Community-led Upgrading for Self-Reliance in South Africa: Integrated Construction and Environmental Management Systems in Informal Settlements

Lead Research Organisation: University of Westminster
Department Name: School of Management

Abstract

This project focuses on 'informal settlements' in South Africa (SA), which are often characterised by the lack of basic services and infrastructure (eg safe sanitation, reliable electricity), poorly performing building materials (eg wood, cardboard, metal sheets, mud) without any building plans approved and often on illegally-accessed and hazardous land. The idea that the communities in informal settlements should be involved in improving their homes and neighbourhoods is often discussed in the international development community. However, the tools and processes needed to ensure a successful upgrade of environmental and construction management are poorly understood, and top-down policies used by central and local government in SA have not been successful to date. If communities can improve their neighbourhoods through participatory techniques, enhancing construction skills and using available materials, then there could be local, regional and national environmental, social and economic benefits. The research seeks to explore the underpinning barriers and enabling drivers for communities to upgrade their informal settlements in SA.

The central question for this research is how can participatory approaches be utilised in an environmental and construction management strategy to achieve self-reliance in informal settlements in Durban. This question will be investigated under six discrete project phases.
Phase 1: Local Context and Gap Analysis (UKZN)
-Examining factors that have helped communities in Durban upgrade their housing and communities, and barriers to upgrading.
Phase 2: Mapping Urban Transitions through Community Participation (Westminster)
Through a participatory action-research methodology, the project team will produce findings on bottom-up construction and environmental management in Namibia Stop 8 (NS8) with the involvement of the community living there. NS8 is a good practice case study in Inanda, Durban.
Phase 3: Integrated Closed-Loop Environmental Management Systems (UCL with UKZN)
- Exploring the potential of closed-loop systems where wastewater generated from NS8 can be reused for agriculture.
- Investigating the processes, partnership models and business models required to ensure resilient infrastructure is provided.
Phase 4: Skills Enhancement in Construction (Westminster)
- Mapping the skills developed and enhanced through the 'self-build' approach adopted in NS8.
- Transferring lessons from the UK Government Construction 2025 Strategy.
Phase 5: Developing and Testing an Integrated Collaborative Toolkit (Westminster and UKZN)
- Bringing together the key findings of individual Phases 1 to 4, this toolkit will take the form of a dynamic decision-making model, which will map potential ways for communities, businesses, and policymakers to collaborate. It will also identify the resources required, skills developed, and the business models created for mobilising private sector involvement and economic growth.
Phase 6: Project Management, Communication and Dissemination (Westminster with UKZN)
- Allocating around 10% of the total cost of grant to communicate and disseminate findings to a varied audience. The dissemination strategy will include: project website, branding, social media, dissemination material, and dissemination events (UK and SA).

The research findings are intended to impact on SA government policy and practice in the field of sustainable urban transitions, building on best practice from the UK. However, this does not negate the potential to transfer knowledge from SA back to the UK or elsewhere. The intended target audience includes local communities seeking to enhance their quality of life and well-being and local authorities enhancing their planning. The research outputs can be also utilised by international agencies (eg UN), policy-makers and practitioners working on upgrading programmes, plans and policies, particularly under the SDG post-2015 development agenda.

Planned Impact

Direct beneficiaries of the proposed research are South African (SA) local communities seeking to enhance their quality of life and local authorities enhancing their infrastructure and planning processes. The research outputs can be also utilised by international agencies (e.g. UN), policy-makers, implementers and practitioners working on upgrading programmes, plans and policies, particularly under the SDG post 2015 development agenda.

Impact on society and the environment: The proposed research has a significant societal impact by demonstrating how community-driven upgrading is a workable approach for integrated housing construction and environmental management services. Disseminating the project findings and applying the Collaborative Toolkit (Phase 5) in practice will impact on other informal settlements in Durban (e.g. Havelock project), SA and the wider Africa, thus building capacity for achieving self-reliance in resource-constraint contexts. During the project, local inhabitants will: a) become active co-investigators involved in the toolkit development and testing (Phase 5); b) be directly involved in community-level communication and dissemination activities (Phase 6); c) will have access to a workable toolkit. The Skills upgrade (Phase 4) will promote human capital and employability by improving technical, management and communication skills among community members, thus enhancing well-being. Associated sustainability benefits include environmental education and broader sustainability benefits (e.g. emissions reduction, re-use of water) related to resource efficiency in Phase 3.

Impact on economic growth: The toolkit (Phase 5) is a grassroots, frugal innovation that can be used to mobilise economic growth. If up-scaled and integrated into business models of organisations that have been / can be involved in the community upgrading process, this can have cumulative impacts to the socio-economic development of both Durban (regional) and SA (national). Direct beneficiaries include community organisations / enterprises (e.g. FEDUP) and the private sector, such as construction, wastewater or utility companies, particularly local SMEs. It will also have an impact on overcoming isolation in informal settlements and increasing possibilities for receiving support during institutional formalisation.

Impact on international development: This project will enhance the capacity of community organisations and other support NGOs working in community-led upgrading, such as the Shack/Slum Dwellers International (SDI), Slum Networking, 100 Resilient Cities, and Cities Alliance. These organisations provide horizontal knowledge-transfer across affiliated country-based organisations located in Africa, Asia and Latin America. This offers opportunity for synergies amplifying the impact in the practice of these organisations and the communities they work with. Likewise, knowledge exchange will offer opportunities to disseminate the toolkit and discuss its relevance to different urban contexts across an extended network of affiliated organisations and the channels, within which the researchers and international co-investigator operate.

