Essay: Overcoming the Housing Backlog in Informal Settlements: A Case Study of Kennedy Road, Durban



Pa1.1 Introduction

The exponential growth of the global population and the increasing rate at which societies are urbanizing presents a monumental challenge to major cities in developing world. The growth of urban populations is happening at a rate many times faster than the capacity to plan, build and manage urban settlements to meet this demand (Mayer et al, 2010:2). low incomes against increasing housing costs means the majority of new housing stock in the developing world is being built informally, a piecemeal development process that can result in hazardous neighborhoods lacking the basic conditions to create economically vibrant communities and strong societies (Mayer et al, 2010:2). Moreover, an adequate house accords dignity, protection from adverse weather conditions, security of persons and their property, comfort and privacy to the individual, family and the community as a whole  (Government of Kenya. 2004). It is the aspiration of every human being to reside in a decent house and living environment. However, with the achievement of this dream being limited by various factors such as low income, against increasing housing costs especially in developing countries (Syagga and aligula 1995) means that plenty are pushed into informality and South Africa has not been an exception.

1.2 Problem statement

Residential housing backlog is common in most cities. Whereas it may be partially attributed to rapid urbanization accompanied by high population growth, however, the most critical explanation emanates from the striking reduction in the proportion of the urban labor force working in formal enterprises and able to afford the ever increasing housing costs. The private sector targets its land at high income and middle income groups with regular employment and access to formal credit. Consequently, the urban poor and a relatively large segment of low-income groups have no choice but to settle on informal land thus exercabating the expansion of informal settlements.

However, preceding years have seen different measures implemented by the South African government to curb the housing backlog in the urban space. Despite such efforts, the housing problem still largely remains and shortage of affordable housing to keep pace with the ever- increasing demand remains a factor. Apart from the low- income levels of the people, lack of access to housing finance and limited capacity of the private sector to invest in low cost housing makes the challenge more complex and challenging (Abduremahn.2015). Durban is among many South African Cities facing a daunting challenge of the housing backlog. Despite implementing one of the most successful and vast (highly extolled by the United Nations) housing strategies, a significant portion of the metro’s population still lives in informal settlements with crippling conditions and social ills in its various forms.  

Whereas the Breaking New ground policy encourages in situ upgrading in original sites of informal settlements however, most of the metro’s housing strategies have been dominated by identification of green-field sites in the metro’s periphery. Particular focus in this study is given to one of Durban’s informal settlements (Kennedy Road).This paper makes a critical enquiry on the extent of the housing backlog at Kennedy Road informal settlement and aims to check factors that the Municipality defines as hampering the upgrading of the whole settlement. It looks into issues that have been encountered in different pilot sites as defined by the municipality and how these issues may be similar to Kennedy Road and have come to hinder overall upgrading of the settlement. Finally, it looks into the socio-economic characteristics of the settlement which justify the need for in situ upgrading on site as opposed to relocating the shacks to an identified site in Phoenix.

1.3   Background of the research

Section 26 of the constitution of the Republic of South Africa (1996) states that ‘everyone has the right to access to adequate housing and the state must take reasonable legislative and other measures within its available resources to archive the progressive realization of this right’. Equally, in parliament it is recognized that housing, as adequate shelter fulfils a basic human need and a vital part of integrated developmental planning. However, the rights and commitments enshrined in our constitution and various national and international development goals are not being sufficiently realised resulting in growing frustration at grassroots levels (Misselhorn, 2010:1), and plenty living in appalling conditions and pushed into informality. This is made worse by the inability to deliver against the ongoing political promises of housing and basic services. In this sense, the issue of informal settlements has become a developmental and political powder-keg in South Africa, which now requires swift, innovative and effective action (Misselhorn, 2010:1).

These settlements are typically comprised of economically depressed people living in overcrowded conditions with or without legal rights to the land on which they live. They are created for many reasons, including economic pressures and population gains. However, in South Africa, shortages of adequate housing tend to be political in nature often having deep and emotive historical association (Johannes & Lombard, 1996:1). Much of the problem has been attributed to the fact that many if not all South African cities were initially designed for small groups of expatriates (Group Areas Act and & Native Urban Areas Act) and the remainder of the population had been hidden and controlled by influx control legislation (SAHO, 2016). Strict urban planning methods did not cater for the majority. Increasing poverty in the stagnant subsistence economies of the overpopulated native reserves encouraged migration to cities upon the relaxation of influx control legislation in the leap into democracy and this stimulated emergence if not permanence of informal settlements.

Marie Huchzermeyer (2008) suggested that informal settlements are key performance indicators of a country and myriad government departments with respect to their ability to control poverty. Furthermore, these settlements are a product of strain and it is therefore important to realize that informal settlements are not necessarily the root cause of poverty and depression, but are a result of these.

1.4  Motivation

The motivation for undertaking the research stems from that housing plays a very central role in the quality of life and health of everyone. Equally, it extends towards economic, social, cultural and personal aspect on an individual and a nation as a whole. What this means is that housing greatly influences development goals and environmental sustainability. Unfortunately the first 20 years of democracy have left many South African lives untouched in particular those living in informal settlements, therefore the study was motivated by the Breaking New Ground policy (in situ upgrading) and how it aims to elevate the lives of people in these deprived settlements and enquires why some sections such as Kennedy Road have been ‘almost’ entirely overlooked and left to drown in poverty. Therefore the study was highly motivated by the ‘why’ some sections have not been upgraded as stipulated in the Breaking New Ground policy. Finally, the last part of the motivation of the study was to uncover different experiences and views from different people in particular the informal settlers and officials with an aim to bridge existing gaps and encourage  good practice in order to arrest the housing issue. As a sensitive humanitarian issue, it is therefore necessary to explore different alternatives and encourage a public dialogue on effective ways to house the lower income classes.

1.5.  Aim:

It is to reflect upon different settlement characteristics that would justify Kennedy Road as suitable for upgrading in its original location and make an enquiry on settlement characteristics that are considered by eThekwini Municipality necessary for in situ upgrading and assess what has been hampering the remaining and a majority of shacks from being formally upgraded. However, another aim is to uncover the roles that have been played by the Municipality in remedying the problem faced by the settlement in its midst.  

1.6. Objectives

‘ Examine the extent of the housing problem in Kennedy Road informal settlement.

‘ Look into the economic, social and physical aspects that would make the settlement suitable for upgrading.

‘ Assess the role of eThekwini Municipality in solving the housing problem and access to basic services in Kennedy Road Informal settlement.

‘ Assess different resident perspectives on settlement upgrading.

1.7. Research Questions

‘ How severe is the housing problem in Kennedy Road?

‘ To what extent are the community’s sources of livelihood linked to its location?

‘ What has the Municipality done to remedy the problem in Kennedy Road?

‘ Which settlements qualify for upgrading as defined by eThekwini Municipality and what procedure is followed to select these settlements?

‘ Are the current structures and location of the settlement suitable for adoption of in situ settlement upgrading?

1.8 Research Hypothesis.

H2- Kennedy Road settlers are pushed to the metro’s periphery due to housing market evictions, limited skills and low income.

H3- Kennedy Road informal settlement is strategically located in terms of being close to residents sources of livelihoods.

H4- Responses from participants are true and that room for biasness equates to nil.  

1.9. Conclusion

This chapter has provided a brief overview and direction of the study. The introduction introduced the concept of adequate housing as a basic human need and among the gross indicators of development and welfare of a country and how a variety of factors hinder individuals access to adequate housing including housing costs against declining wages. Additionally, this section encompasses the problem which is the housing backlog in many South African Cities including the major focus area of Durban (Kennedy Road Informal Settlement). The background however, encompasses housing as an enshrined right in the constitution of the Republic of South Africa and explains basic causes of informal settlements in relation to economic pressures particularly the reduction of the urban labor force working in formal enterprises and legible to access formal credit and keep pace with the increasing housing costs.

 Moreover, the motivation explained the urge for undertaking the research. Further the aims and objectives provide the direction of what is hoped to be achieved and instruments that will determine the success of the research. Lastly, this chapter offered research questions that serves as yardsticks and guidelines for the research and aligns these with the objectives of the study. Finally, this chapter gives tentative statements (hypotheses) that would later be confirmed or rejected once the findings have been gathered and given meaning.

