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Low-income housing policy in practice in arid and semi-arid South Africa
Journal of Arid Environments 74 (2010) 1340e1344
Contents lists available at ScienceDirect
Journal of Arid Environments journal homepage: www.elsevier.com/locate/jaridenv
Low-income housing policy in practice in arid and semi-arid South Africa Lochner Marais a, *, Jan Cloete a, Zacheus Matebesi b, Kholisa Sigenu a, Deidre van Rooyen a a b
Centre for Development Support (IB 100), University of the Free State, P.O. Box 339, Bloemfontein 9300, South Africa Department of Sociology (IB 41), University of the Free State, P.O. Box 339, Bloemfontein 9300, South Africa
a r t i c l e i n f o
a b s t r a c t
Article history: Received 24 July 2007 Received in revised form 1 April 2009 Accepted 9 March 2010 Available online 8 April 2010
The paradigms in respect of arid areas have shifted from efforts to prevent desertification to the Dryland Development Paradigm. In this respect, the basic principles and socio-economic implications related to dryland development have been identified. However, the application of these paradigms has mainly focused on pastoral societies. This paper considers these principles in relation to the South African housing policy in a more formal settlement environment, and argues that the South African low-income housing policy scarcely considers the basic principles of the Dryland Development Paradigm, or the basic socio-economic realities associated with arid areas. At the same time, the question is asked as to how relevant these principles and socio-economic realities are in more formal settlements where the South African low-income housing subsidy is applied, and whether there is not, in reality, an inherent conflict between settlement development through low-income housing subsidies, on the one hand, and the basic principles of the Dryland Development Paradigm, on the other. Ó 2010 Elsevier Ltd. All rights reserved.
Keywords: Dryland development Distant voice Housing subsidies Socio-economic implications Remoteness Variability
1. Introduction Historically, desertification was regarded as a problem e something to be avoided (Reynolds and Stafford Smith, 2002). However, the last decade has seen an increasing emphasis on the need to acknowledge the unique attributes and developmental role of arid areas (Reynolds et al., 2007). The recognition of the reality of global warming has also led to a realisation of the fact that the rest of the world should start to learn from these warmer areas. In addition to the historical view of desertification as a problem, the majority of research, until recently, has also focused on ecologically-related aspects in arid areas. It is only lately that recognition has been given to the relationship between the socio-economic aspects and the ecological aspects of arid and semi-arid areas (Hoffman et al., 2007). This paper aims to apply the principles of the Dryland Development Paradigm and the concomitant socioeconomic implications to low-income housing policy and practice in South Africa. Two main arguments are put forward in the paper. First, the point is made that the basic principles of the Dryland Development Paradigm and the attendant socio-economic principles are seldom considered in the South African low-income housing policy and its application, or in the application of the low-
* Corresponding author. Tel./fax: þ27 51 401 2978. E-mail address: [email protected] (L. Marais). 0140-1963/$ e see front matter Ó 2010 Elsevier Ltd. All rights reserved. doi:10.1016/j.jaridenv.2010.03.010
income housing subsidy programme. Second, it is argued that the principles of the Dryland Development Paradigm are more relevant to pastoral societies than to modern urban settlements, and that the role of the state as a large-impact variable (through low-income housing subsidies) has not been contextualised. In view of the aim and arguments outlined above, the paper starts off with a conceptualisation of the socio-economic implications of aridness, on the basis of the available international literature. Thereafter, the focus falls on low-income housing in arid and semi-arid South Africa, and the applicability of the current housing policy to arid South Africa is questioned. Finally, a number of concluding comments are made. Essentially, the paper is based on eight case studies of urban settlements and the development dynamics in these areas. 2. Changing theoretical thinking about drylands and the socio-economic implications During the 88th Dahlem Conference of 2001, many delegates argued that human and environmental effects should be jointly taken into account, in order to understand the causes of desertification (Stafford Smith and Reynolds, 2002). The output of the conference, known as the Dahlem Desertification Paradigm (DDP), was based on nine assertions (Stafford Smith and Reynolds, 2002). The provisional nature of the Dahlem Desertification Paradigm and the drawbacks involved in the use of the term “desertification” for
L. Marais et al. / Journal of Arid Environments 74 (2010) 1340e1344
the broader application of the paradigm in dryland development were identified by Stafford Smith and Reynolds (2002). More recently, in an attempt to move towards more general drylands development issues, the original nine assertions of the Dahlem Desertification Paradigm were reformulated into five principles, which were jointly dubbed “the Drylands Development Paradigm” e also called the DDP. (All future allusions to the DDP in this paper will refer to the Drylands Development Paradigm.) These principles can be summarised as follows (Reynolds et al., 2007): The first principle is that human-environment systems are coupled, dynamic and co-adapting, so that their structure, function and relationships change over time. Principle two asserts that a limited suite of “slow” variables can be regarded as critical determinants of human-environment system dynamics. In principle three, the emphasis is on thresholds. It is argued that thresholds in key slow variables define different states of human-environment systems, often with different controlling processes. Principle four states that coupled human-environment systems are hierarchical, nested and networked across multiple scales. Principle five essentially suggests that the maintenance of a body of up-to-date local environmental knowledge is pivotal to the functional co-adaptation of human-environment systems. On the basis of these principles, Reynolds et al. (2007) also identified a number of key features in respect of drylands. These are: variability, low productivity, remoteness, a distant voice and a sparse population. The focus will now fall on a more detailed conceptualisation of these factors. The problem of a distant voice is closely tied up with the fact that residents are situated in these often-remote locations with limited political power. However, the definition of remoteness varies across the globe (Cheers, in Turbett, 2004; Huskey, 2006; Scottish Executive Policy Unit in Turbett, 2004). According to Leven (cf. Huskey, 2006), “remoteness” may denote economic remoteness, geographical remoteness or institutional remoteness (the inability to influence policy for the benefit of such arid areas), or a