Guidelines for Integrated Flood Control Design in the Informal Settlements of Cape Town Municipality
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
DEGREE PROJECT IN THE BUILT ENVIRONMENT, SECOND CYCLE, 30 CREDITS STOCKHOLM, SWEDEN 2021 Guidelines for Integrated Flood Control Design in the Informal Settlements of Cape Town Municipality A case study of Kosovo, Philippi District ERASMUS SIPHELELE MSELEKU KTH ROYAL INSTITUTE OF TECHNOLOGY SCHOOL OF ARCHITECTURE AND THE BUILT ENVIRONMENT
Guidelines for Integrated Flood Control Design in
the Informal Settlements of Cape Town Municipality
(from interrupt to interact):
A case study of Kosovo, Philippi District
Author:
Erasmus Siphelele Mseleku
Supervisor:
Suha Hasan
KTH School of Architecture and Built Environment
Urban and Regional Planning
Royal Institute of Technology
SE-100 44 Stockholm
Sweden
Submitted in fulfilment of the requirements for the
degree of MSc in Sustainable Urban Planning &
Design, within the School of Architecture & Built
Environment, KTH Royal Institute of Technology,
Stockholm, Sweden.
I declare that this master thesis is my own unaided
work. All citations, references and borrowed ideas
have been duly acknowledged. I confirm that an
external editor was not used. None of the present
work has been submitted previously for any degree or
examination in any other University.
figure 01 - cover page: edited photo of Squalo informal settlement in Cape Town (Armand Hough, 2014)
ACKNOWLEDGEMENTS
I complete this thesis having being guided and assisted by many amazing people along the way.
Without their contributions none of this would have been possible. I wish to express my gratitude
to the following people and institutions who have contributed to this journey:
The Swedish Institute who, through the Swedish Institute Scholarship for South Africa (SISSA),
fully funded my two-years Masters studies at KTH and move to Sweden. I will forever be grateful
for this opportunity and to be a SI Alumni.
My supervisor, PhD candidate Suha Hasan, who has been extremely supportive and provided
me with incredible insight during the entire thesis. I am so fortunate to have had a supervisor
who dedicated so much time, energy and passion into my work, continuously reviewing my
work and offering invaluable insight into the research. You allowed this to be a major learning
experience, which I aim to take with me to the next chapter of my life.
My wife, Naomi Ryland, I will forever be grateful for the sacrifices that you have made to be by
my side, supporting me always through all that I do. Your ears and eyes have heard and seen
so much of my ambitions throughout this period, always ready to offer your time and heart to
help me. Your love and belief has given me the energy to smile and keep going always, and I
am truly blessed to have you as my partner.
My family, who over the years have always supported me in any decision that I have made. I
owe so much to you.
DEDICATION
My late father and brother who may no longer be here with us today, but I know for sure have
been there for me through every step, big and small. HBM + XMM
page intentionally left blank
iv ERASMUS MSELEKU FROM INTERRUPT TO INTERACT v
ABSTRACT
Flooding over the last few years has become the most frequent and devastating of the natural
disasters. This has accounted for approximately half of the death-rate and a third of economic
losses as a result of weather-related events. Though these flooding events affect many cities
across the globe, it is often the less fortunate who are disproportionately impacted by such
events. There are many factors as to why this is the unfortunate case, with a high number of
the underprivileged urban population finding themselves living in informal settlements. These
settlements are often developed on environmentally-fragile land on steep sites or floodplains and
lack the adequate waste and drainage systems that control the flow of water, further aggravating
the flood risk within these areas.
These uneven hardships are no different to Cape Town metropolitan region. Flooding has become
an annual recurrence for the city during the wet winter months between May and September, with
the informal settlements in the Cape Flats low-lying area bearing the brunt of this impact. The
research therefore aims to explore how integrated flood control design within urban development
can contribute to creating social and environmental sustainable interventions for flood resilience
in informal settlements within the Cape Town municipality. One of the most important findings
was the strong relation between waste as one of the largest contributors to the flooding events
in these settlements, which became a key driver for investigation within the research.
Kosovo informal settlement is one of the hardest hit communities during Cape Town’s high
rainfall winter seasons and will used as the case study area for the research. The objective of
the study is to investigate the existing condition and the involved stakeholders to develop well
thought design strategies and toolbox for the municipality, planners, and residents. The design
strategies and toolbox provides mechanisms to rethink flood prevention measures by shifting
from creating barriers [interrupt], to mechanisms that engage with floodwater [interact] within
a case study area.
“The storms are coming and This research has attempted to position the community at the centre. Community participation
what are we to do? When and collaboration with key stakeholders will allow the residents to contribute with their local
knowledge, experience and voices, sharing their views on the design solutions that are required
relief agencies come, all they to be integrated into their spaces.
bring is food and clothes,
they don’t care about where Keywords: climate change, community participation, flooding, informal settlements,
integrated systems, spatial inequality, sustainability
we have to [sic] sleep. It’s
impossible to sleep in water
every year...”