Chapter 2

 Literature review

2. Introduction

According to UN-HABITAT’s estimates, one out of every three city dwellers’nearly one billion people’lives in a slum at present. For many years, governments and local authorities viewed slums as transient settlements that would disappear as cities developed and incomes of slum dwellers improved (Moreno, 2005:36). However, evidence shows that slums are growing and becoming permanent features of urban landscapes. Slums have carved their way into the fabric of modern-day cities, making their mark as a distinct category of human settlement that constitutes a space between ‘rural’ and ‘urban’ (UN-HABITAT, 2006).  They pose not only humanitarian issues but also a daunting challenge on how they can be contained requiring a reject of conventional wisdom and planning in the urban space. This chapter further discusses the issue of informal settlement. Furthermore, this chapter provides an overview of the historical housing developments (or interventions) that have taken place in South Africa to inform better solutions. Additionally this chapter prescribes in situ upgrading and relate different experiences of in situ upgrading from other countries and finally at ground level, eThekwini Municipality

2.1. Conceptualizing informal settlements

Informal settlements are residential areas where inhabitants have no security of tenure vis-”-vis the land or dwellings they inhabit, with modalities ranging from squatting to informal rental housing (UN Habitat Report. 2015. Pp: 2). These neighborhoods usually lack, or are cut off from, basic services and city infrastructure (UN Habitat Report. 2015. Pp: 2). Further, they often than not acquire these basic services by illegal means (illegal electricity connections). The housing may not comply with current planning and building regulations, and usually situated in geographically and environmentally hazardous areas (Cairncross et al. 1990). In addition, informal settlements can be a form of real estate speculation for all income levels of urban residents, affluent and poor (UN Habitat Report.2015).  In general, it is considered as a residential area in an urban locality inhabited by the very poor who have no access to tenured land of their own, and hence "squat" on vacant land, either private or public (Srinivas.2012). They exist in urban contexts all over the world, in various forms and typologies, dimensions, locations and by a range of names namely, squatter settlements, favelas, poblaciones, shacks, barrios bajos, bidonvilles (UN Habitat Report. 2015.Pp: 3).

However, a range of interrelated factors causes these settlements. Population growth (natural increase) and rural-urban migration, lack of affordable housing for the urban poor, weak governance have been cited as chief causes. For the millions of poor in developing areas of the world, urban areas have always been a means for improving their quality of living and environment, as well as getting better jobs and incomes (Srinivas. 2012:1). This, in contrast to deteriorating conditions in the rural areas has generated a considerable flow of migrants to cities. Priorities of these urban migrants change over time, depending on various conditions that they find themselves. One of the first issue that they face and which persists for a long period, is the question of an adequate house (Srinivas.2012:1). With little resources, financial or otherwise, skills or access to them, the drastic option of illegally occupying a vacant piece of land to build a rudimentary shelter is the only one available option to them (Srinivas, 2012:3 ), thus  low incomes especially from the informal economy cripples effective mobility.

 Additionally, the worsening of the state of access to shelter and security of tenure has results in overcrowding, homelessness and environmental health problems (Lasserve, 2006:3). This growth of urban ‘housing poverty’ and insecure occupancy status is also cited in a context of accelerated globalization and structural Adjustment Polices combining deregulation measures and an increased government disengagement from both urban and housing sector (Almeida.2012). This has seen in most countries the public sector retreating from contributing fully to the provision of serviced land and housing in the urban ‘space’ (Lasserve. 2006). Furthermore, the private sector targets its land at high income and middle income groups with regular employment and access to formal credit. Consequently, the urban poor and a relatively large segment of low -income groups have no choice but to settle on informal land for shelter thus adding a tally to the already existing number of informal settlements. However, from a positive look, informal settlements should not be perceived as overcrowded blights of the urban landscape but rather a solution of the urban poor to acquire shelter when neither the government or the housing sector could provide them with affordable shelter.

Due to non-legal occupancy status of these settlements, they are have been deprived and placed farther from access to basic services including access to safe and clean water, effective sanitation, housing and electrification. Their waste not only remains untreated, it surrounds them and their daily tasks and affect adversely their health in particular the most vulnerable their children. It becomes a humanitarian issue if children contract illnesses due to an unhealthy environment. The problem is further compounded by the apathy and even anti-pathy of various government agencies who view the "invasion" of land in urban areas by "the masses" and the development of squatter settlements as a social "evil" that has to be "eradicated" (Srinivas.2012). These settlements have been subject of government policies and projects that restrict land invasion and aim to bring space into conformity with prescribed conduct. For example aggressive approaches, including forced evictions. However, such a confusing reaction and attitude towards ‘squatter settlements’ has hardly if ever did resolve the overarching question of adequate housing for all.  

Cities, and more specifically large cities, have become the mainstays of most countries’ economies (SACN, 2006:3). They offer the largest concentration of customers and provide the biggest markets in the country. They provide the key distribution functions in most national and regional economies and the global economy (SACN, 2006). The highest concentrations of education facilities are found in the cities. Cities are the engines of the national economy (SACN, 2006: 2). However, such agglomerations are good for overall economic welfare of a country but they have also increasingly drawn the attention of illegal international migrants. Deteriorating economic conditions in home countries, for example high unemployment rates, low wages, and growing urban and rural poverty, have compelled many migrants to leave their countries of origin in search of better lives (World Bank, 2008:11). Political tension, marginalization of minority ethnic groups, civil war and ecological deterioration in some sending countries has also contributed to migration (Ibid). Illegal migrants in fear of deportation ought to settle in these informal settlements thus adding a significant number to informal settlements.

However, rapid growth of these deprived informal settlements as well as metro’s (until recently) unwillingness to accept them as permanent reality in their midst has placed slow response to service delivery needs of communities in these areas (Allan & Heese, undated:2). However,  recent development policy has attempted to integrate informal settlements into the broader urban planning and  have formed part of the UN Millenium Development goals agreed upon by 192 UN Member countries in 2000 (UN MDG 2010). Goal 7 serves to ensure environmental sustainability and target under this goal is ‘to have achieved a significant improvement of atleast 100 million slum dwellers by 2020’.

 2.2. Housing Development Theory: Burgess Concentric zone model

The Burgess Concentric Model originated in the 1920’s, the concentric zone model depicts the use of urban land as a set of concentric rings with each ring devoted to a different land use (Harrison & Campbell, 2001). A significant aspect of the model is that the CBD (Central Business District) is the most accessible location in the city and hence major routes of transportation emanated from the city's core. The model identifies five rings of land use that would form around the CBD, namely the (1) central business district, (2) zone of transition, (3) zone of independent workers' homes, (4) zone of better residences and (5) zone of commuters.

Source: Miller 2000

According to Harrison and Campbell (2001) an important feature of this model is the correlation of socio-economic status of households with distance from the CBD. Households that are more affluent were observed to be situated at greater distances from the central city, however the important exception is that in many developing countries, however, affluent residents cluster in the central city, and many of the poor live in the squatter settlements that spring up on the outskirts (Miller, 2000:726). These patterns of development resemble great similarity with South African patterns of urban development.

2.3. Conceptualization of Housing Need

There is a difference between demand which implies consideration of market conditions as reflected in price and need, which relates to norms which society finds acceptable (Roberts,1983:267). It is believed that a household's own resources propel the housing demand. A major focus is to distinguish between housing consumers influenced by demand and those who are influenced by the need for housing (Moroke, 2009:7).

Housing need is defined as a combination of people who are homeless; or people occupying unsanitary or overcrowded housing or otherwise living in unsanitary housing conditions; or people who would need to move on medical or welfare grounds (Moroke, 2009:7). This definition covers care and support needs and other social needs; or people who have a need to move to a locality where failure to do so will cause hardships to themselves or others (Bilson, 2007:4). Allmendinger and Chapman (2000:96) state that housing need is therefore residual; it represents the number of households without the financial means to make an effective demand for housing in the market.

2.4. Historical Background of Housing Developments in South Africa

The South Africa’s apartheid past has had a deep and enduring impact on housing, more so in a case of poor communities (Vartak, 2016). Equally, colonial and later apartheid era laws including the infamous group Areas Act of 1950 ensured that housing was strictly along racial lines and attempted to confine communities to race-based zones (Vartak, 2016). What this means is that, strict urban planning and segregation instruments thus led to large scale evictions in the urban areas pushing Black South African communities to poorly serviced townships on the peripheries of cities. African workers engaged in the growing manufacturing sector in cities were only allowed to live in barracks, hostels or servants’ quarters (Vartak, 2016). Despite numerous efforts for the apartheid government, demands of industrialization combined acute poverty and unemployment in rural areas led to increasing rural-urban migration and the creation of informal settlements. The Government policy towards informal settlements in South Africa reflected a tension between two approaches, recognizing the legitimacy of informal settlements or aggressively removing these so-called ‘slums’ (Hunter and Posel.2012). The then government sought the later increasing powers of eviction and criminalizing invasion of land.

 2.4.1. The Impact of the Native Urban Areas Act (1923)

Apart from strict segregation imposed by the Group Areas Act was its predecessor the Native Urban Areas Act of 1923 that extended segregation into cities, restricting African residency in urban areas. When the country’s industrial sector expanded during World War II there was a new demand for African labor (Parnell and Hart, 1999), and African rural urban migration created overcrowded shantytown settlements around cities (Mkhondo 1993). In 1936, the Land Act of 1913 was extended to deny property rights to Africans who had purchased land prior to the 1913 Act and moved them to reserves. The Urban Areas Act of 1923 empowered Municipalities to set up separate townships for African residents. This Act successfully segregated the population as people classified as Africans were subject to the ravages of legislation that became known as the ‘pass laws’ (Morris, 1998).

