MASTERS/PHD RESEARCH PROPOSAL FORM (HUMAN AND SOCIAL SCIENCES) PLEASE NOTE THAT THE FORM MUST BE COMPLETED IN TYPED SCRIPT. HANDWRITTEN APPLICATIONS WILL NOT BE CONSIDERED SECTION 1: PERSONAL DETAILS 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 Full Name & Surname of Applicant : Title (Ms/ Mr/ Mrs/ Dr/ Professor : Applicants gender : Applicants Race : Student Number : School : College : Campus : Existing Qualifications : Nondumiso Lethukuthula Moseya Ms Female African 213518036 Built Environment Howard College UKZN Bachelor of Social Science Housing 1.10 Proposed Qualification for Project : Masters in Housing 2. Contact Details Tel. No. Cell. No. e-mail Postal address : : : : N/A 0611408595 213518036@stu.ukzn.ac.za 14 Palmer Road Richmond Crest Pietermaritzburg 1 Proposal for: PhD Thesis: Dissertation Coursework Dissertation Short Dissertation Treatise 100% 100 000 words 384 credits 100% 40 000 words 192 credits 66.6% 28 000 words 128 credits 50%) 20 000 words 96 credits 33.3% 14 000 words 64 credits □ □ □ □ □ In the case of coursework degree, provide a brief description of degree programme: (e.g., nature of degree, number and names of modules passed) Each research proposal should be submitted together with a fully completed Contract between Supervisor and Candidate. We are satisfied with the academic merit and viability of the proposal and research project, subject to ethical clearance: 1 Supervisor: Name:...Claudia Loggia............................................ Signature:.............................................Date:.................................. 2. Academic Leader (Discipline): Name:........................................................Signature:...........................................Date:.................................... 3. Academic Leader (Research) Name:...........................................................Signature:..........................................Date:................................... 3. SUPERVISOR/ PROJECT LEADER DETAILS NAME 3.1 Claudia Loggia TELEPHONE NO. EMAIL 0312603144 DEPARTMENT / INSTITUTION Loggia@ukzn.ac SoBEDS .za 3.2 3.3 2 QUALIFICATIONS PhD Project title (40 words) Assessing the limitations in the implementation of the Enhanced People’s Housing Process (EPHP): the case study of Vulindlela area of Msunduzi. ---------------------------------------------------------------------------------------------------------------------------------------------------2.2. Brief motivation/Background (200 words) According to Gumbo, (2015) housing has for so long been regarded as one of the basic human rights, just like food and water. However, governments in the developing countries at national, provincial and local levels have been struggling to provide adequate housing in terms of quality and quantity. This results in the majority of the urban poor taking a self-building initiative as a solution to their housing problems. This self-building initiative, in most cases, results in houses that fall out of the stipulated quality and legal frameworks. Therefore, according to Turner, (1976) the only possible approach to this challenge is for the government to provide the necessary support to the urban poor, thereby allowing them to develop their own solutions to their housing problem through such an approach commonly known as self–help housing. Different delivery mechanisms have been put in place to try to minimize the hosing backlog. The implementation of such mechanisms have not been as successful as envisioned. For the purpose of this proposal, the enhanced peoples housing programme, which is a form of aided self-help housing, will be assessed to identify the limitations in the implementation using the case study of Vulindlela. The Vulindlela-enhanced People’s Housing Process (PHP) Project was initiated in the rural Msunduzi Municipality near Pietermaritzburg, with a target of building 25 000 houses within a five-year period. By May 2012, 6 000 had been completed (Human Settlements, 2012/13). However, families that were set to benefit from the Vulindlela Development Association (VDA) housing project in Pietermaritzburg waited four years from the time the development began for their homes to be completed (Ngubane, 2017). The R2.1 Billion housing project in rural Vulindlela in the Msunduzi Municipality was approved by the department of Human Settlements in 2011. The beneficiaries of the project believe that construction of about 700 houses stopped as a result of the poor quality of the structures. Many of these homes remained incomplete, some without roofs, windows, and doors or cement slabs (Ngubane, 2017). The majority of land in Vulindlela is owned by the Ingonyama Trust Board. The five Traditional Councils in and around Vulindlela are responsible for land allocation while the Msunduzi Municipality is responsible for land use management (Msunduzi Municipality, 2016). Owing to the history of Vulindlela, a traditional form of land use has been practiced in the area for many years. Increased demands for access to land and limitations on areas available, has resulted in traditional structures having had little option but to allocate agricultural land for new settlement development. This has led to the increasing loss of land for productive agriculture in