This study investigates the role of space and place in urban informal settlement upgrading. The key aim is a better understanding of the character and functionality of informal communities through their social processes. There is a large body of literature on the social, economic and spatial consequences of informal settlement’s ongoing role of housing the urban poor. This study uses an ethnographic approach to investigate the spaces and places which result from the need based social relations and political agency of the informal residents. This genre of need reflects Lefebvre’s description of the tangible and intangible necessities that contribute to individuals’ livelihood and well-being. The study explores the philosophical thinking around spatial production and the meaning of place. It builds on the works of Heidegger, Lefebvre, and Deleuze and Guattari who attribute value to everyday social process and its role in producing space. Deleuze and Guattariʼs relational language is used to articulate the fluidity with which informality engages formality through the rhythm, refrain, milieu and territorialisation of daily use, leading to a rethinking of boundary and edge. Critically, the study also draws on the historic and present elements of time as it relates to space for this group of thinkers. The time/space dynamics of hope lost through waiting for upgrading and hope gained through impatience, political agency and action, add layers of complexity to these spaces. Implied in the first dynamic is an acceptance of the status quo, passive inclusion into South Africaʼs democratic society through the eventual provision of housing. The second is an insurgent demand for socio-economic rights and societal transformation as guaranteed by the Constitution (Holston, 1998). The resultant qualitative data from two informal settlements in greater Johannesburg unravels the logic behind informal spatial production via relational connections which articulate space as a product of informal residents’ social actions. This spatial understanding suggests a shift away from current spatial models employed by the State in its formal provision of subsidised housing. At the same time, it strengthens informal communities’ role in the upgrading process by giving value to the social qualities of place in existing living environments.

Thesis (MTech (Environmental Health))--Cape Peninsula University of Technology, 2007 / Good sanitation includes appropriate health and hygiene promotion. This implies that proper health and hygiene promotion would have the desired effect as part of sanitation service delivery. However, lessons learnt worldwide show that in the promotion of health and hygiene, it is not enough simply to provide facilities, because if people do not use the available facilities properly, conditions do not improve or the system breaks down. The 1986 Ottawa Charter of the World Health Organisation suggests that effective health and hygiene promotion requires the following key elements: • the empowerment of local communities to take responsibility for promoting sanitation and environmental health • collaborative partnerships of role-players across departments • supportive policy environments. Against this background. the focus of this study is the extent to which health and hygiene promotion forms part of sanitation delivery programmes to informal settlements in the City of Cape Town. The investigation was confined to a comparative review of approaches to health and hygiene promotion in four case study sites (Khayelitsha, Joe Slovo, Kayamandi and Imizamu Yetho) in the context of the following criteria: • Community and household capacity to take responsibility for community-based health and hygiene promotion • Role-players and collaborative partnerships across departments • Implementation of health and hygiene promotion and alignment with national policy. Analysis of the case studies highlights the ineffectiveness of once-off awareness campaigns and the need for a more comprehensive approach to health and hygiene promotion in line with the Ottawa Charter. The push towards universal coverage of basic sanitation services will not bring the intended health benefits of delivery if, for instance, the provision of toilets is not complemented by appropriate health and hygiene promotion programmes.

D.Litt. et Phil. / The purpose of the study is to analyse the development of informal settlements in South Africa, with particular reference to the role of the Government in the improvement of informal settlement conditions around Daveyton, especially at the Etwatwa informal settlement. Research has shown that there is common experience in developing countries in Africa, Asia and Latin America in as far as the development of squatter settlements or informal settlements are concerned. This strongly reflects on the South African experience. The common feature and experience is that informal settlements are the result of urbanization, which is a world-wide phenomenon. Research in countries has shown that migration to cities is based on people's expectation of a better quality of life in urban areas. The expectations lead people to migrate even when they know that they will be unemployed and would have to live in squatter areas for some time. The decision to migrate is based among other reasons on rational economic grounds. It depended on migration cost, the perceptions and prospects of finding a job, and wage differentials between urban and rural areas. Urban incomes were practically always higher than rural ones and migrants to cities generally seemed to do relatively well in acquiring jobs and improving their standard of living. Most of these activities are performed in informal settlements. Like in all developing countries, South Africa is no exception when it comes to the origin and development of squatter or informal settlements. The most common reasons are that people in their quest for a better life in urban areas end up living in informal settlements because they cannot find suitable accommodation. The rapid population growth in developing countries, for example in countries such as South Africa, has resulted in huge housing backlogs. This led to the mushrooming of informal settlements around cities, towns and townships, of people waiting for adequate housing for their families. In Daveyton specifically, the housing backlog in the late 1970s resulted in the emergence of backyard shacks, erected by people who were either residents of Daveyton, because of natural increase of the population, or people from neighbouring townships or rural areas. The study of Daveyton has showed that because of forceful invasion of land by people who did not have accommodation, Daveyton experienced a mushrooming of informal settlements from 1987. In 1987 the Daveyton City Council accepted in principle that squatting was a legitimate means for homeless people to provide shelter for their families and therefore established a site-and-service scheme at Etwatwa, a new section of the township, to accommodate the homeless and lower income families. For service provision the local government divided Etwatwa into two sections, Etwatwa West and Etwatwa East. Every household at Etwatwa West was provided with water and sewerage services, but at Etwatwa East only rudimentary services were provided. With the passage of time the local government tried to integrate the inhabitants of Etwatwa into an urban environment, through the provision of essential service such as water, roads, electricity and sewerage, and amenities such as community and social centres, recreational facilities, creches, schools, churches and clinics. The provision of services depend largely on the availability of funds, through rent payments, loans and funds allocated by the Provincial and National Governments.