combination of these. Turbett (2004) adds emotional isolation. By definition, arid and semi-arid areas receive very little rainfall; and the rain that does fall is highly unpredictable and is therefore referred to as “variable” (Tewari and Arya, 2005; Mortimore, 2003). Variability is also linked to temperature. Reynolds et al. (2007) noted that the difficulty and costs involved in the provision of services in these areas result in ineffective and faulty service plans. The distances between residents in these areas, coupled with the variability of settlement resources such as water, make it difficult to provide services, resulting in development backlogs in comparison to other, less arid areas (Mortimore, 2003; Reynolds et al., 2007; Thomas et al., 2002). In addition, Wollett (in Asthana and Halliday, 2004) discusses the cost implications of providing services in these areas. Problems include difficulties with economies of scale (more cost-efficient large centres cannot support the geographically diverse community, and smaller dispersed centres are expensive); higher travel costs; unproductive time (owing to the need to travel); issues related to staffing; and institutional costs relating to training and development. In summary, these remote communities often experience difficulties as a result of extensive distances and transport problems, extreme climates (hot or cold and wet or dry), lagging development in the region in comparison to more connected/more populous areas in the same country, and general issues affecting indigenous people (Huskey, 2006). These implications have been documented
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fairly well with regard to agricultural communities; but they have seldom been contextualised for urban settlements or housing in arid areas. 3. Low-income housing policy in South Africa: how appropriate is it for arid South Africa? The focus in this section will fall exclusively on low-income housing policy. Although many of the lessons in this regard are applicable to housing policy in general, South Africa has what is arguably one of the most liberal low-income housing policies, in terms of which low-income housing units are subsidised (to the amount of approximately USD 5000 e USD 6000 per housing unit) for the benefit of low-income people (earning less than USD 350 per month). The question that comes to mind concerns the degree to which housing policy in South Africa has been geared towards areas in arid South Africa. Arid South Africa covers about 45% of South Africa’s surface and accommodates approximately 5% of the population (Fig. 1). This section aims to mirror the theoretical principles discussed above against low-income housing policy and practice in arid South Africa. 3.1. The implications of remoteness for housing practice The implications of remoteness should be evaluated in terms of two main factors, namely, the implications of remoteness for housing development and construction; and secondly, the implications thereof for the beneficiaries of housing subsidies. In the theoretical overview above, it was pointed out that the costs of services and transport are considerably higher in drylands, owing to the remoteness of these areas. There are implications at various levels. The first level relates to the cost of construction. Since a fixed subsidy amount is available throughout South Africa, the cost of construction is an important variable determining the housing products. The need to transport building materials over extensive distances increases the costs of housing development in drylands. Although it is admittedly true that land costs in these areas are probably significantly lower than in large urban areas, the extensive additional costs relating to transportation should be taken into account. It is interesting to note that the low-income housing subsidy initially made provision for variance of up to 15% in relation to the following conditions: extensive slopes; undulating terrain; hard rock formations and boulders in the top 1.5 m of the land surface; terrain comprised of loose, poorly-graded sand; a high water table; dolomitic conditions; and unstable soils, requiring engineering work for the design of foundations (Department of Housing, 2002). Although in some cases such conditions may be applicable to dryland areas, the fact is that aspects such as slopes and high water tables are directly linked to coastal areas. The important point that we would like to make in this regard is that local land conditions were considered important enough to warrant some deviation from the mainline policy. However, remoteness and, consequently, also transport costs were ignored until recently. The Northern Cape1 Provincial Department of Housing and Local Government2 has since managed to lobby for the inclusion of an additional amount in the housing subsidy to make provision for these costs. In principle, this means that the provincial
1 The Northern Cape Province is one of nine provinces in South Africa. This province is entirely arid. 2 South Africa has a three-tiered political system, comprised of the national, provincial and local levels of government. According to the constitution, the implementation of the housing subsidy programme is the responsibility of provincial government.
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L. Marais et al. / Journal of Arid Environments 74 (2010) 1340e1344
Fig. 1. South African local municipalities by average precipitation. (For interpretation of the references to colour in this figure legend, the reader is referred to the web version of this article.)
capital, Kimberley, does not receive any extra funding. (It should be noted that Kimberley is located on the eastern border of this province, and is closer than the rest of the province to the economic heartland of South Africa.) However, if a specific settlement is located closer to Upington (to the far west) than to Kimberley, an extra 5% is added to the existing subsidy amount. If the settlement is closer to De Aar (to the south of the province) than to Kimberley, an additional 2% is provided. Two questions arise in response to this policy change. Firstly, why did it take more than twelve years to respond to this reality in terms of concrete policy? The problem of a distant voice is pertinently show-cased in this situation. Secondly, why is this policy only applicable to the Northern Cape, and not to other dryland areas in South Africa? The second level at which remoteness has an impact is that of housing management in these far-flung areas. The role of the private sector was explicitly stipulated in the initial housing policy. Evidence from the Northern Cape Provincial Government suggests that the provincial authorities soon realised the problematic aspects of private sector involvement in the province e at least with regard to developers. One of the contributing factors was the transportation costs in areas beyond the two or three main towns in the province. The provincial government therefore played a far more direct role in the management of housing projects in the province than had originally been envisaged in terms of policy. In this way, although higher costs were involved, they managed to address the problem of remoteness, which the private sector was unable to do. At the same time, the local construction industry still played an instrumental role in local construction processes. A third factor relates to the lack of appropriately-skilled persons in these smaller settlements. This was a common finding, which