The majority of urban Africans had already been consigned to African-only townships prior to the advent of apartheid in 1948. Millions of Africans were prosecuted under the pass laws between 1950 and 1959. In addition, the pass laws vigorously controlled freedom of movement as every African person was told where he or she might reside, and moving out of one’s designated residential area without permission was punishable offence. Under the Urban Areas Act of 1923, Africans were only given the right to reside permanently in a town or city if they had been born in that particular town or city. ‘Most of the African population were not given the right to reside in urban areas but were forced to remain on White-owned farms or to reside in homelands. The homelands were a central feature of the Apartheid system’ (Morris,1998:28).   

 2.5. Post apartheid constitution and the right to adequate housing

   

 The post-Apartheid government not only inherited a critical housing shortage, with the 1996 Census reflecting a housing backlog of 2 202 519 (South Africa.info.2016), but it also inherited at-least 60 percent of households earning below R3500 per month. The end of white minority rule following the first democratic elections in 1994 heralded an end to de jurist segregation, and the promise by incoming leaders of ‘housing for all’ (Wickeri, 2004). The previous constitutions offered rights to the white minority at the expense of majority blacks and denied the latter access to socio-economic assets such as housing rights in cities (Currie and de Waal, 2006). With important exception, the new constitution (1996) was the first to cater for all citizens without distinction.

Section 26 of the Constitution identified the right to basic needs, including protecting, fulfilling, promoting and respecting the right to housing (tshikotshi.2014) and further stated that:

‘ ‘Everyone has the right to have access to adequate housing.  

‘ The State must take reasonable legislative and other measures, within its available resources, to achieve the progressive realization of this right.

‘  No one may be evicted from their home, or have their home demolished, without an order of court made after considering all of the relevant circumstances.

‘ No legislation may permit arbitrary evictions (RSA, 1996: 12). However,despite those promises, however, millions of South Africans continue to face housing crises. The result is the continuing expansion of informal settlements, driven in part by the failure of housing delivery to address the growing demands of the urban poor in part explains the increase in informality within South Africa (DAG, 2007).

2.5.1. Housing Act 107 (1997) of the Republic of South Africa

Section 2(1) (iii) of the housing act (1997) states that ‘national, provincial and local governments must promote the establishment, development and maintenance of socially and economically viable communities and of safe and healthy conditions to ensure the elimination and prevention of slums and slum conditions (Hofmeyr.2008.p.95). The Housing Act thus legitimizes only a positive approach towards doing away with informal settlements (Huchzmeyr.2007.p.59). The Housing Act recognizes the Constitutional right to adequate housing access and clarifies the State’s response to this right by setting out the legal plan for the sustainable development of housing (ESST Amendments.2008). The Housing Act obliges ‘all Government spheres must prioritize the needs of housing development in consultation with poorer individuals and communities, particularly recognizing the needs of women and other marginalized groups’ (Housing Act.no. 107.1997.).

 It further states that, ‘housing developments must be affordable, sustainable, environmentally friendly and culturally diverse’ (Housing Act.no.107.1997).  In essence, it promotes improved urban economic and social development to the extent that informal settlements will no longer be required (Hofmeyr.2008.p.95).  There is no principle in the act on which one could base the types of direct and negative intervention that were instituted by Apartheid government in its  attempt to eliminate or eradicate informal settlements expansion, eviction, forced relocations to controlled transit camps, criminalization of land invasions and mandating of municipalities and land owners to institute evictions (Huchzmeyr.2003).

2.5.2. White Paper With Respect to Housing (1994)

The adaptation of the Housing White Paper (HWP) in 1994 indeed reflects the fundamental understanding that housing is a basic need. The Housing White Paper particularly focuses on creating an enabling environment and also to contribute to the certainty required by the market, and to give provincial and local governments the capacity to fulfill their constitutional obligations (South Africa 1994a:4). It highlights the importance of partnership between the various tiers of government, the private sector and the communities (South Africa, 1994a:4).

2.6. Actors in shelter delivery

In terms of formal housing delivery, the State through the provision of subsidies, and the private sector as implementing agent, have been the main actors in shelter delivery (Bolnick, 2009:5). However, it can be argued that their efforts are outmatched by the number of poor families who are significant contributors in shelter delivery albeit in the form of informal shelter (Bolnick, 2009:5). In fact it is interesting to note that ‘informal, auto-constructed, makeshift shelter responses house 62% of African urbanites’ and in South Africa not less than 50% of the urban poor (Bolnick, 2009). ‘In other words, (it can be argued that) the shanty city is the real African city. This further implies that (a significant share) of city building can be attributed to actors outside of the state and formal business sector (Edgar Pieterse; August 2009).

2.7. South Africa’s Housing Delivery Systems  

South Africa’s housing delivery systems have not solved the problem of growing informal settlement. Prinsloo (1995) identified a number of different delivery systems and financial schemes in housing provision in South Africa.

These include:

‘ Self-help ‘ where citizens erect their own housing/services on sites

  either provided by or purchased from the government.

‘ Assisted self-help ‘ where citizens build their own housing with

  subsidised ‘starter kits’ provided by the government

‘ Site and service schemes ‘ where government services residential sites

  with development and other infrastructure services.

‘ People’s Housing Process (PHP)

‘ Informal housing ‘ residential settlements that have not been officially

    designated by government.

‘ Mass housing programs ‘ construction of multiple public housing units.

2.7.1. Self Help Schemes and Assisted Self help schemes

Self-help and assisted self-help housing strategies have a long history in South Africa, dating back to the earliest African settlements of the colonial era (Parnell and Hart, 1999). Self-help and site and service schemes, later known as the People Housing Process (PHP), constitute the vast majority of government-sponsored housing initiatives in the country (Lupton and Murphy, 1996; Parnell, 1996). This scheme allowed owners to be involved in construction; as Turner argued, ‘The main criterion in respect of housing was whether the owner was in control of the construction process, design and management’ Marais, et al. (undated). Self-help is typically a slow delivery method but offers several advantages including mobilisation and realisation of local social capital, greater participation by residents in the design process and potentially achievement of a bigger housing product as a result of sweat equity (Messelhorn, 2008)

2.7.2. Site and services schemes

From the 1970s to the 1990s, the housing strategy in South Africa involved delivery of shelter through site and service schemes. These schemes were part of a strategy to contribute effectively to informal settlement upgrading. The purpose of self-help was to provide recipients with a site and services, coupled with a nuclear (starter) home that can be extended over time, Marais et al.

(undated). Morris (1998: 34) argued that, the site and service represent the central thrust of the ANC government’s new housing policy. Site and Service means that: residents are provided with a site and basic services, which is a tap, toilet and at times a basic foundation and very small rooms. It is the household’s responsibility to erect whatever structure they can afford’. The policy was criticized for being neo-liberal and consequently, for providing housing product that was too small (Tomlinson, 1996). The small housing product was commonly associated with macro-economic motivations (national budget constraints; savings on labour costs) and never with the concepts of housing satisfaction and dweller-control (Marais et al., undated).

2.7.3. People’s Housing Process

Apart from contractor built housing the Government enables a People’s Housing Process (PHP) (Bolnick, 2009:5). This process aims to support households who would like to build or organize the building of their own homes. This approach makes a particular effort at involving women in decision-making and draws on their skills and roles in their community (Bolnick,2009). The largest provider of PHP housing in South Africa is the Federation of the Urban Poor (FEDUP). FEDUP has a policy that stipulates that all housing built through the capital subsidy system must be 50sqm. FEDUP has built 15 000 formal houses over the last 15 years.

2.7.4. Informal housing

Informal housing exists where housing has been created (often) in an urban or peri-urban location without official approval (NUSP, 2016). Informal housing is generally characterised by inadequate infrastructure, poor access to basic services, unsuitable environments, uncontrolled and unhealthy population densities, inadequate dwellings, poor access to health and education facilities and lack of effective administration by the municipality (NUSP, 2016).

2.7.5. Mass housing

2.7.5.1. Reconstruction Development Programme (RDP) (1994)

The combination of the then ruling party’s policies (Apartheid government), economic strain and deteriorating conditions in the rural or homesteads offered an unintended incentive to encourage migration that in turn added to the severity of the housing backlog and increasing numbers living in informal settlements.  The new democratic government (African National Congress led government) was tasked to address the immense socio-economic problems created by apartheid regime. The African National Congress government announced a target of 1.1 million subsidies to be delivered in the then next five years from 1994. The government implemented a public housing programme (RDP) whereby all poor people whose household income does not exceed R3 500 would be given a house by the government.  ‘The RDP was essentially the African National Congress (ANC) ‘manifesto’ during the elections of 1994′ (Mackay, 1995: 136), Socio-economic development formed a vital part of the Reconstruction and Redevelopment Programme. In particular, it aimed to alleviate poverty and address the massive shortfalls in social services across the country (Metagora, 2006).  From1994 and 2001, atleast, over 1.1 million cheap houses eligible for government subsidies had been built, accommodating 5 million of the estimated 12.5 million South Africans without proper housing (Metagora,2006).

