Evaluating the socio-economic impact of relocating residents from informal

settlements with the purpose of creating sustainable human settlements.

Case Study of Philani Valley, uMlazi.

Lethukuthula Magubane

Submitted in partial fulfilment of the requirements for the Masters of Housing

Degree School of Built Environment and Development Studies
2016
 COLLEGE OF HUMANITIES

DECLARATION - PLAGIARISM

I, ……………………………………….…………………………………..declare that

1. The research reported in this thesis, except where otherwise indicated, is my original
research.

2. This thesis has not been submitted for any degree or examination at any other
university.

3. This thesis does not contain other persons’ data, pictures, graphs or other information,
unless specifically acknowledged as being sourced from other persons.

4. This thesis does not contain other persons' writing, unless specifically acknowledged
as being sourced from other researchers. Where other written sources have been quoted,
then:

a. Their words have been re-written but the general information attributed to them has
been referenced

b. Where their exact words have been used, then their writing has been placed in italics
and inside quotation marks, and referenced.

5. This thesis does not contain text, graphics or tables copied and pasted from the
Internet, unless specifically acknowledged, and the source being detailed in the thesis
and in the References sections.

Signed: Date:
…………………………….. ………………………………

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 Acknowledgements

First and foremost I would like to thank God for giving me the opportunity, strength and
guidance to complete this dissertation.

I would also like to thank the following people for their support, guidance and contribution
in making it possible for me to complete my dissertation:

My sincere gratitude to my supervisor, Mr Vincent Myeni (Mnguni!!) thank you very much
for your tireless support, constructive advices and contribution to ensure I complete this
dissertation.

I would also like thank the Philani Valley Ward Councilor, Project Manager and
beneficiaries for their willingness to participate in the study- thank you very much.

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 Dedication

This study is dedicated to my parents Mr Mthandeni and Zandile Magubane. No words

can explain how blessed I am to have you both by my side throughout this journey. I
thank God every day for the support you have given me.

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Table of Contents
Chapter One: Introduction and Research Methodology ............................................ 1
1.1 Introduction ........................................................................................................ 1
1.2 Research Problem ............................................................................................. 2
1.3 Objectives .......................................................................................................... 4
1.4 Main Research Question .................................................................................... 4
1.5 Sub-Questions ................................................................................................... 4
1.6 Hypothesis ............................................................................................................. 5
1.7 Conceptual framework ....................................................................................... 5
1.7.1 Informal Settlements ........................................................................................ 5
1.7.2 Informal settlements upgrading........................................................................ 6
1.7.3 Socio-Economic Impact ................................................................................... 6
1.7.4 Sustainable Human Settlements...................................................................... 7
1.8 Justification for the Study ....................................................................................... 7
1.9 Research Methodology .......................................................................................... 7
1.9.1 Primary Sources of Data .................................................................................. 9
1.9.2 Case Study ...................................................................................................... 9
1.9.3 Sampling Method ........................................................................................... 10
1.9.4 Questionnaires............................................................................................... 11
1.9.5 Interviews....................................................................................................... 11
1.9.6 Secondary Sources of Data ........................................................................... 12
1.10 Data Analysis ..................................................................................................... 12
1.11 Limitations of the Study ...................................................................................... 13
1.12 Structure of Dissertation..................................................................................... 13
Chapter Two: Theoretical Framework and Literature Review ................................. 15
2.1 Introduction .......................................................................................................... 15
2.2 Modernisation Theory .......................................................................................... 15
2.3 Sustainable Livelihood Approach ......................................................................... 17
2.4 Enabling Approach ............................................................................................... 18
2.5 Literature Review ................................................................................................. 19
2.5.1 The causes of informal settlements ............................................................... 19

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 2.5.2 Characteristics of Informal settlements .......................................................... 21
2.5.3 History of Informal Settlement Upgrading in South Africa .............................. 22
2.5.4 The concept of relocation and its implications for social, economic and
educational aspects of residents’ lives .................................................................... 25
2.5.6 Characteristics of Sustainable Human Settlements ....................................... 28
2.6 Legislative Framework ......................................................................................... 33
2.6.1 The 1996 Constitution of the Republic of South Africa .................................. 33
2.6.2 The 1994 White Paper ................................................................................... 34
2.6.3The Housing Act of 1997(Act No.107 of 1997) ............................................... 35
2.6.4 The Breaking New Ground Housing Policy (BNG)......................................... 36
2.6.5 The Upgrading Informal Settlements Programme.......................................... 38
2.7 Informal settlements upgrading precedent studies .............................................. 39
2.7.1 Case Study of Welbedacht East Project, South Africa ................................... 39
2.7.2 Informal settlement upgrading in the Repelita, Indonesia .............................. 40
Chapter Three: Historical Background of the study area Philani Valley, uMlazi ... 43
3.1 Introduction .......................................................................................................... 43
3.2 Details of the Objectives of Philani Valley Project ................................................ 43
3.3 Contextual background of Philani Valley, uMlazi ................................................. 45
3.3 uMlazi Demographics........................................................................................... 47
3.4 Integration of Social and Economic Activities ....................................................... 48
3.5 Actors involved in the Philani Valley Housing Project .......................................... 50
3.6 Conclusion ........................................................................................................... 50
Chapter Four: Research findings, data analysis and interpretation ....................... 51
4.1 Introduction .......................................................................................................... 51
4.2 Data collected from Beneficiaries ......................................................................... 51
4.3 Economic benefits for relocation .......................................................................... 53
4.3.1 Household Expenditure ................................................................................. 54
4.3.2 Transportation mode used by beneficiaries ................................................... 55
4.3.3 Economic Activities ........................................................................................ 56
4.3.4 Educational Facilities ..................................................................................... 57
4.4 Social benefits for relocation ................................................................................ 58

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 4.4.1 Access to social amenities ............................................................................. 58
4.5 Beneficiaries perception of Philani Valley Housing Project .................................. 60
4.6 Interviews with Philani Valley Project Manager and Philani Valley Councilor ...... 62
4.6.1 Interview with the Councilor of Philani Valley indicated the following: ........... 62
4.6.2 Interview with the Project Manager of Philani Valley indicated the following: 64
4.7 Conclusion ........................................................................................................... 64
Chapter Five: Summary of findings, Conclusion and Recommendations ............. 66
5.1 Introduction .......................................................................................................... 66
5.2 Summary of findings ............................................................................................ 66
5.3 Recommendations ............................................................................................... 68
5.4 Conclusion ........................................................................................................... 71
References ................................................................................................................... 73

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List of Tables:

Table 1: Factors of sustainable human settlements……………………….................30

Table 2: Gender of respondents…………………………………………………………51

Table 3: Types of Respondents………………………………………………………….52

Table 4: Employment Status……………………………………………………………..53

Table 5: Transport mode………………………………………………………………… 55

Table 6: Has the project improved standard of living?............................................. 62

List of Figures:

Figure 1: Bird-eye view of the Philani Valley Housing Project……………………… 43

Figure 2: Philani Valley Semi-detach units 1…………………………………………. 44

Figure 3: Philani Valley Semi-detached Units 2……………………………………… 45

Figure 4 and 5: Location of Philani Valley……………………………………………. 46

Figure 6: uMlazi Employment Status, Census 2011…………………………………. 48

Figure 7: Philani Mall…………………………………………………………………….. 49

Figure 8: Education Facilities…………………………………………………………… 57

Figure 9: uMlazi (U-section) Clinic……………………………………………………… 59

Figure 10: Informal house extension…………………………………………………… 61

Figure 11: Access point………………………………………………………………….. 61

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List of Abbreviations:

ANC : African National Congress

BNG : Breaking New Ground
BUDP : Bandung Urban Development Program
CA : Cities Alliance
COHRE : Centre on Housing Rights and Evictions
DFID : Department for International Development
DHS : Department of Human Settlements
DOH : Department of Housing
IMF : International Monetary Fund
ISUP : Informal Settlements Upgrading Programme
KZN : KwaZulu-Natal
NHC : National Housing Code
PIE : Prevention of Illegal Eviction Act
RDP : Reconstruction and Development Programme
RSA : Republic of South Africa
RTPP : Regional and Town Planning Program
SACN : South African Cities Network
UISP : Upgrading Informal Settlements Programme
UK : United Kingdom
UN : United Nations
UNCED : United Nations Conference on Environment and Development
UNDP : United Nations Development Programme
USA : United States of America

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 Abstract

The study was conducted in Philani Valley (also known as Y-section) in uMlazi. The area
falls under eThekwini Municipality (Ward 86). It is located in the South of Durban inland
of the N2 highway. Philani Valley is 24.3 Km away from Durban and is 6.8 km away from
Isipingo. The Embokodweni River forms the western and southern boundaries of the
study area. The study area is one of the Informal Settlement Upgrading: Relocation
programmes implemented in uMlazi to eradicate informal settlements in order to create
sustainable human settlements. A sample of 30 households was drawn from 329
beneficiaries of Philani Valley Housing Project.

The study was aimed at evaluating the socio-economic impact of relocating residents
from informal settlements with the purpose of creating sustainable settlements. The study
focused on evaluating the experiences of the residents before and after the relocation, by
exploring if whether the economic and social opportunities of the residents relocated to
Philani Valley improved or not. The study utilised quantitative and qualitative techniques
to collect primary data. The theoretical framework for the study was based on
Mordernisation theory, Sustainable Livelihoods and Enabling approach. The findings of
the study indicated that the relocation of informal settlement residents to a new location
without doing proper assessments on the social and economic opportunities, can not only
disrupt social and economic networks but also undermine the aim of creating sustainable
human settlements in South Africa. The study made a number of recommendations,
which highlight4lnkbuoivjjkghjvcj the importance of the location of beneficiaries of Informal
Settlement Upgrading: Relocation Programmes. One of the study’s recommendations
stated that, the government needs to make sure that the location of the project is closer
to the social amenities and economic nodes, in order to eliminate transport costs which
the poor cannot afford. Therefore it is important that the South Africa’s housing policies
highlight the importance of providing low income houses in order to accomplish the socio-
economic and education needs of the beneficiaries.

The study concluded that, the upgrading of informal settlements should not be the sole
responsibility of Department of Human Settlements and local municipality housing units,

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but instead a responsibility of multi-sectoral stakeholders working collectively in
eradicating informal settlements and creating sustainable human settlements.

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0
Chapter One: Introduction and Research Methodology

1.1 Introduction

Informal settlements are a major challenge for housing practitioners and planners in
developing countries. Failure to address residents’ needs may result in political and social
unrest (Barry and Ruther, 2005: 1). There is a huge housing backlog in South African
urban areas. Wilkinson (2014) states that the housing backlog is currently 2.1 million and
is increasing at a rate of 178 000 units per year. The existence of informal settlements is
one of the main reasons for this problem. According to Misslehorn (2008), informal
settlement dwellers in South Africa confront challenges such as poor infrastructure,
limited access to basic services and insecure tenure. It is estimated that 28% of
households in South Africa have insecure tenure.

The problem of informal settlements is not unique to South Africa. Countries in Latin
America and Asia and other nations on the African continent are also challenged to
address this issue (Misslehorn, 2008). Massdorp (1977:1) notes that these settlements
are synonymous with urbanisation and urban growth in Third World urban areas. They
present various common characteristics. For example, they offer refuge to the poor, are
located on land of low value, are often on the fringes of cities, are physically overwhelmed
by poor quality houses and are created spontaneously in urban areas (Maasdorp, 1977).

According to Mashabela (1990:23), informal settlements in South Africa date back to the
early 1980s. One of the reasons for the mushrooming of informal settlements was the
establishment of Black municipalities that took control of townships from the then
Administration Boards during this decade. These municipalities did not have the financial
capacity to provide housing. Moreover, Mashabela (1990:23) notes that the abolition of
influx control in 1986 enabled migrants to bring their families to live with them in urban
areas. This resulted in the problem of homelessness and hence the massive growth of
informal settlements (Mashabela, 1990).

However, Malinga (2000: 40) argues that the growth of informal settlements is not directly
attributable to the abolition of influx control and rural migrants moving to the cities. Malinga
1
argues that residents of informal settlements were generally urban residents who were
forced to create such settlements due to the shortage of housing. Sapire (1996) cited in
Malinga (2000:40 ) points out that “informal settlements residents are not a marginal
underclass living at the periphery of the urban areas, rather they are integrated into the
social and economic structure of the cities and towns in which they are located”
(Sapire,1996 cited in Malinga, 2000:40).

The dawn of democracy in South Africa in 1994 brought about changes in housing
delivery. According to Khan and Thring (2003:17), this included the transformation of
housing provision to provide a sustainable solution to the problem of informal settlements.
South African housing policy has aimed to address informal settlements through
programmes such as in situ upgrading and the relocation of residents to formal housing
(Department of Housing, 1994: 4-10; Khan and Thring, 2003: 17).

The Department of Human Settlements (then known as the Department of Housing)

launched a new housing strategy in September 2004, called Breaking New Ground
(BNG). This five-year plan aimed to provide direction to the upgrading of informal
settlements. Breaking New Ground was follows by the Department of Human Settlements
Strategic Plan, 2009 - 2014. According to the Department of Housing (2004: 17), the BNG
involves the formalisation of informal settlements in their original location. The BNG
Housing Plan recommended in situ upgrading of informal settlements located on land
suitable for human settlement. However, relocation is considered in circumstances where
upgrading is impossible (DoH, 2004). This research study evaluated the socio-economic
impact of relocating informal settlement residents to Philani Valley with the aim of creating
sustainable human settlements.

1.2 Research Problem

"The number of informal settlements is growing uncontrollably. Likewise, the populations

inside these ghettos is increasing rapidly…" (Sexwale, 2013). According to the United
Nations Department of Economic and Social Affairs (2014) the world’s population is
estimated at about 7.2 billion. More than half of the global population live in urban areas
and a shocking 1.06 billion of urban dwellers live in slums. In the next 30 years this

2
number is set to double. According to the South African Cities Network (2004) cited in
Misslehorn (2008) almost 50% of South Africa’s population live in urban centers and a
quarter of those in the major urban centers live in informal settlements.

