SPECI

AL
TOPI
CS ININFORMAL
URBA
N
SETTLEMENTS IN
DESIJOHANNESBURG
A THEORETICAL EXAMINATION OF
GN,SPATIAL DESIGN TOOLS
SEMEThe following report analyses the informal settlements in Johannesburg,
South Africa, and examines the lessons and opportunities that these slum

STERmorphologies provide, as well as exploring the design tools that will help in
providing a better living environment for the urban poor.

2,
2010

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SPECIAL TOPICS IN URBAN DESIGN, SEMESTER 2, 2010
 SPECIAL TOPICS IN
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SEMESTER 2, 2010

1. INTRODUCTION…………………………………………………………………………………………….

2. INFORMAL SETTLEMENTS IN SOUTH AFRICA AND JOBURG...................................

3. A CONFLICTED TOWNSHIP: SOWETO……………………………………………………………

4. RECONCEPTULISATION OF THE SLUMS………………………………………………………...

5. OPPORTUNITIES AND LESSONS…………………………………………………………………….

6. URBAN FUTURES: TOWARDS A SUSTAINABLE HOUSING PROCESS……………….

 PRIORITY..............................................................................................................................

 BALANCE…………………………………………………………………………………………………………………………....

 INTEGRATION……………………………………………………………………………………………………………………..

 CHOICE……………………………………………………………………………………………………………....................

 INTENSITY AND DIVERSITY………………………………………………………………………………………………….

 AFFORDABILITY…………………………………………………………………………………………………………………

 CLUSTERING……………………………………………………………………………………………….........................

7. REFERENCES…………………………………………………………………………………………………

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INTRODUCTION

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 (Cotton & Franceys,
1991). The urbanization process has resulted in more urban settlements with larger
populations and the dramatic expansion of existing urban centres. One of the most pressing
issues facing the world today is the rapid urbanization and its impact on communities,
cities, economies and policies. It is projected that in the next fifty years, two-thirds of
humanity will be living in towns and cities and a large part of this growth will take place in
form of informal settlements (UN, 2005).

Informal settlements are dense settlements comprising communities housed in self

constructed shelters under conditions of informal or traditional land tenure. Also referred
to as squatter settlements or shanty towns, they are common features of developing
countries and are typically the product of an urgent need for shelter by the urban poor (UN,
2010). The need for illegal occupation of land and informal dwelling arrangement stems
from a deep marginalization and exclusion from formal access to land and development
(Huchzermeyer & Karam, 2006). These areas are characterized by rapid, unstructutured
and unplanned development, and as such they are characterised by a dense proliferation of
small, make-shift shelters built from diverse materials, degradation of the local ecosystem
and by severe social problems (UN, 2010).

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INFORMAL SETTLEMENTS IN SOUTH AFRICA AND JOBURG

Among many other countries, South Africa is currently faced with problem of informal
settlement and associated issues. South African cities are largely inadequate, shaped by
discriminatory and repressive apartheid planning and further expanded by powerful and
far from equitable market processes, driving apartheid’s planned inequality and exclusion
even deeper, and effortlessly overriding attempts at urban democratisation and integration
(Huchzermeyer, 2009). Informal settlements are never welcomed as informal land
occupation by the poor has been seen as entirely ineffectual in shaping the city
(Huchzermeyer, 2009).

From its origins with the discovery of gold in the late 1880s, Johannesburg has always been
a divided city (Beall et al, 2002). After the first democratic elections in South Africa in 1994
there was a significant change in the inner city profile, both economically and racially. As
poor workers moved into the city centre to be near their places of employment, rich white-
owned industry and commerce moved out, leaving many empty or squatted buildings in
their wake. Many buildings were abandoned to slum landlords and gangsters who collected
rent from these under-maintained and overcrowded units, which were also used as centres
for criminal activity (Tomlinson, et al, 2003) [Figure 2 &3].

