BANK HOUSING lending via the provision of loan acquisition problems (ibid.). Tar- POLICY 1970 TO guarantees (Van Waeyenberge, geting errors coupled with fronting PRESENT 2015). The aim would be to attract also resulted in most beneficiaries A recurrent issue in the discourse banks to lower-income households, being mostly middle income groups of low income housing provision and the housing policy loans would

Period Main policy and lending instruments Role of the government

1970s ▪▪ Sites and services demonstration projects ▪▪ Direct provision of land, housing and finance to project beneficiaries ▪▪ slum upgrading

1980s ▪▪ Housing finance projects (interest rate ▪▪ Provision of housing finance by public institutions reform) ▪▪ rationalizing housing subsidies i.e. reduction of housing ▪▪ subsidy design subsidies, improving subsidy targeting and shifting from financial subsidies to fiscal housing subsidies ▪▪ improving institutional performance of government agencies

1990s ▪▪ Policy and lending instruments to stimulate ▪▪ Policy making coordination demand and supply ▪▪ regulatory responsibilities of an enabling role to facili- ▪▪ Institutional reform and coordination with tate provision of land and housing by the private sector macro-economic policy ▪▪ improving coordination of sector and macroeconomic policy

Table 1: World Bank policy lending instruments, 1970s – 90s (Mayo & Angel, 1993) 054

© 2018 NMMU and DoHS allow government to guarantee loan in power, responsibilities and would even benefit the poor. But, made to low income earners. The resources reallocated vertically. application of neoliberal policies government would then draw down have in most situations resulted in ▪▪ The internationalization of policy on the housing policy as and when low rates of GNP growth, low wag- development. the need arose. es, an increase in unemployment Indeed, in line with Jessop’s views, and poverty (Seisdedos, 2009). As a share of World Bank Group approaches to solving the low in- activities, which include IBRD, Vertical’ reworking of policy powers come housing challenge have seen IDA and IFC operations, housing is seen through organizations like a shift from state led and funded finance grew to represent over 60 the World Bank, the IMF and the social housing to consortiums and percent of all World Bank shelter WTO that have the resources to PPPs, which represent governance activities during the 2001 – 2007 aid developing countries and are that is characterized by the devolu- period, while the combined share thus prescribing policy actions for tion of responsibility to cross-sec- of slum upgrading and sites and beneficiary countries that will have toral partnerships and networks services fell to 22 percent over a direct impact on how housing is with business leaders and civil or- the same period — down from 27 provided to the low income groups. ganizations integrated into decision percent in the previous decade as The internationalization of policy making and implementation of the shown in Figure 1. development has seen countries activities of the state (Beer et al., adapting housing solutions that Jessop (1990, 1997, 2002) quoted 2007). For sites and services, there might have worked in other coun- in Beer et al. (2007) argued that it would be project leaders, which tries instead of trying to come up is possible to identify four tendency would therefore bypass the rigidi- with novel solutions to the housing shifts in the functioning of the state ties and bureaucratic procedures challenge. The World Bank has in the evolution of housing policy: caused by very long chains of com- always placed emphasis on repli- mand within the government. Pro- ▪▪ The move away from hierarchi- cability on the housing projects that grams such as Economic Structural cal forms of government to more were implemented across national Adjustment Programme (ESAP), porous forms of governance. projects albeit on a bigger scale launched in 1990 in Zimbabwe, had (Mayo & Angel, 1993) ▪▪ The subordination of social poli- economic goals that were expected cy to economic policy. to be prioritized over social goals, However, Van Waeyenberge (2015) ▪▪ ‘Vertical’ reworking of policy and the idea behind was that the contends that sites and services powers, away from the pre-em- economic goals would in the long and slum upgrading Programs inence of the nation state in run result in trickle down positive which dominated the Bank’s initial economic management resulting macro-economic advantages that housing interventions from the

Housing finance (2012 cons. USD)

Sites and services/Housing construction (2012 cons. USD)

Housing policy (2012 cons. USD)

Slum upgrading (2012 cons. USD)

Figure 1: World Bank Group (IBRD, IDA and IFC) shelter portfolio across different types of intervention, in constant million 2012 US$, 1971 – 2014 (July) (Van Waeyenberge, 2015) 055

© 2018 NMMU and DoHS early 70s were meant to trigger regulatory framework can also Pattison, 2009; Marx, 2008, Craig & private investment through dwell- affect housing suppliers through Porter, 2006; Campbell, 2011) since ers’ self-help efforts. Crucially, exercising a dominant effect on markets and market principles have the interventions were guided by the price and quality of housing a tendency to overreach them- three primary objectives: to pro- (Mayo & Angel, 1993). The three selves, undermining the social fab- vide low-cost and hence affordable supply-side policy instruments that ric in which they are embedded and housing for low-income families; can be used to boost housing pro- consequently dependent on (For- to recover costs from beneficiaries vision to the low income sector are rest & Hirayama, 2015). In addition, and eliminate public subsidies in providing infrastructure for residen- reliance purely on the private sector housing provisioning; and, to create tial land development, regulating for low income housing production replicability of these projects by the land and housing development and can result in polarised society and private sector. Cost recovery would organizing the building industry to gentrification (Hedin et al., 2012) demonstrate profitability in moving create greater competition in the Despite these reservations, the down-market in housing provision- building industry. The aim of these World Bank endorsed neoliberalism ing. supply side instruments would be by expressing enthusiasm regard- to remove constraints to the hous- 3.0 NEOLIBERALISM: ing the capacity and superiority ing development process. Policies THE CURRENT POLICY of a market oriented approach to affecting the responsiveness of the LANDSCAPE housing (Van Waeyenberge, 2015). supply side of the market to chang- The components of a neoliberal In the early 90s it was thought es in demand, therefore, often offer housing policy are homeowner- that the overall performance of the greatest potential for improve- ship, private property and binding the housing sector in developing ment in sector performance. Almost financial commitments, and these countries would be affected through all countries now rely on a public have been central to the political the broad instrument of housing policy approach that augments and and ideological strategies through finance system development (Mayo compliments market processes which the dominance of neoliber- & Angel, 1993). More than 20 years rather than substitutes for them alism is maintained (Rolnik, 2013). later, countries are still grappling (Buckley & Kalarickal, 2004). Foci also commonly associated with with how to implement a neoliberal neoliberalism in the housing market 4.0 FAILINGS/CRITICISMS housing policy in the low income are free trade or commodification OF A NEOLIBERAL segment. Housing finance systems of land markets (Mooya & Cloete, HOUSING POLICY IN THE have not developed to the extent 2007), free capital movements LOW-INCOME HOUSING that was envisioned especially in (Campbell, 2011) and reduced SECTOR developing countries. This could government intervention in hous- The neoliberal goals of capital partly be due to characteristics of ing markets (Mayo & Angel, 1993; accumulation through reliance on developing countries: macro-eco- Mosha, 2013). the free market for finance, shift of nomic instability; fluctuating infla- responsibility from government to In order to encourage and stimulate tion; foreign exchange risk and civic society and rescaling of the the supply of low income housing short term investment horizons state from central to local levels by the private sector, the World (Lea, 2005). (Nijman, 2008; Fawaz, 2009) has Bank emphasizes on the establish- been slated as it is perceived to The finance system of countries ment of a suitable regulatory envi- marginalise the low income group. is indisputably linked to the macro ronment for the delivery of housing The market mechanism is assumed economic environment and vola- finance. The recommended strate- to be unable to provide adequate, tilities within markets can destabi- gy is to bring together infrastructure affordable and equitable housing lize the market, thus swinging the agencies to coordinate infrastruc- for all (Rolnik, 2013; Craig & Porter, market far from the stability that is ture provision that creates an ade- 2006) and neoliberalism promotes the cornerstone of long term hous- quate supply of serviced land and insecurity of tenure through adop- ing finance. Indeed, it is unlikely a review of existing legislation to tion of imperatives for developing that the housing problem can be improve sector performance (Mayo a housing finance system such as solved without solving the economic & Angel, 1993). enforceable foreclosure for mort- problem (Moss, 2003). Two basic Supply-side distortions in housing gage lenders (Mayo & Angel, 1993; difficulties continue to exist regard- markets arise largely from policies Mooya & Cloete, 2007). A number ing the wide spread adoption of affecting the inputs for housing: of researchers concur that neolib- market solutions for the low income land, finance, building materials, eralism and social policy are not groups: the scarcity of medium and long range funds, and insufficient 056 or infrastructure. The legal and compatible at all (Seisdedos, 2011;

© 2018 NMMU and DoHS development of financial markets also comes with other challenges Besides access to market provided (Winchester, 2005) such as risk pricing and difficul- mortgages for housing, the ma- ties of measuring the repayment jor housing delivery models that The World Bank is on the fence capacity (Rolnik, 2013; Aribigbola, have been used in most countries about state interventions in situ- 2008; Demirag et al., 2011) given that have embraced neoliberalism ations where the finance system that most of the low income earn- include PPPs and private finance is not mature enough to service ers have very low incomes which initiatives. These models have how- all the mortgage needs. It advises might also preclude them from even ever yielded very low percentages that countries can institute directed qualifying for government guaran- of the required stock to the target credit schemes for housing in the tees (Mosha, 2013). For risk to be group (Makinde, 2014; Mashoko, form of either government-spon- successfully transferred the receiv- 2012; Ibem, 2011). The major prob- sored housing finance institutions, ing party has to possess both the lems that have been cited are the often supported by direct budgetary competence to assess it fairly and prohibitive cost of the final product transfers, or specified lending tar- the expertise necessary to control resulting in an affordability gap. gets for housing (also often at be- or minimize it (Gallimore et al., Contributors to this high cost have low-market interest rates) by com- 1997). been cited to be the high cost of mercial lending institutions. At the land, high cost of land registration same time, the World Bank warns General movement towards neolib- and titling, leading to a conclusion directed credit lessens incentives eralism in an economy with infla- that a neoliberal housing policy is for resource mobilization by lend- tion, economic recession, esca- unlikely to help solve the housing ing institutions and works against lating building costs is not likely to shortage. the principles of a well-functioning yield positive results since a stable housing finance system (Mayo & economy is a critical success factor 5.0 COULD Angel, 1993). The result of directed for the engagement of the private NEOLIBERALISM STILL schemes may sometimes be that sector in the low-income housing BE THE POTENTIAL lending volumes for housing may space (Babatunde et al., 2012; PANACEA TO THE LOW INCOME HOUSING be reduced to a level that is below Moss, 2003; Stein, 2008). Demand CHALLENGE? one under a more neutral financial for formal credit by low income Researchers writing on neoliber- regime which permits lending for groups for purposes other than alism are in consensus over one housing to seek its own level based consumption is low and access to thing: neoliberalism is not uniform, on market conditions (ibid.). credit by itself is therefore unlikely and its expression at the local level to be a catalyst for capital accumu- The World Bank and international is contingent upon local circum- lation in contexts characterised by donor community was tasked with stances (Wang et al., 2012; Fawaz, lack of investment opportunities, the role of disseminating lessons on 2009; Beer et al., 2007; Altmann, widespread risk aversion and high how to develop sustainable hous- 2011) which can be influenced interest rates (Mooya & Cloete, ing finance and to foster housing by the macro environment. The 2007). micro credit institutions. A question implication therefore for low income which still needs to be addressed, Detailed empirical evidence from housing provision is that replication especially in light of the subprime countries where credit has been of projects based on successes in mortgage crisis between 2007 and extend to the low income groups other areas will need to be sup- 2009 which arose from the fail- for housing purposes has shown ported by a lot of empirical work ure of the financial system is how that government guarantees were as those successful projects can decent and affordable housing for being used (Winchester, 2005). But only form the core of a shell and low income groups can be provided this presupposes a state which has the empirical evidence can then be outside a framework of mortgage enough fiscal space to accommo- used to fill in the finer detail. There finance for home ownership (Van date even the low income groups. is thus need to look at each system Waeyenberge, 2015) This is not the case in most de- in detail. veloping countries where the low Problems which have been cited in Despite the criticisms of the neolib- income housing challenge is most trying to provide finance to the low eral housing production in the low severe. Most of these countries income groups are that it is difficult income housing sphere, there have have huge fiscal constraints and to measure their repayment capac- been listed successes. Winchester large budgets that are not sustain- ity, but also because their income (2005) details the success of the able (Babatunde et al., 2012; Lea, is neither regular nor high enough neoliberal Chilean housing poli- 2005; Loxley, 2013). (Sivam & Karuppannan, 2002). This cy. The private sector was tasked socialization of credit (Rolnik, 2013) with the role of building social 057

© 2018 NMMU and DoHS housing and low income housing, so as to replicate those projects ing actors, and that would attract and in the 1990s, roughly 800 000 within the same economic context more and more players, resulting in homes were built for a county with without necessarily inducing any economic growth. It is known that 4 000 000 households, significantly shocks that might destabilize the cumbersome and lengthy regulatory reducing the housing backlog. A market. Each market, peculiar as it approval processes involved in land key feature of the housing policy may seem, given the right support, acquisition and development tend however was the demand subsi- is capable of eventually finding its to limit the private sector partici- dy system that was in place. The own equilibrium point, even in the pation in the housing industry. The government was also willing to offer worst housing sectors. As long as bureaucratic processes lead to in- credit to lower income families and the product is priced just right, there efficiencies, wastefulness, exploita- mortgage guarantees for social is likely to be a taker. tion, delays and high project cost housing. In China, where the re- (Makinde, 2014), and this insight The World Bank warns that while placement of socialist welfare hous- can be a point of entry for the State largely private housing markets ing with a market dominated system to use policy to leverage private produce most of the housing in is hailed as probably the largest sector efforts in the low income developing countries, this does not neo-liberal reform project ever housing sector. necessarily mean that these mar- implemented in the world (Wang et kets are either efficient or equitable The private sector has potential al., 2012), most large banks were (Mayo & Angel, 1993). Nor does it to significantly contribute towards owned by the government and mean that these markets complete- solving the housing challenge and subject to centralized government ly satisfy all housing needs or help the key to involving the private sec- control through a special inspection attain broader development goals. tor in the provision of low income system. Government could instruct Housing sector policies must be housing could incentives (Winches- banks, both state and government, based on a positive view of how ter, 2005). It should also be ac- on mortgage rates, levels of de- the sector actually works in a given knowledged that the private sector posit required, and to whom they context, and, as well, with specific has always been the major contrib- should or should not lend. Property notions of how it could work better utor in the housing sector (Makinde, developers had strong links to the (Mayo & Angel, 1993). The inter- 2014; Sivam & Karuppannan, 2002) government, could negotiate plan- play between structure and agency albeit not to the low income group. ning and design standards and had should be investigated in a neolib- What research still needs to uncov- significant advantages in acquiring eral context, and this calls for more er is that key which will just sway land (ibid.) empirical work on the low income the private sector towards the low So, how adopting a neoliberal housing space to substantiate the income housing segment, despite policy will play out in any scenar- criticisms of neoliberal policies there being low profits (Mosha, io in the provision of low income where they have been applied and 2013). housing , should be a synthesis of to also detail their successes. 6.0 CONCLUSION ideal-type and contingent neo-lib- Policy makers have a choice: either Problems are likely to abound in eralism ideas, and these neoliberal to view the low income housing adopting a neoliberal policy in the ideas should be highly flavored by challenge from a problem based low-income sector, chief amongst contextual realities in the market in perspective, or to tackle this chal- which is very low-incomes among question. Internalization of policy lenge through policies that seek to the targeted group to sustain mort- development i.e. the increasing take advantage of the opportunities gage finance. Volatile economies tendency for policy solutions to be in urban economies. One way to with high inflation, economic reces- borrowed and adapted across na- do this is through viewing cities sions and lack of primary mortgage tional boundaries (Beer et al., 2007) as motors for development, and instruments contribute towards hur- can also act as a slow puncture as instruments for the growth and dles in implementing a neoliberal in the neoliberal agenda for low development of regional econo- housing policy. Notwithstanding all income housing. Instead of adopt- mies (Winchester, 2005). If there is these similarities in how neoliberal- ing a top to bottom approach, there a way that the housing challenge ism rolls out in the housing sector, might be need to adopt a bottom up can be tackled through private there is recognition that neoliberal- approach in solving the low income sector involvement, then policy isation is spatially and historically problem. From the few private play- should be used to leverage those uneven globally (Hodkinson et al., ers that are active in the low income who are willing to try and serve 2013). It has a tentative character housing space, why not study the this market. Use of capital in return (Harvey, 2007) which is heavily business models and then address for profit would require enterpris- influenced by political forces and 058 the challenges that are being faced

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© 2018 NMMU and DoHS MOOYA, M. M. 2009. Real estate VAN WAEYENBERGE, E. 2015. Crisis? markets and poverty alleviation in Na- What crisis? The World Bank and mibia’s urban informal settlements: an Housing Finance for the Poor. SOAS institutional approach. Department of Economics Working Paper Series, No. 191. MOSHA, A. C. 2013. Low-Income Ac- cess to Urban Land and Housing in Bot- WANG, Y. P., SHAO, L., MURIE, A. & swana. Urban Forum, 24, 137 – 154. CHENG, J. 2012. The maturation of the neo-liberal housing market in urban MOSS, V. 2003. Preview of housing China. Housing Studies, 27, 343 – 359. finance systems in four different African Countries: South Africa, Nigeria, Ghana WINCHESTER, L. 2005. Sustainable and Tanzania. International Union for human settlements development in Lat- Housing Finance, London. in America and the Caribbean, United Nations Publications. NIJMAN, J. 2008. Against the odds: slum rehabilitation in neoliberal Mum- bai. Cities, 25, 73 – 85. ÖZDEMIR, D. 2011. The role of the public sector in the provision of housing supply in Turkey, 1950–2009. Inter- national journal of urban and regional research, 35, 1099 – 1117. PATTISON, V. 2009. Neoliberalisation and its discontents: the experience of working poverty in Manchestor. In: SMITH, A., STENNING, A. & WILLIS, K. (eds.) Social justice and neoliberalism: global perspectives. Zed Books Ltd. POTTS, D. & MUTAMBIRWA, C. 1991. High-density housing in Harare: commodification and overcrowding. Third World Planning Review, 13, 1. ROLNIK, R. 2013. Late neoliberalism: the financialization of homeownership and housing rights. International Jour- nal of Urban and Regional Research, 37, 1058 – 1066. SEISDEDOS, P. C. 2009. Chapter 1 “Late Neoliberalism” in Brazil: Social and Economic Impacts of Trade and Financial Liberalization. In: WE- STRA, R. (ed.) Confronting Global Ne- oliberalism; third world resistance and development strategies. Clarity Press. SEISDEDOS, P. C. 2011. Cuba: A Pro- ject to Build Socialism in a Neoliberal World. In: BOND, P. (ed.) Confronting global neoliberalism: third world resistance and development strategies. SCB Distributors. SIVAM, A. & KARUPPANNAN, S. 2002. Role of state and market in housing delivery for low-income groups in India. Journal of Housing and the Built Envi- ronment, 17, 69 – 88. STEIN, A. 2008. The role of housing finance in addressing the needs of the urban poor : lessons from Central America. Environment and urbanization, 20, 13 – 30. 060

© 2018 NMMU and DoHS SUB-THEME 4: HUMAN SETTLEMENTS GOVERNANCE Is the type of developmental local government in South Africa poised to lead the sustainable human settlements agenda? Sijekula Mbanga | Nelson Mandela Metropolitan University

Abstract The advent of a democratic dispensation in South Africa in 1994 has been marked by a passage of a myriad of legislative and policy frameworks aimed at radically transforming both the character and institutional architecture of the civil service into an instrument that facilitates the social, economic and political development of the communities. To this end, the macro and micro government structuring and functioning has been the main focus of the reform processes. The local government sphere has, in this respect, been redefined and accorded a new Constitutional status of existing as a sphere in its own right, though interdependent and interrelated with the provincial and national spheres. This paper critically examines obligations imposed upon the local government sphere by the redefined role of a developmental local government. Furthermore, this paper highlights few international experiences on local government reform that have served as an impetus to this paradigmatic change. A critical review of literature and the policy framework on establishment of the new local government is undertaken. Key interventions, by the national and provincial spheres, to stabilise and support the local government sphere are suggested

Key Words: local, spheres, developmental. communities, sustainability, services, rural, urban, municipalities, reform

1.0 INTRODUCTION pinning the developmental local 2.0 ORIGINS OF A ith the demise of the government in South Africa is a DEVELOPMENTAL LOCAL Apartheid system and matter under review in this article. GOVERNMENT IN SOUTH AFRICA concomitant replace- Firstly, this topic calls for a move- W ment down the memory lane on the Local government reform in South ment by a new democratic form of Africa has passed two major, local government in South Africa, history of local government in South analytical and distinct phases of the immediate challenge of the Africa and its transition towards the policy reform, the first phase having newly-established structures and adoption of a developmental local been heralded by the Local Gov- elected councillors has been to government. Secondly, particular ernment Elections of 1995 and the transform deep-rooted socio-polit- focus is paid to the obligations of passage of a new Constitution in ical aspirations, particularly of the a new local government that are 1996. The second phase, enunciat- marginalised poor, into tangible enshrined in the Constitution of the ed in particular in the White Paper improvement of living and working Republic of South Africa, Act No. on Local Government (1998), has conditions. Molefe (1999:1) argues 108 of 1996. Thirdly, the concept of been that of the establishment of that the very definition of local gov- a developmental local government a developmental local government ernment as a ‘sphere’ rather than a is examined with reference made to with emphasis on participative plan- ‘tier’ already indicates an ideolog- international trends on local govern- ning and local economic initiatives ical shift away from the Apartheid ment reform. The latter analysis is as pre-eminent local government hierarchy towards a democratic followed by a brief exposition on the goals (Bekker & Leilde, 2003:144). cooperative government. This challenges that have confronted the However, it is important to note that paradigmatic shift has, at a local developmental local government local government reform in South government sphere, been captured thus far. Finally, conclusions are Africa came out of a historical in the introduction of a concept of drawn from the preceding analyses socio-political necessity, and this developmental local government. and recommendations are made to enhance government interventions. history is one of the focal points The origins and principles under- of this article. In addition, there is 061

© 2018 NMMU and DoHS consideration of the Constitutional labourers moving in and out of dor- Councils for designated areas obligations imposed upon the local mitory townships, rental of township such as Gauteng, Durban and government sphere. Furthermore, houses by Blacks (who were not al- Cape Town. These councils had this section touches on international lowed to own them), and Apartheid negotiating powers and func- experiences on local government regulations that discouraged retail tions. transformation, from which South trading and industrial development ▪▪ The Interim Phase beginning Africa could draw important les- in Black areas. with municipal elections of 1995 sons. With the establishment of the Unit- and lasting until a new local 2.1 Historical background of ed Democratic Front (UDF), in the government has been designed local government reform early 1980s, communities began to and legislated upon. The White Paper on Local Govern- mobilise against the Apartheid local ▪▪ The Final Phase when the new ment (1998) asserts that transfor- government system, with anger of local government will be estab- mation requires an understanding socio-economic disadvantagement lished. of the historical role of local govern- directed to Black Local Authorities ment in creating and perpetuating (BLAs) that attempted to enforce Furthermore, District Councils were local separation and inequity and rent and service charges on town- established out of old Regional the impact of Apartheid policy on ship residents to increase revenue. Services Councils and Joint Ser- municipal institutions. Previously The chief weapons of black mobili- vice Boards. District Councils were state structures were mechanisms sation against Apartheid local gov- tasked with a responsibility of as- of domination that discounted ernment were organised boycott of sisting in the establishment of new participation by the masses of the rent, service charges and consumer primary structures in rural areas. people. According to Mufamadi boycotts. A Transitional Local Council (TLC) (2003:2) the totality of the Apart- model was applied in predominantly Regional Services Councils (RSCs) heid state machinery consisted of urban areas ranging from major and Joint Service Boards (JSBs) a central government, four regional cities to small rural towns. Three were established to channel funds administrations, ten Bantustan forms of government in rural areas to Black areas, but such interven- administrations, and over one-thou- were established. These were the tions were regarded by Blacks as sand two hundred racially-segre- Rural Councils, Transitional Rep- “too little and coming too late” as gated local government administra- resentative Councils and Transi- the whole local government sys- tions. The Group Areas Act is a key tional Rural or District Councils for tem in the homeland rural areas piece of Apartheid legislation that Remaining Areas. and townships was collapsing for instituted strict residential segre- the emergence of a negotiated 2.2 Constitutional obligations gation and compulsory removal of for local government settlement. The Local Government Black people from urban and farm- In South Africa, the signing of the Transition Act, No. 209 of 1993, land centres to ‘own group’ areas. new Constitution in 1996 heralded came after a process of spontane- Through spatial separation, influx the adoption of local government ous negotiations that occurred at a control and a policy of own man- as the epicentre of the government local government level and further agement for own areas, Apartheid delivery system, and at the heart harnessed at regional and national aimed to limit the extent to which of the poverty eradication initia- level, mapping out a process of affluent white municipalities would tives (Department of Provincial and change. bear the financial burden of ser- Local Government, 2002). Further- vicing disadvantaged black areas. The Local Government Transition more, the Constitution signified the Pass laws served the purpose of Act (LGTA) sketched out the follow- adoption of a relatively new and restricting the permanent presence ing three broad phases of transition: innovative concept of ‘spheres’ as of Africans in urban areas. ▪▪ The Pre-Interim Phase which opposed to ‘tiers’ of government, Molefe (1999:10) furthermore ar- prescribed the establishment which seek to establish new rela- gues that what made local govern- of local forums to negotiate tions between public institutions, ment sustainable in South Africa the appointment of temporary government structures and civil in the past derived from the spatial councils which would govern society. arrangements resulting from the until the democratic municipal Section 40 of the Constitution of Group Areas Act. Government-fa- elections. This phase saw to the Republic of South Africa (1996) voured white municipalities generat- the emergence of a two-tier states that government is consti- ed their revenue base from the sale system comprising Metropolitan tuted as: national, provincial and of African beer, bus transport from Councils and Metropolitan Local local spheres which are ‘distinctive, 062

© 2018 NMMU and DoHS interdependent and interrelated.’ Provincial and Local Government, properly the obligations that are According to Reddy (2001:24) 2002:4). Given this context, and the imposed upon municipalities by this the word ‘distinctive’ grants local urgent need to eradicate histori- new mandate. government some autonomy in cal and socio-economic backlogs 2.3 Developmental local govern- terms of introducing variations through accelerated service deliv- ment defined within the defined structural frame- ery to communities, the Constitution The White Paper on Local Govern- works. Consequently, local author- of the Republic of South Africa had ment (1998) defines ‘Development ities should be able to individually no choice but to provide for greater Local Government’ as: determine how they intend fulfilling powers and authority to the local Local government committed to their Constitutional mandate relative government sphere rather than working with citizens and groups to capacity, size, location and the letting community development within the community to find historical and social context. The regenerate to the fate of organisa- sustainable ways to meet their Constitution accords the local tional development. In this regard, social, economic and material government sphere a legal status. Section 152 of the Constitution needs and improve the quality of As such, its role as a legal govern- mandates local government to their lives. ment structure functioning within a strive within its financial and admin- broader framework of a cooperative istrative capacities, to: According to Nkwinti (2000:1) the governance has been constitu- above definition translates into a re- ▪▪ Provide democratic and ac- tionalised. The implications of this worked service delivery protocol at countable government for local are that local authorities cannot be municipal level that addresses the communities. viewed as exercising delegated needs of the poor and disadvan- powers, but as a sphere in their ▪▪ Ensure the provision of services taged. Local budgets are required own right. to communities in a sustainable to flow from Integrated Develop- manner. ment Plans (IDPs), and these plans Dikgetsi (2001:1) puts the concept have to be prepared through the of a ‘sphere’ quite succinctly when ▪▪ Promote social and economic most comprehensive process of he says that local government is not development. public participation. a third level of government subor- ▪▪ Promote a safe and healthy dinate to a provincial and national environment. Local government legislative and government, nor is it a function of policy framework that has been ▪▪ Encourage the involvement of provincial and national government. developed since the passage of communities and community This distinctiveness of local govern- the Constitution of the Republic organisations in the matters of ment from both the provincial and of South Africa (Act 108 of 1996) local government. national spheres carries particular enabled the establishment of wall- obligations for this sphere of gov- Furthermore, Section 153 of the to-wall municipalities. ernment. Constitution provides for the devel- The concept of ‘wall-to-wall’ mu- opmental duties of municipalities, in Section 151 of the Constitution pro- nicipalities renders the distinction that a municipality must: vides for the establishment of mu- between what constitutes ‘rural’ nicipalities with legislative authority ▪▪ Structure and manage its admin- and ‘urban’ rather fluid (Nkwin- vested in their councils. Municipali- istration, budgeting and planning ti, 2000:3). Where the municipal ties have the right to govern on their processes to give priority to the boundaries have in the past been own initiative the local government basic needs of the communi- confined to cities and towns, affairs of the community, subject to ty and to promote social and municipalities today include the provincial and national legislation economic development of the rural areas. The newly-established (Reddy, 2001:26). National or pro- community. municipalities in South Africa are vincial government may not com- expected to perform their devel- ▪▪ Participate in national and promise or impede a municipality’s opmental role in respect of the provincial development pro- ability or right to exercise its powers newly-established area, including grammes. or perform its functions. what would traditionally be termed The Constitution of the Republic of ‘rural’ and ‘urban.’ However, due to Apartheid policies have funda- South Africa has set a tone for the inherited disparities between the mentally distorted and damaged new local government. However, a rural and urban areas, a primary the spatial, social and economic closer examination of the concept responsibility of municipalities is environments in which people live, of developmental local govern- to address the inequalities which work, raise families and seek to ful- ment is necessary to comprehend fundamentally characterise the so- fil their aspirations (Department of 063

© 2018 NMMU and DoHS called rural areas. sis to transparency in government decentralisation has, undoubted- activities, more public accountability ly, gained popularity in the 1980s One defining feature of the new and the notion of respect of human to 2000s, it has not been a new system of local government is the rights. concept (UNDP, 2002). The term space it offers to the ordinary peo- attracted attention in the 1950s ple to become actively involved in The adoption of the concept of and 60s when British and French governance. This move is support- developmental local government in colonial administration prepared ed by the enabling legislation which South Africa has also been influ- colonies for independence by defines a municipality not just to enced by a general trend of local devolving responsibilities for certain be constituted of councillors and government transformation world- programmes to local authorities. In administration, but to include the wide. It has generally been recog- the 1980s decentralisation came local community as well. According nised that earlier centralised ap- to the forefront of the development to Bekker and Leilde (2003:146) proaches to development that were agenda alongside the renewed the emphasis on local democracy adopted by most African countries global emphasis on governance promises residents engagements were not effective in improving peo- and human-centred approaches to as: ple’s conditions, and that a different human development. Today, both approach that allows beneficiaries ▪▪ Voters: to ensure maximum developed and developing coun- to have a bigger say in priority-set- democratic accountability of the tries are pursuing decentralisation ting, allocation of resources and elected political leadership for policies. implementation of development pro- the policies they are empowered grammes is more likely to generate As Ebel (2002:12) points out in his to promote. the desired results. overview of decentralisation: ▪▪ Citizens affected by local gov- Bekker and Leilde (2003:146) ▪▪ The western world sees de- ernment policy: who express, via point out that, for South Africa, the centralisation as an alternative stakeholders’ associations and failure of the Reconstruction and to provide public services in a ward committees, their views Development Programme (RDP) more cost-effective way. before, after and during the poli- ‘Ministry’ (own emphasis) promoted cy development process in order ▪▪ Developing countries are pursu- the idea of decentralisation. The to ensure that policies reflect ing decentralisation reforms to four priorities of the RDP, namely: community preferences as far as counter economic inefficiencies, meeting basic needs; developing is possible. macro-economic instability and human resources; building the ineffective governance. ▪▪ Consumers and end-users of economy and democratising the municipal services: who expect state and society were devolved, ▪▪ Post-communist transition coun- value-for-money, affordable, through an enabling legislation, to tries are embracing decentral- courteous responsive service. the local government sphere. While isation as a natural step in the shift to the market economies ▪▪ Partners in resource mobili- the country was pressed upon by its and democracy. sation: for the development of local socio-economic development municipal area. needs, mechanisms to respond to ▪▪ Latin America is decentralising such needs had to take due cogni- as a result of political pressure Although not compulsory, the new sance of international experiences, to democratise. system provides for ward commit- hence the disestablishment of the ▪▪ African states view decentralisa- tees to be set up in each ward of Ministry of the RDP in favour of a tion as a path to national unity. a municipality in order to enhance decentralisation of a special type, participatory democracy. A ward dubbed as developmental local The UNDP defines decentralisation committee comprises the ward government. as the transfer of responsibilities councillor as the chairperson and for financing, management and up to ten other people representing 2.4 Overview of international local government transformation resourcing and allocation from a diversity of interest in the ward experiences the central government and its (Municipal Structures Act, 1998). Some countries have adopted agencies to the lower levels of Van Rooyen (2003:1) holds the decentralisation as the main vehicle government. There are three broad view that, indeed, traditional for transforming their societies, types of decentralisation: political, South Africa never had a culture although the forms adopted range administrative and fiscal. Further- of engaging communities in local from a high degree of central more, there are four major forms government development affairs. control to extensive devolution of of decentralisation: devolution, Democracy brought new empha- powers to local government. While divestment, delegation and de-con- 064

© 2018 NMMU and DoHS centration. These decentralisation trative powers, the central govern- out of self-interest or are regarded approaches are analysed below: ment limits the resources allocated as mere capable representatives of to sub-national governments. In local communities. ▪▪ Political decentralisation re- addition, the local entities have only fers to situations where political Secondly, the ability of decentral- some degree of autonomy in the al- power and authority has been isation to promote local economic location of resources since they are transferred to sub-national levels activity, which is crucial for human under the authority of the Ministry of of government. This mainly development, as would be the case Interior. manifests itself in elected and under a centralised system, has not empowered sub-national forms Uganda, on the other hand, had been clear. While some success- of government. started its reforms to decentralise es of decentralised systems have to the district level since the early been recorded elsewhere, positive ▪▪ Devolution refers to the full 1990s. The new Ugandan consti- economic consequences are said transfer of responsibilities and tution adopted in 1995 devolved not to flow automatically. There are authority to the local government responsibilities and powers to local instances where decentralised gov- level public authority that is au- government. The Uganda Local ernment structures failed to provide tonomous and independent. Government Act of 1997 deepened a positive link which promotes local ▪▪ Administrative decentralisa- reforms by giving authority to local economic activity. tion aims at transferring deci- councils at the sub-country level to 3.0 KEY PRINCIPLES OF sion-making authority, resources raise resources and initiate devel- and responsibilities for the de- A DEVELOPMENT LOCAL opment projects. Local councillors GOVERNMENT livery of the selected number of were elected in 1998 at various Traditional and developmental local public services from the central levels of government, though their governments are, inherently, two government to other lower levels responsiveness to the electorate distinct behavioural and functional of government agencies. is still to be tested. Fiscal decen- entities in the context of the South ▪▪ Fiscal decentralisation refers tralisation has accompanied the African civil service reforms. Out- to the resource allocation to decentralisation of responsibilities. lined in the next section is the new sub-national levels of govern- However, overall resources re- role, principles and approaches that ment. main meagre and transfers from underpin the developmental local the central government are low It should be important to note that government. and increasingly tied to conditions, all governmental systems are likely leaving little room for local discre- 3.1 New Vision – New Mandate – to have elements of devolution, tion. Furthermore, broader reforms New Role de-concentration and delegation. As are necessary to achieve effective Local government in South Africa such, a clear delineation of forms participation by villagers. Local has been given a new constitutional of decentralisation is not possible. elites still exercise more influence mandate of creating and maintain- However, a general understanding in determining how funds are used. ing a humane, equitable and viable of the various forms should assist in A number of local leaders are held human settlements (White Paper deepening our understanding of the back by illiteracy, lack of knowledge on Local government, 1998). It is direction local government transfor- of government procedures and low the intention of the White Paper mation is likely to follow in various awareness of their rights. that a developmental local govern- countries. ment should have a positive impact A brief journey throughout inter- Decentralisation in Morocco, for on the daily lives of South African national local government reform instance, is not a new experience. citizens. Where municipalities do has generated important lessons Since the 1960s the country tried to not develop strategies to meet for South Africa. Firstly, it has respond to growing social pressure community needs and improve the been observed that even where assigning certain management and quality of life of people within their there is a thorough going devolu- decision-making functions to the jurisdiction, national government tion of decision-making power to local government level. A decen- may have to adopt a more prescrip- local government, the poor may tralisation law was passed in 1973, tive approach towards municipal still be effectively excluded. The and two constitutional reforms transformation. domination by elite groups which were introduced in 1986 and 1992. characterised the Bantustan local Moosa (1998:1) contends that local The process undertook the form of government processes may still government, in South Africa, has moderate devolution. While sub-na- prevail in a democratic dispensa- been given a distinctive status and tional authorities can exercise a tion. Elite groups usually act solely role in building democracy and number of legislative and adminis- 065

© 2018 NMMU and DoHS promoting socio-economic devel- palities to be more developmental. historically-marginalised societal opment. This is a role that should These are: groupings such as women and be successfully carried out by people with disabilities will require a ▪▪ Integrated development plan- each municipality to avoid constant focused attention if the ideal of local ning and budgeting. interventions from national and or democracy shall be realised in the provincial government ▪▪ Performance management future. system. In addition to the traditional func- 4.2 Developing human resourc- tions performed by a municipality ▪▪ Working together with local cities such as the provision of essential zens and partners. For the new local government to succeed in its mandate there shall services such as water, electricity These approaches which have have to be a concerted effort to and refuse removal, municipalities been introduced with the passage invest in capacity building interven- are, in terms of the newly-defined of the Municipal Systems Act (2000) tions for elected councillors, munic- mandate, required to lead, manage have at their centre a need to ipality officials and the community and plan for development of com- promote community participation. members. The ability of elected munities (Taylor, 2004:217). Masango (2002:52) asserts that councillors to comprehend huge 3.2 Characteristics of a devel- public participation lies at the heart documents generated by consult- opmental local government of democracy. ants appointed on various local The four characteristics of a de- Municipalities are required to government matters has remained velopmental local government are employ whatever possible mecha- a cause for concern. In addition, the viewed as: nisms, including participatory plan- municipality administration needs ▪▪ Maximising social development ning and performance management strengthening in key competences and economic growth. to promote community participation. of financial management, informa- ▪▪ Integrating and coordinating 4.0 CHALLENGES FACING tion and communication technology, government, business and DEVELOPMENTAL LOCAL development planning, engineering non-profit sector activities. GOVERNMENT and other technical skills. As it has been alluded elsewhere ▪▪ Democratising development 4.3 Responding to the massive in this article, developmental local service delivery backlogs through empowerment and government followed in South Africa Despite the efforts that are made redistribution. is not without its own challenges. to expand municipal services and ▪▪ Fostering social capital at the Some of these challenges are ana- address unmet basic needs of the local level via a leadership lysed below. poor and eliminate socio-economic approach committed to learning 4.1 Ensuring community partic- backlogs, accumulated over the (Swilling, 1998:1). ipation years of colonialism and Apartheid, One of the most important methods Addressing citizen apathy is a duty the task ahead remains huge. for achieving coordination and inte- imposed upon each municipality By 2000 the Development Bank gration is integrated development by the Constitution of the Republic of Southern Africa estimated the plans that should be prepared in of South Africa (1996). Promoting investment required to clear service collaboration with local communi- broad community participation re- backlogs in municipalities to vary ties. The preparation, implementa- quires resources within a municipal- between R47 billion and R53 billion. tion and review of IDPs will seek to ity. It is almost a universal norm that The Development Bank of Southern achieve the four ideals of a devel- participation in local government Africa furthermore noted that at the opmental municipality in a more elections is significantly lower than investment levels in infrastructure integrated manner. in provincial and national govern- (including electricity, refuse remov- ment elections. Given the new man- al, telecommunication, housing, wa- 3.3 Development approaches date of local government in South ter and sanitation) existing backlogs To achieve the developmental Africa, this situation will require to could only be met in 2065 through outcomes that are enunciated in be turned around. public sector investment. the Constitution of the Republic of South Africa (1996) will require Distinction should furthermore be quite significant changes in the made between domination by the manner local government operates. elite and the voice of the poor in The White Paper on Local Govern- municipality affairs. Factors which ment presents three interrelated ap- consistently limit the meaningful proaches which can assist munici- participation by the poor and the 066

