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Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia
Pergamon PII:
Cities, Vol. 15, No. 6, pp. 437–448, 1998 1998 Published by Elsevier Science Ltd. All rights reserved Printed in Great Britain 0264-2751/98 $19.00 ⫹ 0.00 S0264-2751(98)00039-0
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia Demissachew Shiferaw Karlsruhe University, Department of Housing and Settlements Planning, Postfach 6980, D-76049 Karlsruhe, Germany
Transformations of human settlements are very dramatic in cities of the developing countries where, despite the rapid urbanization process and demographic change, housing provisions fall short of demand. This results in continuous transformation of shelters in order to meet basic needs and changing situations. Unlike in the industrialized countries, this is largely accomplished through spontaneous private initiative. Thus, construction of new dwellings and also modification and maintenance of government-owned ones are private concerns. Especially the low-income groups have no alternative other than to use their own sporadic means. Encouragement and coordination of this enthusiasm by the formal sector is, however, scarce. As a component part of a Ph.D. thesis which involved field surveys from March up to July 1997, the following synopsis sketches user-initiated transformations on government-provided low cost houses in Addis Ababa. Information and figures are extracted from three of the studied residential areas and revealed the fact that self-initiated transformation represents a valuable resource for improving the housing conditions of the low income groups 1998 Published by Elsevier Science Ltd. All rights reserved
Context Although direct government provision of low-cost housing has featured in the policies of most developing countries, it has been proved that this sector is unable to address the increasing housing needs of the poor (Turner, 1976, p 98, 102; Hardoy and Satterthwaite, 1989, p 37; Mitlin, 1997, p 21). Such policies directed at actually providing housing are, shortly, inappropriate as they do not stimulate the private sector that may alleviate the seriousness of the housing shortage. Despite this tendency, the vast majority of housing units are being constructed through self-help activities. Due to the inability to make large initial investment on housing and due to the insecurity of tenure, lowincome households build temporary and small housing units which should, with changing family structure and tenure form, be transformed. A household first obtains a plot of land and the material to construct a shack. One or two rooms are then added and developed incrementally in a number of stages. Once it secures legal tenure or is reasonably certain that it 437
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will not be evicted, further constructions and improvements take place using better materials. Along with this, a consistent pattern emerges throughout much of the developing countries. In the case of government-provided units, people subdivide the given room and make extensions in their own ways using materials that suit the local climate and their economic capacity. They bring about subjective inputs on the given structures and make a home out of it. The theory of Boesch (1980, p 65) asserts that the house is the place of central satisfaction which, depending up on the degree it represents this satisfaction, changes from a mere building to a home. The purely objective building gets a new subjective meaning, a content, which makes it a home. Even if government-built low-cost houses are very few in number in Ethiopia, succeeding self-initiated modification and extension on given structures are taking place to the extent that the original structure becomes beyond recognition. In this form, the first unit becomes a core house, subjected to a number of modifications as accommodation needs increase or opportunities for subletting become attractive. The magnitude and quality depends mainly on the ownership status and financial position of inhabitants which impel some to erect very rudimentary extensions and others durable ones. In this process, inefficiencies associated with the spontaneous self-help housing process is prevalent (Mitlin, 1997; Mathey, 1990), but if this is organized and supported by external resources, the transformation initiative could be a very productive input in generating incomes and in contributing to the national economy. In the light of empirical analysis of five cases, the town planner Graham Tipple and the architect Nicholas Wilkinson (Tipple and Wilkinson, 1990, p 284) supported the hypothesis that users can change the functional characteristics of low-income government housing in such a way as to greatly increase the market and use value of the dwelling at no direct cost to government and they suggest that dwellers’ initiative should be encouraged. Likewise, a study carried out in three residential areas in Addis Ababa revealed the fact that extensions to government-provided dwellings represent a valuable resource of improving the housing conditions of the low-income group. The study has explored userinitiated building activities and indicates that the people who are expected to be just consumers of housing are turning out to be providers of housing. Focuses were mainly on the types and varieties of transformations, utilization of spaces, uses of materials and aspiration of inhabitants, which are vital instruments to draw out planning concepts for future programs.
Problem background Urbanization In developing countries, the problem of inadequate housing is closely linked to urbanization processes and demographic growths, in addition to policy errors and lack of resources. Ethiopia is not exceptional to this. Despite the long history of urban settlement which goes back to the Axum Kingdom (AD 200–600), the present level of urbanization in Ethiopia is only 15% of the total population, a figure far below the African average of 30%. This is attributed to the low industrialization activity, low infrastructural development and stagnation of other economic activities. The urban population is, however, growing above an average annual rate of 6.8% (1990–95) per year which is well above the African average of 3%. Distribution of the urban population is, on the other hand, unbalanced. Almost all infrastructural facilities and industrial activities are still concentrated in the capital city, which attracts a large number of migrants and turned it into a typical primate city making up 30% of the country’s urban population. It dominates the urban hierarchy and since for last 3 years, it is 12 times bigger than the second-ranking city.1 Available data indicate that the city grew at 7% in the 1960s, 5% in the 1970s, 4,5% in the 1980s and 1990s. The present population size and average annual growths are estimated at more than 2.6 million and 4.8%, respectively. Recent United Nations projections for the capital city are daunting – it is expected that by the year 2000, its population will have reached 3.1 million, making it the ninth largest city in Africa (UNECA, 1995, p 55). The recent decentralized development tries to abolish this system and extend social infrastructure, housing provisions and a concentration of investment to regional centers, whereby accelerated urbanization in regional towns may be experienced as a consequence. Housing problems In Addis Ababa, the considerable increase of household sizes on the one hand and the unbalanced housing investment on the other has brought about woeful housing deficiencies in both quality and quantity. As some studies show, only 21% of the housing stock meet the definition of acceptable housing (Baker et al., 1997, p 102). In relation to the quantity aspect, the President of Region 14 reported on August 1994 that 57% of the city’s households are homeless and pointed out that, to alleviate the present housing shortage, 10 000 Housing units have to be built per year. Meanwhile, 80% of the population is crowded and live at an average density of 2.6 persons per room2 and every person 1 The second-ranking city up to 1993 was Asmara which is currently the capital city of Eritrea. 2 It includes all rooms except toilet, bath and passage ways.
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has, on average, around 5.4 m2 floor area (GTZ): an occupancy rate that has already exceeded the bearable limit (the average occupancy rate for Sub-Saharan African countries is 6.5 m2 per person). This is the accumulated effect of the pre-1974 private monopoly of urban land and dwellings, and the later nationalization of urban land and extra houses3 which, coupled with the restricted credit policy, price-rises of building materials and salary and wage freezes, led to extreme shortage of housing and deterioration of existing structures. As concerns public-owned houses which share about 57% of all housing units, deterioration is the critical problem. Analysts remark that almost onethird of the total housing stock needs to be totally demolished and around half of them require maintenance. Only 20–25% of the houses are in good or very good condition (Baker et al., 1997, p 78; Colemann and Woldeyes, 1995, Annex-A). This is due to the lack of extensive legal protection of renters and lack of maintenance by the formal sector and confirms the theory that there is a strong link between home ownership and house improvements. But, if the reading of events and change of government attitudes come to implementations and if the transfer of at least a proportion of the government-owned housing stock to private ownership takes place, it will contribute a lot to alleviate the housing problem. The housing situation would have been even more dramatic if some centrally administered housing schemes had not been implemented during the period 1975–92, and the general population growth rate had not declined. The construction of houses through cooperative, aided self-help, low-cost and site and service housing schemes were promoted in this period and different financial mechanisms were implemented to subsidize housing. They have, however, seldom addressed the poor (Belay, 1985, p 42; Gutama, 1994, p 467; Estifanos, 1994, p 312); it usually opened ways to the indirect material flow from the poor to the welloff, because in public housing programs, high construction and administration costs and restrictive credit systems are accessible only to better-off income groups (Turner, 1976, p 102; Hardoy and Satterthwaite, 1989, p 107; Vliet and Weesep, 1990, p 277; Mitlin, 1997, p 33). Such supply systems aimed only at increasing housing stocks are, as labeled by the architect, planner and sociologist Kosta Mathey, “number games”. Housing needs assessment revealed that the low income group shares 63% of the new-housing needs requirement between 1995 and 2000 (Colemann and Woldeyes, 1995, Annex-A). But above 60% of the city population had no permanent work in governmental offices and/or had an income below a certain limit and had absolutely no chance of being incorporated in the subsidized housing market