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Non-payment led to the cut-off of utility services, and neighbourhoods deteriorated with
the absence of basic social services including health facilities, policing and functioning
water, electric and sanitation utilities. Increasing corporate debts to banks led to the
refusal of loans for property development or ownership in the inner city, as it was
considered too high a risk (Cotton & Franceys, 1991)

The UN-Habitat (2006) estimates that in 2006 nearly 1 billion people live in informal
settlement areas in the cities of the world, most of these in the developing countries. A
greater concern is that if this is not dealt with properly, the number of informal settlement
dwellers is predicted to double by 2030. In response to these critical circumstances, the
‘‘cities without slums’’ Action Plan was launched by the cities alliance in 1999, which later
on was endorsed by the 150 heads of states and government attending the United Nations
Millennium Summit in the year 2000, of which South Africa was a signatory (Beall et al,
2002). The plan was reflected in the United Nations Millennium Declaration, to ensure
environmental sustainability and to achieve significant improvement in lives of at least 100
million slum dwellers, by 2020 (United Nations, 2000) [Figure 4].

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The rapid growth of informal settlements in the urban areas of South Africa poses
significant challenges to both national and local level government. South Africa’s response
to informal settlement over the last 12 years has been characterised by disaster
management strategies in the period prior to 2004 and thereafter programmes to eradicate
informal settlements through large-scale capital intensive structural interventions (often as
rollover or greenfield developments) have been underway (DAG, 2007) [Figure 5].

There are 180 informal settlements in Johannesburg to date, containing 180 000
households - more than 25 percent of its four million people (CS, 2007) [See Map 1]. A
significant majority of this population is located in the Greater Soweto area, with anywhere
from 50 to over 300 people per hectare. At Johannesburg's present rate of growth, some
90 000 new dwelling units will be needed each year (Tomlinson et al, 2003). It is
anticipated that only a third can be met through current delivery methods. The quality of
living and housing in these areas created by this housing shortage is widespread and
considerable [See Map 2]. A large proportion of these are in the form of backyard shacks
and informal settlements [Map 3]

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A CONFLICTED TOWNSHIP: SOWETO

Soweto is an urban area in the City of

Johannesburg, in Gauteng, South Africa
[Maps 4 & 5]. Its name is an English syllabic
abbreviation, short for South Western
Townships, subsequently referred to by
relocating residents and other South
Africans as "So Where To" (Crankshaw &
Parnell, 1996)

Soweto is a relatively new creation, with

most of its townships established during the
1950s; from this time on Soweto became a
major reception area for African families in
Johannesburg. Today it has a population
that is estimated to be between 1.5 and 2
million people (CS, 2007).

A Greater Johannesburg survey for the State

of the Environment Project found that
Soweto was an openly and significantly
varied locality. This is manifested in various ways; predominantly the quality of the
accommodation, income levels, employment and educational qualifications. Many parts of
Soweto rank among the poorest in Johannesburg, although individual townships tend to
have a mix of wealthier and poorer residents (McDonald, 1998). In general, households in
the outlying areas to the northwest and southeast have lower incomes, while those in
southwestern areas tend to have higher incomes.

Soweto's image ranges from that of a township that is poverty-stricken and sprawling to
one that is vibrant and cosmopolitan (Beall et al, 2002). Images of Soweto’s barrack-like
hostels and endless ranks of ‘matchbox’ houses are symbolic of the apartheid state’s strict

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control of periphery South African townships,

while the irregular landscape of shantytowns
and informal settlements are increasingly the
keynote of the post-apartheid urbanization
challenge [See Figures 6-9].

Soweto was meant to exist only as a

dormitory town for black Africans who
worked in white houses, factories, and
industries (Crankshaw et al, 2000). Very few
backyard or informal settlement structures
existed pre-1980. This part of Soweto's
population started burgeoning from the early
1980's, after the severe restrictions on
housing availability had eased and influx
control had been scrapped (Morris et al,
1999). For a substantial section of the
Council house residents, backyard structure
tenants were an important source of income.
For the working class, who arrived in Soweto
from other areas, these backyard structures
were the preferred accommodation and also
the easiest to acquire (Crankshaw et al,
2000).

