Human Settlements Review - Parliamentary Monitoring Group

Human Settlements Review 

VOLUME 1, NUMBER 1 

SEPTEMBER 2010 

human settlements 

Department: 

Human Settlements 

REPUBLIC OF SOUTH AFRICA

Human Settlements Review, Volume 1, Number 1, 2010 

Vision 

A nation housed in sustainable human settlements 

Mission 

To facilitate an environment that provides sustainable 


The Human Settlements Review will be a regular publication of the Department 

of Human Settlements. The intention is to develop it into a peer reviewed 

series. Each edition will be clustered around a particular theme that contains 

a balanced view from academic research, case studies and experiences of 

programme implementers. Articles will be sourced from research organizations, 

academic institutions, civil society organizations and public service practitioners. 

Inquiries about submitting an article for publication can be directed to 

Research@dhs.gov.za. 

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ISBN: 978-0-621-39733-8

CONTENT 

Page 

FOREWORD 

i 

Design instrumentation in Participatory Practice 01 

Promoting Alternative Technologies 12 

Sustainable Development Criteria for Built Environment Projects 34 

A framework for assessing building technologies 59 

Innovation and Alternative Building Technology 86 

A Sustainable Housing Calculator 101 

Sustainable Architecture, Planning and Culture 118 

The Holistic Approach Needed for all Sustainability Endeavours 145 

Comparisons, trade-offs and opportunities within the 

context of sustainability 157 

The Role of Innovative Technology in Sustainable 

Human Settlements 176 

The Story Of The Great Plans Of Mice And Men 196 

National Sustainable Settlements Facility 217 

“Time” as a key factor in design and technical decision-making 236 

Enterprise Development in the Alternative Building 

Technology Industry 253 

POLICY PERSPECTIVE 

The Use Of Alternative Technologies In Low Cost Housing Construction 266 

Coming To Terms With Alternative Building Technology 271


Foreword 

Human Settlements Review aims to contribute to a critical debate on 

appropriate responses to the challenge of providing adequate shelter for the 

poor, the impact of rapid urbanisation, the development of a single residential 

property market, sustainable planning and many other issues related to 

human settlements. More importantly it aims to provide a mechanism for the 

Department of Human Settlements to harvest and disseminate studies on 

various aspects in pursuance of developing sustainable human settlements. 

This inaugural edition is devoted to innovation and alternative building 

technologies. It looks at how innovation and alternative building technologies 

should best be utilised in the provision of shelter while taking into consideration 

issues of environmental and economic sustainability. Papers contributed 

by scholars and practitioners explore the role of innovation and alternative 

building technologies in the development of sustainable human settlements. 

Issues examined include understanding the sustainable development 

paradigm, sustainable architecture and culture. The policy development and 

implementation discourse is introduced through substantive theory and case 

studies. 

While the publication is not peer reviewed it is the intention of the Department 

of Human Settlements to develop it as a platform for new and established 

researchers to share new knowledge, review policy and deliberate on all 

matters related to human settlements. There is no doubt that in the next few 

years it will mature into a widely recognised and highly respected publication. 

i


Design instrumentation in Participatory Practice – 

The case of the Training for Self Reliance Project 

(TSRP), Lesotho. 

Iain Low 

School of Architecture, Planning & Geomatics African Centre for Cities 

University of Cape Town 

1 

The prospect of development in any situation 

is fundamentally linked to that of social justice. 

In a country such as South Africa this must 

necessarily be linked to service delivery. Given 

the legacy of apartheid and its spatial agenda, 

delivery in the built environment remains an 

abiding priority. Recent policy evolution has 

shifted this imperative from a quantitative to 

a qualitative concern. The challenge to built 

environment professionals, and designers in 

particular, is to interpret this policy through the 

creation of new approaches to both design and 

delivery. By engaging the breadth and depth 

of new policy, one should reconfigure the 

arrangements that inform spatial production 

to provoke new spatial conditions that links 

quantitative and qualitative dimensions to 

radically transform the lives of the marginalised. 

Participatory Practice is an instrument that is 

often deployed in engaging with communities. 