3 Those units not occupied by the owner himself and that were available to rent.
and standards of services. Thus, it is only through use of innovative credit systems, cheaper and alternative building materials and construction methods and efficient use of urban land that the needy could be addressed. Private initiative is, consequently, the dominant form of housing provision and maintenance of existing housing stocks which holds true for both owner occupancy as well as government-owned ones. Including all means of housing provisions, the city’s total housing stock increased, for instance, from 259 600 to 388 982 between 1984 and 1995, but nearly 80% of the total increase was the result of unplanned housing production (CSA, 1995; Baker et al., 1997, p 60), which confirms that subdivision and extension of existing units is very significant to accommodate the increasing households as new construction fell far short of demand. The design and location of the houses provided through public means were also ill-matched to poorer groups’ needs. They did not accommodate, for instance, income earning activities and other socio-cultural activities in the houses or in the compounds (Wendt et al., 1990, p 247; AAMPPO, 1984), which residents attempt to incorporate at a later stage. Also the current policy of land allocation and housing construction4 has practically eliminated all lowincome households from participating in the housing sector as it urges an advance deposit of 20% of the construction cost (Baker et al., 1997, p 28). Housing finances are not improved either, and there are no strong measures that would encourage institutions to make loans to the low-income group of the housing. Thus, failure to use and mobilize human, financial and material resources appropriately prohibit the majority of the low-income population from having access to shelter. Hence, individual ventures play the biggest role of shelter production and improvement. These are spontaneous and of the habitual self-help type and lack the necessary legislative, technical, financial and logistic support.
Self-initiated transformation of houses Housing stress shows its results in a number of different phenomena in Addis Ababa. Apart from overcrowding, which propels self-help emergency solutions in the form of extending and subdividing existing houses, mushrooming of moonlight houses “ye chereka bet”5 in the periphery is also taking place nowadays. Such occupation of peripheral vacant or agricultural land and extensions and modifications without permission are regarded as unlawful and are 4 There is currently no comprehensive housing policy at the central or regional level. 5 Illegal occupation of land is more or less a recent phenomenon in Addis Ababa. Due to the accumulated effect of the housing shortage people build one-room units overnight “ye cherka bet” when everybody is asleep.
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strictly prohibited. Users’ self-initiated actions lead at worst to demolition of new structures to conform with development plans and/or preserve the layouts of government-provided residential environments. This varies indeed from place to place depending, among other things, on local administrators, location and tenure form. This strict control has ostentatiously hindered squatting activities, however, multiplied overcrowding in existing structures. Even under these limitations people endeavor to shelter themselves and the way they build and improve their houses are clues to the design of low-cost housing and application of appropriate technologies and financial strategies. With this theme, the author investigated over 40 dwelling units in four residential quarters in Addis Ababa, out of which the first three have been selected for this paper.
The cases The areas selected for this paper are “kolfe”, “gerji” and “keftegna 17 kebele 24” – which were, unlike the fourth one, initially built by the government and/or institutions in uniformly and closely spaced grids to provide every household with a single or double room with built-up areas of 13, 21, 26, 35 and 45 m2. These were transformed gradually through self-initiated actions into complex forms and sizes to accommodate more people and different needs. Such transformations are significantly taking place in “gerji” (Figs 1–4), where the original structures were very precarious and the cheapest of all and residents are still paying rents. This residential area is located in a peripheral area6 near the airport and was built in 1986 as an emergency settlement to house displaced inhabitants after their previous settlement area had been claimed by
Figure 1 Original shelter in “gerji” as built in 1986 6 Interestingly, despite its remote location and lack of services, the majority of people prefer to stay in the same settlement area as far as water and electricity supplies and sewerage problems are provided. This brings the habitual product oriented approach “Service, Build and Occupy” into question.
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Figure 2 Current stage: a series of spaces have been created by the addition of rooms and terraces
the airport. Today, it can be said that the settlement is being changed into a durable urban entity. The inhabitants have apparently larger households and much lower incomes than the other two. Ninty-five percent of the household heads and all other male dependents are daily laborers having no permanent employment. Housewives on the other hand generate income by selling milk and local drinks. Since their occupation in 1987, households have modified the houses to cope with the climatic and socio-cultural requirements and the growth in households. These needs have been accommodated by internal ad hoc subdivisions and extension of rooms through several phases until they now cover up to 85% of the 80–130 m2 plot areas which residents have demarcated around them. Today, there are almost two times as many residents in the area and each household has managed to extend the house by an average figure of 21 m2 as planned. The occupation rate of 5.2 m2 per person has changed to 7.7 m2 per person in 10 years, whereas the average rate of the whole city is still below 5.4 m2 per person and that of SubSaharan Africa 6.5 m2 per person. The first action was the replacement of the importbased metal sheet wall with the popular daub and wattle “chika” construction method which was followed by partitioning of existing rooms with light materials and temporary constructions like, bamboo or “chika” walls. Subsequently, new extensions were undertaken to accommodate the growing family number and relatives who, unable to go and live independently, are doubling up with them. Beside this, extensions are intended for subletting and other income generating activities. However, due to the narrow frontage which severely limits the potential extension activities to the back or front yard of the houses, existing openings are absolutely blocked up and new windowless rooms created and thus there is inadequate ventilation and light inside rooms. Replacement of walls with “chika”, addition of roof overhangs to form covered front or back terraces and construction of
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 3 An example of the extension pattern in “gerji” (1986–97): a three-room provisional cubicle (46.6 m2) is replaced by better structure and extended to a total net area of 121 m2
stone bases and fences around houses are on the other side, autochthonous responses to climatic conditions. As concerns the settlement layout, a new pattern has evolved out of the one-room unit grid plan and, beyond the physical transformation (Fig. 4), mixed functions have grown out of the pure residential function: informal shops and bars have been built in front of many houses and stables and other income generating activities have flourished throughout the neighborhood. Despite the fact that lack of infrastructure is critical in the area, private initiated improvements
have not been practiced as this sector is considered to be of public concern. Likewise, fundamental transformation could be observed in “kolfe” (Figs 5 and 6), which was the first actual low-cost housing program to rehouse poor residents from the inner-city slums in the late 1960s and where occupants have completed paying off their housing loans and have full ownership rights. Plots are similarly around 115 m2, which is actually quite sufficient to accommodate one household compared to other self-help houses in cities of developing countries. However, due to the habitual horizontal expansion, no outdoor space is left for activities such as drying of pepper, washing and drying of clothes. And this is the problem faced by inhabitants who still need more rooms but have neither sufficient area nor the technical know-how and financial capability to extend vertically. Extensions have taken place, however, to the extent that no accesses and openings remain, let alone the problem associated with drying of clothes or grains. Motives for extensions are the need for more space for food preparation and cooking, for sleeping of family members and relatives and for subletting purposes. Through such extensions, the occupancy rate has grown from 4.7 m2 living space per person to 6.7 m2 and, on average, every household has added 35 m2 habitable space. Unlike the others, substantial transformations could be observed here which mirrors the ownership status and long year alteration process. Changing the original kitchen’s function and providing a new one on the back side and forming accesses which prevent entry through the main house are, invariably, emphasized in the transformation processes and are attributed to socio-cultural and hygienic grounds. Unlike the original planned structure which is built out of concrete blocks, 63% of the extensions are constructed with indigenous construction method and skill. Social differences have become visible through time. Some families have, for instance, started or intended to construct suspended floor slabs to add a second floor, some have completely changed their houses and have already embellished them, whereas others lack the means even to maintain roof leakage or replace shattered windows. Residents of the Flood Victim Housing Scheme in “kefetegna 17, kebele 24” have been tenants of the Rental Housing Authority since 1981 and undertook, due to the ownership status and strict control, restricted modifications. The allocated plot sizes are around 97 and 140 m2, but only one-third have been built-up. Despite the potential and enthusiasm of inhabitants, expansion of houses was on average 17.2 m2 per household raising the built-up area only to 50%. The occupancy rate has, thus, declined in this special case from a habitable space of 7.5 m2 per person to 5.3 m2, which is attributed, in addition to the tenure form, to the prevalent subletting practice. It was only in a few cases that people attached extensions to the given houses and used permanent materials. Usually rooms 441
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 4 Initial site plan of “gerji” as planned in 1986 and current layout
were built with temporary structures along the longer side of the courtyard (Fig. 7). Due to the inconvenience associated with the location of the toilet and kitchen, residents attempted to form covered ways or created private and semi-private spaces using building parts, trees, shrubs and short fences or changed functions of rooms.