A research report approved by the Faculty of Engineering and the Built Environment of the University of Witwatersrand for the degree of Master of the Built Environment in housing / In post-apartheid South Africa, the delivery of low-income housing has been occurring at unprecedented rates since 1994. This means that more and more poor households are gaining access to secure tenure on progressive basis. Unfortunately the new low-income housing townships are often established on cheap peripheral land, adjacent or far beyond the existing apartheid townships. The widespread growth of informal settlements in urban areas has also been occurring at higher rates following the repeal of apartheid laws which restricted rural-urban migration. The growth of informal settlements is nothing but a precise indication of poverty and the desire of the poor to gain access to employment opportunities. However, the link between employment opportunities and home is often provided by transport. Travelling demands money which most of the urban poor rarely have. For the poor, proximity to areas of employment opportunities is key to surviving in urban areas. The consequence of this arrangement is the establishment of informal settlements near places of employment as a way of escaping the cost of transport. Yet the upgrading of well-located informal settlements has not been a preferred and popular strategy for the post-apartheid government as a mechanism for promoting access to opportunities. Instead the focus has largely been on providing access to individual tenure through the delivery of the free-standing housing units on the periphery where land is relatively cheap to accommodate large scale housing delivery. Is this the only factor which had motivated the rural poor to migrate to urban areas in the first place? Which matters most for the urban poor? Is it access to subsidised housing in the urban area only or is the latter. Perhaps it is a combination of both factors. To provide answers to the foregoing questions, the researcher resolved to pose two guiding questions to focus the investigation: What are the effects of relocation to the periphery on household livelihoods and how do relocated households make a living on the periphery....what sort of coping mechanisms are adopted to survive in remote, isolated, low density and sprawling low-income Reconstruction and Development Programme (RDP) townships of the post-apartheid South Africa? The research uses Diepsloot as a case study area because it presents all the necessary traits of a typical post-apartheid South African low-income township which had been used as a northern Johannesburg relocation site. The findings of the research suggest that the only major positive impact which result from relocation, is access to secure tenure while the major negative impact, is the poor location of Diepsloot in relation to major employment opportunities. This finding correlates with the existing literature and the hypothesis of the study.

This research explored the City of Johannesburg’s response to floods in the lower-income settlement of Soweto in February 2009, through participant observation, interviews and examination of official documentation. The municipality’s response indicates the governance forces that may shape adaptation to increasingly severe and frequent climate events in the context of development pressures and needs. It was found that the flood event provided a ‘window of opportunity’ for action and learning on flooding, but governance factors hindered an effective response. These included the framing of flood risk, limitations in the City of Johannesburg’s municipal structure, institutional power dynamics, and the performance culture. The research demonstrated that networked governance is critical to adaptation in global South cities. In the case of Johannesburg city, conflicting governance paradigms constrained the realisation of networked governance modes. Resolving tensions amongst competing governance approaches is necessary to advance both the climate and development agenda in Johannesburg.