Despite achieving success to a certain degree however, the delivery was driven by the private sector. While delivering relatively quickly, the private sector complained that the subsidy was not enough to deliver quality housing and that there was no profit in building low- income houses. Equally the strategy was largely based on ‘green field’ identification which in turn required relocation of informal settlement households predominantly to vast, peripherally located standardized dormitory development’ (Huchzermeyer,2003: 595). However, what is important is that the benefits of improved housing can be easily offset by the costs of isolation. In fact relocation meant social and livelihood networks were somehow disrupted. Additionally, as a result of the continued support for state-delivered development rather than a people driven

development encouraged individuals to be passive receptors of the housing process. Thus making the strategy susceptible to political manipulation where local politicians gain support through brokering such deliveries.

2.7.5.2. Target to eradicate informal settlements by 2014

Breaking New Ground

In contrast to the government’s previous housing strategy that aimed at eliminating informal settlements through relocation of residents to formal housing (Department of Housing, 1994) , in 2004 the South African cabinet approved ‘Breaking New Ground (BNG): A Comprehensive Plan for the Development of Sustainable Human Settlements’  (Breaking New Ground Policy, 2004:7). The Breaking New Ground policy seeks to address various problems associated with the previous social housing programme, which included a slowdown in delivery, peripheral location of housing which conformed to apartheid segregation, and the absence of simultaneous development of transport and other infrastructure at relocation sites.

To rectify these and many other shortcomings of the earlier programmes, Breaking New Ground includes plans to integrate peripheral housing developments into cities as well as to ensure that future housing development occurs on well-located land (Breaking New Ground Policy,2004:8). The policy also acknowledges that current inhabitants of areas undergoing urban renewal ‘are often excluded as a result of the construction of dwelling units that they cannot afford’ and attempts to address this by encouraging the development of social housing (affordable rental housing), while also increasing affordability, or ‘effective demand,’ through new housing finance initiatives (Vartak,2009:11). The strategy supports eradication of informal settlement through in situ upgrading in desired locations, coupled to relocation of households where development is not possible (DoH.2004. 12). The Breaking New Ground policy has been increasingly aimed at shifting response towards informal settlements from neglect towards integration and cooperation, leading to the stabilization and integration of these areas into the broader urban fabric (DoH.2004a.17).

2.8. Prevalence of poverty in informal settlements

Whereas it is important to bear in mind that informal settlements are not necessarily the root cause of poverty and depression, but a result of these and of opportunities centered more in urban areas (Lasserve, 2012), poverty itself is characterized by the inability of individuals, households or communities to attain at least an acceptable minimum standard of living, due to a lack of resources (Ngwane et al. 2001:201). The most common definition used by development agencies refer to a monetary value of a basic ‘basket of needs’, for example, the World Bank’s one-dollar-a-day poverty line (Moreno, 2005:35). However, these definitions do not incorporate concepts such as freedom, human rights, participation and other issues related to governance that are essential to human development (Moreno, 2005:35). Thus, the income poverty concept is limited in that it does not capture broader opportunities and constraints to achieve wider human goals (Moreno, 2005:35)

.

Therefore poverty can also mean social exclusion (deprivation of opportunity to participate in society or a progressive deprivation of resources and of social links).  It can also mean disadvantage in access to resources, human misery, dependency, social instability and economic morbidity. Nowhere in the metro are poverty levels at peak than informal settlements. Plenty are deprived so much that they decide to settle in overcrowded areas farther from access to basic services. Living conditions are generally poor, as the residents face challenges such as solid waste accumulation, poor access to basic sanitation and water supply, recurrent shack fires, a range of health hazards, safety and security risks (UK Papers, 2013). Despite these declining living conditions, what is most important and matters most to the poor is to have a roof over their heads.  

2.9. Proposed solution: in situ upgrading

As an alternative to moving people or replacing their homes as seen in the previous housing policy (RDP), is settlement upgrading. Upgrading consists of improving the existing infrastructure. Huchzermeyer (2011:13) asserted that it is an incremental approach to informal settlement upgrading where the permanent securing of tenure and rehabilitation of Un-suitable land is based on ‘meaningful community participation’. In essence in situ upgrading approaches are based on continuous engagement, participation and incremental upgrading on site. In this strategy projects are designed from the bottom up working with communities so that the communities decide what levels of service they receive.  In contrast with formal projects (i.e. RDP) that prioritize the construction of new housing where people are (often involuntarily) relocated to make space for formal housing developments (Jordhus, 2013:1).

However an essential part of upgrading is transferring tenure rights to the occupants. On one hand, formal tenure removes risks of arbitrary evictions and encourages households to invest more in their homes. On the other hand, it provides dwellers with a minimal requirement to access formal credit, that of living in a legal settlement. Additionally it enables households to realize more land market gains and rental incomes as well as allowing municipal governments to regularize informal settlements and facilitate property taxation (Adhikari & Deb, undated:237). Furthermore, settlement upgrading has two significant advantages, it is not only an affordable alternative to clearance and relocation, but it minimizes the disturbance to the social and economic life of the community. Additionally, it has been noted that informal settlements are characterized by high levels of poverty, to the extent that poverty alleviation is now considered by the World Bank to be the primary objective of upgrading (Sheuya, 2004). The Expert Group Meeting of (UNCHS) emphasizes that ‘informal settlements are composed of people, not just housing. Hence, physical upgrading of the environment, without enhancing the self-respect of the inhabitants and helping them achieve sustainable livelihoods will not produce lasting improvements’ (Majale, 2002: 30).

The strategy tasks the municipality with planning where development will takes place, including identifying informal settlement for upgrade and setting targets for delivery using municipal planning instruments, like Integrated Development Plan (IDP) and their associated Housing Sector Plans (HSP) (Tissington et al 2010). Perhaps most important is that communities living in informal settlement need to be in the Integrated Development Plan.

2.9.1. Settlement Upgrading at International Level

Whereas different countries have had experiences of settlement upgrading as a viable alternative to curb growth of informality or rather informal settlements, this part of the paper frames settlement upgrading with respect to international experiences (Brazil-the case of Soa Paulo) and how these cases can inform local settlement upgrading policy especially in the case of Kennedy Road Informal Settlement. Brazil has faced a similar problem of proliferation of informal settlements and is among countries that have undertaken measures to implement upgrading of informal settlements and various lessons can be drawn to learn what may have worked and what has not.  

2.9.1.1. Case Study: Brazil- Sao Paulo

From as early as the 1960s, lack of available land has forced thousands of Brazilians into urban areas, where many of them live in shacks in the slums known as favela (Osorio, 2007). The initial government response was through eradication via bulldozing. However, official Brazilian policy shifted in the 1980s toward slum upgrading instead of its eradication thus recognizing it is easier and cheaper, not to mention more humane, to improve the conditions in a slum rather than trying to remove it (Bueno & Sedeh, 2011:1). Moreover, the new policy lacked much weight until the federal enactment, in 2001, of a "City Statute" requiring that cities enact master plans (Bueno & Sedeh, 2011). It also provided a set of tools that municipalities could use to control land transfer and seek to assure legal tenure for tenants: a process S”o Paulo formally integrated into its own master plan a year later (Bueno & Sedeh, 2011:2).

 One of the most useful tools was letting cities create "zones of special interest" for disorganized slums, formally recognizing their existence and qualifying them for social services. Another tool authorizes joint citizen-government management councils both in new and more settled areas (Bueno & Sedeh, 2011:1). Moving to more legal tenure, experts on Brazilian slum upgrading suggest, requires three elements to be workable. First, is the location for human settlement not a water pollution risk because its location is too steep or on a flood plain? Second, is the settlement legally registered, or at least in the database of city properties? And third, do its residents have legal title to the land? And if not, what can be done to assure them secure tenure? (Bueno & Sedeh, 2011:2). There are clear rewards if a full process of regularization that is providing clear legal tenure can be achieved (Bueno & Sedeh, 2011:2). If families can have their land title confirmed, or at least secure a certificate recognizing their occupancy rights, some taxes can be levied (Logan, 2012:1). Rules can be set (and enforced) to prevent building collapse. Regular streets, schools and clinics can be brought in, attracting investment (Bueno & Sedeh, 2011:2).

These policies were aimed at squatter-upgrading intervention, which focuses on re-urbanizing the squatter settlements and integrating them into the formal city.

 In 1988, the new Brazilian constitution opened up possibilities ‘to resolve a range of problems stemming from social inequality in cities, particularly by recognizing the right of the citizens to participate in formulating and implementing public policy and to promote public control of the state’ (Osorio, 2007:8). Moreover, much success in the strategy emanates from the positive doing away of informal settlements from a direct and negative manner of dealing with informal settlements. However, much of the upgrading was halted in 1993 when the new party came into power and developed a new programme otherwise known as the Cingapura Programme. This new programme focused on moving people to temporary housing on the same location and the old informal settlement was rebuilt using high rise blocks of flats as opposed to relocation.

2.9.2. Settlement Upgrading: eThekwini Municipality

In 2001 the newly established eThekwini Municipal Council for the Durban area launched its Slum Clearance Project. The project involved clearance of slums and relocation of shack dwellers to houses constructed in green-field developments (developments on new sites invariably on the out skirts of the city) under the National Housing Subsidy Scheme. In-situ upgrading of informal settlements was to be undertaken only in a few cases. eThekwini Municipal Council also declared that by 2010 (later pushed forward to 2014), Durban would be a ‘shack-free’ city. However, with the new Breaking New Ground Policy, the municipality has attempted to upgrade informal settlements on site without relocation.