Impact on policy: The findings will be of direct use to the eThekwini Metropolitan Municipality, which includes the city of Durban as well as the SA Department of Housing and the Department of Human Settlements. As these bodies have predominantly used a top-down approach, this research will provide a practical guide to work effectively with communities as partners and beneficiaries, thus integrating the Collaborative Toolkit into existing planning policies, building regulations and housing codes.

To maximise the above direct impacts, around 10% of the total cost is allocated for a comprehensive dissemination strategy (Phase 6) including: project website; social media; dissemination material; and dissemination events in London and Durban (detailed in Pathways to impact).

Publications

10 25 50
 
Title Dr Priti Parikh (UCL Co-I) Engineering Showoff - Stand up comedy on Sanitation Challenges in informal settlements 
Description Dr Priti Parikh who is a Co-I in ISULabaNtu from UCL Civil, Environmental and Geomatic Engineering was filmed at Engineering Showoff, part of the Science Showoff family of events. Engineering Showoff is paid for by the Royal Academy of Engineering as part of their Ingenious funding scheme 
Type Of Art Film/Video/Animation 
Year Produced 2017 
Impact Dr Priti Parikh performed stand-up comedy as part of @Engineering Showoff to raise awareness of sanitation challenges in informal settlements. There were about 60 members in the audience from the general public who wanted to learn more about engineering and what engineers do. This was an all female lineup (except 1) as part of the Royal Academy of Engineering funded drive to promote diversity in engineering. Proceeds from this event where donated to the charity Engineers Without Borders. 
URL https://www.youtube.com/watch?v=eEXlHW1SEY0
 
Title Havelock Cardboard model and dissemination posters 
Description In May 2017, the project team carried on fieldwork activities in the Havelock community. Havelock is a wholly informal settlement, with approx. 400 residents living in approx. 200 shacks made of wood, plastic sheets, and corrugated zinc. The community are relatively well organised currently, though upgrading progress has been slow for a variety of reasons (including political). Successes so far have related to the provision and improvement of ablution blocks, a successful participatory enumeration, a profiling and re-blocking exercise in 2012, the establishment of collaborations with different organisations and municipality departments, and the on-going advocacy and negotiations for the inclusion of Havelock in current upgrading plans of the city. The project team worked with community researchers to carry out a participatory planning exercise (cardboard model making) to explore community dynamics, gender differences and attitudes to negotiation in the upgrading process. 
Type Of Art Artefact (including digital) 
Year Produced 2018 
Impact In May 2017, during a fieldwork debrief session, the community researchers discussed their views on preliminary research findings from Phase 2 activities and provided suggestions in terms of language and representation on how to better communicate the findings to the rest of their community. In September 2017, the project team implemented those suggestions provided into posters, which were then translated in isiZulu (with the help of uTshani Fund). In April 2018, the SA project team members and uTshani Fund partners will print those posters (mounted on durable material) so they are fed back to the community and get displayed on a permanent basis there, together with the cardboard model (which was left in Havelock since May 2017). 
URL https://www.isulabantu.org/single-post/2017/06/14/Phase-2-%E2%80%93-%E2%80%98Mapping-urban-transitio...
 
Title Project newsletters and logo 
Description The project team continues to disseminate newsletters, including the design of the ISULabaNtu logo used in all academic and non-academic communication and dissemination channels and activities. 
Type Of Art Artefact (including digital) 
Year Produced 2016 
Impact A distinctive and clear logo, together with regular newsletters have facilitated wider communication and dissemination of research activities as well as networking with other academic and non-academic (policy, industry) organisations in various settings (e.g. ESRC Urban Transformation Portfolio; 9th World Urban Forum, Habitat III conference; international conferences; etc). 
URL http://www.isulabantu.org/
 
Title Video featuring Phase 1 fieldwork activities 
Description A short video was prepared by Phase 1 colleagues (led by SA PI Dr Claudia Loggia at the University of KwaZulu-Natal) which documents the experience during focus groups and household interviews in the fieldwork case studies. 
Type Of Art Film/Video/Animation 
Year Produced 2016 
Impact This video was presented in the ISULabaNtu side event in Habitat III (17 October 2016) as a means to introduce the audience to the barriers and drivers for community-led upgrading in informal settlements in Durban (SA), from the perspectives of the local communities themselves. 
 
Description Informal settlements are complex and diverse entities with their own unique issues and set of characteristics. Theoretically, this paper has revealed that the challenge of informal settlement upgrading in South Africa should not be conceived simply as a housing problem but rather as a community-led, participatory process of social change, seeking to realise multi-sector partnerships, long-term commitment, and political support to gain formalisation. This process should take place from the early planning of the upgrade, as the early project phases are the most crucial for community participation. Active community participation is also endorsed by the New Urban Agenda under Habitat III, which calls for not just partnerships but inclusive participatory models through community empowerment and planning activism.
At a practical level, however, the study argues that there is a gap in effective community-led participatory upgrading projects in South Africa. There is also little understanding of the unique, context-specific factors that underpin the establishment of an informal settlement. Currently these local particularities are lost in the 'one-size-fits-all' government-led upgrading models adopted by the South African municipalities, thus leading to delays in: planning; service delivery and supply change; installation of services; and tendering with building contractors. Future research should explore the co-production of local knowledge with the local communities, support organisations and policymakers to inform the development or refinement of government-led upgrading models adopted by the South African municipalities and national departments.