Housing was a key challenge for South Africa post-apartheid. The government argued
that the most effective solution was to establish several intervention programmes aimed
at improving the living environment for disadvantaged communities. These interventions
remain the most common means by which disadvantaged households access shelter in
the country. They include incremental housing intervention through the Informal
Settlements Upgrading Programme (ISUP), which aims to improve the lives of informal
settlement dwellers by 2020 (National Housing Code, NHC; 2009).

Knight (2001) states that, due to high levels of unemployment and low wages, many South
Africans are finding it hard to provide for their own housing and basic needs. The rapid
increase in the number of informal settlements and land invasions are further indications
of these pressing housing problems (Knight, 2001). Moreover, unemployment and
poverty push many people to relocate to urban areas such as Durban for employment
opportunities in order to improve their living conditions. However, Nhlapho (2013) notes
that not all migrants access jobs. Some do not have relatives in urban areas with whom
they can stay while seeking employment and thus opt to live in informal settlements that
lack proper amenities such as sanitation, water and waste removal. Informal settlements
are mostly overcrowded and untidy and there are insufficient public spaces. This is the
case in townships such as uMlazi where the government has made efforts to upgrade
informal settlements (Nhlapho, 2013:17).

Approximately 2 000 informal settlement households were earmarked for upgrading in

uMlazi. However, due to the fact that the settlements were too densely developed to allow
for the installation of an adequate level of services, some families were earmarked for
removal to Philani Valley. The question is whether the relocation of families to Philani
Valley with the purpose of creating sustainable human settlements had a positive or
negative impact on their socio-economic situation.

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1.3 Objectives

The study was conducted to accomplish the following objectives:

1.3.1. To evaluate the socio-economic impact of relocating residents from informal

settlements to Philani Valley.

1.3.2. To determine the extent to which the relocation of informal settlement residents to
Philani Valley created sustainable human settlements.

1.3.3. To explore the factors that contributed to the success or failure of the relocation
approach.

1.3.4. To evaluate the experiences of the residents before and after the relocation.

1.3.5. To outline the characteristics of a sustainable human settlement.

1.3.6. To explore whether or not economic and social opportunities available to the
residents relocated to Philani Valley improved.

1.3.7. To explore the challenges associated with relocation and the creation of
sustainable human settlements.

1.4 Main Research Question

To what extent did the relocation of informal settlement residents to Philani Valley with
the purpose of creating sustainable human settlements impact their socio-economic
situation?

1.5 Sub-Questions

The following questions were used to unpack the main research question:

1.5.1. What is the socio-economic impact of relocating residents from informal

settlements to Philani Valley?

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1.5.2. To what extent did the relocation of informal settlement residents to Philani Valley
create sustainable human settlements?

1.5.3. What factors contributed to the success or failure of the relocation approach?

1.5.4. What are the experiences of the residents before and after the relocation?

1.5.5. What are the characteristics of a sustainable human settlement?

1.5.6. Did the economic and social opportunities of residents relocated to Philani Valley
improve or not?

1.5.7. What challenges are associated with the relocation of residents and the creation
of sustainable human settlements?

1.6 Hypothesis

A well thought out and effectively implemented programme to relocate residents of

informal settlements can result in sustainable human settlements.

1.7 Conceptual framework

In order to fully understand the research topic, it was important to define terms and
concepts that were used in this study.

1.7.1 Informal Settlements

According to Staff (1993: 235), an informal settlement is a compact settlement which

consists of communities that have constructed they own houses under traditional or
formal land tenure. Staff adds that these types of settlements are common in Third World
countries and are the urban poor’s solution to housing shortages.

However, Srivinas (2005) notes that the definition of informal settlements can vary from
country to country based on its legal and planning framework. For the purpose of this
study, informal settlements refer to residential units constructed in “planned” and

5
“unplanned” areas which do not have formal planning approval. In essence, they are
settlements that are characterised by inadequate housing, social services and
infrastructure (Todaro, 1994).

1.7.2 Informal settlements upgrading

According to the Cities Alliance informal settlements upgrading is a process in which

informal settlements, mainly in urban areas are upgraded and improved. This formalizes
and integrates these settlements with the city by providing citizenship, social services and
secure land tenure. This definition is used for the purpose of this study The Cities Alliance
adds that two main approaches are applied to the upgrading of informal settlements:
“relocation” and “in situ” upgrading. Mistro and Hensher (2009) cited in Ziblim (2013)
state that in situ upgrading involves upgrading an informal settlement where it situated or
on site by progressively extending infrastructure, land tenure and social services,
including electricity, water and sanitation to residents. The relocation approach involves
the demolition of the informal settlement, with residents being moved to a suitable location
elsewhere, often on the periphery of the urban area. This study focuses on ‘relocation’ as
it was applied when residents of different informal settlements around uMlazi were
relocated to Philani Valley.

1.7.3 Socio-Economic Impact

Socio-economic impact is measured by different variables in different studies. Sirin (2005)

notes that this makes it difficult to arrive at a precise definition. However Sirin (2005) adds
that it is a field of study that examines social and economic factors to better understand
how the combination of both influences something. According to White (1982), socio
economic impact emerged as a concept due to observations that students with parents
that earn a low income, have low educational attainment, or work in low-status jobs
performed more poorly in school. One of the earliest conceptualizations of socio-
economic impact was Taussig’s (1920) classification, which was based solely on the
father’s occupational status, classified into seven categories. For the purpose of this study

6
socio-economic impact is defined broadly as access to financial, social, cultural, and
human capital resources.

1.7.4 Sustainable Human Settlements

The Vancouver Declaration on Human Settlements (1976) states that “Human

settlements mean the totality of the human community – whether city, town or village –
with all the social, economic, environmental, spiritual and cultural elements that sustain
it”. According to Du Plessis and Landman (2002), sustainable human settlements are
places such as villages, town, cities and their communities which enable inhabitants to
live a way that promotes the principles of sustainable development and sustainability.
Furthermore, they are characterized by social, institutional, environmental and economic
systems that guarantee the sustainability and existence of these settlements. For the
purpose of this study, Du Plessis and Landman’s definition was used to evaluate the
extent to which the relocation of residents of informal settlements around uMlazi to Philani
Valley enabled them to live in a manner that supports sustainability and creates
sustainable human settlements.

1.8 Justification for the Study

The aim of the study was to evaluate the socio-economic impact of relocating informal
settlement residents to Philani Valley, and to determine the extent to which this created
sustainable human settlements. The study was undertaken using a case study model to
determine the extent to which the approach adopted created sustainable human
settlements. It makes a contribution to the body of knowledge on housing in terms of
understanding policy implementation and creating sustainable human settlements.

1.9 Research Methodology

Quantitative and qualitative techniques were used to collect primary data. Thus, the
researcher gathered numerical data and gained an understanding of individuals'
perspectives and evaluation of their own circumstances in the field.

7
Creswell (1994) defines quantitative research as research that collects numerical
information that is analyzed using statistics. Cohen (1980) states that quantitative
research utilizes observational methods and experimental statements. Cohen further
defines an observational method as a distinct explanation about what the situation “is” in
reality, as opposed to what should be the case. According to Creswell (2012), in
qualitative research, the researcher relies on the views of participants; asks broad,
general questions; collects data consisting largely of words (or text) from participants;
describes and analyzes these words for themes; and conducts the inquiry in a subjective,
biased manner. Thus type of research generally involves listening to the participants and
finding common themes in the data (Creswell, 2012). Patton (1990) argues that qualitative
research tends to utilize inductive investigation, implying that the important themes arise
from the information. Patton adds that this requires a degree of inventiveness, as the
researcher needs to arrange the raw data in coherent, significant categories; analyze
them in an all-encompassing manner; and figure out how to interpret it to other people
(Patton, 1990).

The study was conducted in the participants’ natural settings (i.e., in their residential area)
in order to address the research question in an optimal manner. Denzin and Lincoln
(2005) state that a qualitative research paradigm enables the researcher to engage with
the participants in their natural setting in an effort to make sense of phenomena in terms
of the meaning people give to them. Qualitative research is often used to interpret
community experiences and produce a better understanding of the social factors which
play a role in their specific social environment (Denzin and Lincoln, 1998). Conducting
the research in the respondents’ natural setting allowed the researcher to undertake a
deep investigation into the themes under discussion. Qualitative research thus develops
and broadens the power of ordinary language and expression, allowing the researcher to
gain a more in-depth understanding of the social world in which we live (Terre Blanche
and Durrheim, 2002).

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1.9.1 Primary Sources of Data

According to Yale (2008), primary sources of data are sources that provide first-hand
evidence in relation to the specific topic under investigation. They are provided by
witnesses who have experienced the conditions or events being documented. In most
cases, primary sources of data are gathered at the time when events are occurring, but
these sources can also consist of memoirs, autobiographies and recorded oral history.
These sources are characterized by their unique content, irrespective of whether they are
in original, published, digital or microfilm format (Yale, 2008). Primary data collection
included the use of various tools such as interviews and questionnaires to obtain
information from stakeholders in the project, including the beneficiary community, the
ward councilor and eThekwini Municipality’s Housing Unit.

1.9.2 Case Study

This study utilised a case study approach to determine the impact of the relocation of
residents of informal settlements with the aim of creating sustainable human settlements.
Philani Valley in uMlazi was selected as a case study. The area was identified as suitable
for the relocation of informal settlement residents that were moved from different parts of
uMlazi as part of the Department of Human Settlements informal settlement upgrading
programme. A case study refers to both the process and the consequences of an inquiry
(Stake, 2005). According to Yin (2012: 4), the uniqueness of a case study, which is
referred to as “an empirical inquiry about the contemporary phenomenon”, [is] set within
its real world environment specifically when the boundaries between context and
phenomenon are not openly evident

Among other features, a case study investigates both the context and multifaceted
conditions concerning the case(s) under investigation, which are both important in order
to fully understand the case(s). Case study research goes beyond the study of isolated
variables. It favours the collection of data in natural settings and emphasises the need to
study the phenomenon in its real world context. The benefit of a case study is that it
produces a good case report because various data sources are used as evidence. This

9
was one of the aims of the current study (Yin, 2012). Furthermore, Yin (2012) notes that
a case study must be related to a regular or daily event; therefore, the chosen case must
be an influential structure in order to ensure that the study contributes to the current
literature.

Various types of data collection methods were used to address the research question. In-
depth interviews were conducted with relocated residents and other stakeholders in the
project, including the ward councilor and the Philani Valley’s Project Manager. Both
primary and secondary sources of data were used.

1.9.3 Sampling Method

According to Webster (1985), sampling is a technique or process to select an appropriate

sample, or to represent a population with the aim of determining the characteristics of the
entire population (Webster, 1985). For the purpose of this study, random sampling was
used to select residents of Philani Valley, while purposive sampling was used to select
the ward councilor and municipal officials. Frerichs (2008) states that, in random
sampling, subjects in the population are sampled by a random process, using either a
random number generator or a random number table, so that each person remaining in
the population has the same probability of being selected for the sample (Frerichs, 2008).
Of the 329 units built in Philani Valley, 30 respondents were chosen randomly, the criteria
being that respondents had to be heads of household or spouses and be 18 or older.

The purposive sampling technique is also known as judgment sampling. Bernard (2002)
and Lewis and Sheppard (2006) define purposive sampling as the deliberate or planned
choice of a witness or informant because of their qualities. It is a non-random method that
does not require basic hypotheses or a set number of witnesses. The researcher
determines what should be known and sets out to identify individuals who are willing and
able to provide the data by virtue of their knowledge or experience.

This technique was applied to select Philani Valley’s ward councilor and eThekwini
Municipality’s Project Manager for interviews. The Philani Valley Housing Project

10
Manager was managing the project and had all the necessary information regarding the
project’s implementation.

1.9.4 Questionnaires

According to Oppenheim (1992), questionnaires are used to gather and record data on a
specific issue of interest. They mainly comprise of a list of questions, but should also
incorporate clear directions or instructions and space for answers. The questions posed
should have a clear connection to the objectives of the research, and it should be clear
from the start how the findings will be used. Respondents should be made mindful of the
aim of the research and should be informed how and when they will receive feedback on
the findings. For this study closed- and open-ended questions were posed to the
beneficiaries of the Philani Valley project, with more emphasis on the latter as they
provided answers longer than a single word or two and also facilitated enhanced
cooperation and understanding. Beneficiaries were given the opportunity to express
themselves more openly on how moving to Philani Valley affected their access to
employment and facilities like social services, health and education as well as the
challenges confronting them in Philani Valley (Oppenheim, 1992).

1.9.5 Interviews

According to Seidman (1998), an interview is a discussion between two or more people

where questions are posed by the interviewer to produce statements or facts from the
person or people interviewed. Seidman adds that interviews are a standard component
of qualitative research (Seidman, 1998). McNamara (1999) states that interviews are
useful in getting the story behind an interviewee’s experiences; they also allow the
interviewer to probe further (McNamara, 1999). Kvale (1996) observes that interviews
enable a researcher to define and make sense of the main themes in the subjects’
surroundings. The main task of the interviewer is to comprehend the significance of what
the interviewees say (Kvale, 1996). For the purpose of this study, in-depth interviews were
conducted to collect data from beneficiaries, the ward councilor and the eThekwini
Municipality Project Manager.

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1.9.6 Secondary Sources of Data

Wood (1991) defines secondary sources of data as second-hand accounts of events,

people, places or topics which are based on the researchers or writer’s experience. These
sources include books, newspapers, pamphlets, encyclopedias, and other material.
When one uses primary data sources, such as eyewitness accounts to help write a story,
book or paper, one is creating a secondary source. Secondary sources of data include
evaluation, interpretation or analyses of the original information (Wood, 1991). For this
study, secondary sources of data included books, journal articles, dissertations,
government publications, Department of Human Settlements documents, Internet
sources and newspaper articles.

1.10 Data Analysis

According to Judd et al. (1989), data analysis is a method of reviewing, editing, changing,
and modeling information with the aim of identifying appropriate information to support
decision-making and propose conclusions. There are numerous approaches to data
collection (Judd et al., 1989). To understand the participants’ experiences and answer the
main research question, the data was interpreted by applying a code or framework
analysis. According to Srivastava and Thomson (2009), these methods are appropriate
in qualitative research that uses semi-structured interviews.