Criticisms of the housing built within this

period [1980’s-early 2000’s] includes quality,
size (very small) and location (numerous
identical houses in areas with no social or
economic infrastructure) (Charlton & Kihato,
2006).

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The economic development of Soweto was severely curtailed by the apartheid state, which
provided very limited infrastructure and prevented residents from creating their own
businesses (Mears, 1996) [Figures 10 & 11]. Sowetans could operate general shops,
butcheries, eating houses, sell milk or vegetables, or hawk goods. The overall number of
such enterprises at any time was strictly controlled. As a result, informal trading developed
outside the legally-recognized activities (Mears, 1996). These unofficial businesses and the
social networks they created helped to form the natural and irregular settlements of the
Soweto area.

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RECONCEPTULISATION OF THE SLUMS

During the 1950s and 1960s urban migration and burgeoning informal settlements around
the cities of developing countries generally elicited hostile responses from governments.
[Figure 12] The urban poor were considered to be parasites on the formal system, and a
threat to orderly urban development (Tomlinson et al, 2003). By the 1960s the concern for
controlled urban development and political pressures on governments to intervene in the
housing markets on behalf of the poor led to the adoption of public housing programmes
(Charlton and Kihato, 2006). These generally failed to meet expectations; inappropriately
high standards and increasing implementation costs required ever higher subsidies that
could not be sustained over the longer term. In addition designs and locations were
invariably ill-matched to the needs and affordability levels of the intended low income
households (Knight, 2001).

There are mainly three major views of development and each enjoys some support
somewhere in South Africa. These are the growth-centred, the state-centred and the human
or people-centred approaches (Van Zyl, 1995). The capitalist or growth-centred version of
economic development emphasises the importance of economic growth and the freemarket
system as instruments to enhance the quality of life. It has contributed significantly to the
overall material progress of many countries, albeit with relatively little impact on relieving
the plight of the poor (Marais et al, 2008).

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The state-centred version of economic

development was inspired mostly by a deep
concern with the phenomenon of social
justice. Human-centred development has
the ultimate objective of enabling all people
to enjoy long, healthy and creative lives. It
weaves the development processes around
the people rather than weaving people
around the developmental processes (Van
Zyl, 1993) [Figures 13-15].

The exploration these alternative

approaches led to the emergence of the
aided self-help movement. During the 1960s
theorists such as John Turner, a British
architect, posited a reconceptualisation of
housing supply and delivery. Turner's
central thesis argued that housing is best
provided and managed by those who are to
dwell in it rather than being centrally
administered by the state (Burgess, 1978).
Furthermore Turner argued that given
access to available resources, and subject to
government support in the provision of
secure tenure and services, the poor would
be able to meet their own housing needs
through incremental improvements over
time (Kemeny, 1989).

The recognition of this theory involved an

implicit shift away from state housing

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provision, and represented a step towards a support approach to housing delivery

(Charlton & Kihato, 2006). Although its basis lay in the reduction of costs by involving the
poor in the construction of their own houses, it was argued that this would foster a
commitment by them to their new houses, thereby reducing the incidence of speculative
resale to higher income groups (Turner, 1968). In the self-building and self-management of
housing and neighbourhoods, Turner demonstrated that neighbourhoods designed with
local groups worked better since people were experts on their own situations and should
be given the 'freedom to build' (Turner, 1968). Whether this freedom was granted by the
state or wrested from it through squatting was less important.

Turner stated that it is not necessary for people to be so self-reliant that they must do
everything for themselves; however, if all decisions are taken out of the hands of
individuals, they cease, to that extent, to have independent; they cease to be free; they
cease to be human (Kemeny, 1989). Karl Marx, in the Manifesto, wrote that “the free
development of each is the condition for the free development of all.” By that application of
philosophy to the field of housing, we can see that what South Africa has executed is
something far less than freedom [Figure 16].