Vulindlela and urban encroachment into open space areas (Msunduzi Municipality, 2016). The Vulindlela community established the Vulindlela Development Association (VDA), who applied to the KwaZulu Natal MEC of the Department of Human Settlements, for approval. The Vulindlela EPHP project was approved for a 3 total of 25 000 units, initially planned to be implemented over 5 years. The project is undertaking to construct the 25 000 units, in all 9 wards within the Vulindlela Traditional Council, that is under 5 amakhosi; iNkosi NW Zondi, Late iNkosi SG Zondi, iNkosi ES Zuma, iNkosi S Mlaba and iNkosi MSP Ngcobo (Msunduzi Municipality, 2016).. Motivation The motivation for this study is to understand how far the programme has been implemented in practice from the year it was adopted and further identify its shortcomings and their causes. It also sparked interest on how the government is involved in the EPHP. The motivation behind researching further on EPHP is to focus on the community’s involvement in building their houses to achieve sustainable housing. As the EPHP is a people centred process in which groups and individuals exercise direct control over delivery in a way that promotes choice over location, tenure, housing, services and amenities. Through EPHP, people design and manage their developmental resources to build sustainable human settlements ---------------------------------------------------------------------------------------------------------------------------------------------------2.3. Review of Literature (400 words) Neoliberal Theory This theory is important because it is the dominant ideology shaping our world today‟, it is how development is driven. Neoliberalism suggests the reduction of the state role in the economy in providing social welfare, managing economic activities and regulating international commerce (MacEwan, 1999). In terms of economic liberalism, the state should roll back from intervention in the economy and instead leave as much as possible up to individual participation in free and self-regulated markets. Therefore under Neoliberism the economic market becomes about adjusting to and accommodating the market rather than to changing, controlling and manipulating the market for the public good (Peck, 2004) Turners Neoliberal Approach According to Hurchzermeyer, (2002) the key protagonist of self-help housing was John Turner, who looked at it from a phenomenological, non-structural point of view, emphasising its use value. Concerning the housing process, the neoliberal discourse theorises on the shift from direct involvement to non-interference on the part of government in housing delivery. The basis on which the roll-back of government is founded is a belief that it will bring about support for self-help housing. Due to the public sector’s failure to provide adequate housing solutions to low income or poor households, advocates of neoliberalism advocate for the government’s role to shift from provider to enabler or supporter, allowing a greater function to be performed by private sector development (Peck and Tickell, 2002). Available literature specifies that self-help housing has become highly favourable. In the South African context, the BNG has promoted self-help housing, whereby municipalities act as supporters. The EPHP, which is the focus of this dissertation, supports the tenets of neoliberals as it enables/encourages communities to actively contribute and participate in the housing development process so that communities take ownership of the process and not just act as passive recipients of housing area to create a sustainable builtenvironment a typical inherent of neoliberalism in urban development. Using Turners approach can help South Africa’s 4 goal of reaching sustainable development as the beneficiaries of the EPHP are involved from the onset and therefore can be involved in the decision making processes which allow for the development to be more sustainable through their participation. Freedom to build thus increasing the value of the house to the user, this in turn makes the user more concerned and therefore takes better care and makes them more responsible over the upkeep of the house Conceptual Framework 1. Self-Help Housing The Urban Sector Network (Built Environment Support Group, 1998: 3) identifies three forms of self-help: Spontaneous unaided mutual help: a group of people or families work together to satisfy their housing needs without outside assistance. Aided self-help: people or household, work as individuals to satisfy their housing needs receiving any form of assistance from the private sector, government, NGOs or a combination thereof. Aided mutual help: families work together in groups helping each other to build their houses with supervision from any external body. Tomlinson, (1999, 286) states that on paper, the South African housing policy was intended to state assisted self-help, or ‘progressive housing ‘as the first post-apartheid Minister of Housing, Joe Slovo referred to it. This further exempts Turner’s supporter paradigm as a shift away from the provider paradigm that was previously used in South Africa. Napier (2003) considered the way formal housing delivery is structured in South Africa as the major obstacle to selfhelp