Cresswell (2009) identifies the first step in data analysis as organising and preparation;
this involves sorting and arranging field notes. Srivastava and Thomson (2009) refer to
the first step as familiarisation which implies that the researcher “immerses” himself or
herself in the data by reading and reviewing the transcribed interviews. Key ideas and
recurrent themes are noted and jotted down. The researcher reads the written text several
times so as to make sense of it. In this study, recorded interviews had to be translated
into English since the participants were interviewed in IsiZulu.

Thematic analysis is a qualitative analytic method which is used to dentify, analyse and
report patterns (themes) within the information collected. This type of analysis describes
and organises the information gathered. However, thematic analyses often goes further
12
and interprets several aspects of the research study (Braun and Clarke, 2006:79). To
construct a thematic framework, the researcher allows the data to dictate the emergent
themes, issues, and concepts. Thereafter, using the notes taken during the familiarisation
stage, the researcher develops a framework comprising the key issues, concepts, and
themes expressed by the participants.

Creswell (2009) recommends the Tech (1990) detailed coding process, which provides a
useful process comprising eight steps to obtain a sense of the whole by reading the
transcriptions carefully and jotting down ideas as they come to mind. Creswell (2009)
adds that coding is used to create a number of themes which normally range from four to
six. The themes should be supported by diverse quotations and specific evidence. They
are analysed for each individual case and across different cases in a case study.

1.11 Limitations of the Study

The most significant limitation of this research study was time and financial constraints.
Furthermore, the researcher faced the challenge of getting hold of key informants such
as the ward councilor and Project Manager, as they both kept changing interview dates
because of their busy schedules. Nonetheless, the researcher successfully conducted
the study and is confident that it provides accurate information on the socio-economic
impact of relocating informal settlements residents to Philani Valley with the purpose of
creating sustainable human settlements.

1.12 Structure of Dissertation

Chapter 1

This introductory chapter outlines the research topic, problem statement, the study’s
objectives, and the main research question and subsidiary questions, followed by the
hypothesis. It includes the definition of key concepts, the justification for the study, the
research methodology and data analysis and the limitations of the study.

13
 Chapter 2

This chapter focuses on the theoretical framework adopted for this study and explores
relevant South African and international literature on informal settlements upgrading and
sustainable human settlements.

Chapter 3

This chapter presents the historical background on Philani Valley in uMlazi and
demographic information relating to uMlazi, including statistics relating to employment.
The objectives of the Philani Valley Housing Project and the provision of social and
economic facilities are also explored.

Chapter 4

This chapter present the research findings, the themes that emerged from the data
analysis and an interpretation of the findings.

Chapter 5

This chapter presents a summary of the findings and a conclusion based on the study’s
objectives and research questions. It also presents recommendations which flow from the
study’s findings.

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Chapter Two: Theoretical Framework and Literature Review

2.1 Introduction

This chapter presents the theoretical framework employed for this study and a review of
the relevant literature. This chapter is divided into four sections. With the first section
presenting the theoretical framework which was based on Modernisation theory, the
Sustainable Livelihood approach and the Enabling approach. The second section reviews
the literature, which begins with discussing the causes of informal settlements in South
Africa. Furthermore giving more insight on the characteristics of informal settlements and
sustainable human settlements. The literature presented in the second section also
focuses on the history and evolution of informal settlement upgrading in South Africa. This
discussion is necessary to provide an overall understanding of informal settlement
upgrading and its socio-economic impact. The third section presents the legislative
framework that guides the study. Finally, the last section presents a local and international
precedent studies that demonstrate how relocation approaches in other projects were
implemented and lessons learnt.

2.2 Modernisation Theory

According to Hoebink (1997), the origins of Modernisation Theory can be traced to the
United States in the late 1940s and early 1950s. The theory is distinctive in the body of
development theory which came into being as part of the larger ideological battle of the
Cold War. It was quickly adopted by most Western governments as the basis for
development planning. Hoebink (1997) suggests that Modernisation Theory’s roots lie in
President Harry Truman’s inaugural address in 1949 which was part of what was known
as the Truman Doctrine. In his address, Truman called for “…a bold new programme for
making the benefits of scientific advances and growth of underdeveloped areas”
(Hoebink, 1997:1).

Govender (2011:52) notes that Modernisation Theory has its basis in functionalist thought
that conceptualises urban life as compartmentalised into broad categories of activity (for

15
example, live, work, play and means of transport) which dictates that all these activities
need to be integrated in order to promote sustainable human settlements. According to
Burkey (1993), Modernisation Theory promoted development based on the capitalistic
definition of economic growth. Growth was perceived as part of a natural process.
Development was associated with economic growth, progress and higher levels of
civilisation (Burkey, 1993).

Govender (2011) observes that this ideology has led to the development of mono-
functional activities, often fragmented and environmentally sterile, characterised by high
levels of inconvenience and low levels of service. Govender adds that they create huge
amount of movement which is very costly in terms of finances, time, energy and pollution.
There is little evidence of a cohesive locational environment which integrates both urban
activities and structures (Govender, 2011:52). Approaches to development and planning
based on this theory arose from assumptions made by Modernisation researchers and
specific concepts formulated by theorists from the European evolutionary school of
thought (Alvin, 1990).

In terms of housing, the Modernisation approach supported the adoption of a western

culture and standards, resulting in shelter comprising conventional housing units, which
ultimately led to the bulldozing of slums and re-housing in public housing schemes
(Burgess, 1992). However, by the 1970s, it became clear that the Modernisation Theory
had failed. Alvin (1990) notes that Modernisation theorists advocated a top-down
approach to housing development programmes, in which the state played a central role
with little or no involvement of beneficiaries (Alvin, 1990).

The modernisation of housing by eradicating informal settlements and the construction of

sustainable human settlements benefits the people of South Africa. The upgrading of
informal settlements in this context formed part of the comprehensive perspective
adopted to evaluate the extent to which the relocation of residents of informal settlements
to Philani Valley created sustainable human settlements.

16
2.3 Sustainable Livelihood Approach

According to the UNDP (1997), the sustainable livelihoods approach was first introduced
by the Brundtland Commission on Environment and Development as a way of linking
socio-economic and ecological considerations in a cohesive, policy-relevant structure.
The 1992 United Nations Conference on Environment and Development (UNCED)
expanded the concept, especially in the context of Agenda 21, and advocated for the
achievement of sustainable livelihoods as a broad goal for poverty eradication. It stated
that sustainable livelihoods could serve as an integrating factor that allows policies to
address development, sustainable resources management, and poverty eradication
simultaneously (UNDP, 1997). Chambers and Conway (1992) state that livelihoods
compromise(s) the capabilities, assets (including both material and social resources) and
activities required for a means of living. They add that a livelihood is sustainable when it
can cope with and recover from stresses and shocks and enhance its capabilities and
assets both now and in the future, while not undermining the natural resource base
(Chambers and Conway, 1992).

Dianga (2011) states that livelihoods connote the activities, entitlements and assets
whereby people make a living. In essence, sustainable livelihoods describe the links
between all levels that affect households, starting from how households secure assets,
to what they do with them, what gets in their way whilst obtaining them and who controls
the resources on which assets are based. It recognises that households need access to
assets so as to provide for their basic needs and to gradually increase them over time.
These assets help buffer households against various forms of vulnerability.

Moreover, this approach puts people at the centre of development. It focuses on

individuals, households and community at the micro level of neighbourhoods and the
macro level of the city. It is argued that it is at these levels thinking about the achievement
of objectives such as poverty reduction, economic reform or sustainable development
becomes effective (Moser, 1996). According to DFID (2001), at a practical level the
approach:

17
  starts with an analysis of people’s livelihoods and how these have changed over
time;
 fully involves people and respects their views;
 focuses on the impact of different policy and institutional arrangements on
people / households and on the dimensions of poverty they define (rather than on
resources or overall output per se);
 stresses the importance of influencing these policies and institutional
arrangements so they promote the agenda of the poor (a key step is political
participation by poor people themselves);
 works to support people to achieve their own livelihood goals (though taking into
account considerations regarding sustainability).

This corresponds well with informal settlement upgrading programmes that shift the focus
beyond improving shelter and incorporate overall improvement of residents’ well-being.
The sustainable livelihoods approach assumes that sustainable poverty reduction will
only be achieved if external support (i.e., support from outside the household) works with
people in a way that is congruent with their current livelihood strategies, social
environment and ability to adapt. For the purpose of this study, this approach was used
to evaluate the socio-economic impact of relocating residents from informal settlements
to Philani Valley and evaluating residents’ experiences before and after the relocation. In
essence, this involved exploring dwellers’ access to social and economic opportunities
that contribute to their well-being.

2.4 The Enabling Approach

According to Umoh (2009:13), the Enabling approach to housing has its origins in the
neoliberal movement that began in the USA and the UK in the 1970s. One of the
characteristics of neoliberalism was the change in policies advocated by international
institutions like the World Bank and the International Monetary Fund (IMF). They shifted
from promoting the "development project" (i.e., supporting 'statist" and "inward-looking"
strategies launched between 1945 and 1955) to promoting a neoliberal agenda that

18
amongst other things stressed decreased government intervention in most sectors of the
economy (Arrighi et al., 2009).

The Enabling approach was introduced by the Global Report on Human Settlements of
1986 as an improvement on the project-based approach to settlements. It aimed to
decrease the ring-fenced effects of previous projects and allow everyone to enjoy better
housing conditions. The World Bank (1993) states that the Enabling approach addresses
the housing system, not just projects. Thus, it is not government’s job to provide housing,
but to set up an environment which enables the housing market to work effectively.

According to the Global Report on Human Settlements (2005), there was an inevitable
need to scale up activities to address the large number of people living in poverty. The
Enabling approach regards housing and urban development as a multi-sectoral issue.
The construction sector is subject to the same level of by efficiencies and inefficiencies
as finance. The Enabling approach calls for a housing policy that regulates and oversees
the development of housing, in the sense that the government should not be the direct
supplier of housing but rather leave construction and delivery to the housing market
(Global Report on Human Settlements, 2005). Moreover Hassan (2011) states that
government intervention can be effective by enabling the housing markets Set up the
regulatory framework needed and reform government institutions, focusing them on
different goals and retooling them accordingly.This approach was therefore used to
evaluate the role of the government in the Philani Valley project, in terms of analysing
how eThekwini Municipality implemented the project and the extent to which it was
involved in the process and ensuring the availability of components of housing supply.

2.5 Literature Review

2.5.1 The causes of informal settlements

In order to fully understand informal settlements in South Africa one needs to know what
causes them. According to the Department of Human Settlements (2009), today, more
South Africans live in urban areas than in rural areas. The population in the urban areas

19
is increasing at a drastic rate and a large number of these households live in impoverished
and insecure conditions. Municipalities do not have the capacity to meet the growing
demands created by urban growth. This is the case in uMlazi where many poor people
resort to informal settlements for shelter (Department of Human Settlements, 2009).
Migration and poverty are major causes of informal settlements. Kramer (2006 cited in
Tshikotshi, 2009) states that most informal settlements residents migrate from rural areas
to escape rural poverty, and pursue the greener pastures seemingly offered by
metropolitan areas. According to Lai (1995), “migrants are attracted mainly to the cities
by socio-economic conditions such as the considerable rural-urban gap of living
standards instead of the collectivisation in rural areas” (Lai, 1995). “The pull factor of
better access to socio-economic opportunities contributed to the establishment, if not the
permanence, of informal settlements in South Africa” (Tshikotshi, 2009: 7).

Wekesa et al. (2011) note that some people are forced to live in informal settlements due
to poverty and unemployment. Indeed, some consider such settlements a practical
solution for a developing country (Wekesa et al., 2011). According to Mutisya and Yarime
(2011), this phenomenon is also regarded as economically viable as residents cannot
afford to build or buy their own houses or to access formal shelter through proper
channels for various reasons such as low wages or unemployment. Mutisya and Yarime
add that the existence of informal settlements demonstrates the poverty and poor
conditions in which people live, which call for multiple interventions from various
governmental sectors in order to provide easy access to essential social services.
Conditions in informal settlements predispose residents to diseases which could have a
harmful effect later in life (Mutisya and Yarime, 2011).

Scholars have also noted that informal settlements present their own unique problems.
One of the important factors that policy makers need to consider before formulating
policies and programmes to eradicate informal settlements is to understand the causes
of these settlements. Misslehorn (2008) emphasises that “it is important to analyze why
informal settlements exist and what functionality they afford to those who reside in them”.
Furthermore, whilst informal settlements are all different, Misslehorn (2008) states that
“one frequent factor in the formation of informal settlements is that they typically provide

20
an initial point of access into the urban environment for incoming migrants, or for those
moving from other parts of the city. More importantly, they afford such access at a very
low financial cost and the barriers to entry are low” (Misslehorn, 2008:5).

Misslehorn (2008) highlights some of the elements that explain the nature of this access.
These include access to employment and other economic / livelihood opportunities (which
are often modest or survivalist in nature); access to social facilities (e.g., education and
health care) and potential access to housing and infrastructure. Thus, informal
settlements play a critical role as ‘holding places’ where people can access the urban
environment at low financial cost in search of a better life (Misslehorn, 2008:6).

2.5.2 Characteristics of Informal settlements

According to Ackelman and Andersson (2008:6), “since the 1960s, cities in developing
countries around the world have faced a high rate of urbanisation and increasing poverty.
The result is uncontrolled development of non-planned urban settlements, through illegal
invasion of land and construction of shelter, where people live in poor housing and living
conditions”. Over time, different terms have been used to describe such settlements.
Common expressions include slums, shantytowns and squatter settlements, but the most
appropriate concept is ‘informal settlement’ (Ackelman and Andersson, 2008:6).

Staff (1993: 235) notes that informal settlements are dense settlements comprising of
communities housed in self-constructed shelters under formal or traditional land tenure.
Staff (1993) adds that such settlements are a common feature in developing countries
and that they are typically the product of an urgent need for shelter by the urban poor.
However, Srivinas (2005) states that informal settlements are defined in various ways
depending on the planning and legal framework of the country where they exist. UN
Habitat (2003) defines informal settlements as:

i) Residential areas where a group of housing units have been constructed on

land to which the occupants have no legal claim, or which they occupy illegally;
ii) Unplanned settlements and areas where housing is not in compliance with
current planning and building regulations (UN Habitat, 2003).