Kosovo Informal Settlement resident
figure 02 (left): Women navigating through the flooded Zwezwe informal settlement in Cape Town during the June 2020 winter
vi (Saturday Weekend Argus 2007) storms... An annual occurrence for these communities (Ayanda Ndamane - African News Agency, 2020)
vi ERASMUS MSELEKU FROM INTERRUPT TO INTERACT vii
TABLE OF CONTENTS
ACKNOWLEDGEMENTS + DEDICATION
ABSTRACT
Chapter One: Point of Departure
1.1 INTRODUCTION 2
1.2 FRAMING THE STUDY 3
1.2.1 Problem Statement 3
1.2.2 Aims & Objectives 5
1.2.3 Research Questions 5
1.2.4 Research Methods & Materials 5
1.2.5 Delimitation of The Research Problem 7
1.2.6 Limitations of the Study 7
1.2.7 Structure of the Study 8
PART I: RESEARCH BACKGROUND
Chapter Two: Literature Review
2.1 INTRODUCTION 12
2.2 FLOODING IN THE URBAN ENVIRONMENT 13
2.2.1 Global Cities Facing Flooding 13
2.2.2 Adapting to Urban Flood Risk 15
2.3 URBAN INFORMALITY IN TIMES OF CLIMATE CHANGE 17
2.3.1 Vulnerability of Informal Settlements to Climate Change 17
2.4 FRAGMENTATION OF THE SOUTH AFRICAN CITY 19
2.4.1 Spatial Planning of the Apartheid City 19
2.4.2 The Rise of ‘Urban Shanty Towns’ 23
2.5 FLOODING IN THE INFORMAL SETTLEMENTS OF CAPE TOWN 24
2.5.1 Formation of Informal Settlements in Cape Town 24
2.5.2 Causation of Flooding in Cape Town’s Informal Settlements 26
2.5.3 Disaster Risk Management in Cape Town 28
2.5.4 Resilience Strategy for the City of Cape Town 29
2.6 SUMMARY 30
Chapter Three: A Case Study of Kosovo
3.1 INTRODUCTION 32
3.2 CONTEXT OF STUDY AREA 35
3.2.1 Justification of Study Area 35
3.2.2 Introduction to Kosovo Informal Settlement 35
3.2.3 Historical Development of Kosovo 35
page intentionally left blank
viii ERASMUS MSELEKU FROM INTERRUPT TO INTERACT ix
3.3 CHALLENGES FACING KOSOVO 37
3.3.1 Kosovo Today and its Urban Challenges 37
3.3.2 Future Prospects for Kosovo 38
3.4 SUMMARY 40
Chapter Four: Lessons from Precedent Studies
4.1 INTRODUCTION 41
4.2 PRECEDENT STUDY 42
4.2.1 Precedent 01: Alternative Water & Flood Management Systems 42
4.2.2 Precedent 02: Decentralized Waste & Recycling Systems 52
4.2.3 Precedent 03: Building Flood Resilient Communties 59
4.3 SUMMARY 64
Chapter Five: Findings
5.1 INTRODUCTION 66
5.2 FINDINGS FROM THE STUDY 67
5.2.1 Interviews & Survey 67
5.2.2 Field Observation 69
5.2.3 Archival Analysis 71
5.2.4 Precedent Studies 72
5.3 GENERATING DESIGN STRATEGIES & TOOLBOX 73
5.3.1 Key Issues 73
5.3.2 Constraints 75
5.3.3 Opportunities 75
5.4 SUMMARY 76
PART II: GUIDELINES & MEASURES
Chapter Six: From Interrupt to Interact
6.1 INTRODUCTION 80
6.2 MEASURES FOR INTEGRATED FLOOD CONTROL DESIGN 89
6.3 SUMMARY 111
Chapter Seven: Final Considerations
7.1 DISCUSSION 114
7.2 SUMMARY & CONCLUSIONS 116
BIBLIOGRAPHY 118
LIST OF FIGURES 123
APPENDIX 127
page intentionally left blank
x ERASMUS MSELEKU FROM INTERRUPT TO INTERACT xi
Chapter One:
Point of Departure
1.1 Introduction
This chapter will introduce the research problem and its significance towards urban flooding research
from the perspective of rapidly urbanizing cities comprising of large underprivileged urban population
living in informal settlements. The research initially began by identifying these as cities within the
“Global South”. However such a terminology is rather vague and homogenizing and does not allow
for nuanced readings. It sets cities within two categories, South vis-à-vis North. Therefore the research
steps away from these categories and refers to and engages with cities that share commonalities
applicable to the research topic itself. The chapter presents the aims and objectives of the study. This
highlights what the research seeks to contribute from the aspect of knowledge production and what
the outcome is intended to be. For these aims and objectives to be met, a core component of the
introduction is the formulation of key research questions, which form the overarching guidelines
for the research. With the guiding framework in place, appropriately selected research methods and
materials are outlined in detail, to give the reader an insight as to the process that will be undertaken
to conduct the research project.
Research often comes with constraints with regards to data collection, accessibility to information,
or, as in the case of the ongoing pandemic, restriction of movement and meeting. The case study area
of the research will be Kosovo informal settlement, located in the city’s Airport Informal Settlement
pocket. This chapter therefore highlights the limitations of the research and delimitations of the study
related to working in such vulnerable communities. This is followed by an outline of each chapter in
the thesis.
figure 03 (left): man leaping over a puddle to get to work in Khayelitsha, Cape Town (Armand Hough, 2014)
1 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 2
1.2 Framing the Study Projections have indicated that natural disasters such as storms and flooding will significantly
1.2.1 Problem Statement increase in their frequency and intensity due to the unpredictability and complexities of climate
change.7 Flooding over the last few years has become the most frequent and devastating of the natural
With the rise in global populations, we are slowly beginning to see the disastrous impact that this disasters,8 accounting for approximately half of the death-rate and a third of economic losses that have
has brought upon our planet. It goes without saying, “the future of the world’s population is urban”.1 been climate-related events.9 As urbanisation brings further effects of climate change, it can also be
It has been projected that between 2018 and 2050, the urban population will increase from 4.22 attributed to magnifying flooding occurrences.10 This is mainly due to man-made environments, such
billion to 6.68 billion, making these urban environments the centre of human existence.2 The majority as the use of hard surfaces from buildings and roads accentuate water run-off. Though these flooding
of the urban expansion is expected to take place within cities in Africa and Asia. These cities are events affect many cities across the globe, yet again, it is often the underprivileged urban population
currently considered the most rapid urbanising regions in the world. The outcome of this urbanisation who are disproportionately impacted by such events.11 There are many significant reasons for this.