© 2018 NMMU and DoHS 5.0 INTERVENTIONS focusing on institution-building, ▪▪ Mainstreaming hands-on sup- TO STRENGTHEN service delivery and economic port to the local government LOCAL GOVERNMENT growth and development. Project sphere to improve municipal CAPABILITY Consolidate commenced in earnest governance, performance and With new systems and structures in 2005 with the establishment of accountability. in place, strategic interventions Programme Management Units at ▪▪ Addressing the structure and have been required to support and national and provincial government governance framework of the transform local government into an spheres and coordinating structures state in order to effectively effective instrument for socio-eco- within municipalities. The key focus support and monitor the local nomic development. Some of these areas of Project Consolidate are: interventions are outlined in brief government sphere. ▪▪ Municipal transformation and below. ▪▪ Refining and strengthening the institution development. 5.1 South african local govern- policy, regulatory and fiscal en- ment association (SALGA) ▪▪ Municipal financial viability and vironment for the local govern- National Parliament of the Republic management. ment sphere, and giving more of South Africa passed the Organ- attention to the enforcement ▪▪ Basic service delivery and infra- ised Local Government Act, No.52 measures. structure development. of 1997 that recognises the estab- Each strategic priority was broken lishment of SALGA as a collective ▪▪ Social and economic develop- down into key performance areas, voice for local government, thereby ment. and each KPA had clear inter- enhancing its collective strength in ▪▪ Good governance and public ventions, high-level activities and cooperative governance matters. participation (http://www.dplg. deliverables or outputs expected SALGA is an association of mu- gov.za). within pre-determined timeframes nicipalities in South Africa, whose 5.3 Siyenza manje (we are doing by responsible institutions, across objectives include: it now) the three spheres of government ▪▪ Promoting sound labour rela- The Siyenza Manje (English trans- (Department of Provincial and Local tions practices that can achieve lation: we are doing it now) initiative Government, 2005). was launched by national govern- high levels of performance and 5.5 Municipal turn around strat- responsiveness to the needs of ment in June 2006 and is managed egy (MUTAS) citizens. by the Development Bank of South- With the coming of new administra- ern Africa’s Development Fund, ▪▪ Representing, promoting, pro- tion in 2009, National Government, with an objective of building capac- tecting and giving voice to the led by the Ministry of Cooperative ity at municipal level. The initiative interests of local government Government and Traditional Affairs was aimed at complementing the at the national and provincial undertook a country-wide assess- government’s Project Consolidate, spheres, in intergovernmental ment of the 283 municipalities. The which identified underperforming relations and policymaking fora. main purpose of the assessment municipalities to provide them with was to ascertain the root causes ▪▪ Building the capacity of lo- assistance. Siyenza Manje focused for poor performance, distress or cal government to contribute on deployment of experts to mu- dysfunctionality in municipalities. towards a developmental and nicipalities to assist with the imple- From these municipal assessment democratic governance system mentation of infrastructure projects, reports a State of Local Govern- that can meet the basic human planning and financial capacity ment Report was consolidated and needs (Tsatsire, 2008:86). building (http://www.dplg.gov.za). released after an extensive consul- 5.2 Project consolidate 5.4 Five-year local government tation with stakeholders. Following This is a hands-on initiative prem- strategic agenda the analysis of the findings of the ised in forging partnerships be- Building on previous interventions municipal assessment studies a tween the three spheres of gov- in local government, National Cab- Local Government Turn Around ernment that will result in practical inet adopted a 5-year Local Gov- Strategy was developed. Some of improvement in the quality of life ernment Strategic Agenda for the the root problems identified during of people at local level. Project 2005 – 2011 electoral cycle. The the assessment of functionality of Consolidate was launched at a 5-year Local Government Strate- municipalities included: gic Agenda had the following key national level in 2004 with inten- ▪▪ Systemic factors. tions to systematically analyse and objectives, commonly-known as the evaluate the challenges that must strategic priorities: ▪▪ Policy and legislative factors. be addressed in each municipality, 067

© 2018 NMMU and DoHS ▪▪ Political factors. development. The local government level: The case of Malawi. Pretoria: sphere has been accorded a legal Politieia. Vol 22, No.2. ▪▪ Weaknesses in the accountabili- and constitutional status of being ty system. Levin, R. (2004). Building service distinctive though interrelated and effectiveness: Integrated governance ▪▪ Capacity and skills constraints. interdependent with the national and the developmental state. Pretoria: Service Delivery Review. Vol 3, No.1. ▪▪ Intergovernmental fiscal system- and provincial government spheres. Mail & Guardian Archive. (2003). Small ic factors. Although the transformation of the towns struggle with delivery. Mail & The LGTAS was premised in the South African local government into Gardian of 2 April 2003. a democratic and people-centred following assumptions: Masango, R. (2002). Public partici- dispensation has been triggered by ▪▪ Local government is everyone’s pation: A critical ingredient of good a mounting socio-political pressure governance. Pretoria: Politeia. Vol 2,1 business. during the 1990s, it was equally No.2. ▪▪ The structure of local govern- met by a global movement, at the Matomela, B.P. (2003). Examining the ment system remains the same. time, from centralised development role of the state as a developmental approaches to more decentralised catalyst. Pretoria: Service Delivery ▪▪ The local government system is forms of development manage- Review. Vol 2, No.1. still new and evolving. ment. Decentralisation, which is Molefe, P.S. (1999). Speech by the The LGTAS is a high-level, govern- characterised by community partici- Premier of the North West Province, Mr ment-wide response aimed at stabi- pation and empowerment on issues Popo Molefe, to the Local Government lising local government and putting of governance, has been viewed as Summit held on 9 November 1999. Mafikeng: Office of the Premier. municipalities back on a path of central to market liberalisation and responsive and accountable service sustainable community develop- Mufamadi, F.S. (2003). Speech by the delivery. The LGTAS is premised ment. Minister of Provincial and Local Gov- upon a methodological approach ernment, Mr Sydney Mufamadi, in the Despite the national and provin- occasion of the Tabling of Budget Vote that there must be a differentiated cial government interventions that 5. Pretoria: Ministry of Provincial and and targeted support system for have been made to stabilise the Local Government. local government. This support local government sphere in South Nkwinti, G.E. (2000). Keynote Address system focuses on two interrelated Africa since 1994, municipalities by the Eastern Cape MEC for Local streams: are still faced with challenges that Government, Housing and Traditional Affairs, Mr Gugile Nkwinti, to the Provin- ▪▪ Institutional measures to facili- hinder their ability to lead societal cial Rural Development Summit held on tate improved service delivery of development and economic growth. 5 and 6 October 2000. Bhisho: Depart- infrastructure and services in the However, the notion of local gov- ment of Local Government, Housing short- to medium-term. ernment being everyone’s business and Traditional Affairs. ▪▪ Structural, policy, legislative and emphasises the importance of Project Consolidate (http://www.dplg. capacity building measures in partnerships between government, gov.za accessed on 20 March 2013). communities, civil society and the the medium- to long-term (De- Reddy, P.S. (2001). Intergovernmental partment of Cooperative Gov- private sector in addressing the relations in South Africa. Pretoria: Poli- ernment and Traditional Affairs, constraints bedevilling the local tiea. Vol 20, No.1. 2009). government sphere. Republic of South Africa. (1996). Con- stitution of the Republic of South Africa, References 6.0 CONCLUSION Act No. 108 of 1996. Government Ga- Bekker, S. & Leilde, A. (2003). Resi- It is clear that the legacy of zette No. 17678. Pretoria: Government dents’ perceptions of developmental geo-spatial development inequal- Printers. local government: Exit, voice and ities and urban inefficiencies in loyalty in South African towns. Pretoria: Republic of South Africa. (2000). Local South Africa, which came as a Politeia. Vol 22, No.1. Government Municipal Systems Act, result of racially-based Apartheid No. 32 of 2000. Pretoria: Government Dikgetsi, P. (2001). Keynote Address policies, has been carried over as a Speech of 15 October 2001 by the Printers. new responsibility of the new dem- Northern Cape MEC for Local Govern- Republic of South Africa. (1998). Local ocratic order. The legislative and ment and Housing in the Summit on Government Municipal Structures Act, policy framework of the past regime Democratisation and Decentralisation No. 117 of 1998. Pretoria: Government has been abandoned in favour of a of the South African Local Government Printers. System. Kimberly: Department of Local new policy dispensation which plac- Republic of South Africa. (1998). White Government and Housing. es participation of the communities Paper on Local Government. Govern- Hussein, M.K. (2003). Good govern- in municipal affairs at the centre of ment Gazette No. 18739. Pretoria: 068 ance and decentralisation at the local Government Printers

© 2018 NMMU and DoHS Republic of South Africa. (1993). Local Unpublished thesis for Doctor Philoso- Government Transition Act, No. 209 of phiae. Port Elizabeth: Nelson Mandela 1993. Pretoria: Government Printers. Metropolitan University. Republic of South Africa. (1995). Devel- United Nations Development Pro- opment Facilitation Act, No. 67 of 1995. gramme. (2004). Occasional Paper Pretoria: Government Printers. No.13 – Decentralisation: A survey of literature from a human development Republic of South Africa. (1997). White perspective. UNDP. Paper on the Transformation of Public Service Delivery (Batho Pele). Gov- Van Rooyen, E. (2003). A new ap- ernment Gazette No. 18340. Pretoria: proach to managing community partic- Government Printers. ipation and stakeholder negotiation in the South African Local Government. Republic of South Africa. (1994). Pretoria: SAJEMS. Vol 6, No. 1. Reconstruction and Development Programme White Paper. Pretoria: Gov- ernment Printers. Republic of South Africa. (2003). Munic- ipal Finance Management Act, No. 56 of 2003. Pretoria: Government Printers. Republic of South Africa. (2002). South Africa Country Report to the Fourth Af- rica Governance Forum: Local Govern- ance for Poverty Reduction. Pretoria: Department of Provincial and Local Government. Republic of South Africa. (2005). Sum- mary implementation plan for the Five Year Local Government Strategic Agen- da. Pretoria: Department of Provincial and Local Government. Republic of South Africa. (2007). Siyen- za Manje – Doing it for municipalities constrained by lack of capacity. Media release of 30 August 2007. Pretoria: Department of Provincial and Local Government. Republic of South Africa. (2009). Local Government Turn Around Strategy: Working together turning the tide in Local Government – Local Government is everyone’s business, Be part of it. Pretoria: Department of Cooperative Government and Traditional Affairs. Swilling, M. (1998). Creative vision for local government. Mail & Guardian of 13 March 1998. Taylor, J.D. (2004). Only Study Guide for Advanced Municipal Administration, SOA 403/413 for 2003. Port Elizabeth: University of Port Elizabeth. Taylor, J.D. (2004). Developmental Local Government - Supplementa- ry Reading for Public Management students. Port Elizabeth: Port Elizabeth Technikon. Tsatsire, I. (2008). A critical analysis of challenges facing developmental local government: A case study of Nelson Mandela Metropolitan Municipality. 069

© 2018 NMMU and DoHS SUB-THEME 5: SCIENCE AND TECHNOLOGY INNOVATIONS FOR SUSTAINABLE HUMAN SETTLEMENTS Assessing the condition of “as built’’ innovative building technology homes against theoretical expectations Jeffrey Mahachi | University of Johannesburg, Dept of Civil Engineering Dominique Geszler | National Home Builders Registration Council

Abstract The housing sector in South Africa is facing many challenges to meet the ever growing demands of the poor. There is a need for the country to find more sustainable and innovative ways to solving many of the housing challenges. It is generally accepted that Innova- tive Building Technologies (IBT) can become a way of solving some of the performance issues, especially if certified systems are used for large scale projects. Due to a shortage of technical skills at the levels where housing projects are procured and managed, more guidance is required to ensure good quality houses are rolled out. However, it is not known how the “as-built” IBT systems perform in terms of its certification, of which the theoretical evaluation is accepted to be enough verification on the outcome of the end product. An assessment tool was developed that evaluates the physical condition of constructed IBT homes. This study aims to determine the condition of IBT houses through establishing the latent defects any time after the construction process. The paper mainly focusses on the results of a starting phase of inspections and pilots the tool for a number of IBT systems in the country. Using descriptive statistics one can measure the dispersion around the central tendency of the inspected IBT houses. The results indicated a median and mean of the overall performance in terms of defects that is acceptable, but provides a variance or dispersion that is negatively skewed and can be a cause for concern.

1.0 INTRODUCTION 2011). This study focused on the low-income persons and built by the overnment and human technical performance issues, IBT system owner are performing settlements’ stakeholders which were further investigated technically. The answers will guide have committed to deliver to be able to reduce the risks to the country to know what regulatory G government in terms of protecting measures need to be put in place to 1.5 million housing opportunities by 2019 to address the growing hous- the consumer from housing defects reduce the risks to government and ing shortages (Petterson, 2014). (South Africa, 1998). beneficiaries from housing defects (South Africa, 1998). This has be- Going forward, the Minister of 2.0 RESEARCH ON Human Settlements put emphasis PERFORMANCE OF IBT come essential, as innovation could on the delivery; the ability to deliver AT POST-CONSTRUCTION become a means of solving subsi- faster, better and more efficiently PHASE dised low-income housing challeng- (SA Government, 2014). National Limited research has been done on es (Burger, 2014). Department of Human Settlements the general performance of low-in- 3.0 METHODOLOGY has encouraged the use of innova- come houses built using Innovative The approach used for determin- tive building products as a means Building Technology (IBT). Although ing the condition of “as-built” IBT to solving the housing problem, critical studies have been com- homes was to follow an inspection and that these must preferably pleted on evaluating the thermal process. Inspectors from regulatory be localised to contain costs (SA performance of IBT in the country, institutions assessed the condition Government, 2015). However, there based on simulations or through through establishing the extent of have been issues raised by Human controlled experiments (Conradie, visual defects using a measuring Settlement’s department on current 2014; Van Wyk, 2010) for different tool. The condition of a building IBT low-income housing projects climatic zones, not any monitoring was ascertained through identifying concerning structural problems, has yet been done on the condition defects as a result of design errors possible high construction costs, of constructed IBT homes. by professionals, a manufacturing poor accessibility to the supplier, The country does not know how flaw, defective materials, improper lack of proper maintenance plans, subsidised IBT homes occupied by use of installation of materials, not and lack of inspection skills (PMG, 070 conforming to the design by the

© 2018 NMMU and DoHS contractor, or any combination of ▪▪ visualisation; Five inspectors tested the tool’s the above (Findlaw, 2011: online; scoring to preferably converge ▪▪ maintenance planning; Ahzahar et al., 2011: 250). A final within at least 10 points and reflect score ascertained the general ▪▪ prioritising of maintenance the severity of the defects in terms technical performance which was budgets; of health, safety and the environ- analysed using descriptive statistics ▪▪ control of physical conditions; ment. The tool was thus calibrated to determine the general perfor- and for the first two rounds by means of mance of homes using IBT. The changing the weighting of the com- ▪▪ communication about the actual intention would be to obtain results ponents. In this context the structur- assessed physical condition and from an adequate representation of al safety was weighted higher than desirable condition (Netherland IBT homes in South Africa to make the other components. The tool standardisation institute, 2006). related generalisations. also included the minimum energy The Dutch assessment provided efficiency requirements in terms of Of interest is a condition assess- a scoring in terms of the critical checking the roof insulation, and ment tool standardised by the defects (symptoms) identified. whether there were air leaks around Dutch Government Building Agen- This type of assessment would openings. Thereafter, the tool was cy in 2002, which was chosen to allow South African government piloted on IBT houses in provinces base the development of the South to choose from those IBT systems in which beneficiaries lived. The African Condition Assessment Tool on the ground that qualified (with first 12 IBT homes on the NHBRC (SACAT) on. An advantage of a qualifying score) to be placed on database were inspected for the pi- this tool is that most South African an IBT database. It needs to be loting stage in 6 provinces such as building inspectors from regulatory highlighted that it is not the intention Limpopo, Gauteng, Eastern Cape, institutions will be able to apply this of the tool to ascertain the origin of KZN, Western Cape and Freestate, in the case of innovative building the deficiencies in this phase. using a condition assessment tool. technologies due to its usefulness The names of the different IBT and efficiency. The aim of such a 4.0 METHOD USED systems are not mentioned, as this tool was an objective visual as- A systematic process for data study aims to establish general sessment of the technical quality collection was followed of which performance. to provide property managers with subsidised IBT homes for the poor unambiguous reliable information persons were sampled, construct- Visual assessments were per- about the technical status based on ed by the IBT system owners. formed by trained inspectors using assessed defects. These homes were taken from the some small equipment and measuring tools. An inspector passed One third of the Dutch housing NHBRC IBT database. This dynam- through the following SACAT associations (associations providing ic IBT database was established condition parameters: importance decent, affordable rental housing by NHBRC through advertising in of defects, intensity of defects and to lower-income households and newspapers; calling upon all inter- extent of defect. The extent of the managing building maintenance ested IBT system owners that can intensity of a defect combined with processes) use condition rating to assist government with IBT housing the importance of the defect lead record the technical status of the projects, as well as obtaining a list to a condition rating, with a defect building components (Vijverberg, of certified systems from Agrément score (Straub: 2009:26). 2004). But condition assessments South Africa. To qualify to get on vary for the hierarchal classification the IBT database for inspections, The main components of this of building components, classified the IBT system owner must have an study’s assessment tool encom- defects and the use of condition Agrément certificate or rational de- passed the sub-structure, su- parameters. Several condition as- sign approval and have construct- perstructure, roof, services and sessment methods lead to variable ed IBT homes in the country. The finishes concerned with health, condition rating results, while ex- processes included stages whereby safety and the environment. Scor- amining the same defects (Straub, the SACAT tool was pretested ing differed from the Dutch con- 2003). and then piloted. In the pretesting dition assessment tools’ six-point phase, two rounds of inspections scale (Straub, 2009:25) in that the This standard tool can be used by were carried out on unoccupied IBT extent and intensity was measured property owners, tenants, consult- show houses at Eric Molobi Hous- by a five-point scale with 1 being ants, contractors and inspectors of ing Innovation Hub in Soshanguve. critical and 5 minor to make the dis- control bodies. Application of the The purpose of pretesting was to tinction between the points easier. standard can include the following: ensure uniformity in application. The importance of the elements 071

© 2018 NMMU and DoHS (component type) was weighted in well, the higher the additional score The results indicated that for the 12 terms of the defects that can direct- became. assessments completed the median ly harm the function of the building was 86.27%, which means that 5.0 ANALYSIS AND component. Once all the elements 50% of the data is situated there RESULTS were evaluated the scores were and measures the central tendency. Measures of average such as carried over to be weighted again The Q (also called the lower quar- the median or mean were used 1 in terms of the key components tile) was 68.48% and is the num- to represent the typical value for that are a high risk to the NHBRC a dataset. Within the dataset the mandate, which focuses on the actual values usually differ from Labels Sample 1 structural strength and stability. one another and from the average The overall score was indicated as Min 60.15 value itself. The extent to which a percentage and categorised in Q1 68.48 the median and mean are good grades of A, B and C. A good score representatives of the values in the Median 86.27 would preferably be accepted as an original dataset depends upon the Q3 93.94 A Grade. The grades and related variability or dispersion in the origi- Max 96.14 percentages are indicated in Table nal data. Datasets are said to have IQR 25.45 1 below. The theoretical expecta- high dispersion when they contain tion would be that IBT homes with Upper Outliers 0 values considerably higher and certification should be able to attain Lower Outliers 0 lower than the mean value (Pow- these scores. Table 3: Results of the central tendency ers, 2013:83 – 85). For this study using the median the degree of dispersion in relation 120 Grades Percentages to the mean in terms of the interquartile range and possible outliers 100 A ≥ 81% to the latter was critical (Van Elst, B 61% – 80% 2013:22). 80 C ≤ 60% The results indicating the magni- Series5 Table 1: Performance grades tude of the defects for each IBT Series4 60 house120 inspected are provided in Series3 Percentages Those scores that were on the Table 2. Percentages Series2 borderline were given an additional 40 Using100 descriptive statistics the Series1 opportunity to qualify by adding central tendency for both median percentages of between 1% and 20 and mean80 were calculated, as 5% to the total end score. The Series5 Series 1 well as measures of dispersion. In additional score was to provide a Series40 addition to the central tendency the higher reward to those houses that 60 Series 1 IQR explains where the middle 50% Series3

were older and still performing well. Percentages of the data is located, while the SD Series2 This resorted to 1% extra for a 40 provides clarity about the spread of FigureSeries1 1: Boxplot displaying the distri- house 0 – 5 years old; 2% extra for bution of data the data. It is also known that the house 6 – 10 years old; 3% extra for 20 IQR is very resistant to outliers (and a house 11 – 15 years old; and 5% to some degree skew) while the SD ber below the median, which was extra for a house 16 – 20 years old. is not. 0The results of the minimum situated within the 25 percent of the If the wall element score was 75% Series 1 (Min.), first quartile (Q ), median bottom data. The Q3 (also called or more the system would qualify 1 (M), third quartile (Q ), interquartile the upper quartile) was 93.94% and for an additional percentage to 3 (IQR), maximum (Max.) and outliers had 75 percent of the data below it possibly get a qualifying score. The are indicated in the Table 3 and the and the top 25 percent of the data older the system was, of which the boxplot in Figure 1. above. This indicated that the Q1 superstructure was still functioning

IBT Building 1 2 3 4 5 6 7 8 9 10 11 12

% 60.75 95.12 92.42 86.14 62.20 82.23 70.58 93.55 60.15 96.14 96.00 86.41

Table 2: Results of the inspected IBT buildings 072

© 2018 NMMU and DoHS was further away from the medi- of 13.83% indicated a wide error Green Building Handbook, The Essen- tial Guide, Vol 6. an than the Q3 of which the lower range. The nature of the distribution quartile skews the central tendency therefore increases the uncertainty FindLaw. (2011). Types of construction results. The results are negatively of the results. defects. [Accessed: 2 to the expected “good” results for than the distance from the median December 2011]. this study, graded as ≥81%, then to the maximum. The IQR calculat- both mean and median complied. Netherlands standardisation institute ed as the difference between upper (NEN). (2006). Condition Assessment However, the skewed and wide and lower quartiles (Q3 – Q1) was of Building and Installation Components distribution of data increases the – Part 1: Methodology, Delft, Nether- 25.45%, which is quite far apart. level of uncertainty and therefore lands These results therefore question justifies the requirement for further whether the median is a good rep- Parliamentary monitoring group (PMG). investigation. resentation of the central tendency. (2011). NDoHS: Rural Infrastructure Programme & Innovative Housing The SD is a measure that summa- 7.0 DISCUSSION Technologies: Department of Human rises the amount by which every The description of the dataset for Settlements briefing, https://pmg.org.za/ value within a dataset varies from the pilot study suggests that there committee-meeting/12555/. [Accessed: the mean. Generally, when the val- are questions as to the true central 30 March 2016]. ues in a dataset are tightly bunched tendency. Further investigation is Petterson, D. (2014), Human settle- together, the SD is small. When the required by extending the study to ments to build 1.5m houses, Infra- values are spread apart the SD will draw inferences from a larger sam- structure news and service deliver, 16 July 2014, http://www.infrastructurene. be relatively large. The results for ple size that is a better representation to make generalisations. Not ws/2014/07/16/human-settlements- the SD calculation are indicated in to-build-1-5m-houses/. [Accessed: 27 only should the sample size be in- Table 4. March 2016]. creased, but IBT homes should be monitored at a relevant frequency Powers, G. (2013). Cambridge HSC to compare the results of the same Mathematics General 1, 83 – 85, UK: Measurement Result homes that can establish possi- Cambridge University Press. Mean 81.81% ble degradation over time. Future South Africa. (1998). Housing Consum- er Protection Measures Act, No. 95 of Variance 191.46 investigations could also provide more insight as to whether the IBT 1998, Government Printer. Standard Deviation 13.83% database is really necessary and South African Government. (2014). Table 4 : Standard deviation calcula- could shed light on the components Minister Lindiwe Sisulu commits to tion results of a home that will require more housing opportunities by 2019. http:// scrutiny during general inspections www.gov.za/press-release-minister-sis- 6.0 CONCLUSION ulu-and-human-settlements-stakehold- of IBT systems. By comparing the median to the ers-commit-delivery-15-million-housing. mean, one could get an idea of References [Accessed: 29 March 2016]. Ahzahar, N., Karim, NA., Hassan, SH. & the distribution of a dataset. When South African Government. (2015). Eman, J. (2011). A study of contribution the mean and the median are the Minister Lindiwe Sisulu: Human Set- factors to building failures and defects tlements Dept Budget Vote 2015/16, 7 same, the dataset is more or less in the construction industry. In: Procedia May 2015, http://www.gov.za/speeches/ evenly distributed from the lowest Engineering. 2nd International Build- minister-lindiwe-sisulu-human-settle- to highest values. If a distribution is ing Control Conference, 11 – 12 July, ments-dept-budget-vote-201516-7- Penang, Malaysia. Amsterdam: Elsevier not normal it is said to be skewed may-2015-0000. [Accessed: 29 March Science, Vol. 20, 249 – 255. and is not symmetrical and the 2016]. values of mean and median are not Burger, S. (2014). Innovative building Straub, A. (2003). Using a condition-de- the same. If extreme scores are technologies can aid delivery of social pendent approach to maintenance to infrastructure. Creamer Media on the lower end of a distribution it control costs and performances, Jour- is said to be negatively skewed. A http://www.engineeringnews.co.za/ nal of Facilities Management, Vol. 1 No. negatively skewed result occurred article/social-infrastructure-boost- 4, 380 – 395. due to the mean of 81.81% being ed-by-innovative-building-technologies-2014-01-24. [Accessed: 30 March Straub, A. (2009). Dutch standard less than the median of 86.27%. for condition assessment of build- 2016]. Moreover, the IQR of 25.45% indi- ings, Structural Survey Vol. 27 No. 1, cated how spread out the middle Conradie, D.C.U. (2014). The perfor- 23 – 35. mance of Innovative Building Technolo- half of the data was and the SD Van Elst, H. (2013). Foundations of gies in South Africa’s climatic zones. In: 073

© 2018 NMMU and DoHS Descriptive and Inferential Statistics. Karlshochschule International Uni- versity, Germany, 22. www.mth.uct. ac.za/~henk/Stats.pdf. [Accessed: 20 April 2016]. Van Wyk, L. (2010). The efficacy of innovative technologies in subsidised housing in South Africa: A case study. CSIR, Pretoria. Vijverberg, G. (2004). Strategic housing stock policy and maintenance management practise in Dutch social housing. In: Then, D.S.S., Jones, K. and Hinks, J. (Eds), Proceedings of the CIB W070 Symposium, Human Elements in Facili- ties Management — Understanding the Needs for Our Customers, Hong Kong, CIB, Rotterdam, 337 – 346.

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© 2018 NMMU and DoHS SUB-THEME 5: SCIENCE AND TECHNOLOGY INNOVATIONS FOR SUSTAINABLE HUMAN SETTLEMENTS The governance of increasing precariousness in wealthy settings: The case of Msawawa informal settlement, Johannesburg Marie Huchzermeyer | University of the Witwatersrand, School of Architecture and Planning Mpho Nenweli | University of the Witwatersrand, School of Architecture and Planning

Abstract Informal settlements have been a necessary part of the City of Johannesburg since its inception, providing much needed living environments for those excluded from its formal residential areas. In the past two decades, informal settlements have emerged on the city’s northern expansions, where peri-urban smallholdings are rapidly subdivided and developed into exclusionary gated estates. New informal settlements have accompanied this expansion, responding to opportunities in domestic employment and more precarious livelihoods such as waste picking and recycling. This paper focuses on Msawawa, an informal settlement that emerged rapidly on an abandoned smallholding as adjacent properties were being transformed into gated developments. The paper presents both quantitative and qualitative data on the precariousness of households in this settlement within their socio-spatial context.. The paper places this profile of precariousness of the residents of Msawawa in relation to the governance structures and processes through which this condition is sought to be addressed. On the basis of an approach to gathering empirical data, combining a quantitative survey with qualitative key-informant interviews, we are able to show an interconnection between household socio-economic conditions and governance. This allows us to conclude that more effective forms of governance are required to counter the pressures that would have residents displaced rather than lives improved in informal settlements such as Msawawa.

1.0 INTRODUCTION unplanned informal settlements peripheral urbanisation’ (Murray, ver the past two decades, emerged in pockets on abandoned 2014:184). We situate the set- the City of Johannesburg or poorly controlled smallholdings, tlement within its transforming has faced challenges in due to labourer displacements from surrounding and socio-economic O former smallholdings, as well as context, including the web of infor- guiding development in its peri-urban areas. On the one hand, the growth of domestic employ- mal settlements that has succeeded landowners and developers used ment with the suburban expansion to superimpose itself upon what political connections, as well as (Beall, Crankshaw & Parnell, 2002; Murray (2011:216) refers to as a loopholes in the spatial land use Huchzermeyer, Karam, & Maina, landscape of ‘anxious urbanism’. management framework, to real- 2014). Informal settlements in this Honing in on the conditions of pre- ise their aspirations of profitably, context remain unwanted, both by cariousness of Msawawa’s house- subdividing and developing small- landowners and the municipality. holds, a profile of particular precar- holdings into gated townhouse They are earmarked for future iousness emerges, accentuated by developments or exclusionary relocation to socio-economically the setting of wealthy smallholding upmarket estates (Harrison, Todes segregated, planned developments. and gated development. From this & Watson, 2008; Murray, 2011). A As the Sustainable Development socio-economic portrayal of the set- fragmented environment has result- Goals bring questions of justice, tlement, we proceed to explain the ed in contravention of successive inclusion and equitable cities to the governance structures and process- municipal spatial frameworks which fore, the South Africn peri-urban es through which the current situa- envisaged nodal and corridor de- context requires urgent attention. tion is sought to be addressed. We draw on findings from data mainly velopment, urban compaction and In this paper, we provide a snap- collected in March 2013 through an the containment of urban develop- shot of an informal settlement that approach involving a quantitative ment with an urban edge (Harrison exists within the ‘poorly planned survey of sixty-five households and et al., 2008). On the other hand, landscapes’ of this ‘contemporary 075

© 2018 NMMU and DoHS qualitative key-informant interviews Msawawa around 2000 when the Despite its apartheid era origins, spanning community and political settlement began spilling out of the Cosmo City has gained iconic sta- leadership and officials in the City informally subdivided and rented tus in the post-apartheid policy im- of Johannesburg (Nenweli, 2016). farmhouse (Phalanndwa, personal aginary, first as mixed income and The quantitative survey drew a communication, 24 May 2013). inclusionary housing (Haferburg, sample of 65 households across 2013) and more recently as an In the urban literature, Msawawa the settlement through a strati- exemplary mega-project (Gauteng receives little more than a mention fied grid, whereas the qualitative Province, 2015). With this continues (see Huchzermeyer et al., 2014; sample was drawn purposively. vision of mass formal housing pro- Nenweli, 2016) whereas Kya An engagement with spatial and vision, the provincial government Sands has recently been the site socio-economic conditions, as well has remained ‘committed to eradi- of student research (e.g. Weakley, as with governance structures and cate informal settlements’ (Gauteng 2013). However, in most accounts processes, allows us to point to the Province, 2014:2). of this region, a wider net is cast importance not only of decisive pro- to include the informal settlements Despite promises of relocation, grammes for in situ upgrading, but Zandspruit (some 6km to the south Zandspruit residents were not also for governance structures that west, established in the wake of the granted housing units in Cosmo mediate divides and foster mean- elections of 1994) and Zevenfontein City (Sailbul, 2010; Dawson, 2014). ingful integration. (5km to the north and established However, relocation to Cosmo City 2.0 MSAWAWA WITHIN in 1992) (see Figure 1). Along with meant that the light footprint of Riv- ITS CHANGING SOCIO- Riverbend the state had long ear- erbend and Zevenfontein informal SPATIAL CONTEXT marked these informal settlements settlements has been wiped off Residential development in Jo- for relocation to Cosmo City, an the peri-urban landscape. A fur- hannesburg has long reached embattled plan for low income de- ther informal settlement, Skosana, across the N1 Northern bypass velopment (Murray, 2011; Adegun, which predated all others in this of Johannesburg, expanding into 2016). region, was on the land subse- former farmland long subdivided quently developed as Cosmo City, Cosmo City was envisaged as into smallholdings. Jukskei Park is its residents being among the first early as 1992 for the relocation of a relatively small portion of ungated to receive housing in the new devel- informal settlements in the area, suburban development, established opment (Adegun, 2016). but legal resistance from landown- in the apartheid years and now ers in its surrounding delayed its Msawawa is accessed on the interspersed and surrounded by a implementation by over a decade gravel extension of Main Road. patchwork of gated developments. (Murray, 2011; Haferburg, 2013). On maps, these are distinguisha- ble by their single entrances and names which include the word ‘Estate’. A further ungated though internalised suburb, Bloubosrand, borders onto the industrial area of Kya Sands. Thus a mosaic has emerged of industrial area, apartheid era suburb, post-apartheid gated estate and small holding, bisected by the Klein-Jukskei River and its tributaries. It is in this rapidly changing landscape that three informal settlements emerged within 1.5km of one another. They are Riverbend (Plot 5 Riverbend AH), Msawawa and Kya Sands. Ac- cording to a City of Johannesburg data-base (CoJ, 2010), the settlements originated in 1985, 1995 and 1998 respectively. However, the community leadership in Msawa- Figure 1: Msawawa as part of a fragile peri-urban web of informal settlements on Johannesburg’s north western edge (author’s own construction on a 2016 Google 076 wa recalls a more recent origin of Map aerial image)

© 2018 NMMU and DoHS The settlement reaches from the ious property websites advertised stand with photographs showing a road down a slope and ends at the luxury houses in Cedar Creek Es- full view of the informal settlement Klein-Jukskei River. Immediately tate upward of R3 million, and va- (Property24, 2016) (Figure 4). across the river is the perimeter cant stands from R700 000. On the During an exceptionally dry spell in wall of the exclusive Cedar Creek Cedar Creek Estate website, the Johannesburg in November 2015, Estate which stretches up the oppo- development is promoted through a fire in Msawawa destroyed 200 site slope and includes a tributary to ‘splendour of the surrounding nat- shacks. Fourways Review (2015) the Klein-Jukskei River, landscaped ural environment’. The homepage, reported Cedar Creek Estate’s with several ponds (Figure 2). In which displays the slogan ‘Step into sentiments towards the informal a stark display of spatial disparity, a new world’ includes a view across settlement, with two reasons put some 55 stands within Cedar Creek the valley – Msawawa is blotted out forward for pursuing its removal, Estate cover the equivalent 15ha of through over-exposure on that side one being the unhealthy conditions Msawawa on which an estimated of the photograph (Cedar Creek in the settlement, the other the 1 500 households resided in 2007 Estate, undated) (Figure 3). unease for Cedar Creek Estate (CoJ, 2010). According to the ward The property advertising website residents having to watch a shack councillor, the residents themselves Property 24 is less discrete, or fire without being able to assist. counted well over 2 000 households more confident in sales and prop- In 2013, an online petition titled by 2009 (Mafokwane, personal erty prices not being affected by ‘Remove Shebeens from Msawa- communication, 15 May 2013). the adjacent informal settlement. wa’ yielded 167 signatures from At the time of writing mid-2016, var- It advertises a 1 010m2 vacant neighbouring estates and residen-

2 2

Figure 2: Msawawa and the adjacent Cedar Creek Estate (source: Google Map, 2016); the landscape masterplan for Cedar Creek Estate does not show evidence of the informal settlement to its immediate east (source: Cedar Creek Estate, undated – http://cedarcreekestate.co.za/wp-content/uploads/2014/04/Cedar-Creek-site- map.pdf). Figure 3: The homepage of Cedar Creek estate uses over-exposure to blot out the view of adjacent Msawawa informal settlement. Figure 4: Property24 advertising a vacant stand in full view of Msawawa (source: Property24, 2016). 077

© 2018 NMMU and DoHS tial areas (Three River Residents, was uncertain when this would take to the depletion of trees in the vicin- 2013). Those petitioners who have place as various relocation dates ity), paraffin, plastic and coal (Ma- allowed their comments to be publi- previously announced had passed fokwane, personal communication, cally displayed present middle class (ibid.). 25 May 2013). As the settlement entitlements to undisturbed life, committee has taken the decision 3.0 SOCIO-ECONOMIC most calling for the removal of the AND LIVING CONDITIONS not to allow the pirating of electricity entire Msawawa settlement, with WITHIN MSAWAWA due to the risk of electrocution in complaints that the squalor affects A small section of Msawawa is particular for children (Phalanndwa, property prices in the area. located below the 1:50 year flood personal communication, 12 June 2013), the notorious shebeens The Msawawa settlement, however, line, with households residing below which middle class neighbours predates its middle class suburban this line occasionally affected. Due campaign against are powered neighbours across the Klein-Juk- to the slope, pathways leading by generators. According to the skei River. It emerged from informal through the settlement double up City of Johannesburg, Msawawa renting in an existing farmhouse. as storm water gullies. Surface has seven communal taps, 450 Landowner Deon Delport’s aban- water run-off is exacerbated by VIP toilets, 20 chemical toilets and doning of the smallholding might leaking municipal stand pies and waste collection services scheduled well have related to the suburban the absence of any provision for once a week (Vermeulen, personal development planned around his grey water drainage. In places this communication, 17 January 2013). property. However, Msawawa’s has led to deep erosion which in However, some of the VIP toilets leadership mentioned continuous turn hampers pedestrian circulation can no longer be desludged due to court battles as residents resist through the settlement (see Figure densification with shacks barring Mr Delport’s attempts at remov- 5). access by conventional tankers. ing them (Phalanndwa, personal Socio-economic challenges of Given the large population, resi- communication, 24 May 2013). The poverty, unemployment and lack dents in Msawawa also resort to leadership recalls being informed of facilities such as schools are using self-constructed pit latrines, by the City of Johannesburg that evident to the settlement leadership as well as the open veldt for sani- the reason it cannot provide basic (Phalanndwa, personal communica- tation (Phalanndwa, interview, 24 services such as electricity is that tion, 24 May 2013). A government May 2013). the land is privately owned; the clinic is located immediately to the same reason is given as to why south of Msawawa, operating once Physical structures in the informal Msawawa is earmarked for relo- a week. The nearest schools are in settlement mirror the residents’ cation to a new development that Randburg and Fourways, and they socio-economic situation. In our will take place in Lion Park, to the are accessed mainly through public quantitative survey, 92% of the north of Cosmo City, approximately transport. For fuel, households in respondents in Msawawa stated 10km away. In 2013, the leadership Msawawa depend on wood (leading that they own the dwellings in which

Figure 5: Water run-off and erosion on pathways through Msawawa — the mansions of Cedar Creek Estate ahead (Photo- 078 graphs by Marie Huchzermeyer, 10 May 2013)

© 2018 NMMU and DoHS they were residing. Interestingly, is common in formal as in informal The quantitative survey revealed 52% said that they own another dwellings, reused zinc in Msawawa that 54% households in Msawawa dwelling elsewhere/outside of the is often supplemented with plastic, have members who are econom- settlement. This sense of ownership increasing the flammability of the ically active. According to Everatt in the informal settlement, and yet dwelling. Understandably some (2014), the measure of indigence in attachment elsewhere, might be ex- households indicated during the South Africa is household monthly plained by the fact that Msawawa is survey that they feel that ownership income of R800 or less. In Msawa- a relatively recent settlement, with a of formal, subsidised low-cost hous- wa sources of income in the house- proportion of residents feeling that ing could help improve their quality holds were formal employment, their life in the urban area is tempo- of life. informal businesses and social rary. grants. Figure 6 shows the income Various walling materials in Msawa- distribution, with a worrying 26% The nature of dwelling structures is wa are flammable and don’t with- indicating no income, whereas the an important indicator of how vul- stand extreme weather events largest proportion earn between R1 nerable the households are to ex- (see Table 2). Whereas quite a few 000 and R4 000 per month. 33% treme weather conditions including households had consolidated their of those with income had members wind which fuels fires as in the case dwellings into brick structures, over with some form of employment, mentioned above. Table 1 below half of dwellings are constructed of 31% had small and mainly informal indicates roofing material. Whereas wood or board. Most of the material businesses, and the remainder corrugated iron or zinc for roofing was recycled. relied fully on social grants.