21
According to Alim and Sulaiman (2006), informal settlements are residential housing units
built in planned and unplanned areas without formal approval from the appropriate
authority. According to Huchzermeyer and Karam (2006), informal settlements are
settlements of the urban poor which are developed through unauthorised occupation of
land. They are regarded as unhealthy and overcrowded blights on the urban landscape.
They add that these settlements contain shelters made of non-durable materials such as
plastic, wood, and scrap metal, are progressively becoming an ordinary form of
accommodation for millions of people and are mainly found on the outer edges of larger
cities (Huchzermeyer and Karam, 2006). Saane (2005: 47) states that informal settlement
areas are not surveyed and thus do not have property boundaries, and are located in
townships that have not been proclaimed. Saane (2005) adds that this makes it difficult
for residents to develop their settlement due to the lack of security of tenure as such areas
cannot be registered in the Surveyor General’s office (Saane, 2005:47).

South Africa’s 2004 National Housing Programme notes that an informal settlement
typically manifests the following characteristics: illegal and informal dwellings, poor or
dangerous location of settlement, restricted public and private investment due to its
illegality, poverty and vulnerability due to a lack of demarcated roads, poor lighting and
underdeveloped public open space. An informal settlement is also often characterised by
crime and social stress. Mokoena and Marais (2007:320) add that such settlements are
not situated on well-located land. Abbot (2003:2) notes that residents of informal
settlements do not have legal tenure to the land they occupy, and that these settlements
fall outside the formal planning process and as a result usually lack or have a very low
level of basic services such as water and sanitation (Abbot, 2003:2). Overall, these
settlements lack security of tenure, are overcrowded and are exposed to various social,
economic and environmental risks (UN-Habitat 2003).

2.5.3 History of Informal Settlement Upgrading in South Africa

According to Maylam and Edwards (1996), the notion that informal settlements were a
key urban problem, and that the solution was ‘clearance’ or ‘eradication’, first emerged
under nineteenth century British colonialism and was central to stance adopted by

22
successive governments until the late 1970s. However, Massey (2013; 14) notes that
scholars like Turner (1968; 1977) opposed to the eradication approach and regarded
informal settlements as part of the solution to the challenge of housing provision. Massey
(2013) observes that Turner (1967) and Abrams (1966) were the first to promote the
concept of ‘self-help’ housing and the need for autonomy within settlements. Scholars like
Turner (1967) and Turner and Fichter (1972) advocated for a move away from
marginalising the poor.

Ley (2009) notes that informal settlement upgrading gained momentum in the 1980s
amidst growing global concern over poverty levels. Poverty was seen as a process rather
than a physical condition. In situ upgrading was regarded as the new magic bullet; a way
of maintaining social ties, avoiding relocation and protecting social capital. According to
Gilbert (2007), in situ upgrading involved a comprehensive approach to housing, with the
state acting as an enabler and maximum community self-management being encouraged.

Payne (1989) notes that African cities reacted to the marked increase in the number of
informal settlements during the 1950s and 1960s with increased regulation,
administration and enforcement. Such settlements were regarded as areas of poverty,
illegality, crime and disease and were a direct contradiction of the modernist direction that
African governments were aiming for (Payne, 1989).

Macharia (1992) states that the Kenyan government implemented informal settlements
clearance policies in Nairobi during the 1970s as well as campaigns to discourage
urbanisation such as Turudimashambani (“Let’s return to the rural areas”). Many
governments also attempted to provide housing through national housing corporations.
However, Macoloo (1994) that these state-built, high-rise settlements proved unsuitable
for those who occupied them.

Massey (2013; 18) adds that shifts in policy and attitudes began to take root in the 1970s
and informal settlements were recognised as an active part of the city and a legitimate
response to housing shortages. Planners began providing residents of informal
settlements with security of tenure and basic services and infrastructure. This meant that
African governments no longer directly built and delivered houses, but focused on

23
settlement improvement through infrastructure, land tenure and technical and
financial/credit services (Keare and Parris, 1982). Solo (1991) points out that, initially,
most projects were based on overly ambitious plans that covered large areas and had
multiple foci (water, sanitation, electricity, community development, economic
opportunities, etc.). Such projects were implemented in Zambia, Kenya, Botswana,
Tanzania and Senegal, often funded and supported by the World Bank.

The upgrading of informal settlements in South Africa was complicated by apartheid

policies. Kenney (2011) notes that the apartheid regime intensified discrimination against
blacks, Indian and colored people. According to DeMoss-Norman (2015), forced
displacement and resettlement were part of South African history both during and after
the apartheid years. The apartheid regime used resettlement to control Africans’
movement into the cities. During the 1980s, as government officials became increasingly
concerned about the country’s image, they began referring to these removals as
“voluntary relocations”.

According to Platzky and Walker (1985), removal tactics shifted from coercive methods
reliant on police, guns, and dogs to more indirect strategies based on “generous
compensation” packages that promised affected Africans a better quality of life. Black
Africans’ movement was strenuously restricted and enforced. Schools were often located
miles from relocated settlements, and as a result many children could not attend classes.
Municipal services were also sparse in resettlement areas due to government neglect
and infrastructure deficiencies in water pipes, sewage systems, telephone and electrical
services, and roads. The apartheid government did not seriously consider how the forced
relocation of black South Africans to segregated areas would affect communities. Those
relocated previously lived in over-crowded substandard housing or makeshift informal
settlements with poor sanitation. The promise of better health and improved sanitary
conditions was one way officials convinced black South Africans to move to outlying areas
(DeMoss-Norman, 2015).

In 1994 the African National Congress (ANC) won the elections and became the first
democratic government to govern the country. This drastically transformed the South
African government, as well as the demographics of South African settlements. New

24
economic opportunities which were now open to all prompted migration from rural areas
to urban informal settlements (Kenney, 2011). Furthermore, strict laws protecting the
rights of the residents of informal settlements such as the Prevention of Illegal Eviction
(PIE) Act, promoted the growth of informal settlements (Mels et al., 2009). DeMoss-
Norman (2015) points out that the PIE Act gave additional rights to informal settlement
residents in the face of displacement.

The Act highlights that local officials must provide prior notification to squatters of pending
relocation and, in certain cases, provide an opportunity for resettlement. Thus, while
forced relocation became more common in light of new urban development plans, the
government tried to protect the residents of informal settlements from complete
dislocation. More specifically, a resettlement plan was meant to differentiate these
relocations from their apartheid predecessors. While though South Africa is now governed
by a democratically-elected government, it is still struggling to meet the demands created
by urban-rural migration, leaving many, especially the poor that are seeking jobs in urban
areas with no choice but to reside in informal settlements (Kenney, 2011).

2.5.4 The concept of relocation and its implications for social, economic
and educational aspects of residents’ lives

According to Ziblim (2013:4), there are two dominant approaches to the upgrading of
informal settlements, “relocation,” and “in situ” upgrading. Relocation occurs when the
existing informal settlement is demolished and the inhabitants are relocated to suitable
greenfields elsewhere, normally on the periphery of cities. On the other hand, in situ
upgrading entails developing the existing informal settlement by gradually extending land
tenure, infrastructure and social services, such as water, sanitation and electricity to
residents (Mistro and Hensher, 2009).

Franklin (2009) states that complete relocation of informal settlement residents to

greenfields has a tendency to disrupt “fragile community networks” and “livelihood
opportunities” (Franklin, 2011). Scholars cite location as an important factor to take into
account. Sokhela (2006; 31) notes that the location of settlements should be considered
in relation to 'higher order' facilities and amenities in an urban area, such as hospitals,

25
tertiary institutions and sporting and leisure facilities, and crucially, the location of work
opportunities. In this regard, Sokhela (2006) notes that travel and transportation are
critical in terms of the convenience, safety and affordability of the means of moving from
home to work or other facilities. However, he notes that formal jobs are playing less of a
role in the lives of the poor, while a range of income generation and survival strategies
are becoming more important. The link between these activities and the home
environment therefore needs to be taken into account. Thus, location is an extremely
important consideration and has a substantial impact on the success of upgrading
projects. One of the most difficult issues to be addressed in the South African context is
the poor location of many informal settlements. The upgrading of these settlements
addresses constitutional imperatives, but does little for the structure of South African cities
which are already deeply dysfunctional (Sokhela, 2006:31).

According to Firman (1997:58), projects that are well positioned within the structure of
cities are able to take advantage of locational opportunities, and may be the subject of
rapid transformation. Firman adds that, internationally, some areas have been converted
into shopping centres, offices and business spaces, high-rise apartments and middle-
income housing, yet this was not the purpose of the upgrading the informal settlements,
and this transformation has had exclusionary consequences (Firman, 1997:58).
Moreover, Charlton (2003:265) states that in some cases, residential areas have been
developed without the necessary social and other amenities; this undermines to intention
to establish habitable, viable and sustainable human settlements. Likewise DeMoss-
Norman (2015:226) states that government officials and development planners that
support development-motivated forced resettlement argue that new economic
development can generate higher municipal revenue, create local employment
opportunities, and improve the living conditions of those in poor communities and informal
settlements by offering new services and improved livelihoods.

According to Mansuri and Rao (2013), since 1997 the South African government has
sought to implement programmes designed to integrate cities through “sound urban
planning, land, transport and environmental management critical to enhance the
generative capacity and ease of access to socioeconomic opportunities” (South African

26
Department of Housing, 1997:12) and correspondingly to promote poverty alleviation and
the reduction of urban inequalities. They add that many of these development goals, such
as new employment opportunities, rarely benefit the poor. Newly created jobs are
primarily filled by those with special skills or connections with planners, business owners,
or government officials. Development planners argue that the poor cannot obtain
employment in these new enterprises because they lack appropriate training and
expertise (Mansuri and Rao, 2013). DeMoss-Norman (2015:227) points out that residents
of informal settlements are not only displaced from their long-established homes but lack
real employment prospects once they move to new areas. The promised services are
sometimes delayed or are not fully functional at the time of their arrival.

One of the main arguments put forward by DeMoss-Norman is that the forced relocation
and resettlement of informal settlement dwellers to planned townships can, albeit often
unintentionally, negatively impact community sentiments. The spatial landscape of
squatter settlements is markedly different from the landscapes of formal urban
communities. It can be difficult for new arrivals to adjust to these unfamiliar and highly
planned surroundings. Moreover, Oliver-Smith (2009) states that many new resettlement
areas are inadequately financed and poorly designed. Even when they are decently
planned, they are not always competently implemented. The authors add that urban
planners often fail to consult dwellers on the design of new settlements. Schaug
(2003:150) argues that “urban designers need to be careful in such cases that they do
not try to improve matters without taking into account those who might suffer the
consequences.” If the needs of arriving community members are not taken into account,
the new area’s spatial and structural layout can easily work against the people. In
contrast, local participation in development planning can create something that new
residents can make their own. It could also avoid dilemmas that developers face in
working with resettled populations (Schaug, 2003:150).

According to the revised Global Report on Human Settlement (2010) a well-administered

upgrading of an informal settlement has significant linkages with the socio-economic well-
being of the poor in every society. It can help to combat poverty and vulnerability, achieve
sustainable human development, and promote environmental sustainability. Moreover a

27
relocation process that incorporates international lessons can prevent avoidable human
suffering.

2.5.6 Characteristics of Sustainable Human Settlements

In its 2005/6 budget expenditure review, the South African government stated that it is a
challenge for public housing programmes to not only provide a physical structure, but for
the structure to be part of a sustainable environment where communities can be part of
economic life. According to Du Plessis, addressing the individual and the community’s
social needs will be determined by the way they go about everyday living, learning (not
only through schools) and finding employment opportunities. The way the settlement
functions and is managed links to the social array. The way the community members
relate to the settlement and the opportunities provided by the settlement should also be
taken into account (Du Plessis, 2002).

The concept of human settlements has evolved over the years. According to Nkambule
(2012), it has become a strategy for socioeconomic development within the framework of
global shelter strategies. There is consensus that human settlements are not only about
spatial issues but are the physical manifestation of economic and social activity
(Nkambule, 2012:10). According to the United Nations Environment Programme (2003),
human settlements define people’s existence. They are places – large and small, urban
and rural, formal and informal – where people live, learn, work and create. According to
the Vancouver Declaration on Human Settlements (1976), “human settlements means
the totality of the human community – whether city, town or village – with all the social,
economic, environmental, spiritual and cultural elements that sustain it”. On the other
hand, according to Scheepers (2014), sustainability is a multi-faceted issue. Furthermore,
it is widely accepted that sustainability involves meeting current needs in a way that will
not affect future generations’ ability to meet their needs.

According to Agenda 21(1992), the overall objective is to improve the social, economic
and environmental quality of human settlements and the living and working environments
of all people, particularly the urban and rural poor. Such improvements should be based

28
on technical cooperation,, partnerships among the public, private and community sectors
and participation in the decision making process by community groups and special
interest groups such as women, indigenous people, the elderly and the disabled. These
should be the core principles of national settlement strategies. Agenda 21 states that, in
developing such strategies, countries need to set priorities among the following eight
programme areas in accordance with their national plans and objectives, taking into
account their social and cultural capabilities:

 Providing adequate shelter for all;

 Improving human settlement management;
 Promoting sustainable land use planning and management;
 Promoting the integrated provision of environmental infrastructure: water,
sanitation, drainage, and hazardous and solid waste management;
 Promoting sustainable energy and transport systems in human settlements;
 Promoting human settlement planning and management in disaster-prone areas;
 Promoting sustainable construction industry activities;
 Promoting human resource development and capacity-building for human
settlement development.

Du Plessis and Landman (2002:12) state that sustainable human settlements are those
cities, towns, villages and their communities which enable societies to live in a manner
that supports the state of sustainability and the principles of sustainable development.
Institutional, social and economic systems are in place that will ensure the continued
existence of these settlements. According to Olotuah and Bobadoye (2009:59),
sustainable human settlements are “the gradual, continual and replicable process of
meeting the housing needs of the populace, the vast majority of who are poor and are
incapable of providing adequately for themselves”.Scheepers (2014:105) notes that
apartheid planning that led to housing backlogs and spatial anomalies received a great
amount of attention with the election of the new government in 1994. Active efforts were
made to eradicate the housing backlog through subsidised housing.