Preliminary findings from Phase 1:
Participation should not refer to a voluntary contribution to government programmes but rather to active involvement in shaping the upgrading process throughout the project lifecycle. Communities have the local knowledge and experience of what works and why in their own settlements. Empowering local people in participatory bottom-up models offers:
• community leadership and independence;
• commitment in the upgrading process due to ownership and sense of belonging;
• skills upgrade through training; and
• leveraging additional subsidies and resources available from the municipalities.
Phase 1 preliminary fieldwork activities demonstrated that the concept of 'community' is interpreted as a place where "people come to live together, work together, settle in"; "people live with similar needs and views; "people coming together as "one", and "a place where people coexist together with one goal". The interpretation of "successful upgrading" varies significantly between the community (improvement of living conditions), NGOs (community mobilisation and group savings); and the municipality (provision of services).
The main barriers and challenges to community-led upgrading involve:
• lack of trustful relationship with Municipality;
• unresolved land tenure (households waiting for title deeds) after the upgrade;
• technological issues with plumbing systems, sanitation, wastewater management;
• stealing materials and utilities;
• dependence on the Municipality also for the provision of services; and
• conflicts/tensions within the communities;
The key drivers for participatory, community-led upgrading involve:
• negotiations with the Municipality
• community organisation and social cohesion;
• developing a culture of group savings;
• creation of job opportunities;
• skills enhancement (e.g. technical, management, and soft skills, such as communication, negotiation, leadership); and
• skills transfer through a collaborative learning environment (e.g. communities of practice).
Previous studies on in-situ upgrading of informal settlements in Durban metropolitan area have explored the positive impact of community participation on local inhabitants in terms of having basic housing needs met, tenure security and wellbeing improvement (Patel, 2013). However, it is important to distinguish between aspects of participation and active community empowerment through planning activism, as shown in Namibia Stop 8. From the review of the background literature the following recommendations can be drawn:
• There is no 'one-size-fits-all' model in informal settlements upgrading. Policy makers and practitioners need to understand the local context and uncover the barriers and drivers for inclusive community-led upgrading from an early planning stage. It is essential to understand the historical development and the dynamics of the informal settlement in order to adapt or refine the upgrading model according to complexities, strengths and weaknesses of individual cases.
• Future policy-making in the field should go beyond provision of information and basic consultation activities with the community. There is a need for policy instruments and upgrading models that build on community leadership and planning activism, facilitating co-production of knowledge with the local population, whilst simultaneously leading to empowered communities and participatory models of urbanisation. Scholars argue the co-production can provide critical understanding of community-led processes and how these can be integrated into institutional formalisation, government policy, technological and managerial innovations that can enhance self-reliance, skills and quality of life (Boyle and Harris, 2009; Petcou and Petrescu, 2015).
• The role of the support organisation and the researcher in community-led upgrading projects is to first help local people visualise and understand the change that will effectively take place in their own environment; and, second, to provide space for community members to negotiate and therefore take informed decisions resolving issues and potential conflicts.
Preliminary findings from Phase 2: For each of the lessons identified below, an implication is specified, as well as some ideas for ways forward. These are meant as provocations for further discussion (at this stage) rather than 'implementable recommendations' ('Year 3' of research).
1) Finding: There is lack of continuity in activities, personnel and skills, and information/data have caused problems in all three communities, and are very likely elsewhere. Implication/ way forward: Community-led upgrading efforts should have plans embedded for the sustainability of all three areas. Examples might include:
? Activities: Staggered and overlapping stages of activities so that there are no drop-offs in activity.
? Personnel and skills: Outside provision of skills and personnel that could be provided by the community should be a last resort. Where there are not acute health and livelihood issues in a settlement, it is preferable for communities to fail (and learn) themselves in upgrading efforts in collaboration with others, rather than have others 'succeed' for them in a top-down manner.
? Information/data: SDI and 100RC have ongoing efforts to digitise information on settlements and explore new ways of collecting, storing and using data. These explorations should specifically include work streams dedicated to the storage, management, and sharing of records and other data related to self-organisation activities.
2) Finding: Lack of incentives / immediate material benefits was reported to impact motivation for self-organisation activities. Implication/ way forward: Upgrading efforts should have in place plans for dealing with drop-off in engagement when housing has been delivered, or chronic issues have been mitigated. These could include specific efforts to convince people of the wider benefits (building capacity, learning, mobilisation, use of savings for wider community benefit) to self-organised upgrading efforts, using real examples from other communities. For example, in Piesang River FEDUP members introduced a loan system that provided residents with access to finance and a safety net for emergencies, both in terms of financial help and social support.
3) Finding: Existing cultures around decision-making and conflict resolution are not conducive to widespread engagement, and effective/mandated decision-making. Implication/ way forward: While debate and conflict within communities is to some extent inevitable during upgrading processes, groups encouraging upgrading efforts must consider how the voices of vulnerable and marginalised groups can be heard, and how decisions can be supported by whole communities, rather than be divisive and lead to factions or rival groups. Latent resentment and lack of support must be addressed rather than left ignored.
4) Finding: Decisions and activities are vulnerable to politicised interventions. Implication/ way forward: Community-led upgrading efforts could address political divisions head on, explicitly stating when they will utilise political channels and when they will use non-political channels. They should also have plans in place should political actors affect their self-organisation efforts - for example, communication plans. They may also wish to speak to political actors before/during upgrading efforts to ensure they do not feel bypassed.
5) Finding: Communities are often over-reliant on local and city leadership to lead initiatives. Implication/ way forward: Leadership and self-organisation efforts should be encouraged at every opportunity, with specific support for NGOs and community-based organisations that support local leadership. Examples from elsewhere should be used to inspire activity. Young people should also be specifically targeted for communications to encourage self-organisation.
6) Finding: Tensions with formal residents are high and can undermine upgrading efforts at any time. Implication/ way forward: Formal residents should be engaged with self-organised upgrading efforts where possible, and be made aware of plans to avoid misunderstandings. Safe spaces for discussions and exchanges of ideas between formal and informal residents must be nurtured, to explore trade-offs and negotiated solutions. For example, new communal spaces could be specifically used by both informal and formal residents as well as informal.
7) Finding: Effective and settled leadership and the use of representative structures facilitate upgrading and connections to other stakeholders
Implication/ way forward: The use of representative, elected committees backed by enumeration and site-specific data has been shown to be effective in initiating negotiations with key policymakers. These should be encouraged by NGOs like the ISN (as happened in Havelock) and policymakers (as eventually happened in Piesang River). This leadership will need to be supported and periodically refreshed to ensure it reflects the ongoing concerns and make-up of the residents in the neighbourhood.
8) Finding: Access to structures and networks at ward and city level is vital to empowering communities and encouraging activities beyond those with immediate material benefit. Implication/ way forward: Sharing descriptions of the informal networks that residents use to interact with local and city leaders and committees/portfolios, should be used as a template for similar activities elsewhere. Efforts should be made to ensure networks are not totally reliant on individual relationships, and can be sustained in the face of sudden changes and migration.
9) Finding: Adaptability to new needs and circumstances: Community self-organised structures and activities were built around specific needs. If needs would change, structures would be adapted to ensure sustainability. Implication/ way forward: Individuals who engage in these informal and often unseen connections should be encouraged to share their practice. As above, descriptions and sharing of the informal networks residents use to interact with local and city leaders and committees/portfolios, should be used to inspire similar activities elsewhere.
10) Finding: Building on the capabilities of communities and interests (i.e. mobilisation, sweat equity, need for housing and land) and integrating them to technical and financial strategies (e.g. saving schemes), allowed for the implementation of community-led strategies that promote ownership. Implication/ way forward: Mobilisation of the community, enumeration and implementation of savings have proven effective in providing the basis for effective lobbying for upgrading. Connections to technical services (but not those that can be provided by the community) should be sought out and encouraged.
Exploitation Route The findings of ISULabaNtu will be taken forward in Phase 5, which will run throughout Year 3 of research (Feb 2018/ Feb 2019). Phase 5 will develop and test a novel Collaborative Toolkit bringing together the key findings of individual Phases 1 to 4 (Phase 1: Local Context and Gap Analysis; Phase 2: Mapping Urban Transitions through Community Participation; Phase 3: Integrated Closed-Loop Environmental Management Systems; Phase 4: Project Management and Skills Enhancement in Construction).
This toolkit will take the form of a dynamic decision-making model, which will map potential pathways of collaboration, thus reconciling:
• the key roles of involved stakeholders (e.g. local populations; community organisations, such as FEDUP and uTshani Fund; local authorities; the private sector; government; and international agencies);
• the resources required and skills developed during these collaborative interactions; and
• the business models created for achieving integrated environmental and construction management, thus mobilising the economic viability of community organisations and private sector involvement.
This validation process will offer opportunities for refining the toolkit itself (internal validity), if necessary, but also to account for different local contexts (external validity and reliability) when transferring findings to South Africa (going beyond Durban to Johannesburg or Cape Town) and wider Africa. Lastly, the UK co-investigator in business and civil society (Dr Grant Ballard-Tremeer, Eco Ltd Solutions) will support the validation of the Collaborative Toolkit providing advisory services. These will take the form of dissemination workshop starting in April 2018. He will also facilitate the mobilisation of international feedback on its applicability outside SA through their extensive expertise in urban planning, sustainable development, and community-based projects delivered for international bodies, such as UNDP, UNIDP, African Development Bank, World Bank and European Commission.
Sectors Agriculture, Food and Drink,Communities and Social Services/Policy,Construction,Creative Economy,Digital/Communication/Information Technologies (including Software),Education,Energy,Environment,Financial Services, and Management Consultancy,Government, Democracy and Justice