Area Number of households surveyed

Msawawa Zinc 41 Zinc and plastic 16 Tent material 7 Tiles 1 Total 65

Table 1: Predominant dwelling roof material in Msawawa

Area Number of households

Msawawa Brick 11 Zinc/Corrugated iron 20 Plastic 2 Other: Wood or board 32 Total 65

Table 2: Dwelling wall structures in Msawawa

Percentage of households 1 – 1000 1001 – 4000 4001+ No income

Income in Rands

Figure 6: Household income per month in Msawawa 079

© 2018 NMMU and DoHS Both Councillor Mafokwane (per- 4.0 PLATFORMS FOR services in the Province in gen- sonal communication, 25 May PARTICIPATION AND eral. From our household survey 2013) and community leader EMPOWERMENT? in Msawawa, the figure on dis- Phalanndwa (personal communi- RELATIONS BETWEEN satisfaction relating to access to CITY OF JOHANNESBURG cation, 24 May 2013) expressed AND MSAWAWA’S services was 77%. Mirroring the the view that the majority of people RESIDENTS socio-economic conditions set out in Msawawa have limited skills above, the challenges indicated Ward Councillors play an important and they mainly perform jobs such by the households included lack role in ensuring that households as domestic and casual work for of services and infrastructure such in informal and formal settlements households in the surrounding as schools, limited basic facilities, across a ward participate in city affluent estates, and offering labour low-cost housing, burst water pipes, planning, budgeting and policy in the construction sector. The lack corruption, unfulfilled promises, processes (Mohamed, 2006). In of schooling and unequal access limited public participation, lack of Msawawa, we found limited knowl- to education and skills develop- communication, unemployment, edge2 of the local Ward Councillor, ment play an important part in the lack of electricity, increased crime showing a disconnect between the activities households can pursue and lack of service delivery. Reflect- local community and the munici- in the economy; this in turn affects ing the complexity of a settlement of pality. This may have contributed the socio-economic status of such this size, and the difficulty that the to limited improvements in the lives households, rendering them socially municipal relations presents for its of households in Msawawa. The vulnerable (Cutter & Finch, 2008). leadership, 77% of the households challenge with this situation is the According to the GCRO (2012), also indicated dissatisfaction with fact that the local Ward Councillor higher levels of household income local community leaders’ inability is the de facto link between local in the City of Johannesburg are sig- to provide assistance in addressing households and the City of Johan- nificantly linked with the post-matric local challenges. The twenty-three nesburg (although legislation is education of household members. percent of households indicating more nuanced). Community leader that they received assistance from Councillor Mafokwane (personal Phalanndwa noted the following local leaders referred to the leader- communication, 25 May 2013) esti- during the in-depth interviews: ship’s work in relation to community mated unemployment in Msawawa The relationship is not good. policing, conflict resolution and to be at least at 70%, noting that The community is tired of the dealing with criminals. this is evident in high attendance government because they are at public meetings that take place Households were asked whether not providing them with services. during working hours. The Council- they thought that in the future they They are tired of the promises. lor also explained that when there is would be able to play a positive role The people want only to be told a call for people to apply for Ex- in investing in their dwellings and that next year or this year they panded Public Works Programme living conditions. 99% responded are going to move to this place. (EPWP)1 jobs, there are over 1 000 in the negative, indicating almost Tomorrow we are going to erect applications from Msawawa (Ma- complete absence of hope, also this or that. They do not want to fokwane, interview, 25 May 2013). reflective of ‘waiting’ for housing hear things like we are planning However, as matric is required for evident in other recent studies this and we are here to report to these positions, in most instances on informal settlements in South you. That is why it has broken less than 100 people receive these Africa (Dawson, 2013; Kornienko, down communication with the temporary positions. forthcoming). As Kornienko (forth- City (Phalanndwa, personal coming, p. 4) points out, waiting for communication, 24 May 2013). low-cost houses in informal settle- A GCRO (2012) study on quality ments has limited the potential for of life in Gauteng Province pointed ‘self-fashioning’ and consolidation out that approximately 50% of the of their living spaces. Respond- respondents were unhappy with ents did not indicate awareness of local government delivery of proposed developments to improve

1 This is a government-funded programme that provides short-term employment opportunities and training to local communities, targeting mainly youth, persons with disability and women. 2 Knowledge here is referring to knowing the name of the Councillor and the role that he/she plays in the local commu- 080 nity. It is also about his role in relation to the local community and the City of Johannesburg.

© 2018 NMMU and DoHS their lives, perhaps due to the long tion, 25 May 2013). Yet he pointed comprising of painters, electricians, horizon of this promise – the Ward to inclusionary potentials of the IDP carpenters and other trades’ (Coun- Councillor for Msawawa referred process that went beyond national cillor Mafokwane, interview, 25 May to the relocation of the households citizenship: 2013). In addition, he had devel- to Lion Park by the latest in 2022 oped a skills database in Msawawa Informal settlements people … (Councillor Mafokwane, personal that is shared with local business to first of all see themselves as out- communication, 25 May 2013). encourage employment. However, siders … They do not see them- Msawawa’s residents are at times An un-appealed High Court judg- selves as part. They are always required to offer cheap labour that ment related to the Slovo Park in- of this view that ‘let them decide, does not provide them with the formal settlement in Johannesburg they [City of Johannesburg] will necessary economic resources at in April 2016 (Strauss, 2160, how- tell us anyway, we do not have household level. Councillor Mafok- ever, makes an end to long term a say’. As much as we tell them wane (personal communication, 25 plans for the relocation of informal that as a resident, you have got May 2013) seemed aware of this settlements, finding it unlawful that a bigger say than you think. In dilemma, stating that residents of the City of Johannesburg does not fact, to me being an IDP partic- Msawawa were exploited by people apply for funding from the provin- ipant and a voter participant is who give them menial jobs in the cial government under the Informal the same. If not, being an IDP surrounding upmarket suburbs. Settlement Upgrading Programme participant is in fact more valued (UISP). This programme seeks than being a voter participant Municipal LED programmes, to unlock the self-provisioning by because a Zimbabwean does despite good intentions, have not residents and consolidation of their not have to vote to put provision managed to provide opportunities lives where they already live. While of services. to households in Msawawa. The strengthened by provisions in the relevance of and need for effective However, households’ trust in Spatial Planning and Land Use LED programmes was pointed out processes such as the IDP are also Management Act No. 16 of 2013, its by a manager for Economic Policy determined by their experience of implementation in situations such and Planning in the City of Johan- the municipality in their more imme- as Msawawa will, however, have to nesburg: diate struggles for a daily survival. counter both community expecta- The leadership gave the following LED is very critical especially tions of a delivered house, as well comment when asked about the in informal settlements. This is as intense pressure from wealthy City’s support for economic activi- where there is room to be inno- residents whose lifestyle aspirations ties in the informal settlement: vative, explore new technologies are reflected in collective mobilisa- and to get people to be involved. tion against the proximity of poorer The City is doing nothing to These settlements have labour, communities. help the people here. What poverty and people are eager to they are doing, it is like they just Given the weak governance context be involved to explore because come and raid if you are selling presented above, and general they understand their situations beer illegally then they collect sense of despair, we were surprised better. They are forced to be- everything and take [it] away. that our survey found relatively come innovative in order to sur- But for helping the people here, high awareness of the municipal vive. Thus, informal settlements more especially those ones Integrated Development Planning are where you can introduce with small businesses, not at all (IDP) process among residents new technologies and replace (Phalanndwa, personal commu- of Msawawa. The IDP guides all products easily. This way you nication, 24 May 2013) planning, investment, development, create a demand and stimulate management and implementation at Contrary to the Msawawa leader- growth of new businesses and a municipal level in 5-year consul- ship, the Ward Councillor (Mafok- sectors. (Mrs. Manzini, personal tative cycles (Mohamed, 2016). wane, personal communication, communication, 28 March 2014) The Ward Councillor made the 25 May 2013) commented that the However, she confirmed that LED interesting observation that in areas municipality had organised discus- mainly benefits residents of formal such as Msawawa the presence of sion forums with local business areas and it has also not managed non-South Africans and the differ- people to try and create employ- to attract any notable business ent languages limits engagement ment opportunities. He went further activities into informal settlements between the City and the local to state that ‘they approached me such as Msawawa. Therefore, LED communities in the IDP process as a Councillor and said we [foreign has been limited by its failure to (Mafokwane, personal communica- nationals in Msawawa] have a club effectively engage households in 081

© 2018 NMMU and DoHS meaningful economic activities and ment and integration for informal ing and envy in a South African informal it cannot be considered to have pro- settlements such as Msawawa in settlement. Journal of Southern African vided an effective basis for improv- the a rapidly changing peri-urban Studies, 40(4), 861 – 882. ing people’s quality of life. development context. Everatt, D. (2014). Poverty and inequality in the Gauteng city-region Changing 5.0 CONCLUSIONS Acknowledgements space, changing city: Johannesburg In this paper we have attempted to This paper draws in part on the PhD after apartheid (pp. 63 – 100). Johan- thesis of Mpho Nenweli on household paint a picture of poverty and infor- nesburg: Wits University Press. adaptive capacity in informal settle- Fourways Review (2015). Fire update: mality in strained co-existence with ments in the face of climate change su- Over 200 shacks burnt down during fire wealth through the case of Msawa- pervised by Marie Huchzermeyer. Work which has left residents homeless and wa informal settlement within its towards the thesis benefited from fund- in need of help. Fourways Review, 12 ing from Carnegie through the Global spatial setting of a rapidly changing November. mosaic that includes expanding Change and Sustainability Research Institute. Special thanks is also extend- http://fourwaysreview.co.za/214057/ gated estates. The tendency among ed to Mr Itani Phalanndwa who enabled fire-update-over-200-shakes-burnt- middle class residents and property access to households for the survey in down-during-the-fire-which-has-left-res- owners is to take exclusive privilege Msawawa and generously shared his idents-homeless-and-in-need-of-help/ for granted. This is coupled with an insights and recollections. We are also (accessed 31 July 2016) economic exploitation through pre- grateful to the households of Msawawa Gauteng Provincial Government (2014). for their generosity in allowing Mpho carious labour, although initiatives Gauteng Department of Human Settle- Nenweli and field assistants Keen exist to address the situation. The ments Strategic Plan 2014/15-2018/19. Mangazha and Rodrick Mudimba to Gauteng Provincial Government, physical conditions in Msawawa are spend time with them. Combined post- a display of socio-economic depri- doc bursary funding from the School Johannesburg. vation and state neglect, coupled of Architecture and Planning Research Gauteng Provincial Government (2015). with uncertain promises of housing Fund and the National Research Foun- Mega Projects: Clusters and New elsewhere. At the same time, ex- dation (NRF) supported the preparation Cities. New Mega Projects Proposal of this paper. However, the positions panding communities of the middle for Human Settlements in the Gauteng expressed in this paper are those of the class add pressure for relocation of City Region. Gauteng Province Human authors and not to be attributed to any Settlements, Johannesburg. the informal settlement. Prolonged of the funding organisations. uncertainty over residence in the GCRO (2012). Powerpoint presenta- References area weakens informal communi- tion: Quality of Life in the Gauteng Adegun, M. (2016). Informal settlement City-Region: 2011 findings. Johannes- ties’ ability to engage effectively and intervention and green infrastructure: burg: Gauteng City Region Observa- with any optimism of the situation exploring just sustainability in Kya tory. improving in the informal settle- Sands, Ruimsig and Cosmo City in Haferburg, C. (2013). Townships of ment. This weakens potentially Johannesburg. PhD thesis, School of tomorrow? Cosmo City and inclusive Architecture and Planning, Faculty of inclusive statutory participatory visions for post-apartheid urban futures. Engineering and the Built Environment, planning and budgeting process- Habitat International, 39, 261 – 268. University of the Witwatersrand, Johan- es IDP. The absence of informal nesburg. Harrison, P., Todes, A. & Watson, V. settlement communities’ in these (2008). Planning and Transformation: Beall, J., Crankshaw, O. & Parnell, S. processes gives way to the realisa- Learning from the Post-Apartheid Expe- (2002). Uniting a Divided City: Govern- rience. Routledge, London. tion of the vision of developers and ance and Social Exclusion in Johannes- middle class landowners. With the burg. Earthscan, London. Huchzermeyer, M., Karam, A., & Maina, legally underpinned requirement M. (2014). Informal settlements. In P. Cedar Creek Estate (undated). Cedar Harrison, A. Todes, G. Gotz & C. Way that City of Johannesburg upgrades Creek Estate: A Step into a New World. (Eds.), Changing space, changing city: its informal settlements in situ Homepage. INTERNET: http://cedar- Johannesburg after apartheid (pp. through the Upgrading of Informal creekestate.co.za/ (last accessed 31 154 – 175). Johannesburg: Wits Univer- July 2016). Settlements Porgramme, there is sity Press. an urgent need for the development City of Johannesburg (2010). 180 Kornienko, K. (forthcoming). Waiting, of governance structures whose Squatter Settlements. Data-base by hope, democracy, and space: how regions. City of Johannesburg, Johan- premise is not the ultimate reloca- expectations and socio-economic rights nesburg. tion of informal settlements from shape two South African urban infor- areas in which the property market Cutter, S. L., & Finch, C. (2008). mal communities. Journal of Asian and is expanding. Instead, govern- Temporal and spatial changes in social African Studies, in press, 1 – 16. vulnerability to natural hazards. Pro- ance structures and processes Mohamed, S. (2006). From ideas to ceedings of the National Academy of practice: the involvement of informal are required that secure locational Sciences, 105(7), 2301. permanence and ensure improve- settlement communities in policy-mak- 082 Dawson, H. (2014). Youth politics: waiting at city level in South Africa. South

© 2018 NMMU and DoHS African Review of Sociology, 37(1), Vermeulen, L. Official of the City of 35 – 47. Johannesburg, email communication, 17 January 2013. Murray, M. (2011). City of Extremes: The Spatial Politics of Johannesburg. Wits University Press, Johannesburg. Nenweli, M (2016). Adaptive capacity of households in informal settlements in relation to climate change: Two cases from Johannesburg. PhD thesis, School of Architecture and Planning, Faculty of Engineering and the Built Environ- ment, University of the Witwatersrand, Johannesburg. Property24 (2016). Property for sale in Cedar Creek. Property24 website. INTENET: http://www.property24.com/ for-sale/cedar-creek/sandton/gauteng/12837/103869318, last accessed 31 July 2016. Saibul, G. (2010). NGO legitimacy I supporting informal settlements communities: representation, participation and accountability explored through a South African case study. PhD thesis, School of Architecture and Planning, Faculty of Engineering and the Built Environment, University of the Witwa- tersrand, Johannesburg. Strauss, Justice. 2016. Judgment in the case of Mohau Melani and others vs City of Johannesburg and others. Gauteng High Court, 02752/2014. Three River Residents (2013). Re- move Shebeens from Msawawa. GoPetition. INTERNET: http://www. gopetition.com/petitions/remove-shebeens-from-msawawa/signatures.html (last accessed 31 July 2016). Weakley, D. 2013. Recognising Vul- nerability and Resilience in Informal Settlements: The Case of Kya Sands, Johannesburg, South Africa. Masters of Science in Town and Regional Planning Dissertation, University of the Witwa- tersrand, Johannesburg.

Interviews Mafokwane, M. (Councillor Mafokwane, interview, 25 May 2013), Msawawa Ward Councillor (Ward 94), Randburg, Johannesburg. Manzini, K. (Mrs. Manzini, interview, 28 March 2014), Manager Economic Policy and Planning. City of Johannesburg Offices, Braamfontein, Johannesburg. Phalanndwa, I. (Mr. Phalanndwa, interview, 24 May 2013), Msawawa Former Member of the Local Ward Committee, Msawawa, Johannesburg. 083

© 2018 NMMU and DoHS SUB-THEME 5: SCIENCE AND TECHNOLOGY INNOVATIONS FOR SUSTAINABLE HUMAN SETTLEMENTS Natural disaster occurrences and poverty linkages in rural communities in Vhembe district municipality with a focus on service and housing conditions Portia Mudau | University of the Free State, Department of Quantity Surveying and Construction Management Kahilu Kajimo-Shakantu | University of the Free State, Department of Quantity Surveying and Construction Management

Abstract The purpose of this study is to examine the service and housing conditions, as well as the socio-economic status of rural communities of the natural disaster prone Vhembe District Municipality. The literature review highlighted the possible causes of natural disasters (climate change and deforestation), compliance to building standard and the level of socio-economic activities which exacerbate the level of poverty when natural disaster strikes in rural communities. The study adopted a case study approach utilising questionnaires among sampled respondents of Vhembe District Municipality. The main findings include: lack of adequate supply of basic services to rural communities by municipalities such as water, energy source and proper sanitation; high rate of unsustainable housing structures increase the likely vulnerability to natural disaster events. Unsurveyed residential sites which do not adhere to land use planning, as well as housing structures being built in areas not suitable for residential purposes, pose a challenge of exposure to natural disasters. The study emphasizes the need to adhere to proper planning activities and familiarize rural communities with building standards, as well as the need for the district to find an equitable resources allocation which will help in terms of alleviating poverty and mitigating natural disasters in the area.

Key words: Housing conditions, natural disaster risk management, rural areas, service delivery, sustainability.

1.0 INTRODUCTION the natural and man-made threats the recovery process difficult for the n recent years, there has been and despite on-going progress to community members due to lack an increase in the frequency of extend essential services to poor of resources and the high poverty natural disasters, coupled with rural communities, numbers of peo- rate. Most of the rural population I ple in rural communities are forced are not employed and are unskilled a number of emerging threats and trends, leaving people vulnerable to live in unbearable conditions laborer. Vhembe District Municipal- to the effects of disasters and inflict- of chronic disaster vulnerability ity is one of the districts in Limpopo ing damage, loss and displacing of wherein they are faced with recur- Province where natural disasters, vulnerable people worldwide (Saun- rent natural disasters (South Africa, particularly floods, often cause ders, 2011). In South Africa, the 2005). enormous damage to infrastructure and property in the area. According increasing level of disaster risk and The study area is located 22º 56’S to Dau (2010), the area experi- great exposure to a wide range of and 30º 28’E, occupying approxi- enced devastating floods in the weather hazards including drought, mately 25 597.42km² of area which year 2000 which destroyed proper- cyclones and severe storms tend forms part of the Northern side of ties and road infrastructure, and this to trigger widespread hardship Limpopo Province with approxi- has been an ongoing activity which on poor rural communities (South mately 1 294 722 total population tends to disrupt the functionality of Africa, 2005). Siwele (2011) reports (Statistics South Africa, 2011). The the Municipality, as well as the com- that disasters in South Africa have area usually experiences a variety munity at large. Furthermore, there been dominated by localized inci- of natural disasters such as floods, were some occurrences of floods dents such as veld fires, seasonal drought and fire, which often ex- during January 2013 (City Press, flooding and drought. In addition to pose the area to high risks, making 084

© 2018 NMMU and DoHS 2013). Recently, the province was es are a serious disruption of the Poverty gaps have existed for declared a drought stricken zone functioning of a society, causing or decades, both in developing and with the inclusion of five other threatening to cause widespread developed countries, despite Provinces, namely KwaZulu Natal, human, material, or environmental interventions to eliminate them. Northern Cape, Mpumalanga, North losses that exceed the ability of the South Africa has the second highest West and Western Cape (South affected community to cope using inequality coefficient in the world Africa, 2015a).The effect of drought only its own resources (South Afri- with about 10% of the poorest of in Vhembe District has severely ca, 2002). the population receiving 1.4% of affected agricultural productivity the total income (South Africa, Drankenberg et al. (2014) suggest economy, while exposing livestock 2013). There are estimates that that different population segments to very limited access to drinking over twenty two million people in can be exposed to greater rela- water and resulting in an increased South Africa live in poverty (De- tive risks such as floods, drought, number of livestock mortality in the velopment Bank of South Africa, earthquakes and cyclones because area. The effect of drastic change in 2005a). Although exposure to risk of their socio-economic conditions rainfall patterns causes the climate vulnerability could affect everyone, of vulnerability. Quite often people change to increase the frequency people will become more vulnerable who are poor are more vulnerable of climate related disaster shocks if exposed to such risks compared to disasters due to lack of re- such as floods, droughts and ex- to affluent people because when sources which will enable them to treme temperatures (South Africa, shocks occur, severity, resilience prepare for and be able to respond 2015a). Despite government efforts and coping mechanisms depend on to such threats and shocks as to invest in disaster mitigations and the capabilities, assets and resourc- natural hazards. Disasters are now recovery measures, there is limit- es that households and individuals occurring at a scale and frequen- ed understanding and knowledge possess (Khandlhela, 2006). The cy that is causing unprecedented of dealing with the after effects of poor suffer disproportionately from impacts worldwide, and this is due disaster in the area. The purpose of hazards relative to the rich due to to increasing population leading to this study is to examine the service their inability to cope with disaster more people being forced to live in and housing conditions, as well as occurrences. high-risk areas. the socio-economic status of rural According to Dutta (2013), pover- communities of the natural disaster 3.2 Poverty gap and vulnerability ty is mostly measured in terms of prone Vhembe District Municipality. Madzivhandila (2010) views vulner- income or consumption expendi- 2.0 LIMITATIONS OF THE ability as an event that captures the ture. Hofmeyer (2013) asserts that STUDY processes of change, the multifac- poverty, environmental degradation The empirical study is limited to eted nature of changing socio-eco- and structural unemployment go Vhembe district municipality due to nomic well-being and the circum- together. People living in rural areas the fact that the frequency of natural stances and concerns of the poor. are particularly vulnerable to shocks disasters has been increasing over Skoufias (2012) defines poverty due to poor environment such as the years, resulting in loss of life, as a low level of income, whereby poor soils, poor infrastructure and damage to property and destruction income is believed to be more ac- lower access to markets due to lack of the environment (South Africa, curately measured in the data than of capacity to diversify their income 2015a). In terms of the household consumption is. The South African sources (Echevi, 2014). Dutta and survey, only 50 respondents partic- economy exhibits an uneven spatial Kumar (2014) add that poverty and ipated which might limit the findings. pattern of economic activities, vulnerability are closely related concepts in that the poor are typically 3.0 LITERATURE REVIEW socio-economic development and extreme degrees of inequality in the most exposed to diverse risks and 3.1 Natural disaster framework and socio economic livelihoods distribution of income, assets and have the fewest instruments to deal of people opportunities (Harmse, 2010). Ac- with these risks. Summing up the The occurrences of natural disas- cording to Museskene (2013), the discussion, vulnerability happens to ters have been increasing over the South African economy comprises be a future expected poverty meas- past years resulting in high loss of a high unemployment rate within ure (Dutta & Kumar, 2014). life, environmental destruction and its working-age population, with a 3.3 Land use and build environ- damage to property infrastructure large proportion of the population ment standards such as roads and houses. The lacking skills to enable them to par- Historical and existing patterns of Disaster Management Act 2002 ticipate actively in the economy. land use and allocation in most stipulates that disaster occurrenc- rural areas tend to exhibit planning 085

© 2018 NMMU and DoHS pattern challenges due to improp- areas such as flood prone areas. ing system (GPS) through mapping er planning and failure to adhere and capturing of each household Infrastructure development is an to planning rules and regulations. affected by natural disasters. The important part of every country’s It must be noted that every coun- GPS which was used to collect data economic growth which seeks to try has different sets of rules and had an accuracy level of 0.5m. improve the conditions of life by norms which guide the utilisation addressing unemployment, inequal- Data collected was exported from of space by individuals. Land ity and poverty gap. The country’s the GPS and converted into a Ge- use planning (LUP) is an iterative electricity, water, transport and tele- ographic information system (GIS) process based on the dialogue communications networks are being shape files for analysis purpos- amongst all stakeholders aiming extended, education and health es. The GIS system enables the at negotiation and decision mak- capacity is being expanded, and researcher to pinpoint the exact ing for a sustainable form of land human settlements are being built location of the household using the use utilization, as well as initiating and upgraded to strengthen the latitude and longitude coordinate and monitoring its implementation fabric of communities (South Africa, system. (Schwedes & Werner, 2010). 2012). The creation and functioning 5.0 RESULTS AND The process of land use involves of infrastructure needed to ensure DISCUSSION identification of spatial development a country’s competitiveness require Figure 1 displays the employment potentials and issues of importance, the determination of priorities and status which is very low in the area. land use potentials, conflicts, envi- the construction of key objects for Evidently high unemployment will ronmental problems and structural subsequent integration into high- contribute to poverty levels in the deficits and address them in an ly productive systems (Oreshin, area. As Museskene (2013) indi- integrative way, by incorporating all 2014). cates, the South African economy national, regional, local and sec- According to Kedaitiene (2013), the consists of a high unemployment torial plans which will produce the developed physical infrastructure, rate within its working-age popula- overarching harmonized regional such as roads, ports, energy supply tion, with a large proportion of the Land Use plan as an output with re- grids, broadband internet, hospitals population lacking skills to enable alistic action plans to improve land and schools are of outmost impor- them to participate actively in the use and resource management in tance for economic development economy. Thus, unemployment rate the region (Schwedes & Werner, and economic growth. Oreshin attributed to high level of poverty in 2010). In a highly complex society, (2014) adds that well-developed in- the area. measures of control and restraints frastructure is a key element in the affecting the utilization of land are Figure 2 represents the employ- stable growth of international trade regulated through various legisla- ment status in relation to the study and in the expansion of its potential, tions and policies. The South Afri- area. This item helps to understand hence countries that put more effort can Constitution approves a binding the security and source of income in the development of infrastructure framework in terms of planning, for each household and displays benefit more. coordination and implementation of the means of survival of each development everywhere including 4.0 METHODOLOGY household. Children’s grant and rural development as one priority A non-probability survey was con- pensioner’s grant seems to be the area (South Africa, 2006). The poor ducted in four Local Municipalities major survival factor, followed by utilization of planning tools and of Vhembe District. The survey other salary earnings. People who non-conforming property zoning consisted of 60 Households (15 are represented on other columns results in improper planning which households in each Local Munici- are those who are not working, exposes people to risks. Land use pality). Questionnaires were distrib- but rely mostly on temporary jobs and territorial planning are key uted to the local municipality where for their survival. Based on the factors in risk reduction strategies 15 randomly selected participants research findings, the majority of and the environment offers re- were expected to answer them. the people seem to be relying on sources for human development Semi-structured interviews were the children grant and pensioner’s at the same time, as it represents also conducted as a way of compli- grant, which is evident that poverty exposure to intrinsic and fluctuating menting the data collected through in the area is high, and the recovery hazardous conditions (Cardona et the survey. A variety of secondary process during disaster occurrenc- al. 2012). It is also worth noting that data sources such as photographs, es could pose a huge challenge. rules and regulations applicable to maps and newspaper articles were Figure 3 represents the occupan- development are meant to strictly also used. The primary data was cy ratio in the area which plays 086 restrict development within high risk collected using the Global Position-

Figure 2: Means of survival | Source: Researcher, (2015)

Figure 3 No. of occupants per household

Figure 4: No. of Years occupying same household 087

© 2018 NMMU and DoHS a role in determining the number has been observed during the study municipality. People who fall under of individuals occupying a single is 30 years and above, and this is the category of others mean they household for more than four days an indication of how valid the study do not have any toilet facility to use in a week. Based on Figure 3, the is since people who have been at all. Most of them still utilize the number of children seem to be very surveyed stayed within the area for bush or share the next door infra- high in all the Local municipalities, a very long time. structure. Generally, environmental meaning there is high fertility rate. hygiene plays an essential role Figure 5 represents the educational This is due to the fact that most ru- in the prevention of many diseas- level of the respondents. According ral people are using this as a tool to es which may arise due to poor to the results, more respondents fight poverty, as they are aware that sanitation facilities. Lack of proper had the opportunity to attend the they will benefit from child grants. sanitation facilities also impacts on lower primary school (grade 0 – 7) The high occupancy rate has been the natural environment and the in all Local Municipalities and the observed during the study where a preservation of important natural dropouts are being noticed in grade single household has been occu- assets such as water resources. 8 – 10, whereas very few people pied by a maximum number of 6 The usage of pit latrines compro- managed to obtain their tertiary ed- children, 1 pensioner and 4 adults. mises the hygiene of the rural com- ucation. In this study area, it seems munity and subjects them to more In Figure 4, the occupancy ratio is most respondents are uneducated, health risks. Therefore, the level of presented per household, with the and this also reflects the social poverty is also being demonstrated highest rate people older than 30 attribute of poverty in the area. through the lack of sanitation ser- years staying in the same house- Figure 6 represents the availability vices in the area. Thus proper toilet hold. Usually people who stay in of sanitary facilities in the area. facility in a household represents rural areas do not encourage relo- Looking at the graph below, pit the affordability of such household cation quite often; more movements toilets are the only sanitation used, within the entire community. Hence can be noticed in the urban areas followed by others. The provision proper sanitation is one of the key due to factors such as change of of proper sanitation facilities is still elements in improving environmen- job and rental issues. Therefore, a challenge for the whole District tal sanitation. the highest occupancy rate which

Figure 5: Educational level

Figure 6: Sanitation services 088

© 2018 NMMU and DoHS Figures 7 and 8 represent the unable to pay for electricity usage Figure 11 demonstrates the type distribution of water in the area. even though they have electrified of natural disaster which the study Shortage of water seems to be a households. area is mostly exposed to. The challenging factor for the Munici- study area has experienced dif- Figure 10 represents the findings palities. River water is the leading ferent types of natural disasters on the type of dwellings in the area. water supply in the area followed by such as floods, fires, droughts and In all four Local Municipalities, the borehole water and water tankers severe storms. Flood incidents type of housing structures seem to provided by the municipality to seem to be high in all local Munic- be characterized by a high vol- compliment water shortage in the ipalities followed by fire incidents ume of traditional structures which area. Very few households have and drought incidents due to factors are very prone to natural disaster access to borehole water services, such as deforestation and climate incidents such as floods and fire. and some community embark on change. These findings support the There is also high visibility of the buying water from water vendors literature as claimed by Lukamba Reconstruction and Development which is a very taxing exercise for (2010) that the occurrences of nat- Programme (RDP) Houses in both the rural community. The study ural disasters in African countries Local Municipalities, which comple- also found that the utilization of a undermine the economic survival of ment the traditional dwellings. borehole indicates the affordability poor communities, exposing many of the individual household to own The traditional structures are built populations throughout the conti- a borehole. Due to the high level of using a mixture of mud and some nent to suffering under the impact poverty in the area, only few people cow dung and have thatched roofs. of such hazards, which tend to who are working and are able to In support of Khandlhela and May have killed thousands and caused afford it have the opportunity to own (2006), rural population living in injuries to many others. a borehole. Rain water is scarce in a marginalized area resides in Based on the findings, factors such the area since the area is charac- traditional dwellings with a thatched as deforestation, over grazing and terized by low rain fall. roof and walls constructed from poor soil structures and poor plan- sun-baked bricks which cannot In the literature, Khandlhela and ning are the biggest contributors stand extreme weather conditions May (2006) also reported that areas to flooding. According to the study, such as heavy rains, storms and in Limpopo showed that the stand- the majority of people reported floods. Such houses are prone to pipes erected more than 3 years that they have been exposed to damage from floods and 81% of earlier were not functioning and floods in the area, which have left the surveyed households indicated alternative water sources were un- them stranded without shelter and that they had lost huts during the reliable. Looking at the study area, food as indicated in Figure 11. In flooding incidents. there is still a huge backlog in terms Vhembe District, the flood incidents of infrastructure provision water It was found that the study area attributed to climate change, poor services in the area. Although it is a comprises of building structures planning and failure to follow proper right to have basic services such as which are not well designed and building procedures. water, it is a challenge in the area lack proper foundations. Hence, Although natural disasters cannot to secure those rights. Similarly, the poor design subject most of the be prevented, measures to mitigate Vhembe Integrated Development traditional structure to the negative the occurrences can be of vital Planning (IDP) reported a huge effects of natural disaster such as importance. Based on the findings, water backlog in the area which floods. In most cases, some house- it is evident that the study area is hinders proper supply of services holds were constructed without prone to a variety of natural disas- to the communities (South Africa, proper land use planning advice ters, however the most prevalent 2015b). The District Municipality and approved building codes and threat in the area are floods. has opted to supply water to its are situated in a flood line plane. residents through water tankers. Thus, it is important to analyze the 6.0 CONCLUSION AND area before construction in order to RECOMMENDATIONS Figure 9 represents the availa- avoid building in a hazardous area. This study outlined the frequently bility of source of energy in the occurring shock in Vhembe District area. There is a high availability of From the data analysis, it is sug- after the occurrences of natural dis- electricity in all local Municipalities gested that the community within asters such as floods, drought and followed by the utilization of wood the study area is poor based on the extreme weather. The study also and candles. Based on the find- housing structures they live in, as demonstrated that natural disaster ings, people mostly use wood for well as the type of building materi- occurrences and poverty have an cooking. This is because they are als they use to erect their houses. adverse impact on the socio-eco- 089

Figure 9: Source of Energy

Figure10: Type of Dwelling

Figure 11: Types of Natural Disasters (Households affected by floods) 090

© 2018 NMMU and DoHS nomic livelihood of people in Vhem- ties and services to address the able from: http://sidaenvironmenthelp- be District, putting more risk on the inequality problem in the area desk. Accessed on November 2015 food security and recovery system. should be dealt with urgently. Dutta, S. (2013). Poverty to Vul- It is evident that based on the Engineering and construction nerability in Indian Rural States: An surveyed sampled data that house- measures should be prioritized, Asset-Based Approach: Poverty and holds which have been affected by creating structures which are Public Policy, EconLit with Full Text, EBSCOhost, Accessed 3 March 2015. natural disasters are those which disaster resilience through the are of poor quality and whose own- implementation and adherence Dutta, S. & Kumar, L. (2014). Measur- ing Multidimensional Vulnerability in In- ers are not able to recover quickly to design standard and building dia: World Economics, Business Source enough after a natural disaster has codes. Complete, EBSCOhost, Accessed 26 struck. Provision of basic services ▪▪ The District Municipality must February 2015. is a great challenge as most of provide natural disaster aware- Echevin, D. (2014). Characterising the people are unemployed and ness to the communities so Vulnerability to Poverty in Rural Haiti: could not afford to secure a decent as to prepare them during the A Multilevel Decomposition Approach, house, proper sanitation, proper Journal of Agricultural Economics, occurrences of disaster events. health facilities, as well as having EconLit with Full Text, EBSCOhost, the opportunity to utilised regulated ▪▪ Local authorities and planners Accessed 26 February 2015. source of energy such as electricity. should adhere to and enforce Harmse, A . (2010). Node Selection for The findings imply a linkage be- proper planning to minimize the the Integrated Sustainable Rural De- tween natural disaster occurrences occurrence of natural disasters. velopment Programme in South Africa’, Development Southern Africa, EconLit and poverty in rural communities. ▪▪ Government should come up with Full Text, EBSCOhost, Accessed 2 Thus, there is a need to familiarize with a new strategy of dealing March 2015. the community with proper build- with poverty, as offering peo- Hofmeyr, M . (2013). Poverty and Ubun- ing standards, proper residential ple government grant is not a tu: Studies In Intercultural Philosophy / allocation and to allocate resources sustainable way of improving Studien Zur Interkulturellen Philosophie equally as a way of alleviating pov- people’s conditions. / Etudes De Philosophie Intercultur- erty and mitigating natural disasters elle, Humanities Source, EBSCOhost, For the effective implementation in rural communities. Accessed 3 March 2015. of the above recommendations, In order to mitigate natural disaster Kedaitiene, A. (2013). Investment into practical implications require all Infrastructure in the European Union: occurrences in the areas, the fol- role players in the area such as Contemporary Situation and New lowing recommendations are given: District municipality, local author- Challenges, Public Administration, Busi- ▪▪ Better infrastructure and servic- ities, as well as the community to ness Source Complete, EBSCOhost, Accessed 3 March 2015. es should be provided equally work together. Hence, there is need throughout the local Municipali- to develop better and integrated Khandlhela, M. & May, J. (2006). ties. This will discourage migra- measures that will deal with poverty Poverty, Vulnerability and the Impact of Flooding in the Limpopo Province, tion from one local Municipality levels in the area and to mitigate South Africa: Natural Hazards, Publish- the effects of natural disaster oc- to a better municipality looking er Provided Full Text Searching File, for better jobs and life style currences thereof. The study was EBSCOhost, Accessed 11 April 2015. creating overcrowding in some limited to a small sample size. A Lukamba, M.T. (2010). Natural Dis- study involving a wider sample is municipalities. asters in African Countries: What can recommended. ▪▪ Suitable allocation of land we learn about them? The Journal for Transdisciplinary Research in Southern should adhere to the spatial References Africa, 6(2) December. [online] Avail- planning tools and spatial City Press. (2013).Flood-hit Limpopo District Could be Declared Disaster able from: http://dspace.nwu.ac.za. development frame work of the Area. 23 Jan 2013. Accessed on 29 June 2014. municipality to avoid utilizing Madzivhandila, T. S. (2010). areas not suitable for residential Dau, M. C. (2010). An investigation of the Flood Response and Recovery. Risk-Spreading Strategies and Vulner- purposes. Communities living in Case Study of Thulamela Local Munic- ability to Poverty among Rural House- hazard-prone areas should be ipality: Thesis (Msc) University of Free holds: The Case of Tsianda Village made aware of the hazard within State. Bloemfontein in Makhado Municipality, Limpopo their jurisdiction, and if possible Province. [online] Available from: http:// Drankenberg, O., Andersson, F, & ul.netd.ac.za/bitstream. Accessed on arrangements for their relocation Wingqvist, G. (2014). Liberia Environ- 29 June 2014. should be put in place. mental and Climate Change Policy Brief; Sida’s Helpdesk for Environmen- Musekene, E.N. (2013). The Impact of ▪▪ Provision of better social ameni- tal and Climate Change. [online] Avail- a Labour-Intensive Road Construction 091

© 2018 NMMU and DoHS Programme in the Vhembe District, South Africa. (2013). Department of Ru- Limpopo Province’, Development ral Development & Land Affairs: Climate Southern Africa, vol. Available from: Change Adaptation Sector Strategy http://0-www.tandfonline.com.wagtail. for Rural Human Settlements. [online] ufs.ac.za/loi/cdsa20. [3 March 2015]. Available from: www.gov.za. Accessed 1 January 2016. Oreshin, V. (2014). The Development of Infrastructure and Modernization Prob- South Africa. (2015a). Department of lems Of Economic Transition, EconLit Cooperative Governance; Government with Full Text, EBSCOhost, Accessed 3 on water scarcity and drought. [online] March 2015. Available from: www.cogta.gov.za/sites/ cogtapub/Minister Accessed on 2016 Saunders, G. (2011). Shelter and Settlement: International Federation of South Africa.(2015b). Vhembe District Red Cross and Red Crescent Societies. Municipality: Integrated Development [online] Available from: http://www.ifrc. Plan Review. [online] Available from: org. Accessed on 2 January 2016. www.limpopo-dlgh.gov.za/idp/vhembe. Accessed 29 June 2014. Schwedes, S & Werner, W. (2010). Manual for Participatory Land Use Plan- ning Facilitators: GZT. [online] Available from: www.iapad.org. Accessed on 1 January 2016. Shewmake, S. (2008). Vulnerability and the Impact of Climate Change in South Africa’s Limpopo River Basin; Interna- tional Food Policy Research Institute, Sustainable solution for ending hunger and poverty. [online] Available from: http://re.indiaenvironmentportal.org. Accessed on 11 November 2015. Siwele, K.D. (2011). Review and Assessment for Thaba Chweu Local Municipality Veldfire Management in Mpumalanga Province. Thesis (Msc). University of Free State. Bloemfontein. Skoufias, E. (2012). The Poverty and Welfare Impacts of Climate Change: Quantifying the Effects, Identifying the Adaptation Strategies. [online] Available from: https://openknowledge.worldbank. org. Accessed on 29 June 2014. South Africa. (2002). Disaster Man- agement Act, Act 57 of 2002. Pretoria: Government Printer. South Africa. (2005). S A National Disaster Framework: Introduction: A Policy Framework for Disaster Risk Management in South Africa. Pretoria: Government Printers. South Africa. (2006). South African Constitution. [online] Available from: www.gov.co.za Accessed on 10 May 2015. South Africa. (2011a). National Devel- opment Plan [online] Available from: www.gov.co.za Accessed on 29 June 2014. South Africa. (2012). Budget Review. [online] Available from: www.gov.co.za Accessed on 29 June 2014. 092

© 2018 NMMU and DoHS SUB-THEME 5: SCIENCE AND TECHNOLOGY INNOVATIONS FOR SUSTAINABLE HUMAN SETTLEMENTS An investigation exploring alternative renewable energy sources in South African rural areas Buhlebethu Sithole | University of the Free State, Department of Quantity Surveying and Construction Management Kahilu Kajimo-Shakantu | University of the Free State, Department of Quantity Surveying and Construction Management

Abstract This study investigates the feasibility of adopting more sustainable renewable energy sources in rural areas in order to address the lack of access to electricity and to enhance the integrated sustainable human settlements approach in rural areas. After a literature review, an empirical study was undertaken using questionnaires and interviews among respondents of Oqungweni, a village outside Ladysmith town and from Indaka Rural Local Municipality, as well as Ladysmith Eskom branch respectively. The key findings include that there is a low level of renewable energy knowledge and perceptions are that renewable energy is less reliable compared to the traditional fossil fuel power plants used to generate electricity. Further, the rural local municipality does not have the financial and technical capacity to provide electricity either from fossil fuel or renewable energy sources, and incentives such as rural renewable energy policy frameworks and financial support are required. The study suggests that fossil fuel power plants in rural areas pose many challenges which involve financial and technical aspects and despite solar energy technologies still being costly, they hold great potential to be used as alternatives. However, income and lack of renewable energy awareness amongst the rural residents and unavailability of legal frameworks to guide the use of renewable energy in rural areas call for the establishment of legal, financial and education incentives to enhance the feasibility of renewable energy technologies in rural areas.