29
However, Scheepers (2014) states that, despite on-going housing delivery by the state,
the country’s cities are challenged by severe housing backlogs and ongoing spatial
segregation. He recommended that active efforts need to be made to redress the effects
of apartheid planning in order to ensure well-integrated, sustainable human settlements.
In order to achieve this, it is crucial to understand the different elements that contribute to
sustainable human settlements (Scheepers, 2014:105).Scheepers (2014:105) states
that, with the demise of apartheid, a new planning approach was required that aimed to
improve the quality of life of the urban poor who had previously been disadvantaged.
Several factors contribute to the provision of adequate housing, and ultimately the
creation of sustainable human settlements.

The factors identified by Scheepers (2014) are presented in Table 1 below.

Table 1: Factors of sustainable human settlements

Sustainability Sustainable development occurs when

social, economic and environmental
development is encouraged, without
these factors negatively influencing one
another. Cohesion between these three
factors is important to ensure the
longevity of housing projects and the
protection of the environment.
Location Location plays a vital role in housing
provision. It is important that housing
projects are well located, with regards to
economic opportunities and social
facilities. Projects located on the urban
periphery tend to be removed from
employment opportunities and usually
increase living expenses for residents

30
 who are forced to travel great distances
to access amenities.

Density Increased residential densities have

proven benefits with regard to
infrastructure provision, the provision of
social facilities and viable public
transport. Furthermore, increased
densities optimally utilise available land,
decrease urban sprawl and create vibrant
communities.
Basic infrastructure Access to potable water and decent
sanitation facilities are considered basic
human rights in accordance with the
South African Constitution. Provision of
these basic services is therefore crucial
with regard to housing provision.

Affordability Affordability is extremely important when

discussing housing provision for the
urban poor. Two aspects of affordability
(capital variables and operational
variables) are discussed. Operational
costs (such as maintenance) should not
be disregarded in subsidised housing

31
 schemes as beneficiaries often cannot
afford these long term costs.

Right to tenure Legal tenure of a property (be it in the

form of ownership or a binding lease
agreement) is very important in housing
provision as it protects the resident of the
property from illegal eviction and creates
a certain level of security.
Range of Household Types Community members’ housing need are
extremely varied due to differences in
culture, household size and
socioeconomic conditions. As such, a
standardised method of housing
provision is not viable. Housing provision
needs to flexible and varied in order to
adapt to the ever-changing needs of the
community.
The table clearly indicates that housing provision is a complex issue. It is therefore
important that these elements are considered when implementing housing projects to
ensure sustainability.

On the other hand, Du Plessis and Landman (2002) explain that, whether or not a
settlement can be declared sustainable depends on the interaction of four different
patterns:

• The physical structure – how the settlement sits within the natural environment and
therefore responds to the topography, the spatial relationship between the different parts
of the city, and the form of the built environment.

• The use patterns – which are formed by the way the settlement uses its resources and
are described by the infrastructure and services provided.

32
• The social patterns – how people live, learn and work in, and relate to, their settlement,
and the opportunities provided by the settlement for meeting these social needs.

• The operational patterns – how the settlement functions and is managed (Du Plessis
and Landman, 2002:13).

2.6 Legislative Framework

The persistence of informal settlements in South Africa, and their continued growth
despite extensive government subsidised housing delivery since 1994, has been the
focus of increased attention. Launched in 2004, the Informal Settlement Upgrading
Programme has a dedicated subsidy mechanism and is part of the refinement of the
National Housing Policy in the form of 'Breaking New Ground': A Comprehensive Plan for
the Development of Sustainable Human Settlements. The Informal Settlement Upgrading
Programme calls for a paradigm shift in relation to informal settlement intervention
(Huchzermeyer and Karam, 2006:41). The programme is guided by a set of legislation
that is discussed in this section.

2.6.1 The 1996 Constitution of the Republic of South Africa

The most important piece of legislation that governs the upgrading of informal settlements
in South Africa is the 1996 Constitution. The Constitution aimed to redress the racial
divisions imposed by apartheid. Currie and de Waal (2006) note that the Constitution
should be read together with the Bill of Rights in its context of ‘constitutional supremacy,
justiciability and entrenchment’. Mubangizi (2005) states that the Bill of Rights is the basis
of democracy in South Africa as it affirms that the government must respect, protect,
promote and fulfill the rights of all South Africans (Mubangizi, 2005; RSA, 1996). Section
26 (1) of the Constitution states that, “everyone has the right to have access to adequate
housing” and Section (2) of the same Article enjoins the State to “take reasonable
legislative and other measures, within its available resources to achieve the progressive
realisation of this right.” Scholars such as Tshikotshi (2009) and Huchzermeyer (2003)
have argued that the realisation of the right to housing is inextricably linked to the right to
land. However, the right to land is habitually constrained by constitutional protection of

33
the exceptionally lopsided existing rights to land (Tshikotshi, 2009; Huchzermeyer, 2003).
Huchzermeyer (2003) observes that land invasions by the urban poor are an indication
that access to housing for urban indigents is connected to inequitable access to land.

Furthermore, Section (3) of the Constitution states that “no one may be evicted from their
home, or have their home demolished, without an order of court made after considering
all the relevant circumstances. No legislation may permit arbitrary evictions.” In effect,
Section 26 of the Constitution provides the primary legislative framework from which all
national programmes and policies on adequate housing including informal settlement
upgrading derive their support and legitimacy in South Africa.

2.6.2 The 1994 White Paper

This White Paper was the first post-apartheid housing policy to be adopted by the new
democratic government (African National Congress). It sought to “create viable,
integrated settlements where households could access opportunities, infrastructure and
services, within which all South African people will have access on a progressive basis,
to: (a) a permanent residential structure with secure tenure, ensuring privacy and
providing adequate protection against the elements; (b) portable water, sanitary facilities
including waste disposal and domestic electricity supply” (Tissington, 2010, 33).

The White Paper further stipulates that despite environmental constraints and limitations
on the fiscus, every effort will be made to realise this vision for all South Africans whilst
recognising the need for general economic growth and employment as well as the efforts
and contributions of individuals themselves and the providers of housing credit, as
prerequisites for the realisation thereof (White Paper on Housing, 1994). Since 1994,
several housing programmes have been implemented in pursuit of the ideals of the of this
landmark policy document, culminating in a significant policy shift in 2004, with the launch
of BNG (Ziblim, 2013).

34
 2.6.3The Housing Act of 1997(Act No.107 of 1997)

South Africa’s housing policy arose from an unusual process. From 1992 until the
elections in 1994 a multi-party negotiating body, the National Housing Forum, made up
of representatives from political groups, the business community, the building industry,
financial institutions, unions, civics and development organisations thrashed out a
housing policy in response to the then government’s racially based policy (Tomlinson,
1999:283).

The Housing Act of 1997 together with the revised Housing Code of 2009 was enacted
to give effect to Article 26 (1) of the Constitution. Tissington (2011) states that the Act
provides for a sustainable housing development process by laying down the general
principles that should govern such processes in all spheres of government. Among other
things, it spells out the functions and relationships between the various tiers of
government and individuals and communities with regard to housing development
(Tissington, 2011). The Act further contains relevant provisions under Section 2, which
oblige municipalities to ensure a non-discriminatory, pro-poor, racially integrated, and
participatory process to upgrade informal settlements based on the principles of good
governance. Section 2 (1) states that the national, provincial and local spheres of
government must: (a) Give priority to the needs of the poor with respect to housing
development; and (b) Consult meaningfully with individuals and communities affected by
housing development. Section 2(1) further enjoins all spheres of government to ensure
that housing development: (i) Provides as wide a choice of housing and tenure options
as is reasonably possible; (ii) Is economically, fiscally, socially and financially affordable
and sustainable; (iii) Is based on integrated development, and (iv) is administered in a
transparent, accountable and equitable manner, and upholds the practice of good
governance.

Furthermore, Section 2(1) (e) (iii) provides for “the establishment, development, and
maintenance of socially and economically viable communities, and of safe and healthy
living conditions to ensure the elimination and prevention of slums and slum conditions.”

35
Section 2 (1) (e) (vi), provides for “measures to prohibit unfair discrimination on grounds
of gender, and other forms of unfair discrimination by all actors in the housing
development process.” According to Ziblim (2013:22), these general principles in the
Housing Act are instructive for the processes and modalities of the upgrading of informal
settlements, which aims to facilitate the creation of integrated urban cities and to reduce,
if not eliminate social exclusion in South Africa. However, according to Tshikotshi (2009),
the 1997 Housing Act has serious weaknesses including the failure to direct housing
policy on whether delivery should be through project-linked grants or settlement-wide
developments, or whether individual ownership should be given precedence over
communal ownership or rental alternatives (Tshikotshi, 2009). Miraftab (2003) adds that
the Act does not uphold the spirit of democracy as it provides that the Housing Code is
the preserve of the Housing Minister and, that the minister has the right not to engage in
any consultative process in deciding national housing policy (Miraftab, 2003).

Huchzermeyer (2003) observes that this thinking is based on the misconception that
informal settlement interventions are simply a form of housing delivery and that the role
of communities is therefore not important. The result is that subsidies have often been
offered in top-down housing projects for large-scale housing settlements (COHRE, 2005).
Huchzermeyer (2003) points to the many problems associated with project-linked
subsidised housing, including, inter alia, poor quality and peripheral locations that lack
commercial and social services. However Ziblim points out that the Upgrading of Informal
Settlement Programme derives its policy context from the BNG policy document of 2004
(Ziblim, 2013:22).

2.6.4 The Breaking New Ground Housing Policy (BNG)

From 2002 to 2003, the Department of Housing (now the Department of Human
Settlements) undertook a comprehensive review of the housing programme after
recognising a number of ‘unintended consequences’ of the existing programme. These
included peripheral residential development, and poor quality products and settlements,
just to name but a few (Tissington, 2010). The Upgrading of Informal Settlements
Programme (UISP) was a result of the BNG policy document which was adopted in 2004

36
by the South African government. According to Tissington (2011), the aim of BNG was to
augment the delivery of well-located housing of suitable quality through various
innovative, demand-driven housing programmes and projects. The policy sought to
achieve the following specific objectives:

 Accelerate the delivery of housing as a key strategy for poverty alleviation;

 Utilise the provision of housing as a major job creation strategy;
 Leverage growth in the economy;
 Combat crime, promote social cohesion and improve the quality of life of the poor;
 Support the functioning of the entire residential property market to reduce duality
within the sector by breaking the barriers between the first economy residential
property boom and the second economy slump;
 More importantly, utilise housing as a tool for the development of sustainable
human settlements, in support of urban restructuring. For the purpose of this study,
the focus area was this objective, as the study evaluated the extent to which Philani
Valley Housing project has been used as a tool for the development of sustainable
human settlements (Department of Human Settlements, 2004: 7).

Ziblim (2013:24) states that these objectives reflect a revolutionary approach to the
challenge of informal settlements, in the sense that, for the first time, the issue of informal
settlements was conceptualised not merely as a housing problem but as the product of
an underlying socio-economic predicament that needs to be addressed. Hence, the policy
saw housing as a catalyst to achieve broader socio-economic goals, including economic
growth, job creation, poverty alleviation, and social cohesion.

However Charlton and Kihato (2006) note that BNG has been criticised for not fully
addressing the key weaknesses in the previous policy identified by the department, or
offering clear direction on the difficult political issues of land ownership, the land market
and rights around property values. Although the programme strives for broader outcomes,
key indicators of performance appear to remain largely quantitative, and focus on the
number of houses produced and budgets spent (Charlton and Kihato, 2006).

37
Furthermore, while BNG built on the basic principles of the 1994 White Paper on Housing,
Ziblim (2013) points out that it diverges in a number of ways from previous national
housing programmes, including the importance it places on informal settlement upgrading
as part of efforts to deliver adequate housing to the poor in South Africa (Ziblim,2013:24).
Huchzermeyer (2008) and COHRE (2005) note with concern the use of the term
‘eradication’ of informal settlements in the BNG policy document. Eradication or
elimination connotes some use of force to wipe out all informal settlements in South
African cities. McLean (2006) maintains that despite the adoption of BNG, the urban poor
are still being housed in project-linked housing developments located on the urban
outskirts. However, according to Tissington (2011), the UISP seeks to supplement pre-
existing mechanisms and housing instruments to facilitate a housing delivery system that
is more responsive, flexible, and effective.

2.6.5 The Upgrading Informal Settlements Programme

The UISP offers grants to accredited municipalities to undertake sustainable housing

development projects aimed at improving the conditions of slum communities. The main
idea is to facilitate phased in situ upgrading of informal settlements as the strategy of
choice where possible (Housing Code Part 3, 2009). The approach also considers social
cohesion, security of tenure and economic development. In an additional break from the
past, the programme seeks to provide phased upgrading, beginning with basic services
and possibly ending with the provision of a top structure (Tissington, 2010:55).

According to Chapter 13 of the National Housing Code “[t]he challenge of informal

settlements upgrading must be approached from a pragmatic perspective in the face of
changing realities and many uncertainties”, meaning that it should not be seen as simply
a “housing problem.” Instead, it should be recognised as the quintessence of underlying
social change, a solution which calls for a “multi-sectoral partnership, long-term
commitment, and political endurance” (Ziblim, 2013). However, it is important to note that
while the programme prioritises in situ upgrading, the Housing Code also provides for
informal settlement dwellers to be relocated only as a “last resort.” According to the
Department of Human Settlements (2009), this should be considered in a situation where

38
the existing terrain is not suitable for upgrading (Department of Human Settlements,
2009). Where relocation appears inevitable, the policy provides that implementation
should be based on the “principle of minimal disruption” (Tissington, 2011).

2.7 Informal settlements upgrading precedent studies

2.7.1 Case Study of Welbedacht East Project, South Africa

The Welbedacht East Project was one of the largest informal settlement clearance
projects in eThekwini Municipality (Durban). It is located in the extreme south of the wider
Pinetown area. According to Sokhela (2006:58), the settlement was considered badly
located from a transportation point of view and in terms of job opportunities. There were
very few, if any, employment opportunities in the area. The whole area of Demat was
designated in terms of the Group Areas Act and thereby declared an Indian community
area. Black people were not allowed to settle on this land. It was only after 1994 that the
area was released to all people, irrespective of race. By then, Welbedacht East had
already been established as a project area by the then Welbedacht Development Trust
(Sokhela, 2006).