2.9.2.1. Case study: Zwelisha (Durban)

Since the publication of the state's housing policy Breaking New Ground, in situ upgrading is the preferred approach to slum improvement (Partel, 2016:2). Settlement of Zwelisha, is 35 km north of Durban within the municipality of eThekwini. The inception Zwelisha upgrade project began in 2005. Zwelisha was selected as a study site against criteria including location, stage in the upgrade process and size (Partel, 2016:4). Zwelisha was selected by the municipality because it promised to be a relatively uncomplicated project. The site was close to existing infrastructure and the land acquisition process had been straightforward. Additionally, there was sufficient land so that no resident would not have to be resettled elsewhere, the settlement was small, party political activity within the settlement was minimal (Patel, 2013:4). The upgrading process took place prior to the 2010 Soccer World Cup however, the Municipality managed to secure a master builder to oversee the implementation phase of the upgrade (Patel, 2013:4).

Chapter 3 Methodology

3. Introduction

This chapter presents detailed information about the study area (Kennedy Road Informal Settlement) and the methodology which outlines the target and sample population that is used to infer or arrive to critical results. Additionally, it further states the data collection technique that is used to gather valuable information. Finally, it offers procedure and methods of analysis.

3.1. Study area

As the third largest city in the country, Durban in Kwazulu Natal province has attracted migrant labour from different parts of South Africa (Vartak, 2016:2). Lacking adequate social housing strategies, by the 1980s Durban and the area around the city was home to hundreds of shack settlements (Vartak, 2016:2). Kennedy Road Informal Settlement is among these numerous shack settlements and is home to an estimated 10,000 people or 2600 working families. Kennedy Road settlement is located within Clare Estate, a predominantly Indian middle class area complete with shopping centres and high-rise buildings (Abahlali BaseMjondolo, 2009:1). As pointed out by Abahlali BaseMjondolo activists from Kennedy Road, the location of the settlement is central to the lives and livelihoods of its residents (Abahlali BaseMjondolo, 2009:1).

However, Kennedy Road can be divided into two sections, on one hand, the one that has been formally upgraded by eThekwini Municipality (one third of the whole settlement). On the other hand the one that is mainly shacks deprived of essential services (two third of the whole settlement). This paper focuses much on the later that has not been upgraded.

 3.2.Research Approach

The approach used in this research is the mixed methods approach which can be understood as located in the pragmatic paradigm. Wheeldon (2010: 88) argues that pragmatism relies on the approach that is flexible instead of relying on deductive reasoning and the general premises before conclusion could be reached or relying on inductive reasoning before reaching conclusion. The main aim is to obtain benefits in both qualitative and quantitative methods while at the same time minimizing their limitations. Qualitative and quantitative approaches are used to complement one another. Complementarity is the adoption of two strategies that converge different parts of an investigation (Dainty. 2008. Pp.8). A mixed methods research as argued by Amaratunga et al (2002: 30) has a number of advantages within the Built Environment.  Housing serves as a nexus and brings together different disciplines of study. However, it is within the domain of built environment which makes the mixed method more complementing for this study.

3.2.1. Qualitative method

 Creswell (2003) argues that a qualitative approach is one in which the inquirer often makes knowledge claims based primarily on constructivist perspectives for example, the multiple meanings of individual experiences, meanings socially and historically constructed. This research takes a qualitative stand by means of administering questionnaires that are both open-ended (to get the subjective views and feelings of interviewed individuals) and close-ended questions. The main aim is to develop a theory or capture emerging patterns as well as participatory perspectives. Equally, in-depth interviews are to be conducted by the researcher and a critical enquiry from Municipality officials with regard to in situ upgrading.

Administration of interviews in people’s homes emanates from a naturalistic world view paradigm premised on that realities cannot be understood in isolation from context. This means that in order to increase validity and gain fullest understanding of issues of participants they are to be interviewed and recruited within their natural day to day environment.  

3.2.2. Quantitative approach

A quantitative approach is one in which the investigator primarily uses post-positivist claims for developing knowledge (i.e., cause and effect thinking, reduction to specific variables and hypotheses and questions, use of measurement and observation, and the test of theories), employs strategies of inquiry such as experiments and surveys, and collects data on predetermined instruments that yield statistical data (Creswell.2003). In essence measurements must be objective, quantitative and statistically correct (Anderson. 2006).With the quantitative method, the common belief is that social observations should be treated as entities in much the same way that physical scientists treat physical phenomena (Tuli, 2004).

In this study, information supplied by respondents was converted into statistics in the form of percentages and thematic charts. Quantification of the data in statistical terms served to show proportions and frequency in which certain views were inter-related or alike.  

3.3. Procedure using the mixed method approach

Whereas both qualitative and quantitative in combination, provide a better understanding of the research issue or problem than either research approach alone (Creswell.2009) however, the procedure follows simple steps as outlined below:

‘ Randomly select households from the lager population to create a sample (in Kennedy Road)

‘ administer questionnaires to respondents

‘ take notes of respondent’s views and experiences

‘ assess the physical characteristics of the settlement through observation

‘ take relevant pictures as tangible evidence of the living conditions residents put up with.

3.4. Sampling method

Sampling is the process of selecting units (e.g., people, organizations) from a population of interest so that by studying the sample we may fairly generalize our results back to the population from which they were chosen (William, 2006:1). In this study, a sample of 17 residents (head of household) in Kennedy Road informal settlement were randomly chosen. This meant that each head of the household had an equal chance of being chosen thus eliminating room for biasness. However, the study gathered information on time in which selected respondents had stayed in the settlement, employment status and various reasons including why they chose Kennedy Road as an area to live in. Above all, the researcher noted their different views on the proposed alternative (in situ upgrading).  

3.5. Data collection

Responses from individuals were the key element that provided new insights and revealed emerging patterns and shared interests with regard to the housing crisis and in situ upgrading. However, collection of such crucial information was inseparable from naturalistic belief that to fully understand a phenomenon, it has to be studied in its day to day environment. This required the researcher to travel to Kennedy Road Informal Settlement. Thereafter, a selected sample (due to time constraint) had to respond to a constructed questionnaire. Response from participants was treated not as an end in itself but a pillar that will capture shared interests of residents, therefore each response is captured and written by the researcher.

 However, Kennedy Road informal settlement is largely occupied by black descent or natives (with few cases of foreign nationals). Although the administered questions were of different language (English), not all respondents were well educated therefore to arrest confusion, the questions were clarified using the majority language in particular isiZulu.

key informant (interviews)-primary data

‘ Residents (N=17)

‘ eThekwini Municipality Human Settlements Department (junior settlement upgrading specialist).

Participant responses serves as immediate and direct information hence represents primary data

‘ Secondary data

The study goes on to explore available information regarding in situ upgrading from studies of similar nature which in turn counts as secondary data.

‘ Observation

Observation helped put into context and alignment with responses from the chosen sample and involved looking into aspects such as:

‘ Current condition of sanitation system

‘ Material used to build the shacks

‘ Economic activities that respondents engage in

‘ Electricity connection (Legal or not, safety hazard of the connections)

3.6. Data Analysis

According to Rossman & Marshal (1990:111), data analysis is the process of bringing order, structure and meaning to the mass of collected data. It is a messy, ambiguous, time-consuming, creative, and fascinating process. It does not proceed in a linear fashion; it is not neat. Data analysis is a search for general statements about relationships among categories of data. Equally, Hughes et al (1995:295) further stated ‘it is the way in which the researcher moves from a description of what is the case to an explanation of why what is the case is the case’. However, this research consisted of notes that were taken by the researcher from respondents (primary data) and analysis was largely drawn from the notes.

Quantitative data collected from the survey presented in this research is in the form of charts (pie), bar graphs and percentage distribution. Therefore a method of analysis used in the study is thematic.

3.7. Limits

One of the major limits emanates from that, the researcher could not get hold of senior members of Abahlali BaseMjondolo (Shack Dwellers Movement), as a consequence, respondents had to make views on how the movement has attempted to make any change in the settlement. Furthermore, in Kennedy Road, the issue of housing has moved beyond a physical structure to a highly emotive and politically driven one, some did not want to participate at all, and questioned the purpose of the study. Finally, some of the respondents spoke mixed languages involving isiZulu and Xhosa, broken English, therefore translation into a common medium meant (i.e. emphasis) may have been altered.

 3.8.Conclusion

This charpter has provided the detailed information about the study area (Kennedy Road Informal settlement) and the research approach (mixed method) that is used to explore and gain insightful information regarding the problem and to accurately capture different views of respondents. Furthermore, it provided information on the sampling technique and how respondents were drawn from a larger sample frame. Finally, it explained the data collection and analysis methods that were used in the  study nor the limits that were encountered.  