URL http://www.isulabantu.org
 
Description Our preliminary findings have contributed to the following non-academic impacts: 1) Enhancing skills of local populations through community training and community dissemination events: In this research, community members are not just objects of study but grassroots co-researchers or co-investigators involved in the data collection (fieldwork activities). In addition, community events have been organised in Phase 1, Phase 2, Phase 3 and Phase 4 for community participants and the wider community (case study area). This has created a collaborative learning environment, where scientific knowledge is blended with the indigenous knowledge from grassroots co-researchers. Topics include: neighbourhood planning; housing; and the impact of community self-reliance on policy and planning. 2) Establishing close working relationships with community organisations: In the proposed participatory, action-based research, a good working relationship is required with individuals at all levels of the community; from powerful incumbents to the residents in the most difficult socio-economic circumstances. In order to ensure these relationships are in place, the project team has worked successfully with a credible, local NGO (uTshani Fund, project partner under NRF) with good links in Namibia Stop 8 (NS8), Piesang River and Havelock (3 selected case studies). Through uTshani Fund the project team has also been connected with the Community Organisation Resource Centre (CORC) and Federation of the Urban and Rural Poor (FEDUP), which are in the Shack/ Slum Dwellers International (SDI) international network. This close relationship from the outset of the project has established a solid foundation for the development and testing of the collaborative toolkit. 3) Engaging with policymakers and practitioners in SA to ensure relevance of outputs: More broadly, the project team has met formally and engaged with policymakers and practitioners in Durban and SA working in bottom-up upgrading of informal settlements. These include: eThekwini municipality (Human Settlements Unit and Water and Sanitation Unit) in Durban; National Treasury (Cities Support Programme); and the SA Department of Human Settlements. The findings seek to demonstrate the effectiveness of community-led, bottom-up upgrading of informal settlements to local and central government policymakers, and will detail how to work effectively with communities as partners and beneficiaries. The project team will continue to further engage with these stakeholders throughout the project lifecycle, from fieldwork activities through to the development of the 'Collaborative Toolkit' (Phase 5), the validation and dissemination of the final project outputs.
First Year Of Impact 2016
Sector Agriculture, Food and Drink,Communities and Social Services/Policy,Construction,Creative Economy,Digital/Communication/Information Technologies (including Software),Education,Energy,Environment,Financial Services, and Management Consultancy,Government, Democracy and Justice
Impact Types Societal,Economic,Policy & public services