recurred repeatedly during the interviews conducted in the six towns that we visited. An interviewee in one of the remote locations remarked that one of the problems in respect of housing development in the town was that “we had to get plumbers and electricians from other towns.” Remoteness also means lower capacity and a shortage of skills e a factor that should be accounted for in policy. 3.2. Variability: the implications of limited water resources Judging from the literature review, water availability seems to be a major problem in dryland areas. Two important points should be made in respect of water availability in arid and semi-arid South Africa. The first point concerns water as a scarce resource, while the second relates to the implications for water management. The construction of new housing units usually goes hand-inhand with better water and sanitation access for the beneficiaries e despite the fact that policy suggests that waterborne sanitation is not necessarily the main policy approach (Republic of South Africa, 1996). In the majority of our local case studies, waterborne sanitation and on-site water were provided. Alternative sanitation systems (i.e., other than waterborne systems) are commonly viewed as inferior, and are considered to be the result of a lack of social justice, as well as of South Africa’s Growth, Employment and Redistribution economic policy (which is regarded by some as being neo-liberal e see for example Bond, 1999). However, irrespective of these theoretical debates, the reality is that many settlements in dryland South Africa have limited access to water. There is already evidence from Steynsburg, a small town in the northern part of the Eastern Cape, that an extensive house-
L. Marais et al. / Journal of Arid Environments 74 (2010) 1340e1344
construction process (linked to waterborne sanitation) has led to increased water usage. In fact, the town has experienced serious problems in maintaining current levels of water use and managing the refuse water; and frequent water shortages have also become a problem. In addition to the excessive water use resulting from new housing projects, it should also be borne in mind that the source of water provided to many dryland towns, is groundwater. Depending on soil conditions, the dependency on groundwater makes the use of pit latrines problematic, as it results in groundwater pollution. In Jansenville, another small town in the arid areas of the Eastern Cape Province, the housing subsidy programme was complemented by means of a drought-relief programme, which provided water tanks to the beneficiaries to capture water from their roofs. Although no intensive evaluation has been conducted in this regard, innovative initiatives of this type should receive far more positive recognition in policy in arid South Africa than is currently the case. Considering the fact that global warming has been recognised as a reality, innovation in this regard is crucial. The second main point in respect of water relates to the watermanagement ability that is linked to the housing and settlement developments. Overall, there seem to be major problems in respect of ensuring water-management capacity in remote areas. The situation is further complicated by the fact that the advantages of scale in providing water services are limited by the large number of dispersed settlements. In the case of a few settlements in the Northern Cape, water needs to be transported to these settlements where houses were provided. In addition, it also seems as if household management of waterborne sanitation systems provided to new, mostly poor users, also increases the maintenance costs of these systems (Personal communication with Van der Merwe at the Department of Water Affairs, 2007). For example, our interviews indicated that very few people use appropriate toilet paper, and blockages regularly occur as a result of inappropriate objects in the system. Overall water-management capacities at local level are limited. Available research on alternative sanitation mechanisms suggests an obvious solution. Such alternative systems do not entail extensive management costs, and they use much less water. However, the initial results arising from a master’s-degree study on this topic, conducted in Kimberley, suggest that the social acceptability of these systems is limited in the lower-income housing arena (Marais et al., 2007). The longer-term dilemma lies in the conflict between social acceptability and the availability of water. Finally, the question can be raised as to why the subsidy and the housing units that are being delivered by means of the subsidy do not include mechanisms which can assist in saving water. Such mechanisms could include incentives to use less water. To a large degree, the contrary is found in practice, as South African policy has focused on the provision of free water. Low-income housing policy should surely consider incentives to curb excessive water use. The government e through its low-income housing policy, as well as other settlement policies such as the provision of a basic amount of free water to ensure a larger degree of equality in the South African environment e has become an external variable which is not considered in the Dryland Development Paradigm. In fact, many of the actions taken by government are in direct conflict with the principles of the DDP, and do not take the socio-economic implications of variability into account. 3.3. Low-income housing design and energy efficiency At a technical level, much has been said about housing design in South Africa (Harris, 2005; Makaka and Meyer, 2006 Mathews and Weggelaar, 2006; Winkler et al., 2002). Low-income housing is commonly criticised for being ill-designed, without any
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consideration for energy efficiency. Research in this regard (conducted five years ago) suggests that an additional USD 100 e USD 200 would be enough to make a remarkable impact on the housing conditions of the poor through energy-efficient systems (Winkler et al., 2002). Such systems include ceilings, windows of an appropriate size, partitioning and wall insulation (Winkler et al., 2002). However, as the financial benefits of these systems accrue over time, very few households would be able to afford them on a onceoff basis. The fact that arid areas in South Africa experience temperatures of above 40 Celsius in summer, and well below freezing point in winter, surely necessitates a different approach, in terms of which options for better design and energy efficiency could be made available to beneficiaries of the housing programme. Once again, a better understanding of the implications of extreme heat in summer and extreme cold in winter, as experienced in arid South Africa, could lead to appropriate suggestions on how to redesign subsidies, in order to make provision for aspects such as energy efficiency and housing design. 