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OPPORTUNITIES AND LESSONS

There are a number of important and valuable lessons that have transpired during the
period 1994-2009 with respect to the upgrading of informal settlements in Soweto and
other parts of South Africa. Efforts have been made to create sustainable settlements for
the informal settlements that have either been upgraded or relocated under the Policies
arising from the Millenium Declaration. However, enormous challenges remain to develop
informal settlements in way that allow residents to create livelihood, access social services
and enjoy a supportive environment (DoH, 2004). South Africa, to a large extent, could be
said to interpret the Millennium Development Goals as meaning eradication (of slums,
rather than on the spot (in situ)
improvement of the lives of those
living in them (Huchzermeyer,
2009).

Conventional informal upgrading

strategies have still resulted in a
large number of relocations. Most
relocation and eradication from
poorly planned schemes have
resulted in worsened life condition
due to distance of the relocation
sites from livelihoods; and
disruption of social networks,
livelihoods and schooling and even
in some cases access to basic
necessities such as water and shelter
(Aigbovboa & Thwala, 2010) [Figure
16].

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With regard to the rapid urbanization, modern urban planning should take into account the
social values that the local community treasures most. The basic problem is that the urban
planner is an engineer or a professional who is completely oblivious to the societal
heritages and general preference of the people (Turner, 1968). Urban planners can learn an
important lesson from the natural settlement pattern of the society.

Settlements are shaped by the needs of the people who inhabit them, which mean that the
livelihood strategies affect the actual form and structure of, as well as types of facilities
within settlements (Hamdi, 1991). The location of the settlement can be considered an
asset for the urban poor and can form part of their survival strategies, as well as an asset
for the wealthier in terms of investment potential and quality of life.

People and their own local organizations can do it effectively and better than anybody else
if they are free to do so and if the law protects them, or, alternatively if they are strong
enough to ignore the law (Turner, 1968; Kemeny 1989). They also need to have access to
the basic resources necessary in order to be able to plan, build, manage and maintain
neighbourhoods [Figure 17].

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People are experts on their own situation and since knowledge is power, this is an
invaluable resource. So the power they have to make use of the resources at the local
level—resources of time and space—is maximised if they carry out this task themselves
(Turner 1968). If the control of these resources is taken away from people and centralized,
generally speaking much poorer use will be made of them and the frictions and waste will
have to be compensated for by heavier technologies, higher administrative costs, and
profits to cover the cost of additional labour. This escalates the costs with decisions being
made by outsiders lacking both detailed personal knowledge and often motivation to make
best use of the resources to match supply and demand (Burgess, 1978).

The findings by Crankshaw et al (2000) around backyard structures have interesting policy
implications. They illustrate that providing people with bigger plots can generate a good
deal of extra housing, accommodate growing families comfortably or alternatively provide
poor families with an important source of income and provide immigrants with affordable
accommodation [Figure 18 - 20].

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Well constructed, well managed buildings which deliver value for money to low income
tenants who are viewed as clients leads to a culture of payment and participation (Mears,
1996). In the absence of amenities many of Soweto’s residents have created their own
social activities and burial societies and stokvels (the informal gathering of savings
amongst a group of people) form an important part of the social fabric, strengthening
bonds in families and communities (Crankshaw et al, 2000) [Figure 21]. The homes and
neighbourhoods developed by the urban poor often contain the seeds of an urban
development far more appropriate to local climate, culture and resources.

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URBAN FUTURES: TOWARDS A SUSTAINABLE HOUSING PROCESS

South Africa has made great strides in proving housing and basic services such as
electricity and water to the people of South Africa, despite not achieving its goal of 350,000
houses per year (Huchzermeyer, 2009). However, much remains to be done overcome the
housing backlog and make water and electricity available and affordable. Broad principles
of housing policy within the Soweto and Johannesburg area include people-centered
delivery and partnerships; skills transfer and economic empowerment; fairness and equity;
choice; quality and affordability; innovation; transparency, accountability and monitoring;
and sustainability and fiscal affordability (DoH, 2004).