phenomena is the emergence of the urban slums that seem to develop simultaneously to African and Many of them live in informal settlements that are often developed on environmentally-fragile land
Asian major cities. UN-Habitat has estimated that by 2025, the majority of the global slum dwellers on steep sites or floodplains and lack the adequate waste and drainage systems that control the flow of
will either be living in cities in Africa and Asia. Sustainable development requires, addressing the water. It is important that as planners we expand our knowledge about these urban conditions as they
inequalities that exist within the vulnerable communities of our cities. affect one in seven people globally who reside in informal settlements and slums.12
National and local governments, urban planners, city managers and other key stakeholders need to It is from this starting point that the research seeks to investigate its contribution towards sustainable
address these global issues and work towards building more safe and inclusive urban spaces for all. urban developments in South Africa, where injustices from the country’s colonial and apartheid past
However, whilst trying to meet these urban issues, they are facing another global challenge, that of have disenfranchised this underprivileged urban population. The city of Cape Town is no exception to
climate change. While & Whitehead (2013) argue that whilst there are many factors attributed to the previously discussed fragilities, where the urban landscape has been shaped by rapid urbanisation
climate change, rapid urbanisation has become a significant threat to the social and environmental and the need for access to city services. However, within the context of South Africa, cities and their
sustainability of the planet we occupy.3 These urban centres have become drivers of climate change, residents remain part of fragmented urban fabrics which is traced back to the country’s colonial
with the ‘activities’ that take place within these boundaries contributing to 80% of the world’s carbon and apartheid past.13 The city has 204 recognized informal settlements,14 with the majority of these
dioxide emissions.4 located in the Cape Flats region, which is a low-lying area that is highly susceptible to flooding
within the city.15 Flooding has affected these communities for decades, which is often a result of
Though climate change and its devastating impact affect the world over, it must be highlighted that the geographical and biophysical conditions of the region, as it sits atop fragile soil on a high-water
the effects of it are however not homogenous, with the highly uneven geographical impacts being table.16
more severe in underprivileged regions and communities, again located within Africa, Asia and South
America.5 This is why responsibility is further heightened to all the key stakeholders involved in urban With all this to consider, the research problem leads itself to a complex, yet intriguing perspective
development to work closely to address the current climate crisis, as this is necessary for inclusive within urban research. Flooding in urban settlements will not be a topic that is new within academic
economic growth, reduction in inhabitants living in poverty, and a much-needed decrease in health discourse, but I investigate and unpack this complex problem through my lens as an architect with a
inequalities experienced in these areas. This uneven impact has formed much of the international desire to contribute to social and urban change in these communities.
policy debate around ‘climate (in)justice’, where these nations often identified as “low-income” or
“developing” nations have a far smaller carbon footprint, feel the climate wrath of the wealthier
industrial nations from the global north and their emission. A powerful statement made by Lumumba
Di-Aping at the Sharjah Architecture Triennial in 2019 emphasized this injustice by saying,
7 Williams, David., Costa, María., Sutherland, Catherine., Celliers, Louis., Scheffran, Jürgen. 2019. “Vulnerability of informal
“Africa is a non-industrial block of nations that has contributed nearly zero emissions settlements in the context of rapid urbanization and climate change.” Environment and Urbanization 31 (1): 157-176. https://doi.
since the herald of the anthropocene... Africa has been a colony denied the dignity of org/10.1177/0956247818819694.
8 Kashyap, Shrutidhara., Mahanta, Ratul. 2018. “Vulnerability aspects of urban flooding: A review.” Indian Journal of Economics and
being human... yet Africa is already suffering from climate change.”6 Development 14 (3). https://doi.org/10.5958/2322-0430.2018.00175.0.
9 Williams, David., Costa, María., Sutherland, Catherine., Celliers, Louis. 2018. “Informal Settlements and Flooding: Identifying
Strengths and Weaknesses in Local Governance for Water Management.” Water 10 (7). https://doi.org/10.3390/w10070871.
10 Lau, Coleen, Lee Smythe, Scott Craig, and Philip Weinstein. 2010. “Climate change, flooding, urbanisation and leptospirosis:
fuelling the fire?” Trans R Soc Trop Med Hyg 104 (10): 631-8.
11 UN-Habitat. 2018. Addressing the most Vulnerable First: Pro-Poor Climate Action in Informal Settlements. United Nations
1 United Nations Department of Economic and Social Affairs, Population Division. 2019. “World Urbanization Prospects: The 2018 Human Settlement Programme (UN-Habitat) (Nairobi).
Revision.” United Nations (New York, USA). 12 Ibid 11
2 Ibid 1 13 Maylam, Paul. 1995. “Explaining the Apartheid City: 20 Years of South African Urban Historiography.” Journal of Southern Afri-
3 While, Aidan., Whitehead, Mark. 2013. “Cities, Urbanisation and Climate Change.” Urban Studies 50 (7): 1325-1331. https://doi. can Studies, Special Issue: Urban Studies and Urban Change in Southern Africa 21 (1): 19-38.
org/10.1177/0042098013480963. 14 City of Cape Town. 2017. Informal Settlement - Area 4. City of Cape Town Municipality (Cape Town).
4 Ibid 3 15 Bouchard, Bethany., Goncalo, Ashley., Susienka, Michae.l, Wilson, Kevin. 2007. “Improving Flood Risk Management in Informal
5 Zhang, Yanchun. 2009. “Climate Change and Development: Interlinked Challenges and Opportunities.” United Nations Develop- Settlements of Cape Town.” Worcester Polytechnic Institute.
ment Programme (New York, USA: Office of Development Studies). 16 Ziervogel, Gina., Waddell, Joy., Smit, Warren., Taylor, Anna. 2014. “Flooding in Cape Town’s informal settlements: barriers to
6 Di-Aping, Lumumba. 2019. “The Global Climate Ghetto.” Sharjah Architecture Triennial. London collaborative urban risk governance.” South African Geographical Journal 98 (1): 1-20. https://doi.org/10.1080/03736245.2014.924867.