The study examines the issue of living conditions in informal settlements, using the case study of Imizamo Yethu informal settlement in Cape Town. Affordability, lack of space, job related issues, a relatively small formal housing stock available in many urban centres, and deregulation, in terms of both access to land and finance, forced lower income groups to seek accommodation in informal settlements. Here people are exposed to unhealthy living conditions. The study reveals that living in informal settlements often poses significant health risks. Sanitation, food storage facilities and drinking water quality are often poor, with the result that inhabitants are exposed to a wide range of pathogens and houses may act as breeding grounds for insect vectors. In informal settlements people often live in temporary homes constructed with impermanent, basic materials. These inhabitants frequently have little option but to live on marginal land (flood plains or steep slopes, for example), with the consequence that they are the first to suffer the effects of cyclones and floods. In addition, a combination of overcrowding, the use of open fires and flammable buildings leads to danger from accidental fires, burns and scalding. The post-apartheid South African government has tried a number of housing initiatives to help alleviate the housing problem since 1994 when it came to power. These have included the Botshabelo Accord (1994), the Housing White Paper in 1995, the National Urban and Reconstruction Housing Agency in 1995, the Housing Subsidy Scheme in 1995, the Housing Act No. 107 of 1997 and the Policy on People’s Housing Process (1998). The government set itself a target of delivering one million houses within five years. By all indications the government did not fully comprehend the gravity of the problem in relation to available resources. In 2004, the Department of Housing declared its intention to eradicate informal settlements in South Africa by 2014. This followed the unprecedented housing backlog, proliferation of informal settlements, social exclusion and the inability of municipalities to provide basic infrastructure to urban poor households. However, despite these bold interventions by government, the study demonstrates that the provision of low-cost housing can be viewed as a wicked problem. Wicked problems are described to be “ill-defined, ambiguous, and associated with strong moral, political and professional issues”. The study, therefore, concludes that given the complexities surrounding the provision of low-cost housing in South Africa, the government’s ambitions to resolve housing backlogs by 2014 appear to be a far-fetched dream.

A Research report submitted to the Faculty of Engineering and the Built Environment, University of the Witwatersrand, in partial fulfilment of the requirements for the degree of Master of the Built Environment in Housing, October 2019 / Understanding the proliferation of informal settlements in South Africa is significant because they have been a feature of our landscape for many years and will continue to be in the future in spite of the attention given to the issue of housing by the government through various housing delivery interventions. Studies have indicated that informal settlements provide shelter for a large number of people who are the poor urban dwellers. There are gaps in literature that demonstrate the distinction between informal settlements within the South African context, despite years of research conducted on informal settlements. The differentiation of informal settlements contests the homogeneity of informal settlements that fall into groupings and sub-categories that require targeted interventions specific to their contexts. The Housing Development Agency (HDA, 2012) “is mandated to assist organs of State with the upgrading of informal settlements”. One of its key activities is to profile informal settlements, particularly in mining towns, in order to understand the data “relating to the number of informal settlements, profile of residents, length of stay, aspirations, income groups, education status” (HDA, 2012:12). Using this set of distinctions, this research aimed to understand the characteristics, dynamics and nature of the Waterworks informal settlement and where it lies within the bigger narrative of informal settlements. It therefore investigated the settlement’s demographics, history, the reason for its existence, how it is understood by its residents, how it is understood in relation to scholarly articles and how it could be understood through government plans. / PH2020

Ph.D. (Sociology) / Please refer to full text to view abstract

Thesis (MA (Psychology))--University of Stellenbosch, 2009. / Informal settlements exist all over South Africa and are expanding and multiplying as people seek better jobs close to urban areas. The close proximity of the thousands of shacks has enabled the rapid spread of massive fires in informal settlements. The purpose of this study was to identify resilience characteristics in families who have lost their home in a shack fire. Family resilience refers to the family’s ability to achieve normal family functioning despite having experienced a traumatic event. The focus of this study was on 38 families from an informal settlement just outside Stellenbosch in the Western Cape. The study was conducted from a mixed methods approach and made use of a cross-sectional survey research design. Data was collected through the use of a biographical questionnaire, an open-ended question, and self-report questionnaires based on the Resilience Model of Stress, Adjustment and Adaptation. The results from the qualitative data indicate that the families indicated working together as a family as being vital to resilience. Material support from the municipality and extended family, shelter provided by members of the extended family and financial support from the extended family were also indicated as essential in overcoming a crisis. The results from the quantitative data indicate a significant positive correlation between family adaptation and: (i) the quality of communication within the family, (ii) the fortitude and durability of the family unit, (iii) the family’s sense of internal strengths, dependability, and ability to work together, and (iv) the family’s sense of being in control of family life rather than being shaped by outside events and circumstances.