3.4. Farm-workers and mine-workers Arid areas also have problems relating to special housing concerns. Two examples in this regard in the context of arid South Africa are mine-worker housing and farm-worker housing. In ground-breaking research, Atkinson (2007) assessed the plight of farm-workers in arid South Africa. Although a complex array of aspects were identified in respect of service and housing, there seems to be a specific emphasis on the fact that the increased remoteness of farm-workers from schools, clinics and other services is one of the more prominent problems faced by these farm-workers. Hartwig and Marais (2005), although their case study was not specifically conducted in a dryland area, concur with this finding. What is important to note in this regard is that much of the debate concerning farm-worker housing has taken place in the context of intensive, high-value crop-farming e mainly in the Western Cape. It seems that in this province, where farms are relatively small, farm-worker villages might comprise an appropriate mechanism to provide suitable housing to farm-workers. However, in arid and semi-arid South Africa, housing policy should at least make provision for some engagement with on-farm services and housing e a solution which the national department of housing has been reluctant to consider (Hartwig and Marais, 2005). In addition to agriculture, mining is sometimes an important vehicle for sustaining dryland areas. The problem in this regard is related to the question of how to deal with housing in these areas, as well as with the concomitant realities relating to mobility. Under apartheid, mine-workers were regarded as temporary sojourners in white South Africa, and single-sex hostels comprised the main form of housing provision to these workers. However, recent research revealed that many mine-workers hate the compounds, but that very few alternatives are available (Marais and Venter, 2006). Two reasons for the lack of availability of alternatives can be put forward. Firstly, the financial means to acquire private family housing seem to be limited for about 90% of mine-workers. Secondly, up to 50% of these workers would still prefer to invest in future housing in their area of origin, rather than in the mining area (Marais and Venter, 2006). Considering the fact that the evidence for the above conclusions was obtained in non-arid areas, the question is what the implications in arid areas would be. Owing to the fact that e except for agriculture e the external environments in drylands hold very few opportunities for economic diversification beyond the lifetime of the mine, a different mode of thinking is required in respect of housing for mine-workers. In all likelihood, a large majority of mine-workers in arid areas would not wish to continue residing in these mining areas after the conclusion of
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mining operations e in contrast to mine-workers in larger urban agglomerations. This situation calls for housing-provision systems and housing-finance systems which share the risks between mining companies, the state and the individual more equally. However, it probably also suggests that the housing systems should make provision for a large degree of mobility and a smaller percentage of family housing. 4. Conclusion It has been argued in this paper that the last ten years have seen an increasing realisation of the fact that arid areas should not be regarded as a problem. The emphasis on the development paradigm of drylands has highlighted the need for a larger degree of integration between human and environmental systems. This has resulted in a greater emphasis on the socio-economic aspects related to drylands e a factor which has not received significant attention in socio-economic research or housing research in South Africa. Aspects which come to the fore in the literature include the remoteness of the areas; variability; dependence on limited resources; extreme climatic conditions; and the problem of a distant voice. The discussion on housing dilemmas in arid and semi-arid South Africa highlighted the fact that housing policy does not adequately take these problems into account. Institutional remoteness and the problem of a distant voice were amongst the aspects that were specifically mentioned in this context. Dryland South Africa also poses specific challenges in respect of scarce natural resources such as water. There seems to be evidence that the approach that is being followed in respect of low-income housing construction and the provision of free basic services has not taken this reality into consideration at a policy and implementational level. Aspects of housing design were also questioned, in view of the fact that extreme climates require far better design and more effective mechanisms to insulate housing structures. In view of the reality of global warming, the time has perhaps arrived for policy-makers to pursue a better understanding of these issues and their impacts on people’s livelihoods. Considering the principles of the Dryland Development Paradigm and the process of housing e as well as that of settlement development e in arid South Africa, it seems as if the state and its housing programme comprise an external factor which actually constitutes a variable not considered in the Dryland Development Paradigm. The state’s ideology of ensuring greater equality has placed renewed pressure on settlements in arid areas. To some degree, an external and rapidly-changing variable of state investment has changed the overall human-environment nexus, and basic threshold levels are under pressure because the basic human capacity to address the relevant problems is not available. In conclusion, two aspects need to be placed on the agenda for the future. First, the relationship between aridness, the principles of the Dryland Development Paradigm and the socio-economic implications should be understood and accounted for in social policy e such as the low-income housing policy in South Africa. Secondly, there is a need for a much greater understanding of the state as an external variable which brings about rapid changes to settlements and the environment. The rapid change generated by government investment impacts negatively on the principles of dryland development, since such accelerated changes place thresholds under severe pressure, raising questions as to whether there are controlling processes in place. To a large degree, the role
of the state through the low-income housing process has become a rapidly-changing variable which has not been contextualised in the Dryland Development Paradigm. In fact, the provision of lowincome housing subsidies in arid South Africa has, to a large degree, been in direct conflict with the basic principles and envisaged socio-economic consequences of the Dryland Development Paradigm. Considering the reality of global warming, we need to learn e with a much greater sense of urgency e what the impact of warmer climatic conditions on modern settlements would be. One of the possible reasons why these principles have not been contextualised is the fact that most of the principles of the Dryland Development Paradigm were developed against the background of pastoral societies, rather than that of modern urban development settlements, as encountered in South Africa.