Its interpretation is however frequently a 

reductive one that seeks to gain concensus 

from user groups in relation to their needs and 

wants. Failure in this realm is more frequent 

than is generally supposed and maybe 

ascribed to the failure of process to genuinely 

interface with communities. On the one hand 

facilitators abrogate professional responsibility 

to the detriment of higher order concerns, 

and on the other designers lack the capacity 

to interpret competing community needs and/ 

ipp integrated participatory practice [ipp] poe post occupancy evaluation 

dbr design build research tsrp training for self reliance project 

or to translate them through the application of 

speculative design imagination. 

The potential of design is to engage 

Participatory Practice as an open 

representation in responding to society’s 

challenge. When responsibly applied, design 

can mediate between policy/planning, 

community needs, spatial transformation, 

local economic and sustainable development. 

One productive domain for sponsoring such a 

design dialogue is the realm of technological 

innovation. Mediating between modernity and 

tradition this approach permits the development 

of situated approaches to tectonic problems 

that entail tremendous possibility to capacitate 

local communities. This principled approach 

to design making is not necessarily sector of 

project based, but is capable of interpretive 

replication across multiple sectors and sites 

giving added meaning to participatory practice. 

In his seminal publication, ‘The Coloniser and 

the Colonised’ Albert Memmi [1965] proposes 

the loss of original language as an explanation 

to the seeming chaos that accompanies


the post colony. His insight has particular 

relevance in the realm of architecture and 

spatial practice. Colonisation conditions a 

cultural genocide that effectively eradicates 

most indigenous practices, rendering 

communities ‘speechless’ and unable to act. 

This disruption of tradition and the established 

approaches to the conditions that inform 

everyday lives of communities is most obvious 

in the spoken and written word. It is, however, 

somehow less obvious in the constructed 

world of human settlement where modernity 

seems to inevitably take command. The RDP 

house, as a solution to shelter in South Africa, 

is exemplary of this condition. Not only does 

its autonomy fly in the face of the collective 

spatial structure that is emblematic of ubuntu, 

but perhaps more so, it is in the massification 

of the means of its production that we 

dehumanise dwelling. 

The contemporary task of architecture in 

a developing environment such as Africa 

demands an alternative approach to the design 

of the built environment. The norm of ‘topdown’ 

utilitarian and economic approaches that 

are prevalent in developed countries tend to sit 

uncomfortably within African contexts. Local 

practices and communities have been largely 

marginalised from modern modes of material 

production and consumption. In his publication 

‘Modernity at Large’ the post colonial theorist 

Arjan Appadurai [1996] identifies this condition 

and establishes a coherent argument for the 

‘production of localities’. Opposing the scaler 

and spatial dimensions of material culture, 

he proposes the elevation of complex coaxial 

interrelations between the imperative of 

the socius, technological interactions and the 

relativity that constitutes any context. At one 

level this may seem to imply a fundamentally 

different attitude to the structuring of human 

existence, however, when otherwise examined 

it could be interpreted as a plea for a return to 

origins, to a condition where inclusive human 

relations prefigured the making of ‘architectural 

form’. 

Since the emergence of South Africa’s 

democratic independence in the early 1990’s, 

there have been many policy attempts to 

redress the legacies of colonialism and 

apartheid . Needless to say we have not 

succeeded in either quantity nor in quality of 

delivery in the built environment. Whilst we 

enjoy a rich policy domain we lag in delivery 

on the ground. Socio-economic empowerment 

underlay’s government’s ideology of 

transformation yet the predominant modes 

of architectural production are still dominated 

by market principles. These protect formal 

practices and establish barriers to inclusivity, 

marginalising the participation of the poor. 

The role of design in prefiguring inclusivity 

can maximise opportunity for more horizontal 

relations that promote direct involvement of 

the poor and marginalised. Design through 

participatory practice in its broadest meaning 

can revolutionise housing, education and 

health programs affording direct socioeconomic 

opportunity for communities. 