3 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 4
“Right now, it will take everyone pulling together as the people of the Cape Flats to have open-ended discussions, obtaining data that was geared towards experiences and personal
face another winter of north-westerly fronts, heavy rain and what happens when those stories related to the research subject. A set of interviews questions was prepared as a general guide
for the discussion. The arranged interviews for the research were also within contrasting scenarios.
deluges hit the natural wetlands upon which so many poor communities are forced to
The first scenario being a discussion with two community leaders during the field observation. Due
settle on the edge of the Mother City.” Joubert & Martindale, 2013 to the fluidity of the discussion based on the observations that were taking place, more site specific
1.2.2 Aims & Objectives questions and answers were the outcome of this scenario. This was carried out with the assistance
of a friend, Dr Emily Douglass, who helped me take notes and photos. The second scenario was an
The research aims to explore how integrated flood control design within urban development can interview conducted with Mr. Matthew Phillips, a stormwater engineer with experience on flood
make for more environmentally sustainable and flood resilient informal settlements within the Cape assessment, stormwater modeling and masterplan within the City of Cape Town. The interview was
Town municipality. The objective of the study is to investigate the existing condition and the involved conducted as a means to gain insight into what technocratic approaches have been undertaken to
stakeholders to develop well thought design strategies and toolbox for the municipality, planners, and mitigate flooding in the city, and what are the challenges faced when working on infrastructural
residents. The toolbox provides tools to rethink flood prevention measures by shifting from creating measures within informal settlements. The interview took place over Zoom and was recorded with the
barriers [interrupt], to mechanisms that engage with floodwater [interact] within a case study area. consent of the participant. The audio file was then transcribed using Thema software, which interpreted
the file to text format. These two were then reviewed as an interpretive process and ensuring that the
This will therefore aim to illustrate through combining technical flood protection, water sensitive text aligns with audio.
urban strategies and flood-proofed building design, how this shall increase the living quality in the
case study area. Survey
The survey method was undertaken as a means to collect primary data with relation to the research
1.2.3 Research Questions topic and the case study area from a large group of selected individuals. With this method, the intention
The purpose of this study is to develop guidelines for integrated flood control design that will be was to distribute the survey to the city of Cape Town’s municipal employees working in departments
implemented in the informal settlements of the City of Cape Town. Integrated systems require a related to the research topic. Questions were structured to obtain concise and particular data from
holistic and multi-layered contribution to the research problem. This is guided by discussions with the perspective of the city, who play a significant role as stakeholders in any urban development and
many key actors who will be outlined later in the thesis. In order to develop this, my thesis must be projects. Unfortunately due to the limitation that are addressed below (1.2.6), accessibility to the city
aligned through research questions which act as guides in addressing the core issues inferred by the officials was limited and only one survey was completed. The employee was from the Department of
research. These issues are outlined below; Informal Settlements and this information was analysed.
My primary research question is:
Field Observation
• How can tools and strategies be developed for communities living in Cape Town’s informal
Another method in which to obtain primary data is to carry out field observations.This is done through
settlements to reduce their flooding risks?
a site visit in which the researcher can observe the real-life circumstances that are taking place in a
physical location. Through field observations, you as the researcher are able to observe situations and
My primary question can be broken down to the following questions:
phenomenas that can offer unique insights to the study area, and may have not been observed through
• How can integrated flood control design create environmentally sustainable, flood resilient
other forms of data collection. Through direct engagement with a case study area, you also are then
solutions in informal settlements?
open to interactions with users of the space, who themselves may offer insight into the research. A site
• Why are the informal settlements in Cape Town prone to natural disasters such as flooding?
visit was carried out to Kosovo to conduct observations of the case study area. From this, unplanned
• What flood risk factors can be addressed to improve flood mitigation in the informal settlements
interviews with key community figures, a community leader and council member were able to take
of Cape Town?
place which formed a key component of the study.
1.2.4 Research Methods & Materials
Archival Analysis
The research topic is complex due to the nature of the problem it is tackling and the context of the The archival analysis method was undertaken as a means to collect secondary data in relation to the
study area, a historically complex city. It requires collecting data and information deploying a range research topic within the context of the city of Cape Town. This method is used to identify specific
of research methods and using material that is accessible. The thesis has attempted to deploy mixed- areas within the city that have been exposed to flooding occurrences, and which settlements would
method approach to gain a broader picture of the problem at hand. These are in the form of semi- therefore be more prone to these climate-related events than others. To source this information,
structured interviews, surveys, field observations, and a desk study. The following methods have been the University of Cape Town was contacted regarding access to newspaper archives that would be
outlined to respond to the questions above. Following that I shall detail the challenges I faced when connected to flooding events in Cape Town. The contact person was informed of the research that was
attempting to carry out the following methods: being undertaken and how this data would be used within the thesis. Newspaper archives from the
University of Cape Town Library Special Collections were issued and categorized. These would be
Interviews analysed to the understand patterns of the flooding occurrences in the city of Cape Town.
The interviews that were conducted were undertaken as a means to collect primary data with relation
to the research topic and the case study area. A semi-structured approach was chosen as a means
5 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 6
1.2.7 Structure of the Study
Desk Study The thesis is divided into two main parts comprising seven chapters. Part I is the analytical framework
The desk study was undertaken as a means to collect secondary data from current and previous of the document, in which a literature review is carried out and the context of the study. Part II will
projects that is relatable to the context of the study and can give insight and justification to the design be the design guidelines and implementation framework which has been developed from the findings
strategies and toolbox that will be presented. From this precedent studies would be conducted to gain and opportunities derived from Part I.
an understanding of existing and proposed solutions relating to the research topic. These were based
on a set of criteria that will be outlined below; Each chapter begins with a general overview of what will be discussed, as well as a summary to
1. Placing focus on integrated systems and infrastructure set within informal settlements, and/or conclude. The chapter outlines will be as follows;
similar socio-economic urban structure.
2. Flood control measures in fragile landscapes and communities. ‘Chapter Two’ provides a background and context to the topic of the thesis. I first look at the global
3. Community-led processes and initiatives; and challenges of flooding within urban environments and how cities counteract these natural disasters.