Evaluations and implications of transformations In analyzing housing transformation processes, it is important to identify the transformations undertaken and the factors responsible for the pace, scope and direction of the process. These will help to establish firm bases for future planning. The following sections discuss the major features, factors, motives and qualities of transformations. Major changes The preliminary analysis revealed the following important alterations in the consolidation process. Occupancy rate. Through the self-initiated transformation process, the average occupancy rate of the three areas increased from 5.8 m2 per person to 6.5 m2 per person and this results in an increase of 24.4 m2 442
per household. So, the number of occupants as well as the available areas per head have relatively increased which otherwise would have required two or three plots more. The crowded use of existing plots indicates on the other hand the problem associated with access to land. Functions. The areas which were planned for mere residential purpose, now mix work and home life together. Shops and bars have been built in front of many houses, handicrafts and other income generating activities have flourished throughout neighborhoods. These are vital sources of income and informal trading of skills implying that new urban housing should translate these social cultures to physical environments. However, the author believes that neither spontaneous extension activities nor prohibition of these could be an effective response. Efforts are being made to legalize and regularize as well as provide infrastructure and to reduce densities in unplanned areas. But spontaneous extensions in planned areas are resulting in higher densities and lower standards whereby a convergence between planned and unplanned areas could be observed. Unplanned extensions could overload existing infrastructures which were not meant for such high density. However, since the capacity of all infrastructures
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 6 View of a house in “kolfe” today. Extension took place to the extent that it is difficult to trace the original house and no outdoor space is left in the compound. In this case, the increase in area is more than three times
Figure 5 An example of the transformation in “kolfe” (1970–97): a core house built through an aided self-help scheme has gone through several transformations; net area increased from 26 to 78 m2, whereas occupancy rose from a family of four persons to an extended family of ten
can be exceeded simply through population growth, extension cannot be blamed in isolation. Building materials. Despite the predominant preference of solid houses made of permanent materials, more than 85% of the extensions are constructed out of “chika” wall; a traditional material which none of the projects took into consideration. Even if the scarcity of wood makes this method unreliable, the experience that householders were not able to extend their homes with the same materials and tools as planned brings an argument on the appropriateness and permanent affordability of the first structure. This holds true also to “kolfe” where full ownership rights are secured, but 63% of the householders used the traditional construction method and the rest hollow con-
Figure 7 Extension in “kefetegna 17 kebele 24”. Plot sizes and building layouts allow extensions, but are not pre-planned. In this example, the added structure links the living area and the toilet/kitchen yard and provides a covered path
crete blocks and natural stones. Materials used in such spontaneous extension processes are not durable and sustainable and householders can not afford to buy durable ones. As summed up by Wendt (1987, p 106), construction systems should consider socio-cultural and economic factors of people and make use of existing experiences in traditional materials and technologies. But these should not be seen as static and excluded entities. They have to be rationally developed to suit contemporary conditions. For instance, wood is currently a dwindling resource in Ethiopia, its loss contributing to desertification, and necessitating alternative building materials that fill the gap between import-based ones and the local ones. What is not available cannot be used. Morphologies. Unlike the cases of West or North African countries where rooms are usually arranged around a central courtyard, studies on traditional and spontaneous urban houses of Ethiopia show that most 443
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
of the habitable rooms are surrounded by subordinated functions and open spaces. It is very difficult to draw up a typical transformation morphology out of the models registered by the author and confirm the pattern mentioned above, because it is the core house and tenure status that mainly dictated the extension patterns in the study areas (Fig. 8).7 The layout of the core house in “gerji” brought about, for instance, linear development along one axis whereas that of “kolfe” and “keftegna 17, kebele 24” enclosed courtyards. The transformations have, however, many aspects in common. Unlike in South America or North Africa, extension trends are, for instance, invariably in the traditional horizontal way (Fig. 9(a)). Despite the daunting scarcity of urban land and infrastructure, this is widely used in the whole city and indicates the low level of construction technology and know-how of residents and high costs of such structures. Socio-cultural, hygienic and climatic factors have resulted in most cases in changing locations of neatFigure 9 Transformation trends: (a) extension systems within given plot; (b) formation of accesses; (c) subdivision of outdoor spaces
Figure 8 Schematic presentation of extension models 7 The fourth type of housing built by owners without any institutional interference but not discussed in this paper are comparable to the development pattern mentioned above.
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ness and cooking areas to backyards or keeping them out of sight and the creation of accesses which prevent entry through the main houses (Fig. 9(b)). Plots located at corners or those open at the back have invariably been provided with a secondary entrance which enables direct access to the backyard. Also observed was some sort of clustering of extensions. In such cases where there is a verandah extension on the front side or a couple of rooms on the back side, there is a similar extension on the neighboring plot. And in those cases where there is no extension, there is likely no extension on the neighboring plot which suggests that advantage is taken of the party wall. However, neighborhood tolerance affects the location of new rooms as there is no regulation on party walls so far. So, someone may prefer to fill the right wing rather than the left one so as not to quarrel with a particular neighbor. Residents used to carry out much of their housework in visual and verbal contact with neighbors but, with time, plots have been strongly buffered and subdivided into secluded private and semi-private spheres using new building structures, trees, shrubs and fences in order to attain privacy and security (Fig. 9(c)). Except rooms with commercial functions no house is directly accessible from outside even when the building lies on the plot boundary. Regarding room sizes, the underling tendency is to acquire a series of rooms having a minimum size of 7 m2 (Fig. 10) which, sooner or later, permits the formation of shielded outdoor spaces for housework, such as, washing of clothes and utensils, drying of clothes and grains, keeping cattle and handicraft. Except toilets and smoky kitchens, other rooms have
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 10
Most frequently used room sizes Figure 11
no specialized functions (Fig. 11). Extension of the verandah or sheltered yard and provision of ceilings are invariably emphasized in the transformation processes in response to the severe solar radiation and rainfall. Factors influencing transformation Based on the preliminary analysis, the following factors seem to be the most important influences on housing transformations: security of tenure; housing design and construction of the original dwelling; financial sources; infrastructure and support services; and extent to which hired or self-help labor is used. Tenure form. A number of studies have been made on the relationship between housing consolidation and security of tenure and it has been proved that if people are assured security of tenure, they will voluntarily improve their dwellings to the fullest extent that they
Examples of space utilization
are capable of. However, if people feel insecure, they refrain from making improvements even if they have the means (Streeten et al., 1981, p 144). This is, thus, the basic reason for the fundamental variance of transformation processes between the three residential areas and confirms the above theory. Extensive alterations are observed in Kolfe as compared to Gerji and kefetagna 17 which is attributed, beyond the longer period of consolidation, to the private ownership status. This refers to both quality and quantity aspects. The amount of construction in more permanent dwellings and the increase in floor area are higher in kolfe. Financial sources. The survey results revealed that few have regular incomes and due to collateral requirements, almost 90% of the inhabitants in “gerji” and “keftegna 17 kebele 24” are ineligible for a loan. 445
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Despite the tenurial security in “kolfe”, which confers value on the property and allows owners to use land and houses as collateral for loans, no one has taken a bank credit up till now. Even under weak economic situations, financial sources for house improvements are private savings and use of self-help labor which is an important component to avoid 20–30% additional overheads that comes from elimination of public fees and licenses, professional fees, profits and interests. In some cases “ekubs”8 and in others informal activities (such as subletting, kiosk, stable, local bar, etc.) assist the extension activities considerably and reaffirms, on the other hand, the view of Streeten that access rather than affordability is the critical issue of housing provision for low-income groups in urban centers (Streeten et al., 1981, p 144). Renting a portion of the house or extended unit is an important source of income for the kolfe and kefetegna 17 families which is attributed to the favorable location and infrastructure facilities. Such types of existing social organizations could ease acquisitions of financial, material and human resources. It could also be a tool to coordinate and promote expansion and improvement of existing structures. Original dwelling. The initial housing type is an important determinant of transformation pattern. It influences residents’ choice of building materials and firms up the use of space in that the location and form of the given unit would dictate where extensions would be located. Even if no complete rejection of the core house has been experienced, it has been found out that one household has knocked down the core house and started from scratch. The influence of the original building on the extension patterns could be explicitly read in all cases. It was only in the case of the “kolfe” housing scheme that a step-by-step development was considered, but only in a few cases have residents followed the proposed extension system. The other two areas did not take this into consideration even if the plot sizes seem sufficient. It is also remarkable that extensions are built, unlike the original structures, with temporary materials. This holds true even to secured tenure forms and implies that training and participation of dwellers in planning and construction processes are vital instruments to sustainable development, as construction and maintenance processes take place step-by-step and through the habitual self-help method. Employed labor. The employed labor and skills have a direct effect on the housing transformation process because this has serious implications on the choice of 8 In many parts of Ethiopia, people are accustomed to organise themselves and pay regular fees every week or month, in which a lottery is drawn each time and the collected money is given to the winner.