Housing need is directly linked to human well-being (Van der Merwe & Van der Vuuren,
1992; Mears, 1996). There have been many formulations and definitions of well-being, but
most would agree that it includes basic material needs for a good life, the experience of
freedom, health, personal security and good social relations [Figure 22 & 23]. Together,
these provide the conditions for physical social, physiological and spiritual fulfilment
[Figure 24]. Aspects that contribute to material needs for a good life, include secure and
adequate livelihoods, enough food at all times and adequate shelter (GJMC, 1999). Aspects
that contribute to security include secure access to natural and other resources and living
in a predictable and controllable environment with security from natural and human-made
disasters. The type of dwelling and its location therefore plays an important role in human
well-being (GJMC, 1999; Marais et al, 2008).

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The provision of land to manage the urbanization process is, however, regarded as one of
the greatest development challenges faced by South Africa (Charlton & Kihato, 2006).
Urban land policies thus lie at the heart of any future housing strategies and state
intervention in land markets is vital to securing access by the urban poor to affordable, well
located land [Figure 25]. Structures for financing low income housing should be informed
by the specific needs, cultures, and financial capacities of the urban poor.

Although economic considerations should not be the only measure of the value of housing
in development, it is arguably self-evident that facilitating access to housing on a
sustainable basis would contribute to social stability and wellbeing, as well as to economic
growth. Housing development would have an indirectly positive impact on the economy
through stimulating demand, such as for building materials, construction related services,
and consumer goods in general, which in turn stimulate employment opportunities (Marais
et al, 2008).

Formalising settlements, which involves registering the properties, naming streets, and
putting in services, allows settlement dwellers will be given the land on which their

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dwelling has been erected, along with title deeds, thus formalising their ownership.
Investing in housing development should thus be regarded as essential to providing a
framework for social and economic development in a qualitative approach towards overall
economic growth (Aigbovboa & Thwala, 2010).

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The following principles and design tools would assist in providing better living
environments for the urban poor regarding the spatial development and arrangement of,
within and between settlements.

PRIORITY
Investment in new and existing settlement upgrading and redevelopment should focus on
localities with greatest economic potential (Crankshaw et al, 2000). Highest priority should
be given to localities where high levels of economic opportunity, livelihood opportunity
and need overlap. Lower priority should be given to areas where only high levels of
sustainable livelihoods potential and need overlap (Knight, 2001).

BALANCE
The location and development of human settlements should balance the use of resources
for infrastructure development and operation with the carrying capacity of ecosystems;
thus ensuring the wise use of natural resources and environmental service areas (DoH,
2005). Where areas of high priority (high levels of economic and sustainable livelihood
potential and need) and high environmental sensitivity overlap, the need for special
planning and management at the more local scale must be highlighted.

INTEGRATION
Intensity, diversity and priority of investment should increase, mainly along transport
corridors, from localities of concentrations of greatest need towards areas of greatest
economic potential to facilitate spatial integration particularly of displaced settlements
with areas of opportunity and potential (Van Zyl, 1995).

Settlements should be located and designed in such a way as to facilitate structural and
functional integration. For example there should be transport opportunities in a reasonable
walking distance from houses to connect residents to other modes of transport, job
opportunities and bigger shops and metropolitan facilities, as well as smaller shops and
parks in close proximity to housing developments to fulfill the immediate local needs of
residents. The man-made infrastructure should also be integrated with natural areas.

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CHOICE
In localities of low economic and livelihood potential but high levels of need, investment
should, over and above investment in basic services, focus on the development of people
through skills development and access to knowledge of opportunities; thus facilitating
choice and ability to move to areas of greater potential (Van der Merwe & Van Vuuren,
1992). The implication of continued investment in “place” rather than in “people” in these
areas of low economic and livelihood potential, is that existing spatial patterns of
development, originating in policies of separate development, become more firmly
entrenched and spatial restructuring will not occur (Knight, 2001).