Sokhela (2006) adds that progress was considered very slow due to construction related
issues. However, when it was declared an Informal Settlement Clearance Project, the
process was accelerated. Welbedacht East was earmarked to spearhead the very
ambitious programme of the then Minister of Housing. R50 million was made available by
the Department of Housing, with a further R150 million being released from the Municipal
Housing Fund in order to speed up the housing delivery process. The township
designation commenced, and was completed in terms of the Development Facilitation Act
of 1995. The Old Phase 1A, which was to be designated in terms of the Ordinance Act
through the Private Township Board was cancelled, and was included in the new project
(Sokhela, 2006:59).

39
According to Sokhela (2006:59), the initial intention was to use the project primarily as a
destination for relocated residents of informal settlements. However, after negotiations
with the then Welbedacht Development Committee, the end result was a 50/50 split
between people to be relocated from other informal settlements within eThekwini, and
those already informally settled in the area (Clinton Morck, Welbedacht East Project
Manager). Based on the detailed town planning, approximately 4 900 households were
accommodated, although Sokhela (2006) states that the original submission made
provision for 5 200 units.

There were mixed feelings about the location of project. Officials from eThekwini
Municipality argued that the project was close enough to potential employment and major
transportation routes and was therefore, within what would be considered the urban core,
which was defined by the then Durban Metro boundary with the Inner West City Council.
This boundary now separates Welbedacht East from Welbedacht West (Sokhela,
2006:59). The lesson that can be learned from the Welbedacht East Project is the
importance of location when upgrading informal settlements through relocation.
Undermining this principle may contribute to the new settlement being unsustainable. The
challenges created by poor settlement location are enhanced by the unavailability of
affordable transport facilities which in turn limit accessibility and further constrain
livelihoods as working beneficiaries often have to rent housing or set up temporary shacks
closer to their place of work. This has tremendous adverse effects with the possibility of
the perverse effect of increasing the housing backlog (Huchzermeyer, 2003).

2.7.2 Informal settlement upgrading in the Repelita, Indonesia

In every Repelita (National Development Plan) since the mid-1960s informal settlements
upgrading has been a key part of Indonesia’s strategy for poverty alleviation. Thus,
informal settlements upgrading in Indonesia has a long history, with three ‘generations’
of these policies. The Kampung Improvement Program initiated in Jakarta in 1969 has
been dubbed “the world’s first informal settlements upgrading programme” (Juliman and
Durrendon, 2006). Funded by the Jakarta City Administration and the World Bank, the

40
KIP focused on improving physical conditions by providing basic infrastructure and
upgrading housing (Tunas and Peresthu, 2010). It became a model for informal
settlements improvement in other parts of Indonesia, including the city of Bandung.

The second generation approaches ran from the late 1980s to the early 1990s. They
attempted to integrate physical, social and economic improvements. The Asian financial
crisis of 1997 forced the government into a third generation of programmes to deal with
the sudden escalation in levels of poverty (Minnery, 2013).Bandung City became a
municipality in 1906. By 1987 its administrative area had expanded to twice its original
size. In 2001 the wider Bandung Metropolitan Area was created. The rapid expansion of
the BMA mirrored the dynamic industrialisation of Indonesia at the national and regional
levels (Winarso and Firman, 2002).

Kelurahan Cikutra was a target of the first generation approach, the UNEP-Experiment
(1980). This project focused on improving sanitation and waste disposal management
with social and economic improvements piggy-backing on these. The community was
consulted during the planning phase and community labour was used during construction
and for the maintenance of physical infrastructure (Minneryet.al, 2013). Kelurahan
Padasuka, a flood-prone area, was a second generation project and was part of the
Bandung Urban Development Program. While focusing on physical infrastructure
provision (roads, drainage, waste collection and particularly flood control), it also stressed
social and economic components and attempted to involve the community (Minnery et
al., 2013).

Industri Dalam was an informal settlement in the center of Bandung on partly vacant and
partly industrial land with no water supply or sanitation. Most of the migrants living in the
settlement were engaged in the informal economy. The community was the target of the
Urban Revitalization and Housing Development, part of the second generation of informal
settlement upgrading that began in 1990. It focused on building temporary shelter on
government land to accommodate informal settlement residents. The programme did not
engage the community in the planning stage and the community’s role was thus unclear
(Minnery et al., 2013).

41
The lesson from the Bandung projects is that the projects were generally favorable.
However, according Tampubolon (2007), longer-term assessment showed that the
positive gains were not enduring. However, there were longer-lasting physical and social
legacies from the earlier physical upgrades. In essence, the early UNEP-experiment in
Bandung successfully promoted the building of social assets in the community through
the establishment of cooperatives and integrating construction with ‘on the job’ training.
According to Minnery et al. (2013), a possible reason for its lasting legacy is that there
was no ambiguity in how funds had to be spent. All funds were focused on physical
upgrading, including training efforts. Minnery et al. state that, while later programmes tried
to address physical, economic and social conditions, the available funding was not
commensurate with the expanded purpose. Furthermore, the top-down approach meant
that community participation was poorly developed; the lack of a clear community purpose
hindered the retention of both social cohesion and economic opportunities (RTPP, 2008).

42
Chapter Three: Historical Background of the study area Philani Valley,
uMlazi

3.1 Introduction

This chapter presents the context within which the case study exists and overall
population statistics on uMlazi including employment status. The chapter also discusses
the objectives of Philani Valley Housing Project and its integration of social and economic
activities.

3.2 Details of the Objectives of Philani Valley Project

According to Department of Human Settlements (2010), the primary objective of the

Philani Valley Project was to tackle the issue of informal settlements in uMlazi. Relocation
was identified as the only viable approach. Philani Valley was identified as suitable land
to which to relocate people from some of the informal settlements to allow for the provision
of services.

Figure 1: Bird-eye view of the Philani Valley Housing Project

Source: Google Maps (2015)

43
Due to its location, there is very high demand for housing in the area. According to the
Department of Human Settlements (2010) traditional detached housing on individual plots
would have rendered a fairly low yield. To maximize the use of the land and provide bulk
services, a medium to high density solution was therefore proposed and an appropriate
design concept was investigated. It was concluded that semi-detached single storey units
would be the most appropriate. The units comprise of a 40 m2 top structure unit with two
bedrooms, a bathroom and lounge/kitchen area. The project area yielded 329 housing
units and individual freehold title was given to the beneficiaries.

Figure 2: Philani Valley Semi-detach units 1

Source: Author (2015)

44
Figure 3: Philani Valley Semi-detached Units 2

Source: Author (2015)

3.3 Contextual background of Philani Valley, uMlazi

Philani Valley (also known as uMlazi Y section) is situated adjacent to Umbumbulu Road
(MR 80). The Embokodweni River forms the western and southern boundaries of the
study area which is within eThekwini Municipality (Ward 86). The study area is located in
the south of Durban inland of the N2 highway, and is 24.3 km from Durban. UMlazi is one
of the biggest townships in South Africa, and the largest in KwaZulu-Natal (Department
of Human Settlements, 2010).

45
 Figure 4 and 5: Location of Philani Valley

Source: Google Maps (2015)

46
According to Townsend (1991:33) uMlazi was designed to be the largest township to be
built by the apartheid government inside one of South Africa's 'bantustans'. uMlazi
Township was originally a mission reserve which was created by Deed of Grant in favour
of the Church of England (Durban Housing Survey, 1952: 478). 192.63 hectares were
allocated to the church authorities, as Glebe Land and 3043.64 hectares constituted a
mission reserve for the settlement of ‘natives' under the guidance of the trustees. The
land where the Mission was created belonged to the Cele Tribal area, including the strip
of land between the uMlazi and Mbokodweni Rivers, and the Makhanya Tribal area to the
south (Durban Housing Survey, 1952).

Townsend (1991) states that in the early 1940s the government proposed converting
uMlazi mission reserve into a township. According to the Iyer Rothang Collaborative
Report (1998: 23), the significance of the urbanisation of uMlazi reserve did not only lie
in its far-reaching contribution to Durban's housing problem and its influence on the future
development of the city, but in its main purpose, to serve as a dormitory town for people
relocated from central areas, such as Cato Manor, in the government's forging of the
apartheid city. In 1967 uMlazi was established as a township. Townsend (1991:33) notes
that, like most African townships in South Africa, in the original design, no names were
given to the sections or roads. Instead, a system of sections (starting with the first letter
of the alphabet and using all the letters except ‘I’ and ‘O’ before going on AA, BB, CC,
etc.) or Units (using numbers) was used to refer to various parts of the huge township.
However, this has changed in recent times, with sections such as Y-section now also
known as Philani Valley.

3.3 uMlazi Demographics

According to Census Statistics (2011) uMlazi has a population of 404,808 with a slight
majority of females over males (50, 1: 49.5). Since the area is located in KwaZulu-Natal
province, 91.4% of the population speaks isiZulu. IsiXhosa is the home language of 3%
of the population while other languages account for less than one percent each. The
statistics relating to employment below clearly shows that the majority of residents of
uMlazi are unemployed.

47
Figure 6: uMlazi Employment Status, Census 2011

Source: Census Statistics (2011)

3.4 Integration of Social and Economic Activities

According to the Housing Code (2009), funding for the development of certain basic
community and economic facilities is facilitated through the National Housing Programme:
Provision of Social and Economic Amenities. The provision of such facilities is determined
by consultation between the local authority and settlement inhabitants. The following
factors are taken into consideration (Housing Code, 2009):

• An assessment of community needs must be undertaken prior to the

determination of community preferences;

• Special care must be taken to ensure that the needs of vulnerable groups are
taken into consideration during the process;

• Amenities that are typically financed include sport fields, community centers etc.,
and

• Funding for the maintenance and operation of facilities must be provided from
non-housing sources by the municipality.

According to the Department of Human Settlements (2010), Philani Valley is well

integrated and close to the already existing residential developments of uMlazi and
Isipingo and to educational, health and recreational facilities. In terms of holistic
development the town planning layout makes provision for two primary schools and one

48
secondary school sites, four sites for worship/crèche facilities, seven for
community/health facilities and sixteen for mixed use/commercial use. There are also 21
open spaces that can be used for sports or play lots (Department of Human Settlements,
2010).

The department (2010) also notes that ample and sufficient provision was been made in
the planning process to provide for sustained physical and social development of the
beneficiary community. Furthermore, the development is well supplied with community
facilities that have already been constructed, especially the recent development of three
major shopping centers, viz., Philani Mall (adjacent to the study area), Galleria and Mega
City. The project’s close proximity to these major shopping centres increases potential
employment opportunities for the resident community (Department of Human
Settlements, 2010).

Figure 7: Philani Mall

Source: Author (2015)

49
3.5 Actors involved in the Philani Valley Housing Project

The actors that were involved in the Philani Valley Housing Project were EThekwini
Municipality and the Department of Human Settlements. The project was undertaken on
the basis of a co-operative governance partnership between the municipality and the
department. The municipality fulfilled the developer role with assistance from the
Department of Human Settlements. It should be noted however, that according to the
National Housing Code (2009), where a municipality lacks the expertise and capacity to
undertake a project, the provincial department will assist and augment the municipality’s
capabilities. Thus, where a municipality is not able to take on the developer role, the
provincial department may decide to take over and execute the project on behalf of the
municipality. In such cases there must be a structured agreement, which, amongst others
issues, must address the matter of the municipality taking the developed township over,
delivering the required services and assuming full responsibility for the administration of
the town and the application of by-laws upon completion of the project (National Housing
Code, 2009). All professionals were appointed in terms of the municipality’s supply chain
management procurement policy and processes (Department of Human Settlements,
2010).

3.6 Conclusion

This chapter presented the historical background of Philani Valley in uMlazi and detailed
the objectives of the project. It also highlighted the employment status of uMlazi residents
according to the recent Census. The chapter showed that Philani Valley is well integrated
and close to already existing residential developments and social infrastructure. Finally,
the major stakeholders involved in the project (eThekwini Municipality and the
Department of Human Settlements) were discussed, detailing their partnership in the
Philani Valley project.

50
Chapter Four: Research findings, data analysis and interpretation

4.1 Introduction

This chapter presents and analyses data obtained from the questionnaires prepared for
the study. The findings discussed in this chapter evaluated the socio-economic impact of
relocating informal settlement residents to Philani Valley with the purpose of creating
sustainable human settlements. This chapter is necessary as it will try assert the research
findings with a specific end goal to come up with strong recommendations and
conclusions on the social and economic benefits of the relocated informal settlement
residents. The following are findings which were obtained from the questionnaires
administered to 30 beneficiary households of Philani Valley Housing Project, the Ward
Councilor of Philani Valley and Philani Valley’s Housing Project Manager. The findings
will be used to attempt to answer the main research question (i.e. To what extent did the
relocation of informal settlement residents to Philani Valley with the purpose of creating
sustainable human settlements impacted the socio-economic benefits of the residents?)
using the responses from the questionnaires.

4.2 Data collected from Beneficiaries

This section presents the information of the respondents interviewed in Philani Valley.

Table 2: Gender of respondents

Gender Interval Percentage

Male 13 43 %
Female 17 57 %

51
 Gender of respondents
100%

50%
57%
43%
0%
Male Female

Table 2 shows that out of the 30 respondents 13 (43%) were males, and 17 (57%) were
females. This demonstrates that the majority of beneficiaries of the Philani Valley Housing
Project are female headed households rather than male. Moreover it shows that the
relocation programme did not discriminate against individuals because of their gender.

Table 3: Types of Respondents

Respondents Intervals Percentage

Beneficiaries 24 80%

Those who inherited the 6 20 %

houses.

Beneficiaries of Philani Valley Housing Project

20%

80%

Owner Inherited

52
The above table shows that out of the 30 people who were interviewed, 24 (80%) of them
were the original beneficiaries of the houses that were given to them at Philani Valley
relocation programme. The 6 (20%) other respondents according to the information they
provided, stated that they inherited the properties. With 4 out of the 6 stating that they
inherited the property from their late parents. The remaining 2 out of the 6 stating that
they inherited them from their family members. However all of the 6 (20%) respondents,
stated that they do not have any paperwork that gives them full ownership of the property.
Then again it can likewise imply that the houses were sold by the original beneficiaries.