Keywords: Green energy, incentives, renewable energy, rural areas, sustainable.

1.0 INTRODUCTION online). These challenges stem The purpose of this study is to in- he use of energy from fossil from the high cost of distributing vestigate the feasibility of adopting fuel is becoming a major electricity because rural settlements more sustainable renewable energy threat and less beneficial to are scattered (Perret et al., 2005), sources in rural areas in order to T coupled with the failure to make address the lack of access to elec- humans because of its carbon diox- ide emissions that cause environ- upgrades on electricity transmitters tricity and to enhance the integrated mental problems (Bazmi & Zahedi, as rural communities increase in sustainable human settlements 2011). For this reason, the use of size (Sebitosi, 2008). Further, even approach in rural areas. renewable energy sources such where there is access, electricity 2.0 RESEARCH as solar, wind and nuclear energy is not usually affordable. Odeku, SIGNIFICANCE Meyer, Mireku and Letsoala, (2011) have become a trend because they South Africa is expected to experi- state that there have been reports do not deplete the earth’s natural ence electricity shortfalls in the near of persistent default or non-pay- resources, are environmentally be- future, hence the need to consider ment of electricity bills and some- nign and can be managed and used renewable energy as alternative to times, people have improvised without degrading the environment energy efficiency (Mail & Guardian: and connected to the grid illegally. (Renewable Energy Association, online). The majority of rural areas Despite the substantial household 2009). have no access to electricity and ru- electrification programmes with one Whilst millions of South African ral local governments, on the other of the lowest electricity prices in the households have received elec- hand, are struggling to provide elec- world to the consumers, over half of tricity from the grid since 1994, tricity in rural areas. Further, there South Africa’s rural households still there are still many rural areas that has been growing recognition of use fuel-wood energy because they experience challenges in relation to the need for integrated sustainable cannot afford the monthly costs both electricity deprivation and pro- human settlements in South Africa. and appliances that use electricity vision of electricity (Chellan, s.a.: The integrated sustainable human (Shackelton et al, 2004). 093

© 2018 NMMU and DoHS settlements approach advocates for improve other aspects of their lives, the electricity production can be human settlement planning that is as they spend substantial time and continued after sunset and into the coupled with a coordinated integrat- effort collecting traditional resourc- evening, which generally corre- ed development planning approach es of fuel which sometimes are sponds to the peak utility period. such as the consideration of bulk sourced from further afield (Unit- Wind Farms — a wind farm is a site infrastructure (electricity, sewage ed Nations, 2010). Furthermore, with a group of wind turbines, which etc.) (South Africa. Western Cape energy poverty has gender impacts are machines that convert kinetic Department of Human Settlements, because it is women who remain energy from the wind to electrical 2010:40). a huge part of the rural poor and power (Yao, Bansal, Dong, Saket spend large amounts of labour and Therefore, the study views the use & Shakya, 2011). According to time making important decisions on of the sources of renewable ener- South Africa, Department of Energy household energy (Lebelo, 2009). gy technologies as an important (2013), the potential of wind power initiative, not only in urban areas, 3.2 Potential sources of renew- in South Africa is generally good but also in rural areas because able energy technologies in along the coastal areas, moderate rural areas rural areas, just like urban areas, on inland areas of KwaZulu Natal Solar Photovoltaic Electricity gen- are vulnerable to climate change. and the Eastern Cape and low eration-photovoltaic (PV) is defined The study also perceives the use of for the remainder of the country. as the conversion of light directly renewable energy technologies in Within the context of rural elec- into electricity through semi-con- rural areas as a tool for government trification, wind turbines used to ductor materials (Prasad, 2011: to alternatively provide electricity construct a wind farm can be used 206). The International Energy to rural areas to the benefit of the for their diversity of size and for the Agency estimated a reduction in communities and thereby enhanc- fact that they have been the most solar technology costs in the order ing these areas into integrated proved form of renewable energy. of 30 to 50 percent per decade sustainable human settlements. For Coppez (2011), wind turbines for each of the next two decades The study is beneficial and will raise of different types can range from as a result of learning and market awareness and inform the rural generating power of 1kW to 7kW growth (International Energy Agen- communities, local governments and can be suited to whatever load cy, 2003). To contrast, the World and other stakeholders in renewa- size is needed to be supplied. Fur- Bank (2004) claims that solar PV is ble energy. thermore, Hermann, Helm, Grim, unlikely to play a role in generating Grassi, Lutter, Grassi, Adeniji and 3.0 LITERATURE REVIEW grid-connected power because of Salawu (2001) claim that if there is 3.1 Energy poverty and usage in its costs, regardless of its esti- good wind speed, which is esti- rural South Africa mated reduction costs. However, mated at an average of 7.5 m/s or Odeku, Meyer, Mireku and Letsoa- according to Banks and Schaffler more, wind turbines can be seen as la, (2011) indicate that there have (2006:18), there are several rea- a technology with a potentially large been reports of persistent default or sons why solar PV is expected to capacity of electricity generation non-payment of electricity bills and play a highly significant role and the and can be cost-competitive even in sometimes people have improvised ease of use. and illegally connected themselves grid-connected situations, depend- Solar Thermal Electric—solar ther- to the grid. A study by Aitken (2007) ing on the wind conditions and local mal can be used directly for heat- on rural household energy use electricity tariffs. ing purposes (Holbert, 2011:225). across KwaZulu Natal province, 3.3 Benefits of renewable ener- According to Solar Palaces (2005) North West province and Eastern gy to rural areas Concentrator Solar Power (CSP), Cape province revealed that the Renewable energy offers signif- a form of solar thermal technology, most commonly used energy sourc- icant economic, environmental has the lowest costs for large-scale es were wood, cow dung, crop res- and political advantages such as power generation. Similarly, Holbert idues, paraffin and liquid petroleum the replacement of fossil fuel with (2011) points out that a key advan- gas for cooking and heating whilst permanently available energy rather tage of solar thermal compared to candles and kerosene were used than importing conventional ener- solar photovoltaic is the capability for lighting. The fact that traditional gy from outside and being able to of integrating thermal energy within fuels (such as wood, crop residues generate reliable and cheap energy a CSP plant. Additionally, not only and cow dung) are not used to can trigger economic development can such a thermal energy storage produce a range of modern energy (Odeku, 2012; OECD, 2012). Also, system allow the plant to continue services such as electricity limits it considerably reduces infrastruc- generating electricity during brief the ability of rural communities to tural requirements (Scheer, 2006). 094 periods of sunlight loss, but also

© 2018 NMMU and DoHS Renewable energy can lead to job gies have an impact on the price residents of Oqungweni village, a creation (such as operating and that consumers will pay for using a rural area outside Ladysmith, Kwa- maintaining equipment) and im- specific renewable energy source Zulu Natal. The purpose of the in- proved livelihoods, both which can (Amigun, Kaggwa, Mutanga, Mu- terviews was to uncover the under- contribute to significant increases in sango, Simelane & Stafford, 2011). lying problems and the potential of productivity in rural areas (Steger, Technology learning is an important renewable energy technologies in 2005; OECD, 2012). Renewable driver of energy development and the area. The study used random energy technologies can produce technology costs change over time sampling to select the respondents. electricity, thereby making it possi- (Wrinkler, Hughes & Haw, 2009). To obtain the sample, the following ble for the refrigeration of vaccines Technology learning rate refers to formula was used: n=; where n is and operation of medical equipment the reduction cost to construct and the sample size and N represents in rural health clinics (United Na- operate new technologies (South the population (N was 443). 94 tions, 2010). Africa, Department of Energy, 2013: questionnaires were distributed by 79). hand. A response rate of 69.1% Most renewable energy technol- was achieved. ogies are virtually free of emis- According to Wrinkler, et al., (2009), sions. For instance, wind and solar there is evidence that the unit Two interviews were held with the power have zero emissions (Brebol, costs of new technologies decline Director of Technical and Plan- Henriksen, James-Smith & Som- as more are built and technology ning from the Indaka Rural Local mer-Kristensen, 2003). Brebol et design gets smarter. The unit price Municipality and the Planning and al., further state that renewable is an important factor that countries Coordinator of electrification from energy is endowed with natural should consider when wanting to Ladysmith Eskom. The quantitative distribution close to the demand in supplement energy with renewable data collected from the question- contrast to the conventional ener- energy (Kaggwa et al., 2011). In naires was analyzed using fre- gies which tend to create excesses South Africa, the prices for renewa- quency distribution. The qualitative in market prices and uncontrolled ble energies are managed and con- data was analyzed for trends and industrial development policies that trolled under the Renewable Energy patterns. place priority on financial profit that Feed-In Tariffs (REFIT) programme The study acknowledged the possi- enriches the emitters and negative- which is aimed at encouraging pri- bility of the respondents not being ly impacts on the environment. Re- vate producers to supply renewable able to read and write in English. newable energy has an edge over energy to the national grid at a fixed Therefore, the questions in the conventional energy, as it may take price (South Africa, Department questionnaire were asked in IsiZulu. a whole decade to get a new con- of Energy, 2011). Kaggwa et al., However, this was a constraint to ventional plant or stream, but only (2011) state that the South Africa the data analysis process of the a few months to build a solar plant unit production cost of energy using study. The responses to the ques- (Patlitzianas, Flamos, Doukas & renewable energy technologies is tionnaires were translated into Eng- Kagiannas, 2004) Renewable ener- relatively high when compared to lish and transcribed into text before gy offers environmental, social and international unit energy produc- being analysed. This was time-con- economic advantages because it is tion costs owing to the fact that the suming. Further, the study was one of the major factors in reducing market for renewable energy tech- focused on the case of Oqungweni poverty in rural areas (Patlitzianas nologies in South Africa is still very village in Ladysmith; therefore, the et al., 2004). Renewable energy will young and lacks maturity, thereby findings are not fully representative continue to play a significant role posing a great risk for investment. of all rural areas in South Africa. in providing basic services to rural Kaggwa et al., (2011:9) argue that areas (Odeku, 2012). the unit prices of renewable energy 5.0 PRESENTATION AND technologies, particularly those of ANALYSIS OF FINDINGS 3.4 Cost of renewable energy 5.1. Demographic background technologies solar energy are too high and unre- The majority of the respondents A major setback to Africa’s efforts alistic for a developing country such (74%) were female indicating that to change to renewable energy as South Africa and thus prices most of the surveyed households and the associated technologies is need to be reassessed. are female-headed. This is in line cost (Kaggwa, Mutanga & Sime- 4.0 METHODOLOGY with the literature where Lebelo lane, 2011). This is because the The study used a survey utilising (2009) claims that women spend conversion technologies determine questionnaires and interviews to most of their time making house- the unit cost of renewable energy collect data. The questionnaire was hold energy decisions. The remain- harnessing, and these technolo- distributed by hand among rural ing 26% were male. Regarding 095

© 2018 NMMU and DoHS age, most respondents fell between that the cost of renewable energy indicated that they use candles 21 – 30 which represented 37%, in South Africa is still relatively high, while the remaining 40% indicated 29% were between 31 – 40, 32% as the renewable energy industry that they use kerosene lamps. The were 40 and above and only 9% is new. findings show a high number of were 20 and below. respondents using paraffin (kero- 5.2. Energy use and problems sene lamps) lighting compared to The monthly household incomes 5.2.1 Energy Type used those using it for cooking as shown indicated that the majority receive The findings are shown in Table 1 in Table 1. a low income, whereby 91% earn below. Just over half of the re- R3 000 or less per month with only spondents (51%) indicated that they 5.2.2 Energy source challenges 3% of the respondents earning use wood for cooking followed by The findings are indicated in Table more than R5 000 a month. Income 25% using other energy sources, 2. The findings from Table 2 show is an important factor in determin- 17% using paraffin and 12% using that 35% of the respondents, mostly ing whether the respondents can gas for cooking. The study estab- those that use wood or dry aloe afford the use of renewable energy lished that there is no piped water plants, indicated that the energy technologies. The source of income available in the area. Similarly, 51% sources were time consuming of the respondents helps to un- of the respondents use wood to because they must be collected. derstand the security of income of heat water followed by 25% who Some of the respondents (23%) the households and is linked to the use dry aloe, paraffin (12%) and who use wood or dry aloe plants in- affordability of adopting renewable gas (12%). The study noted that dicated that they had problems with energy technologies. The findings there was a relationship between the scarcity of these energy sourc- indicate that the majority of the the household income and the es. This finding could also suggest respondents (40%) receive their in- energy sources used by the house- that there is an excessive use of come from social grants, whilst 25% holds. For instance, the majority wood and dry aloe plants in the from old age pension, 18% from of the households with low income area, such that they are becoming employment, 8% from business and (R3 000 and less) were found to be scarce. A total of 22% indicated that 9% from other sources. It can be relying more on wood and dry aloe the energy sources they were using deduced that many households rely plants, while the households earn- were costly, whilst the remaining on government grants and using re- ing more than R3 000 were found to 20% of the respondents indicated newable energy technologies such be using paraffin or gas. that they were satisfied. These as solar panels might be an expen- findings are consistent with the In terms of energy for lighting, the sive option in terms of affordability. findings from the literature review majority of respondents (60%) From the literature, it was shown where the United Nations (2010)

Energy source No. of re- Percentage Energy used for No. of respond- Percentage for cooking spondents % water heating ents % Wood 33 51 Wood 33 51 Paraffin 8 12 Paraffin 8 12 Gas 8 12 Gas 8 12 Other (specify) 16 25 Other(specify) 16 25 Total 65 100 Total 65 100

Table 1: Energy used for cooking and for heating water

Challenge No. of respondents Percentage %

Time consuming 23 35 Costly 14 22 Satisfied 13 20 Scarcity 15 23 Total 65 100

Table 2: Main challenges experienced with energy sources 096

© 2018 NMMU and DoHS claims that rural households spend nection to the electricity grid. plans and were not ready to venture substantial time and effort collect- into renewable energy because 4. Other respondents indicated that ing the traditional resources of fuel of current technical and financial they were willing to use elec- which sometimes are sourced from issues existing which involve not tricity from renewable energy further afield. having skilled and trained personnel sources provided it would not for renewable energy installation 5.2.3. Awareness on renewable be costly and would be more and financing which the Department energy convenient than collecting wood of Energy would need to provide to The results are depicted in Table and plants. 3. Table 3 indicates that all of the Eskom as an implementing agent The study noted a relationship respondents are aware of solar en- of energy provision in the country. between the level of knowledge and ergy to varying degrees, with solar Respondent B indicated that re- interest on renewable energy. The being the most common (85%), newable energy in rural areas was aspect of theft in the area influ- and biogas the least with 0%. The needed as an alternative for those enced the perceptions and atti- respondents were asked if they areas that are not yet connected to tudes of the respondents towards were interested in using electricity the electricity grid because there renewable energy technologies. from the renewable energy sources are problems in rural areas where Contrary to the negative responses, listed in Table 3. The finding was there is access to electricity. These the 40% of the respondents who that the majority (60%) said they problems include: the residents indicated that they are willing to use were not interested in renewable from electrified remote rural areas renewable energy technologies is energy and 40 % said yes. In order are struggling to purchase electric- a good indication of the potential to understand the factors influenc- ity because there are no places to acceptability and need of renewable ing the responses, the respondents purchase the Eskom electricity unit sources. were asked to provide reasons cards; rural residents are generally which were as follows: 5.2.4 Interview Findings: Chal- illiterate technologically and do not lenges, Potential and Implica- know how to purchase electricity 1. Theft of solar panels: some tions units using cell phones; and the households in the community From the interviews, the respond- maintenance of electricity grids is had previously been using solar ent from the Indaka Municipality a constraint in remote rural areas panels which unfortunately were (respondent A) indicated that due to the lack of infrastructure and stolen. constitutionally, the municipality financial costs. 2. Some said they did not know was responsible for the provision of Both respondents had similar what wind and biogas energy services including the distribution responses when asked about the are and for that reason would of electricity to households. Howev- incentives that they thought were not be interested in using the er, because the municipality does important for renewable energy in sources because they do not not have the financial capacity and rural areas. Respondent A indicated know how they function and how skilled workers such as electrical that very often, projects regarding much they cost to use. engineers to do so, Eskom holds development in rural areas are un- the electricity license for the direct 3. Instead of stating their reasons, successful because of policies not supply and maintenance of elec- some questioned the reliability being clearly formulated to accom- tricity to all households within the and the need for them to use modate the rural realities and as municipal jurisdiction. renewable energy technologies a result urban type of designs and to source energy for electricity if The respondent from Ladysmith strategies are adopted in rural are- the other 11 sub-villages in the Eskom (respondent B) indicated as. The implication is that there is a area were able to receive con- that their branch had not made any need for policy frameworks to guide

Yes No Have you heard of the following renewable energy sources? No. of Respond- No. of Respond- Percentage % Percentage % ents ents Solar energy 65 100 0 0 Wind energy 10 15 55 85 Biogas 0 0 65 100

Table 3: Awareness on renewable energy 097

© 2018 NMMU and DoHS the use of renewable energy in rural for renewable energy technologies and aligned to rural realities and areas. Respondent B also indicated in rural areas. However, financial rural energy needs because what that Eskom provides energy based and technical problems make it exists in the currently available laws on policy guidelines that are pro- difficult to provide electricity through and policies on renewable energy vided by the government, therefore renewable energy technologies and in South Africa may be success- a policy for rural areas would be this can be seen as a barrier to the fully implemented in urban areas, needed. Respondent A mentioned feasibility of adopting renewable but may not be necessarily imple- that rural residents would require energy technologies in rural areas. mentable in rural areas. Further, financial support for them to have For renewable energy technolo- this will help set out the basis for renewable energy technologies, gies to be well initiated and used initiating the use of renewable ener- whilst respondent B was of the view in rural areas, there is a need for gy technologies in rural areas, thus that Eskom, being an energy imple- legal incentives such as a policy enhancing the feasibility of adopting menting agent for the Department framework specifically formulated to renewable energy technologies in of Energy, would need financial guide the use of renewable energy rural areas. support from the government to technologies in rural areas. It is The spatial location and pattern of conduct research and investigate important to make use of the cur- the rural areas has been a major potential renewable energy sources rently available laws and policies on constraint to connecting the rural and technologies in rural areas. renewable energy and align them residents to the electricity grid, with rural realities and rural energy 6.0 CONCLUSIONS AND whilst theft of solar panels has also needs because what exists in the RECOMMENDATIONS been a challenge. These findings currently available laws and poli- 6.1 Summary of the findings to the study further indicate a need cies on renewable energy may be There is a need to adopt the use of for the government to initiate a successfully implemented in urban renewable energy technologies in more coordinated planning ap- areas, but not in rural areas unless rural areas because electricity gen- proach to energy provision in rural proper studies and identification of erated from fossil fuel power plants areas which will, in turn, enable rural needs and rural energy needs poses more problems than benefits for integrated sustainable human are done. This will enhance the in rural areas, especially in remote settlements in these areas. The re- feasibility of adopting renewable rural areas. Maintenance is difficult cently enacted Spatial Planning and energy technologies in rural areas and places to purchase electricity Land Use Management Act No 16 because not only will it help in set- are not easily accessible. Solar of 2013 has the potential to assist ting the basis for initiating the use energy and wind energy and their the planning of energy provision in of renewable energy technologies technologies have potential. these areas, as it compels all mu- in rural areas, but it could further nicipalities to develop Spatial De- In terms of cost, it seems rather open room for private investors to velopment Frameworks (SDFs) and unlikely that rural households can invest in rural renewable energy Land Use Schemes (LUSs) for rural currently afford to use renewable technologies because there would areas. Through the use of SDFs energy technologies for electricity. be policies used as the basis of and LUMSs, the spatial patterns of Rural residents lack knowledge what they can do, and how they can rural areas can be determined and on renewable energy sources and do it to implement rural renewable energy provision can be planned their perceptions and attitudes on energy use. for. Moreover, through the use of renewable energy show minimal 6.2. The practical implications SDFs and LUSs, the government willingness to adapt to the use of of the findings can explore on the integration of renewable energy technologies be- The findings to the study particular- different renewable energy technol- cause of factors that influence their ly have implications on the current ogies to accommodate the existing perceptions. This raises a concern, government policies. The current- spatial patterns and locations of the as it can be seen as a social barrier ly available laws and policies on rural areas. to the feasibility of adopting renew- renewable energy in South Africa able energy technologies in rural There is a need for financial in- have been developed to enable areas. This might negatively affect centives such as governmental the implementation of renewable the success of adopting renewable financial support to enable the energy in urban areas. The findings energy technologies in rural areas. conducting of research studies and to the study indicate the need for investigations with regard to the Institutions of energy supply such legal incentives such as a policy availability of renewable energy as rural local municipalities, Eskom framework that is specifically formu- sources in rural areas and potential and the Department of Energy lated to guide the use of renewable renewable energy technologies. 098 recognize the need and demand energy technologies in rural areas

© 2018 NMMU and DoHS Financial support for the rural and Sustainable Energy Reviews, 15, in tariff phase 2. [online]. [s.l.]: [s.n.]. residents will also be required as pp. 3 480 – 3 500 Available from: [Accessed 5 July 2014] The study recommends that there Electricity from renewable resources in is a need for the government and the Western Cape. [online]. [s.l.]:[s.n.]. Odeku, K.O. 2012. An analysis of Available from: [Accessed 29 May able development in rural South Africa. technologies and potential benefits 2014] Human Ecology, 40(1), pp. 53 – 62. to the rural communities before Chellan, N. [s.a.]. Understanding Odeku, K.O., Meyer, E.L., Mireku, O. renewable energy technologies can rural development from an energy & Letsalo, J.H.L. 2011. Implementing a be implanted in rural areas. The perspective-case study of the Mweni renewable enrgy feed-in tariff in south study recommends for these insti- rural village in the province of KwaZulu Africa: the beginning of a new dawn. tutions to take the initiative to raise Natal in South Africa. [online]. Durban: Sustainable Development Law & Policy, University of KwaZulu Natal. Availa- 11(2), pp. 45 – 49. funds in order to finance the use of ble from: [10June OECD. Available from: [Accessed 15 April 2014] brid renewable energy systems for rural ical data collected in the study to Patlitzianas, D., Flamos, A., Doukas, H. electrification. Thesis(Masters). Cape properly assess the availability of & Kagiannas, G. 2004. Promoting re- Town: University of Cape Town. different renewable energy sourc- newable energies and energy efficiency es at Oqungweni, the initial costs Hermann, L., Helm, P., Grimm, H., through the GDM funding option, man- Grassi, A., Lutter, E., Grassi, G., Adeniji, agement and decision support systems of renewable energy technologies K.O. & Salawu, R. 2001. Renewable laboratory. [online]. [s.l.]:University of and their maintenance because it energy for Africa: renewable energy Athens. Available from: [Accessed 29 May 2014] Holbert, K.E. 2011. Solar thermal be conducted by focusing on these electric power plants. In: Zobaa, A.F. Prasad, R.V. 2011. Photovoltaic sys- aspects that were missing in the & Bansa, R.C. (eds). Handbook of tems. In: Zobaa, A.F. & Bansel, R.C. present study. Further research renewable energy technology. London: (eds). Handbook of renewable energy could also be conducted to review World Scientific Publishing Co. Pte. Ltd, technologies. London: World Scientific the rural energy realities in rural pp. 225 – 246. Publishing Co. Pte. Ltd, pp. 205 – 223. areas that have received renewa- International Energy Agency. 2003. Re- Scheer, H. 2006. Renewable energies ble energy technologies already in newables for power generation: status are a realistic and affordable alterna- order to evaluate the effectiveness and prospects. Paris:[s.n.] tive. Le Monde Diplomatique. of these technologies and establish Kaggwa, M., Mutanga, S. & Simelane, Sebitosi, A.B. 2008. Energy efficiency, further benefits and experiences T. 2011. Factors determining the af- security of supply and the environment that that exist. fordability for renewable energy: a note in South Africa: moving beyond the for South Africa. AISA Policy Brief, 65, strategy documents. Energy, 33, pp. References pp. 1 – 10, December. 1591 – 1596. Aitken, J. 2007. Household energy use: Lebelo, D. 2009. Renewable energy, Shackleton, C.M., Buiten, E., Annecke, a comparison of household energy con- gender, and the rural-urban divide. In: W., Banks, D., Bester J., Everson, sumption and expenditure across three Institute for Global Dialogue. Climate T., Fabricius, C., Ham, C., Kees, M., provinces. Journal of Energy in South- change and development: Towards an Modise, M., Phago, M., Prasad, G., ern Africa, 18(1), pp. 20 – 28, March. alternative energy future for Southern Smit, W., Twine, W., Underwood, M., Amigun, B., Kaggwa, M., Musango, J., Africa? Midrand: Insitute for Global von Maltitz, G. & Wenzel, P. 2004. Mutanga, S., Simelane, T. & Stafford, Dialogue, pp. 58 – 64. Fuelwood and poverty alleviation in W. 2011. Africa’s technology options for South Africa: opportunities, constraints Mail & Guardian. 2010. Green energy renewable energy production and dis- and intervention options. Report to Dept in South Africa necessary for future. tribution. In: Simelane, T. & Abdel-Rah- of Water Affairs & Forestry, Pretoria, pp. 2 December, [Online]. Available from: man, M. (eds). Energy transition in 38. [Accessed 16 May [online].[s.l.]: [s.n.]. Available from: Bazmi, A.A. & Zahedi,G. 2011. Sustain- 2014]. [Ac- able energy systems: role of optimiza- cessed 5 June 2014] National Energy Regulator of South tion modeling techniques in power gen- Africa. 2009. Renewable energy feed- South Africa. Western Cape Depart- eration and supply-a review. Renewable 099

© 2018 NMMU and DoHS ment of Human Settlements. 2010. Developing strategies for integrated and sustainable development. Cape Town: Government Printer South Africa, Department of Energy. 2011. Research note- clean energy. [online]. [s.l.]: [s.n.}. Available from: (Accessed 15 June 2014] South Africa, Department of Energy. 2013. Integrated Resource Planning for Electricity (IRP) 2010 – 2030. [s.l.]: National Department of Energy. Steger, U. 2005. Sustainable development and innovation in the energy sector. Berlin: Springer. United Nations. 2010. Renewable energy technologies for rural development. New York: United Nations, (UNCTAD/ DTL/STICT/2009/4) World Bank. 2004. South Africa: Renewable energy market transformation (REMIT) project: Economic and financial analysis due diligence. Pretoria;[s.n.] Wrinkler, H., Hughes, A. & Haw, M. 2009. Technology learning for renewable energy: implications for South Africa’s long-term mitigation scenarios. Energy Policy, 37, pp. 498 – 4996. Yao, F., Bansal, R.C., Dong, Y.Z., Saket,R.K. & Shakya, J.S. 2011. Wind energy resources: theory, design and applications. In: Zobaa, A.F. & Bansal, R.C. (eds). Handbook of renewable energy technology. London: World Scientific Publishing CO. Pte Ltd, pp. 3 – 19. Zerriffi, H. 2011.Rural electrification: strategies for distributed generation. New York: Springer Science & Business Media.

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© 2018 NMMU and DoHS SUB-THEME 6: SERVICE DELIVERY IMPROVEMENTS AND FINANCING MODELS Strengthening service delivery with ICT based monitoring and reporting systems: The CSIR’s municipal services corrective action request and report system (CARRS) Goodhope Maponya, Matome Mothetha, Vusumzi Mema, Ednah Mamakoa, S’bonelo Zulu; Bongi Maposa, Patrick Hlabela, Ryneth Mbhele | CSIR Built Environment

Abstract: In the advent of the democratic dispensation, government crafted and implemented new strategies and programmes that would ensure that everyone had equal access to basic services. However, many studies show that there are still significant gaps and challenges in the delivery of some basic services to the poor. To address some of these challenges, government has in the recent years crafted the Nation- al Development Plan (NDP), supported by strategies such as the Back to Basics (B2B), which put some emphasis on creating platforms through which municipal councils could engage with citizens. In a bid to strengthen the Back to Basics strategy, the CSIR has developed the Corrective Action Request and Report System (CARRS), which is an incident management and an ICT workflow system that provides a platform through which communities can report service delivery and infrastructure failure issues to municipal councils. The system is being piloted with a focus on water services in selected communities in eight of the priority districts. Findings of the pilot indicate a warm reception of the CARRS system by municipal councils and communities in the pilot sites, with more incidents being reported and managed, thus intuitively translating to an improvement in the delivery and quality of basic services.

Key words: local government, service delivery, ICT, incident management system, corrective action

1.0 INTRODUCTION communities that do not enjoy their This paper uses a mixed approach n the advent of the 1994 demo- rights to basic services as a result by providing some insights into cratic dispensation, the national of some complex intricacies in local some of the key strategies and pro- government crafted and imple- government. In the recent years, grammes that have been developed I statistics have also shown that and implemented by government, mented a number of strategies that were aimed at ensuring that every- more and more people are getting while also identifying some gaps one received services equally. To dissatisfied with the level of service that still exist, and uses a case speed up equality and the delivery provision in many municipalities. study approach that takes a look of basic services to the previously This has manifested in demonstra- at some of the successes, lessons disadvantaged and underserved tions and a rising number of service learnt and policy recommendations communities, service provision was delivery protests which are also that emanated through piloting then decentralized from one sphere becoming violent. While service of Corrective Action Request and of government with the establish- delivery protests may be complex in Report System (CARRS). ment of provincial and local govern- nature, it is also interesting to note 2.0 BACKGROUND ments (i.e. district and local munic- that there is a trend in a growing 2.1 Municipal Infrastructure ipalities), with the latter seen as a number of service delivery protests Maintenance vehicle for service delivery. How- that are linked to or driven by ser- “As municipalities pursue the ever, this approach has also been vice delivery failures where infra- eradication of backlogs in basic fraught with a number of daunting structure (to deliver such services) services, concerns are emerging challenges. There are still a lot of already exists. over the deterioration of existing 101

© 2018 NMMU and DoHS infrastructure and the sustain- of collapse as a result of difficulties (NDP, 2013). To achieve a devel- ability of the new infrastructure in contending with human resource opmental state, the NDP further being built. The problem is worst issues, huge dependence on grant highlights the need for longer-term at municipalities where revenues funding for financial support and strategies. are under pressure due to either critical operational deficiencies with- Responding to local government large indigent populations, poor in technical departments. challenges, the Department of debt collection performance, or 2.2 The Priority Districts: An Co-operative Governance and both” (DPLG, 2006:1 – 2). approach to tackle slow service Traditional Affairs (CoGTA) estab- delivery In 2006, government approved the lished the Municipal Infrastructure While recognizing that some National Infrastructure Maintenance Support Agent (MISA), in line with sectors performed well in terms of Strategy (NIMS), which highlighted the Back to Basics Strategy, as a maintenance of state-owned infra- infrastructure maintenance as a programme targeted at improving structure, there were significant and powerful tool for economic growth municipal infrastructure provisioning notable challenges in the manner in and service delivery. The strategy and maintenance for accelerated which local municipalities, especial- puts emphasis on the role that all service delivery (www.cogta.gov. ly those serving rural communities, spheres of government, together za). While MISA focuses largely planned for new infrastructure and with state-owned enterprises, have on infrastructure provisioning and conducted infrastructure mainte- to play in ensuring the sustainability maintenance, the Back to Basics nance (CIDB, 2007). In response, of state-owned infrastructure. Over strategy, announced in 2014, looks the Presidency declared some 23 time, it has become clear that the at how to build responsible and districts, in 2012, to form part of successes in infrastructure main- accountable local government. The government’s priority (DRDLR, tenance were attributed to proper strategy provides a step-by-step 2013). To foster local economic de- planning and budgeting, crafting plan of what needs to be done in velopment, among other strategies, and implementing policies to sup- the inter-governmental sphere to infrastructure development planning port infrastructure maintenance, improve the performance of munic- and the provision of social and eco- making available skilled personnel ipalities. It places open communi- nomic infrastructure was seen as and providing good leadership. cation at the heart of what munic- key towards addressing the many ipalities do by insisting that they Although there has been some challenges faced by these munici- establish platforms through which good performance with regard to palities. A framework for economic communities can interact with offi- infrastructure maintenance in some transformation, which included, cials. It further emphasises that the sectors, there have also been some amongst other things, the identifica- interactions should ultimately result worrying concerns in other sectors. tion of infrastructure needs and the in timeous response to challenges. While maintenance of wastewa- creation of maintenance jobs, was ter treatment works were of great then developed (DRDLR, 2015). 2.4 Customer Care and Service Delivery concern, other key infrastructure However, the implementation of “When communication chan- points such as water treatment these strategies was faced with nels between communities and works, water and sewer reticulation, funding challenges and insufficient local authorities are perceived on-site sanitation, some provincial coordination across government to be closed or unresponsive to and municipal roads and some spheres. provincial health and education community need, protest action 2.3 Towards a Developmental becomes an avenue of engage- facilities did not receive satisfacto- State: The National Develop- ry maintenance (CIDB, 2007). All ment Plan (NDP) and the Back ment” (SALGA, 2015:7). these concerns actually cut across to Basics (B2B) Strategy “…where there is both incapac- the big four services provided by In 2013, government launched the ity and low delivery on average, most municipalities. With water National Development Plan (NDP), protest has escalated …” (SAL- being the largest of the four (Stats- which offers long-term perspectives GA, 2015:8). SA, 2015a), it is concerning that in terms of the roles that different In 2012, South Africa saw a peak in operation and maintenance thereof sectors of society need to play in service delivery protest (Municipal will become even more challenging reaching developmental goals. IQ, 2013). Chief amongst issues for smaller and rural municipalities. Amongst others, the NDP identifies raised in those protests was water Van Der Mescht and Van Jaarsveld capacity constraints as a critical services delivery (Tapela, 2013). (2012) argue that smaller munic- challenge that hinders a capable According to the Municipal IQ Hot- ipalities across South Africa are and developmental state of the spot Monitor report of 2013, most facing crises and are at the verge public service and local government 102 service delivery protests had been

© 2018 NMMU and DoHS as a result of failures in local gov- er service charters and standards that could be used to build capacity ernment institutions to deliver on that ensure that citizens receive in local government, especially that promises that have been made. On services adequately. In addition, of rural municipalities. Five focus the other hand, some studies show whilst other municipalities have yet areas were identified as investment that municipalities that had strong to achieve this, most municipalities areas for the IPRDP – i.e. water, customer relations management have also developed some Custom- energy, ICT, sanitation and human practices also experienced less er Care Centres and Toll Free Help settlements. The CSIR’s Municipal incidents of or could better manage Lines, which customers can use to Services Corrective Action Request service delivery protests (Nicol, report poor service experiences. and Report System (CARRS) initia- 2006), therefore suggesting a need However, an analysis conducted tive was conceptualized to respond for a local government customer by the South African Local Govern- to the IPRDP thematic areas that relations management or customer ment Association (SALGA) in June cut across the ICT and water and care strategy. 2013 highlighted some predica- sanitation themes. ments in the effectiveness and Section 95 of the Local Govern- The CARRS project is currently functionality of the customer care ment: Municipal Systems Act 32 being piloted in eight district mu- service in most municipalities (SAL- of 2000 makes it a requirement for nicipalities, namely Amathole in the GA, 2013). Some of the challenges municipalities to establish custom- Easter Cape, Capricorn and Vhem- identified in addition to the SALGA er management systems that aim be in Limpopo, Ehlanzeni in Mpu- findings relate to poor responsive- to create positive relationships malanga, iLembe in KwaZulu-Natal ness of call centres and customer with their customers and through and Dr Ruth Segomotsi Mompati, care services, poor timeframes in which customers can give feedback Ngaka Modiri Molema and Bojanala resolving queries, inadequate hu- regarding the quality of services Platinum in the North West. These man resources and lack of technol- received. The Act further high- municipalities were also selected ogy or relevant technical systems lights the need for municipalities to out of a list of the Priority Districts (PricewaterhouseCoopers; SALGA, provide accessible mechanisms for to form part of the IPRDP initiatives 2013). dealing with complaints from their for purposes of demonstrating sci- customers, in addition to imple- Customer relations management ence and technology relevance in menting corrective action. However, should be built around five pillars, improving service delivery. these provisions are only specified which are: people, processes, infor- 3.2 CARRS Framework in Chapter 9 on “Credit Control and mation, infrastructure and technol- CARRS is an ICT service system Debt Collection” in relation to levy- ogy, as argued by Nicol (2006:12), and an Incident Management Sys- ing of rates and other taxes by mu- and not only be seen as an “option” tem (IMS) aimed at documenting nicipalities and the charging of fees for municipalities collecting reve- incidents such as leakages, bro- for municipal services. Statistics nue. In principle, customer care ken pipes, loss in pressure or any show that most rural municipalities should embrace the concept of ser- total lack of water services delivery (e.g. mostly category B4) receive vice delivery by putting people first. within the municipal water servic- about 73% of their total budget from 3.0 THE CSIR’S es portfolio. Through the system, grants and subsidies (StatsSA, MUNICIPAL SERVICES municipalities can respond to the 2015b). This could inadvertently CORRECTIVE ACTION reported issues within reasonable imply that municipalities largely REQUEST AND REPORT time and also provide feedback to serving indigent communities where SYSTEM (CARRS) their consumers or communities. services are not charged or rates 3.1 Introduction to the IPRDP and taxes are not collected may be The Department of Science and The incident management compo- exempted from having to establish Technology (DST) initiated the nent of the system has four distinct customer management systems. Innovation Partnership for Rural functionalities: Development Programme (IPRDP) It is also clear that there is no Firstly, it serves as a communi- as a platform to drive science, tech- distinctive policy governing all local cation tool through a specialized nology and innovation that would government institutions or munic- two-way electronic communication improve service delivery in local ipalities in establishing customer platform between communities government. Under the programme, care systems irrespective of their and municipalities. Communities innovative technologies would be category. Most municipalities have are represented by Task Teams implemented to demonstrate their developed different variations of a that have been established out of suitability in improving service customer care policy, which identi- already existing community struc- delivery while also contributing to fies the need to implement custom- tures. a body of knowledge and policies 103

© 2018 NMMU and DoHS Secondly, the system serves as a the Ombudsman Australia’s guide- local newspaper articles, were used receiver and processing centre for lines. as a platform to introduce and pro- reported incidents. After verifying vide information about the CARRS A good complaints management the validity of issues reported by project to communities. system should feature some communities, Task Teams cap- elements or principles of effective Accessibility — The concept of ture and submit the reports on complaint handling in about three establishing Task Teams within the CARRS system using internet steps, namely: 1) enabling com- communities embraces the idea of enabled desktop computers. The plaints, 2) responding to complaints making the CARRS system more reports are then automatically and 3) accountability and learning. accessible to complainants. The routed to the responsible persons Task Team approach somewhat within the municipality for further 3.4 Enabling complaints eliminates issues, such as literacy, action. In the process, the system Enabling complaints refers to that ordinary consumers may have generates electronic notifications arrangements that a public institu- otherwise faced as the system is (i.e. email and SMS) with unique tion has made for its customers to ICT based. ID numbers for every report. The report issues or complaints. The responsible persons are then ex- arrangements have to be customer 3.5 Responding to complaints pected to assess the nature of the focused, visible, and accessible. Responding to complaints refers to the handling of complaints by a incidents reported, prioritise and Customer Focused — In the initial public institution in an objective and prepare necessary remedial actions stages of the CARRS project, buy- fair manner, and with confidentiality. in response. in from participating municipalities The handling of complaints must Thirdly, the system provides feed- was sourced through rigorous en- have corrective actions and should back to customers (through their gagements with officials at different end with a review of what led to a respective Task Teams) on remedial levels. Such engagements were breach in delivery of a service. actions undertaken and implement- fostered through initial presenta- ed by the municipality. This aspect tions at management committee Responsiveness — As the system fosters transparency at all stages of levels. Municipalities supported this is ICT, reports are captured into incident management. by committing staff ranging from the workflow processes in real time Executive Managers to Technical and unique report ID numbers are Lastly, in addition to the latter, Services Directors, Water Services generated for each report cap- accountability is further fostered by Managers, Customer Services and tured. The report IDs can be used introducing automatic and manual Call Centre Operators. to track the statuses of the reports. escalation procedures. Depending Escalation procedures also give the on their priority levels, issues that Visibility — CARRS was made vis- CARRS system an edge in respon- take too long without being ac- ible through establishment of Task siveness and less latency. tioned in the CARRS system are Teams in communities. Community automatically escalated to senior engagement processes of munic- Objectivity and Fairness — The management. Manual escalation ipalities, which entailed observing system has built-in service stand- procedures are also made available all active leadership and commu- ards, which are effected per cate- to allow escalations of issues that nity structures, were followed in gory of issue reported, also guided require non-technical intervention. the establishment of Task Teams. by the issue’s priority level. Certain While some municipalities utilized issues, such as water quality, are 3.3 Conceptual Design Princi- their Institutional and Social De- only captured as high priority issues ples: A service delivery oriented approach velopment (ISD) functions to foster and thus receive utmost attention The underlying design principles of community engagements, others at all times. In addition, only Task CARRS have largely been guid- engaged their Customer Care Teams can close a reported issue ed by best practice of the British divisions for the same function. In once a closure request has been Parliamentary and Health Service addition, the CARRS project was sent by a municipal official or re- Ombudsman’s Principles of Good also made visible through the Youth sponsible person. Journalism media programme of Complaint Handling (2009) and Confidentiality — Customer infor- the National Research Fund (NRF) the Ombudsman Western Austral- mation is protected, and only active and the South African Agency for ia’s guidelines on The Principles system users assigned to manage Science and Technology Advance- of Effective Complaint Handling reported issues can have access ment (SAASTA). Community media, (2016). These principles have been to some personal details such as which were largely in a form of local discussed in relation to CARRS telephone contact numbers of the functionality, largely according to community radio interviews and 104 complainants.