Source: Google Maps 2016

Charpter 4

4. Data analysis and interpretation of findings introduction

This part of the paper encompasses different views from relevant participants (Kennedy Road settlers, and eThekwini Municipality officials). This process is therefore essential for cleaning, and modelling the data with the main aim of discovering useful information, suggesting conclusions. In essence, this section helps to understand particular patterns that emerge from views and experiences of relevant stakeholders or participants including the appalling living conditions Kennedy Road Residents put up with in their everyday lives, and views from municipal officials on how to curb the problem at hand. Additionally, this section offers a summarized descriptive data regarding the sample used in the study.

4.1. Respondent’s length of stay in Kennedy Road

whereas one may expect a significant proportion of the sample to have resided in Kennedy Road for a minimal period of time hence vouching for limited improvement that have been made by eThekwini Municipality however, within the sample only a striking 17.65 percent of residents reported to have resided in the settlement for less than a period of five years. Equally 41.18 percent reported as being within the 5-9 years margin, 35,29 percent between 10-14 years and finally 5.88 percent claimed to have resided for more than 15 years. The percentage distribution crudely but clearly shows that most of the residents have spent most of their lives in the settlement better yet they are still faced with one of the dilemma they faced when they first arrived in the settlement, an issue of an adequate house. Only a typical 3 (in a ‘=17) respondents have resided in the settlement for less than five years and the majority have resided in the settlement where the need for housing and basic services is absolutely desperate.

These grim percentages show how long residents have lived under appalling conditions and act as constant reminders how the metro’s economic prosperity has not been translated into equal benefit for all. To one extreme, a respondent used a disturbing metaphor claiming that ‘will the number of body counts prove that we are in desperate need of better living conditions that are not detrimental to our health and our children’ This proves the strong need base within the settlement. However, some of the residents feel that they are being ‘manipulated and used by politicians especially as vote banks’ with regard to housing.  

4.1.1. Table showing duration of stay in the settlement

Length of stay (years) Frequency (count) percentage

<5 years 3  17.65

5-9 years 7  41. 18

10-14 years 6  35.29

15>

    1  5.88

  ‘=17 ‘= 100

Source: Author 2016

4.1.2. Bar graph showing length of stay in Kennedy Road

Source: Author 2016

The graph further demonstrates the distribution of the length of stay in Kennedy Road settlement and from the graph, it can be deduced that resident’s length of stay peaks between 5-9 years and 10-14 years. This means that many have spent their lives in the settlement but their living conditions have hardly improved if ever did.

4.2. Employment status  and livelihood at Kennedy Road (sample)

The majority of residents in Kennedy Road are employed in the grey economy or the informal sector which accounts for a remarkable 41.18 percent of all income generating activities. However, this category can be further divided into several parts. For example some are self employed as street vendors (11.77 %), as spaza shop owners (17.65 %), sells meals at a taxi rank (5.88 %) and as car parking assistants (5.88 %).  The survey data elicit that spaza shops are most dominant form of income generation among residents. However, the formal sector accounts for 23.53 percent. The formal sector encompasses all jobs with normal hours and regular wages, and are recognized as income sources on which income taxes must be paid (Zungu, 2010:16). Residents that fall within this category identified as either, a security guard, a factory worker and a regular worker at a local fuel station and had no tertiary education (diploma or degree).

Despite the aforementioned sources of income, 35.29 percent residents are unemployed (thus without tertiary education) echoing the fact that if many respondent are without these, the issue of prevalence of poverty is far from being won. However, some of the respondents elaborated on how they survive with no income and explained that they depend on social safety nets (social grants and pension). Arguably this figure could more than triple if people are ‘displaced’ to a green-field location. In essence upgrading of the settlement would mean minimal disturbance to the existing socio-economic structures and residents would not only constitute towards meaningful participation in the upgrading process (as opposed to turn key housing) but acquire skills and experience as well. In order to successfully win the argument over poverty, the data elicits the need for supporting or integrating the informal sector.

4.2.1 Pie Chart showing employment and livelihood status at Kennedy Road

Source: Author 2016

The pie chart generally shows the proportional data of employment status in the form of a percentage represented by each corresponding slice of pie. From the pie chart, it can be clearly noted that the bigger slice of the pie corresponds to the informal category. Hence many respondent’s livelihoods fall within this category. To a lesser distribution, is the unemployed category and the least being the formal category.

   Propane cylinder

Source: Author 2016 ‘ picture:1

The picture shows the respondent’s way of making money by selling ‘Inhloko’ (head slaughtered cow) to taxi drivers using a propane cylinder (which can also be another hazard as shacks sometimes catch fire).

Source: Author 2016- picture:2 (formal houses opposite the shacks turned into a shop).

Source: Author 2016 – picture:3

Container used as a retailing spaza shop.

4.3. Money spent on transport (working respondents only N=11 out of 17)

From the data 36.4 percent of the respondents fall within the ‘none’ category. This means that sources of livelihoods are in close proximity hence respondents do not have any transportation expenditures. However, 45.5 percent spend between R100- R190 per month on transport including transportation of stock. The remaining segment of 18.1 percent, spend between R200- R290. Perhaps the most significant finding is that none of the respondents spent more R290 per month on transport. This is in line with the strategic location of the settlement. Some of the residents claimed that being a lot more closer to work means they spend less money on transport and they utilize the money for other needs.

These figures as well as respondents views add more fuel to the need for in situ upgrading of the settlement in its original site. One respondent (mother of two) claimed that ‘relocation areas are too remote to commute from, if I were to be relocated to a Greenfield location as officials once spoke of Phoenix, that would mean increased expenditure on transport and a gradual decline on available food on the table for my kids’. This claim challenges conventional wisdom on the benefits of improved housing in the relocation areas and how these perceived benefits can be easily offset by the aggregate costs of transport and isolation. Perhaps in cases where there is no suitable land for in situ upgrading, this view raises the concern that perhaps it is not only about the improved physical structure in the green-field location but also about whether people are being moved towards opportunity or isolation.

4.3.1. Table showing respondent’s transportation costs and relative percentage

Transport costs (R) Count (frequency) Percentage

None   4 36.4

R100- R190  5 45.5

R200- R290  2 18.1

R300- R390  0 0

R400>

  0 0

  ‘= 11 ‘=100

Source: author 2016

4.4. Access to effective sanitation system, water and electrification.

Whereas the issue of effective sanitation system has a knock on effect on the overall health of any settlement however, two third of the respondents had a pit toilet which they shared with other families and some posed a threat of falling right inside the pit. One respondent noted ‘these toilets are a ticking time bomb, it’s a terrible feeling that we need to keep our eyes out every-time our minors use these things but what can we do when neither the officials or any other actors are available to help us’. Such claim spikes a disturbance and it becomes a major concern if children are living in these dangerous conditions and have been for a significant number of years. Which in-turn acts as a constant reminder of the provoking rhetoric of ‘body counts’. However, the municipality had installed ablution facilities and the researcher came across six that were at least within six minutes walking distance just to reach each facility.

 When asked for their views on what could be the solution the problem, respondents views were somehow similar and noted that ‘upgrading our settlement would accord us dignity and even our children coming from school, they would come back to a home not this’. However, a pattern among respondent’s views clearly shows the welcoming of the strategy and perceive they would be better-off having their settlement upgraded. Although there were some important exceptions among respondents, three expressed that ‘a house is more than a physical structure, it is a sense of pride and a valuable asset and [they] have been deprived so much that even relocating wouldn’t matter so long as [they] get to own a house’. Such statement incorporates an emotional aspect of owning a house beyond just physical structures.

On the other hand, water is a basic necessity, and an important resource for sustaining life. The decline in water quality endangers the health of humans which is not only a basic need but also a valuable measure of development. Some of the respondents reported having major troubles with regard to accessing water. This is however accompanied by an estimate made by one respondent that ’70 percent within the settlement are infected with TB (tuberculosis)’. And this could be largely attributed to untreated waste and pollution from trucks working on the landfill.

    solid waste generated by settlers and one respondent claimed he has been surrounded by this waste all his life.

Source: Author 2016- picture:4

However, a perfect 100 percent of the respondents had access to electricity however, all the cables were illegally connected (izinyoka nyoka). Only diggings for poles done by the Municipality were noted but have been there for a long time. When questioned about the safety threat the electric cables posed, one respondent asked ‘how many things can you think of around the household that do not revolve around electricity? and further stated that ‘every reported incident even other settlement of either adults or minors being electrocuted by these connections, we feel bad especially on how we are enforced to create our own death traps due to poverty’. In this statement one captures the subjective and broader sense of the concept of poverty as opposed to only having food on the table.  

4.4.1. Table showing respondents access to water and electricity (frequency)

Source: Author 2016

4.4.2. Interpretation of the graph and findings on access to water and electricity

From the bar graph it can be noted that all residents have access to electricity (illegally connected) with a frequency of 17. This figure attributes a percentage of 100. Equally, respondents with access to water account for 58.8 percent and the remaining 41.2 percent identified as without stable access to water. This can attributed to the long distances individuals had to travel to reach a stand-pipe (greater than 150 meters) and even illegally connected water diverting  pipes sometimes burst and leave them without water.