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building materials and method of construction. The prevalent tendency to use the wattle and daub construction method, for instance, tends to benefit from self-help besides the lower material price. However, the limited construction skills by the self-help impel the habitual horizontal extensions system which consumes urban land and congests internal and external spaces. These also lead to overcrowding similar to the spontaneous inner city settlement which exposes people to health, physical, and other dangers. Infrastructure and support services. One of the most important services required for housing consolidation is water, which beyond drinking and cooking, is a necessary factor in construction, since building a house in Addis Ababa involves mud or cement and mortar. Proper sanitation and electricity are also important because lack of these poses a health hazard, hinders security and gives a bad image to an area. From the pattern of discussions and observations, it could be said that this is the other factor which limited extension processes in “gerji”. It is customary to pay from five to ten times the amount paid by residents to be connected to the public water supply system. Transformation motives The prevalent motivations of extensions can be summarized as follows: • socio-culturally determined aspirations, • growth of family size, • desire of generating income (subletting, kiosk, stable, local bar, handicraft etc), • response to harsh climatic conditions, and • desire to copy prevalent housing forms. The first three functional requirements remain, however, the primary objectives of residents and determine the forms entirely in the sense that Amos Rapport put socio-cultural values as the determining factor of forms in traditional architecture. Preferences for more space for food preparation and cooking, for sleeping of own family, for subletting and commercial purposes and application of local building materials can be listed first above all aspirations. However, choices of enclosed and covered outdoor spaces in response to harsh climatic conditions and people’s attribution of status or prestige to certain types of materials and house forms have also influenced the transformation form to some extent. There is for instance a strong preference to choose detached houses and strong and permanent materials even if it is beyond their financial capability. Extension qualities Due to several limitations transformations show inefficiencies related to quality and resource uses. For instance, extensions took place horizontally in all cases. Such extensions have a number of disadvan-
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
tages: they consume the limited resources space and wood for roofing, and they require large external surfaces to protect the house unlike the traditional compact huts. Yet, the technical and financial requirements for vertical extensions, in particular for the low income people, can not be met. Extensions made in “gerji” and “kefetegna 17” could be generally viewed as transitional units, while that of “kolfe” are more or less comparable to the average dwelling of the city. Thus, improved construction systems and professional advice that enable such growth must be introduced. Materials used in spontaneous extension processes are not durable and sustainable and householders can not afford to buy durable ones. Alternative building materials that fill the gap between import-based and local materials are, therefore, essential. Lack of lighting, ventilation, blocking of roads and open spaces are very prevalent, especially, in residential areas with narrow and small plots. Overcrowding, with little or no open space and building on sewer lines have also been observed. Such unplanned extensions could similarly overload existing infrastructures which were not meant for such high density. As extensions cannot be blamed solely for this problem, the author believes that neither spontaneous extension activities nor prohibition of these could be an effective response. Efforts are being made to legalize and regularize as well as provide infrastructure and to reduce densities in unplanned areas. But spontaneous extensions in planned areas are resulting in higher densities and lower standards whereby a convergence between planned and unplanned areas could be observed. These should be carefully studied as they may form the basis for the appropriate standard which is not so high as to be unattainable or so low as to yield undesirable effects. Defining streets, corners and open spaces through planned buildings and outlining of part of houses could, for instance, guide self-help activities within the framework of development plans. Methods and general guidelines of extensions should also be devised that lead to adherence to acceptable health and safety standards and concurrently encourage self-initiated improvements. Planning of new estates for low income people should enable future expansions to create more living space and, therefore, sizes of plots, construction methods and extension possibilities of dwellings should be carefully considered before the first element is erected, so that plots and the surrounding neighborhood can accommodate final phases without difficulties later on. Designs should also consider future upgradability of basic structures. They should enable, for instance, in the future the traditional kitchen to be equipped with gas or electric stoves, ovens, modern sinks, etc and latrines to be transformed into flush toilets. In the case of emergency settlement planning, like that of “gerji”, designs should give the possibility of eventual permanence, so that they can be developed into a durable urban entity.
Concluding remarks Despite the inefficiencies, transformation of existing housing provides more shelter than any other form of building in Addis Ababa today. This short overview affirms that the low income group, even under the agonies of limitations, could use their sporadic potentials and make vital improvements to their own houses at no direct cost to the government. They improve their dwellings, provide shelter for their relatives, much better than the public systems could do, and at the same time generate income through subletting extended rooms and using part of the house for informal productive and business activities. All of these activities are achieved on a given plot, which enormously increases the building density and, further, labor-intensive building methods, local skills and materials are used. This testifies, unlike the traditional point of view, that housing is a productive investment. Beyond the functional objectives, the transformations have created a variety of spaces and facades out of uniformity that is supposed to suit an average household. If these spontaneous and individual actions are, however, not technically, logistically and legally supported by the formal sector, the structures would remain inefficient and unsatisfactory resulting in inferior structures. Hence, strategies for tackling housing problems should recognize the social and economic realities and serve this part of the population by; • mobilizing, coordinating and directing9 self-plan and self-build tradition in adherence to acceptable health and safety guidelines and standards rather than absolute prohibitions, • guarantying security of ownership, so that people could invest in their houses, • incorporating the low-income group in allocation and use of resources such as land, affordable building materials and financial resources, • accepting the value of an incremental approach in land allocation regulation and credit system that enables the low-income group to build initially low standard designs using local materials, as they cannot afford to build complete houses at a stroke, and • provision of technical assistance.
Acknowledgement I have the pleasure of recognizing the assistance of Dr Michel Petreck for posing questions which caused me to reassess an earlier version of this paper.
9 This should not be a top-down type. Government involvement should enable the functioning of the informal system.
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References AAMPPO (1984) General Report on Master Plan of Addis Ababa, Addis Ababa Master Plan Project Office, Addis Ababa. Baker, E L et al (1997) Ethiopia Housing Sector Study, Final Report (draft version), Addis Ababa. Belay, T (1985) ‘Housing conditions and problems in spontaneous urban settlements in Addis Ababa’ Dissertation, Technical University of Dresden. Boesch, E E (1980) Kultur und Handlung, Wien. Central Statistical Authority of Ethiopia (1995) The 1994 Population and Housing Census of Ethiopia, Results for Addis Ababa, Central Statistical Authority, Addis Ababa. Colemann, S D and Woldeyes, G (1995) Housing Sector Study, Housing Finance Review prepared for UDSS and MWUD, Addis Ababa. Estifanos, P (1994) ‘Urbanization and urban development policy and strategies’ in Ministry of Planning and Economic Development (MOPED) and United Nations Development Program (UNDP): Proceedings of the Workshop on Basic Principles and Practices of Urban Development Planning in Dessie, pp 304– 336, Addis Ababa. Hardoy, J E and Satterthwaite D (1989) Squatter Citizen, Earthscan, London. Mathey, K (1990) Beyond Self-Help Housing, Mansell/Profil, London/Mu¨nchen. Mitlin, D (1997) Building with credit, housing finance for lowincome group. Third World Planning Review 19, 21–49. Streeten et al (1981) First Things First: Meeting Basic Human Needs in Developing Countries, Oxford University Press. Tipple, A G and Wilkinson, N (1990) ‘Self-help transformation of government-built flats, the case of Helwan, Egypt’ in Mathey K (Ed.), Beyond Self-help Housing, pp. 283–302, Mansell/Profil, London/Mu¨nchen. Turner, J F (1976) Housing by People, London. UNECA (1995) Economic and Social Survey of Africa 1994–95, United Nations Economic Commission for Africa, Addis Ababa. Vliet, V W and Weesep V J (1990) Government and Housing, London. Wendt, S (1987) Zur Wohnungsbauproblematik in Entwicklungsla¨nder. Wissenschaftliche Zeit-schriften des Hochschule fu¨r Architektur und Bauwesens Weimar 33, 101–107. Wendt, S, Wa¨hning, S, Mathey, K, Scaramella, M (1990) ‘Ethiop-
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ia’ in Mathey K (Ed.), Housing Policies in Socialist Third World Countries.