4.3 Economic benefits for relocation

According to Misselhorn (2008) “It is important that any analysis of the current situation
is premised on an appreciation for why informal settlements exist and what functionality
they afford to those who reside in them” (Misselhorn, 2008:5). By the Government viewing
the issue of informal settlements in the country by considering Misselhorn’s point could
make the response to informal settlements more conducive not only to the government
mission in eradicating informal settlements and housing people but also to informal
settlements residents. Though the government has formed policies and implemented
programmes to eradicate informal settlements in the country, it can be said that
approaches such as the relocation of informal settlement residents to new locations can
have a huge impact on the beneficiaries. This theme presents the findings on the
economic benefits of relocating informal settlement residents to Philani Valley.

Table 4: Employment Status

Employment Status Intervals Percentage

Full - time 0 0%

Part - time 9 30%

Unemployed 21 70%

53
 Employment Status

0%
30%

70%

Part-time Unemployed Full-time

The above table demonstrates that out of the 30 people that took part in the study 21
(70%) are unemployed. The table further shows that 30% of the respondents are part-
time employees. This may simply mean that majority of the people that were relocated to
Philani Valley are unemployed and only a few have part-time jobs. This table also shows
that none of the respondents that participated in the study are full-time employed.

4.3.1 Household Expenditure

In the quest to evaluate the difference in the cost of living of the beneficiaries in Philani
Valley as opposed to where they were relocated from. The researcher asked the
beneficiaries the impact the relocation has had in their household expenditure. With the
evidence that majority of the people that participated in the study being unemployed the
responses from the respondents revealed that the relocation had increased their
expenditure. In a sense that the majority of the beneficiaries complained about how the
municipality expects them to pay for services such as water and electricity knowing that
they are unemployed. Some stated that coming from a place where they used communal
taps and weren't expected to pay for water, it was a hard transition as they cannot afford
to pay for services. Furthermore stressing that they would go for as long as a month
without running water.

54
 4.3.2 Transportation mode used by beneficiaries

Table 5: Transport mode

Mode Intervals Percentage

Taxi 18 60%

Bus 12 40%

Train 0 0%

Transport mode
0%

40%

60%

Taxi Bus Train

Table 5 demonstrates that out of the 30 beneficiaries that participated in the study 60 %
utilise taxis, with 40% utilising bus and none using trains. Firstly this indicates that even
though there are train stations in uMlazi and that it is the most common mode of transport
used by the poor, however the researcher found that train stations are too far for the
beneficiaries of Philani Valley to utilise. This shows that as a substitute, taxis are preferred
as the mode of transportation, which could indicate that there that they are more efficient
than buses in terms of getting people to their preferred destination on time.

With further investigation of the transportation mode used by the respondents, the
researcher found the part-time employees that were beneficiaries of the houses in Philani

55
Valley stated the increase in transport cost to get to work , as majority of them work in
Isipingo and Jacobs Industrial park. Moreover the respondents expressed the difficulties
of now needing to take two taxis as opposed to one that they used to take when they
resided in informal settlements. The researcher likewise further got that some of the
respondents before being relocated to Philani Valley used the train as their mode of
transport to get them were they needed to go, since it was more affordable than taxis and
bus fares. However in the wake of being relocated to Philani Valley were the researcher
found that there are no train stations nearby the expenses of traveling had increase for
beneficiaries and have made it even more difficult for those that are still seeking
employment opportunities.

This demonstrates that Philani Valley is relatively far from industrial and other amenities.
It is therefore important to note that even though there are taxis and buses operating
within the area, one cannot conclude by stating that there is good access to transport
systems. With the Government’s aim of creating sustainable human settlements, it is
important that people have access to sufficient affordable range of transport modes. Not
a system that will make people spend more than half of their earnings on transportation
alone.

4.3.3 Economic Activities

Majority of the beneficiaries that participated in the study expressed how the relocation
disrupted their economic activities. In sense that some of the beneficiaries that were
relocated, resided next train stations and taxi ranks which was where there would sell
goods to commuters as well as people from the informal settlements. One of the
respondents stated that before his family was relocated to Philani Valley he used to have
a vegetable garden in which assisted in feeding his family with food and also money that
he got from selling. This unfortunately has not been the case in Philani Valley as there is
lack of space to establish a vegetable garden, furthermore the plot sizes are too small
and the soil according the respondents is not fertile enough for people to establish good
vegetable gardens. This clearly indicates the negative impact the relocation programme

56
had on the residents economic activities, as the activities that the residents had while they
were residing in informal settlements stopped when they were relocated to Philani Valley.

4.3.4 Educational Facilities

Philani Valley as a community only has a Primary school (Embokodweni Primary School)
in which they share with Malukazi, since it located in the middle of the two locations.
Respondents when comparing access to education facilities of Philani Valley and where
they come from, majority expressed their dissatisfaction of Embokodweni Primary School
being a bit far for their children to walk. Some of the respondents stating that the location
of the Primary school had given them no choice but make their children take taxis,
especially those in the lower grades because of the distance. Moreover, the closest high
school the community has access too is located in uMlazi (Z-section), which is opposite
Philani Valley, Okumhlophe Secondary School (Both schools are shown in figure 8 below
in relation to the households).

Figure 8: Education Facilities

Source: Google Maps (2015).

57
4.4 Social benefits for relocation

Even when a well-planned and managed informal settlement upgrading programme is

implemented, the relocation of informal settlement residents to greenfields or new location
is more likely to disrupt the social networks on which informal settlement residents depend
on. The findings and data analysis of the Philani Valley housing project demonstrate that
the relocation of residents from different informal settlements in uMlazi had a negative
impact on the social lives of the beneficiaries. Though majority of the respondents showed
appreciation in getting houses, however it cannot be ignored that social networks were
disrupted. As most of the respondents had resided in informal settlements for a long
period and had built networks with the people in their immediate surroundings. These
networks play an important role to residents especially in informal settlements as
neighbours are considered as “family” because of the trust that has been built over the
years. These types of relationships are demonstrated as some of the respondents stated
in how they used to be comfortable with letting their neighbours watch over their house.
Going to the extent to even leaving their kids (baby-sitting) in cases where they needed
to be away for e.g. employment, job-seeking, shopping etc.

4.4.1 Access to social amenities

Access to social amenities is important in order to create a sustainable human settlement.

Majority of beneficiaries of the households in Philani Valley are unsatisfied with lack of
social amenities in the area. When comparing their access to social amenities in Philani
Valley and were they used to reside before, majority stated there were better in informal
settlements as social amenities such as clinics and police stations were in a walking
distance. Even though some respondents stated that crime rate was high in informal
settlements, however the advantage was that police would respond fast as they were
close, which is not the case in Philani Valley. However as a new community in Philani
Valley, after discovering the crime issues they faced when they were relocated, the
beneficiaries formed a Crime Community Forum. Which one cannot not say has
eliminated crime however has kept it under control.

58
The study found that Philani Valley does not have any health care facility. The only clinic
that residents have access to 3.8km away from the area as it is located at uMlazi (U-
section) next to the Councilor’s office. The respondents indicated that it becomes a
problem when they sick as their have to take transport and with the clinic being off the
main road, respondents stated that they have to take two taxis to get there. When the
Councilor was asked about not having any health care facility to accommodate Philani
Valley. He stated that Philani Valley must not be looked in isolation as it is just a section
under his ward, stressing that every household under his Ward (86) should have equal
access to facilities and no section should be given special treatment.

Figure 9: uMlazi (U-section) Clinic

Source: Author (2015).

59
4.5 Beneficiaries perception of Philani Valley Housing Project

The study found that the beneficiaries general perception of the overall Philani Valley
Housing Project was unsatisfactory and more could have been done. Majority of the
respondents were not happy with the houses provided for them, in sense that they state
that the municipality did not take all their needs to consideration. One of the common
points raised by the respondents was that the houses were too small to accommodate
their families as the houses are 3 room semi-detached dwellings. This has forced some
of the residents to build informal rooms as extension to their houses (see Figure 10). Lack
of privacy and space the houses was another point raised by households, in sense that
most the plots do not have direct access to the road. The researcher found a case of
about 3 to 4 households sharing an access point (see Figure 11). One of the main of
objectives of sustainable human settlements is providing access to safe and healthy
shelter. As it is essential to a person's physical, psychological, social and economic well-
being. This should be a fundamental part in the upgrading of informal settlement
programmes if the Government aims to create sustainable human settlements.

Respondents were also asked if they were to choose between staying at Philani valley
and going back to their informal settlements. Majority of them stated that even though
they face challenges in Philani socially and economically in terms of the disruption of
social and economic networks, they stated that they would stay. As for a long time while
staying at informal settlements they always prepared for the worse when there would be
bad weather (heavy rain, hail storm etc.) as in most cases informal settlements cannot
stand heavy rains. Respondents also pointed out lack of infrastructure in informal
settlements in sense that it had negative impact environmentally, as there were no
drainage systems and no specific place to dispose their household waste.

60
Figure 10: Informal house extension

Source: Author (2015).

Figure 11: Access point

Source: Author (2015).

61
 Table 6: Has the project improved standard of living?

Value Intervals Percentage

Yes 19 63%

No 11 37%

Has the project improved your standard of living

No
37% Yes
Yes
63% No

Table 6 demonstrates that 19 (63%) of the respondents stated that the project did improve
their standard of living, highlighting the fact that they now have adequate house that is
safe for them to live in. Overall appreciating the effort the government is making in housing
the poor. Only 11 (37%) indicated that the project has not improved their standard of
living, stating that not much has changed since they were relocated to Philani Valley from
informal settlements as there are still unemployed and still facing the challenge of
providing for their families.

4.6 Interviews with Philani Valley Project Manager and Philani Valley Councilor

4.6.1 Interview with the Councilor of Philani Valley indicated the following:

When the researcher asked the Councilor to give a background on the Philani Valley
Housing project, the Ward Councilor responded by stating that this project initially began

62
in 2002 when the eThekwini Municipality launched its first Informal settlements clearance
programme in Umlazi and was declared as a Greenfield project. Which meant that people
would be relocated to Philani Valley from different informal settlements in Umlazi.

According to the Councilor the programme was divided into 3 phases, but due to
unforeseen circumstances the project’s phase 2 was at a halt from 2005 to 2008. It later
on resumed in 2009 with phase 2, which was finished and allocated to beneficiaries in
2010-11. Furthermore the Councilor stated that after allocations where made for phase 1
and 2, phase 3 began at the end of 2011 and was completed in 2013. The Councilor then
pointed out that some of the houses completed under phase 3 were unfortunately invaded
by Umkonto Wesizwe Veterans (ANC struggle soldiers) that were not shortlisted as
beneficiaries and stated that a case was opened and presented to the municipality who
he states are handling it.

Besides the provision of housing the Councilor was asked what other programmes where
implemented as part of making Philani Valley a sustainable settlement. The Councilor
responded by stating that the programmes that were implemented by the municipality in
partnership with private sector was the construction of the Philani Valley Mall, in which he
states that it was constructed to help the community in different ways such as providing
employment opportunities and also making sure that people do not travel to places like
CBD and Isipingo just to buy household goods. Moreover he further stated that another
programme of planting trees in Philani Valley was launched by the Municipality Parks unit
in partnership with Department of Agriculture, Forestry and Fisheries.

When asked if the aim of the project was achieved the Councilor responded by stating
one could say to a certain extent the project achieved its aim to provide sustainable
human settlements and housing the poor. However pointed out that the project had its
shortcomings such as the invasions, which the municipality seeks to rectify and improve
in the area and when implementing such projects in the future.

63
 4.6.2 Interview with the Project Manager of Philani Valley indicated the
following:

When the Project Manager was asked how was Philani Valley identified as suitable land
for the relocation of informal settlement residents. The Project Manager responded by
stating that Philani Valley was the suitable available land for people that were being
moved from informal settlements in uMlazi. However he also indicated that this project
was not only aimed at residents coming from informal settlements but also those that had
been staying at hostels and had applied for housing subsidy. So in a nutshell stating that
the project meant to house poor as per Department of Human settlements mandate.

The researcher asked if whether economic and social opportunities were considered
when Philani Valley was established as suitable area for the provision of housing. The
Project Manager stated that economic and social opportunities were considered, as
Philani Valley Mall was constructed in 2008 for the people of Philani and surrounding
areas for them to buy household goods and also seek employment. Further stating that
access to social facilities such as schools are available in the area and immediate
surroundings, mentioning Okumhlophe High School and Embokodweni Primary School.
However when asked about health facilities the Project manager stated that one would
rarely find a clinic that is specifically provided for a settlement of Philani Valley magnitude.
In essence stated that people in Philani are served by the clinic in uMlazi (U-section)
which serves that whole Ward 86 which consists of section U, Z, Malukazi and Philani
Valley. When further asked if Philani Valley Housing project accomplished its aim. The
Project Manager responded by stating that , though there were few challenges such as
invasion of houses, the project did accomplish its aim of creating sustainable human
settlements. In sense that it not only provided houses for people but also created an
environment which is livable and safe for people.

4.7 Conclusion

Chapter four has presented the of findings and analysis of the data collected from the
study area Philani Valley, in which was collected through questionnaires with project

64
beneficiaries and interviews with Municipality officials. The study revealed that a lot
should have been done by the municipality in looking at the aspirations and needs of the
relocated informal settlement residents. The Philani Valley Housing project case study
suggests that municipality needs to put more effort and resources in engaging
communities on the upgrading of informal settlements especially when the relocation
approach is applied. Secondly the identification of land should not be based on its
availability alone, careful assessments and research should be conducted on the pros
and cons on the possible location of informal settlement upgrading programmes. While it
is evident that provision of housing alone does not solve the problems faced by the poor.
Access to economic and social opportunities when people are relocated to a new
settlement make a huge contribution in ensuring the creation of sustainable human
settlements. Thus it is not only the responsibility of the Department of Human settlements
but all departments (Education, Transport, Agriculture etc.) need to work together in
ensuring that new settlements are sustainable for people to settle in.

65
Chapter Five: Summary of findings, Conclusion and Recommendations

5.1 Introduction

The main purpose of this chapter is to summarise findings made in chapter four which
were necessary to evaluate the socio-economic impact of the relocating residents from
informal settlement to Philani Valley with the purpose of creating sustainable human
settlements. In essence it further makes a conclusion of the entire study and make
recommendations in how to make the relocation of informal settlement residents to new
locations more conducive and sustainable to both the government and beneficiaries.