© 2018 NMMU and DoHS Remedy — The CARRS project 4.0 RESEARCH WSP functions to all its local mu- approach embarked on a basic LIMITATIONS nicipalities. Further engagements assumption that municipalities man- The main limitation that this paper with regard to piloting of CARRS in dated to provide water services (i.e. should highlight is the lack of a Ehlanzeni were made with two local WSPs) should have Operation and review of existing or similar cus- municipalities, namely Nkomazi and Maintenance (O&M) capabilities or tomer care systems that are geared Bushbuckridge. These municipal- should have outsourced. Therefore, towards improving service deliv- ities also have, with the exception these municipalities should have ery. This is due to the fact that the of Capricorn DM and Nkomazi LM, capability to provide necessary re- CARRS initiative was a response some sort of a paper-based cus- medial actions on reported issues. to a specific thematic call made tomer care call centre. Capricorn by the Department of Science and DM does not have a customer call Review — The CARRS Incident Technology (DST), which required centre and is currently in a process Management Framework (IMF) a response to a specific challenge; of implementing a new call centre makes it a standards procedure to Innovation Partnership for Rural system. Nkomazi LM has a mo- conduct “Root Cause” analyses on Development Programme (IPRDP). bile-based call centre system that all issues reported. This procedure Within the ambit of the IPRDP, acts as a notification system only. is yet another way of ensuring that there was less room for “research”, when corrective measures are To support the arguments made in as those responding to the call implemented they address the real this paper, data was sourced from were expected to present technol- cause of the reported issues and the CARRS database and was an- ogies that had a higher readiness not only the effects. alysed by drawing frequencies and level or almost ready to go to the categories of issues reported. A fur- 3.6 Accountability and learning market. Thus, the innovation value ther analysis on the responsiveness Accountability and learning refers to chain paid particular focus on of municipalities to the reported establishing clear lines of reporting demonstration. issues was also done. The ana- for complaint handling and making lysed dataset ranges from reports available names of staff responsible 5.0 PRELIMINARY FINDINGS made from October 2015 to the end for handling complaints. Learning 5.1 CARRS Technology Adoption of September 2016. Other sources, entails creating enabling environ- and Usage such as planning documents, were ments for future improvements of It is encouraging to note that the also used to triangulate and draw complaint handling processes. CARRS system is progressively some conclusions. Accountability — The CARRS being adopted by the targeted 5.2 Amathole DM incident management framework municipality and that usage by Amathole DM is the first municipali- (IMF) identifies specific staff mem- both municipal officials and com- ty where implementation of the pilot bers that are actively responsible munity-based Task Teams is also was done. This is a municipality for handling reported issues at all increasing. Findings thus far indi- that contends with serious issues of stages of the workflow. When the cate that municipalities are slowly water service backlogs, with 80% reported issues progress from one starting to get used to the new ways of the backlogs largely being in stage to another, such informa- of managing incidents in a smarter Mbhashe and Mnquma local munic- tion is made available to all active way through the CARRS system ipalities. system users. In instances where and initiative. responsible persons do not take ac- Three municipalities have been Figure 1 shows the types of inci- tion on reported issues, the system used as case studies for the eval- dents currently being reported while automatically escalates such issues uation of adoption and use of the Figure 2 shows the average status- to senior management for internal CARRS system. These are Am- es of these incidents. intervention. athole District Municipality (ADM) As depicted in Figure 1, 40% of Learning — It can be expected that in the Eastern Cape, Capricorn incidents reported are related to as a result of the escalation proce- District Municipality (ADM) in Lim- water leaks, followed by reports on dures, municipal officials will even- popo and Ehlanzeni District Munici- complete network failure at 36%. tually learn how to improve their pality (EDM) in Mpumalanga. These Other incidents such as water efficiency in the manner in which municipalities, with the exception of supply disruption, intermittent water they manage reported issues. Ehlanzeni DM, are also both Water supply and low water pressure Services Authorities (WSAs) and have also been reported. It can be Providers (WSPs). Ehlanzeni DM seen that when fully implemented, has decentralized the WSA and the CARRS system will support 105

© 2018 NMMU and DoHS strategic programmes such as tem, only 33% have been closed. It 5.3 Capricorn DM the national Department of Water should also be noted that the status A rapid analysis of incident man- and Sanitation (DWS)’s War on of closed incidents do not neces- agement in Capricorn DM indicates Leaks (WoL) programme while at sarily translate to incidents being that there is still a gap in how the same time improving on how resolved, but may effectively mean municipal officials use the CARRS municipalities deliver services in a that there has been a reasonable system to manage incidents on sustainable manner. agreement reached between the the ground. All incidents that have municipality and the communities been reported by Task Teams have Figure 2 below summarily high- in terms of a solution or alterna- not yet been closed on the CARRS lights the gap that still exists within tives. However, the closed incidents system. An observation in the work- Amathole in terms of its capacity status also somewhat reflects flow of the reported incidents also to manage reported issues and some satisfaction with regard to a indicates that the incidents were not incidents. This gap could also be proposed solution to address the assigned and allocated responsible attributed to the need for continu- reported incidents. persons to work on. On the other ous training, further engagements hand, a follow up with Task Teams and technical support to ensure that As depicted in Figure 2, there is a regarding the reported incidents officials adopt the CARRS tech- need for continuous engagements indicates that the municipality had nology fully. Figure 2 shows that of with the municipality and the need addressed some of the incidents on the total incidents that have been to provide more support in address- the ground. This indicates that there reported by communities since the ing reported incidents. implementation of the CARRS sys-

Figure 1: Amathole’s CARRS reported incidents by category

Figure 2: Amathole’s CARRS incident management status 106

© 2018 NMMU and DoHS is some level of use of the CARRS 5.4 Ehlanzeni DM at just above 8%. It is interesting system, however, not in an effective Ehlanzeni DM is neither a WSA nor to note that the two highest inci- manner. This could also reflect the a WSP. Both functions are carried dents reported were on Low Water need for further training reinforce- out by all its local municipalities. At Pressure and Water Leaks. These ments. the initial engagements with Ehlan- two categories have a very intricate zeni DM, both Nkomazi and Bush- relationship. A change in pressure Figure 3 shows the reported inci- buckridge were chosen as priority within a water distribution system dents by category. About 36% of sites for the piloting of CARRS. often has a direct effect on the the reported incidents are related Analysis presented hereunder was leakage behaviour of that system. to water supply disruptions. Other done on the Nkomazi municipality. It could be possible that the Nkom- challenges such as Illegal water azi LM have a pressure regulation connections, low water pressure, As depicted by Figure 4, five dif- process as a way to manage leaks water leaks, intermittent water sup- ferent categories of incidents have within their distribution network. ply and network failure have also been reported since the inception been reported through the CARRS of the project in Nkomazi LM. Of all reported incidents in Nkom- system. Whilst Amathole DM had Almost 42% of reported incidents azi LM since the inception of the water leaks and network failures as are related to Low Water Pressure, CARRS project, none had a closed the highest reported incidents, Cap- followed by Water Leaks at 25%, status. ricorn DM has water supply disrup- Water Supply Disruptions at just tions as their biggest concerns. under 17%, Intermittent Water Supply and Illegal Connections both

Figure 3: Capricorn’s CARRS reported incidents by category

Figure 4: Nkomazi CARRS reported incidents by category 107

© 2018 NMMU and DoHS 5.5 Challenges and Lessons an even bigger challenge for munic- tomer Care Strategy specific Learnt ipalities migrating from paper-based to local government and public Through the implementation of the to ICT systems. service institutions. Revise the pilot project, the following chal- Local Government Municipal Commitment to serve and the “Over lenges were experienced. These Systems Act 32 of 2000 to Committed-ness Syndrome”— challenges have contributed to a include a dedicated chapter on Whilst some municipal officials body of knowledge with some policy Local Government Customer demonstrated commitment to serve implications discussed in the next Care. Currently, the Act, un- and were dedicated to CARRS, subsection of this paper. der Chapter 9, only makes it a there were also officials that were requirement for municipalities to No standards for infrastructure committed to many other activities establish customer management monitoring and fault reporting such as serving on too many com- systems only as mechanisms systems—Although not all munici- mittees and structures. This pre- for supporting credit control and palities had systems for monitoring sented a challenge, as most of such debt collection measures. The faults on their infrastructure, some officials had critical roles to play on Customer Care Strategy needs municipalities, such as Amathole the CARRS system and their roles to be binding even for small rural DM and Rustenburg LM, had were subsequently compromised as municipalities that are largely purchased extensive ICT service a result of their unavailability. systems that they used for reporting dependent on equitable share Lack of critical information—Dur- and managing workflows for repair and other government grants. ing planning and at the inception work. A key finding is that there ▪▪ In addition to the above, there phase there were critical docu- are no standards that govern how is a need to develop and implements that could not be retrieved such systems should be designed, ment an Accountability System from some municipalities such as therefore leaving the market mo- that is customizable to different as-built drawings of water distribu- nopolized by vendors and service levels of municipal structures tion networks. Municipalities did not providers. CARRS offers an oppor- and systems, ranging from have proper archiving systems and, tunity for introducing standardiza- municipal managers to senior in worst cases, had lost important tion on monitoring systems. managers, directors and general documents over time. Some docu- staff, programmes run from with- Resistance to change—Some ments were retrieved from service in the institutions and projects municipalities that were character- providers that were appointed to do implemented in communities, ized by high political turmoil also some work for municipalities, there- and the Performance Manage- demonstrated resistant to accept fore demonstrating poor control ment Systems used municipali- CARRS as monitoring and reporting over ownership of data and infor- ties. The Accountability System tool. The assumption that this paper mation generated out of publicly should be aimed at eliminating makes is that although ethical funded programmes. issues around data management the tendency of “getting away High staff turnover—This has been were outlined at the inception of with it as it is not punishable”, experienced largely in smaller and the project, CARRS still presented which has led to a plight in the rural municipalities where there are some form of a threat, such as lack quality of delivery of services in strong elements of frequent ‘acting’ of full control over the management most municipalities. in senior positions. This factor often of system generated data and over ▪▪ Develop a skills focused In- results in loss of “institutional mem- who else may have access to it. ter-Local Government Relations ory” and subsequent poor service Strategy. The manner in which Literacy and productivity issues— delivery as a result of appointment local government institutions Municipalities that absorbed staff of inexperienced staff in key posi- currently utilize the Inter-Govern- from the former Department of tions. Water Affairs and Forestry (DWAF) mental Relations (IGR) strategy, 5.6 Policy Recommendations through the DWAF Turn-Around especially rural municipalities, is In light of the preliminary findings Strategy had issues relating to largely through cooperation on and lessons learnt though inter- qualifications and literacy of the so cross-border infrastructure and actions with municipalities from called “DWAF Staff”. Most of these service delivery programmes. implementing the pilot project, the staffs, especially those who were There are less practices of ca- following policy recommendations nearing retirement, were some- pacity building and skills transfer are made: what computer literate. This, for initiatives between and amongst the CARRS project, presented a ▪▪ There is a need to develop an local government institutions. challenge. However, this presented The benefit of the latter would 108 enforceable policy and a Cus-

© 2018 NMMU and DoHS be in terms of relevance, experi- encourage local government institu- Bulletin, Vol. 8 No. 4, September 2006. ences and successes shared, as tions to adopt more apt approaches Ombudsman Western Australia (2016). opposed to power over authority. that are centred around account- Principles of Effective Complaint Han- ability and service delivery. An dling. Guidelines: March 2016, Perth, ▪▪ Improve the local government important conclusion that is drawn Australia. employee incentive scheme and is that service delivery should not staff retention mechanisms with South African Local Government As- only be seen as rolling out of new sociation (SALGA) (2013). The Need sustainable incentive systems. infrastructure, but should also be to Improve on Fiscal Capacity Against The public service and local Fiscal Effort: Revenue Management Ef- accompanied by related services government are sectors in their fort. Local Government Brief: 06/2013, such as monitoring, operation and own right and are challenging SALGA, Pretoria, South Africa. maintenance and customer care environments that should not Parliamentary and Health Service programmes. be taken lightly. Working in Ombudsman (2009). Principles of Good these sectors should therefore References Complaints Handling. Millbank, London. be rewarded by establishing a Construction industry development PricewaterhouseCoopers (PwC). Ser- “local government service” point board (cidb) (2007). National infra- vice Delivery & Customer Care [Online] structure maintenance strategy (nims): system that can be paralleled to Available at: http://www.pwc.co.za/en/ in support of asgisa and government other point systems such as the industries/public-sector/service-deliv- growth objectives. Cidb, Pretoria, South ery-and-customer-care.html [Accessed Continued Development Points Africa. 26 July 2016] (CDP) system that is commonly Department of Cooperative Govern- used in sectors such as Engi- South African Local Government As- ance and Traditional Affairs (CoGTA). sociation (SALGA) (2015). Community neering. Municipal infrastructure Support Agent Protest: Local Government Perceptions. (MISA) [Online] Available at: http://www. ▪▪ Establish an electronic and a SALGA, Pretoria, South Africa. cogta.gov.za/?services=led [Accessed centrally managed local govern- 29 June 2016]. Statistics South Africa (StatsSA) ment sector-based information (2015a). Non-financial Census of Mu- Department of Cooperative Governance and knowledge management nicipalities for the Year Ended 30 June and Traditional Affairts (CoGTA) (2016). system. The aim is to curb chal- 2014. StatsSA Library, Pretoria, South Back To Basics: Service Our Commu- Africa. lenges in the poor management nities Better! The Presidential Local and loss of local government Government Summit, CoGTA, Pretoria, Statistics South Africa (StatsSA) documents and information, South Africa. (2015b). Rural Municipalities Continue to Depend on Government for Revenue which is often as a result of Department of Provincial and Local [Online] Available at: http://www.statssa. premature staff resignations. In Government (DPLG) (2006). Guidelines gov.za/?p=5232 [Accessed 25 July addition, document manage- for Infrastructure Asset Management 2016] ment ISO standards should be in Local Government: 2006 – 2009. DPLG, Pretoria, South Africa. Tapela, B. (2013). Social Protests and implemented and made enforce- Water Services Delivery in South Africa. able for all municipalities. Department of Rural Development and Institute for Povery, Land and Agrari- Land Reform (DRDLR) (2013). Priority an Studies (PLAAS), University of the 6.0 CONCLUSIONS Districts Analyses: High Impact (Cata- Western Cape, Bellville, South Africa. Despite considerable progress lytic) Infrastructure Intervention Areas The Presidency (2013). National Devel- made since 1994, it is clear that for Economic Transformation. StepSA Report, DRDLR, Pretoria, South Africa. opment Plan 2030: Our Future—Make more still needs to be done es- it Work. National Planning Commission, pecially in the local government Department of Rural Development and Republic of South Africa. Land Reform (DRDLR) (2015). Frame- sphere. This paper outlines ongoing work for the Rural Economic Transfor- The Presidency (2000). Local Govern- work, successes achieved and pol- mation Model: One District, One Agri- ment: Municipal Systems Act, Act No. icy recommendations as informed Park/ Every Municipality a CRDP Site. 32 of 2000. Cape Town, South Africa. by piloting of the CSIR’s CARRS Land Indaba: 20 March 2015, DRDLR, Van Der Mescht, J. & Van Jaarsveld, project. The CARRS intervention of- Pretoria, South Africa. M. (2012). Addressing Operation and fers a ‘back to basics’ approach that Municipal IQ (2013). Municipal Maintenance Challenges in Smaller supports service delivery strides IQ’s Municipal Hotspots Results. Municipalities. Institute of Municipal made by national and local govern- [Online] Available at: http://www. Engineering of South Africa (IMESA). ments. While CARRS is gradually municipaliq.co.za/publications/ press/201301170823583255.doc [Ac- being adopted by municipalities cessed 22 July 2016] in the pilot sites, there is need to change the current traditional cul- Nicol, M (2006). “When everything is political — a customer care model for ture and understanding of customer local government”. Local Government care within local government and 109

© 2018 NMMU and DoHS SUB-THEME 6: SERVICE DELIVERY IMPROVEMENTS AND FINANCING MODELS The plight of women against housing challenges in the Mdantsane township, Eastern Cape province of South Arica1 Henry Ssekibuule | O.R. Tambo district Municipality

Abstract This paper touches on day-to-day social and economic issues affecting women, bearing in mind the historical difficulties women in South Africa experienced during the apartheid years to participate in the main stream of the economy because women were not permitted to own their own houses. The paper provides an empirical narrative account of the plight of women in housing. The paper argues that housing in South Africa is still one of the greatest challenges in the post-1994 dispensation due to a complicated and disintegrated bureaucratic system that was inherited from the apartheid government. Issues of homelessness, unemployment, poverty and inequality are crucial in understanding why women’s rights were violated and account for the reason for the transformative shift to restorative justice in the post-apartheid democracy. After 22 years of democracy, human rights violations and problems of homelessness still present significant challenges despite progressive improvement in human settlement. A qualitative study was employed based on historical facts, but also on triangulated empirical evidence informed by observations and key informant interviews to draw compelling conclusions and propositions.

Key words: public participation, poverty, inequality, human settlement, self-help, empowerment, housing project, informal settlement, funding

1.0 INTRODUCTION AND largest township in South Africa and their livelihood should be of BACKGROUND after Soweto, was born out of apart- good quality no matter where they ousing problems in South heid, which pushed black people are in rural areas, townships, towns Africa date back from the into the periphery; women in par- and cities. ticular were affected negatively. The colonial era to apartheid It is the basis of this paper to em- H legacy of apartheid is now, today, and straddles post-apartheid South phasise the plight of women in the causing unstable movement from Africa. The main argument in this ensuing discussion underpinned rural to urban areas from which paper is an interpretation of how by social theories and empirical Mdantsane has mushroomed, leav- previous state structures, with evidence. Unfortunately, even today ing the delivery of housing under associated spatial practices, have after 20 years of democracy, wom- serious stress to accommodate the influenced housing delivery in en are still struggling; they have increased demand for housing. In post-apartheid South Africa, which rights, but their rights have not yet doing away with the legacy of the led to the inclusion into the con- translated into meaningful, quality painful past, women should play stitution of a right to have access living experiences. to adequate housing. Despite this a role and be involved in every constitutional imperative, housing decision in the mainstream of the 2.0 SOCIAL THEORIES remains a challenge in South Africa. economy. Housing projects should Social theory informs our under- be built according to a standard standing of issues that, in turn, The Eastern Cape has the third that does not compromise human assist in making decisions and largest provincial population in dignity and respect for black people sense of the world around us. In the country. What is today the who equally deserve a decent life, other words, there is a constant Mdantsane Township, the second

1 This article was informed by the research published by the author in his 2015 self-published book entitled ‘Women 110 Participation in Housing Re-examined, Wandsbeck, South Africa: Reach Publishers

© 2018 NMMU and DoHS relationship that exists between tion theory relied on a reductionist major barrier to solving the prob- housing and social theory. Almond approach, inadequate for the study lem. The neoclassical vision is that (1998:872) states that it is fairly of a complex phenomenon such as in setting out to solve the housing clear that there can be no return to development or underdevelopment shortage by freeing up the housing the state of any simplistic political (Valenzuela & Valenzuela, 1993). market, the production of housing reductionism that denies women Neoclassical critiques of moderni- will become a major stimulator of participation in housing delivery sation gave rise to two development economic growth in the country and programmes or neglects wider strategies: the basic need approach thus solve many other economic social forces and their operations and redistribution with growth in problems at the same time. through the state to determine or the 1970s and 1980s respectively This neoclassical view was how- influence rural housing. The state (Burgess, 1992). The underlying as- ever objected to by the neo-Marx- reacts to the preference of electors, sumption was that growth could be ists in their attempt to explain the but such inactive views of state achieved by addressing the triple housing crisis in South Africa. The intervention are unsatisfactory. It problems of poverty, unemployment neo-Marxists have a refreshing- should no longer be good enough and inequality (PUI). The right-wing ly radical view of the past and a for any study of housing to be supply-side economics that under- rather visionary view of the future. undertaken without first explicating pinned these strategies was critical Their solutions are revolutionary a position on the extent to which of the Keynesian basis of modern- and much wider in their implica- the state is seen as an autonomous isation, which argued that devel- tions for a changed society. This actor in housing delivery. opment problems were a result of possibly makes these solutions insufficient aggregate demand. The Modernisation scholars held the less useful as long as the present redistribution with growth strategy view that social change was evolu- economic system remains in place. posed that the objectives of growth tionary; it would take generations Where their solutions are relevant and equity were not in conflict. to complete and its impact would to present changes that are being Growth could be achieved by focus- be felt only through time (Chinchil- implemented, it is in the emphasis ing on the growth of income of the la, 1983). These modernisation of redressing past injustices. Their targeted poverty groups such as scholars drew their assumptions analytical framework could also be women. Income could be improved from the functionalist theory, which of great value in avoiding the inher- through transfers and subsidies emphasised the interdependence ent inequalities of past systems and and improved access to goods and of social institutions, the importance policies. There is no doubt that the services such as water, electricity, of pattern variables at the cultur- women participation in the housing roads, housing, health and educa- al level, and the built-in process delivery problem in South Africa tion. The basic goal of redistribution of change through homeostatic is complex in origin and difficult to was an improvement in the abso- equilibrium. Parsons (1966) was solve. It is for this reason that Da- lute income of the poor rather than one such theorist. Among other vids et al. (2005:9) emphasise the the redistribution of existing assets, things, modernisation meant the need to consider public participation output and employment of the poor transformation of communal land approaches that promote women and labour-intensive measures ownership to a system of private participation in development. aimed at increasing productivity. ownership. In housing, modernisa- This resulted in the adoption of self- tion meant the adoption of industri- 3.0 EMPIRICAL ANALYSIS help housing in the 1970s. alised housing based on Western Early on the morning of 24 culture and technical standards. To this end, the liberal neoclassical March 2012, I set off from the The dominant form of shelter was view says that the housing problem university in search of the urban conventional housing and this led is a result of natural causes such housing projects. As I drove to the bulldozing of slums and as population growth, but it is not around the urban areas, I won- rehousing of the occupants in public these pressures alone that are to dered how the use of traditional housing (Burgess, 1982; Hardoy & blame. It is the interventionist and rondawel architect was thought Satterthwaite, 1989). discriminatory policies, as well through. These urban areas as the more recent patent lack of of the defunct Ciskei are com- Later critiques of modernisation policy or action on the part of the prised mainly of scattered and arose from scholars of opposing government, which have exacer- occasional closer settlements. ideological leanings (Alvin, 1991; bated the problem to the extent that In this area, most houses were Valenzuela & Valenzuela, 1993). it has become a crisis. The legacy linked to gardens of varying Samuel Valenzuela and Arturo of apartheid in the very form of the size. As I drove further on the Valenzuela state that modernisa- city itself is a sustaining factor and poorly maintained dirt roads, 111

© 2018 NMMU and DoHS I wondered how the Eastern against disabled people in attaining nicipality; thus, everything is falling Cape Department of Housing RDP houses. At least 70% of the apart without help and response officials would engage villages interviewees raised concerns over from the authorities. in alternative models for urban the exclusion of women. Women The study has also revealed that housing design. I also wondered are not recognised as home own- women were not satisfied with the how housing development would ers. Hence, it can be very difficult pace, the quantity or the quality of be connected to farming and for most of the women to acquire houses built for them. Houses were urban livelihood pursuits and government free housing facilities in too small to accommodate their problematic issues of insecure Mdantsane Township. As stipulated traditional functions such as wed- tenure would be introduced and by the local government, the eligibil- dings, circumcision, heritage days discussed. I also reflected on ity criterion is based upon a person and other special occasions. It has questions of governance and being a South African citizen. How- shown that 96% of the key inform- authority and the fraught rela- ever, 75% of the key informants as- ants were Xhosa women, most of tionships between traditional serted that foreigners are currently whom were pensioners, who are leaders who controlled land occupying RDP houses in the local forced to stay with their grandchil- allocation whilst local govern- areas. This shows irregularities in dren since most of the parents have ment officials controlled housing the provision of housing, hence tar- either died as result of the scourge project funding. geted areas and vulnerable groups of HIV/AIDS or travelled to Cape such as women, elderly persons Nearly half of the key informants Town, Johannesburg or Durban to and the disabled are not sufficiently are still waiting for the government look for greener pastures — jobs catered for. to provide them with houses. An — or umsebenzi, as it is called in interview with a household in Hipell- According to the study, 95% of the Xhosa. crest Extension (2008) lamented key informants in the Mdantsane Young women do not wish to that: Township, most of who were wom- remain in the family home, or find en, find it harder to gain access to “This community has lost hope, that they are unable to stay there housing, which was allocated by an our complaints have not been because of personal circumstances. ability to pay rather than by housing received and they serve nothing. They have a very limited range of need. Changes to housing policies There is no response by any- housing options available accord- since 1962 made it increasingly one. The role of the municipality ing to the current housing policy difficult to gain access to public sec- should make sure that delivery in South Africa. Homeless young tor housing and there was greater of houses is speeded up – this women have no right to accommo- emphasis on finding housing in the project developed very slowly.” dation under homeless legislation. private sector, especially through Many beneficiaries agreed that This shows that the problem of owner occupation. Such a trend they were facing serious challenges housing is still enormous and most causes increasing disadvantage to pertaining to the low-cost houses people need housing to deal with women. allocated to them. They also re- problems of inadequate shelter, Ninety-five percent of the key ported that, since they had applied homelessness and poverty in low informants from the Mdantsane for housing in 1998 and 1999, they income areas in the Buffalo City Township disagreed that availa- had not received any report on Metropolitan Municipality. Some key ble funds were adequately spent the progress of their applications informants who are renting houses for housing development, since until 2003 when the Provincial do not have sufficient income to their houses are on the verge of Department of Local Government sustain their living. There are also collapse. Constant review of the and Housing started to revive the no measures in place to help the delivery of houses and housing ser- housing project. Most of the ben- poor realise their rights to acquire vices is of paramount importance in eficiaries indicated that they used decent housing. Key informants our contemporary and fast-growing to go to the department to enquire state that houses are given to unin- society. Key informants would like about their status of housing provi- tended beneficiaries, whereas the to see improvements made to their sion. They indicated that, due to the deserving beneficiaries are left out. houses that were built some fifty lack of information in terms of the Some people have multiple owner- years ago. According to the study, project, some of the people were ship of housing, whilst others do not 95% of key informants from the unable to resort to other means of have access to any. Mdantsane township were of the accommodation, such as renting, About 40% of the key informants view that housing services were not to accommodate their families. The cited inequality and discrimination continuously monitored by the mu- other challenge was that most of 112

© 2018 NMMU and DoHS them were not working, and it was eminent in the area. Community sion-making in keeping the commu- difficult for them to get money for participation, if employed, will pre- nity informed. transport to the department to make sumably ensure that the deserving Most key informants said that the inquiries about their applications. people get the houses due to them process of women participation without nepotism hampering the The statistics presented in Table 1 in local government is complex process. show that there was a huge de- and must be addressed at several mand for housing in these urban There are several factors that levels. Access to quality housing areas. One sees from the statis- prevent communities from par- should not be understood as a priv- tics that the housing waiting list ticipating in housing provision. ilege to be enjoyed by a few. Wom- has been growing over the years. These include lack of information en participation should be used as In 2002, for example, there were and lack of understanding of the a means of empowering commu- 1 946 people on the waiting list and roles and responsibilities of various nities. This implies that community the corresponding figure for stands stakeholders in local governance. involvement should be understood allocated was 834. As the waiting The community representatives as to benefit communities not only list increased, the number of stands interviewed felt that the top-down through the development itself, but allocated decreased, which meant bureaucratised and centralised also by establishing a relationship that the figure for stands or houses strategies of addressing issues of with the community that will ensure stayed very low. The key inform- housing has led to poor planning sustainable growth. For example, if ants expressed concern that some and implementation. Moreover, the communities are part of the whole applicants either become inactive apparent inaccessibility and lack process and are seen as important or completely drop from the housing of visibility on the part of officials in stakeholders, they are more likely list because they would not know the community has meant that the to own the housing delivery project about their chances of owning a needs of the vast majority of people (Pieterse, 2001). Pieterse further house. As such, this brought about were largely unresolved. The contends that public participation substandard illegal structures built community members interviewed in gives people a better understanding in the hope of waiting for housing this study emphasised great con- of their own interest and the inter- delivery. cern about the absence of regular est of others and, in some cases, feedback from meetings with rep- brings them to see what would be Many key informants pointed at the resentatives of community groups, best for the entire group. inefficiency of the local municipality demonstrating unwillingness on the in providing housing to the urban One argues that it is not sufficient part of the government officials to populace as the main reason for to support women’s empowerment share their decisions made. Some inadequate housing delivery in the in policy while sabotaging their meetings and workshops do not area. One respondent states that: participation at the implementation accommodate all the people, for level. One way to reconcile policy “I am not happy with them: they they are convened during working and practice is to recognise the role call us for meetings, promise hours instead of being held after of women in the production and this and that, even things they hours and in venues closer to the distribution of material in their own know they cannot deliver.” communities. Generally, community communities. Government bod- organisations and councillors have While beneficiaries appreciate that ies could move a step further and not developed strong relationships the government built houses for give contracts to women to supply based on clearly defined terms them, they were still not satisfied, building material in the construction as a number of problems are still and roles and participatory deci-

Year Total number of those on the waiting list Number of stands allocated

2002 1946 834 2003 3017 1079 2004 4740 2065 2005 5313 2860 2006 6430 3795 2007 6956 3800

Table 1: Low income housing list | Source: Buffalo City Metro Municipality: Department of Housing, 2008 113

© 2018 NMMU and DoHS of government-funded utilities such and across the spheres of govern- er, the stakeholders themselves are as schools, halls, clinics and other ment is effective. providing little to enhance housing similar projects. Bypassing women, projects. Key informants argued that du- who are the local material suppliers plication of housing institutions Considering that Buffalo City Metro in the community, denies the oppor- and funding mechanisms caused Municipality has more than 21 tunity for local economic develop- tremendous constraints in delivery. housing projects with an estimat- ment. However, supporting women They said that: ed 4 000 approved beneficiaries, would benefit the whole community, it will be very difficult for the mu- for it would result in more employ- “Fragmentation of the housing nicipality to reach these targets. ment and more money to spend, function racially between the The annually allocated budget for and therefore result in sustainable previous own affairs adminis- the municipality is not sufficient to local economic growth. tration and the department of spearhead housing projects in its housing has resulted in a large The other factors that contributed surroundings. Delivery mechanisms amount of overlap, duplica- to the decline in housing provision are bureaucratic and slow, hence tion and confusion within and in the Mdantsane Township can the available housing budgets are between housing institutions, be attributed to the unequal land persistently underspent. Currently, which results in significant ineffi- ownership, discriminatory land the major sources of income for ciencies and wastage.” use regulations and insecure land the Buffalo City Metro Municipality tenure systems, which marginal- Tomlinson (1999:76) states that are the land rents from people who ised the majority of the urban and project-linked housing has relied occupy council houses. Most key urban poor populations. This view is on assumptions that those commu- informants cited lack of funding as supported by Maqhasha (2003:43), nities could be active participants the major challenge faced by the who writes that since people do not in the projects and equal partners local municipality to effectively de- have access to land, this fact inhib- with the developers through social liver social services such as hous- its their access to housing, whereas compacts and banks would grant ing to the people. Even the money housing is a right. The process of low-income households credit to or funds acquired from banks that acquiring land and letting people finance construction of a structure have sponsored some housing build houses is significant because once they had obtained their ser- projects and other stakeholders it provides the poor with access to viced lots. Unfortunately, this has are not enough to help deliver security of tenure and encourag- not been the case. cost-effective services that meet es them to progressively build or 4.0 FUNDING MODEL FOR minimum standards. Buffalo City extend quality standard houses and HOUSING PROJECTS Metro Municipality’s lack of funding increasingly improve their infra- The local municipality gets the has affected service delivery to its structure. majority of its revenue from the surrounding areas and that makes it unable to meet the housing demand The legacy of racially unequal public. Due to funding constraints, of its people. land control that confronted the it is difficult to provide services to former settler colonies was, at the communities to their satisfac- Key informants argued that du- independence, maintained through tion. This view is also echoed by plication of housing institutions constitutions that guaranteed the Park (1998:6), who states that lack and funding mechanisms caused protection of private property and of financial support for the hous- tremendous constraints in delivery. sanctified yet aborted ‘willing buyer, ing sector has made attempts to They said that: willing seller’ approaches to the increase housing supply ineffective. “Fragmentation of the housing redistribution of freehold land. More According to a local government of- function racially between the harm to the housing service deliv- ficial, about 35% of the Mdantsane previous own affairs adminis- ery was the neo-liberal tendency Township’s revenue comes from tration and the department of of the South African government to other sources or donors, as the pri- housing has resulted in a large enhance a market-based economy, vate sector is also involved in fund- amount of overlap, duplica- or rather, a gradualist approach ing housing projects in low income tion and confusion within and to land reform. One argues there- areas. The budget allocation from between housing institutions, fore that there must be equitable the state singlehandedly cannot which results in significant ineffi- distribution of land, and the state meet the housing expectations in ciencies and wastage.” must acquire more land for housing the area. The system is driven by projects and ensure that interplay of narrow budget allocations, not actu- With the initiation of the RDP in intergovernmental relations within al human settlement need. Howev- 1995, the government increased 114

© 2018 NMMU and DoHS its allocation to the municipalities Financial rigor might be beneficial in tion of women in decision-mak- between 1995 and 2002. However, order to strengthen community pro- ing processes of the state in all from the period 2004 to date the cesses in housing delivery. Com- spheres of government. Already, government has suspended these munity participation becomes a key in post-apartheid society, women allocations and consequently has to socio-economic development, involvement in decision-making is not been providing sufficient funds particularly when the government crucial, but that needs to be accel- to the municipality to build houses has limited administrative and finan- erated so that their representation for the people. This impedes the cial capacity to service all sectors of is significantly acceptable. This is provision of housing to the intended the population. possible if women are recognised, beneficiaries. The role of the munic- equipped with technical and func- 5.0 CONCLUSIONS AND ipality as the implementing agency PROPOSITIONS tional skills and empowered to take has been affected by lack of fund- ownership of the housing projects It is evident from the analysis of the ing. About 90% of the key inform- through a bottom-up approach. I ar- theoretical and empirical evidence ants indicated that some projects gue that women should be incorpo- that the Eastern Cape Provincial have been blocked and others have rated in the decision-making system Government needs to speed up gone several years without comple- throughout all stages of the policy the process of adequate human tion due to lack of funds, examples cycle (policy making, implementa- settlement. Some of these chal- being the Ntselamanzi and Alice tion, monitoring and evaluation) to lenges could have been averted Golf course housing projects run by have tangible and intangible mean- if the beneficiaries meaningfully the Buffalo City Metro Municipality. ingful outcomes. This is achievable participated in the initial human These projects have been severely if the proper funding model is also settlement planning process. Over- affected due to financial difficulties. brought to the equation. all, one infers that women’s roles However, all efforts to overcome in housing development cannot References this stumbling block are being be fully understood by examining Almond, GA. 1998.The Return to the undermined by key factors that are their roles at the implementation State, American Political Science Re- entirely avoidable such as corrup- view, 82(3):853 – 874. DOI: https://doi. level only. An analysis of their roles tion and financial mismanagement. org/10.2307/1962495. in decision-making, implementa- Key informants further argued that tion, post-implementation such as Burgess, R.G.1982. Field Research: A Sourcebook and Field Manual. London: lack of end user finance is one of monitoring and evaluation, and the George Allen and Unwin. the contributing factors in hous- various aspects related to housing ing delivery. The unavailability of is absolutely necessary in order Chinchilla, N.S. 1983. Interpreting Social Change in Guatemala: Moderni- end user finance, especially for to fully understand their plight. sation, Dependency and Articulation of low income households, impedes Therefore, the discrepancy between Modes of Production. In: Chilcote, RH & the ability of many households to policy and practice is critical and Johnson, DL. Theories of Development, access adequate housing even needs urgent resolve to involve London: Sage Publications. 139 – 78. though they might be able to afford women in all stages of the policy Davids, I., Theron, F. & Maphunye, K.J. it. They agreed that housing deliv- cycle. At the helm of policy level, 2005. Participatory Development in ery is essential to improve the lives issues of integrated development South Africa: A Development Manage- of ordinary citizens. The unavaila- planning needed to be considered ment Perspective. Pretoria: Van Schaik Publishers. bility of end user finance, the need in human settlements, and the roles for bridging finance for developers of the housing department and oth- Hardoy, J.E. & Satterthwaite, D.1989. and a lack of institutional sources er government agencies providing Squatter Citizen: Life in the Urban Third World. London: Earthscan. or funding for bulk infrastructure housing should be further clarified. provision, all presented enormous Maqhasha, L.B. 2003. Current Trends, It cannot be emphasised enough challenges, which were sure to Facts and Perspectives on Policy that women are very active and im- Transformation. University of Western persist circumstantially. portant players in society and their Cape, South Africa. Financing urban housing remains exclusion from decision-making, be Park, B.G. 1998. Where do Tigers sleep the greatest challenge in the it housing, especially human settle- at night? The State’s Role in Housing post-apartheid era. Self-help con- ment or the mainstream economy, Policy in South Korea and Singapore. structions can help to strengthen will do more harm than good. The Economic Geography, 74(3):272 – 288. community-based organisations, legacy of apartheid and the stub- Parsons, T. 1996.Societies: Evolution- and this helps the poorest to be born stereotypes created should aries and Comparative Perspectives. involved in grassroots organisations be avoided and done away with to Englewood Cliffs, New Jersey: Prentice and community decision-making. maximally increase the representa- Hall. 115

© 2018 NMMU and DoHS Pieterse, J.N. 2001. Development The- ory: Deconstructions/Reconstructions. London: Sage Publications. Tomlinson, M.1999. South Africa’s Housing Policy: Lessons from Four Years of the New Housing Subsidy Scheme, Third World Planning Review, Vol. 21(3). Valenzuela, J.S. & Valenzuela, A. 1993. Modernisation and Dependency, Alternative Perspectives in the Study of Latin American Underdevelopment, In: Seligson, M.A. & Passé-Smith, J.T. (ed.) Development and Underdevelop- ment: The Political Economy of Inequal- ity. Boulder & London: Lynne Rienner Publishers.