 
Description Design and implementation of consultation and participatory planning process and writing of report and recommendations that contributed to the granting of the Collective Land Title to the Afro-Colombian Community of Tierra Baja, in Cartagena, Colombia. The Land Title was granted by the National Land Agency, by resolution No. 369 on the 29th of November, 2016.
Geographic Reach South America 
Policy Influence Type Participation in a advisory committee
Impact A collective land title is a specific land tenure system applicable to Afro-Colombian communities, which allows them to own their ancestral land as collective assets and allows them to develop their own ethno-development urban plans and regulations. Tierra Baja is only the 3rd Afro-Colombian informal settlement granted Collective Land Title in the Caribbean region of Colombia. As a result of the collective land tenure being achieved, the community will be entitled to infrastructure and service improvements by the District Municipality that were not possible before due to its informal, not-recognised condition, and will have access to dedicated funding channels for productive activities through the INCODER (Colombian Institute of Rural Development).
 
Description Election of Dr Claudia Loggia to the UKRI International Development Peer Review College
Geographic Reach Multiple continents/international 
Policy Influence Type Membership of a guideline committee
URL https://www.ukri.org/research/global-challenges-research-fund/ukri-international-development-peer-re...
 
Description Review of the - Analysis of the Human Settlements Programme and the Subsidy Instruments - paper under the South African Urbanisation Review
Geographic Reach Africa 
Policy Influence Type Participation in a advisory committee
Impact Dr Claudia Loggia (SA PI and project partner) was selected by the South Africa National Treasury Cities Support Programme, in partnership with the SA HSRC (Human Sciences Research Council) and MILE (Municipal Institute of Learning) of the eThekwini Metropolitan Municipality (Durban) as paper discussant/ respondent of the South African Urbanisation Review. The SA Urbanisation Review is sponsored by the World Bank and the Cities Support Programme and under this framework Dr Loggia responded to the paper entitled "Analysis of the Human Settlements Programme and the Subsidy Instruments", authored by David Gardner (consultant) and Nick Graham (Director, Palmer Development Group). The review involved the following aspects: 1) tracking the performance of government subsidised housing considering the impact this has had on subsidy beneficiaries; 2) understanding the role of finance, municipal investment, job creation, social capital, community development in enhancing this performance; and, 3) helping in developing policy recommendations to overcome identified barriers and improve the potential for housing asset performance.
 
Description The SA PI (Dr Claudia Loggia, Senior Lecturer at the University of KwaZulu-Natal) has recently become a member of 100 Resilient Cities (RC) reference group (Durban) because of her involvement in the ISULabaNtu project. This is a multi-stakeholder group involving members from eThekwini municipality, NGOs and community-based organisations
Geographic Reach Local/Municipal/Regional 
Policy Influence Type Membership of a guideline committee
Impact Dr Loggia has been the only representative from Academia in South Africa participating in the reference group. The objective has been work closely with the 100RC Team to consolidate and finalise the Resilience Building Option 1 - RBO1: 'Integrated informal settlements co-management' - outcomes, interventions and actions. The resilience strategy for the Durban metropolitan area was approved in August 2017. In consolidating the feedback from the conversations, the following key features have underpinned the Durban Resilience Strategy: 1) Addressing inequality, unemployment and crime; 2) Rebuilding the 'societal fabric' that allows standing stronger in the face of change: a society built on warmth and generosity; 3) Ensuring the provision of key services (water and housing); 4) Planning an economy that enhances human wellbeing, equality and ecological infrastructure; 5) Planning differently to incorporate ecosystems as key ecological infrastructure; 6) Securing water supply; 7) Enhancing transport infrastructure; 8) Energy infrastructure for a low-carbon future; 9) Preparing for climate change; 10) Brave and visionary leadership; 11) Building active and engaged citizens; 12) Building human resourcefulness and supporting existing creativity; 13) The important role of a stable and capacitated local government administration in leading key processes; 14) Promoting adaptive governance that incorporates critical reflection and learning into processes; 15) Strengthening partnerships between government, business and communities; 16) Building a political environment that facilitates Durban's ability to respond to change; 17) Facilitating 'platforms for conversation' to inspire new thinking and innovation; 18) The importance of good data in informing planning and decision-making; 19) Sound financial practices; 20) The need for catalytic and transformative interventions; 21) Rallying the city to action through communication forms that are simple and accessible. Monitoring and evaluation of those impacts will start taking place in Spring/ Summer 2018.
URL http://www.durban.gov.za/City_Services/development_planning_management/environmental_planning_climat...
 