Appendix: general data Ethiopia: Total population: 56 677 100 (1997 estimates) National territory: 1 251 282 km2 Annual population growth rate: 3.0% (1997) Population density: 45.3 inh/km2 Urban population: 15% (1995) Urban population growth: 6.8% (1990–95) GNP/Capita: US$120 Life expectancy: 48 years (m); 50 years (w) 1993 Illiteracy rate: 50% (1992) Addis Ababa: Population: 2.6 million (1997 estimates) Area: 230 km2 Population density: 11 300 inh/km2 Population growth rate: 4.8% (1997 estimates) Average monthly household income: US$62 Minimum wage: around US$20 Basic needs expenditures: US$31 60% of the households incomes are at or around the basic subsistence level Households with income between US$54 and 106 constitute 25% of the total population whereas those with income above US$106 make up about 15%. Climate: Tropical highland: 2400 m above sea level Solar radiation: very strong Average annual temperature: 16.4°C Average minimum temperature: ⫺ 0.7°C Average maximum temperature: 27.3°C Rainfall: maximum in July and August (257 mm with relative humidity up to 92 mm)
Cities, Vol. 15, No. 6, pp. 437–448, 1998 1998 Published by Elsevier Science Ltd. All rights reserved Printed in Great Britain 0264-2751/98 $19.00 ⫹ 0.00 S0264-2751(98)00039-0
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia Demissachew Shiferaw Karlsruhe University, Department of Housing and Settlements Planning, Postfach 6980, D-76049 Karlsruhe, Germany
Transformations of human settlements are very dramatic in cities of the developing countries where, despite the rapid urbanization process and demographic change, housing provisions fall short of demand. This results in continuous transformation of shelters in order to meet basic needs and changing situations. Unlike in the industrialized countries, this is largely accomplished through spontaneous private initiative. Thus, construction of new dwellings and also modification and maintenance of government-owned ones are private concerns. Especially the low-income groups have no alternative other than to use their own sporadic means. Encouragement and coordination of this enthusiasm by the formal sector is, however, scarce. As a component part of a Ph.D. thesis which involved field surveys from March up to July 1997, the following synopsis sketches user-initiated transformations on government-provided low cost houses in Addis Ababa. Information and figures are extracted from three of the studied residential areas and revealed the fact that self-initiated transformation represents a valuable resource for improving the housing conditions of the low income groups 1998 Published by Elsevier Science Ltd. All rights reserved
Context Although direct government provision of low-cost housing has featured in the policies of most developing countries, it has been proved that this sector is unable to address the increasing housing needs of the poor (Turner, 1976, p 98, 102; Hardoy and Satterthwaite, 1989, p 37; Mitlin, 1997, p 21). Such policies directed at actually providing housing are, shortly, inappropriate as they do not stimulate the private sector that may alleviate the seriousness of the housing shortage. Despite this tendency, the vast majority of housing units are being constructed through self-help activities. Due to the inability to make large initial investment on housing and due to the insecurity of tenure, lowincome households build temporary and small housing units which should, with changing family structure and tenure form, be transformed. A household first obtains a plot of land and the material to construct a shack. One or two rooms are then added and developed incrementally in a number of stages. Once it secures legal tenure or is reasonably certain that it 437
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will not be evicted, further constructions and improvements take place using better materials. Along with this, a consistent pattern emerges throughout much of the developing countries. In the case of government-provided units, people subdivide the given room and make extensions in their own ways using materials that suit the local climate and their economic capacity. They bring about subjective inputs on the given structures and make a home out of it. The theory of Boesch (1980, p 65) asserts that the house is the place of central satisfaction which, depending up on the degree it represents this satisfaction, changes from a mere building to a home. The purely objective building gets a new subjective meaning, a content, which makes it a home. Even if government-built low-cost houses are very few in number in Ethiopia, succeeding self-initiated modification and extension on given structures are taking place to the extent that the original structure becomes beyond recognition. In this form, the first unit becomes a core house, subjected to a number of modifications as accommodation needs increase or opportunities for subletting become attractive. The magnitude and quality depends mainly on the ownership status and financial position of inhabitants which impel some to erect very rudimentary extensions and others durable ones. In this process, inefficiencies associated with the spontaneous self-help housing process is prevalent (Mitlin, 1997; Mathey, 1990), but if this is organized and supported by external resources, the transformation initiative could be a very productive input in generating incomes and in contributing to the national economy. In the light of empirical analysis of five cases, the town planner Graham Tipple and the architect Nicholas Wilkinson (Tipple and Wilkinson, 1990, p 284) supported the hypothesis that users can change the functional characteristics of low-income government housing in such a way as to greatly increase the market and use value of the dwelling at no direct cost to government and they suggest that dwellers’ initiative should be encouraged. Likewise, a study carried out in three residential areas in Addis Ababa revealed the fact that extensions to government-provided dwellings represent a valuable resource of improving the housing conditions of the low-income group. The study has explored userinitiated building activities and indicates that the people who are expected to be just consumers of housing are turning out to be providers of housing. Focuses were mainly on the types and varieties of transformations, utilization of spaces, uses of materials and aspiration of inhabitants, which are vital instruments to draw out planning concepts for future programs.
Problem background Urbanization In developing countries, the problem of inadequate housing is closely linked to urbanization processes and demographic growths, in addition to policy errors and lack of resources. Ethiopia is not exceptional to this. Despite the long history of urban settlement which goes back to the Axum Kingdom (AD 200–600), the present level of urbanization in Ethiopia is only 15% of the total population, a figure far below the African average of 30%. This is attributed to the low industrialization activity, low infrastructural development and stagnation of other economic activities. The urban population is, however, growing above an average annual rate of 6.8% (1990–95) per year which is well above the African average of 3%. Distribution of the urban population is, on the other hand, unbalanced. Almost all infrastructural facilities and industrial activities are still concentrated in the capital city, which attracts a large number of migrants and turned it into a typical primate city making up 30% of the country’s urban population. It dominates the urban hierarchy and since for last 3 years, it is 12 times bigger than the second-ranking city.1 Available data indicate that the city grew at 7% in the 1960s, 5% in the 1970s, 4,5% in the 1980s and 1990s. The present population size and average annual growths are estimated at more than 2.6 million and 4.8%, respectively. Recent United Nations projections for the capital city are daunting – it is expected that by the year 2000, its population will have reached 3.1 million, making it the ninth largest city in Africa (UNECA, 1995, p 55). The recent decentralized development tries to abolish this system and extend social infrastructure, housing provisions and a concentration of investment to regional centers, whereby accelerated urbanization in regional towns may be experienced as a consequence. Housing problems In Addis Ababa, the considerable increase of household sizes on the one hand and the unbalanced housing investment on the other has brought about woeful housing deficiencies in both quality and quantity. As some studies show, only 21% of the housing stock meet the definition of acceptable housing (Baker et al., 1997, p 102). In relation to the quantity aspect, the President of Region 14 reported on August 1994 that 57% of the city’s households are homeless and pointed out that, to alleviate the present housing shortage, 10 000 Housing units have to be built per year. Meanwhile, 80% of the population is crowded and live at an average density of 2.6 persons per room2 and every person 1 The second-ranking city up to 1993 was Asmara which is currently the capital city of Eritrea. 2 It includes all rooms except toilet, bath and passage ways.