However, with respect to 58.8 percent that identified as having access to water, one important finding was that all households within this category did not have their own running taps but rely on communally owned stand- pipe, which each serves atleast 27 or more households. One respondent was cited saying ‘these stand pipes are just few and there are many of us, sometimes they just turn the water off and we are enforced to go without water’ Additionally the standpipes where residents are supposed to fetch water, they face long queues. Some have illegally connected water diverting pipes from main stand-pipes to minimize the distance they have to travel to access water. The respondent further noted that ‘sometimes when amateurs try to connect pipes from the main stand pipe, they create faults and the main pipe bursts and we are left without water’ Although others have developed coping strategies such as storing water in massive containers for future use especially in the rainy season. Notably these mechanisms tend to achieve limited success where frequency of rainfall is outmatched by consumption and use. These conditions symbolize the desperate need for in situ upgrading of the settlement and the metro’s progress may mean less if a number of its constituents live in conditions at a declining degree

.  A pit toilet reported to have a lifespan of greater than 6 years (shared) and was recently locked down due to being a health hazard.

Source author: 2016- picture 5

    Illegally connected cords

Source Author 2016- picture: 6

  Communally owned stand pipe (provided by eThekwini Municipality)

Source: author 2016- picture:7

  Pipes used to divert water from the main stand pipe to serve residents that are far

Source : Author 2016- picture: 8

  One of the ablution facilities (1 of 6)

Source: author 2016- picture: 9

4.5. Why choose Kennedy Road as an area to live in?

When respondents were asked to respond to this question, 35.6 percent claimed that the settlement is a lot more closer to the places they worked. However, the striking finding emanates from that 52.9 percent of respondents identified the issue of rental housing un-affordability as the major force pushing them towards the outskirts or informal housing. 6 respondents claimed that ‘[their] average monthly income is a mere R600 and that would mean spending 100 percent of the salary on rent and still fall short’. Although the study identifies with in situ upgrading however, the data reveals that the majority are being pushed into informality because of their deficient ‘demand’ (expressed in market price as opposed to need).

Equally, findings points out that only 5.9 percent choose the settlement due to being homeless (lives in an old bus) and perhaps the most disturbing.

   

Source author 2016- picture:10

   

However, the remaining percentage of 5.9 could be attributed to a respondent that resided in his late parents shack and rents out the ‘backroom’ of the shack.

4.5.1   Pie Chart showing reasons for choosing to stay in Kennedy Road

Source: Author 2016

The bigger slice of the pie corresponds the category that cannot afford rental housing. However, the 35.3 percent of those who identified as within the close to work category somehow proves one aspect of the Burgess Concentric model that argues that the poor concentrate on areas that are close to opportunity. Although entirely different in terms of location but it does render the theory useful.

4.6. Interview with eThekwini Municipality (Human Settlements Department)

Interviewed official from the Municipality is among a team that were conducting a similar project in  Kenville/Sea Cow Lake, the focus was on 6 informal settlements comprising approximately 2000 families, which had been earmarked for upgrade in the area.

1. What is the legal status of Kennedy Road?

The official responded and claimed that ‘ Kennedy Road includes the former that we have upgraded as the municipality and the other that is sprawling into uncontrollable shacks. However, the Municipality’s proactive efforts in eradicating informal settlements through its Informal Settlement Programme, Slums Clearance Projects and Housing Plans requires recognition of informal settlements and Kennedy Road is among those informal settlements.

2. Does the municipality have a policy governing the expansion of the settlement?

When the official had to respond to this question he claimed that ‘ firstly, land invasion is illegal, people have occupied land especially in this case add to the existing informal settlement with the hope that this will force the City into providing houses and services. However, eThekwini Municipality strongly detests this practice and we have adopted legal processes to stop the construction of new shacks as well as invasion of any state property. The land invasion unit has served to check this illegal growth and Kennedy Road is among the settlements that our invasion unit has had to deal with. However, a lot come into play when talking about Kennedy Road. Perhaps the policy issue dates back from the first negotiations held just before 2010 where the municipality had a meeting with the representatives of Kennedy Road informal settlements (Abahlali BaseMjondolo) which clearly brought forward that if there is to be development, the expansion of the settlement had to be contained, but this was refused. However, placing people on housing lists has helped frame the need or atleast the ring fence the number that is currently residing in the settlement through a ward councilor’.

3. Who qualifies for settlement upgrading and what is the role of beneficiaries in this process?

Perhaps the most important question for undertaking the study and the official noted that ‘firstly, the municipality’s informal settlement upgrading is implemented in depending on the  suitability of the informal settlement site for upgrading. Some sites pose immediate threat like floodplains or areas of geological instability for example, informal settlement known as Canaan was on a landslide zone adjacent to N2 National Highway.  Following heavy rains, the land on which the shacks were located began to slip. Equally, we need to need to take into account factor that may include walking distance to public transport, close to essential social facilities and nodes of high economic activity, and the presence of existing bulk infrastructure. Therefore, it is a matter of prioritization. Concerning a matter of which settlement qualifies for upgrading, the municipality operates in accordance to the National Housing Code and appropriate answer is those settlements within jurisdiction (with important exception of the new shacks constructed by night). Even  to those that qualify, there is what we call ‘the feasibility stage’ of the upgrade process, where we conduct impact assessment studies, land acquisition studies, architectural plans and engineering surveys and to determine whether an upgrade is feasible’.

 However, the second part of the question rests upon the notion of meaningful participation. When required to respond to the question, the official stated that ‘The White Paper on Local Government endorses the need for local government to initiate partnerships with communities in order to harness external expertise and experience. This means that, as the municipality, the decision to implement an upgrading project envisages active community participation and proactively engaging with and assessing the needs of such residents thus fostering participatory development’. However, when asked for his view on whether settlements should be upgraded or relocated and a general comment on costs of upgrading as opposed to relocation, the respondent claimed that the costs associated with relocation are more than that of incremental upgrading on site.

4. What constraints have been encountered in previous upgrading programmes?

The respondent noted that ‘one of the first but least issue is that for a project to be undertaken as contemplated in the upgrading of informal settlement programme (UISP), it requires steps as such as obtaining approval which includes procedure for project registration and funding registration. However, the more challenging emanates from environmental suitability of the area for the upgrading of the settlement as noted earlier in very steep slopes that pose a threat even to the safety of residents. However, factors such as steepness of settlement’s slope really matter. We normally classify these using a ratio such as, slopes flatter than 1:5 is fully developable, those which are 1:3 are marginally developable and those that are even steeper than 1:3 are just not developable. This is among the problems we encountered in one pilot site -Kenville, where some of the units have been built on a steep slope.

A similar issue in jadhu’s place (next to Clare Hills) is situated on land considered to be unsuitable for conventional development because of its steep slopes.

5. How has the municipality ensured resident’s access to basic services in informal settlements?

When the official responded to this question he stated that ‘the municipality is making considerable effort and remains with the best service delivery record. Further noted that ‘Municipality’s human settlements programme won the Metro Category for two years in a row in the Govan Mbeki Human Settlements Awards thus  confirming the commitment to service delivery however, providing these in short term, issues such as budgets and even mushrooming of new settlements means many go without effective sanitation systems, and water. Moreover, to effectively respond to this, as eThekwini Municipality we have developed a pro-active and broad based programme to provide a range of basic interim services to prioritized informal settlements (the municipality is not obliged to provide these to new built by night shacks) with a view to addressing a range of basic health and safety issues and delivering rapidly to as many settlements as possible’.

 The official further stated ‘this programme aims at providing water controls, communal sanitation blocks (installation of ablution facilities which about 180 were constructed in 2010 alone), electrical connections to shacks and Basic water supply through the provision of standpipes and some of these standpipes have been delivered even in Kennedy Road’.

6. As part of the Millenium Development Goal 7 target 11 ‘ aims to achieve a significant improvement of 100 million slum dwellers lives by 2020’ what has the municipality done beyond physical structures (houses if any) to build resilience in livelihoods, education and health?

When responding to the question, the official claimed that ‘we have developed a capacity building programme, the Sustainable Livelihoods Programme (SLP) that has been  incorporated to build stronger community responsibility and ‘self-help’ as well as to facilitate a better relationship between the urban poor and the Municipality’. He further noted with regard to the programme that ‘practical action plans are developed by local residents with the aim of empowering themselves to play a more effective role in a range of spheres such as special needs (e.g. home based care, cr”ches and HIV Aids, informal enterprise and food security)’.

4.7. General comment by residents on Abahlali Basemjondolo Movement and how it has helped in the settlement

The majority of the respondents especially those that have resided in the settlement for more than five to nine years claimed that Abahlali BaseMjondolo (Shack Dwellers Movement) has helped  them resist evictions, defended new shacks and the expansion of the settlement with a view that the expansion shall respond to people’s needs not that of officials. One respondent noted that ‘even electricity, the movement initially connected (illegally ) cords to meet the our energy needs’.  Another respondent noted that ‘the movement has gone beyond physical structures and empowered us as women by starting women’s league where we raise sensitive matters and has given us a chance to have a voice in matters that affect us’.