Initially the project had established a utilitarian 

approach to implementation. Directly 

translating MoE norms, a 50m 2 classroom 

unit built from concrete blocks with corrugated 

sheet iron was proposed. Its construction and 

appearance drew on the common utilitarian 

solutions that were prevalent in the region at 

the time. Lacking in any design consideration, 

2


this approach produced classrooms that were 

devoid of any environmental quality and the 

environmental warmth necessary for human 

practices to thrive. In addition the construction 

techniques were not only minimal in standard, 

but moreso, often inferior and lacking the 

necessary resilience to withstand the pressures 

of intensified use associated with public 

buildings. In addition to these considerations, 

the severity of the Lesotho’s mountainous 

rural terrain imposes severe restrictions on 

the availability of materials, on the ability to 

move about with ease, on the availability of 

skilled labour and on the conditions under 

which one is forced to build, to identify but a 

few. The capacity for local contributions, in 

the form of self-help participation, as required 

by both the lender-donor, World Bank - 

International Development Agency [WB/ 

IDA] and the Government of Lesotho [GoL] 

proved a mismatch. The reliance on a clear 

division between government contribution; 

new buildings, and community participation; 

maintenance proved unsustainable. The 

uncritical imposition and replication of 

predetermined standard models seldom 

achieves the desired and necessary success. 

The use of model solutions demands, at a 

minimum, contextual adaptation, or preferably 

transformation through local interpretation 

in order to derive approaches capable of 

absorbing those conditions and relations that 

pre-exist. 

influences upon modes of production can 

have much impact on this potential. Whereas 

‘modern’ delivery results in buildings that 

often seem to have descended from the sky, 

‘traditional’ means rely on a more piecemeal 

and nuanced approached to intervention, one 

that is supportive of continuity, as opposed to 

change or overwriting with ‘newness’. These 

two positions represent extremes and often 

compete irrationally playing out against each 

other in the same context. The complexity and 

contradictions that arises is often irreconcilable 

and leads to one or the other predominating, at 

the expense of the other. The result is that of 

weak formalism, in the prioritisation and overt 

reliance of architectural form over human 

experience. The practice of everyday life and 

the ordinary events whose iteration define 

the rituals of daily existence often become 

subsumed within the expediency of form 

making, and of cost efficiency and delivery. 

The Participation of Space 

The production of space has its counterpart in 

a space of production. The effects of space lay 

in its usefulness to affect social relations and 

human events. Design innovation that positively 

3


fig. i | illustration of Peoples’ Facility in Qoaling outside Maseru, Lesotho; demonstrating early 

experimentation with concrete block and brickwork, and the subsequent utilisation of the TSRP 

framed structural system. 

Transformation in colonial contexts, 

such as South Africa, sits on an interface 

between divided conditions. Where design 

considerations recognise local exigencies, as 

both material and cultural practices, it is possible 

to achieve, through design means, what Arjan 

Appadurai has defined as the Production 

of Locality . When viewed through this lens 

the architectural project becomes situated 

within the condition of its specific locale. Its 

resolution requires the assimilation of multiple 

forces in order to produce a necessary valency 

and accommodate dissimilar things and the 

complexity and contradiction they evoke . 

Unfortunately the progress demanded by 

Western modernity is often only measured 

quantitatively and remains a predominant 

gauge of delivery in global discourse on 

development. The potential of engaging 

dual phenomenon of social and physical is 

seldom insisted upon. Rather in contexts of 

transformation socio-economic empowerment 

should be the foundation stone of physical 

implementation. 

In Lesotho under the TSRP program it 

was probably the severe constraint of rural 

conditions that encouraged deep integrated 

design innovation. The schools in the 

program are located throughout the kingdom, 

however, the majority are located in the 

interior of a mountainous kingdom sited within 

exceptionally poverty stricken villages. Roads, 

access to materials, water, skilled labour and 

etc. all pose severe constraint to a regular and 

efficient building process. In addition there is 

often limited land area on which to build, and 

that which is available slopes steeply and 

4


has either rock or soil or clay for founding on. 

There is seldom electricity or water reticulation 

and the weather is severe, particularly in winter 

months. Skilled and semi-skilled labour is not 

locally available. Construction materials need 

to be brought into rural areas where roads are 

practically non-existent. 