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© 2018 NMMU and DoHS SUB-THEME 6: SERVICE DELIVERY IMPROVEMENTS AND FINANCING MODELS Policy constrained by capacity: Outcomes of a pilot project for implementation of the rural housing programme of the Chris Hani District, in the Eastern Cape Jonathan Denison | Umhlaba Consulting Group Pty (Ltd) Larry Field | Umhlaba Consulting Group Pty (Ltd) Chenai Murata | Umhlaba Consulting Group Pty (Ltd)

Abstract The National Housing Act (Act 107 of 1997) provides for considerably more than the construction of houses in the implementation of human settlement development programmes. However, the Act does not define alternative options, or how these could be implemented. Subsequently, almost all interventions have been providing RDP houses to beneficiaries – in a sense, under-utilising the flexibility of the legislation to meet differing needs of communities. The Breaking New Ground Strategy of 2004 and the Eastern Cape Housing Policy of 2010 gave detail to the intentions of the Act, emphasising diverse solutions and beneficiary choice. More than 4 360 beneficiaries in the Chris Hani District Municipality were engaged in the pilot project, using both survey and Participatory Action Research techniques. It was found that most beneficiaries do, in fact, want alternative built-environment options such as single-room six-corner‘buildings, workshops, rainwater harvesting tanks and security fencing. A detailed and practicable implementation methodology called UM- ZI-CHOICE was developed. Although there was widespread beneficiary interest supported with a viable business plan, implementation was set aside. The modest increase in administrative and contractual complexity to meet individual household choice was seen as a hurdle. The research showed that the policy is relevant to rural households and is practically implementable. Wider rollout is justified, but requires sensitisation of personnel on the underlying policy motivations and effort towards attitudinal change of those driving implementation of the rural housing subsidy.

1.0 INTRODUCTION ity of the human community, wheth- gap between human settlements ural housing law and policy er city, town or village, the social, policy and implementation practices in South Africa provides material, organisational, spiritual are particularly troubling for bene- for various interventions at and cultural elements that sustains ficiaries in established rural home- R it.” Diversity of need is empha- steads, as they usually have roofed household level, but projects that are implemented largely take the sised and is the crux of the human residential structures, but sorely form of RDP housing units. The settlements approach, reflected in lack homestead infrastructure. Breaking New Ground Strategy a statement from Breaking New Rural households and rural subsidy (DoHS, 2004) and the more de- Ground: “The dominant production use are thus the study focus, as it is tailed Eastern Cape Policy (EC- of single houses on single plots in in this domain that the RDP imple- DoHS, 2010) are built on the prem- distant locations with initially weak mentation approach is in starkest ise that rural livelihoods can be socio-economic infrastructure is contrast with extant policies and strengthened through more diverse inflexible to local dynamics and strategies. changes in demand. The new hu- built-environment investments. The The BNG strategy is built on the man settlements plan moves away shift from houses to human settle- National Housing Act (Act 107 of from the current commoditised ment thinking is long-established in- 1997). Although the title of the Act focus of housing delivery towards ternational best practice, initially set relates to housing, the Act makes more responsive mechanisms out in the Vancouver Declaration on provision for much more than just which addresses the multi-dimen- Human Settlements (UN-Habitat, construction of the services and the sional needs of sustainable human 1976). The Declaration states that top structures (i.e. the house). It “Human settlements mean the total- settlements” (NDH, 2004:9). The 117

© 2018 NMMU and DoHS refers specifically to the establish- units in South Africa despite policy contracts, and as the implementa- ment and maintenance of habitable, provisions for alternative, more tion contract complexity increases, stable and sustainable public and locally suitable investments. It also so do the facilitation, administrative private residential environments leads to several questions. What and project management costs of to ensure viable households and are these alternative solutions at planning and implementation. This communities (RSA, 1997). While the practical level of implementa- has grant funding implications, as the Act acknowledges the need for tion? Do people want these alterna- the subsidy amount and conditions an integrated approach to housing tive solutions? How do you facilitate are defined for RDP-type approach- development, it does not define the selection process? Can this be es which do not include for likely exactly how this should take effect. implemented within Government additional costs of diverse builtenvi- The Eastern Cape Rural Housing grant conditions? Presently the ronment interventions. Furthermore, Policy (ECDoHS, 2010) provides diverse solutions offered by the approval systems, administrative more detail in relation to use of the rural housing policy remain largely data modules and procurement Rural Housing Subsidy. The policy unused, and thus, the associated arrangements would all be differ- sets out that choices may include livelihoods benefits recognised in- ent, requiring internal departmental the more conventional option of ternationally and in local policy are change and training. The impera- an RDP house, or alternatively, a not realised. tive for local choice thus had to be range of other built forms including: balanced with cost-efficient modes 1.1 Research Objectives upgrading of existing structures, of subsidy implementation. The research set out to understand fencing, alternative energy, im- the policy implementation challeng- 2.0 THE APPROACH proved water supply, water har- es and to propose and test alter- — MIXED METHODS vesting, and, beyond the individual natives which can put the policy USING PARTICIPATIVE household domain, joint investment in practice. More specifically, the ACTION RESEARCH AND in social structures such as foot- QUANTITATIVE SURVEY objectives were to: bridges, crèches, dipping tanks, etc. The research project was carried The fundamental tenet of the policy ▪▪ Assess and prioritise preferenc- out within an existing rural housing is that the opportunities for im- es and define practical built-en- subsidy project, and the research proving livelihoods are likely to be vironment solutions to give sites were not independently select- better exploited through alternative effect to the rural housing policy. ed. Seven clusters in the Chris Hani investments in the built environment These solutions must aim to District in the Eastern Cape includ- as decided by the household, rather maximise positive impact on ru- ed 10 061 beneficiaries in 83 villag- than the routine option of building ral livelihoods in the context of a es. By their wide geographic spread a standard RDP house for each sustainable human settlements across the district and the large subsidy recipient. Various attempts framework. number of households involved, the have been made to respond to ▪▪ Undertake a representative sample provides a representative the diversity as policy intends, but quantitative survey of household picture of the Municipality and likely these few projects have not provid- preferences in relation to alter- the rural areas of the Eastern Cape ed the range of options set out in native use of the rural housing Province. policy (DBSA, 2008). subsidy of 2000 households or Participatory Research and Action Planning and implementing such an more. Research, while distinct approach- arrangement inevitably means more ▪▪ Formulate implementation es, are often combined and have effort, time and cost than a routine modalities which utilise the gained increased importance for RDP house-building programme. Rural Housing Subsidy, so the solving real world problems. These Providing choice on options means project is implemented using approaches are planned with par- that every household must first conventional contracting and/or ticipation from people impacted by be educated on the options, and the Enhanced Peoples Housing the outcomes of trial interventions their choices recorded, followed by Process (EPHP). (Bergold, 2007). Action research implementation tailored for each aims to change social reality based A central challenge in achiev- beneficiary. This process demands on insights into everyday practices ing these objectives was to find extended facilitation, consultations obtained by means of participa- a balance between meeting the and additional administration in tory research involving research strategic imperative in policy and construction implementation. These subjects, scientists, practitioners, the practical realities of implemen- challenges provide some expla- service users, and others (Ber- tation and construction. Greater nation for the defacto reality of the gold & Tomas, 2012). The aim of choice demands more variation in 118 construction of simple RDP housing this work was not just to generate

© 2018 NMMU and DoHS knowledge, but more importantly to options and implications – both in final 13 technical options and the practically improve the way housing relation to cost and to quality and implementation support toolkit that programmes are implemented in design of the various options. Stage was produced. rural communities of the Eastern 1 extended for 18 months and in- 2.2 Stage 2 — Preference sur- Cape Province and in South Africa. volved 47 focus group sessions in- vey volving beneficiaries from two of the The interconnected project objec- The second stage of the work seven clusters, as well as technical tives required a cyclical approach involved a quantitative survey of and media experts. The participa- using mixed methods. This allows 4 363 households, following a tory research approach was based for a ongoing adaptation of the ap- full information exchange and an on Kolb and Fry‘s well-known Ex- proach based on emerging findings informed selection process using periential or Action Learning Cycle (Murata et al., 2015; Bhana, 2006). the work from Stage 1. This took (Kolb & Fry, 1975) shown in Figure PAR has three key distinguishing place in the remaining 5 clusters. 1. The cyclical approach led to epistemological tenets important for The data collected from this exten- repeatedly improved draft technical this work. Firstly, unlike quantitative sive information exchange process responses, each with better-defined and qualitative methodologies, PAR and subsequent preference survey costs and more effective media. locates power horizontally between provided a sound basis for drawing Observations and feedback led to researchers and researched com- conclusions on the type and degree various issues being identified and munities, who are viewed as co-re- of interest in alternative options for addressed in revisions. searchers. Secondly, PAR seeks use of the rural housing subsidy. to address the question: Whose Beneficiaries needed simple, 2.3 Stage 3 — Defining imple- political interests does research understandable information, as mentation modalities seek to satisfy? It thus holds that an the many permutations of choices The final stage of the work — de- inquiry concerned with human de- were found to be overwhelming veloping suitable implementation velopment must necessarily engage without a simplified framework. modalities — was not research per with those concerned in dialogue. A major factor in formulating the se, but was developed based on Thirdly, because of its emphasis on options was practicality. A rollout the knowledge derived from the action, PAR views research not only at scale means that fieldworkers research processes in Stages 1 and as a science-making enterprise, and facilitators would have to be 2. Implementation planning was but―as a methodology for pro- trained to communicate content and consolidated into a Business Plan ductive work (Fals-Borda, cited in collect and collate data. Even after for each cluster, including both con- Barbie & Mouton, 2000:62). These a thorough selection process and a ventional construction contracting three tenets were applied to guide 2-day training session, the com- arrangements and implementation the research processes. Three to plexity around subsidy-use options using the Enhanced Peoples Hous- four rounds of meetings were held called for a more rigid, menu type ing Process (EPHP). The EPHP in each community during the pilot approach to providing beneficiaries strategy, and institutions and sys- project. This facilitated staged de- with choices. A menu of options and tems for implementing with EPHP, velopment of the technical content media was then formulated, tested remained in draft form throughout and social approach. Meetings in- and improved through three rounds the study with a resultant lack of volved ward councillors, ward com- of action research to arrive at the clarity on some implementation mittee members, chiefs, headmen, Community Development Workers, beneficiary, as well as non-beneficiary community members. 2.1 Stage 1 — Defining options and developing related technical and communication toolkits The first stage was to identify a number of built-environment solutions that were responsive to rural homestead needs and relied on participative research methods. This was done in conjunction with the preparation of a facilitation and communication toolkit to enable Figure 1: Experiential or action learning cycle (after Kolb & Fry, 1975) beneficiaries to fully understand 119

© 2018 NMMU and DoHS organisational issues. Where these tive information transfer to equip framework that facilitated analysis were unclear, decisions on pro- people to make informed choices and implementation. The UM- posed implementation modalities in was first attempted in the form of ZICHOICE Game comprises a set EPHP were discussed and agreed explanatory workshops with about of 13 laminated A5 cards, one for upon with the ECDoHS. 30 individuals. However, the facili- each technical option (see Figure tation time and complexity involved 2 for an example). On one side of The final packages from Stages 1, was excessive, so a multimedia each card is the graphically de- 2 and 3 were finally compiled into a toolkit was developed to support signed picture of the option, and user-friendly implementation toolkit knowledge-sharing on options. on the other, the related costs and called the UMZI-CHOICE Toolkit. Successful information exchange sub-options. Details were explained 3.0 RESULTS FROM on options was later combined with to the participants by trained local STAGE 1 — OPTIONS the selection process in a series of facilitators, and beneficiaries were DEFINITION PROCESS showcase days in each village, sup- helped to make their decision by In total, 142 people were involved in ported with trained facilitators and a placing plastic coupons (i.e. 114 a facilitated process which devel- multi-media toolkit. The showcase coupons or bottle tops, each repre- oped and tested the first draft of the days allowed for detailed explana- senting R1 000, and thus equalling UMZI-CHOICE Toolkit. The initial tions of the options using poster the subsidy total) on their preferred cycle of consultations was held at sessions, followed by an individual- choices. Deberha and Zwartwater, and it ly-facilitated selection board game. Use of the UMZI-CHOICE toolkit became clear that basic literacy, During the process, it was found showed that the pace at which numeracy and conceptual literacy that an explanatory video was re- participants absorbed information in relation to funding and related quired. A 28-minute video was thus and were able to understand their technical options were major lim- developed that explained the policy options varied. Support using the iting factors. This led to the devel- and the rural housing subsidy and multi-media toolkit and trained opment of a set of modular options provided general information on facilitators to explain and answer that could be combined to equal the the choices themselves. The Rand questions was essential. Bene- value of an RDP house. The tech- value of each option was estimated ficiaries were enabled to select nical options included 13 choices using completed, detailed designs systematically and in accordance presented with graphics on posters, which were quantified based on with their household needs, with- simple cost estimates and a card- commercially applicable unit con- out being overwhelmed by choice based selection game‘ to assist struction rates or detailed supplier or limited by low numeracy and/or final choice-making. These evolved estimates. into the final options shown in Table literacy skills. Once participants had 2 and the media in Figures 2 and The selection game was developed finalised their selection using the 3 (refer also to the Annex). Effec- as a decision-making support tool UMZI-CHOICE game, they were and provided a data collection required to complete an Options

Figure 2: An UMZI-CHOICE poster Figure 3: Game card for Option 3 120

Standard 40m2 RDP house, including foundation, plinth, blockwork, roof, doors, win- Option 1 114 000 dows, ceilings, plaster, paint, gutters, water tank and Ventilated Improved Pit (VIP) toilet

15m2 Six-cornered house, including foundation, blockwork, roof, doors, windows, Option 2 52 000 inside and outside plaster and paint

Workshop (24m2), including foundation, blockwork, roof, doors, windows, inside and Option 3 58 000 outside plaster and paint.

Option 4 2.1m Security fence 4a 90m total length 21 000 4b 20m total length 27 000 4c 150m total length 33 000 4d pedestrian gate 2 000 4e vehicle gate 3 000

Option 5 1.2 m High Stock Fence 5a 100m total length 11 000 5b 150m total length 15 000 5c pedestrian gate 2 000 5d vehicle gate 3 000

Option 6 Solar electricity unit 6a type A3 – 250 Watt hrs/day (incl. installation) 9 000 type A6 – 700 Watt hrs/day (incl. installation) 22 000

Option 7 Solar water heater 8 000 pole and mesh fence around panel 2 000

Option 8 Igadi garden water system 27 000 extra 5000 litre tank 6 000

Option 9 Roofwater storage 10 000 extra 5000 litre tank 6 000

Option 10 Household livestock unit basic structure 49 000 310 broiler unit 10 000 300-unit chicken layer unit 22 000 4 breeding sow kit 18 000 16 fattening pig kit 15 000

Option 11 Container unit for small enterprise basic structure 40 000 additional shelving (10m x 300mm) 4 000 additional window and door 3 000

Option 12 Building materials (voucher system) R20 000 MAX

Option 13 Contribution to community facility Balance of subsidy

Table 2: Final options included in the UMZI-CHOICE process (rural housing subsidy of R114 000 as at 2013) 121

© 2018 NMMU and DoHS Selection Form and sign for the needed for engaging in communi- ▪▪ a manual for field facilitators choices they had made. All results ties.The final UMZI-CHOICE Toolkit ▪▪ an UMZI-CHOICE selection set were entered into an XLS data- resulting from the action research (cards and coupons) base, with originals held in a project assignment includes: archive. ▪▪ detailed XLS spreadsheets ▪▪ A2 advertising poster for up- with a Bill of Quantities for each The media set was developed in coming community information option Xhosa and English, and the video meetings in isiXhosa with English subtitles. The knowledge dissemination and ▪▪ 13 x A1 posters explaining each In addition to the media, training related project selection process- option with the attached summa- manuals for trainers and facilitators es required extensive preparatory ry BOQ were found necessary and were de- social mobilisation. The project veloped. A training course was also ▪▪ 28-minute Video providing introductions to facilitate the full- developed to teach trainee facilita- informing on the options and scale UMZI-CHOICE process took tors the processes to be followed selection process place in a highly-politicised environment. Introductory and aware- when working as a field facilitator ▪▪ a guide for the trainers of field ness-raising meetings involved and help them develop the skills facilitators

1 Introduction and awareness

Introduction of Project to Key Stakehold- Briefing of Local and District Municipalities and other key stakeholders. ers

Community Introduction Meeting(s) Public meetings in the various administrative areas (AAs) Local councillor in partnership with the DoHS.

Traditional Leader Briefing The DoHS professional team to brief the Traditional Leadership of the area and invite participation on the PSC.

Establishment and Project Introduction The Councillor/Ward Committee to facilitate election of a PSC based on AA or Meeting with PSC village representation. An introduction meeting for a) building PSC knowledge of the project and their role within the project, and b) planning for future activities.

Updating of Beneficiary List The process of checking the status of beneficiaries on the Beneficiary List so the list is updated for future beneficiary screening.

2 Information campaign about options

Review and Confirmation of Option Professional team engagement with Stakeholders and the PSC in making ad- Details justments on the BoQ for each option to take account of local conditions & cost changes. ▪▪ Workshop with PSC and stakeholders. ▪▪ Approval by DoHS of final BoQ for each option Selection and Training of Community An open application process for selection of fieldworkers from the relevant Fieldworkers ward(s) and a five-day training course for those selected.

Community/Beneficiary Awareness An intensive community awareness campaign specifically covering the choices Campaign available, and the PHP implementation process. Methods and tools used will include village meetings with beneficiaries, radio, and printed media.

3 Options selection process with board game/questionnaire

Beneficiary Survey for Option Selection Community Fieldworkers to conduct survey with each beneficiary household to using board game determine their option selection using the `Option Selection Toolkit and Interview Process Guide‘.

Beneficiary commitment to options in The beneficiary is helped to fill and sign a formal commitment to the selected signed data sheet options, which will go into the Business Plan.

Table 3: Sequence of activities to inform stakeholders and facilitate choice 122

© 2018 NMMU and DoHS dozens of community, municipal of 3 860 participants made a final fencing), and roof-water tanks. council, traditional leader and ward choice based on their individual Note: For all except Option 1a committee meetings, resulting in a priorities. The outcomes on prefer- (RDP House), beneficiaries will streamlined sequential process to ences and choice are summarised select more than one to achieve the raise awareness, manage political in Table 4. total subsidy amount. realities in relation the project and A total of 2 080 beneficiaries who ensure knowledge dissemination All options presented to beneficiar- went through the full UMZI-CHOICE and informed selection. ies drew some response except process chose options, while a total for that of a community facility. No of 1 780 selected an RDP house 4.0 RESULTS FROM beneficiary was interested in pur- — (see Figure 4 for further analysis STAGE 2 PREFERENCE suing this option, rather prioritising SURVEY AND OUTCOMES of the choices). There is clearly a their own needs and eliminating The preference survey involved significant uptake of options, with the risk of an extended community 4 363 households classified as the majority (54%) choosing an process in coming to agreement. beneficiaries by the ECDoHS and alternative option to an RDP house Furthermore, not everyone in the invited to participate in the UM- (presented graphically in Figure 4). community is a subsidy beneficiary, ZI-CHOICE process. The video It is thus evident that people want meaning that the social structure is was shown, village show-case days and need choice. Many beneficiar- provided for all, but is funded only were held at which the details of the ies preferred options other than a by the beneficiaries. options were explained, and choic- standard RDP house to meet their es were made. Of those invited, perceived needs. The highest re- The data reveals a strong prefer- 503 (11.5 %) did not attend, or data sponses were for roofed structures, ence for a roofed structure of some entered was incomplete. A total fencing (both security and stock sort (between 68% and 88% across

Area Options RDP house Nonparticipant TOTAL

Chris Hani Heritage 489 340 172 1 001 Vuyisile Mini Heritage 510 384 94 988 Lubisi 433 478 90 1 001 Sakhisizwe 648 578 147 1 373 Total 2 080 1 780 503 4 363

Table 4: Summary of beneficiaries who selected ‘options’ rather than an RDP house

Figure 4: No. of beneficiaries choosing type of option (n=3860) 123

© 2018 NMMU and DoHS the four sites). This means that the 5.0 IMPLEMENTATION the EPHP process is better-suited. bulk of the Government Housing MODALITIES AND EPHP is people-centred, has a Grant would still go into housing as CHALLENGES small amount of additional funding such, but instead of standard RDP Two contracting approaches for available for the additional facilita- houses, there would be significant implementing the rural housing sub- tion tasks and is readily adapted to investment in alternative housing sidy were developed. This involved implement diverse solutions. Two solutions, including the six corner conventional construction for RDP EPHP implementing NGOs were (one-room used primarily as a sep- houses and use of the EPHP mech- briefed in detail on UMZI-CHOICE, arate bedroom), the multipurpose anism for the more diverse options and both expressed interest and workshop and a partly-completed defined through the UMZI-CHOICE willingness to proceed with the RDP house. At the time of the process. These combined rollout implementation for those house- survey, the option of an RDP house modalities were extensively work- holds who chose options. However, without finishes allowed for savings shopped and compiled in detailed only the RDP avenue was pursued, to be made by leaving out ceilings, Business Plans for each cluster. and the policy-responsive UM- internal plaster and paint, thus leav- The organisational collaboration ZI-CHOICE process was set aside. ing some of the subsidy amount for on each site was addressed in 6.0 CONCLUSIONS — other items. Most used this small detail, particularly regarding community facilitators and community RELEVANT POLICY saving for tanks and fencing rather UNDERMINED BY than RDP house finishes. After representation arrangements, to HESITATION TO the consultations were completed, minimise confusion where parallel IMPLEMENT however, this option was excluded contracts were in place in any vil- The research set out to establish following a provincial MEC directive lage. The Business Plans contained if there is a need for choice in how to only provide fully completed RDP detailed information on available the rural housing subsidy is used, houses. The incomplete RDP house beneficiary lists, implementation and then to define how this can be option thus had to be removed from timelines, cashflow projections and facilitated and implemented. The the final UMZI-CHOICE Toolkit. cost implications in managing both evidence shows unequivocally that the conventional RDP contracting people do want choice, and that The significant number (54%) process and the EPHP process. existing policy does respond to the who chose options allowing for a The UMZI-CHOICE Toolkit con- real needs of rural households. number of alternative investments tained detailed construction draw- Of the 3 860 people who were confirms the need for alternative ings and digital Bills of Quantities, surveyed, 54% chose alternative choices. It is evident that alterna- enabling immediate procurement investments in the various options, tives in the form of six-corner single and implementation at scale. While with most selecting alternative room dwellings, garages, water it is possible to implement the roofed structures, along with other tanks and fencing are the most pop- alternative choices using conven- livelihoods support infrastructure ular options for the majority who did tional contracting arrangements, on such as water tanks and fencing. not choose a full RDP house. assessment it was established that The findings further show that implementation is socially, technically and financially practical, using established conventional contracting, as well as EPHP approaches. These can be applied singly or in parallel at the same site. The financing and organisational modalities for this have also been defined within the existing RDP and EPHP subsidy ceiling amounts. Some simplification in the rollout approach is possible by eliminating those options which showed low-uptake in the pilot project, and possible grouping into four or five packages with fixed components. But even without simplification the findings Figure 5: Percentage of beneficiaries choosing a roofed structure of some sort show that the approach is practica- 124

© 2018 NMMU and DoHS ble in all respects as presently set 13(1). Retrieved from http://www.quali- out in the UMZICHOICE Toolkit. tativeresearch.net/index.php/fqs/article/ The limitation to rollout was not view/1801/3334 technical, social or financial, but a BHANA, A. 2006. Participatory Ac- lack of understanding of the policy tion Research: A Practical Guide for motivations by key administrators Realistic Radicals. In M. T. Blanche, K. Durrheim & D. Painter (Eds.). Research reflected in wider organisational in Practice: Applied Methods for the So- reticence to move from a more fa- cial Sciences. Cape Town, South Africa: miliar and routine housing paradigm University of Cape Town Press. to the policy-compliant human-set- DBSA 2008, Elliotdale rural sustainable tlements paradigm. This reflects a human settlement pilot project. Decem- conceptual retreat to the pre-Break- ber 2008. Final draft report. Develop- ing New Ground era of uniform ment Bank of South Africa. housing units; motivated mainly by ECDoHS 2010. Rural Housing Policy. the perceived increased workload Eastern Cape Department of Human and the challenge of administrative Settlements. South African Govern- adaptation. Progress on implement- ment. ing the rural housing policy thus KOLB, D. & FRY, R. 1975. Towards an requires re-invigorated high-level applied theory of experiential learning. support driving the policy agenda, In Theories of group processes, ed. C.L. Copper, pp. 33 – 58. London: John combined with strategic communi- Wiley. cation interventions targeting key administrators and implementation MURATA, C., DENISON, J., CONDE, L. & JACOBS, T. 2015. Approach and stakeholders in the sector. conceptual frameworks. In: J. Deni- Acknowledgments son, C. Murata, L. Conde, A. Perry, N. The authors acknowledge the Eastern Monde & T. Jacobs Empowerment of Cape Department of Human Settle- women through water use security, land ments which funded the pilot project use security and knowledge generation that provided the research data. In for improved household food security particular, Mr Fezile Flatela, Mr Zongi and sustainable livelihoods in selected Ndyalvan and Mr Bongumsa Pan- areas of the Eastern Cape. Water Re- da provided direction and thematic search Commission, Research Report support. GIBB (Ltd.) led the Profes- No. 2083/1/15. Gezina. Pretoria: WRC. sional Regional Team under which the NATIONAL DEPARTMENT OF HOUS- assignment was conducted. Mr Dave ING. 2004. Breaking New Ground, A Clark and Mr Pete Brill both of GIBB comprehensive plan for the develop- (Ltd.) made valued contributions to the ment of sustainable human settlements. project administration, planning and the South African Government. fieldwork effort. RSA, 1997. Housing Act 107 of 1997. References Republic of South Africa. BABBIE, E., MOUTON, J., VORST- ER, P., & PROZESKY, B. 2001. The UN-HABITAT. 1976. Global Report on Practice of Social Science. Cape Town, Human Settlements United Nations South Africa: Oxford University Press Centre for Human Settlements. Oxford Southern Africa. University Press. UK. BERGOLD, J. 2007. Participatory strategies in community psychology research — a short survey. In A. Bokszczanin (Ed.), Poland welcomes community psychology: Proceedings from the 6th European Conference on Community Psychology (pp.5766). Opole: Opole University Press. BERGOLD, J. & THOMAS, S. 2012. Participatory Research Methods: A Methodological Approach in Motion. Forum Qualitative Sozialforschung/ Forum: Qualitative Social Research, 125

© 2018 NMMU and DoHS SUB-THEME 6: SERVICE DELIVERY IMPROVEMENTS AND FINANCING MODELS Innovative ways for enhancing public service delivery in rural South Africa through citizen engagement Henry Kofi Bosompem | University of Fort Hare, Department of Sociology, Faculty of Social Science and Humanities Thandeka Promise Khowa | University of Fort Hare, Department of Sociology, Faculty of Social Science and Humanities

Abstract The aim of this research paper is to identify innovative ways of enhancing service delivery in rural communities that could deliver effective and efficient services to the South African public. The current economic realities, the effects of globalisation, the potential for technological innovation and the public’s demand for better services have led to incessant protests in various municipalities. These upheavals are in spite of the fact that government is vigorously pursuing the provisions of the constitution in chapter 7, Article 152 which provides in sections (b, c, d) that; it will ensure the provision of services to communities in a sustainable manner; it will promote social and economic development and will promote safe and healthy environment. The study utilizes the dynamic service delivery and politics of participation theories which took the form of a literature review, analysis of statistics already produced by other researchers, official publications and correspondence, newspaper surveys, pamphlets and newsletters, dissertations and theses. Information from the internet was also employed in this study. The study examines the theoretical underpinnings of citizen engagement in relations to service delivery and how it can lead to better development of results. It also explored citizen engagement, as well as related concepts such as transparency, accountability, responsiveness and inclusiveness. It looked at the concept of the feedback loop, and the differences between intrinsic and instrumental approaches. It examined the crucial role of socio-political context and the enabling environment, as well as the concept of strategic and tactical approaches to citizen engagement.

Key Words: Citizen Engagement, Service Delivery, transparency, accountability, responsiveness and inclusiveness, feedback loop, intrinsic and instrumental approaches, socio-political context, strategic and tactical approaches.

1.0 INTRODUCTION the measurement of government problems of poverty and underde- he challenge of most African performance (Mansuri & Rao, 2013; velopment. Sen, 2008; Stewart, 2010; Melo & governments and emerging This underscores the importance of Baiocchi, 2004). Teconomies has been how service delivery at ministerial level. to harness resources to satisfy It is for these reasons that the con- The monitoring of service delivery the genuine needs of deprived stitution of the Republic of South needs through effective governance and underprivileged communities. Africa, chapter 7, articles 152 – 153 and service administration is clearly Historically, urban and rural devel- stated clearly the objects of local crucial. This paper is based on opment agendas have been crafted government and its duties in rela- the belief that this is only possible and presided over by bureaucrats tions to basic service delivery in the through enhancing leadership in the whose entrenched positions have municipalities. local government sphere. often been orchestrated by development-driven rather than peo- Post-apartheid South Africa faces In post-apartheid South Africa, ple-driven. a major challenge in ensuring that access to effective public services municipalities provide optimal and is no longer seen as an advantage In this era of democracy, the de- professional services to citizens enjoyed by only a privileged few in mand of communities on service of heterogeneous cultures. This is the community, but as a legitimate delivery such as water, electricity, succinctly captured by (Mufama- right of all residents, particularly sewerage and sanitation, solid di, 2005: 1) when he said that the those who were previously disad- waste services and toilets, road challenges we face, therefore is vantaged. This stance emphasizes infrastructure, schools, hospitals, one of ensuring that all municipali- “service to the people” as parame- food, access to markets, employ- ties develop the requisite capacity ter for local government transforma- ment, transportation, trade and to translate those resources into tion. Thus, one of the most impor- 126 finances has remained cardinal in instruments with which to confront tant indicators in assessing the

© 2018 NMMU and DoHS transformation of local government izen action that create awareness, ipalities to generate and implement is the experiences and perceptions enabling environment, capacity and appropriate service delivery poli- people have of service delivery in commitment for development in at- cies (Solanes & Jouravlev, 2008: their day-to-day lives, more spe- taining sustainable service delivery 9; Koma, 2010). Where there are cifically whether they perceive an through citizen engagement. policies in place, inefficient admin- improvement in the services deliv- istrative and management practices 2.0 LITERATURE REVIEW ered to them. The implication of this make them redundant. One of the There have been several discus- is for local government to transform key findings from the 2006 United sions and discourses relating to the words into deeds, and thus to pri- Nations World Water Development impact and activities of municipali- oritize and satisfy the needs of the Report (UNWDR2) was that in ties and local government in deliv- communities they service. many countries the “water crisis” ering efficient and effective service was more of an institutional crisis Attempting to provide a framework delivery outcomes to the communi- than a shortage of water as such. for people-centred public service ties they serve. Researchers have The report attributed the water delivery, the South African govern- expressed their varied opinions crisis to the “… mismanagement, ment introduced Batho Pele (de- depending on their theoretical corruption, lack of appropriate rived from a Sesotho word meaning leanings. Public participation, social institutions, bureaucratic inertia and “putting people first”) in 1997 (http:// learning, empowerment and sus- a shortage of investment in both www.dpsa. gov.za/batho-pele/index. tainability are the key components human capacity and physical infra- asp). This initiative strives towards of the people-centred development structure” (UN-Water, 2006:46). moving public servants to become approach that currently guides the service orientated, to pursue ex- delivery of municipal services in The idea of civic participation is as cellence in service delivery and to South Africa (Davids, 2005). The old as the idea of democracy (El- commit themselves to continuously approach focuses on municipalities ster, 1998); it has existed in many improve service delivery. It also “… working with communities to different cultures throughout history. sets the principles for transform- find sustainable ways of meeting In ancient Athens, policy decisions ing service delivery with regard to their needs … and improving the were made deliberatively in public consultation, service standards, ac- quality of their lives.” (White Paper settings, with every male citizen cess, courtesy, information, open- on Local Government: Section B, given the opportunity to state his ness and transparency, redress and Ch 1.). According to Theron (2005a: point of view. value for money. These principles 138), a municipality’s ability to The modern theory of participation are required, since it is argued that identify and meet the needs of local was first coherently articulated in a transformed local government communities cannot be driven by a the 18th century by Jean-Jacques needs to be measured against its “paternalistic, top-down, [and] pre- Rousseau, author of The Social commitment to continuous service scriptive” approach or one that has Contract. Rousseau outlined a delivery improvement. been defined by social scientists or vision of democracy in which equal Evidently, it could be ascertained professionals (Theron & Wetmore, citizens assemble to make deci- that citizen engagement has to play 2005: 155). An integrated approach sions in an interdependent, deliber- a pivotal role in the implementa- to development planning is re- ative manner, to uncover the “gen- tion and the achievements of the quired. Theron and Wetmore (2005) eral will” — that is, to forge a policy municipalities in relations to ser- state that this is achieved through in which benefits and burdens are vice delivery in the country. On the role-players having an improved equally shared (Pateman, 1976). basis of the achievement of health, understanding of the local situation, Community development and gov- sanitation, education, eradication of as it is created by their own social ernment decentralization thus have poverty, infant mortality and all the reality. They have the ability to a common intellectual history, stem- efforts made to achieve the mil- identify it, and through conscientiza- ming from a belief that participation lennium targets, it can be squarely tion, they have the ability to initiate has both intrinsic and instrumental posited in Grandvionnet’s (2013) change to the situation. value. Participation in decision mak- framework of socio-political context According to Solanes and Jouravlev ing, Maine believed, makes individ- and the 5 constitutive elements of (2008: 20), one of the main reasons uals into public citizens by training citizen action, state action, civic mo- for loss of credibility of local govern- them to think in terms of the public bilization, citizen-state interface and ment, is their inability to meet the good rather than merely private information. In each of the elements basic needs of the population they interests; it builds the capacity for under consideration, we clearly see are meant to serve. The authors at- collective action and what modern the interplay of state action and cit- tribute this to the inability of munic- social theorists would call “agency.” 127

© 2018 NMMU and DoHS Participation also has instrumental the public has been involved in ecution capability. It allows institu- value in developing the ability of participating in service delivery tions to accelerate and de-risk their citizens to hold the state and mar- processes transformation activities to ultimate- kets accountable and to influence ly deliver greater returns to their 3. To establish the ways in which decisions that affect their lives. stakeholders. The dynamic service the outcome of service deliv- delivery theory attempts to discover After independence, countries ery has satisfied the public or the embedded new ways of working in Latin America modified these the community members in the and aligning strategy, culture and structures to conform with the more municipality operations to capabilities required federalist notions from France and 4. To suggest ways by which ser- for organisations to be ‘future-fit’. the United States. In Brazil, for vice delivery processes can be By being able to rapidly adapt and instance, the First Republic (which improved through innovations capitalise on changing market and followed the centralized empire and citizen engagement. technology trends, institutions are established immediately after more likely to survive and even independence) had pronounced 5.0 THEORETICAL flourish. Public institutions must em- federal features, but provided little FRAMEWORK brace a shift in their organisational or no support for local governments This paper utilizes the dynamic ser- planning and execution processes or municipalities. With its collapse, vice delivery theory in combination in order to improve their overall ‘ad- in1930, decentralization gave way with the public participatory theory aptability’, whilst satisfying the rap- to centralized institutions (Melo & to address the issues surrounding idly changing needs of the public’. Rezende, 2004) and, paradoxically, public service delivery through Organisations are finding their clear “municipalism” became a hallmark citizen engagement in rural commu- vision and organisational alignment of the more centralized develop- nities in South Africa. around strategy and projects: mentalist period. While researchers and deci- ▪▪ Faster execution at a cheaper 3.0 RESEARCH sion-makers increasingly rec- QUESTIONS ognize the importance of public cost — more efficient ways of cutting expenditure. 1. To what extent has local govern- participation in service delivery ment succeeded in attaining op- decision-making, there is less ▪▪ A different, dynamic and collabo- timum levels in service delivery? agreement about how to involve the rative way of working. public. One of the most controver- 2. To what extent has the public ▪▪ Solutions delivered in line with sial issues is how to involve citizens been involved in participating in changing customer and commu- in producing scientific information. service delivery processes? nity needs. Although this question is relevant 3. In what ways has the outcomes to many areas of service delivery ▪▪ Accelerated delivery through of service delivery satisfied the policy, it has come to the fore in wa- decision making with a break- public or the community mem- tershed management. Increasingly, through mind-set. bers in the municipality? the public is becoming involved ▪▪ Reduction of unnecessary activ- in the sophisticated computer 4. How can the service delivery ities. modelling efforts that have been processes be improved through developed to inform watershed ▪▪ Innovation embedded into the innovation and citizen engage- management decisions. These organisational DNA. ment? models typically have been treated ▪▪ Technology enabled transforma- 4.0 OBJECTIVES as technical inputs to the policy tion methods. The main objectives of the study process. However, model-building is to identify innovative ways of itself involves numerous assump- 6.0 METHODOLOGY enhancing service delivery in rural tions, judgments and decisions that In this paper, qualitative data was communities that could deliver ef- are relevant to the public. This pa- analysed through content analysis fective and efficient services to the per examines the politics of public which looked at documents, text or South African public. More specifi- involvement in watershed modelling speeches to articulate the themes cally the paper seeks: efforts which is complemented with that emerged. Data was collected the dynamic service delivery theory. through secondary sources such as 1. To find out about the extent to official documents, textbooks, jour- which government has succeed- The Dynamic Service Delivery nals, articles, newspaper articles, ed in attaining optimum levels in (DSD) platform is an approach for essays and internet sources. The service delivery public institutions to build organisa- study utilized the dynamic service tional adaptability and project ex- 128 2. To ascertain the extent to which delivery and politics of participation