housing. While the new housing strategy (BNG) puts in place some instruments that could be beneficial to selfhelp housing e.g. Development of sustainable human settlements, promotion of densification, urban renewal, informal settlements upgrading, area wide upgrading, in situ upgrading, communal security of tenure, increase in use of PHPincluding redefinition, new funding mechanism and institutional building (Department of Housing, 2004; 12, 17 and 18), there is fundamental tensions that need to be ironed out, for these to succeed. EPHP falls under aided self-help as it involves the community coming together to build their own houses with the additional help of government who acts as an external body. 2. Incremental Housing According to the National Upgrading support programme, (2015) Incremental housing is defined as a step-by- step process of building and upgrading a house. It is also referred to as housing consolidation, and it goes by other, different names, such as starter housing, phased-development housing or owner-driven housing. Basically, incremental housing is a process whereby households build and extend their houses on an ad hoc basis in response to their needs and the availability of resources. Incremental Housing is the most common strategy of the informal sector to overcome the problems of insufficient unit size and customization of housing units to individual needs and expectations (Afshar, 1991). 3. Community Participation Community participation can be understood as the direct involvement of the citizenry in the affairs of planning, governance and overall development programmes at local or grassroots level (Mafukidze, 2009: 12). The EPHP is centred on involving people in the process of building their own homes, having community participation at the centre of development. According to the department of Human Settlements (SA, 2009: 12) the South African government 5 seeks to create an enabling environment in which the human settlement process is people-centred. Thus promoting the community’s involvement which improves housing opportunities and creates sustainable human settlements. Senyal (2008:227) a preoccupation with community participation and a bottom-up approach could imply a disregard for planning at the top which remains a critical institutional mechanism for initiating change. 4. Breaking New Ground on social housing According to the Department of Housing (2004) The Breaking New Ground plan, which is a comprehensive plan for the development of sustainable human settlements, a range of housing instruments were developed to respond to the policy imperatives. existing instruments will be supplemented by additional instruments to provide flexible solutions to demand-side needs. The PHP is one of those instruments which will be used to respond positively and proactively to processes of informal housing development which are taking place across the country. Under PHP there is: Redirecting the People’s Housing Process - Housing authorities at all levels are moving in the direction of increased use of the People’s Housing Process (PHP). The thinking behind this expansion is however contradictory. On the one hand, PHP is promoted as it provides residents a greater choice over the use of their subsidy. This generates positive housing outcomes, increased beneficiary input, and greatly enhances beneficiary commitment to those outcomes. Thus, the PHP achieves its two main goals of ‘more for less’ and improved beneficiary commitment to housing outcomes by increased productivity through ‘intellectual equity’ (not primarily cost reduction through ‘sweat equity’), and by increasing beneficiary ‘ownership’ through the exercise of considered choice (not by forcing beneficiaries to provide free labour) This ‘sweat equity’ approach to the PHP tends to undermine the key benefits of the approach. The current approach towards PHP is thus essentially contradictory (Department of Housing, 2004). The new plan introduces the following interventions: Redefining the Peoples Housing Process – There is a need to redefine the nature, focus and content of PHP in order to build greater consensus and understanding between all stakeholders of the focus and intention of PHP. This is intended to address the emerging programmatic contradictions (Department of Housing, 2004). New funding mechanism for PHP – There is a need to establishing a new funding mechanism for PHP, adopting an area-wide or community, as opposed to individual approach. In particular, this revision should ensure that resources and support for beneficiary-level capacity building and organization building are made available to beneficiaries from local government via CBOs and NGOs in accordance with locally constructed social compacts (Department of Housing, 2004). Institution Building – The existing framework for the development of institutional support for the PHP is insufficient. This aspect is to be addressed during the redefinition phase and consideration will also be given to establishing accreditation and institutional support mechanisms whilst expanding and enhancing the existing facilitation grant in support of PHP (Department of Housing, 2004). 