In confronting extremes it becomes necessary 

to view conditions from multiple directions 

simultaneously. Henri Focillon [ ] poses a 

question of ‘How to become modern without 

loosing touch with sources’ How then do we 

incorporate different ways of seeing the world, 

and therefore of making new worlds In Lesotho 

the challenge was to enfold local practice into 

the production of the new education facilities. 

When considered as a developmental tool, 

this posits issues regarding the leveraging of 

design thinking to elevate basic skills above or 

alongside those of so-called skilled workers. 

Essentially minimum investment and effort 

was expended in establishing an enabling 

framework for maximising the use of village 

skill and local materials. Given the unique 

human and geographic context of the Lesotho 

this question raised essential issues around 

questions of architectural language and the 

concomitant spatio-technical practices that are 

necessary for their realisation. 

fig. ii | illustration of the TSRP system of construction through a number of different sites, demonstrating 

its freedom for adaptation in specific situations. 

5


The system devised relies on a pad foundation 

system. Cast on beds of aggregated these 

are joined by a stepping ring beam at natural 

ground level. This approach addresses the 

clay and brick founding conditions, saves on 

excavation and underground walling, whilst 

establishing a somewhat over structured base 

on which to build the enclosure. T-shape 

quoining columns emerge and rise to door 

height where a second ring beam is connected 

to reinforced corner columns created from 

concrete filled blockwork. The material for 

infil between columns is locally sourced; 

stone in rural mountainous areas, brick in the 

lowlands where local brickfields are at hand 

and blockwork where local enterprises exist. 

The employment of local artisans ensures 

economic 

The grid of 1,630m is derived from a combination 

of the block column plus a standard school 

pivot type window, as well as the maximum 

spacing possible for a labour intensive site 

manufactured roof trusses. Corrugated iron 

roof sheeting is interrupted by clear paxit fibre 

glass sheeting at on the south the ridge to 

enable ‘free’ overhead even daylight during 

the school sessions. The underside is line 

with sisalation silver foil providing insulation 

and a ceiling finish, enabling the lowering of 

the wall heights. Where stone infil has been 

utilised an individual identity is created by the 

craftsperson, whilst the rear panel requires 

plaster and painting and provides a small but 

defined site for learning and skilling of new 

workers. In schools where the community 

is organised and motivated an extra ‘shell’ 

classroom is added providing for an outdoor 

shelter for dining, teaching, gathering, etc. 

Ultimately it affords the opportunity for an 

additional classroom, requiring only the infil 

of the space between the quoined columns; 

work which is directly related to capacity within 

the community and therefore immanently 

realisable. 

Where sites are cramped and land is scarce, 

for instance in older urban schools, the 

allocated classrooms have been placed on 

the upper level. Similar to the case with the 

rural ‘shell’ classroom, the lower floor is 

prepared for later enclosure thereby affording 

densification of urban areas and the retention 

of exceptionally valuable outdoor playing and 

recreation space. It is easier to ‘build down’ 

than to build upward in extending a building, 

and the additional investment required to 

facilitate this type of extention is well spent. 

It leverages economic, spatial sand technical 

capacity contributing to an integrated basis 

for sustainable development. This approach 

brings a new dimension to community 

participation as a living continuous process 

that is driven directly by internal needs and 

capacity of the community affected. 

The 1,630m quoined columnar grid building 

system also lends itself to different forms of 

combination. Different building types that 

respond to the growing needs of these basic 

schools become possible. Science Laboratories 

and Domestic Science Workrooms can be 

achieved through small modifications and 

the incorporation of appropriate equipment 

and servicing. Special functions such as 

Offices, Staffrooms, Libraries, Kitchens and 

Ablutions lend themselves to more advanced 

interpretations of the construction system. 

These as smaller, individual buildings provide 

a basis for more complex training programs. 

6


Emblematic of all the tectonic relations afforded 

by the system, a worker with advanced skill 

may gain critical training that prepares them for 

future deployment as construction foreman, or 

indeed in certain cases for commencing their 

own small entry level construction firm. 

