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Full Name & Surname of Applicant :
Title (Ms/ Mr/ Mrs/ Dr/ Professor
Applicants gender
Applicants Race
Student Number
Existing Qualifications
Nondumiso Lethukuthula Moseya
Built Environment
Howard College
Bachelor of Social Science Housing
Proposed Qualification for Project
Masters in Housing
Contact Details
Tel. No.
Cell. No.
Postal address
[email protected]
14 Palmer Road
Richmond Crest
Proposal for:
PhD Thesis:
Coursework Dissertation
Short Dissertation
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:
Name:...Claudia Loggia............................................
2. Academic Leader (Discipline):
3. Academic Leader (Research)
3.1 Claudia Loggia
[email protected] SoBEDS
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.
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
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)..
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
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,
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
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,
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
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).
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.
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)
Map 2: Vulindlela locality map
Source: Msunduzi GIS: 2018
To analyse the limitations in the implementation of the EPHP in Vulindlela
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
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?
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
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,
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.
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
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
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)
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
Proposed work plan
Ethical Clearance
Chapter 1
Chapter 2
On site Data Collection
Chapter 5 and 6
Final Dissertation submission
March 2019
April 2019
May 2019
June 2019
July/August 2019
September 2019
Cost Estimate
Proposed Activities
Travel costs
Professional Editing (External)
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.
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
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),
Human Settlements (2012/13) Pocket Guide to South Africa
Msunduzì City Development Strategy (2014): Draft Discussion Document
National Upgrading Support Programme (2015). Introduction to Informal Settlement Upgrading Section 9: Building
Houses Incrementally, © NUSP
combined/Chapter-9-Building-Incrementally-May-2016.pdfb accessed: 15/05/2018
NDH (National Department of Housing), (1994) White Paper: A New Housing Policy and Strategy for South Africa,
17. Pretoria, South Africa
Palys, T. (2008). Purposive sampling. In L.M. Given (Ed.) The Sage Encyclopedia of Qualitative Research
Methods. (Vol.2). Sage: Los Angeles, pp. 697-8
Parnell, S., & Hart, D. (1999). Self-help housing as a flexible instrument of state control in 20th-century South Africa.
Housing Studies, 14(3), 367-386.
Peck, J. (2004) Geography and public policy: construction of neoliberism. Progress in Human Geography,
28 (3), 392-405
Pugh, C. (1991). Housing Policies and the Role of the Work Bank. Habitat International, 15(1/2), 275-298.
Rust, K. (2006). Analysis of South Africa’s Housing Sector Performance, Fin mark Trust. Johannesburg, South Africa.
Tomlinson. M. 1999. ‘South Africa’s housing policy: Lessons learnt from four years of the new Housing Subsidy
Scheme.’ Third World Planning Review, 283.
Turner, J.F.C. (1972). Freedom to Build. New York: Macmillan.
Turner, J.F.C. (1976). Housing by People. Towards Autonomy in Building Environments. London: Marion Byers.
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