References Asthana, S., Halliday, J., 2004. What can rural agencies do to address the additional costs of rural services? a typology of rural service innovation. Health and Social Care in the Community 12, 457e465. Atkinson, D., 2007. Going for Broke: The Fate of Farmworkers in Arid South Africa. HSRC Press, Tshwane. Bond, P., 1999. Basic infrastructure for socio-economic development, environmental protection and geographical desegregation: South Africa’s unmet challenge. Geoforum 30, 43e59. Department of Housing, 2002. The Housing Code. National Department of Housing, Pretoria. Harris, H.C., 2005. Implementing energy efficiency policy in housing in South Africa. Journal of Energy in Southern Africa 16, 122e128. Hartwig, R., Marais, L., 2005. Farm-worker housing in South Africa: an evaluation of an off-farm project. Housing Studies 20, 931e948. Hoffman, M.T., Allsopp, N., Rohde, R.F., 2007. Sustainable land use in Namaqualand, South Africa: key issues in an interdisciplinary debate. Journal of Arid Environments. doi:10.1016/j.jaridenv.2006.11.021. Huskey, L., 2006. Limits to growth: remote regions, remote institutions. Annals of Regional Science 40, 147e155. Makaka, G., Meyer, E., 2006. Temperature stability of traditional and low-cost modern housing in the Eastern Cape, South Africa. Journal of Building Physics 30, 71e86. Marais, L., Lenka, M., Hoogendoorn, G., 2007. Alternative forms of sanitation and energy in low-income housing projects: The case of the Hull Street Project in Kimberley. Unpublished report for the Department of Social Development. Marais, L., Venter, A., 2006. Hating the compound, but . mineworker housing needs in post-apartheid South Africa. Africa Insight 36, 53e62. Mathews, E.H., Weggelaar, S., 2006. Enhancing the efficiency of formal low-cost houses by the development of a new low-cost ceiling system. Journal of Energy in Southern Africa 17, 18e27. Mortimore, M., 2003. Is there a new paradigm of dryland development? Retrieved from. Annals of Arid Zone 42, 459e481. http://www.drylandsresearch.org.uk/ pdfs/Annals_Arid_Zone.pdf. Republic of South Africa, 1996. National Sanitation Policy White Paper. Department of Water Affairs, Pretoria. Reynolds, J.F., Stafford Smith, D.M. (Eds.), 2002. Global Desertification: Do Humans Cause Deserts? Dahlem University Press, Berlin. Reynolds, J.F., Stafford Smith, D.M., Lambin, E.F., Turner, B.L., Mortimore, M., Batterbury, S.P.J., Downing, T.E., Dowlatabadi, H., Fernandez, R.J., Herrick, J.E., Huber-Sannwald, E., Jiang, H., Leemans, R., Lynam, T., Maestre, F.T., Ayarza, M., Walker, B., 2007. Global desertification: building a science for dryland development. Science 316, 847e851. Stafford Smith, D.M., Reynolds, J.F., 2002. Desertification: a new paradigm for an old problem. In: Reynolds, J.F., Stafford Smith, D.M. (Eds.), Global Desertification: Do Humans Cause Deserts? Dahlem University Press, Berlin, pp. 403e424. Tewari, V.P., Arya, R., 2005. Degradation of arid rangelands in Thar Desert, India: a review. Arid Land Research and Management 19, 1e12. Thomas, D., Twyman, C., Harris, F., 2002. Sustainable development in drylands: geographical contributions to a better understanding of people environment relationships. The Geographical Journal 168, 193e194. Turbett, C., 2004. A decade after Orkney: toward a practice model for social work in the remoter areas of Scotland. British Journal of Social Work 34, 981e995. Winkler, H., Spalding-Fecher, R., Tyani, L., Matibe, K., 2002. Cost-benefit analysis of energy efficiency in urban low-cost housing. Development Southern Africa 19, 593e614.
Contents lists available at ScienceDirect
Journal of Arid Environments journal homepage: www.elsevier.com/locate/jaridenv
Low-income housing policy in practice in arid and semi-arid South Africa Lochner Marais a, *, Jan Cloete a, Zacheus Matebesi b, Kholisa Sigenu a, Deidre van Rooyen a a b
Centre for Development Support (IB 100), University of the Free State, P.O. Box 339, Bloemfontein 9300, South Africa Department of Sociology (IB 41), University of the Free State, P.O. Box 339, Bloemfontein 9300, South Africa
a r t i c l e i n f o
a b s t r a c t
Article history: Received 24 July 2007 Received in revised form 1 April 2009 Accepted 9 March 2010 Available online 8 April 2010
The paradigms in respect of arid areas have shifted from efforts to prevent desertification to the Dryland Development Paradigm. In this respect, the basic principles and socio-economic implications related to dryland development have been identified. However, the application of these paradigms has mainly focused on pastoral societies. This paper considers these principles in relation to the South African housing policy in a more formal settlement environment, and argues that the South African low-income housing policy scarcely considers the basic principles of the Dryland Development Paradigm, or the basic socio-economic realities associated with arid areas. At the same time, the question is asked as to how relevant these principles and socio-economic realities are in more formal settlements where the South African low-income housing subsidy is applied, and whether there is not, in reality, an inherent conflict between settlement development through low-income housing subsidies, on the one hand, and the basic principles of the Dryland Development Paradigm, on the other. Ó 2010 Elsevier Ltd. All rights reserved.
Keywords: Dryland development Distant voice Housing subsidies Socio-economic implications Remoteness Variability
1. Introduction Historically, desertification was regarded as a problem e something to be avoided (Reynolds and Stafford Smith, 2002). However, the last decade has seen an increasing emphasis on the need to acknowledge the unique attributes and developmental role of arid areas (Reynolds et al., 2007). The recognition of the reality of global warming has also led to a realisation of the fact that the rest of the world should start to learn from these warmer areas. In addition to the historical view of desertification as a problem, the majority of research, until recently, has also focused on ecologically-related aspects in arid areas. It is only lately that recognition has been given to the relationship between the socio-economic aspects and the ecological aspects of arid and semi-arid areas (Hoffman et al., 2007). This paper aims to apply the principles of the Dryland Development Paradigm and the concomitant socioeconomic implications to low-income housing policy and practice in South Africa. Two main arguments are put forward in the paper. First, the point is made that the basic principles of the Dryland Development Paradigm and the attendant socio-economic principles are seldom considered in the South African low-income housing policy and its application, or in the application of the low-
* Corresponding author. Tel./fax: þ27 51 401 2978. E-mail address: [email protected] (L. Marais). 0140-1963/$ e see front matter Ó 2010 Elsevier Ltd. All rights reserved. doi:10.1016/j.jaridenv.2010.03.010
income housing subsidy programme. Second, it is argued that the principles of the Dryland Development Paradigm are more relevant to pastoral societies than to modern urban settlements, and that the role of the state as a large-impact variable (through low-income housing subsidies) has not been contextualised. In view of the aim and arguments outlined above, the paper starts off with a conceptualisation of the socio-economic implications of aridness, on the basis of the available international literature. Thereafter, the focus falls on low-income housing in arid and semi-arid South Africa, and the applicability of the current housing policy to arid South Africa is questioned. Finally, a number of concluding comments are made. Essentially, the paper is based on eight case studies of urban settlements and the development dynamics in these areas. 2. Changing theoretical thinking about drylands and the socio-economic implications During the 88th Dahlem Conference of 2001, many delegates argued that human and environmental effects should be jointly taken into account, in order to understand the causes of desertification (Stafford Smith and Reynolds, 2002). The output of the conference, known as the Dahlem Desertification Paradigm (DDP), was based on nine assertions (Stafford Smith and Reynolds, 2002). The provisional nature of the Dahlem Desertification Paradigm and the drawbacks involved in the use of the term “desertification” for