4. A collaborative approach to urban development This is followed by looking at the informal peri-urban environments which are most vulnerable to
flooding occurrences. I then look at the means in which informal settlements have developed in the
The desk study was also conducted for the literature review. This method allows for the gathering context of South African spatial urban planning and more specifically, the city of Cape Town where
of extensive background information from multiple secondary sources required to substantiate the the case study shall be examined. The chapter concludes by looking at the local municipality of the
research problem and the need to conduct this research. case study area and how the city has and plans to respond to the issue of flooding within its most
vulnerable communities.
1.2.5 Delimitations of Research ‘Chapter Three’ provides insights into the case study that has been identified and selected. I begin
The guidelines for integrated flood control design will be based on the key issues and constraints by highlighting how Kosovo developed over time . I then proceed to show how flooding has become
that are derived from the key findings of the case study area in chapter four. The guidelines will not a problem for this community. The chapter concludes with a review of the future prospects of the
include all factors that may contribute to flooding in informal settlements. It focuses on the four factors informal settlement of Kosovo.
that are outlined; urban water management, inadequate waste management, informal housing not ‘Chapter Four’ provides lessons from existing and proposed examples relating to the research topic.
resilient to flooding, and poor collaboration between community and key actors. This, therefore will Based on the key elements from the literature review and case study, the chapter identifies key
generate solutions for the urgent issues facing the area identified in the case study area, that may be criterion for the precedent examples that will be investigated. This is fundamental in ensuring that the
used in other similar contexts. examples will give insight for the way forward in understanding the necessary tools and strategies to
address the complex research topic.
1.2.6 Limitations of the Study ‘Chapter Five’ provides the key findings of the research. In this chapter I begin by breaking down the
findings based on the research methods used, these are; Interviews, Survey, Field Observation, Archival
• This research is conducted as a masters thesis, there is the time constraints of having only a Analysis and Precedent Studies. From this I highlight the key issues, constraints and opportunities
semester to complete the research, I had to acknowledge the limitations of what can be achieved. that arise from these challenges and will generate the appropriate measures for the design strategies
• Due to the Covid-19 pandemic, only one site visit took place during my trip to South Africa, and toolbox approach.
and no focus groups and face to face interviews were limited to semi-structured observational ‘Chapter Six’ forms part of the design and implementation phase of the thesis, and therefore a key
discussions during site visit. component. This brings the research analysis and interprets this into design strategies and tools. The
• Due to the Covid-19 South African variant, I wasn’t able to meet with municipality officials whilst chapter begins with a site analysis and inventory of the selected case study area. From this, hotspot
I was in Cape Town, with many unreachable via email due to offices being closed in early 2021. areas are identified. This allows focus to be drawn on these areas within the area. The design strategies
• Working within informal sectors and development can bring about issues regarding sourcing and tools are then presented. These are set out as detailed breakdown that highlight the ‘why’, ‘how’
of data. Open-source data in Cape Town is limited and thus understanding socio-economic, and ‘who’ questions of the guidelines.
infrastructure-based information was challenging. ‘Chapter Seven’ discusses the considerations of the research. This concludes with recommendations
• Working within informal settlements, there is the complexity of obtaining data from authorities, and final thoughts, with the potential of a new way forward for floodproofing informal settlements.
as these are often not published in online platforms or available on various media platforms.
• Working within underprivileged urban communities raises many questions, most importantly the
ethical issues related to studying informal settlements and subjugating people to research. Careful
consideration was required when undertaking fieldwork in the case study area. Those interviewed
were informed of the research project and how the information would be used within the thesis.
Photos taken were discussed with members of the community who would be in the images and
how they would be included in the thesis that will be published.
page intentionally left blank
7 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 8PART I: RESEARCH BACKGROUND 9 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 10
Chapter Two:
Literature Review
2.1 Introduction
This chapter will provide an overview of the occurrence of flooding disasters and water management
in urban areas . It begins by looking at how cities across the world have for many years experienced
flooding disasters. This highlights how rising urban populations have contributed to the climate change
crisis, which has further intensified the occurrences of such weather-related events. The chapter then
proceeds to discuss the role of human activities in increasing floods. Finally, the chapter discusses
how cities are working towards managing these flooding occurrences, by looking at urban flood risk
management processes through structural and non-structural measures.
The research places its focus on informal settlements within urban environments. It analysis the
impact that climate change has on such fragile communities and spaces. Through this we understand
how flooding has continued to be a major threat to these communities due to factors such as fragile
locality of settlements, poor infrastructure and lack of water services supporting the settlements in
time of heavy rainfall.
The formation of the informal settlement of Kosovo in relation to the apartheid planning system is
examined because of its connection to the ongoing water management problem. This is achieved by
shedding light on the settler colonial project in South Africa and spatializing race.