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has, on average, around 5.4 m2 floor area (GTZ): an occupancy rate that has already exceeded the bearable limit (the average occupancy rate for Sub-Saharan African countries is 6.5 m2 per person). This is the accumulated effect of the pre-1974 private monopoly of urban land and dwellings, and the later nationalization of urban land and extra houses3 which, coupled with the restricted credit policy, price-rises of building materials and salary and wage freezes, led to extreme shortage of housing and deterioration of existing structures. As concerns public-owned houses which share about 57% of all housing units, deterioration is the critical problem. Analysts remark that almost onethird of the total housing stock needs to be totally demolished and around half of them require maintenance. Only 20–25% of the houses are in good or very good condition (Baker et al., 1997, p 78; Colemann and Woldeyes, 1995, Annex-A). This is due to the lack of extensive legal protection of renters and lack of maintenance by the formal sector and confirms the theory that there is a strong link between home ownership and house improvements. But, if the reading of events and change of government attitudes come to implementations and if the transfer of at least a proportion of the government-owned housing stock to private ownership takes place, it will contribute a lot to alleviate the housing problem. The housing situation would have been even more dramatic if some centrally administered housing schemes had not been implemented during the period 1975–92, and the general population growth rate had not declined. The construction of houses through cooperative, aided self-help, low-cost and site and service housing schemes were promoted in this period and different financial mechanisms were implemented to subsidize housing. They have, however, seldom addressed the poor (Belay, 1985, p 42; Gutama, 1994, p 467; Estifanos, 1994, p 312); it usually opened ways to the indirect material flow from the poor to the welloff, because in public housing programs, high construction and administration costs and restrictive credit systems are accessible only to better-off income groups (Turner, 1976, p 102; Hardoy and Satterthwaite, 1989, p 107; Vliet and Weesep, 1990, p 277; Mitlin, 1997, p 33). Such supply systems aimed only at increasing housing stocks are, as labeled by the architect, planner and sociologist Kosta Mathey, “number games”. Housing needs assessment revealed that the low income group shares 63% of the new-housing needs requirement between 1995 and 2000 (Colemann and Woldeyes, 1995, Annex-A). But above 60% of the city population had no permanent work in governmental offices and/or had an income below a certain limit and had absolutely no chance of being incorporated in the subsidized housing market
3 Those units not occupied by the owner himself and that were available to rent.
and standards of services. Thus, it is only through use of innovative credit systems, cheaper and alternative building materials and construction methods and efficient use of urban land that the needy could be addressed. Private initiative is, consequently, the dominant form of housing provision and maintenance of existing housing stocks which holds true for both owner occupancy as well as government-owned ones. Including all means of housing provisions, the city’s total housing stock increased, for instance, from 259 600 to 388 982 between 1984 and 1995, but nearly 80% of the total increase was the result of unplanned housing production (CSA, 1995; Baker et al., 1997, p 60), which confirms that subdivision and extension of existing units is very significant to accommodate the increasing households as new construction fell far short of demand. The design and location of the houses provided through public means were also ill-matched to poorer groups’ needs. They did not accommodate, for instance, income earning activities and other socio-cultural activities in the houses or in the compounds (Wendt et al., 1990, p 247; AAMPPO, 1984), which residents attempt to incorporate at a later stage. Also the current policy of land allocation and housing construction4 has practically eliminated all lowincome households from participating in the housing sector as it urges an advance deposit of 20% of the construction cost (Baker et al., 1997, p 28). Housing finances are not improved either, and there are no strong measures that would encourage institutions to make loans to the low-income group of the housing. Thus, failure to use and mobilize human, financial and material resources appropriately prohibit the majority of the low-income population from having access to shelter. Hence, individual ventures play the biggest role of shelter production and improvement. These are spontaneous and of the habitual self-help type and lack the necessary legislative, technical, financial and logistic support.
Self-initiated transformation of houses Housing stress shows its results in a number of different phenomena in Addis Ababa. Apart from overcrowding, which propels self-help emergency solutions in the form of extending and subdividing existing houses, mushrooming of moonlight houses “ye chereka bet”5 in the periphery is also taking place nowadays. Such occupation of peripheral vacant or agricultural land and extensions and modifications without permission are regarded as unlawful and are 4 There is currently no comprehensive housing policy at the central or regional level. 5 Illegal occupation of land is more or less a recent phenomenon in Addis Ababa. Due to the accumulated effect of the housing shortage people build one-room units overnight “ye cherka bet” when everybody is asleep.
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strictly prohibited. Users’ self-initiated actions lead at worst to demolition of new structures to conform with development plans and/or preserve the layouts of government-provided residential environments. This varies indeed from place to place depending, among other things, on local administrators, location and tenure form. This strict control has ostentatiously hindered squatting activities, however, multiplied overcrowding in existing structures. Even under these limitations people endeavor to shelter themselves and the way they build and improve their houses are clues to the design of low-cost housing and application of appropriate technologies and financial strategies. With this theme, the author investigated over 40 dwelling units in four residential quarters in Addis Ababa, out of which the first three have been selected for this paper.
The cases The areas selected for this paper are “kolfe”, “gerji” and “keftegna 17 kebele 24” – which were, unlike the fourth one, initially built by the government and/or institutions in uniformly and closely spaced grids to provide every household with a single or double room with built-up areas of 13, 21, 26, 35 and 45 m2. These were transformed gradually through self-initiated actions into complex forms and sizes to accommodate more people and different needs. Such transformations are significantly taking place in “gerji” (Figs 1–4), where the original structures were very precarious and the cheapest of all and residents are still paying rents. This residential area is located in a peripheral area6 near the airport and was built in 1986 as an emergency settlement to house displaced inhabitants after their previous settlement area had been claimed by
Figure 1 Original shelter in “gerji” as built in 1986 6 Interestingly, despite its remote location and lack of services, the majority of people prefer to stay in the same settlement area as far as water and electricity supplies and sewerage problems are provided. This brings the habitual product oriented approach “Service, Build and Occupy” into question.
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Figure 2 Current stage: a series of spaces have been created by the addition of rooms and terraces
the airport. Today, it can be said that the settlement is being changed into a durable urban entity. The inhabitants have apparently larger households and much lower incomes than the other two. Ninty-five percent of the household heads and all other male dependents are daily laborers having no permanent employment. Housewives on the other hand generate income by selling milk and local drinks. Since their occupation in 1987, households have modified the houses to cope with the climatic and socio-cultural requirements and the growth in households. These needs have been accommodated by internal ad hoc subdivisions and extension of rooms through several phases until they now cover up to 85% of the 80–130 m2 plot areas which residents have demarcated around them. Today, there are almost two times as many residents in the area and each household has managed to extend the house by an average figure of 21 m2 as planned. The occupation rate of 5.2 m2 per person has changed to 7.7 m2 per person in 10 years, whereas the average rate of the whole city is still below 5.4 m2 per person and that of SubSaharan Africa 6.5 m2 per person. The first action was the replacement of the importbased metal sheet wall with the popular daub and wattle “chika” construction method which was followed by partitioning of existing rooms with light materials and temporary constructions like, bamboo or “chika” walls. Subsequently, new extensions were undertaken to accommodate the growing family number and relatives who, unable to go and live independently, are doubling up with them. Beside this, extensions are intended for subletting and other income generating activities. However, due to the narrow frontage which severely limits the potential extension activities to the back or front yard of the houses, existing openings are absolutely blocked up and new windowless rooms created and thus there is inadequate ventilation and light inside rooms. Replacement of walls with “chika”, addition of roof overhangs to form covered front or back terraces and construction of
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 3 An example of the extension pattern in “gerji” (1986–97): a three-room provisional cubicle (46.6 m2) is replaced by better structure and extended to a total net area of 121 m2
stone bases and fences around houses are on the other side, autochthonous responses to climatic conditions. As concerns the settlement layout, a new pattern has evolved out of the one-room unit grid plan and, beyond the physical transformation (Fig. 4), mixed functions have grown out of the pure residential function: informal shops and bars have been built in front of many houses and stables and other income generating activities have flourished throughout the neighborhood. Despite the fact that lack of infrastructure is critical in the area, private initiated improvements
have not been practiced as this sector is considered to be of public concern. Likewise, fundamental transformation could be observed in “kolfe” (Figs 5 and 6), which was the first actual low-cost housing program to rehouse poor residents from the inner-city slums in the late 1960s and where occupants have completed paying off their housing loans and have full ownership rights. Plots are similarly around 115 m2, which is actually quite sufficient to accommodate one household compared to other self-help houses in cities of developing countries. However, due to the habitual horizontal expansion, no outdoor space is left for activities such as drying of pepper, washing and drying of clothes. And this is the problem faced by inhabitants who still need more rooms but have neither sufficient area nor the technical know-how and financial capability to extend vertically. Extensions have taken place, however, to the extent that no accesses and openings remain, let alone the problem associated with drying of clothes or grains. Motives for extensions are the need for more space for food preparation and cooking, for sleeping of family members and relatives and for subletting purposes. Through such extensions, the occupancy rate has grown from 4.7 m2 living space per person to 6.7 m2 and, on average, every household has added 35 m2 habitable space. Unlike the others, substantial transformations could be observed here which mirrors the ownership status and long year alteration process. Changing the original kitchen’s function and providing a new one on the back side and forming accesses which prevent entry through the main house are, invariably, emphasized in the transformation processes and are attributed to socio-cultural and hygienic grounds. Unlike the original planned structure which is built out of concrete blocks, 63% of the extensions are constructed with indigenous construction method and skill. Social differences have become visible through time. Some families have, for instance, started or intended to construct suspended floor slabs to add a second floor, some have completely changed their houses and have already embellished them, whereas others lack the means even to maintain roof leakage or replace shattered windows. Residents of the Flood Victim Housing Scheme in “kefetegna 17, kebele 24” have been tenants of the Rental Housing Authority since 1981 and undertook, due to the ownership status and strict control, restricted modifications. The allocated plot sizes are around 97 and 140 m2, but only one-third have been built-up. Despite the potential and enthusiasm of inhabitants, expansion of houses was on average 17.2 m2 per household raising the built-up area only to 50%. The occupancy rate has, thus, declined in this special case from a habitable space of 7.5 m2 per person to 5.3 m2, which is attributed, in addition to the tenure form, to the prevalent subletting practice. It was only in a few cases that people attached extensions to the given houses and used permanent materials. Usually rooms 441
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Figure 4 Initial site plan of “gerji” as planned in 1986 and current layout
were built with temporary structures along the longer side of the courtyard (Fig. 7). Due to the inconvenience associated with the location of the toilet and kitchen, residents attempted to form covered ways or created private and semi-private spaces using building parts, trees, shrubs and short fences or changed functions of rooms.