5.2 Summary of findings

The conceptualisation of this study was formed from its hypothesis, that a well thought
out and effectively implemented programme of relocating informal settlements residents
can result in sustainable human settlements. In order to accomplish the study’s aim, a
quantitative and qualitative methods were employed, the researcher also adopted a case
study approach and with a theoretical framework directing the study. In-depth and semi
structured interviews were conducted with Philani Valley Housing Project beneficiaries
along with Ward Councillor and Municipality Project Manager.

The information collected from the respondents was analysed with two main themes
emerging from the data. The first theme being presented the economic benefits and
second presented findings on the social benefits.

With the purpose of seeking the experiences of the residence before and after relocation.
Under economic benefits theme the researcher evaluated the employment status of the
beneficiaries and found that majority (70%) of the beneficiaries that took part in the study
are unemployed and 30% are part-time employees.

66
On the aspect of evaluating difference of the housing expenditure of the residents of
Philani Valley as compared to the informal settlements. The study found that there was
an increase, as residents had to now pay for municipality services such as water and
electricity which was not the case previously when they resided in informal settlements.

On the point of the transportation mode used by the residents, the study found that
majority of the people utilised taxis with others using buses. One of the points made was
that the taxis were most efficient transport mode in the area. However the study found
that relocation had increased the residents transportation cost as previously most of them
used the train, which is affordable mode of transport as compared to taxis and buses.

Regarding the issue of evaluating if the relocation of informal settlement residents

disrupted the economic networks. The study found most of the beneficiaries were
economically active when they resided in informal settlements. As they resided next to
economic and transport nodes, which allowed most of the residents especially those that
had vegetable gardens to sell their goods on the streets. This is not the case in Philani
Valley as the area does not allow for such activities especially with the Philani Mall
opposite the residents.

On the aspect of the education facilities the study found that Philani Valley as a
community only has one Primary School (Embokodweni Primary School), however this
school located 2km away from where the residents were relocated too. The only
Secondary school nearby is located at uMlazi Z-section which is opposite Philani Valley.
Access to these facilities is unsatisfactory as some beneficiaries stated making their
children take public transport because of the distance.

The second theme that emerged from the findings was the social benefits. With regards
to access to social amenities, the study found that access was inadequate. In essence
the study found that beneficiaries of the households in Philani Valley were unsatisfied
with lack of social amenities in the area. When comparing their access to social amenities
in Philani Valley and were they used to reside before, majority stated there were better in

67
informal settlements as social amenities such as clinics and police stations were in a
walking distance. However in Philani Valley it is not the case as amenities such as the
clinic is located 4kms away, this has also made the new community to take initiative and
by forming a community forum to fight crime since there isn’t a Police station close-by.
Social amenities are crucial to creating sustainable settlements.

To sum up the findings, the study found that the perception of the beneficiaries that on
the overall Philani Valley Housing Project was that the project was unsatisfactory. Majority
of the respondents thought a lot more could have been done with the implementation of
the project. It was evident that beneficiaries were not satisfied with houses built for them,
as the 3 room semi-detached houses were small for the beneficiaries. Most of the
households had built informal extensions (known as “backroom shacks”) to accommodate
their large families to their houses.

5.3 Recommendations

Section 26 (1) of the Constitution of South Africa states that, “everyone has the right to
have access to adequate housing” in essence the State has to “take reasonable
legislative and other measures, within its available resources to achieve the progressive
realisation of this right” (RSA,1996). This right was realised by the informal settlements
residents with the implementation of the relocation programme as part of upgrading
informal settlements in uMlazi. However a lot could have been achieved with such
interventions from the government .The following are recommendations that seek to help
improve the relocation of informal settlement residents to a new location with the purpose
of creating sustainable human settlements.

Nhlapho (2013) states that the relocation of informal settlement residents to a new
location should be avoided, as in most cases, new relocation sites are in the peripheries
of the city and are often poorly located than original location. He expresses that most of
the time relocation does not only displace informal settlement residents but also interrupts
their livelihoods. Looking at the case of Philani Valley, it was evident that the relocation

68
of informal settlement residents to Philani Valley had an impact on the residents in a
number of ways. The location of the project had an impact on the residents in terms of an
increase in household expenditure. The Department of Human Settlements in in
partnership with municipalities need to ensure that before people are relocated land is
suitable and well located for housing and their needs. It was evident that government
officials’ perception on the location of Philani Valley project differed to the informal
settlement residents that were relocated there. Therefore it is recommended that
Greenfield housing projects need to be located closer to economic and social
opportunities. This can be achieved with the government doing thorough assessments of
community needs prior to the implementation of any upgrading programme. By doing this
the government will not only create a sustainable settlement but also ensure that
beneficiaries of relocation projects do not go back to where they resided before and create
more informal settlement which could cause a burden for the government
(Nhlapho,2013).

This is supported by Du Plessis and Landman (2002:81) in which they state that the South
African government needs to apply strong sustainability approach principals and
furthermore assess its Constitutional mandate so that it enables sustainable access to
adequate housing. In a sense that the government needs to accept that people live in a
mobile society. So by implementing a solution that in a way keeps them in one place,
does not only disempowers them but also reduces their options to access educational
and employment opportunities (Du Plessis and Landman,2002:81).

In essence the Human Settlements Reference Group (2005) state that “applying one-
size-fits-all approach to informal settlement upgrading ignores the differences between
and within informal settlements”. Which goes to show the It is importance of taking into
account the location, size and the reasons of why people reside in them. Moreover not
ignore issues such as the ‘physical form of informal settlements’ as in most cases informal
settlements are linked to requirements of livelihoods for those that reside in them, and
also social and economic support networks (Human Settlements Reference Group,
2005:29).

69
To decrease the challenges of invasions and wrongful allocations of houses, government
should put in place policies that will have proper systems that will administer housing
allocation subsidies. Moreover the study recommends that in order to ensure that the new
settlement is sustainable and is not at a risk of turning into another informal settlement. It
would be necessary that houses accommodate or cater the size of a family. In a sense
that most of informal settlement households have large families, so by the government
providing people with standard sized houses e.g. 3 room house semi-detached houses
which were provided in Philani Valley, problems of overcrowding arise. So without taking
into consideration the size of the household the risk of an increase in informal backroom
shacks are high. This is supported by Du Plessis and Landman (2002:81) in which they
state that the government needs to investigate a broad range of housing designs and
options. They elaborated on this point by stating that such can be achieved by the
government by providing houses in a form co-housing units for single-parent and small
households, to row-housing option for large households. Housing designs that can
actually allow for an extension on the rooftop (Du Plessis and Landman, 2002:81).

With regards to the integration of socio - economic status into housing projects with the
purpose of creating of sustainable human settlements. Ngonyama (2012) states that
there is a need for Department of Human Settlements provide houses that will cater
according to the size household. Therefore there is a need for an increase in the size of
public houses, in a sense that the Department needs to construct 3 bedroom houses
according to the needs of the beneficiaries. Ngonyama (2012) further states that the
provision of houses should be based on the community’s needs. In essence Thwala et.al
(2010) state that it is important that the government ensures that the Informal Settlement
Upgrading Programme improves the lives of the beneficiaries of the upgrading
programme in terms of it creating jobs for the beneficiaries. Thwala et.al (2010) further
stresses that if that is not made a priority, beneficiaries will struggle to maintain their
houses because of not getting any income, which will result in the new settlement
becoming a slum.

70
Moreover the Mecer Human Resource Consulting LCC (2007) state that the criteria that
is used to define the quality of dwellers living standard consists of transport infrastructure,
housing, security, schools, recreation and health facilities. This shows that there is
certainly a need for the socio-economic status to be incorporated in government policy.
Wekesa et al (2007) also support the statement, as they state that the main purpose of
providing houses for informal settlement residents, is to produce a socio-economic
integrated communities, which can also provide education and health to beneficiaries.

5.4 Conclusion

The study has critically evaluated the socio-economic impact of relocating residents from
informal settlement residents to Philani Valley with the aim of creating sustainable human
settlements. The study has explored the factors that contributes to the success or failure
of the relocation approach by not only looking at the policy and guidelines of the informal
settlement upgrading but by investigating the experiences of the residents before and
after the relocation process. Furthermore the study also explored the relocated residents’
economic and social opportunities in Philani Valley and how the relocation impacted these
opportunities. It is without a doubt that South Africa has come a long way in the struggle
of eradicating informal settlement and providing adequate housing for the poor. However
the challenge of creating sustainable human settlements that respond to the needs of the
people still needs a lot of work.

This study concludes by stating that, Informal settlement upgrading is not a mere
implementation of projects that aim to improve the quality of life for informal settlement
residents, but it needs to be the outcome of a good preparation whereby there has to be
an understanding of the complexity of the urban poor’s livelihoods, the meaning of
the ‘community’ in a settlement, and many other elements that influences the lives of
people in informal settlements. Only if one understands the real needs of them, upgrading
initiatives can be successful. It is therefore important that South African government looks
at informal settlement upgrading and human settlements on a broader scale. Meaning the
upgrading of informal settlements should not be the sole responsibility of Department of

71
Human Settlements and local municipality housing units. Instead a responsibility of multi-
sectoral stakeholders (Public and Private sectors) working collectively in eradicating
informal settlements and creating sustainable human settlements (Holder, 2012).

72
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 APPENDIX 1

QUESTIONNAIRE FOR PHILANI VALLEY BENEFICIARY HOUSEHOLDS

1. Gender of household head (Tick)

Male

Female

2. Are you a beneficiary of the Philani Valley Housing Project?

......................................................................................................................

3. Employment Status (Tick)

Full-time

Part-time

Unemployed

4. What transport mode do you use? (Tick)

Taxi
Bus
Train
Other

5. Where were you living before moving to Philani Valley?

............................................................................................................................

6. Do you have any form of security for your property, where you issued title deeds?
............................................................................................................................

7. Does the cost of living here differ from where you previously lived? Explain
.................................................................................................................................
.......................................................................................................................

87
8. Has moving to Philani Valley improved your standard of living or not?
.................................................................................................................................
.......................................................................................................................

9. What are the social challenges you experienced in your previous place?
.................................................................................................................................
.......................................................................................................................

10. What were the social challenges that you are experiencing now?
.................................................................................................................................
.......................................................................................................................

11. What are the economic challenges you experienced in your previous place?
.................................................................................................................................
.......................................................................................................................

12. What are the economic challenges that you are experiencing now?
.................................................................................................................................
.......................................................................................................................

13. In your previous place what were your financial challenges?

.................................................................................................................................
.......................................................................................................................

14. What are your financial challenges now?

.................................................................................................................................
.......................................................................................................................

15. What were the environmental challenges that you experienced in your previous
location?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

16. What are the environmental challenges that you are experiencing now?
.................................................................................................................................
.................................................................................................................................
..................................................................................................................

88
17. How were your housing conditions in your previous location?
.................................................................................................................................
.................................................................................................................................
..................................................................................................................

18. How are your housing conditions now?

.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

19. Before you moved to Philani Valley how close were you in relation to areas of
employment opportunities?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

20. How close are you now to areas of employment opportunities?

.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

21. How has moving to Philani Valley affected access to employment and income?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

22. Has relocation to Philani Valley affected your access to facilities such as social
services health and education?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

23. What would you say are the challenges that affect your stay in Philani Valley?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

89
24. If you were to choose between staying here and going back to where you come
from, what would you choose? Explain your answer
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

25. What is it that you do here that you couldn’t do in your previous place of stay?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.............................................................................................................

26. Would you say that the Philani Valley project succeeded in improving your
housing, economic, educational conditions? Why you say so?
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
............................................................................................................

27. Did this project improve your life, Yes or No?

............................................................................................................................

25 .Are the following Facilities and services available (tick)

Schools
Clinics
Church
Recreation
Shops
Roads
Water
Electricity
Sewer

90
 APPENDIX 2

Interview questions for Philani Valley Ward Councillor

1. When did you become a councillor of Ward 86 Philani Valley?

...............................................................................................................

2. What is the background of Philani Valley Housing Project?

.................................................................................................................................
.................................................................................................................................
..................................................................................................................

3. Where do most people who stay in Philani Valley come from?

.................................................................................................................................
.......................................................................................................................

4. What was the aim behind the relocation of people to Philani Valley?

.................................................................................................................................
.......................................................................................................................

5. Was this aim achieved? Explain.

.................................................................................................................................
.................................................................................................................................
..................................................................................................................

6. Where do most of the people who live in Philani Valley work?

.................................................................................................................................
.................................................................................................................................
...........................................................................

7. Besides the provision of housing which other programmes have been

implemented in Philani Valley which were aimed at the creation of sustainable
human settlements?

91
 .................................................................................................................................
.................................................................................................................................
..................................................................................................................

8. If there are any who funded those programmes?

.................................................................................................................................
.................................................................................................................................
...........................................................................

9. How have such programmes assisted the community?

.................................................................................................................................
.................................................................................................................................
..................................................................................................................

92
 APPENDIX 3

Interview questions for Philani Valley Project Manager

1. How was Philani Valley identified as suitable land for the relocation of informal
settlements residents?

.................................................................................................................................
.......................................................................................................................

2. What was Philani Valley housing project aimed to achieve?

.................................................................................................................................
.......................................................................................................................

3. Was the purpose accomplished in Philani Valley? Support your answer.

.................................................................................................................................
.......................................................................................................................

4. Where the economic and social opportunities of beneficiaries considered?

......................................................................................................................................
......................................................................................................................................
.......................................................................................................................

5. Are the following Facilities and services available (tick)

Schools
Clinics
Church
Recreation
Shops
Roads
Water
Electricity
Sewer

6. What challenges did you encounter during the Philani Valley Relocation
programme?

93
 .................................................................................................................................
.......................................................................................................................

7. How were those challenges solved?

.................................................................................................................................
.......................................................................................................................

8. Besides the provision of housing, what other programmes were implemented

along just to enhance the principle of sustainable human settlements?

......................................................................................................................................
............................................................................................................................

9. Who funded those programmes?

......................................................................................................................................
............................................................................................................................

10. How do people in Philani Valley benefit from these programmes?

......................................................................................................................................
............................................................................................................................

94