6 It is important to interrogate the policy frameworks of the Peoples Housing Programme in order to gain further understanding of the Enhanced Peoples housing programme and therefore be able to identify if the issue emanated from the policy or if the challenges that are faced are on ground. ----------------------------------------------------------------------------------------------------------------------------------------------------2.4. Location of the Study (For Empirical Studies Only) (100 words) Vulindlela is situated to the west of Pietermaritzburg and northwest of the Greater Edendale area. It is one of four management areas within Msunduzi and totals 40% of the municipal land area, covering approximately 25 000 hectares. It has the second highest population and accommodates 85 000 housing structures or 161 562 people (Vulindlela local Area plan, 2016). Vulindlela has nine wards and is a predominantly rural traditional settlement administered by Ingonyama Trust. It is considerably less developed and less economically active than the other management areas in Msunduzi. The land use comprises a pattern of scattered settlement, grazing land, cultivated lands (both large individually managed and farmed areas and smaller irrigated community gardens), pockets of indigenous forest and some major timber plantations (Vulindlela local Area plan, 2016). According to Vulindlela local Area plan, (2016) As a consequence of its location in this municipality and the fact that it formed part of the ex-homeland of KwaZulu-Natal, the area and its people have remained under-developed. This translates into high levels of unemployment, poor levels of education, a youthful population profile and limited access to income generating opportunities. Households located in Vulindlela have access to basic levels of utility services in the form of potable water, VIP sewerage, electricity and roads with limited access to a broad band network (Vulindlela Local area plan, 2016). The area was chosen for EPHP development however the implementation was not what was expected as many of the houses were left either unfinished or dilapidated (Vulindlela Local area plan, 2016). Map 1: Pietermaritzburg Map Source: (MHP Geomatics: 2018) 7 Map 2: Vulindlela locality map Source: Msunduzi GIS: 2018 ---------------------------------------------------------------------------------------------------------------------------------------------------2.5. Objectives Aim To analyse the limitations in the implementation of the EPHP in Vulindlela Objectives 1. To assess the actual role and responsibilities of communities within the EPHP 2. To Determine the key Stakeholders and assess their involvement 3. To analyse the limitations in the implementation of EPHP 4. To analyse the beneficiary’s involvement in the implementation of the ePHP 5. To provide Municipalities with insight of household benefits and expectations -----------------------------------------------------------------------------------------------------------------------------------------------------2.6. Questions to be asked Main question The overriding research question is: “What are the limitations to the implementation of the EPHP?” For the purposes of this report, I will break down my research questions into the following: Subsidiary questions 1. What are the main responsibilities of the community during the process? 2. Who are the stakeholders that are involved? 3. What have been the limitations in the implementation of the EPHP? 4. To what extent are the beneficiaries involved in the implementation? 5. How to facilitate communication between local community, NGO’s and municipality? ---------------------------------------------------------------------------------------------------------------------------------------------------- 8 2.7. Research Methods / Approach to Study (400 words) Research approach This study mainly adopts a qualitative approach to research. Creswell (1997: 39) defines qualitative research as an “inquiry process of understanding, based on distinct methodological traditions of inquiry that explore a social or human problem”. A case study that have been involved with ePHP projects in Pietermaritzburg, Vulindlela settlement, will be analyzed. The reason behind Qualitative Research: This research study will be conducted within a qualitative research method to allow; direct investigation of the natural social setting of the mixed-use area in Vulindlela and its people. The background for the case study was compiled from research reports, journals, books and newspapers. Further research will be conducted with targeted interviews with all stakeholders involved in the project, these being both the beneficiaries and external stakeholders. The research activity will entail conducting in-depth interviews with 20 beneficiaries that have not had their houses properly delivered. Data Collection Primary and Secondary data will be used to collect data for the purpose of this research. The Primary Data Sources will include semi-structured Interviews with key Informants and Residents; a total of: 30 Respondents will be interviewed. The main Objective of this is to determine the main factors that limit the implementation of ePHP. The key Informants that will be interviewed will include Municipal Informants. The second Objective is to identify the challenges associated with