Upgrading for Growth
A COMMUNITY SURVEY STRATEGY
Richard Martin
10 July 2007
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Upgrading for Growth
Survey Strategy
This document provides an overview of the survey strategy to be used in the project,
and its initial outcomes.
Three methods were proposed: the household questionnaire, the focus groups, and
cost modelling – with both individuals and groups.
1. Questionnaires
1.1 Basic data
A comprehensive household survey was used to establish basic demographics,
employment incomes and skills, and housing conditions. A 100% sample was taken
in three settlements with different characteristics, ranging from semi-rural settlement
linked to prosperous commercial farms to a comparatively dense development in the
mining belt, making a total of 5862 interviews.
In brief, the settlements covered were:
John Dube – a semi-rural area where it is hoped the urban agriculture can be
practised by the residents. The site plan is below (1077 dwellings, 3,253 persons).
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Bapsfontein – a fairly dense and lively settlement which is threatened by sink-holes.
This is a geological condition whereby underground rivers erode the dolomitic
limestone rock underlying the ground surface. This erosion leads to a weakening of
the rock until it collapses. The adjacent picture shows a sinkhole which appeared
recently nearby the settlement.
Where housing is built on such land, the danger of loss of life is very real.
Accordingly the settlement is to be re-located in accordance with the national
emergency housing policies. (1750 dwellings, 4,613 persons)
Payneville Ext 3, Everest, Gugulethu – these are well located urban settlements
which offer excellent opportunities for in situ upgrading. (3035 dwellings, 9072
persons)
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1.2 Criteria
The fields covered were:
Household details:
Demographics
Number of persons in household, relationship to head of household, age, sex,
citizenship, marital status, employment status, education, languages, length
of stay in settlement.
Migration
Time in Ekurhuleni, reasons for migration, reasons for stating in settlements
Health, social security benefits
Chronic illness, death in last year, receipt of social security benefits, eligible
persons not receiving benefits,
Housing
Number of rooms, rooms used for sleeping; energy use for cooking, heating
and lighting
Housing preferences
Location, ownership/renting, new house/extension, self-built/contractor built,
toilet location, renting out rooms, use of house for business
Appliances
TV, cell phone, motor vehicle
Savings, bank accounts
Amount, type of account, willingness to use house as security for loan
Income and expenditure
Sources of income, breakdown of expenses
Business activities
Nature of enterprise, length of time is has been running, number of
employees, cost of starting and source of funds, repayment of any loans, use
of bank account, location of business, size of premises, income from
business, expansion plans, preferences regarding employment/self
employment.
Skills and training
Training received, duration of training course, nature of training, certification,
employment, wage expectations, further training desired.
1.3 Procedure
Four steps were used in implementation of the survey.
1. Sensitising the communities to the need for and purpose of the survey, by
means of public meetings conducted by the Ward Councillors, with EMM staff
in attendance.
2. Recruitment and training of community members to act as interviewers
through the Councillors.
3. Conduct of pilot surveys to check questionnaire.
4. Conduct of main survey.
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The training of the interviewers was held at one central venue, to which the trainees
were transported.
The questionnaire was printed in English but each interviewer was provided with the
translations into Zulu and Sepedi as a guideline in trying to assist the fieldworker to
complete the English version as comprehensively as possible.
The survey took place in November 2006.
The employment contracts were signed by the interviewer on commencement date of
the training. There was a once off payment to the interviewer after the survey was
completed. Ekurhuleni provided stationery, caps and T-Shirts.
Once a household had been surveyed, each structure was marked in order to avoid
duplication.
One of the points of difficulty was the comparatively large number of illegal
immigrants who, for obvious reasons, were reluctant to participate. However, in the
end their cooperation was obtained.
1.4 Findings
Details findings are available in separate reports, but some of the findings are of such
importance that they coloured subsequent steps. For example, in the original design
of the project there was an implicit assumption that by linking the skills and energies
of the residents of the informal settlements, there was room for significant economic
growth. Thus, if the artificial barriers between the formal and informal economies
could be removed there were significant gains to be made.
The household survey revealed that the impact of this tactic would be quite limited
because the skills and entrepreneurial levels within the communities were so low.