Description Training to Dr Claudia Loggia (SA PI) and her research group at the School of Built Environment and Development Studies, University of KwaZulu-Natal in Durban
Geographic Reach Multiple continents/international 
Policy Influence Type Influenced training of practitioners or researchers
Impact UK PI (Dr Maria Christina Georgiadou) with UK project team members have provided training for Dr Claudia Loggia (SA PI under NRF) and her research group involved in ISULabaNtu (group of academics, researchers, post-graduate and doctoral students) in the areas of: - Action Research and Participatory Design - Project Management - Procurement - Digital Construction (introduction to Building Information Management and Modelling as knowledge transfer and lessons learned from its implementation in the UK). The training material has been used to inform curriculum design in MSt programmes at the School of Built Environment and Development Studies. It has also strengthened academic intellect and research capabilities from SA colleagues and young career researchers involved in the research design activities of Phase 1.
URL https://www.isulabantu.org/single-post/2017/03/14/Training-and-Capacity-Building-Workshops
 
Description Citizen-led Smart City Development in UK and Kazakhstan
Amount £30,000 (GBP)
Organisation British Council 
Sector Charity/Non Profit
Country United Kingdom
Start 01/2017 
End 05/2017
 
Title Development of a methodology to map insurgent spaces and informality 
Description Dr Loggia and Mr Viloshin Govender have been working on developing a methodology to map insurgent spaces and informality since 2017 and have already tested it in three case studies in Durban. The methodology combines drone imagery and collaborative mapping to reveal the real attributes of the settlements and to understand how they can be reinterpreted and adapted. The outcomes of this research allow for a more accurate (lived 4D) mapping of scenarios affecting cities today. 
Type Of Material Database/Collection of data 
Year Produced 2018 
Provided To Others? No  
Impact The outcomes of this research allow for a more accurate (lived 4D) mapping of scenarios affecting cities today. 
 
Title Participatory action research design for coproducing knowledge with local communities (3 informal settlements as fieldwork case studies in Durban metropolitan area) 
Description Phase 2 has set the foundation of a participatory research methodology that are currently used (2017-18) in Phases 3 and 4. This methodology focuses on: 1) GROUPS AND PROCESSES [savings, construction, project cycle]. This included interviews and focus groups with community groups and civil society organisations involved in the upgrading of the three selected case studies. Specific data collection tools utilised include: in-depth interviews / mapping the project-cycle; focus groups with Community Based Organisations (CBOs) and other organised groups; community interactive events: priority exercises, visual tools, city mapping. 2) HOUSEHOLD UPGRADING: These activities were undertaken with homeowners, using a variety of methods to facilitate a better articulation of their positive and negative experiences, particularly with regards to the quality of construction, spatial arrangements and affordability. These methods included in-depth interviews and recording of their everyday activities within the house through personal timelines. Particular data collection tools included: personal housing narratives and historical timelines using in-depth interviews and focus groups; mapping of use and post-occupancy transformation of the house; photo voice in conjunction with in-depth interviews or focus groups. 3) NEIGHBOURHOOD and CITY ISSUES: These activities engaged residents in a critical discussion of their neighbourhood upgrading and current situation, including the existence and/or condition of infrastructure, public spaces, street and corridors and the surroundings. Residents were also involved in discussions about their settlement and everyday life in relation to the city of Durban. Specific data collection tools utilised include: participatory / mind mapping exercises; photo-voice exercises; mapping city trajectories; community interactive events: priority exercises, visual tools, city mapping. 
Type Of Material Database/Collection of data 
Year Produced 2017 
Provided To Others? No  
Impact This dataset will provide the basis for data analysis in individual Phases 1 to 4. Most importantly, it provides key guidance for the co-production strategy, which will be implemented in Phases 3, 4 and 5. In Phase 5 (2018-19) of the research, the project team seeks to develop and test a novel Collaborative Toolkit bringing together the key findings of individual Phases 1 to 4. This toolkit will take the form of a dynamic decision-making model, which will map potential pathways of collaboration, thus reconciling: • the key roles of involved stakeholders (e.g. local populations; community organisations, such as FEDUP and uTshani Fund; local authorities; the private sector; government; and international agencies (predominantly Phases 1 and 2)); • the resources required (procurement) and skills developed (through project management) during these collaborative interactions (Phase 4); and • the business models created for achieving integrated environmental (Phase 3) and construction management (Phase 4), thus mobilising the economic viability of community organisations and private sector involvement. This validation process will offer opportunities for refining the toolkit itself (internal validity), if necessary, but also to account for different local contexts (external validity and reliability) when transferring findings to South Africa (Johannesburg and Cape Town) and elswhere. 
 
Description Royal Society International Mobility Grant 
Organisation University of KwaZulu-Natal
Country South Africa 
Sector Academic/University 
PI Contribution The mobility grant enabled Dr. Priti Parikh from UCL and Dr. Alfred Odindo and Prof. Chris Buckley from Pollution Research Group to assess the potential of decentralised systems in Durban. University of Kwa Zulu Natal have successfully implemented a wastewater treatment plant with the treated water being reused for agriculture. UCL team managed to visit the plant and assess challenges and opportunities for application to townships. This also led to the development of Work Phase 3 - Environmental Management Systems for this collaboration.
Collaborator Contribution University of Kwz Zulu Natal have invested in a prototype waste water treatment plant which resuses treated wastewater for agriculture. Dr. Odindo and team have contributed by sharing findings collected by their team leading to development of the ESRC-NRF proposal and in particular linking of waste water treatment and agricultural systems.
Impact Presentation by Dr. Parikh at the prestigious WISA conference in Durban for the paper titled 'Impact and multiplier effect of water and sanitation provision in informal settlements' in May 2016. This paper focusses on the socio-economic impact of water and sanitation services in informal settlements.
Start Year 2014
 