INTENSITY AND DIVERSITY

The higher the level of economic potential of an area, the greater the intensity of
investment in higher density housing forms and in the provision of a greater range and
diversity of housing types and supporting services and the greater the mix of income levels
and activities should be (DoH, 2004). Settlements should ideally have many
neighbourhoods which offer different types of housing for different income groups to
facilitate social interaction between different groups and provide opportunities where the
wealthier residents can sponsor the establishment of facilities and events that the entire
neighbourhood can benefit from. In this way an integrated sense of ownership of the
neighbourhood can be created (McDonald, 1998).

The range of housing products should be broadened in appropriate localities to address the
extended and diverse needs of a range of people, including the elderly, people with
disabilities, children headed households, single headed households and migrant families.
The location of different types of housing in different regions should facilitate different
choices for people at different life stages and with specific needs (Marais et al, 2008).
[Figure 26]. Housing developments should also be combined with other land uses to reduce
the creation of dormitory neighbourhoods and address the needs of a range of residents,
including woman with children staying at home during the day, the elderly and the youth
(Knight, 2001).

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AFFORDABILITY
Differentiated need in terms of income levels must be considered in relation to housing
product so that lower cost housing products are targeted in localities with higher levels of
lower income need while more, higher density, higher cost housing products are targeted
in areas of higher income need (Charlton & Kihato, 2006).

CLUSTERING
Human settlements should offer a range of social, economic and recreational opportunities
in reasonable proximity to different housing types (Cotton & Franceys, 1991). By clustering
many of these opportunities in nodes or along specific development corridors in growth
centres will increase accessibility and maximise the economies of scale.

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REFERENCES

1. Aigbovboa, C. & Thwala, W. (2010) Lessons Learned From in situ Upgrading and
Eradication of Informal Settlement in Gauteng Province, South Africa. International
Journal of Housing Markets and Analysis. Volume 3, Issue 3.

2. Burgess, R. (1978) Petty Commodity Housing or Dweller Control? A Critique of John

Turner’s View on Housing Policy. World Development. Volume 6, Issue 9/10.

3. Centre on Housing Rights and Evictions (2005), Any Room for the Poor? Forced Evictions
in Johannesburg, Centre on Housing Rights and Evictions, Geneva.

4. Charlton, S. & Kihato, C. (2006), Reaching the poor? An analysis of the influences on the
evolution of South Africa’s Housing Programme, in Democracy and Delivery: Urban
Policy in South Africa, HSRC Press.

5. Community Survey (2007), Basic Results. Statistics South Africa, p. 2, [accessed at:
www.statssa.gov.za/publications/CS2007Basic/CS2007Basic.pdf.]

6. Cotton, C. & Franceys, R (1991) Services for Shelter: Infrastructure for Urban Low Income
Housing. Liverpool University Press.

7. Crankshaw, O; Gilbert, A & Morris, A. (2000) Backyard Soweto. International Journal of

Urban and Regional Research. Volume 4, Issue 4.

8. Crankshaw, O. & Parnell, S. (1996) Housing Provision and the Need for an Urbanisation
Policy in the New South Africa. Urban Forum. Volume 7.

9. DNH (1994) Guidelines for the Provision of Engineering Services and Amenities
inResidential Township Development. CSIR (Division of Building Technology),
Department of National Housing and the National Housing Board of South Africa
10. DoH (2004) Breaking new ground: a comprehensive plan for the development of
sustainable human settlements. Presented to MINMEC, 2 September, Department of
Housing, Pretoria.

11. DoH (2005) Housing Atlas 2005. National Housing Spatial Investment Potential Atlas.
Department of Housing, Republic of South Africa. [accessed at www.dhs.gov.za]

12. GJMC (1999) Cities State of the Environment Project: Environmental Quality in Greater
Johannesburg. Greater Johannesburg Metropolitan Council. [accessed at
www.environment.gov.za/enviro-info]

13. Hall, P. G. & Pfeiffer, U. (2000) Urban Future 21: A Global Agenda for the 21st Century. E &
FN Spon, London.

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33. ALL PICTURES ARE SOURCED FROM FLICKR AND PHOTOSTOCK

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