© 2018 NMMU and DoHS theories to analyse the innovative ing, with the objective of improving Transparency — any attempt by ways for enhancing public ser- development outcomes.” state or citizens to place information vice delivery in rural South Africa or processes that were previously The spectrum of citizen engage- through citizen engagement. This opaque in the public domain, ac- ment, as illustrated here, includes took the form of literature review, cessible for use by citizen groups, government sharing information analysis of statistics already pro- providers or policy makers. with citizens, and citizens drawing duced by other researchers, official on this information to take action Accountability — broadly speak- publications and correspondence, and communicate, including providing, accountability refers to the pro- newspaper surveys, pamphlets ing feedback to government, both cess of holding actors responsible and newsletters, dissertations solicited and unsolicited (Fox, 2016; for their actions. More specifically, and theses, as well as information Madan, 2004; Fox & Paixoto, 2016; it is the concept that individuals, from the internet sources. These Meier, 2014; McGee & Calitz, 2013; agencies and organizations (public, were backed by ten face-to-face Galtung, 2013; GovLoop, 2015) private and civil society) are held interviews as an exploratory study. responsible for executing their pow- Ten respondents were purposely Key to this definition is the respon- ers according to a certain standard selected from 5 clusters of Alice, siveness of government to citizen (whether set mutually or not). Fort Beaufort, Middledrift, Debe and voice. While the scope of citizen Lower Gqumahashe in the Ray- engagement includes consultation, Responsiveness — the process mond Mhlaba Municipality (former- collaboration, participation and by which government designs and ly, Nkokonbe Municipality). empowerment, citizen engagement implements public policy based on requires transparent and effective received citizen input and prefer- 7.0 CITIZEN mechanisms by government for ences. Responsive governance is ENGAGEMENT responding to citizen voice. The when citizen input actually leads to In democracies, citizen engage- end game for citizen engagement changed outcomes, rather than just ment (Menocal, 2013; Mcneil, 2016; is to improve the accountability of being heard. Grandvionnet, 2013) is a basic prin- governments and service providers, ciple because it is understood that Inclusiveness — a process by thus closing the feedback loop. governments, at their essence, de- which the voices of often-excluded rive their authority and power from An essential understanding running or marginalized groups are included the people. Governments hence across these facets is that citizen in the governing process (Menocal, have an obligation — and not just engagement is highly embedded 2013; Mcneil, 2016; Grandvionnet, the discretion — to respond to their in the nature of the political and 2013) governance context and in existing needs. In a democracy citizens Arguments have been made that power relations, or the local con- have both the right and the respon- throughout history, engaging citi- text. It needs to be understood as a sibility to demand accountability zens has led to more sustainable, core component of any governance and to ensure that government acts open and equitable governance, system. It requires active participa- in the best interests of the people. and in the end this works to the tion of both citizens and decision In other contexts, citizen engage- benefit of all citizens, including the makers, and is an integral part ment (Gaventa, 2013; Mcneil, most marginalized. of governance processes, above 2016) is seen as part of the social and beyond individual projects or Recent research has shown that citi- compact between citizens and their one-off feedback (Menocal, 2013; zen engagement initiatives can: delegated representatives. The Mcneil, 2016; Grandvionnet, 2013). ▪▪ Increase transparency and citi- social contract, in turn, derives from zen trust in government; notions of human and citizen rights. Citizens — are understood as the Citizen engagement is understood ultimate client of government and/ ▪▪ enhance government legitimacy; as the right of people to define the or development institutions’ and pri- ▪▪ improve outcomes of mac- public good, determine policies vate sector interventions in a coun- ro-economic policies; and by which they seek the good, and try. In this context, the term citizen reform or replace institutions that do is not used in a legal sense, but is ▪▪ raise the frequency and quality not serve that good. understood in the broad sense of of government responsiveness. referring to all people in a society or Citizen engagement (Menocal, In practice, municipalities have country in an inclusive and non-dis- 2013) is the “two-way interaction adopted participatory budgeting for criminatory way. Citizens can act as between citizens and governments extended periods, beginning more individuals or organize themselves or the private sector that give than two decades ago. Municipal- in associations and groups. citizens a stake in decision-mak- ities with participatory budgeting 129

© 2018 NMMU and DoHS have allocated a larger share of a real wealth of experience that ipatory decision-making among a funding to sanitation and health we can use to reimagine the role diverse set of stakeholders, includ- services, reducing infant mortality of engaged populations in political ing both within civil society and the rates while holding capital budg- processes and to redefine the very state. Since the 1980s, so called ets constant. While participatory substance of democracy. ‘invited spaces’ of participation budgeting processes vary widely in such as, for example, participatory Citizen engagement as the “two- practice, on balance their positive budgeting and constitution-mak- way interaction between citizens impacts are clear. Studies find that ing processes, have become very on the one hand, which include or- participatory budgeting encourag- prominent. For instance, constitu- ganized civil society and the private es authorities to provide services tion-making processes have proven sector, and governments on the that meet needs of otherwise to be important moments of partic- other, in a way that gives citizens a underrepresented citizens, and the ipation to redefine the very nature stake in decision-making process- deliberative process also creates of a state and its relationship with es, with the objective of improving frequent citizen checks on promised its citizens. Over 40% of all consti- development.” governmental impacts (Fox, 2016; tutions in place by 2008 required Madan, 2004; Fox & Paixoto, 2016; Forms of citizen engagement in the approval by public referendum. Meier, 2014; McGee & Calitz, 2013; developing world (Menocal, 2013; Examples of constitution-making Galtung, 2013; GovLoop, 2015). Mcneil, 2016; Grandvionnet, 2013) processes that were particularly can include a plethora of activities, participatory and inclusive include: In Uganda, local civil society organ- for example elections and referen- South Africa in the early 1990s and izations worked with local health dums, social movements, protests, Colombia in 1991. More recently, workers to promote a local compact constitution-making processes and Kenya in 2010 and Tunisia in 2014 between communities and local other public consultations, budget have adopted new Constitutions health works in dozens of Ugandan monitoring, citizen satisfaction through extensive participatory villages. After extensive piloting, surveys, report cards and charters, mechanisms as well. they tested a community monitoring citizen’s juries, community monitor- process designed to encourage The role of organised civil society ing or management, participatory voice, to avoid elite capture and through non-governmental organ- planning, social a dits and so on. to facilitate periodic dialogue with isations, or NGOs, has proven health workers. The impacts were Elections, for example, are perhaps instrumental in channelling citizen dramatic. the most recognizable mechanisms voice, in engaging with political that citizens have to exercise voice parties, elected representatives and In Indonesia, a nation-wide rural and hold office-holders to account other relevant actors in the kinds of community development program — and they have become almost invited spaces highlighted above. followed a strategy that created universal. Civil society has also emerged as enabling environments for commu- a counterweight for accountability. nity-level participatory budgeting Accountability frameworks in- This can be seen in the growth of and oversight, mainly for local clude the long and short routes NGOs in the past fifty years, which public works and later for health to accountability. Elections in this has been absolutely exponential. As and education programs. The pro- instance represent the long road Frances Stewart, a prominent UK gram led to increased consumption to accountability, which refers to academic has reminded us, it has and access to health care in poor the political process through which often been channelled in ways that households and reduced pover- citizens try to influence politicians are more contentious, disruptive — ty in all the sub-districts where it through voting for their political rep- and even violent. This reflects pro- operated, especially in the poorest resentatives and deciding whether found dissatisfaction with the quality and most remote communities — or not the politician has adequately of voice and representation, in both though members of marginalized represented them. democratic and more authoritarian groups did not benefit as much as Growing dissatisfaction with the settings. The uprisings across the others. effectiveness of elections in chan- Middle East and North Africa over nelling citizen voice and engage- Citizen engagement can take the past few years, and the eruption ment (Menocal, 2013; Mcneil, many different forms. From the of protest movements in countries 2016; Grandvionnet, 2013) has led shift towards democracy in Africa, as diverse as Brazil, Egypt, India, to increased reliance on other, per- Asia and Latin America starting in Turkey and most recently Mexico, haps more interactive mechanisms the 1980s, to the mushrooming of are all examples of this (Menocal, of engagement, based on increased citizen-led initiatives to hold those 2013; Mcneil, 2016; Grandvionnet, dialogue, collaboration and partic- 130 in power to account, there is now 2013).

© 2018 NMMU and DoHS 7.1 The concept of intrinsic vs. impact (Menocal, 2013; Mcneil, for information and association. It instrumental citizen engage- 2016; Grandvionnet, 2013). offers diverse avenues for account- ment ability — political accountability, Within most governments and 7.3 The concept of feedback loop administrative accountability — donor organizations, there is scep- Supporting a two-way flow of and can also actively support and ticism over the intrinsic case for information, not only for citizens, even initiate citizen engagement increased participation. The debate projects, and project managers approaches. As importantly, its is whether the primarily socioec- and implementers, but also for level and capacity to respond to onomic concept of development governments, service providers, citizen demands will determine the should be expanded to include and CSOs, should foster more outcomes of citizen engagement these principles as objectives in substantive citizen involvement by initiatives. and of themselves, or whether they reducing information asymmetries should be seen as instruments or Citizen engagement is not the and facilitating recurring interac- mechanisms to achieve other de- state against citizens or Citizen tion throughout the development velopmental goals. Engagement is not the state against process. Examples like Community citizens or citizens against the Nobel laureate Amartya Sen (2008) Score Cards or Public Hearings state. Many citizen engagement has argued very strongly that and Social Audits can bring togeth- approaches focus on building citizen engagement is absolutely in- er citizens and communities with supportive pro-accountability net- trinsically valuable, as it represents local level government officials, works across “state” and “society”. a key component of human capa- politicians and service providers to In a typical power relation shows bility. For Sen, participating in one’s exchange information and views on the State above the Citizens. This development through open and how well services are performing represents the “power imbalance” non-discriminatory processes, hav- and to agree on joint action plans to at play between state officials and ing a say without fear, and speaking address gaps or problems identi- citizens. This is important, as power up against perceived injustices and fied (Menocal, 2013; Mcneil, 2016; relations are at the core of Citizen wrongs are fundamental freedoms Grandvionnet, 2013) Engagement processes, and even that are integral to one’s wellbeing 7.4 The concept of “social ac- more significant for marginalized and quality of life. countability citizens. 7.2 Instrumental value Social Accountability can be defined Information (Bjorn-Soren, 2016) is a As Mansuri and Rao (2013) have as “the extent and capability of crucial ingredient for Citizen En- highlighted, citizen engagement is citizens to hold the state account- gagement. However, in most cases, now seen as a means to achieve able and make it responsive to it also needs to be accompanied by a variety of development goals — their needs”. Citizen Engagement civic mobilization and an interface ranging from better poverty tar- as the interplay of five constitutive between state and citizens to yield geting, to improved public service elements. action and concrete outcomes. delivery, to better and maintained 7.5 Typical citizen engagement Civic mobilization is most often infrastructure, to social cohesion, process facilitated by intermediaries such as to improved government accounta- A typical CE process (Fox, 2016; NGOs to spur citizens into action bility. For example, having commu- Madan, 2004; Fox & Paixoto, 2016; and support their demands vis-a-vis nities involved in the management Meier, 2014; McGee & Calitz, 2013; the state. But State officials also and monitoring of services can Galtung, 2013; GovLoop, 2015) need to be mobilized. Therefore, help to ensure that they meet those is one that provides information, an interface is necessary to allow communities’ needs more effective- which triggers Citizen Action, which, both citizens and state actors, or ly, and that local problems or gaps in turn, triggers state response. coalitions that cut across these two are more efficiently identified and This depicts citizen engagement types of actors, to interact. Third, dealt with. as the interplay of 5 elements, there is no generic, linear sequence A central challenge for governments namely citizen action, state action, among these 5 elements. Informa- and the donor community is how to civic mobilization, the citizen-state tion may be made available by state move from innovative efforts of cit- interface and information. First, we action or through civic mobilization, izen engagement that can be quite must recognize that both citizen and may be generated or exposed effective, but are still quite scattered and state actions are fundamental by citizen action. Additionally, mobi- and small-scale, towards efforts to citizen engagement. The role of lization may be spurred by infor- that are much greater in scope and the state is crucial, as it provides, or mation or precede it, and creation can have greater socioeconomic hinders, the enabling environment of the interface may be the starting 131

© 2018 NMMU and DoHS point or endpoint of the intervention. the entitlements of citizens. Hence, ment. Context is critical, and, the nature of the existing “social accordingly, citizen engagement Fourth, the nature of the element it- contract”, as well as the history approaches need to be tailor-made. self matters. For instance, the con- of state-society relations, shapes The framework we have proposed tent of information, how it is com- Citizen Engagement mechanisms (Menocal, 2013; Mcneil, 2016; municated, and by whom, are all and outcomes. Grandvionnet, 2013) does not pro- important. vide simple answers on when and The state of Civil Society is yet Fifth, neither the State nor Citizens how citizen engagement leads to another important socio-political are Homogenous or Exclusive outcomes, but it does shine a light factor. Simply put, the technical Categories. Incentives differ, for into the black box of “context”, thus capacity, networking ability and instance, for elected or non-elected providing us with a systematic way legitimacy of Civil Society Organi- officials, elites and non-elites, and to assess a given context in order zations are fundamental for Citizen civil society groups that represent to design, implement and monitor Engagement to be effective. public interest, and those that rep- citizen engagement programs most resent narrower “special “interests. Cultural factors matter as well. For effectively. instance, accountability is under- Lastly, because citizen engagement 8.1 Tactical and strategic ap- stood differently depending on the processes are interactive, citizen proaches prevailing norms. Furthermore, engagement approaches will gen- Tactical approach (Fox, 2016) is global factors, including internation- erally be required to dynamically re- citizen engagement that is short al initiatives such as the extractives assess entry points and trajectories, term, utilizes one tool/tactic and is industries, transparency initiative support building blocks for future limited to local level. The strategic and the role of international donors, citizen engagement interventions, approach is a citizen engagement also influence the effectiveness of and carefully assess risks and that is long term, utilizes multiple citizen engagement. trade-offs. The socio-political fac- tools/tactics, and it is scaled beyond tors that influence the effectiveness This framework identifies the the local level. of citizen engagement processes. drivers of the 5 intervention-based Citizen Engagement is shaped by factors that were discussed. The 9.0 DISCUSSION OF FINDINGS the nature and interactions of polit- first is Citizen Action. The drivers of 9.1 Municipal efficiency and ical and civil society, both between Citizen Action include awareness responsiveness state and society, and within soci- and salience of the issue to citi- The degree to which local govern- ety. Cultural norms, global factors, zens, intrinsic motivation, efficacy, ments are both efficient and respon- and the prevailing political settle- capacity for collective action and sive to local needs can vary greatly ment also matter (Menocal, 2013; cost of inaction. within a country. Optimists claim lo- Mcneil, 2016; Grandvionnet, 2013; The drivers of State Action include: cal governments are more respon- Bjorn-Soren, 2016) awareness, ability to resolve the sive to citizens than centralized 8.0 POLITICAL SOCIETY issue, official attitude toward en- government institutions, arguing The nature of the “state”, that is, gaging with Civil Society demands, that they increase citizen participa- the actors and dynamics within the intrinsic motivation and cost of tion and governmental account- “political society”, are as important inaction. Here we should note that ability, while improving allocative — if not more so — than civil soci- the cost of inaction often differs for efficiency and generating greater ety in explaining the effectiveness elected and non-elected officials equity in service distribution. Others of Citizen Engagement (Menocal, who respond to different incentives. (Brikke, 2000: 45; Davids, 2005: 20; Theron, 2005: 111; Solanes et al., 2013; Mcneil, 2016; Grandvionnet, The drivers of information are 2008: 20) have argued that local 2013) The two most important fac- accessibility, framing of the informa- governments are too susceptible to tors here are the commitment and tion and trustworthiness. capacity of bureaucrats and elected elite capture — that is, the process officials to promote and respond to The drivers of interface include by which powerful individuals divert citizen demands, and the nature of awareness, credibility, mediation state resources to their own ends. the rule of law. and capability They also argue that government at the local level normally lacks Another socio-political factor is the The drivers of civic mobilization the technical, human and financial State-Society relationship. To make include awareness, capability, and resources needed to provide public accountability claims, there must networks and credibility. services that are both efficient first be an assumption about the re- Furthermore, there are no universal and responsive to local demand. 132 sponsibilities of the state, as well as best practices for Citizen Engage-

© 2018 NMMU and DoHS It is necessary that governments 10.0 DECENTRALISATION and those things feed frustration overcome the challenges of elite AND PRO-POOR SERVICE and discontent” (Interviewee 10, capture and limited capacity to DELIVERY community member, Fort Beau- create more inclusive institutions. The idea was that decentralizing to fort, April 2016) Inclusive institutions create incen- local governments would improve and tives and opportunities for citizen service delivery. But many worry engagement, decentralized service that limited local capacity, and a “…its communities that are still delivery through intergovernmental hierarchical, traditional society, without water not because the fiscal transfers from the federal to would undermine local government municipality is poor and there- regional, and then down to munic- effectiveness. Instead, decentrali- fore there is no water because ipal, or administrations. During the zation has resulted in a remarkable there was an IDP that was discussions, these are the respons- improvement in the delivery of done and then when it comes es of some participants: essential primary social services to implementation somebody to the ordinary. The benefits of changes the priorities and that’s “…one of the main reasons for participatory budget spending at sometimes where corruption loss of credibility of local gov- the level on health, education and comes in—where the plan is ernment, is their inability to meet agriculture accrued to all income where we are going to,” (Inter- the basic needs of the popula- levels. Spending on health and viewee 1, Community member, tion they are meant to serve”. education is particularly pro-poor: Alice, July 2016) (Interviewee 3, community Public expenditures are a powerful member, Alice, July 2016) One of the most famous inno- tool to guarantee access to essen- vations was the participatory and tial goods and services for all strata budgeting model developed in of society. However, in many cases, “…the inability of municipalities Porto Alegre, Brazil – an alterna- distortion and misallocation of pub- to generate and implement tive budgeting process that allows lic monies — rather than the lack appropriate service delivery poli- citizens to negotiate with govern- of resources — prevent this from cies is due to inefficient adminis- ment officials over the municipality’s happening. The following responds trative and management practic- budgetary allocation and its invest- from participants supported this es which make them redundant”. ment priorities. Results suggest that concerns: (Interviewee 5, Middledrift, adoption of participatory budgeting August 2016). “…I live in a squatter camp since at the municipal level is associated 2006. We have no electricity, with increased expenditure on basic and water we fetch from far, we don’t sanitation and health services such “….Most of the problems we have toilets. They have been as water and sewage connections face in the municipality can be saying they will fix toilets and and waste removal. attributed to mismanagement, roads but they haven’t. Even the The first step is an information corruption, lack of appropriate houses, we have been register- needs assessment. What are, in institutions, bureaucratic inertia ing but nothing has happened,” fact, the existing information com- and a shortage of investment in (Interviewee 8, community munications ecologies in each com- both human capacity and phys- member, Lower Gqumahashe, munity? Then second, we have to ical infrastructure” (Interviewee July 2016). look at the access issue. Who has 2, Community member, Fort and access and who does not have ac- Beaufort, June 2016) cess? It also says whether people “…The whole term of service and are entitled to actually use the cell delivery protests I think it is in phone, for instance. We found out “…Many municipalities are many ways one that is not very that in many parts of the world such unable to deliver services to helpful because if one looks at as in rural Tanzania or rural Nepal, residents. This might be be- South African society we are a women do not have the right just cause of lack of finances or lack society that comes from a very to freely access their cell phone, of capacity to provide a good divided past we have inherited even if their household owns a cell service at an affordable price. terrible problems and we have phone. Last but not least, does Such municipalities should find done a lot over the past 20 this now translate into concrete other ways to ensure that the years to solve those problems enhancement? Into the political, services are improved and reach but many those problems are economic and social rights? the people most in need of still with us. Problems of poverty, them” (Interviewee 8, Communi- of inequality of unemployment 133 ty member, Debe, July 2016) © 2018 NMMU and DoHS 11.0 RECOMMENDATIONS through citizen engagement will 12.0 CONCLUSIONS In the public sector today, citizen be improved if governments are In conclusion, it is important to tack- engagement and participation are encourage to: le first of all the approach of rad- crucial, as shown by the vast array 1. Provide an easy-to-use platform ical openness. So technology, by of state and local governments on for innovation and engagement itself, can in fact foster institutional Facebook, Twitter, Pinterest and by enabling quickly retrieve cultural changes within government, Google Plus. data, submit forms and find the international donors, civil society organizations and the private First, how can the potential of information they need. sector if these technologies foster ICTs be translated into real en- 2. Empower citizens by giving in the institutions by a process of hancements of people’s living them some authority and power political commitment to openness. conditions and their well-being and in the decision-making process Secondly, effectiveness: ICTs can their political, economic and social to citizens closest to the issues really dramatically lower transaction dimensions of their lives? Second, — think neighbourhood groups, costs of participation for citizens by can ICT enhance accountability councils and/or community ac- making it much cheaper in terms and close the so-called “feedback tivists — as they can provide in- of money and time and breaking loop”? ICTs include both traditional sights on funding allocations and barriers of geography for people forms of ICTs, such as community cultural issues, and help develop to effectively engage in civic life. and amateur radio, and also more community partnerships. Thirdly, timeliness: Technology can modern uses of communication gather real-time data from a broad technologies, such as the Inter- 3. Develop a comprehensive com- and diverse set of citizens and civil net, mobile phones, social media, munications strategy. For citizen society groups, which can then the use of SMS, mobile apps, engagement to truly work, gov- empower government officials to be now crowdsourcing technologies, ernment must create a compre- instrumental for both strengthening community mapping and social hensive communications strate- social accountability mechanisms at computing. The government will gy — that includes reaching out the demand side, and also, pro- have to introduce a number of and broadcasting to citizens on moting institutional changes and social accountability mechanisms. a routine basis via email, SMS, behavioural changes, within gov- Greater citizen participation, and social media, advertisements, ernment and donor agencies or on the intrinsic motivation of people door to door, at in-person events the supply side. So if ICTs are able working in their local areas, may or hosting informational ses- to enhance people’s opportunities, have helped overcome initially sions or town Hall meetings and provide them with new options and weak administrative capacity. One a rural community ICT centres. expand the capabilities for econom- of the most famous innovations was 4. Provide incentives. For citizen ic and social development, then the participatory budgeting model engagement to really work, they can make a real difference developed in Porto Alegre, Brazil there need to be incentives for in enhancing people’s well-being — an alternative budgeting process both citizens and government by making decisions. Fourthly, that allows citizens to negotiate with employees, and how to incen- directness: It can facilitate a direct government officials over the mu- tivize is a decision that requires two-way communication between nicipality’s budgetary allocation and a manager to invest the time to citizens and policy makers, which its investment priorities. As a matter focus on what will motivate the can enhance responsiveness to of fact, when citizen participation team while also aligning with people real needs. Fifthly, inclu- programs are implemented effec- budgetary and legal restrictions. siveness: The power of innovations tively, more citizens are brought into 5. Provide sufficient staffing, such as crowdsourcing can enable the decision-making process, which resources and success metrics. people who have traditionally been means government can ultimately Clear goals, objectives and excluded from the development be more responsive to community measurements must be identi- process to have a stronger voice in needs. fied to track citizen engagement development. Finally, collaboration: But as with most things, citizen initiatives, and proper staffing New technologies can break down engagement programs are not and resources must be allocat- hierarchies and enable collab- without their problems — they can ed to the initiative. Retaining oration across different groups lead to gridlock, lack of consensus, a sense of fairness as to how and stakeholders, thus promoting abuses to power, manipulation of resources are allocated across a horizontal and the vertical account- facts or the politicization of issues. community is also essential. ability. However, public service delivery 134

© 2018 NMMU and DoHS References Associate Professor. Department of The Republic of South African Local Bjorn-Soren Gigler (2016) ICT-Enabled International Development of Manage- Government Act (1997). Act 52 of 1997. citizen engagement. Senior Govern- ment. London School of Economics. Theron, F. (2005) Participatory devel- ance Specialist, Governance Global Mansuri, G. & Rao, V. (2013) Localiz- opment in South Africa: a development Practice, World Bank Group. ing Developmernt: Does Participation management perspective. Pretoria: Brikke, F. (2000) Operation and mainte- Work? World Bank. Van Schaik. 237p. Journal of Public nance of rural water supply and sanita- Administration McGee, R. & Calitz, R. (2013) Learning tion systems — A training package for study on “The Users” in Technology for Theron, F. & Maphunye, K.J. (2005) managers and Planners. World Health Transparency and Accountability Initia- Participatory development in South Organization. Geneva, Switzerland. tive. Institute of Development Studies. Africa: a development management Davids, I. (2005) Participatory devel- perspective. Pretoria: Van Schaik. McNeil, M. (2016) Citizen Engagement: opment in South Africa: a development 237p. Journal of Public Administration History and Definitions. Team Leader, management perspective. Pretoria: Governance Global Practice, World Theron, F & Wetmore (2005) Research Van Schaik. 237p. Journal of Public Bank Group. methodology and design. Digital Knowl- Administration. edge. Meier, P. (2014) Digital Humanities. Elster, J. (1998) Deliberative Democra- TEDx Traverse City. United Nations (2006) Water Develop- cy. Cambridge University Press. ment Report. UNWDR2. Melo, M.A. & Baiocchi, G. (2004) Delib- Faguet, J.P. (2016) Identifying the Gaps erative Democracy and Local Govern- between citizens and governments. ance: Towards a New Agenda. Inter- Professor of the Political Economy national journal of Urban and Regional of Development. London School of Research. Econmics. Menocal, R.A. (2013) Citizen Engage- Fox, J. (2016) Rethinking the Evidence: ment: Theories and Mechanisms. Tactical and Strategic Approaches. Pro- Senior Research Fellow, Politics and fessor, School of International Service, Governance, Overseas Development American University. Instituters and Developmental Lead- Fox, J.J & Paixoto, T. (2016) WDR 2016 ership Program, University of Birming- Background Paper:When does ICT-En- ham. abled citizen voice lead to Government Mufamadi, F.S. (1999 – 2008). Min- Responsiveness? ister of Provincial and Local Govern- Gaitung, F. (2013) The Fix-Rate: A Key ment, Government of South Africa- Metric for Transparency and Accounta- South Africa Government, Public bility Integrity Action. Administration and Defence, Minister of Safety and Security Government of Gaventa, J. (2013) Does Citizen En- South AfricaSouth Africa | 1994 – 1999 gagement Really make a Difference? Government, Public Administration and Professorial Fellow, Institute of Devel- Defence. opment Studies and Director of Coady International Institute and Vice Presi- Pateman, C. (1976) Participation and dent of International Development at St. Democratic Theory. Amazon’s Book Francis Xaxier University. Store. GovLoop (2015) The Future of Citizen Rousseau, J.J. (1762) The Social Con- Engagement: Five Trends Transforming tract or The Principles of Political Right. Government. www.constitution.org. Grandvionnet, H. (2013) Citizen En- Sen, A. (2008) The Capability Ap- gagement: Context and the Enabling proach. Global Poverty Research Environment, Lead Social Development Group. Specialist, Governance Global Practice, Solanes, M. & Jouravlev, A. (2008) World Bank Group. Water Governance for Development Koma, S.B. (2010) The state of local and Sustainability. United Nations. Eco- government in South Africa: issues, nomic Commission for Latin America trends and options. and the Caribbean. Publisher, United Nations. Madan, S. (2004) Evaluating the De- velopment impact of of E-Governance Stewart, F. (2010) Horizontal Inequali- Initiatives: An exploratory framework. ties as a cause of Conflict. Research for Electronic journal on information sys- Development. tems in Developing Countries. The Constitution of The Republic of Madan, S. (2013) Bridging the Gaps South Africa (1996).Juta’s Statutes between citizens and Governments. Editors. Juta Law. 135

© 2018 NMMU and DoHS SUB-THEME 8: PROPERTY DEVELOPMENT, INVESTMENT AND MANAGEMENT FOR SUSTAINABLE NEIGHBOURHOODS AND CITIES Sustainability of planned- from-scratch cities in Africa: The case of Eko Atlantic City (Nigeria) and Konza City (Kenya) Alfred Omenya | Eco-Build Africa

Abstract The new, planned-from-scratch cities are being marketed as the bold and brave face of Africa’s urban future, populated with specialized middle class and rich professionals from all over the world, and supplied with excellent infrastructure and services, away from Africa’s current urban dystopia. They are marketed as solutions to Africa’s economic and social sustainability challenges. Public resources are spent in the pretext of public private partnerships, to prepare ground for direct foreign investments, which is ostensibly critical to local economic developments.

However, the cities are being criticized on many fronts. The chosen typologies of the neo-liberal cities, with a focus on the middle and upper income groups, can only deepen class exclusion, segregation and conflicts. There is hardly any public participation in their development processes, which are dominated by marketing gimmicks of multinational investors. Further, investment of public resources to cushion private sector investors from risks and privatisation of public good is highly questionable.

By looking at two of these cities, Eko Atlantic City (Nigeria) and Konza TechnoCity (Kenya), this paper isolates issues for debate and research, through various conceptual and thematic lenses, from the neo-liberal city, through charter city and manufactured spaces. The paper explores the role of the state and the private sector in these cities. The paper then highlights some negative externalities of these cities. The paper discusses the cities through the quadruple sustainability bottom line, concluding that the cities are anything but sustainable.

Key Words: New Cities in Africa, Africa’s Urban Futures, Neo-liberal City, Built-From-Scratch Cities, and Sustainable City.

1.0 CONCEPTUALIZING metropolitan and city regions, urban governance that prioritises BUILT-FROM-SCRATCH ignoring other notions of urban de- the market over civic engagement NEO-LIBERAL CITIES velopment. These types of markets and commodification of space over evelopment of new neigh- generate inequality that they cannot protection of civic and public places borhoods, satellite cities and resolve (Van Vliet, 2002). The other (Logan & Molotch, 2007). Their Dregions in Africa is not new. aspects of urbanization, namely governance models excludes public What is new is the rationale for their social, cultural and environmental participation and meaningful civic current development. These largely are subordinated to this central engagement, prioritizing instead market driven cities represent vari- economic agenda. The neo-liberal market process and technocracy ous mutations of the neoliberal city, city with the belief that aggregation (Friedmann, 2007). Urban planning expressed through the autonomy of place specific interventions will and development approaches are of the charter city and the concept result in better economic benefits anchored on real estate interests of manufactured spaces. They are is producing fragmented urbanism and consolidation of public and neither supported by state policies that ignores overall urban devel- private sector finance for location nor legislation. opment. This space specific urban specific investments (Hackworth, The typology of the neo-liberal city interventionism is shifting eco- 2007). nomic, political and social power currently being advocated for in Place making in the neo-liberal from the body polity to the private many parts of Africa is based on space has been removed from realm (Swyngedouw et al., 2002: the notion that central role of urban the hands of the citizens through 542 – 577). These neo-liberal cities development is to drive econom- planners to private sector board- are also coming with new forms of 136 ic competitiveness of countries, rooms in different locations of the

© 2018 NMMU and DoHS world. Land use planning, zoning 2.0 OVERALL APPROACH North by Victoria Island, one of and regulation are shifted to reflect Both cities discussed in this paper the most affluent neighborhoods market interests rather than public are still in the process of being de- in Lagos. It is a 1 000-hectare good. Spaces are manufactured, veloped. The approach in this paper development. It is meant to feed as eloquently conceptualized by is therefore based on future stud- off the 25 million population of Harvey, with the power to organ- ies. Future studies project a future the mother city Lagos’ needs for ise these being monopolised by based on systematic studies of past financial, commercial, and residen- the market (Harvey, 1989: 3 – 17). and present trends to project future tial and tourist accommodations. It The agents of transformation of scenarios. The approach under- is planned to have a population of space, and indeed the new trans- stands the future as plural, with var- 400 000 – 250 000 being residents formed urban spaces, reflects the ious degrees of multiple likelihoods. and 150 000 commuters (Iroeg- new power in urban governance It explores future scenarios, which bu-Chikezie, 2013). It will comprise (Hackworth, 2007). This power is have been defined as “description mixed-use, high-density structures neither in the hands of the state of a possible future, including paths that will function as commercial, and its agents nor in the hands of that may lead to it” (see Kosow & institutional, residential, recreational the citizens through civil society, Gaßner, 2008). The future projected and light retail spaces. The stated but rather in powerful agents of here has normative elements of the purpose of the project is to achieve the global private capital seeking desirable. Recommendations are threefold urban transformation of for locations of optimal profits. The based on “back casting”, i.e. what Lagos by (see Adebayo, 2004): city space therefore is reduced to a changes need to happen in the ▪▪ Addressing physical planning manufactured space for expansion present to achieve this desirable challenges of the city; of global capital (Brenner & Theo- future. The sources of information dore, 2002). are also multiple, though majorly ▪▪ contributing to the Lagos’ economy by attracting direct foreign The two built-from-scratch cities from desk studies, grey and pub- investments and through job cre- discussed in this paper are in lished literature. The author has ation; and essence private cities. They are been tracking, interacting with and annexed from existing metropolitan critiquing the projects over a period ▪▪ contributing to climate change regions with semi-autonomous gov- of about three years. The evolving adaptation, by addressing the erning systems (Macdonald-Laurier insights form the core of the histori- Lagos shoreline erosion. cal data used in the paper (see also Institute, 2012). Such systems and The development will also entail Glenn & Gordon, 2009). structures are often created through reclamation of ocean front for city coalition of interests rather than 3.0 INTRODUCTION TO development, construction of down laws. Some scholars, in reference EKO ATLANTIC AND town avenues and financial dis- to such a model in Hong Kong, KONZA CITIES tricts, provision of harbour light and have called these chartered cities Eko Atlantic and Konza are sat- city beautification, construction of (Caplan, 2010). Chartered cities are ellite cities of Lagos and Nairobi Eko Red line light railways to link attempts to replicate Hong Kong’s respectively. They are located in the different locations and development economic models to deliver eco- metropolitan regions of both cities. of Eko green line, Eko Ferry and nomic gains to inhabitants (Cheong Satellite cities are typically locat- Marina line (Olawepo, 2010). & Goh, 2013). They aim at creating ed in close proximity to the main highly productive economic zones cities, enabling the former to take Konza TechnoCity regulated internally. The systems advantage of the latter’s urban area In 2009, the Konza TechnoCity pro- and structures crafted for such cit- systems, infrastructure and servic- ject was initiated with the procure- ies are more concerned with inter- es. Sometimes they are intensely ment of a 5 000 acre parcel of land national partners rather than local connected with the mother city; at Malili Ranch, 60km south east of environment and realities. Charter sometimes they are separated by a Nairobi, Kenya. It was conceived to cities prioritise monetary gains physical barrier. capture the growing global Busi- ness Processing Outsourcing and rather than socio-cultural practices. Eko Atlantic They function as new autonomous Information Technology Enabled Eko Antlantic is located 5 km from lucrative economic zones, rather Services (BPO/ITES) sectors in the Lagos Island, on the south- than means of rejuvenating urban Kenya. According to government ern-most edge of the Lagos metro- areas from a human settlement estimates, BPO/ITES business politan area, adjacent to a number perspective. produced US$110 billion in reve- of creeks; where the Atlantic Ocean nues in 2010. Revenues from this meets land. It is bordered to the industry were expected to increase 137

© 2018 NMMU and DoHS three-fold by 2015. Africa attracts on the development and implemen- BPO, Software Development, Data about 1% of the total revenues ac- tation of a technology city, which Centres, Disaster Recovery Cen- cruing from this industry. Only a few would grow the BPO/ITES and oth- tres and Light Assembly Manufac- African countries, including South er technology industries in Kenya turing Industries. The proposed Africa, Egypt, Morocco, Ghana and (see Konza, 2006). Government Data Centre will Mauritius, have developed their complement the existing facility, There are plans for an electronic BPO/ITES industries. Kenya aimed which currently links government manufacturing plant, an internation- at capturing a sizable amount of ministries, departments and agen- al financial centre and a convention this industry. In 2009, the Govern- cies (Makau, 2013). centre. The targeted sectors to ment of Kenya hired the Internation- drive the growth of the city include Service provision is being ad- al Finance Corporation to advise

Figure 1: Satellite image of reclaimed land (whitish part) for Eko Atlantic City Source: Eko Atlantic (2016) http://www.ekoatlantic. com/.