For example, only about 6% of the respondents were self-employed, and largely in
very small retail operations, which the majority of those respondents would abandon
if they could get employment. 71% of the respondents had no training, and only 6%
had driving/machinery operating skills and 5% had any technical trade.
The youth of the households (largest age group in males was between 20-34
(varying between the settlements), and 25-29 in females), and the fact that more than
half the households were less than three persons, shows that these settlements may
be a product of recent household formation, and as such are less likely to have
developed social capital.
While these findings are fairly shocking in terms of economic aspects, the housing
data points to the likelihood of a positive response to improved housing. About half
said that if they had the chance for support from government for improved housing,
they would like to be involved with the construction, either through the People’s
Housing Process or something similar. 31% make regular savings and about 6% are
saving specifically for housing. About 40% want to stay in the same settlement or a
nearby area.
2. Focus Groups
The second methodology to be applied is focus discussion groups.
These are to be used to establish a social, qualitative dimension to the quantitative
survey. Focus groups do not take decisions: they are a forum for debate, and for
deepening understanding of the economic and social fabric of a community. They
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also allow the testing of ideas and ambitions, willingness to go into new directions,
and priorities.
Membership of focus groups has to be chosen carefully, so that they represent the
stakeholders who can benefit from the project, and whose views can be taken as
representative of the class of respondents as a whole.
The selection of focus group members must therefore be done in a consultative way,
with support from EMM officials and the Ward Councillor.
Focus groups are appropriate for two sectors within the project: employment/LED,
and housing.
2.1 Economic development
In connection with economic development, focus groups will be used to test the
interest among existing entrepreneurs and the unemployed in receiving training; their
awareness of the many different publicly provided support agencies, and their
perceptions regarding the role of the Metropolitan Municipality. It also allows the
project team to test ideas for acceptability before developing them in more depth.
The areas around which discussions can be held include:
Role of EMM – needs in terms of
- providing guidance
- providing infrastructure, industrial hives, market places etc
- providing support and advice
- pro-poor procurement regulations
- labour intensive public works projects
Physical planning
- impact and role of zoning
- impact and role of bylaws and regulations regarding operations of specific
businesses (crèches, hair salons, bars etc)
- trading from home
Economic support
- availability and need for financial support
- linkages with state-aided institutions
- linkages with private sector
- potential for stimulation through public sector and private sector procurement
regulations
- outsourcing potential
- opportunity for community-based public services (solid waste removal etc)
Training and skills development
- aptitudes
- willingness and interest in participating
- skills demand by private sector
- mentoring opportunities
Linkages
- potential for home-based outsourcing
- potential for skills development programmes
- potential for innovative relationships – “adopt a community” etc.
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Social capital
- availability of community organisations
- role of NGOs/church groups/savings groups etc in the community
2.2 Housing
In connection with housing, focus groups can be used to establish preferences
regarding selection of housing delivery system – self help-housing, contractor built
etc. Other options regarding the modalities of the project can also be discussed, for
the question of resettlement sites. Options in the allocation of funds can also be
debated: erf size, standard of infrastructure etc, provided that these discussions are
conducted within cost limits, and in such a way that trade-offs between different
options are clear. These discussions can be balanced with individual consultations
as described below, and the results discussed in focus groups.
3. Cost modelling
Cost modelling allows individuals or groups to take an informed decision regarding
their prioritisation in terms of housing design. To be of value the model must
accurately permit the trade-off between the many components in terms of housing
costs, within pre-agreed limits, including:
- erf size
- infrastructure standards (width and surfacing of access, street lighting, etc)
- house size
- house service levels (sanitation options, electricity, hot water)
- standard of finishes (plastering and painting, ceiling, floor covering)
- fittings (cupboards, etc).
- phased development (building a shell house, core unit etc).
Effective modelling can require the use of physical models to illustrate the decisions
being taken, and to help participants visualise their choices.
The process will use the SMM Housing model which has been developed over
several years, and incorporates all the components of cost in a housing solution, and
can be adapted to the physical conditions prevailing in any site.
Individual consultations are an excellent start, but group consultations are also
effective. The concept of housing clubs – groups of people who decide among
themselves regarding the nature of the environment and housing solutions which
they want in their area – can be used to good effect in this connection. In this way
the survey tool is also the first step in the development process.
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