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the broader application of the paradigm in dryland development were identified by Stafford Smith and Reynolds (2002). More recently, in an attempt to move towards more general drylands development issues, the original nine assertions of the Dahlem Desertification Paradigm were reformulated into five principles, which were jointly dubbed “the Drylands Development Paradigm” e also called the DDP. (All future allusions to the DDP in this paper will refer to the Drylands Development Paradigm.) These principles can be summarised as follows (Reynolds et al., 2007): The first principle is that human-environment systems are coupled, dynamic and co-adapting, so that their structure, function and relationships change over time. Principle two asserts that a limited suite of “slow” variables can be regarded as critical determinants of human-environment system dynamics. In principle three, the emphasis is on thresholds. It is argued that thresholds in key slow variables define different states of human-environment systems, often with different controlling processes. Principle four states that coupled human-environment systems are hierarchical, nested and networked across multiple scales. Principle five essentially suggests that the maintenance of a body of up-to-date local environmental knowledge is pivotal to the functional co-adaptation of human-environment systems. On the basis of these principles, Reynolds et al. (2007) also identified a number of key features in respect of drylands. These are: variability, low productivity, remoteness, a distant voice and a sparse population. The focus will now fall on a more detailed conceptualisation of these factors. The problem of a distant voice is closely tied up with the fact that residents are situated in these often-remote locations with limited political power. However, the definition of remoteness varies across the globe (Cheers, in Turbett, 2004; Huskey, 2006; Scottish Executive Policy Unit in Turbett, 2004). According to Leven (cf. Huskey, 2006), “remoteness” may denote economic remoteness, geographical remoteness or institutional remoteness (the inability to influence policy for the benefit of such arid areas), or a combination of these. Turbett (2004) adds emotional isolation. By definition, arid and semi-arid areas receive very little rainfall; and the rain that does fall is highly unpredictable and is therefore referred to as “variable” (Tewari and Arya, 2005; Mortimore, 2003). Variability is also linked to temperature. Reynolds et al. (2007) noted that the difficulty and costs involved in the provision of services in these areas result in ineffective and faulty service plans. The distances between residents in these areas, coupled with the variability of settlement resources such as water, make it difficult to provide services, resulting in development backlogs in comparison to other, less arid areas (Mortimore, 2003; Reynolds et al., 2007; Thomas et al., 2002). In addition, Wollett (in Asthana and Halliday, 2004) discusses the cost implications of providing services in these areas. Problems include difficulties with economies of scale (more cost-efficient large centres cannot support the geographically diverse community, and smaller dispersed centres are expensive); higher travel costs; unproductive time (owing to the need to travel); issues related to staffing; and institutional costs relating to training and development. In summary, these remote communities often experience difficulties as a result of extensive distances and transport problems, extreme climates (hot or cold and wet or dry), lagging development in the region in comparison to more connected/more populous areas in the same country, and general issues affecting indigenous people (Huskey, 2006). These implications have been documented
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fairly well with regard to agricultural communities; but they have seldom been contextualised for urban settlements or housing in arid areas. 3. Low-income housing policy in South Africa: how appropriate is it for arid South Africa? The focus in this section will fall exclusively on low-income housing policy. Although many of the lessons in this regard are applicable to housing policy in general, South Africa has what is arguably one of the most liberal low-income housing policies, in terms of which low-income housing units are subsidised (to the amount of approximately USD 5000 e USD 6000 per housing unit) for the benefit of low-income people (earning less than USD 350 per month). The question that comes to mind concerns the degree to which housing policy in South Africa has been geared towards areas in arid South Africa. Arid South Africa covers about 45% of South Africa’s surface and accommodates approximately 5% of the population (Fig. 1). This section aims to mirror the theoretical principles discussed above against low-income housing policy and practice in arid South Africa. 3.1. The implications of remoteness for housing practice The implications of remoteness should be evaluated in terms of two main factors, namely, the implications of remoteness for housing development and construction; and secondly, the implications thereof for the beneficiaries of housing subsidies. In the theoretical overview above, it was pointed out that the costs of services and transport are considerably higher in drylands, owing to the remoteness of these areas. There are implications at various levels. The first level relates to the cost of construction. Since a fixed subsidy amount is available throughout South Africa, the cost of construction is an important variable determining the housing products. The need to transport building materials over extensive distances increases the costs of housing development in drylands. Although it is admittedly true that land costs in these areas are probably significantly lower than in large urban areas, the extensive additional costs relating to transportation should be taken into account. It is interesting to note that the low-income housing subsidy initially made provision for variance of up to 15% in relation to the following conditions: extensive slopes; undulating terrain; hard rock formations and boulders in the top 1.5 m of the land surface; terrain comprised of loose, poorly-graded sand; a high water table; dolomitic conditions; and unstable soils, requiring engineering work for the design of foundations (Department of Housing, 2002). Although in some cases such conditions may be applicable to dryland areas, the fact is that aspects such as slopes and high water tables are directly linked to coastal areas. The important point that we would like to make in this regard is that local land conditions were considered important enough to warrant some deviation from the mainline policy. However, remoteness and, consequently, also transport costs were ignored until recently. The Northern Cape1 Provincial Department of Housing and Local Government2 has since managed to lobby for the inclusion of an additional amount in the housing subsidy to make provision for these costs. In principle, this means that the provincial
1 The Northern Cape Province is one of nine provinces in South Africa. This province is entirely arid. 2 South Africa has a three-tiered political system, comprised of the national, provincial and local levels of government. According to the constitution, the implementation of the housing subsidy programme is the responsibility of provincial government.