Figure 2. Overall Layout of Konza TenchnoCity Source: Konza Technology city (2016) http://www.konzacity.go.ke/. 138

© 2018 NMMU and DoHS dressed in various ways. State- promote, protect and advance result of urban development (Taiwo, owned Kenya Railways intends to socio-cultural aspects of people’s 2009). connect Konza city at 120km/h rail well being. These include tradition- The waterfront of Lagos has been network between Mombasa and al cultural practices, e.g. religion, subjected to erosion and flooding Malaba. The city’s estimated water ethnic rituals, etc. They also include with severe floods being experi- demand is 100 million litres per contemporary social aspects of enced in 2010 and 2011. Studies day. This will be supplied through people’s lives that contribute to their indicate that Lagos population will Thwake water and sanitation well being. Both cities cannot lay have 800% increase in exposure project, which will require 60km of claim to socio-cultural sustainability, to disasters linked with sea level water pipeline, a section of which they instead aim at promoting an rise by 2070 unless intervention are will require pumping over the Kilun- alien westernized — aka globalised undertaken currently (Nicholls et al., gu Hills. Around two million litres — way of life. 2007). Continued coastline erosion per day will be provided by local Ecological sustainability refers to will be addressed by the new sea boreholes, the drilling of which is protection of the ecosystem and the wall, ‘the Great Wall of Lagos’ (Fig- presently underway. The complet- environment. It includes physical ure 4). The wall is eight-and-a-half ed city is expected to have a peak aspects of sustainability, including: metres above sea level. It includes electricity demand of 675 MVA. It is reduction of the green house gas a concrete wave deflector wall and suggested that the city can be sup- emissions, clean environment, will include a scenic pedestrian plied via the planned high voltage greening, sustainable use of water, promenade. The wall is anticipated line between Mombasa and Nairobi clean energy, clean sanitation to withstand the most severe tidal (see Konza, 2006). and waste management, energy surges forecast over the next 1 000 4.0 SUSTAINABLE CITY efficiency and renewable energy, years. natural ventilation systems, protec- OR GREEN WASH? Environmental impact assessment Both Eko Atlantic and Konza City tion of fauna and flora and so on. conducted by various professionals lay some claims to being sustaina- Both cities make some attempts at and Heinrich Boll Stftung Nigeria ble. The idea of Eco-City has been these as discussed next, but not have refuted claims of efficacy of around for a long time, focusing enough to qualify as environmental- this wall (Udoma, 2014). They note more on ecological, environmen- ly sustainable/eco-cities. that dredging can increase the tal and economic sustainability. Institutional sustainability refers to strength of the waves, which will According to Register (2006) an adequate and appropriate structural be further deflected by the wall, Eco-City is “an urban environmen- and institutional systems that sup- thus hitting the shore of vulnerable tal system in which input (of report and enable cities to achieve all areas such as the Alta Beach. They sources) and output (of waste) are aspects of sustainability. It includes record that Victoria Beach has lost minimised” (Register, 2006). Joss, appropriate policies, legal and 12m to erosion annually between et al., (2013) define the Eco-City legislative frameworks, appropriate 1985 and 2009 (see also Obiefuna, on the basis of reduction of green governance and management sys- et al., 2013). house gas emissions, global cli- tems, and appropriate institution- mate change and urbanization pro- The developers of Eko Atlantic alized structures and operations. cesses. Although sustainable urban have opted for self-sufficiency in It is unclear whether the systems development is much debated, it is a number of key services. They and structures that have been put generally understood to have the aim to produce 70MW expandable in place in Eko Atlantic and Konza four aspects economic, socio-cul- to 1.5GW of electricity. They are can adequately support sustainable tural, ecological and institutional. pursuing water efficiency starting urban development. from 10 000m3 per day peaking at Economic sustainability refers to Eko Atlantic’s Claim to Sustain- 100 000m3. The city is building an green jobs or green economics ability underwater storm water drainage driven by enterprise that have great Eko Atlantic’s claim to sustaina- and waste management system. It environmental benefits. It further bility is linked with the fact that it will have its independent telecom- refers to initiatives that improve the is built on land entirely reclaimed munications, security and transpor- economic well being of the local from the sea, thereby responding to tation systems. populace. Both initiatives cannot lay some degree to indirect impacts of claim to economic sustainability. Konza TechnoCity climate change. Lagos has suffered The Government of Kenya commis- Socio-cultural sustainability refers loss of wetland — ranging from sioned a Strategic Environmental to development initiatives that 38% to 100% in some areas — as a 139

Figure 4: The Great Wall of Lagos Source: www.royalhaskoningdhv.com 140

© 2018 NMMU and DoHS and Social Assessment, Legal and public transit corridor. and allows for efficient manage- Regulatory Due Diligence, and a ment of those services on a large Makau (2013) argues that Konza Demand Assessment. The initial scale. Specifically, a smart city will cause loss of habitat, loss of feasibility and concept master plan framework will integrate the follow- wildlife grazing area, displacement was prepared by Deloitte and Pell ing four key city services: and disturbance of wildlife currently Frischmann, a United Kingdom located onsite, e.g. the migratory ▪▪ Infrastructure services (trans- based consultancy, which proposed wildebeest, antelope and zebra. portation, utilities, public safety, the establishment of Konza, a A 2km buffer zone and 6.2 square environment); technology park with infrastructure km wildlife corridor are intended that will be “sustainable” and have ▪▪ citizen services (access and to minimise the negative effects. inclusive growth as key drivers participation); Nevertheless, the priority seems to (Konza, 2006) be development over biodiversity ▪▪ city services (city information, Konza was planned as a mixed- conservation. planning and development); and use, high-density walkable city The growth of the city will result ▪▪ business services (supportive that accommodates a diversity of in the creation of large amounts services for local commerce). programs and districts. By avoiding of construction, commercial and As a smart city, Konza is intended superblocks and auto-orientated house hold waste. If this is not to gather data from smart devic- roadways, Konza is intended to disposed off appropriately, then it es and sensors embedded in the be a liveable urban environment could result in a moderate negative urban environment such as road- that encourages high-value devel- impact on the environment inform ways, buildings and other assets. opment and discourages sprawl. of air, ground and water pollution. Collected data is intended to be Planning was intended to take Konza Techno City therefore should shared via a smart communications cues from successful global ur- include the provision of waste trans- system and be analysed by soft- ban centres, yet be specific to the fer, sorting and recycling centres ware that delivers valuable informa- needs of Kenya and the region. and measurers for the promotion tion and digitally enhanced services The master plan was intended to and education of workers and to Konza’s population. For example, set the framework for a city that residents in the means of reuse, roadway sensors will be able to functions globally and locally, today and reduction of waste. This calls monitor pedestrian and automobile and in the future. These concepts for the need to explore alternative traffic and adjust traffic light timing of liveability, density, and walk- means of waste disposal other than accordingly to optimize traffic flows. ability were incorporated in the conventional landfill (see Makau, Local Physical Development Plan Konza’s population is meant to 2013). approved by the Ministry of Lands have direct access to collected during February 2013. 5.0 SMART CITY data, which may include traffic CONCEPT maps, emergency warnings, and The master plan follows a “stitch” Konza city is intended to be a smart detailed information describing framework, composed of a mixed city. Smart cities concept has been energy and water consumption. The use “bar” that runs east- west off attributed to the need for future availability of data is intended to Mombasa Highway and is intersect- cities to be able to provide quality enable Konza’s population to pared by a series of program “bands” of life drawing from environmentally ticipate directly in the operations of that run north- south. These bands sustainable and efficient practices. the city, practice more sustainable include a university, residential, sci- Oberti and Pavesi (2013) define living patterns, and enhance overall ence and tech, and an office band. smart cities as those cities that inclusiveness. It is hoped that by The intersection of the bars and the integrate environment, people and leveraging the smart city frame- bands create connections, where technologies efficiently (Oberti & work, Konza will be able to optimize special programs and higher density Pavesi, 2013). Smart cities also its city services, creating a sustain- developments occur. These inter- refer to cities that incorporate digital able city that responds directly to sections become points of interest technologies as is intended in Kon- the needs of its residents, workers that gives neighbourhoods distinct za City. and visitors. character. The master plan also contains a series of neighbourhood As an ICT city, Konza is intended to Konza planners believe that smart parks, located throughout the city have an integrated urban informa- city framework should start with de- with varied orientations. Most parks tion and communication technology velopment of a comprehensive ICT are connected to the green boule- (ICT) network that supports deliv- infrastructure. Konza plans to learn vard, a 60-meter parkscape and ery of connected urban services from other cities in various parts 141

Figure 6: Konza TechnoCity Smart City Concept | Source: Konza Technology city (2016) http://www.konzacity.go.ke/. 142

© 2018 NMMU and DoHS of the world that have successfully the political and socio-economic isting commercial districts, as well incorporated smart city frameworks, contexts is imprudent. The possibil- as accommodate residential, retail including Santander and Barcelona, ity of these cities degeneration into and recreational land uses (Eko Spain; Singapore; Amsterdam, the squalor are real, as both govern- Atlantic, 2016). Netherlands; and Rio de Janeiro, ments do not have appropriate 7.0 PRIVATISING THE Brazil. and adequate legal, administrative, METROPOLIS technical and planning instruments Konza mainly emphasizes the tech- Studies by Delloite and Touche and implementation mechanisms to nological aspects of smart cities. show that Africa has the fastest realise these aspirations. The legal The people referred to in Konza growing middle class globally. The frameworks in both countries make about are not Kenyans — they are middle class is creating a demand it impossible to exclude the poor caricatures of human beings from for consumption of goods and and the homeless from these cities. the west. Mwau (2013) questions services, especially housing (Wat- This is why Watson (2013) refers to whether Konza will even be able to son, 2013). There is demand for them as African fantasies, dreams attract the specialised human re- well-located, modern housing, with and nightmares. source that would be needed to run desirable architectural styles. The such a specialised ICT programme The regulatory role of the state in new city phenomenon is supported in the city (Makau, 2013). Will Kon- these cities is also not clear. The by foreign capital looking for optimal za be sustainable, while ignoring governance and management sys- returns. That is why in South Africa, Kenya’s socio-economic and po- tems of these cities are also ambig- this phenomenon of new mega litical context of the interventions? uous. Typically, cities, urban areas cities is absent, as returns from Definitely not! It will take an army and towns established by the state such development has been shown to protect Konza from the daily are guided by policies, legislation to be lower than Kenya and Nigeria socio-cultural and political practices and regulation. To some degree this (Watson, 2013). predominant in the Kenyan society has been catered for in Konza City Private sector real estate interests in generally, and Kenya’s urban by establishment of the Konza City drive these cities. Right from the context, in particular. Development Authority, which is a start, the logic behind these cities statutory body empowered to lead 6.0 AMBIGUOUS ROLE is to optimise on the economic the development of Konza. Nev- OF THE STATE AND THE advantages that accrue to private ertheless, there are also various CITIZEN IN THE PRIVATE investors. Even where the state is institutions that are required to gov- CITY leading, the central role of the state ern and manage the city, including The role of the state in these new is to invest in a way that guarantees relevant boards, city managers, by cities is somewhat ambiguous. private sector’s optimal returns on laws made from the County Assem- Both cities are conceived as public investments. The rhetoric of job cre- bly, and its own additional bylaws private partnership projects. In the ation does not make much sense. approved by the County Assembly. case of Konza City, the initial city For example, Konza intends to development initiatives are from Eko Atlantic is expected to boost create 20 000 new jobs. Such jobs the national government. The role Lagos’ intent of becoming the can be created with much smaller of government is mainly to develop financial epicenter of West Africa investment in existing cities. public infrastructure and regulatory by 2020, in addition to providing Both cities have no space for the guidelines. In the case of Eko Atlan- local economic opportunities. The low income or the poor. This is tic the city — which is also a public chief developer of the city is South despite the fact that in both coun- private partnership between the Energyx Group, a subsidiary of tries, significant demographic lives Lagos State and private developers Nigeria-based Chagoury Group. below the poverty line. In both — the land is leased directly to the Although Eko Atlantic is a public contexts the market can still rake in private sector for 78 years. private partnership on paper, its decent profits by simply focusing on arrangements appear more like In both cases, the interest of gov- middle and high income; only the outright privatization, where there is ernment and the general population state can realistically respond to the a full divestiture of public asset. On is weak and is seen to be primarily housing plight of the urban poor. paper, though, the project is mere- for the support of private sector Eko Atlantic focuses on middle to ly being managed by the private interests. Efforts of both govern- high-income groups living in middle sector on a 78-year lease (Awof- ments to attract direct foreign to high-density developments, to eso, 2010). After 78 years, when investment, by offering ‘World Class optimise on returns per square the lease expires, Eko Atlantic will Cities’, is superficial. Attempts to metre of land. Land started selling serve as an auxiliary to the two ex- transplant these without considering in the development at the rate of 143

© 2018 NMMU and DoHS $1 000/m2 (Eko Atlantic, 2016). The The projected cost of the city is Because of the dominance of low-income groups are expected around $3bn, and is expected to be private sector interests these cities to commute from the larger Lagos 100% financed by the private sec- start with fantastic images from the metro region to work in the city tor. By Nigeria’s building standards investors and developers with no (Iroegbu-Chikezie, 2013). In the of a plot of land for a single-family public participation at all in the pro- case of Konza there is no mention house, the above cost translates cesses (Makau, 2013). The negoti- of the low income at all; so one can into around $700 000 per plot. An ations are done both in government expect rapid growth of slums in the estimated 14% of space had been offices without involving the public neighbourhood of the city to support sold in 2011 (Abengowe, 2011). or in courts as various parties jostle this group. for their stakes in the develop-

Figure 7: Image of commercial district of Konza TechnoCity | Source: Konza Technology city (2016) http://www.konzacity. go.ke/.

Figure 8: Images of Eko Atlantic City | Eko Atlantic (2016) http://www.ekoatlantic.com/ 144

© 2018 NMMU and DoHS ments. These fantastic images are groups. This makes sense in terms slightly better off people, is not fully accompanied by such concepts as of real estate returns for the inves- studied and comprehended. In the “World Class”, “Smart”, “Lifestyle”, tors. They avoid the lower income small town of Malili, Mwau de- “Sustainable” to appeal to the appe- bracket. However, such cities exist- scribes a mushrooming of activities tites of the middle income. ing within a political economy where and land speculation, with “… plots the majority of urban residents are changing ownership within hours.” Eko Atlantic has skyscrapers either low or no income groups is He reports that authorities are now situated along tree-lined, six lane not plausible. These are the cities doing their best to contain this wide boulevards. The new city will that end up generating slums as the informality, which has sprung up in be sectioned into different districts key service providers for the city. at least 10 towns near the proposed comprising a business district Konza site. This speculation and likened to New York’s Fifth Ave- Phillips (2014) writes about Africa’s growth of informality can only get nue or Paris’ Champs-Elysees, a botched industrialisation, explaining worse. Manhattan styled area with high- how instead of lifting people from rise condos, waterfront, restaurants poverty, it created a special class of What is even more stark is the fact and shopping facilities. In addition, the urban poor. This class supplied that most of these cities feed off there will be a coastal promenade labour to the industrial develop- directly from existing cities. Eko built around the residential area ments without being compensated Atlantic is in the Lagos metropol- and meant to serve as recreation- commensurately. They find ac- itan area. Konza is in the Nairobi al and light commercial area with commodation in urban slums and Metropolitan area. These cities are bars, restaurants and cafes. They means of survival in urban informal further drawing on public resources, will also be a marina for yachts and markets. These cities will worsen sometime in questionable ways. sailboats. Other promised infra- this problem. Besides, the number Supposing the cities were to exist structure include a light rail transit, and the type of jobs that they are as envisaged, the stark physical 24-hour power supply, promenades, promising are simply not worth the juxtaposition of abject poverty shopping malls, an eight-lane high- investment. alongside affluence will result social way, waterway transport infrastruc- upheavals, seen before in the seg- Now, I look at the issue of land ture and parks. regated apartheid cities of South speculation around the cities. In the Africa and Israel. Phillips (2014) 8.0 NEGATIVE case of Konza, Mwau describes discusses some of this socio-spa- EXTERNALITIES OF THE speculation in land, and rising of tial polarisation (Wulff & Reynolds, PRIVATE CITY land values all the way to Mali- 2011), especially in the context Both Eko Atlantic and Konza are li Township 10km away (Mwau, of the widening gap between the overtly class-based cities, catering 2013). This subtle displacement of rich and the poor. The resultant only for middle and high-income the relatively poor landowners, by

Figure 9: Malili Town | Source: Mwau 2013 145

© 2018 NMMU and DoHS socio-spatial polarisation will have city: Governance, ideology, and devel- Olawepo, R.A. (2010). Perspectives serious social consequences. opment in American urbanism. New on Urban Renewal and Transportation Further, these cities create many York: Cornell University Press. Development in Lagos: Implications for Urban Development in Nigeria. African externalities that they don’t re- Harvey, D. (1989). From Managerialism Research Review – an International to Entrepreneurialism: The Transforma- solve (Van Vliet, 2002). Jorge et Multi-disciplinary Journal 4(1), Ethiopia, tion in Urban Governance in Late Cap- al. (2001) argue that there is need January 2010, p278 – 280. italism. Geografiska Annaler. Series B. for such urban areas to internalise Human Geography, 71(1), pp. 3 – 17. Phillips, A. (2014). African Urbanization: their externalities and balance short Slum Growth and the Rise of the Fringe Iroegbu-Chikezie, O. (26 February term private benefits with long term City Harvard International Review 35.3 2013), “From the Sea Rises a N150b (Winter 2014): 29 – 31. societal ones. The solution is really City”. The Nation. in urban policies and legislation. Rapoport, E. & Vernay, A. (2011). Jorge, E., Mitlin, D. & Satterthwaite, D. These should be crafted in a way Defining the Eco-City: A Discursive (2001). Environmental Problems in an Approach. Published Conference Pro- that balances economic benefits of Urbanizing World, Earthscan, London. investors and social, cultural and ceedings. CIB, Working Commissions Konza Technology city (2016). http:// W55,W65,W89, W112; ENHR and environmental aspects of sustaina- www.konzacity.go.ke/. Accessed in AESP. ble development. February 2016. Register, R. (2006). EcoCities – Re- References Kosow, H. & Gaßner, R. (2008). Meth- building Cities in Balance with Nature. Adebayo, A.K. (2004). Emerging ‘New ods of future and scenario analysis Berkeley Hills Press. cities’ in Africa and socio-spatial ine- Overview, assessment, and selection Swyngedouw, E., Moulaert, F. & Rodri- quality: A case study of the Eko Atlantic criteria. DIE Research Project “De- guez, A. (2002). Neoliberal Urbanization City project in Lagos, Nigeria (MA The- velopment Policy: Questions for the in Europe: Large-Scale Urban Devel- sis, University of Amsterdam). Future”. Bonn: Deutsches Institut für Entwicklungspolitik gGmbH. opment Projects and the New Urban Abengowe, A. (2011). Lagos Inc. Policy. Antipode, 34(3), pp. 542 – 577. Casablanca, African Perspectives, pp. Logan, J. & Molotch, H. (2007). Urban 183 – 195. Fortunes: The Political Economy of Udoma, O. (2014). Future Lagos, Eko Place. 2nd ed. Berkley: University of Atlantic City (part 2): The journey to Awofeso, P. (2010). One Out of Every rd California Press. completion. Cited 23 January 2017. Two Nigerians Now Live in a City: http://futurecapetown.com/2014/11/ Macdonald-Laurier Institute (2012). There are many problems but just one eko-atlantic-city-part-2-the-journey-to Success and the City: How charter solution. World Policy Journal, 1 De- completion/ cember, 27(4), pp. 67 – 73. cities could transform the developing world, Ottawa: Macdonald-Laurier Insti- Van Vliet, W. (2002). Cities in a global- Brenner, N. & Theodore, N. (2002). tute Publication. ising world, from engines of growth to Cities and the Geographies of “Actu- agents of change. Environment &Ur- ally Existing Neoliberalism”. Antipode, Makau, A.M. (2013). Parameters of a banization, 14 (1) April. 34(3), pp. 341 – 624. successful Technology Park: A Com- parative Analysis of Konza Technology Watson, V. (2013). African urban fanta- Caplan, B. (2010). A Quick Case for City and International Best Practices. sies: dreams or nightmares? Environ- Charter Cities: Memo to the Gates Masters Thesis in Business Administra- ment and Urbanisation. Foundation. Library of Economics & tion, University of Nairobi. Liberty. Wulff, M. & Reynolds, M., (2011). Hous- Mwau, B. (2013). Blog: “The planned ing, inequality and the role of population Cheong, K. & Goh, K. (2013). Hong hatches the unplanned”, accessed 12 mobility. Australian Housing and Urban Kong as charter city prototype – When February 2016 at http://slumurban- Research Institute. concept meets reality. Cities, Volume ism.wordpress.com/2013/08/02/the- 35, pp. 100 – 103. planned-hatches-the-unplanned/. Colini, L. & Eckardt, F. (2011). Bauhaus Oberti, I. & Pavesi, A.S. (2013) The tri- and the City – A Contested Heritage for umph of the Smart City. TECHNE-Jour- a Challenging Future. Bauhaus Urban nal of Technology for Architecture and Studies 1, p41. Könignhausen & Neu- Environment, Volume 5, pp. 117 – 122. mann: Germany. Eko Atlantic (2016). http://www.ekoat- Obiefuna, J., Nwilo, P., Atagbaza, lantic.com/. Accessed in February 2016. A. & Okolie, C. (2013). Land Cover Friedmann, J. (2007). A Spatial Frame- Dynamics Associated with the work for Urban Policy: New Directions, Spatial Changes in the Wetlands New Challenges. of Lagos/Lekki Lagoon System of Glenn, J. & Gordon, T. (2009). Futures Lagos. Nigeria, Journal of Coastal Research Methodology Version 3.0. Mil- Research. 2013;29(3):671 – 679. lennium Project. DC, United States. http://dx.doi.org/10.2112/JCOAS- TRES-D-12-00038.1 146 Hackworth, J. (2007). The neoliberal

© 2018 NMMU and DoHS SUB-THEME 8: PROPERTY DEVELOPMENT, INVESTMENT AND MANAGEMENT FOR SUSTAINABLE NEIGHBOURHOODS AND CITIES Overcoming ‘dualities’ and re-imagining the ‘praxis’ of transformation in urban human settlement designs – some reflections about the Cosmo City experiment Kwandile Kondlo | University of Johannesburg, Department of Politics and International Relations

Abstract The paper debates the notion of mixed-income human settlements and is informed by the Cosmo City experiment North West of Johannesburg. The importance of Cosmo City is that it represents a paradigm shift in urban design. But the paper raises issues with the celebrated Cosmo City experiment. Even though the experiment represented a shift in paradigm, it continues to conceal numerous foundational blemishes and deficiencies. A paradigm shift overcomes such blemishes only if it transcends itself to become a transformative praxis. This is where the Cosmo City experiment fails and these failures need to be thoroughly examined if there are intentions to replicate the experiment all over the country. A transformative praxis has at the core ‘constructive disruption’ which seeks to enact the necessary dichotomous dimensions that contribute to genuine transformation. This is what is needed to alter South Africa’s urban landscape and to re-ignite the diminishing spark of nation-building. The paper uses nation building to infer an integrated non-racial society which strives towards common goals in a united fashion. The paper also highlights the context-related limitations to a transformative praxis in urban human settlement design, hence it poses questions about the macro-governance framework of the state.

1.0 INTRODUCTION political economy in the human impact, it has to be transformed into AND BACKGROUND sciences. Building and construction a ‘praxis’, and it is only then that it he initial brief for this pa- science and humanities are two reinforces meaningfully the “nation- per was to respond and lines of thought or disciplines that al imaginary”(Freschi, 2006:155) of contribute to the question seem logically incompatible, but in a united, non-racial and equitable T real life do require each other. It is South Africa. Here praxis is used to “what models, mechanisms and measures should be explored also general knowledge that unlike infer a guarded inextricable inter- and employed to re-configure the the hard sciences like the physical linkage between theory and action, social and economic designs of sciences, human science insights between concept and design; de- neighbourhoods and cities, thereby are hardly reducible to operative sign and implementation and in that expediting economic transformation technologies. Hence the concepts way returning and integrating the in- and nation building?” These are big, and insights they yield are peren- sights of action back to the concept fashionable terms, but that does not nially debatable. But they can be and theory. This is the unbroken mean they are sacrosanct, hence used to craft models to break new thread of insights and actions which I will also subject some of them to grounds and shift paradigms of makes transformative praxis mean- critical observations. But at a later thought about real life issues. The ingful and different. This needs to stage the conference organisers paper examines the mixed-income happen in such a way that the in- felt the paper can also shed more human settlements paradigm, tended quality and underlying ethos light on the question about how can which international scholars like seamlessly pervades concept, planning and construction phases Simpson (2012) have also debat- action and product. Not all prac- of human settlements be improved ed. It argues that this paradigm tice is praxis and obviously theory to realise high efficiency levels and was used in very superficial ways without action cannot form praxis. sustainability. when Cosmo City, North West of As Vazquez (1977:6) once argued, Johannesburg was designed and praxis is in fact “a materialist met- The perspective the paper offers established. For it to have greater aphysics which is a little more than straddles political philosophy and 147

© 2018 NMMU and DoHS an inverted idealism” and therefore The dialectical functioning of our and cross-national comparisons to signifies a pragmatic idealism. But economic system in an age of explore that complex transnational for praxis to be transformative, this financial globalisation constitutes networks of actors that emerge to paper argues, it needs to have as “a metaphysics, with monetary bring about the production-con- its fundamental ethos, ‘constructive denomination taking economic and sumption of particular commodities” disruption and rupture’, without political primacy and ensuring the (Challies & Murray, 2011:30) includ- which, in the case of South Africa, value-price transformation as a ing urban human settlements. The the break with the past, will lack the continuous yet inaccurate iteration” challenge is not merely failures to “dichotomous dimension” (Laclau, (Mococci, 2011:72). As Epstein implement good policies of the state 2007:4) which separates the old (2005:4) argues “some of the ef- — the challenge goes far deep — from the new. The ‘constructive dis- fects of financialization — in concert the problem emanates from the ruption and rupture’ are conceptual with neo-liberalism and globaliza- changed character of capital ever toolkits to infer the needed change tion — have been highly detrimental since financial liberalization in the from the designs of apartheid cities to significant numbers of people late 1970s. The structural imped- towards meaningful integration. around the globe”. The victims iments to economic and social Cosmo City (North of Johannes- include some South Africans whom transformation in South Africa are burg) is an interesting attempt — it continue to inhabit the margins of dialectically related to a deep-seat- is an example of a mixed-income urban society and others literally lived macro-economic challenge human settlement paradigm not ing in ‘miserable hovels and shan- — the hegemonic role of finance anchored on a genuinely trans- ties on waterlogged wasteland’, capital. The fact is that everything formative praxis. The link between in appalling peri-urban squatter boils down to rands and cents, and urban designs and the imperatives settlements (Kondlo, 1992). there is somebody to make profit of transforming urban spaces is from it makes transformation of the Perhaps, there is a separation still tenuous in South Africa, yet it urban spaces a big challenge. But which needs to be made between is very important to the agenda of at another level, we cannot stop urban human settlements as fi- nation building. The link is important to dream, to re-imagine and seek nancial assets that carry with them for the disruption of colonial and innovative ways to overcome the financial value and urban human apartheid historical configurations fractured landscape of post 1994 settlements as social re-engineer- of urban spaces; the link is obvious- urban spaces in South Africa, as ing and political initiatives. The ly important for bridging dualities in this is necessary to make non-ra- financial value comes into operation our economy and social formation. cialism a reality. through the “assetisation process” A paradigm shift which proffers (Ducastel & Anseeuw, 2012) which The dualities referred to in the title compatible diversity in concrete extracts value from the political and of this paper are, first, in the econ- structures of human life, especially social engineering imperatives. omy where in the same country, in the designs of urban spaces, Mixed income-human settlements especially in urban areas, there continues to be necessary for South are in the end assets which need are glaring scenes of a first world, Africa’s development path. to be tradeable, profitable and where a predominantly white dom- The re-configuration of the social liquid to generate the kind of value inated economy, co-exists with and and economic designs of neigh- recognized by financial markets. dominates a ‘third world’, predom- bourhoods and cities need not Hence it is expensive to replicate inantly black economic sphere. As be positivistically conceived as them in urban centres as robustly explained by Kagwanja and Kondlo necessarily “expediting economic as necessary to transform urban (2008:xvi), “far from producing transformation and nation building” spaces. If one were to do a tracer one united and equitable nation, as indicated in the conference call study one would find that through post-apartheid development strat- for papers. The degree of engage- the contractors (e.g. Basil Read) egies have created what analysts ment of local and foreign capital and financial institution’s efforts to have dubbed ‘two different coun- in South Africa’s economy and the build and replicate mixed income, tries’: one Lockean, largely, white, direct or sometimes indirect impact settlements are circumscribed by a wealthy and secure; the other Hob- this has on social and political life connecting thread of profit linked to besian, overwhelmingly black, pov- of communities, on political power commodity chains and commodity erty-stricken and crime-ridden. The and socio-economic policy, should systems that are part of the global ‘two countries’, however, share one stand as caution against positivistic value chain and financial system. of the world’s reputably most liberal assumptions and should be a call The idea of global value chains is Constitutions and a vibrant pluralist for careful navigation. important because it sheds light be- democracy characterised by regular 148 yond “sectoral-level investigations free and fair elections — albeit up

© 2018 NMMU and DoHS to this point dominated by the ruling paradigms shifts in urban settle- in order to re-configure the social ANC – and an economy that has ment designs using Cosmo City and economic designs of neigh- grown faster in the last 15 years as a case study. The link between bourhoods and cities? The period than it did in the 1980s, increasingly urban designs and the imperatives post 2009 saw the reconfiguration attracting foreign direct investment of transforming is hardly examined of government starting with the and its capital penetrating deeper with the backing of empirical refer- Presidency, the splitting of depart- into the African markets”. This is ence points like the case of Cosmo ments and the creation of new one of the realities which can be City. Exploratory research methods departments. The department of corrected through a transforma- are usually used in order to deter- Minerals and Energy was split into tive praxis of urban design, using mine the nature of the problem and two departments (Dept of Minerals mixed-income human settlements are not aimed at providing fixed and Dept of Energy); Environmental as experiments. and conclusive answers to research Affairs and Tourism was also split; questions, hence with new data new departments such as Eco- The other dualities are ideological and new insights the researcher nomic Affairs and the Department and socio-cultural — where the keeps improving his or her position. of Women, Children and Persons public in South Africa is a contested The exploratory research method with Disabilities were created. The space. The old yet very relevant used in this paper involves hybrid transfer of integrated rural develop- and widely debated article by Peter set of tools from data collection ment into Rural Development and Eke (1973) ‘Colonialism and the to actual analysis. These include Land Affairs and removal of agricul- Two Publics in Africa: A Theoreti- literature review, web information ture from Land Affairs; the transfer cal Statement’, argues this point. and empirical data from the few of the forestry function to a consol- It describes “the emergence of a interviews (which were more in the idated Department of Agriculture, unique historical configuration in form of conversations with identified Forestry and Fisheries; the transfer modern postcolonial Africa: the residents of Cosmo City). Hence of skills development function to the existence of two publics instead of the work provided in this paper Department of Higher Education; one public, as in the West”. The two should serve as a basis for further the splitting of the Department of publics, according to Eke are “the research. Education into Basic Education primordial and the civic publics” and Higher Education departments. and the operation of these publics 3.0 THE INSTITUTIONAL Other Departments acquired new in South African politics foments AND GOVERNANCE names, e.g. from Housing to Hu- the fractures in collective will and CONTEXT OF SOUTH man Settlements; Foreign Affairs to effort. The primordial public, largely AFRICA International Relations and Cooper- African and closely identified with There are dualities in the “civic pub- ation; Local and Provincial gov- primordial groupings, sentiments, lic” itself, hence the section below ernment changed to Cooperative and activities is different from the shows co-ordination challenges Governance and Traditional Affairs civic public, largely Western ed- at the level of governance. The (COGTA), etc. I am including this ucated, based on civil structures: question is whether the national portion because of the cascading the schools, military and the civil macro organization of State gov- effects on governance structures at service. One could argue that this ernance structures, especially from provincial and local levels. uncovers ‘the making of affliction’ May 2009, supports efforts towards (O’Laughlin, 2013:175) in South mixed-income human settlement At local government level, for Africa where relations of class, race designs based on a transformative instance, a new Format Guide for and gender awkwardly intertwine praxis? The question is whether Integrated Development Plans and and produce and a tormented state led architectural projects in an Integrated consolidation Devel- “structure of feelings” (Pickering, urban South Africa have an underly- opment Plan Analysis Document 1997) as in ideas and popular con- ing transformative ethos to embody were issued by COGTA to ensure sciousness. the national agenda of integration that IDPs can deliver better to and development. I refer to integra- communities. All these issues have 2.0 METHODOLOGICAL tion here not in the liberal sense had major implications for national, POSITION OF THE PAPER which advances and conceals provincial and local level speed of Overall, the methodological posi- white values, whilst overlooking the innovation and delivery and even tion of this research is exploratory. Pan African code of human coex- kind of audit qualifications which Exploratory research methods are istence. In other words, does the occurred must be read against the more relevant if an issue or area institutional and governance context backdrop of the many changes has not been researched before. enable or disable mechanisms and which occurred at both leadership No research has been done on measures to explore and employ 149

© 2018 NMMU and DoHS levels and also structurally, at all along with the movement of poor tion is to expand and develop the levels, since May 2009. people out of concentrated public mixed-income urban settlement housing”. Simpson’s research in paradigm, from the mediocrity of These arrangements and re-ar- Chicago in the US indicates that its current form (as the Cosmo City rangements are not without that there is usually hope that experiment shows) to a transform- challenges and especially for the “by designing the income mix of ative praxis. The sustainability of advancement of new paradigms neighborhoods through policy these initiatives requires support in urban human settlement de- levers available to the government, and drive from a strong state. As we signs. As stated in ‘The State of the idea is that behaviour can be probably all know, the strength of the Public Service Report’ (2010), changed and inequality lessened” the state is not simply a product of government is, generally, still not (Simpson 2012:2). But his conclu- having majority support, but derives organized in a manner that brings sion is to the contrary as he argues from complex interactions between together all components that are that “the burgeoning efforts to the state, society and global forces necessary for addressing a giv- reduce neighborhood inequality by of international political economy. en societal priority — instead it is design are laudable and refresh- Of course, the strength of state organized along functional lines. ing, but the powerful legacies of cannot be taken for granted, it is not Sometimes the same function is history and the multidimensional absolute or guaranteed nor fixed, split across spheres of government reach of inequality present formi- but rather varies according to the and between government depart- dable challenges. In addition, the strength and character of ‘strug- ments and autonomous govern- lesson for urban design coming gles of repulsion and struggles of ment entities. The report gives the out of housing voucher policies is accommodation’ in multiple arenas example of the housing process that neighborhoods are not static of power and influence. The scenar- where the overall policy and norms entities that can be presumed to ios of the political fabric within the and standards are developed by passively receive treatments with- South African state are an important the national department, projects out change; rather, like individuals, factor for sustainability of initiatives and subsidy financing are approved neighborhoods are spatially embed- like the mixed-income urban human by provincial departments, and the ded and interdependent. Combined settlements. practical delivery steps (includ- with the powerful forces induced by ing the acquisition of land, town What makes the mixed-income individual choice mechanisms and planning, township establishment, paradigm of urban design impera- residential migration flows, the con- provision of infrastructure and the tive in South Africa is social ine- sequences of policy interventions to building of houses) are the respon- quality between neighbourhoods, modify the environment are difficult sibility of municipalities (Public especially in terms of the concen- to anticipate and even harder to Service Commission, 2010:3). The tration of disadvantage which often control. The decent or fair city is question is whether this has created coincides with race-based apartheid thus a goal that will take efforts as a challenge in replicating mixed-in- geography — it’s a kind of geog- persistent as the inequality it seeks come settlements of the Cosmo raphy which isolated and separat- to reduce” (Simpson, 2012:2). City type all over the country? The ed people in terms of race which Cosmo City experiment, with all its But Simpson’s analysis sort of also coincided with class position. flaws, was at least a starting point misses an important point. This Neighbourhoods characteristics which could be replicated and pro- point is about the ideological such as the concentration of pover- gressively improved. But given the dimensions of the transformative ty, racial separation where predom- fractured governance landscape, paradigm — these dimensions inantly white suburbs continue to this does not seem possible. need to be very clearly defined in be well resourced and upmarket, mixed-income human settlement as well as residential and housing 4.0 CONCEPTUALISING MIXED-INCOME URBAN experiments. The imperatives to instability for many black people DESIGN PARADIGM ‘disrupt’ spaces of exclusion and to continue to feature in South Africa’s build towards equity, cross-class, urban landscape. One wishes to The mixed-income paradigm is a non-racial urban community soli- argue that in South Africa’s sit- widely debated “mechanism for darity needs to be clearly spelt out uation, the mixed-income urban inducing more equitable cities” and monitored in such initiatives. design paradigm, once translated According to Simpson (2012:2), it But a strong state and a state with into a transformative praxis of urban is about increasing “the presence capacity and strong-will becomes design, will require the state to play of higher-income neighbors through very important in this instance. The a strong role in focusing the direc- the mixed-income redevelopment strength and will of the state as tion of change, as well as subject of high poverty neighborhoods — 150 a whole is important if the inten- the entire edifice to tight monitoring

© 2018 NMMU and DoHS and evaluation to help refine its ment of Housing, invited tenders for and mixed land use closer to urban further roll-out. The experiment of development proposals for Cosmo and transport centres, rather than Cosmo City was very important and City with its location north west of on the metropolitan edges, which I will make some reflections about Randburg. A team headed by Basil effectively reinforce marginalisa- it in the section below in order to Read and Kopana Ke Matla were tion and poverty” (ibid). But today advance the argument that an the successful bidders, and togeth- Cosmos City is slowly becoming improved version of it is needed to er they formed a company called a travesty of the noble intentions transform urban spaces in South Codevco. They then pulled together which informed its construction. “As Africa. But the structure and orien- the expertise of professional teams, in the rest of the country, crime is a tation has to be grounded on an including consulting engineers, concern in Cosmo City”. In addition unyielding ethos of transformation. KV3, now known as Worley Par- to this, “many beneficiaries of subsi- sons RSA” (www.civildesigner.com) dised housing who moved into Cos- 5.0 SOME REFLECTION mos City operate businesses from ON THE COSMOS CITY The series of court cases, which their homes as their only source of EXPERIMENT were fought over the planned income. These businesses range The claim that Cosmo City is the establishment of Cosmo City, from spaza shops to crèche, and first mixed-use, fully integrated, were costly to the residents of the even butcheries and taverns. sustainable housing development surrounding areas who were trying According to department of devel- in South Africa still abounds. It to protect “their land values, their opment planning and urban man- is still described as a leading, property rights and their rural living” agement report, these businesses ground-breaking prototype for the from what they feared as more do not comply with town planning post-1994 challenges to redress “crime, degradation, filth and squal- schemes and related by-laws, and urban spatial deficiencies and or which are the characteristics of cause unnecessary crime, noise marginalization in South Africa. The uncontrolled developments.” (www. and other disturbances. Residents idea behind the establishment of civildesigner.com) The fears were are also concerned when shacks Cosmos City emanated from the by a predominantly white middle are built as they feel that when need to relocate the communities class in the immediate surrounds. people settle illegally they engage onto land that would be “earmarked The final go ahead for the project in criminal activities and the crime on the basis of access to economic was given in October 2004 and the levels in the area rises” (www. opportunities and public transport pegging of the first phase began joburg.org.za). in a mixed-income and mixed- in November of the same year. use development”. The two large Construction on the infrastructure The interviews conducted during informal communities involved were and services started in January the research which preceded the Zevenfontein and Riverbend. The 2005, and the first beneficiaries writing of this paper, even though informal settlements were char- took occupation of their homes in not based on a representative acterised by substandard living November 2005. (www.civildesign- sample given the very few families conditions with limited access to er.com). The Cosmo City human that were approached and the short basic services. “A public and private settlement was thus apportioned time in which the interviews were sector partnership with strong com- according to house values “com- conducted, also attest to this. One munity involvement and buy-in was prised of a split between 4 992 fully of the three families interviewed seen as a way to facilitate a better subsidized houses, 2 959 finance/ has a bonded house and is frus- balance between social respon- credit linked units (ranging from trated by what they regard as the sibility and financial sustainability R180 000 to R280 000) and 3 337 heavy weight of the bond versus for the long-term success of the bonded houses in the R380 000 to slow increases in property value housing development. After identi- R800 000 price range” (ibid). This which makes it difficult to sell the fying land for public use, the City of was intended to attract people of property and move out of the area. Johannesburg had to use existing different income levels in order to The other two house owners do legislation to appropriate the 1 200 bring togetherness across class not live with their families and are hectares upon which Cosmo City and social status. The different using their houses as mere lodging would be built. A protracted period housing tenure and price types in spaces as they rent the other rooms of legal and consultative processes the same area were linked through including the lounge. One owner preceded the eventual development schools, crèches, clinics, transport, (I refer to as Family one to respect framework and technical studies for parks and public spaces. “The the informant’s request for anonym- the project (www.civildesigner.com). project was seen as a benchmark ity) retorted, “I will never bring my “By 2000, the now City of Johan- for a new model to low cost hous- family from Limpopo to live in this nesburg and the Gauteng Depart- ing that aimed to create integrated house. I can only use this house to 151

© 2018 NMMU and DoHS make money, to have shelter as I ments, and the experiments may need to look into the philosophy un- am in the taxi business. My home need to be carefully targeted and derlying the designs of urban spac- is in Polokwane and its big and led by an enterprising middle class. es if the overarching intention is to good”. He was firm in his views that An underlying transformative praxis advance transformation. If one were he can only have a decent home should run from concept to develop- to employ the theoretical models of in the province where he was born ment and from development to post change and transformation used by and Johannesburg is only ‘a place settlement and back to the concept. Cornel West (1994), one would say of work’. This relates to the issue This could help avoid mixed income the shift is needed in order to move mentioned earlier about the ‘primor- human settlements going derelict away from what West calls the dial public’ and its contribution to and loosing value over time. “Booker T Temptation model”. In divisions in the South African public. this model the preoccupation is with From the outset, when mixed The strong connections to rural the mainstream bourgeois liberal income settlements of the Cosmo communities by some urban people design models. This is when our City type are conceptualised, there in Johannesburg implies partial designers of urban human settle- is a need to make clear the ideo- urbanization. ments seek to stay within the norms logical paradigm which informs the of accepted models rather than On the whole, perceptions of all in- design. For instance, that they are break-ranks and put more effort on terviewees about quality of life and part of a broader national strug- re-configuring the entire system value of properties in Cosmo City gle for transformation and should to the very core. This is about the were not positive, but were nega- therefore be promoted among tendency to try not to disrupt ex- tive. Of course one cannot general- all socio-economic groups and isting spatial patterns of apartheid. ise without a representative sample classes who are committed to a In other words our approach to of the population of residents. The transformed South Africa, needs to transformation has to change – an methodology used in the research be upfront consistently. This then element of constructive disruption itself is largely exploratory and brings into question the role of the may be unavoidable in the end. An relies heavily on literature reviews state, especially a ‘people-centred alternative to this is what Cornel and the few interviews conducted government’, in determining the West (1994) calls the ‘Go It Alone were confirmed late during the kind of discipline which should be Option’ model. It involves attempts research. exerted over private business role by designers to think differently, players and communities who ben- 6.0 RE-MAPPING THE to ‘shun’ the mainstream or the efit from mixed-income settlement ROAD — WHAT NEEDS TO hegemonic establishment. As West through state capital injections. BE DONE? (1994) argues, this route is difficult What does not emerge from the The question about overcoming if not impossible. This is especially analysis of the Cosmo City experi- dualities is stubbornly persistent so if settlements based on comment, from the time of conception, and seems not to have been dealt pletely new designs are to grow and to design and implementation, are with by the Cosmo City experiment. enter into a balanced relationship principles of reciprocity i.e., what do Cosmos City is deeply divided by with other human settlements in the participants in the scheme have to all factors which divide our society country. give back to the government (not and despite the initial hopes that necessarily in the form of money), it will be mixed, it is in reality a 7.0 CONCLUSION what standards do the recipient of predominantly poor working class In essence, the paper supports the customised subsidies have to obey area with isolated lower mid- importance of a paradigm shift in in terms of maintaining the property, dle-class residents. The settlement urban human settlements design expanding the value and keeping was from the outset conceived as and it emphasises that this needs to it attractive for further investments. a low cost housing initiative and its develop into an entrenched praxis The principles of reciprocity extend advantage was that it was closer so that it becomes a way of doing beyond the formal legal contract of to work opportunities and was also things in urban development. The a buyer and seller as they touch on an experiment in mixed income link between original intentions, de- the levels of conduct and diligence housing. It was not designed to be signs and delivery should constitute required from beneficiaries and an attractive option to the enterpris- an unbroken thread. This should bond holders to jointly maintain ing middle classes who continue to be informed by a clear ideological market qualities to contribute to the leave in historically white suburbs. perspective on transformation and attractiveness of the area under There is a need for advanced Cos- this perspective should not be lost, experiment. mo City type experiments in order even after the establishment of a to deracialise urban human settle- On the whole there seem to be a mixed-income human settlement. 152

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