Evaluations and implications of transformations In analyzing housing transformation processes, it is important to identify the transformations undertaken and the factors responsible for the pace, scope and direction of the process. These will help to establish firm bases for future planning. The following sections discuss the major features, factors, motives and qualities of transformations. Major changes The preliminary analysis revealed the following important alterations in the consolidation process. Occupancy rate. Through the self-initiated transformation process, the average occupancy rate of the three areas increased from 5.8 m2 per person to 6.5 m2 per person and this results in an increase of 24.4 m2 442
per household. So, the number of occupants as well as the available areas per head have relatively increased which otherwise would have required two or three plots more. The crowded use of existing plots indicates on the other hand the problem associated with access to land. Functions. The areas which were planned for mere residential purpose, now mix work and home life together. Shops and bars have been built in front of many houses, handicrafts and other income generating activities have flourished throughout neighborhoods. These are vital sources of income and informal trading of skills implying that new urban housing should translate these social cultures to physical environments. However, the author believes that neither spontaneous extension activities nor prohibition of these could be an effective response. Efforts are being made to legalize and regularize as well as provide infrastructure and to reduce densities in unplanned areas. But spontaneous extensions in planned areas are resulting in higher densities and lower standards whereby a convergence between planned and unplanned areas could be observed. Unplanned extensions could overload existing infrastructures which were not meant for such high density. However, since the capacity of all infrastructures
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 6 View of a house in “kolfe” today. Extension took place to the extent that it is difficult to trace the original house and no outdoor space is left in the compound. In this case, the increase in area is more than three times
Figure 5 An example of the transformation in “kolfe” (1970–97): a core house built through an aided self-help scheme has gone through several transformations; net area increased from 26 to 78 m2, whereas occupancy rose from a family of four persons to an extended family of ten
can be exceeded simply through population growth, extension cannot be blamed in isolation. Building materials. Despite the predominant preference of solid houses made of permanent materials, more than 85% of the extensions are constructed out of “chika” wall; a traditional material which none of the projects took into consideration. Even if the scarcity of wood makes this method unreliable, the experience that householders were not able to extend their homes with the same materials and tools as planned brings an argument on the appropriateness and permanent affordability of the first structure. This holds true also to “kolfe” where full ownership rights are secured, but 63% of the householders used the traditional construction method and the rest hollow con-
Figure 7 Extension in “kefetegna 17 kebele 24”. Plot sizes and building layouts allow extensions, but are not pre-planned. In this example, the added structure links the living area and the toilet/kitchen yard and provides a covered path
crete blocks and natural stones. Materials used in such spontaneous extension processes are not durable and sustainable and householders can not afford to buy durable ones. As summed up by Wendt (1987, p 106), construction systems should consider socio-cultural and economic factors of people and make use of existing experiences in traditional materials and technologies. But these should not be seen as static and excluded entities. They have to be rationally developed to suit contemporary conditions. For instance, wood is currently a dwindling resource in Ethiopia, its loss contributing to desertification, and necessitating alternative building materials that fill the gap between import-based ones and the local ones. What is not available cannot be used. Morphologies. Unlike the cases of West or North African countries where rooms are usually arranged around a central courtyard, studies on traditional and spontaneous urban houses of Ethiopia show that most 443
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of the habitable rooms are surrounded by subordinated functions and open spaces. It is very difficult to draw up a typical transformation morphology out of the models registered by the author and confirm the pattern mentioned above, because it is the core house and tenure status that mainly dictated the extension patterns in the study areas (Fig. 8).7 The layout of the core house in “gerji” brought about, for instance, linear development along one axis whereas that of “kolfe” and “keftegna 17, kebele 24” enclosed courtyards. The transformations have, however, many aspects in common. Unlike in South America or North Africa, extension trends are, for instance, invariably in the traditional horizontal way (Fig. 9(a)). Despite the daunting scarcity of urban land and infrastructure, this is widely used in the whole city and indicates the low level of construction technology and know-how of residents and high costs of such structures. Socio-cultural, hygienic and climatic factors have resulted in most cases in changing locations of neatFigure 9 Transformation trends: (a) extension systems within given plot; (b) formation of accesses; (c) subdivision of outdoor spaces
Figure 8 Schematic presentation of extension models 7 The fourth type of housing built by owners without any institutional interference but not discussed in this paper are comparable to the development pattern mentioned above.
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ness and cooking areas to backyards or keeping them out of sight and the creation of accesses which prevent entry through the main houses (Fig. 9(b)). Plots located at corners or those open at the back have invariably been provided with a secondary entrance which enables direct access to the backyard. Also observed was some sort of clustering of extensions. In such cases where there is a verandah extension on the front side or a couple of rooms on the back side, there is a similar extension on the neighboring plot. And in those cases where there is no extension, there is likely no extension on the neighboring plot which suggests that advantage is taken of the party wall. However, neighborhood tolerance affects the location of new rooms as there is no regulation on party walls so far. So, someone may prefer to fill the right wing rather than the left one so as not to quarrel with a particular neighbor. Residents used to carry out much of their housework in visual and verbal contact with neighbors but, with time, plots have been strongly buffered and subdivided into secluded private and semi-private spheres using new building structures, trees, shrubs and fences in order to attain privacy and security (Fig. 9(c)). Except rooms with commercial functions no house is directly accessible from outside even when the building lies on the plot boundary. Regarding room sizes, the underling tendency is to acquire a series of rooms having a minimum size of 7 m2 (Fig. 10) which, sooner or later, permits the formation of shielded outdoor spaces for housework, such as, washing of clothes and utensils, drying of clothes and grains, keeping cattle and handicraft. Except toilets and smoky kitchens, other rooms have
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Figure 10
Most frequently used room sizes Figure 11
no specialized functions (Fig. 11). Extension of the verandah or sheltered yard and provision of ceilings are invariably emphasized in the transformation processes in response to the severe solar radiation and rainfall. Factors influencing transformation Based on the preliminary analysis, the following factors seem to be the most important influences on housing transformations: security of tenure; housing design and construction of the original dwelling; financial sources; infrastructure and support services; and extent to which hired or self-help labor is used. Tenure form. A number of studies have been made on the relationship between housing consolidation and security of tenure and it has been proved that if people are assured security of tenure, they will voluntarily improve their dwellings to the fullest extent that they
Examples of space utilization
are capable of. However, if people feel insecure, they refrain from making improvements even if they have the means (Streeten et al., 1981, p 144). This is, thus, the basic reason for the fundamental variance of transformation processes between the three residential areas and confirms the above theory. Extensive alterations are observed in Kolfe as compared to Gerji and kefetagna 17 which is attributed, beyond the longer period of consolidation, to the private ownership status. This refers to both quality and quantity aspects. The amount of construction in more permanent dwellings and the increase in floor area are higher in kolfe. Financial sources. The survey results revealed that few have regular incomes and due to collateral requirements, almost 90% of the inhabitants in “gerji” and “keftegna 17 kebele 24” are ineligible for a loan. 445
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
Despite the tenurial security in “kolfe”, which confers value on the property and allows owners to use land and houses as collateral for loans, no one has taken a bank credit up till now. Even under weak economic situations, financial sources for house improvements are private savings and use of self-help labor which is an important component to avoid 20–30% additional overheads that comes from elimination of public fees and licenses, professional fees, profits and interests. In some cases “ekubs”8 and in others informal activities (such as subletting, kiosk, stable, local bar, etc.) assist the extension activities considerably and reaffirms, on the other hand, the view of Streeten that access rather than affordability is the critical issue of housing provision for low-income groups in urban centers (Streeten et al., 1981, p 144). Renting a portion of the house or extended unit is an important source of income for the kolfe and kefetegna 17 families which is attributed to the favorable location and infrastructure facilities. Such types of existing social organizations could ease acquisitions of financial, material and human resources. It could also be a tool to coordinate and promote expansion and improvement of existing structures. Original dwelling. The initial housing type is an important determinant of transformation pattern. It influences residents’ choice of building materials and firms up the use of space in that the location and form of the given unit would dictate where extensions would be located. Even if no complete rejection of the core house has been experienced, it has been found out that one household has knocked down the core house and started from scratch. The influence of the original building on the extension patterns could be explicitly read in all cases. It was only in the case of the “kolfe” housing scheme that a step-by-step development was considered, but only in a few cases have residents followed the proposed extension system. The other two areas did not take this into consideration even if the plot sizes seem sufficient. It is also remarkable that extensions are built, unlike the original structures, with temporary materials. This holds true even to secured tenure forms and implies that training and participation of dwellers in planning and construction processes are vital instruments to sustainable development, as construction and maintenance processes take place step-by-step and through the habitual self-help method. Employed labor. The employed labor and skills have a direct effect on the housing transformation process because this has serious implications on the choice of 8 In many parts of Ethiopia, people are accustomed to organise themselves and pay regular fees every week or month, in which a lottery is drawn each time and the collected money is given to the winner.