ePHP and the main Informants here will include Municipal officials and the residents of Vulindlela. Secondary Sources of Data will be used to gather information that will help to inform the study based on the research topic. The nature of information will include theories and approaches that explain the roles of the various stakeholders in the EPHP. Information will be obtained from a variety of written material: government policy documents, books, journal articles, published and unpublished articles, internet and other publications, to inform the study based on what had been written before on the subject of EPHP. Observation will also be vital in conducting this research as it will enable the researcher to learn what is taken for granted in a situation and to discover what is going on by watching and listening. This involves Participant observation and Nonparticipant observation Field notes (also photographs, video). Sampling methods Sample Size There are 200 houses that will be chosen in a certain section of the Vulindlela Area that has been developed using the EPHP. Altogether 30 Participants will be chosen, 20 from the Vulindlela, 5 from the Municipality and from the NGO. Non-Probability (Purposive) sampling approach will be used where Participants shall be selected for a particular reason, the reason will be the position and role the participants play in the field of the research. This will include the beneficiaries, the Municipality, NGO involved and the community leaders. Semi-structured Interviews with key Informants & Residents will be conducted. A total of 30 Respondents will be selected to conduct the interviews. The key objective of these interviews is to determine the main factors that limit the implementation of the ePHP. 9 Nonprobability (Purposive) Sampling According to Chaturvedi (n.d) Any sampling method where some elements of population have no chance of selection (these are sometimes referred to as 'out of coverage'/'undercovered'), or where the probability of selection can't be accurately determined. It involves the selection of elements based on assumptions regarding the population of interest, which forms the criteria for selection. Hence, because the selection of elements is nonrandom, nonprobability sampling not allows the estimation of sampling errors. Palys (2008) states that purposive sampling is virtually synonymous with qualitative research. Specific objectives and interests characterize qualitative research. He further states that Particular people or groups feel particular ways, the process by which these attitudes are cxonstructed, anf the role they play in the processes withing the organisation or group. Embedded in this is the idea that who a person is and where that person is located within a group is important, unlike other forms of research where people are viewed as essentially interchangeable. It is for this very reason that stakeholder sampling. Stakeholder sampling is particularly useful in the context of evaluation research and policy analysis, this involves identifying who the major stakeholders are who are involved in designing, giving, receiving, or administering the program or service being evaluated, and who might be affectedc by it. The sampling method that will be used in this study will be Simple random sampling because this gives Every member of the population being studied an equal chance of being selected. Interviews: Key Informants Interviews are included to obtain additional data, clarify vague statements, permit further exploration of research topics, expand on the qualitative findings and yield a more in-depth experiential account of the extent of mixed income housing as a mechanism, for social integration (Patton and Cochran, 2002). The key informants for this study will be interviewed face to face in order to understand how the EPHP took place from start right till the implementation and give the interviewer a chance to probe and ask more in-depth questions. Data Analysis Qualitative Data constitutes a large amount of data that may vary and consist of a lot of themes. Thus making it hard to organize, transcribe and analyze the data. However thematic analysis makes it easier for the researcher to use the data that has been collected and transform it to a meaningful representation of their findings (Braun, 2006). Thematic analysis will include a narrative report to report on data that will be collected and allow for the drawing of conclusions, organizing it and searching for patterns. Direct quotes will be extracted to support statements made in the study. This will be easier since there will be recordings of the interviews. The research objectives will be used as themes and sub-themes will then be formed under the themes. Braun and Clarke (2006) state steps that can be undertaken to execute thematic analysis. These steps include. The first step requires immersive reading and re-reading in order to fully code ideas and themes. In a case where there is verbal data collected, such as the intended research, transcription will be done. Bailey (2008) further states that the detail within the transcription solely rests on the research objectives. These objectives guide what part of the verbal data needs to be included in the transcription which