figure 04 (left): children keeping safe indoors during heavy winter rainfall in Cape Town (Armand Hough, 2014)
11 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 122.2 Flooding in the Urban Environment
2.2.1 Global Cities Facing Flooding
As populations continue to drastically rise in urban areas, cities will be required to adapt to the needs
of these new inhabitants. Urban resources are already under strain with most major cities unable
to confidently address issues such as lack of affordable housing, accessibility to city services and ‘meteorological’
opportunities to all its users. Though these concerns are glaringly difficult for city managers, local precipitation
governments and all affected by these, climate change and its disastrous effects will further bring
storm surges
greater challenges. Due to these various issues it has become common to associate cities with the
occurrences of disasters and high risks.17 snow melt
temperature fluctuation
One such disaster that has been impacting cities over the decades is urban flooding. As we move further
into uncertainty due to the unpredictability of climate change, disasters such as flooding have also
increased and impacted urban areas.18 This is extremely concerning, when examining the statistics on
flooding over the . In 2010, it was reported that 178 million people across the globe were affected by NATURAL
flooding.19 Statistics that were recorded over a 30-year period from the US National Hazard indicated
that flooding has highest weather-related death-rate. Furthermore, one third of Europe’s economic
losses are attributed to flooding hazards.20 It is clear from these statistics the rampant and impactful
effects of flooding disasters across the globe. Based on the current and projected levels of flooding ‘hydrological’
events, one could argue that flood risk management in urban settlements should be high priority. soil moisture levels
Design investments and implementation of flood prevention systems may need to become a priority ground water levels
in urban development, to ensure that cities globally are better protected against these natural hazards. typography
the extent of impervious surfaces
In order to be able to mitigate and create integrated flood control measures, there is a need to consider channeling of water courses
how and why these incidents occur. The World Meteorological Organization identifies two factors
that often combine and are exacerbated by human involvement in the natural environment that cause
tidal variations
flooding events:
‘meteorological’ - which includes “natural” occurrences such as precipitation, storm surges, snow
melt, temperature fluctuation and the likes
‘hydrological’ - which includes existing soil moisture levels, ground water levels, topography, the
extent of impervious surfaces, channelling of water courses, and tidal variations that affect runoff. MAN-MADE
As mentioned before, human action will at times play a key factor on such events. This can be
considered the technical factor, where land use changes, developing and building on existing
floodplains, poor maintenance of stormwater and drainage infrastructure, and disturbance of such
systems to fully function due to improper disposal of solid waste.21
‘technical’
land use changes
developing on floodplains
poor stormwater & drainage
infrastructure maintenance
poor waste management leading
17 Park, Kiyong., Lee, Man-Hyung. 2019. “The Development and Application of the Urban Flood Risk Assessment Model for Re-
flecting upon Urban Planning Elements.” Water 11 (5). https://doi.org/10.3390/w11050920. to infrastructure dysfunction
18 World Meteorological Organization. 2012. Integrated Flood Management Tool Series: Urban Flood Management in a Changing
Climate. (Geneva, Switzerland: Associated Programme on Flood Management).
19 Jha, K. Abhas, Bloch, Robin., Lamond, Jessica. 2012. Cities and Flooding: A Guide to Integrated Urban Flood Risk Management
for the 21st Century. Washington, USA: The World Bank.
20 Kashyap, Shrutidhara., Mahanta, Ratul. 2018. “Vulnerability aspects of urban flooding: A review.” Indian Journal of Economics
and Development 14 (3). https://doi.org/10.5958/2322-0430.2018.00175.0.
21 Ibid 17 figure 05: diagram of factors causing and aggravating flood risk (author)
13 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 14Cities and their occupants need to work together to help minimise the effect of flooding, to plan for
building resilience. Municipalities develop strategies and policies to combat the various stresses faced,
and therefore it is crucial that when it comes to flooding, these are well-considered. These strategies
should involve as many stakeholders as possible in a collaborative approach, to produce more creative
solutions. The next part looks at the various flood risk measures that are often undertaken by cities
during flooding crisis.
2.2.2 Adapting to Urban Flood Risk
Flooding risk is unfortunately an inevitable occurrence that cannot be easily avoided, therefore it
is important for cities to have rigorous urban flood risk management that will potentially protect
its residents from human loss and economic damages.22 Understanding the basic steps of how to
minimise flood risk is fundamental for the efficacy of the measures (refer to figure 06). Assessing the
risk needs to be undertaken before and after implementation of the flood prevention measures. It is
key to evaluate the performance of the measures undertaken to understand how effective these are at
reducing the flood risk, and where improvements can be made by reassessing the residual risks. These
steps however still need to be implemented in an integrated manner where reviewing and quantifying
risks based on data obtained from hydro-meteorological statistics.23
It has been argued that over the years, global efforts have been focused on technocratic approaches
to flood control measures.24 These are in the form of building infrastructure such as dikes, dams, and
channelization, yet flooding remains a regular occurrence in modern cities. Based on this premise, figure 06: diagram of flood risk management process (author)
it further highlights the need to look at other ways beyond hard-tech solutions to mitigate flooding.
The concern with this bias towards technical solutions, is that this allows and further encourages With urban planning being recognized as a more central role in flood risk management within cities,
development to occur in fragile and flood-prone areas, as technical solutions can be implemented to this could lead to more effective and economically efficient ways to address such disasters.30 City
reduce the risk of flood and other hazards.25 This has been the response that has led to cities across the managers and engineers design, operate and rigorously maintain urban drainage systems, as these are
globe facing severe flooding risk, with much urbanization taking place close to rivers or floodplains the key infrastructure developed to counteract changing climates and risks of higher precipitation in
due to the attractiveness of having accessible water source and planar morphology of the locations.26 urban areas.31 However, this may not be the case in all urban environments, especially areas such as
informal settlements where services are limited in capacity. For flood risk to be reduced in these urban
Within integrated approaches to urban flood risk management, measures are defined in two situations, areas, city managers and planners will need to look at unique and innovative ways to work.
structural and non-structural. Structural measures are implemented in ways to reduce flood risk by
redirecting and managing the flow of water in specific areas. These measures as mentioned before, The next part of the thesis will look at the abovementioned urban areas and aim to understand their
often range from hard-engineered interventions for flood defences, to more natural solutions by means fragility and greater susceptibility to weather-related disasters caused by climate change. Through
of wetlands and natural buffers.27 Non-structural measures on the other hand, manage the risks through this the research seeks to gain a better understanding of the factors that make informal settlements
capacity building of communities to cope with the flooding events within their own environment.28 vulnerable to natural hazards, and more specific to the research, flooding hazards. This may begin to
An example of this could be the implementation of warning systems within these communities, where highlight potential urban issues that are directly linked to the challenges faced in the case study area.
forecast information is converted and communicated for alertness.29 A major benefit of such measures
are the low-cost and shorter time frames, as structural measures often are costly, time-consuming and
may be disruptive if these are constructed on main transit routes.
22 Tingsanchali, Tawatchai. 2012. “Urban flood disaster management.” Procedia Engineering 32: 25-37. https://doi.org/10.1016/j.
proeng.2012.01.1233.