Description Royal Society Newton Advanced Fellowship - Dr MC Georgiadou (University of Westminster, London) with Dr C Loggia (University of KwaZulu-Natal, Durban, South Africa) 
Organisation University of KwaZulu-Natal
Department School of Built Environment and Development Studies
Country South Africa 
Sector Academic/University 
PI Contribution Members of the UK team (Dr MC Georgiadou, B Fagan-Watson, Dr I Nunez Ferrera, Dr P Parikh) have provided extensive training and capacity building for the South African (SA) Principal Investigator (under NRF) Dr Claudia Loggia and her research team at the University of KwaZulu-Natal, Durban, South Africa. The topics covered were: - April 2016 (in London): Action Research Methods and Participatory Research Design (Dr I Nunez-Ferrera and B Fagan-Watson) - July 2016 (in London): Policy Evaluation and 'Smart' Regulation (Dr D. Greenwood - University of Westminster) - February 2017 (in Durban in parallel to ESRC fieldwork activities): Project Management, Procurement and Digital Construction (Dr MC Georgiadou) - June 2017 (in London): Cities, Communities and Homes: The Future of Urban Planning (Dr MC Georgiadou)
Collaborator Contribution The above training sessions were primarily focused on strengthening research excellence at Dr Loggia's research group. However, whilst in Durban the target audience also included local authority officials, NGOs and industry representatives working on informal settlements upgrading processes. A key outcome of the training workshops was that Dr Loggia was able to enhance intellectual input from her research group in Phase 1 of the ESRC ISULabaNtu project (which was led by them at the University of KwaZulu-Natal). In addition, the support and capacity building provided to key stakeholders from the Municipality, NGOs and the private sector enabled gathering of raw data for Phase 4 of ISULabaNtu which is the phase focusing on project management and skills enhancement in construction. In Durban, the training workshops were held at the University, which also provided opportunities for postgraduate and doctoral training. A number of students attended the session and got useful feedback on the final projects/ doctoral thesis with access to information and knowledge transfer from the UK.
Impact Attendance in three conferences: 1. Georgiadou, M.C. and Loggia C. (2017) Project Management and Skills Enhancement in Informal Settlement Upgrading in Durban, South Africa, AMPS, Architecture_MPS Conference, University of Derby, 22-23 June 2017. 2. Georgiadou, M.C. (2016) Building Information Modelling in UK construction projects: A state of the art review, Construction, Building and Real Estate Research (COBRA) conference by RICS, Toronto Canada. 3. Loggia, C. and Georgiadou, M.C. (2016) Community-led upgrading for self-reliance in informal settlements in South Africa: A review, Construction, Building and Real Estate Research (COBRA) conference by RICS, Toronto Canada. Overall, this is a multidisciplinary collaboration spanning from built environment (Architecture, Construction and Civil Engineering) disciplines to Urban Geography, Social and Political Sciences.
Start Year 2016
 
Company Name HEDON Household Energy Network 
Description HEDON Household Energy Network is an exempt charity and a company limited by guarantee, incorporated in England under number 7477778. HEDON is a knowledge sharing and networking platform for sustainability-related solutions in developing countries. HEDON also publish a practitioners' journal entitled "Boiling Point". HEDON entered into a 5k agreement with the University of Westminster (February 2016) to undertake dissemination activities for ISULabaNtu, including advertising, networking, and publication in three (3) Boiling Point issues. These involved: a. To provide one full page of content and a full colour logo in one issue of Boiling Point for 2016, 2017, and 2018 and 20 copies per issue delivered to any one address. b. To represent the project at related sector events, including invite only events, where Boiling Point issues with project news will be readily available. c. To include relevant news and project updates in the HEDON monthly newsletter. This also includes representation in the HEDON 'Partner of the Month' section. d. To share and promote project news and online updates within the HEDON network, both on the HEDON website and on social media platforms. e. To provide the Principal Investigator with monthly reports on the activities outlined above. 
Impact HEDON has recently faced difficulties and asked the University of Westminser (March 2016) to cancel the agreement. The University have not made any payments to HEDON to date and the Contracts Team have already contacted the Research Council (email from Lauren Sullivan , Bid Support Manager to grantspostaward@rcuk.ac.uk on Monday 13 March 2016) to: 1) notify the Research Council about this imminent change, 2) ask for permission transfer the £5k 'within and between directly incurred costs', which is stated in the original ESRC Offer Letter to the University of Westminster (28 January 2016).
Website http://www.hedon.info/tiki-index.php
 
Description 9th World Urban Forum (WUF9) Side Event 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact The ISULabaNtu team was selected to organise a side event (WUF9 Side Event n.3177126) at the United Nations World Urban Forum 9 (WUF9) in Kuala Lumpur (7-13 February 2018). The event was entitled "Grassroots approaches in informal settlement upgrading in South Africa: the ISUlabaNtu Project, in Durban - Informal Settlements Upgrading Led by the Community". The event included a brief project overview together with an interactive panel discussion with three key speakers; namely: Faizal Seedat (eThekwini Municipality, Informal Settlements Unit), Rose Malokoane (South African Slum/Shack Dwellers International) and Emily Mohohlo (Federation of the Urban and Rural Poor). In addition, representatives from the National Department of Human Settlement attended the event and participated in the discussion. The event also attracted NGOs representatives and private organisations working on community-based projects. The project team received positive feedback on ISULabantu research findings, particularly with regards to the co-production methodology and action-research methods adopted. A key outcome of the discussion and recommendation was the to align ISULabaNtu Phase 5 (toolkit development) work with similar toolkits developed by the South African Human Settlement Department, in a collaborative manner. Future plans involve meeting with SA Human Settlement officers in March 2018 to discuss the way forward.
Year(s) Of Engagement Activity 2018
URL http://wuf9.org/programme/thematic-itineraries/slum-upgrading/
 