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building materials and method of construction. The prevalent tendency to use the wattle and daub construction method, for instance, tends to benefit from self-help besides the lower material price. However, the limited construction skills by the self-help impel the habitual horizontal extensions system which consumes urban land and congests internal and external spaces. These also lead to overcrowding similar to the spontaneous inner city settlement which exposes people to health, physical, and other dangers. Infrastructure and support services. One of the most important services required for housing consolidation is water, which beyond drinking and cooking, is a necessary factor in construction, since building a house in Addis Ababa involves mud or cement and mortar. Proper sanitation and electricity are also important because lack of these poses a health hazard, hinders security and gives a bad image to an area. From the pattern of discussions and observations, it could be said that this is the other factor which limited extension processes in “gerji”. It is customary to pay from five to ten times the amount paid by residents to be connected to the public water supply system. Transformation motives The prevalent motivations of extensions can be summarized as follows: • socio-culturally determined aspirations, • growth of family size, • desire of generating income (subletting, kiosk, stable, local bar, handicraft etc), • response to harsh climatic conditions, and • desire to copy prevalent housing forms. The first three functional requirements remain, however, the primary objectives of residents and determine the forms entirely in the sense that Amos Rapport put socio-cultural values as the determining factor of forms in traditional architecture. Preferences for more space for food preparation and cooking, for sleeping of own family, for subletting and commercial purposes and application of local building materials can be listed first above all aspirations. However, choices of enclosed and covered outdoor spaces in response to harsh climatic conditions and people’s attribution of status or prestige to certain types of materials and house forms have also influenced the transformation form to some extent. There is for instance a strong preference to choose detached houses and strong and permanent materials even if it is beyond their financial capability. Extension qualities Due to several limitations transformations show inefficiencies related to quality and resource uses. For instance, extensions took place horizontally in all cases. Such extensions have a number of disadvan-
Self-initiated transformations of public-provided dwellings in Addis Ababa, Ethiopia: D Shiferaw
tages: they consume the limited resources space and wood for roofing, and they require large external surfaces to protect the house unlike the traditional compact huts. Yet, the technical and financial requirements for vertical extensions, in particular for the low income people, can not be met. Extensions made in “gerji” and “kefetegna 17” could be generally viewed as transitional units, while that of “kolfe” are more or less comparable to the average dwelling of the city. Thus, improved construction systems and professional advice that enable such growth must be introduced. Materials used in spontaneous extension processes are not durable and sustainable and householders can not afford to buy durable ones. Alternative building materials that fill the gap between import-based and local materials are, therefore, essential. Lack of lighting, ventilation, blocking of roads and open spaces are very prevalent, especially, in residential areas with narrow and small plots. Overcrowding, with little or no open space and building on sewer lines have also been observed. Such unplanned extensions could similarly overload existing infrastructures which were not meant for such high density. As extensions cannot be blamed solely for this problem, the author believes that neither spontaneous extension activities nor prohibition of these could be an effective response. Efforts are being made to legalize and regularize as well as provide infrastructure and to reduce densities in unplanned areas. But spontaneous extensions in planned areas are resulting in higher densities and lower standards whereby a convergence between planned and unplanned areas could be observed. These should be carefully studied as they may form the basis for the appropriate standard which is not so high as to be unattainable or so low as to yield undesirable effects. Defining streets, corners and open spaces through planned buildings and outlining of part of houses could, for instance, guide self-help activities within the framework of development plans. Methods and general guidelines of extensions should also be devised that lead to adherence to acceptable health and safety standards and concurrently encourage self-initiated improvements. Planning of new estates for low income people should enable future expansions to create more living space and, therefore, sizes of plots, construction methods and extension possibilities of dwellings should be carefully considered before the first element is erected, so that plots and the surrounding neighborhood can accommodate final phases without difficulties later on. Designs should also consider future upgradability of basic structures. They should enable, for instance, in the future the traditional kitchen to be equipped with gas or electric stoves, ovens, modern sinks, etc and latrines to be transformed into flush toilets. In the case of emergency settlement planning, like that of “gerji”, designs should give the possibility of eventual permanence, so that they can be developed into a durable urban entity.
Concluding remarks Despite the inefficiencies, transformation of existing housing provides more shelter than any other form of building in Addis Ababa today. This short overview affirms that the low income group, even under the agonies of limitations, could use their sporadic potentials and make vital improvements to their own houses at no direct cost to the government. They improve their dwellings, provide shelter for their relatives, much better than the public systems could do, and at the same time generate income through subletting extended rooms and using part of the house for informal productive and business activities. All of these activities are achieved on a given plot, which enormously increases the building density and, further, labor-intensive building methods, local skills and materials are used. This testifies, unlike the traditional point of view, that housing is a productive investment. Beyond the functional objectives, the transformations have created a variety of spaces and facades out of uniformity that is supposed to suit an average household. If these spontaneous and individual actions are, however, not technically, logistically and legally supported by the formal sector, the structures would remain inefficient and unsatisfactory resulting in inferior structures. Hence, strategies for tackling housing problems should recognize the social and economic realities and serve this part of the population by; • mobilizing, coordinating and directing9 self-plan and self-build tradition in adherence to acceptable health and safety guidelines and standards rather than absolute prohibitions, • guarantying security of ownership, so that people could invest in their houses, • incorporating the low-income group in allocation and use of resources such as land, affordable building materials and financial resources, • accepting the value of an incremental approach in land allocation regulation and credit system that enables the low-income group to build initially low standard designs using local materials, as they cannot afford to build complete houses at a stroke, and • provision of technical assistance.
Acknowledgement I have the pleasure of recognizing the assistance of Dr Michel Petreck for posing questions which caused me to reassess an earlier version of this paper.
9 This should not be a top-down type. Government involvement should enable the functioning of the informal system.
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Appendix: general data Ethiopia: Total population: 56 677 100 (1997 estimates) National territory: 1 251 282 km2 Annual population growth rate: 3.0% (1997) Population density: 45.3 inh/km2 Urban population: 15% (1995) Urban population growth: 6.8% (1990–95) GNP/Capita: US$120 Life expectancy: 48 years (m); 50 years (w) 1993 Illiteracy rate: 50% (1992) Addis Ababa: Population: 2.6 million (1997 estimates) Area: 230 km2 Population density: 11 300 inh/km2 Population growth rate: 4.8% (1997 estimates) Average monthly household income: US$62 Minimum wage: around US$20 Basic needs expenditures: US$31 60% of the households incomes are at or around the basic subsistence level Households with income between US$54 and 106 constitute 25% of the total population whereas those with income above US$106 make up about 15%. Climate: Tropical highland: 2400 m above sea level Solar radiation: very strong Average annual temperature: 16.4°C Average minimum temperature: ⫺ 0.7°C Average maximum temperature: 27.3°C Rainfall: maximum in July and August (257 mm with relative humidity up to 92 mm)