includes writing out verbal and nonverbal conversation held during 10 data collection. This requires the researcher to be mindful of punctuation and correct notation if they are following a specific form of transcription. Following the initial coding of semantic and latent themes, it is important for the researcher to then review the coding and identify the important themes and further review the themes until only the relevant themes remain. Once the final themes and sub themes, where necessary, are noted, the report of data will be presented (Braun and Clarke, 2006) 2.8. Validity, Reliability and Rigour: Kvale (1995) states that the concepts of validity and rigour are integral to any review of a research process. These concepts require a measure of re-evaluation when applied to qualitative research. The proposed study attempts to analyse limitations that the enhanced people’s housing project faced throughout the implementation process. This is important to assess as it could aid in identifying the challenges that are caused in the implementation process of such projects. The proposed study will be of sound research methods which will in no way be oblivious of the participants of this study, whether it be officials or the beneficiaries of the social housing projects to be assessed. The research will ensure that a level of professionalism will be adhere to when the knowledge of sources are gathered Limitations to my study The anticipated problems in the Vulindlela study could mainly have to do with the gathering of information from not only the stakeholders (NGO’S and Government) on their views and perceptions but also the beneficiaries which are the Vulindlela community. This is Due to the political rivalry and fear. To mitigate the limitation, information from written documents and interviews from primary sources of data. Another limitation of the study related to obtaining detailed background information on government involvement in the Vulindlela project. Another alternative to this limitation is to get information from interviews with the Housing Association that was involved from project conception to the end As the proposed study follows a qualitative research approach, involving the use of the semi-structured interview as the primary method. It involves a preliminary descriptive examination of the involvement of the beneficiaries and the stakeholders in the implementation of the EPHP. It will be limited to no more than 30 subjects at one because of the time constraints involved in interviewing and subsequent data analysis. Thus not allowing for full range or in depth knowledge of the actual occurrence of events during implementation 11 2.9. Proposed work plan STEPS Ethical Clearance Chapter 1 Chapter 2 Chapter3 On site Data Collection Chapter 5 and 6 Final Dissertation submission 2.10. DATES March 2019 April 2019 May 2019 June 2019 July/August 2019 September 2019 Cost Estimate Proposed Activities Costs Travel costs R1500 Printing R1200 Professional Editing (External) R2500 Binding R600 Total: R5800 --------------------------------------------------------------------------------------------------------------------------------------------------------2.11. Anticipated Problems/Limitations The anticipated problems in the Vulindlela study could mainly have to do with the gathering of information from not only the stakeholders (NGO’S and Government) on their views and perceptions but also the beneficiaries which are the Vulindlela community. This is Due to the political rivalry and fear. To mitigate the limitation, information from written documents and interviews from primary sources of data will be used but also the names and personal information of the participants will be protected. No questions that would be of any harm will be asked to avoid any political conflicts. 12 2.12. References Bailey, J. (2008). First steps in qualitative data analysis: transcribing. Family practice. 25, 127-131. Braun, V. and Clarke, V (2006) Using thematic analysis in Psychology. Qualitative research in psychology 3(2), 77101 Department of Housing (DoH) (2004). Breaking New Ground: A comprehensive plan for the development of sustainable human settlements. South Africa Cabinet approved document (Pretoria, RSA Department of Housing). Gumbo, T. (2014b). The Architecture that Works in Housing the Urban Poor in Developing Countries: Formal Land Access and Dweller Control, AISA Policy Brief, 105, South Africa NDHS (National Department of Human Settlements), http:/ /www.dhs.gov.za/content/human-settlements-20-yearbook (2014). Celebrating 20 Years of Human Settlements: Bringing the Freedom Charter to Life. Pretoria, and Republic of South Africa Harris, R. (1998). The Silence of the Experts: “Aided Self-help Housing Development Agency (HAD) (2013). Reviving Our Inner Cities: Social Housing and Urban Regeneration in South Africa. Housing”, 1939-1954. Habitat International, 22(2), 165-189. Huchzermeyer, M. (2001). Housing the poor? Negotiated housing Policy in South Africa, Habitat International (25), 330-331. Human Settlements (2012/13) Pocket Guide to South Africa Msunduzì City Development Strategy (2014): Draft Discussion Document National Upgrading Support Programme (2015). 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