23 Ibid 22
24 Ibid 17
25 World Meteorological Organization. 2012. “Integrated Flood Management Tool Series: Urban Flood Management in a Changing
Climate.” (Geneva, Switzerland: Associated Programme on Flood Management).
26 Ibid 17
27 Ibid 19
28 Ibid 19 30 Ibid 25
29 Ibid.25 31 Ibid 22
15 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 162.3 Urban Informality in Times of Climate Change 2.3.1 Vulnerability of Informal Settlements to Climate Change We are constantly confronted by climate change and the rising global urban population’s impact on the planet. A concerning reality of this however, is that a quarter of the worlds urban population is currently living in ‘slum’ or informal settlement areas on the periphery of many global cities.32 Though these impacts will affect the world over, this significant urban population living in informal settlements is recognized as being extremely vulnerable to climate change.33 This is down to multiple significant factors and characteristics that are not present in most developed urban environments.34 With the current trends and projections of climate change impact, this has highlighted the increase in the occurrence and intensity of natural disasters such as major storms and flooding. Such disasters significantly affect the underprivileged urban population.35 Informal settlements are often developed on environmentally-fragile and high-risk locations such as on decommissioned landfill sites, along floodplains or former wetlands, which in times of high rainfall, makes these prone to experiencing high exposure to climatic hazards.36 This coupled with poor infrastructure in terms of waste management and drainage networks, accentuate the risks that these areas face due to climate change. With the hardship that these residents already face on a day-to-day basis, climate change further becomes a mechanism to trap them in the cycle of vulnerability and poverty, with each disaster impacting their homes, assets, socio-economic opportunities, and health.37 Many reports have been published and conferences held by organisations including the various boards of the United Nations and Intergovernmental Panel on Climate Change (IPCC) on climate figure 07: An informal settlement in Johannesburg affected by both fire and rain (Bevan Mutasa, 2021) adaptive urban settlements and the need to make these environments ‘resilient’ to climate shocks and stresses. We can understand the term resilience to be an antonym of vulnerability, ensuring that urban environments can bounce back and counteract against such climate hazards.38 Doing so however, is a significant challenge that we face in climate change adaptation of our cities, especially for the urban population in informal settlements. Understanding ‘resilience’ in the context of flooding in Cape Town’s informal settlement is a consequential component of the research, referring this back to the research aim (Part 1.2.2) “to explore how integrated flood control design within urban development can make for more environmentally sustainable and flood resilient informal settlements”. This will be further discussed in part 2.5.4 of this chapter, where the City’s Resilience Strategy will be assessed. Informal settlements have developed because citizens needed to claim a space in locations that may offer ease of access to cities rich core services that these areas lack. However, within the context of Kosovo in Cape Town, informal settlements are also connected to a traumatic history. The next part of the chapter will look at how colonial and apartheid rule would distinctly shape the South African city and bring rise to informal settlements. 32 Department of Economic and Social Affairs, United Nations. 2020. Accessed 02 March 2021 at 14h44. 33 Scovronick, Noah., Lloyd, Simon., Kovats, R. Sari. 2015. “Climate and health in informal urban settlements.” Environment and figure 08: Manila Flooding where 54 000 residents were evacuated (EU Civil Protection and Humanitarian Aid Operations/2018) Urbanization 27 (2): 657-678. https://doi.org/10.1177/0956247815596502. 34 Ibid 33 35 Ibid 7 36 Ibid. 10 37 Ibid 10 38 Ibid 7 17 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 18
2.4 Fragmentation of the South African City 2.4.1 Spatial Planning of the Apartheid City Thirty-one years since its abolishment, yet the scars and legacy of apartheid are to this day, still so clearly evident within South Africa’s social and physical landscape. The physical structuring is often is easily understood when looking at the fragmented and racially divided cities that exist today. Spatial planning during apartheid in South Africa was devised as a means for political and economic control, ensuring that the urban growth will be managed by segregating the cities by racial lines. Non- white inhabitants were allocated to areas away from city centres and into informal settlements and townships.39 The origins of this divisive strategic planning model however, can be argued on whether to have stemmed from policies rooted in racial division of the apartheid government, or an extension of colonialism, or both.40 Either or, both have had a tremendous effect on spatial planning of the South African urban landscape today that requires much improvement for a large part of the population. Homes’ chapter in the 2014 ‘The Routledge Handbook on Cities of the Global South’ looks closely at how colonialism played a pivotal role in shaping the cities of the ‘South’.41 The author’s view is framed upon British colonial management systems being the catalysts that gave rise to systematic urban racial segregation that was developed and infamously applied in the apartheid city within South Africa.42 Through colonial systems such as ‘dual mandate’, which promoted the ideals of preserving traditional society whilst introducing investment and development from foreign stakeholders, land tenure was racially controlled to limit the rights to the city and land by the indigenous population. The Land Act in 1913 and the Native (Urban Areas) Act in 1923 would be considered the founding principles of control by the apartheid government, and would be referred to as the “key pillars of segregation”.43 These policies fundamentally excluded black people from ownership of land by enforcing a law that legally required them to obtain proof of ‘competence to acquire’ test, which was structured to disqualify them. Segregation as a tool for separation along racial lines was prevalent in British colonial management of the cantonment and townships, where exclusive European residential areas were segregated from African and Indian populations with a zoning system.44 Another strategy adopted by the apartheid government was the ‘Group Areas Act’ in 1950, which saw the legal demarcation of racial groups, formalizing racial segregation. This didn’t only separate people within specific areas, but would allow the demarcation and separation of key services such as education, health and government administration facilities.45 This strategic designation meant that the white population were allocated central locations in the city or nearby suburbs with high access to essential services and opportunities, whilst the non-white population would be excluded from these areas and located on the periphery of the urban core (refer to figure 09). 39 Todes, Alison. 2012. “Urban growth and strategic spatial planning in Johannesburg, South Africa.” Cities 29 (3): 158-165. https:// doi.org/10.1016/j.cities.2011.08.004. 40 Maylam, Paul. 1995. “Explaining the Apartheid City: 20 Years of South African Urban Historiography.” Journal of Southern Afri- can Studies, Special Issue: Urban Studies and Urban Change in Southern Africa 21 (1): 19-38. 41 Home, Robert. 2016. “Shaping Cities of the Global South - Legal histories of planning and colonialism.” In The Routledge Hand- book on Cities of the Global South, 75-85. London, United Kingdom: Routledge. 42 Ibid 41 43 Huchzermeyer, Marie. 2002. “Informal Settlements: Production and Intervention in Twentieth-Century Brazil and South Africa.” Latin American Perspectives 29 (122): 83-105. 44 Ibid 41 45 Ogura, Mitsuo. 1996. “Urbanization and Apartheid in South Africa: Influx Controls and their Abolition.” Institute of Developing Economies 34 (4): 402-423. figure 09: Apartheid City model illustrating racial spatial segregation (author - adapted from Davies 1981) 19 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 20