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Fig. 1. South African local municipalities by average precipitation. (For interpretation of the references to colour in this figure legend, the reader is referred to the web version of this article.)
capital, Kimberley, does not receive any extra funding. (It should be noted that Kimberley is located on the eastern border of this province, and is closer than the rest of the province to the economic heartland of South Africa.) However, if a specific settlement is located closer to Upington (to the far west) than to Kimberley, an extra 5% is added to the existing subsidy amount. If the settlement is closer to De Aar (to the south of the province) than to Kimberley, an additional 2% is provided. Two questions arise in response to this policy change. Firstly, why did it take more than twelve years to respond to this reality in terms of concrete policy? The problem of a distant voice is pertinently show-cased in this situation. Secondly, why is this policy only applicable to the Northern Cape, and not to other dryland areas in South Africa? The second level at which remoteness has an impact is that of housing management in these far-flung areas. The role of the private sector was explicitly stipulated in the initial housing policy. Evidence from the Northern Cape Provincial Government suggests that the provincial authorities soon realised the problematic aspects of private sector involvement in the province e at least with regard to developers. One of the contributing factors was the transportation costs in areas beyond the two or three main towns in the province. The provincial government therefore played a far more direct role in the management of housing projects in the province than had originally been envisaged in terms of policy. In this way, although higher costs were involved, they managed to address the problem of remoteness, which the private sector was unable to do. At the same time, the local construction industry still played an instrumental role in local construction processes. A third factor relates to the lack of appropriately-skilled persons in these smaller settlements. This was a common finding, which
recurred repeatedly during the interviews conducted in the six towns that we visited. An interviewee in one of the remote locations remarked that one of the problems in respect of housing development in the town was that “we had to get plumbers and electricians from other towns.” Remoteness also means lower capacity and a shortage of skills e a factor that should be accounted for in policy. 3.2. Variability: the implications of limited water resources Judging from the literature review, water availability seems to be a major problem in dryland areas. Two important points should be made in respect of water availability in arid and semi-arid South Africa. The first point concerns water as a scarce resource, while the second relates to the implications for water management. The construction of new housing units usually goes hand-inhand with better water and sanitation access for the beneficiaries e despite the fact that policy suggests that waterborne sanitation is not necessarily the main policy approach (Republic of South Africa, 1996). In the majority of our local case studies, waterborne sanitation and on-site water were provided. Alternative sanitation systems (i.e., other than waterborne systems) are commonly viewed as inferior, and are considered to be the result of a lack of social justice, as well as of South Africa’s Growth, Employment and Redistribution economic policy (which is regarded by some as being neo-liberal e see for example Bond, 1999). However, irrespective of these theoretical debates, the reality is that many settlements in dryland South Africa have limited access to water. There is already evidence from Steynsburg, a small town in the northern part of the Eastern Cape, that an extensive house-
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construction process (linked to waterborne sanitation) has led to increased water usage. In fact, the town has experienced serious problems in maintaining current levels of water use and managing the refuse water; and frequent water shortages have also become a problem. In addition to the excessive water use resulting from new housing projects, it should also be borne in mind that the source of water provided to many dryland towns, is groundwater. Depending on soil conditions, the dependency on groundwater makes the use of pit latrines problematic, as it results in groundwater pollution. In Jansenville, another small town in the arid areas of the Eastern Cape Province, the housing subsidy programme was complemented by means of a drought-relief programme, which provided water tanks to the beneficiaries to capture water from their roofs. Although no intensive evaluation has been conducted in this regard, innovative initiatives of this type should receive far more positive recognition in policy in arid South Africa than is currently the case. Considering the fact that global warming has been recognised as a reality, innovation in this regard is crucial. The second main point in respect of water relates to the watermanagement ability that is linked to the housing and settlement developments. Overall, there seem to be major problems in respect of ensuring water-management capacity in remote areas. The situation is further complicated by the fact that the advantages of scale in providing water services are limited by the large number of dispersed settlements. In the case of a few settlements in the Northern Cape, water needs to be transported to these settlements where houses were provided. In addition, it also seems as if household management of waterborne sanitation systems provided to new, mostly poor users, also increases the maintenance costs of these systems (Personal communication with Van der Merwe at the Department of Water Affairs, 2007). For example, our interviews indicated that very few people use appropriate toilet paper, and blockages regularly occur as a result of inappropriate objects in the system. Overall water-management capacities at local level are limited. Available research on alternative sanitation mechanisms suggests an obvious solution. Such alternative systems do not entail extensive management costs, and they use much less water. However, the initial results arising from a master’s-degree study on this topic, conducted in Kimberley, suggest that the social acceptability of these systems is limited in the lower-income housing arena (Marais et al., 2007). The longer-term dilemma lies in the conflict between social acceptability and the availability of water. Finally, the question can be raised as to why the subsidy and the housing units that are being delivered by means of the subsidy do not include mechanisms which can assist in saving water. Such mechanisms could include incentives to use less water. To a large degree, the contrary is found in practice, as South African policy has focused on the provision of free water. Low-income housing policy should surely consider incentives to curb excessive water use. The government e through its low-income housing policy, as well as other settlement policies such as the provision of a basic amount of free water to ensure a larger degree of equality in the South African environment e has become an external variable which is not considered in the Dryland Development Paradigm. In fact, many of the actions taken by government are in direct conflict with the principles of the DDP, and do not take the socio-economic implications of variability into account. 3.3. Low-income housing design and energy efficiency At a technical level, much has been said about housing design in South Africa (Harris, 2005; Makaka and Meyer, 2006 Mathews and Weggelaar, 2006; Winkler et al., 2002). Low-income housing is commonly criticised for being ill-designed, without any