4.8. Conclusion

This chapter presented the data analysis stage and offered various characteristics of the sample or respondents including length of stay in the settlement which a considerable number identified as having stayed for a period of not less than 5 years in the settlement. Moreover, this section covered respondents transportation expenditure with the aim to resolve the strategic location argument of the settlement. Access to basic services was checked in this section and included interview data from the Human Settlement Department official relating in situ upgrading and factors considered as essential for upgrading to take place and finally offered constraints encountered in previous projects of similar nature.

Chapter five

 Summary of findings, recommendations and conclusion

5. Introduction

This chapter sums-up the findings from the previous chapter (data analysis). Finally, this chapter offers recommendations by researcher on good practice and revisits the tentative statements made in the first chapter of the study by confirming or rejecting them.

5.1. Access to basic services summary

Whereas eThekwini Municipality formally upgraded the one section of Kennedy Road however, the majority of the households are built informally and constitute to almost two third of the settlement’s housing. Not only are they built informally but are deprived of essential basic services including water, sanitation (very few) and energy (electricity). Residents have spent most of their lives in this deprived and degrading settlement where they periodically hear of development (election years) but never get to experience it or let alone their children have grown into adults but their hope for houses borrowing Watson’s 2013 rhetoric remain an ‘urban fantasy’. Whereas some respondents identified housing as beyond a physical asset but as a sense of pride, this means that residents in Kennedy Road have been deprived of this privilege.

 It is reasonable to infer that greater than 65 percent in Kennedy Road live in severe ‘poverty’ and are deprived so much that even living in an old truck does not matter but having a roof over their heads is all that matters. The study also revealed an incredible amount of a lack of environmental justice (Residents are further loaded with pollution from the landfill and trucks). However, the study has looked into the characteristics of Kennedy Road Informal settlement (physical, economic aspects and social dimensions) which justify the need for in situ upgrading and as an overall solution to the housing hiatus.

This study also enquired on the role that has been played by eThekwini Municipality to remedy the problem and find out what criteria and characteristics a particular settlement requires in order to be upgraded by the municipality. This was however, achieved in the data collection through in depth interviews with officials from eThekwini Municipality. However, as an author’s general comment, living conditions in Kennedy are not only desperate but are very degrading. It is painfully hard to swallow that very little has been done to solve the problem.  

5.2. Economic activities, livelihoods and transport expenditure

What the study increasingly showed is that many Kennedy Road residents are part of the grey economy with an outstanding percentage of 41. 18 and utilize it as a means of fighting poverty. However, this has hardly brought any benefits that could foster mobility to a better house but has been a strategy to make ends meet. Literature has taught a very important regarding the cycle of poverty and children from these households are more inclined to fall prey to the similar predicament faced by their parents. However, perhaps the most important finding is that the location of the settlement is indeed strategic (industrial hub of Clare Estate) and 35.3 percent reported as closer to work.

Additionally, 35.29 percent of the settlement are without jobs at all and survive on social grants offered by the government. Arguably, although this paternalistic behavior puts food on the table but it has not empowered the poor, they are still without skills and competitive human capital. This not only render them as unskilled but rather earns them a ticket into poverty, passivity and a chance for mobility equivalent to nil.

5.3. Conclusion and recommendation

This study has explored different views and experiences from settlers and municipal officials with regard to the housing problem and proposed in situ upgrading as a viable alternative. Despite living in Kennedy Road for many years and the new path of democracy, residents are still faced with abysmal conditions. In situ upgrading would mean residents are not displaced from opportunity while achieving a significant improvement in their lives. Whereas the Municipality official articulated the upgrading process as participatory, residents can develop skills and act as potential partners in the development process.

One of the major objectives of the study was to assess the settlements access to basic services and the overall suitability of the settlement for in situ upgrading. However, one of the major finding was the communication gap between residents and Human Settlements department for example when respondents were asked on the new diggings for electricity poles, they had limited information on the progress of the process and whom the relevant stakeholders involved in the process. Therefore the Human Settlement Department needs to break the existing gaps by involving the people especially in decisions that have significant influence on their lives.

Finally, the first hypothesis was that Kennedy Road settlers are pushed to the metro’s periphery due to housing market evictions, limited skills and low income. The study indeed confirmed that more than half of the population (52.9 percent) identified as being pushed into informality due to inability to un-affordability of housing. Perhaps an important insight on how the metro’s investment in low coast housing is far exceeded by demand thus leading to informality. Therefore it is advisable to relook at how the formal constitutes to the informal.

The second Hypothesis claimed that Kennedy Road informal settlement is strategically located in terms of being close to residents sources of livelihoods. The conducted study showed a highly positive association when comparing transportation costs among working residents and this view thus confirming that the Clare Industrial Hub is in proximity to the settlement and moving shacks to Phoenix would undermine this trend.

The last tentative statement was that responses from participants are true and that room for biasness equates to nil. Although exists in unquantifiable terms however, field observation helped minimize error and misleading.

  School kids coming back from ‘hope’ (school) into their everyday reality, that of ‘poverty’.

Source: author 2016: picture- 11

References

‘ Croese, S. et al (2015). Towards Habitat III: Confronting the disjuncture between global policy and local practice on Africa's ‘challenge of slums’. Stellenbosch: South Africa.pp.237-242.

‘ Fox, S. (2014). Political Economy of Slums: Theory and Evidence from Sub-Saharan Africa. University of Bristol: UK. Pp.191-203.

‘ Moreno, E. (2005). Living With Shelter Deprivations: Slums Dwellers in the World. UN Habitat: UK. Pp.36: 31-53.

‘ johannes, j. and lombard, G. (1996). Housing strategies and the urban poor in South Africa. Journal of Human Rights Trust: Port Elizabeth, South Africa. Pp1

‘ Department of Housing (2008) A new policy and strategy for South Africa. Pp1: 1-53

‘ Allan, K. and Heese, K. (undated). Understanding why service delivery protests take place.

‘ Moroke, T. (2009). An analysis of the housing need in South Africa with special  reference to the North West Province. NWU: Potchefstroom, South Africa.

‘ Bossman, B. (2014). The Department of Human Settlement’s Policy on Eradicating Informal Settlements in South Africa: A De- colonial Feasibility Analysis. University of South Africa: South Africa.pp.1-93

‘ UN Habitat Report (2015). Habitat iii issue papers: informal settlements. New York. pp.1-9.

‘ Cairncross, J. et al. (1990). Building and land use regulation: Informal settlements. Architecture Department: Standford University.

‘ Matindi, N. (2013). An investigation on the influence of housing maintenance-culture in the management of public housing in nairobi. School of Built Environment: University of Nairobi.

Appendix 1

Questionnaire to eThekwini Municipality officials:

1. What is the legal status of Kennedy Road informal settlement under eThekwini Municipality?  

Legal illegal

2. Does the Municipality have a policy governing the expansion of the settlement?

3. If yes, is it effective?

YES  NO

4. What type of procedure is followed by the municipality to determine whether a certain settlement can be upgraded? What is the role of beneficiaries in this process?

5. What are the significant steps that have been taken by the municipality to provide basic services to the settlement?

6. What difficulties have been encountered in previous experiences with settlement upgrading?

7. How has the municipality ensured resident’s access to basic services in informal settlements?

8. Much of housing solutions around South Africa have been dominated by identification of ‘green-fields’- is there enough land to implement in situ upgrading to existing units without relocation?

9. As part of the Millenium Development Goal 7 target 11 ‘ aims to achieve a significant improvement of 100 million slum dwellers lives by 2020’ what has the municipality done beyond physical structures (houses if any) to build resilience in livelihoods, education and health?

Thank You For Your Participation In This Research!!!!!! YOUR INPUT IS VALUABLE!!!!!!!

Appendix 2

Questionnaire to Kennedy Road residents

Age Group of respondent   <20  20-24 25-29   30-34  35-39   40-44 45>

Gender of respondent  Male  Female

Race of respondent ‘ (tick relevant box)

Black

Indian

White

colored

Educational background none 1-7 8-12 diploma degree

‘ (tick)

Role in the household (specify)

Employment Status ‘ (tick relevant option)

Employed (private)

Self employed

Street Vendor

Unemployed

1. How long have you been living in this settlement?

Number of years stayed Tick relevant option (‘)

< 5 years

5-9 years

10-14 years

15 years >

2. Are you aware of the legal status of the settlement?

3. As a resident, how would you describe Kennedy Road settlement as an area to live in?

4. Why did you choose Kennedy Road informal settlement?

Reason ‘ Tick relevant option

Close to work

Can’t afford rental housing

homeless

Other (specify)

5. How much do you spend on transport monthly (estimate acceptable) ?

Money spent on transport (per month) Tick relevant option (‘)

none

R100- R190

R200- R290

R300- R390

R400>

6. How is the access to basic services ?

7. Are you aware of in situ settlement upgrading

8. What are your views on settlement upgrading? Would you recommend the strategy as opposed to relocation?

9. What do you think are the factors hindering housing provision to the settlement

10. How would you describe the settlement-eThekwini Municipality relationship in terms of meaningful participation and communication?

11. do you think that the municipality is doing enough to ensure housing for all as a constitutional right?

Thank You For Your Participation In This Research! Your Input Is Valuable!!!!

 

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