Thesis (MPhil)--Stellenbosch University, 2015. / ENGLISH ABSTRACT: This thesis emerges from the transdisciplinary work of the Enkanini Research Centre Association. Since 2011 this Association has focused on incremental informal settlement upgrading using Enkanini, Stellenbosch as a case study. This thesis explores whether management techniques and operational practises of microfranchising can support the establishment of alternative service delivery configurations in the context of in situ informal settlement upgrading. Following a transdisciplinary and multiple-case study research methodology, the theoretical argument is presented that a synthesis of the strengths and vulnerabilities of contemporary innovations from the urban development field augmented by the principles and management techniques of microfranchising could strongly influence future in situ informal settlement upgrading. In exploring this argument two sub-questions are analysed in two free standing journal articles. The first article explores the potential synthesis of the fields of microfranchising and incremental urbanism, specifically alternative service delivery configurations in the context of in situ informal settlement upgrading. The literature on incrementalism and microfranchising originate from diametrically opposite ideological traditions, namely contemporary urban development and the management sciences. However it is argued that convergent patterns highlighted by points of coherence and convergence between the fields indicate that the proposed amalgamation has strengths potentially useful in addressing mutual weaknesses inherent to both perspectives. The intersection between these two distinct theories has potential to stitch together a new community fabric, deliver basic services, promote economic and social development and integrate the oppressed into the formal economy. Building on this theoretical synthesis the second article explores potential best practice microfranchising cases. Three microfranchising cases are reviewed, Unjani Clinics NPC, African Honey Bee and Nuru Energy. Each case presents specific within-case lessons and microfranchising techniques. Cross-cutting themes from all three cases highlight knowledge, that when bolstered by everyday urbanism thinking, could be instrumental in developing a microfranchising consolidating, operating and scaling model for the iShack and the continued testing of the proposed synthesis. / AFRIKAANSE OPSOMMING: Hierdie tesis het ontstaan uit die transdissiplinêre werk van die Enkanini Research Centre Association. Sedert 2011 het hierdie vereniging gefokus op die inkrementele opgradering van informele nedersettings, deur van Enkanini wat net buite Stellenbosch geleë is, as 'n gevallestudie gebruik te maak. Die studie ondersoek of die bestuurstegnieke en operasionele praktyke van die mikrofranchisebedryf die vestiging van alternatiewe diensleweringskonfigurasies in die konteks van in situ opgradering van informele nedersettings kan ondersteun. Na afloop van 'n transdissiplinêre en meervoudige gevallestudie navorsingsmetodologie word „n teoretiese argument gevoer dat die samevoeging van beide die sterk- en swakpunte van die huidige innovasies van die stedelike ontwikkelingsveld aangevul sal word deur die beginsels en tegnieke van die mikrofranchisebedryf. Hierdie tegnieke en praktyke het die vermoë om in die toekoms in situ opgradering van informele nedersettings sterk te beïnvloed. In die verkenning van hierdie argument word twee sub-vrae in twee vrystaande tydskrifartikels ontleed. Die eerste artikel ondersoek die potensiële samevoeging van die velde van die mikrofranchisebedryf en inkrementele stedelikheid, met spesifieke fokus op alternatiewe dienslewerings konfigurasies in die konteks van in situ opgradering van informele nedersettings. Alhoewel daar in die literatuur oor inkrementalisme beweer word dat die mikrofranchisebedryf afkomstig is van lynregte teenoorgestelde ideologiese tradisies, word daar aangevoer dat konvergente patrone uitgelig word deur punte van samehang. Ooreenkomste tussen die velde dui daarop dat die voorgestelde samesmelting sterkpunte het wat potensieel nuttig kan wees om wedersydse swakhede wat inherent aan beide perspektiewe is, aan te spreek. Die samesmelting van hierdie twee afsonderlike teorieë het die potensiaal om ‟n gemeenskap te bou, basiese dienste te lewer, ekonomiese en maatskaplike ontwikkeling te bevorder, asook om die onderdruktes in die formele ekonomie te integreer. Geskoei op die voorafgaande teoretiese samevoeging, ondersoek die tweede artikel die potensiële beste praktyke in die mikrofranchisebedryf. Drie mikrofranchisebedryf-gevalle word hersien: UnjaniKliniekeNPC, Afrika Heuning By en Nuru Energie. Elke geval bied spesifieke binne-geval lesse en tegnieke in die mikrofranchisebedryf. Deurlopende temas van al drie gevalle beklemtoon kennis, wat met die ondersteuning van alledaagse stedelike denke, instrumentele waarde vir die ontwikkeling van 'n mikrofranchisingkonsolidasie, bedryfstelsel en skaalmodel vir die iShack, asook die deurlopende toets van die voorgestelde samevoeging, kan inhou.