figure 10: A blind man begging next to a sign directing people to non-white public transport station in Cape Town during Apartheid
James Davis, 1967)
21 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 222.5 Flooding in the Informal Settlements of Cape Town
2.4.2 Rise of the Urban ‘Shanty Town’ 2.5.1 Formation of Informal Settlements in Cape Town
I have briefly explained how colonialism and the apartheid regime played a pivotal role in shaping the Though the apartheid spatial model was applied in all cities across South Africa, the black population
urban landscape through policies and governance. Through creating cities controlled and segregated in Cape Town were subjected to the harshest conditions.50 The homeland boundaries to which they
by racial lines, this would lead to urban development that is derived from residents’ needs. Non- would be permitted to reside, were situated approximately 1000kms from the city centre where
whites were pushed further away from the city, and only through working permits were permitted the economic base was located.51 The black workers who could no longer afford the long-distance
to live with or nearby their employers. The ‘Native (Urban Areas) Act of 1923’ would give rise to commute from the homelands, or wanted out of the poor conditions of migrant labour hostels, would
urban settlements built and managed by local authorities known as “locations”. These were situated seek to defy the apartheid spatial plan and contend for space nearer the city.52 The transition from
on the periphery of the city and designated for black people to live.46 These however, would become the homelands would result in informal settlements popping in areas in which migrant workers could
overcrowded and located away from any accessible key public services and facilities. Black residents see the potential for settlement that benefitted them and their families. This of course was not without
who wanted to live in areas that allowed them to have better access to the city and work opportunities, fight back from the authorities, with many of these settlements being torn down and threatened by
began to take back control of the urban landscape. ‘Urban shanty towns’ which would be formally military forces. Crossroads Settlement would gain international fame after the residents resisted the
referred to as informal settlements were developed by black residents through unauthorized invasion forced removals and demolition of the settlement,53 a catalyst for these communities standing up and
of land where temporary shelter was constructed.47 It can be viewed as an act of protest against the winning their rights to their land against the authorities.
unjust laws that ensured unequal access to land and housing in areas that were more desirable and
offered more to the residents. Finding vacant land where communities could build and settle with their families would give these
workers the sense of dignity and ownership that was stripped away from them. Accessibility to the
Today, decades on, these urban settlements are home to a significant black population of South city centre was key, and thus these settlements were to be located next to main routes. A prominent
Africans. Based on the statistics from the South Africa Household Survey in 2011, an estimated site for informal settlements was located near the new airport that was built in 1954 (refer to figure
12.1% of South Africa’s 14.75 million households were informal housing dwellings.48 It is important 11). This area would be allocated for city services such as landfill and dumping sites, which today is
to define what informal settlements are, as these often have varied definitions. The most referenced home to settlements such as Kanana, Vukuzenzele (Xhosa for ‘wake up and do it yourself’) and one
definition is one used by UN Habitat III issue paper - 2016 which states that these are “residential of the oldest informal settlements built in the early 1970’s, Crossroads.54 Locating themselves close
areas where; to the city meant that they had better access to health services and work opportunities. Today, many
1) inhabitants have no security of tenure vis-à-vis the land or dwellings they inhabit, with modalities settlements in Cape Town position themselves along or near transportation routes for accessibility
ranging from squatting to informal rental housing, purposes fundamental to their livelihood.
2) the neighbourhoods usually lack, or are cut off from, basic services and city infrastructure, and
3) the housing may not comply with current planning and building regulations, and is often situated The research will look to understand these black designated residential areas in the City of Cape
in geographically and environmentally hazardous areas.”49 Town and how these are impacted by climate change, more so with regards to flood risk, which have
The fundamental basic services such as clean drinking water, sanitation that these lack, have resulted become a norm for these vulnerable informal settlements and their residents.
in these being high health risk areas for the inhabitants. For the purposes of the research, in relation
to the theme of flooding, emphasis will largely be placed on supporting services within informal
settlements that are likely to increase flood risk to these communities such as stormwater and waste
infrastructure, as well as the quality of housing stock.
50 Spinks, Charlotte. 2001. “A New Apartheid: Urban Spatiality, (Fear of) Crime, and Segregation in Cape Town, South Africa.”
Development DESTIN Studies Institute (London, United Kingdom: LSE Department of International Development (ID)).
46 Inid 41 51 Ibid.42
47 Ibid.42 52 Ibid 50
48 Marutlulle, Noah K. 2017. “Causes of informal settlements in Ekurhuleni Metropolitan Municipality: An exploration.” Africa’s 53 Watson, Vanessa. 2003. “Change and Continuity in Spatial Planning: Metropolitan Planning in Cape Town Under Political Tran-
Public Service Delivery & Performance Review 5 (1). https://doi.org/10.4102/apsdpr.v5i1.131. sition.” London: Routledge.
49 United Nations. 2017. Habitat III Issue Papers. Conference on Housing and Sustainable Urban Development. New York 54 Ikamva Labantwana: Our Children’s Future. 2003. Accessed 02 March 2021 at 17h12.
23 ERASMUS MSELEKU FROM INTERRUPT TO INTERACT 24You can also read