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consideration for energy efficiency. Research in this regard (conducted five years ago) suggests that an additional USD 100 e USD 200 would be enough to make a remarkable impact on the housing conditions of the poor through energy-efficient systems (Winkler et al., 2002). Such systems include ceilings, windows of an appropriate size, partitioning and wall insulation (Winkler et al., 2002). However, as the financial benefits of these systems accrue over time, very few households would be able to afford them on a onceoff basis. The fact that arid areas in South Africa experience temperatures of above 40 Celsius in summer, and well below freezing point in winter, surely necessitates a different approach, in terms of which options for better design and energy efficiency could be made available to beneficiaries of the housing programme. Once again, a better understanding of the implications of extreme heat in summer and extreme cold in winter, as experienced in arid South Africa, could lead to appropriate suggestions on how to redesign subsidies, in order to make provision for aspects such as energy efficiency and housing design. 3.4. Farm-workers and mine-workers Arid areas also have problems relating to special housing concerns. Two examples in this regard in the context of arid South Africa are mine-worker housing and farm-worker housing. In ground-breaking research, Atkinson (2007) assessed the plight of farm-workers in arid South Africa. Although a complex array of aspects were identified in respect of service and housing, there seems to be a specific emphasis on the fact that the increased remoteness of farm-workers from schools, clinics and other services is one of the more prominent problems faced by these farm-workers. Hartwig and Marais (2005), although their case study was not specifically conducted in a dryland area, concur with this finding. What is important to note in this regard is that much of the debate concerning farm-worker housing has taken place in the context of intensive, high-value crop-farming e mainly in the Western Cape. It seems that in this province, where farms are relatively small, farm-worker villages might comprise an appropriate mechanism to provide suitable housing to farm-workers. However, in arid and semi-arid South Africa, housing policy should at least make provision for some engagement with on-farm services and housing e a solution which the national department of housing has been reluctant to consider (Hartwig and Marais, 2005). In addition to agriculture, mining is sometimes an important vehicle for sustaining dryland areas. The problem in this regard is related to the question of how to deal with housing in these areas, as well as with the concomitant realities relating to mobility. Under apartheid, mine-workers were regarded as temporary sojourners in white South Africa, and single-sex hostels comprised the main form of housing provision to these workers. However, recent research revealed that many mine-workers hate the compounds, but that very few alternatives are available (Marais and Venter, 2006). Two reasons for the lack of availability of alternatives can be put forward. Firstly, the financial means to acquire private family housing seem to be limited for about 90% of mine-workers. Secondly, up to 50% of these workers would still prefer to invest in future housing in their area of origin, rather than in the mining area (Marais and Venter, 2006). Considering the fact that the evidence for the above conclusions was obtained in non-arid areas, the question is what the implications in arid areas would be. Owing to the fact that e except for agriculture e the external environments in drylands hold very few opportunities for economic diversification beyond the lifetime of the mine, a different mode of thinking is required in respect of housing for mine-workers. In all likelihood, a large majority of mine-workers in arid areas would not wish to continue residing in these mining areas after the conclusion of
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mining operations e in contrast to mine-workers in larger urban agglomerations. This situation calls for housing-provision systems and housing-finance systems which share the risks between mining companies, the state and the individual more equally. However, it probably also suggests that the housing systems should make provision for a large degree of mobility and a smaller percentage of family housing. 4. Conclusion It has been argued in this paper that the last ten years have seen an increasing realisation of the fact that arid areas should not be regarded as a problem. The emphasis on the development paradigm of drylands has highlighted the need for a larger degree of integration between human and environmental systems. This has resulted in a greater emphasis on the socio-economic aspects related to drylands e a factor which has not received significant attention in socio-economic research or housing research in South Africa. Aspects which come to the fore in the literature include the remoteness of the areas; variability; dependence on limited resources; extreme climatic conditions; and the problem of a distant voice. The discussion on housing dilemmas in arid and semi-arid South Africa highlighted the fact that housing policy does not adequately take these problems into account. Institutional remoteness and the problem of a distant voice were amongst the aspects that were specifically mentioned in this context. Dryland South Africa also poses specific challenges in respect of scarce natural resources such as water. There seems to be evidence that the approach that is being followed in respect of low-income housing construction and the provision of free basic services has not taken this reality into consideration at a policy and implementational level. Aspects of housing design were also questioned, in view of the fact that extreme climates require far better design and more effective mechanisms to insulate housing structures. In view of the reality of global warming, the time has perhaps arrived for policy-makers to pursue a better understanding of these issues and their impacts on people’s livelihoods. Considering the principles of the Dryland Development Paradigm and the process of housing e as well as that of settlement development e in arid South Africa, it seems as if the state and its housing programme comprise an external factor which actually constitutes a variable not considered in the Dryland Development Paradigm. The state’s ideology of ensuring greater equality has placed renewed pressure on settlements in arid areas. To some degree, an external and rapidly-changing variable of state investment has changed the overall human-environment nexus, and basic threshold levels are under pressure because the basic human capacity to address the relevant problems is not available. In conclusion, two aspects need to be placed on the agenda for the future. First, the relationship between aridness, the principles of the Dryland Development Paradigm and the socio-economic implications should be understood and accounted for in social policy e such as the low-income housing policy in South Africa. Secondly, there is a need for a much greater understanding of the state as an external variable which brings about rapid changes to settlements and the environment. The rapid change generated by government investment impacts negatively on the principles of dryland development, since such accelerated changes place thresholds under severe pressure, raising questions as to whether there are controlling processes in place. To a large degree, the role
of the state through the low-income housing process has become a rapidly-changing variable which has not been contextualised in the Dryland Development Paradigm. In fact, the provision of lowincome housing subsidies in arid South Africa has, to a large degree, been in direct conflict with the basic principles and envisaged socio-economic consequences of the Dryland Development Paradigm. Considering the reality of global warming, we need to learn e with a much greater sense of urgency e what the impact of warmer climatic conditions on modern settlements would be. One of the possible reasons why these principles have not been contextualised is the fact that most of the principles of the Dryland Development Paradigm were developed against the background of pastoral societies, rather than that of modern urban development settlements, as encountered in South Africa.
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