Description Disruptive community energy in South Africa and the United Kingdom 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact The aim of the workshop was to get a conversation started between those interested in energy access and provision to informal settlement communities in South Africa, and those representing community-focused and off-grid energy solutions in the UK. It was part of a larger multi-year project on energy access in South African informal settlements and communities, and has involved South African and UK-based researchers. The participants were interested in thinking about disruption broadly.
Year(s) Of Engagement Activity 2019
 
Description ESRC funded project ISULabaNtu on Habitat III in Quito, Ecuador 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact ISULabaNtu held an interactive side event at the Habitat III conference in Quito, Ecuador on the 17th October 2016. Habitat III is the United Nations Conference on Housing and Sustainable Urban Development, which takes place every twenty years. The objectives were to secure renewed political commitment for sustainable urban development, assess accomplishments from the last twenty years, address poverty and identify and address new and emerging challenges.
Dr Maria Christina Georgiadou (Project PI) presented an overview of the research programme, including a short video showing the Durban context and our fieldwork so far, followed by a panel discussion with five high profile experts working on informal settlements upgrading in South Africa: Beryl Mphakathi (Head of Human Settlements in eThekwini municipality, Durban), Prof Marie Huchzermeyer (University of the Witwatersrand), Emily Mohohlo (SDI), Dr Graham Alabaster (United Nations Human Settlements Programme, Urban Basic Services Branch), and Dr Zoleka Sokopo (South African National Department of Human Settlements). The discussion focused on critical questions affecting upgrading in informal settlement. It is essential to build trust with the communities, who should take ownership of the upgrading process. This should be reflected in the skills and capabilities that communities and local authorities need to develop further for effective community-led upgrading, including: 1) the development of effective interim tenure forms to enhance the occupational rights of local communities, 2) local administration and central accounting that incorporate community self-regulation and microfinancing schemes.
The project team were delighted with the attendance and discussion at the event, an important element of the work as an applied research project focusing on accurate and on-the-ground research.
Year(s) Of Engagement Activity 2016
URL http://www.isulabantu.org/single-post/2016/10/19/Habitat-III-side-event-reaction
 
Description Engineering Showoff - Stand up comedy on Sanitation Challenges in informal settlements 
Form Of Engagement Activity Engagement focused website, blog or social media channel
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Public/other audiences
Results and Impact I performed stand-up comedy as part of @Engineering Showoff to raise awareness of sanitation challenges in informal settlements. There were about 60 members in the audience from the general public who wanted to learn more about engineering and what engineers do. This was an all female lineup (except 1) as part of the Royal Academy of Engineering funded drive to promote diversity in engineering. Proceeds from this event where donated to the charity Engineers Without Borders.
Year(s) Of Engagement Activity 2017
URL https://www.youtube.com/watch?v=eEXlHW1SEY0
 
Description Guest speaker at the Newton Fund Global Challenges Research Funds (GCRF) Global Engagement Meeting in Kenya 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact Dr Claudia Loggia was invited as a guest speaker to share her experience with the Newton Fund in the Global Challenges Research Funds (GCRF) Global Engagement Meeting in Kenya (January 30-2nd February 2018). Her presentation was entitled "Newton Fund Project: The ISULabaNtu project in Durban, South Africa". The meeting was organised by the Research Councils UK (RCUK) to showcase opportunities available through GCRF, bringing together developing countries and UK researchers and to discuss opportunities for maximising the contribution of GCRF into policy and practice.
Year(s) Of Engagement Activity 2018
URL https://www.isulabantu.org/single-post/2018/02/19/GCRF-Global-Engagement-Meeting-in-Nairobi
 
Description Participation at the Newton Fund Global Challenges Research Fund (GCRF) Global Engagement Meeting (GEM) in Bogota 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact In October 2017, Dr Claudia Loggia was invited to attend the GCRF GEM At the GCRF Global Engagement Meeting in Bogota. This was a two day workshop, including also a site visit. During the workshop, case study presentations were followed by breakout sessions where Dr Loggia had the opportunity to share ISULabaNtu findings and to discuss with other attendees the practicalities of international collaborations and the impact of cross-disciplinary projects in the areas of sustainability and urban development in the Global South.
Year(s) Of Engagement Activity 2017
URL https://www.isulabantu.org/single-post/2017/10/18/GCRF-Global-Engagement-Meeting-in-Bogota
 
Description Training of Community Researchers. These are approximately 18 people living in the selected three (3) fieldwork case studies of Phases 1 to 4 of the project; namely: Namibia Stop 8; Havelock and Piesang River informal settlements all based in Durban Metropolitan Area 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach Regional
Primary Audience Public/other audiences
Results and Impact In 2016-17, Phases 1 and 2 organised community engagement events as part of training community researchers in the Namibia Stop 8 and and Havelock case studies. Some events took place at the University of KwaZulu-Natal and others in the communities themselves. In 2017-18, Phases 3 and 4 organised community engagement events in the Namibia Stop 8, Havelock and Piesang River case studies. Again, some events took place at the University of KwaZulu-Natal and others in the communities themselves. All events were organised together with uTshani Fund (NGO, project partner) engaging with the communities and sharing experiences and lessons learned from ISULabaNtu.
Year(s) Of Engagement Activity 2016,2017