Collectively these individual building 

components can be deployed over a site, 

allowing for best orientation, for ease of 

interconnection, for phased growth and for 

productive collective spatial configurations. 

This temporal dimension to development 

is consistent with traditional rural practice, 

and contrasts strongly against the master 

planned ‘mega’ structure approach promoted 

by contemporary utilitarian approach which 

demand maximum delivery in the minimum 

time. 

This 1,630m grid and column therefore forms 

the DNA of the project; it is not a reductive 

controlling cartesian grid, but rather an 

enabling one that provides maximum freedom 

for absorbing and accommodating the many 

dimensions of the complex building process. 

Despite the utilisation of a systems approach 

to design and building with the use of iterative 

components and plans, the outcome of each 

school is differentiated by mediation of the 

model across all the scales of implementation, 

from site making through configuration of 

selected units and the infil material chosen 

down to the hand of the individual craftsperson 

who effects the actual work. 

another conflict in the process. The project 

was therefore reinterpreted as Design Build 

Research [DBR]. Essentially the program 

became a laboratory for investigation and 

experimentation that produced concrete 

results capable of measurement and thereby 

contributing knowledge in a positive feedback 

cycle. 

The initial buildings focussed in nuanced 

responses to the existing classroom designs. 

Critical knowledge was acquired in this process 

that lead to an eventual reconfiguration of the 

modes of production. However, the knowledge 

was gained in-situ, by doing. In other words, 

‘thinking and making’ are reconciled within a 

single space of production. This approximates 

both early vernacular responses to shelter and 

settlement making, as well as to contemporary 

responses that are prevalent in the townships 

and informal sector. Here necessity and the 

limitation of financial, spatial and material 

resources has prompted genuine innovation. 

One of the preconditions in pursuing this 

line of design is time/space for research. 

It necessarily involves significant delay in 

the delivery of goods and services; raising 

7


fig. iii | illustration of the building system identifying columnar framework with quoined openings for 

less skilled labourers to infil; evidence of identity making through different rock/brick face relative to 

sourcing, cutting and subsequent laying. 

The role of the detail in architectural production 

has been profoundly explicated by Marco 

Frascari. In his seminal essay, The Tell-the- 

Tale Detail, Frascari [1984] locates tectonic 

sensibility as the basis for both constructing 

and construing meaning in architecture. “The 

art of detailing is really the joining of materials, 

elements, components, and building parts in a 

functional and aesthetic manner. ” In the realm 

of spatial production this argument maybe 

extended to both spatial and experiential 

tectonic. In other words we might consider all 

human actions as having a tectonic implication; 

whether it be the connection of humans with 

their god[s] through mediation of light, or the 

combining of materials through techniques of 

joining, or the empowerment of impoverished 

communities through modes of material 

production that are inclusive of their capacity 

to construct. Under conditions of austerity and 

in developing contexts, such as those of Africa, 

the imperative for architectural imagination to 

speculate beyond the conventions of the formal 

becomes a necessity. Attending to the tectonic 

of architectural detail has liberated the iterative 

from its mundane representation. Design skill 

deployed imaginatively expands that freedom 

to render a unique valency to standardisation. 

In the case of TSRP in Lesotho this has enabled 

the production of space to engage society in 

multiple ways; in economic development of 

poor communities, in the incorporation of local 

materials, traditional skills and space making 

and in the potential for harnessing passive 

energy, to identify a few. 

8


fig. iv | illustration of possible permutation utilising the system; double storey classroom with lower 

floor shell structure awaiting local enclosure; VIP compositing school toilets; small office and 

warehouse for project’s book unit. 

Conclusion 

Whilst the Lesotho example suggests that 

severe conditions are a prerequisite for 

tectonic invention, the project is in fact not 

about technology, nor education for that matter. 

It is about design, about design as a critical 

response to a set of pre-existent conditions 

that have power to impact upon a decision 

making process and affect its outcome in the 

interests of more than simply the production of 

space. Design interpretation of any situation 

in order to maximise the latent potential that is 

inherent in the complex set of circumstances 

enable the configuration of space. By bringing 

intellectual insight to given conditions, 

imagination and speculation find a resonance 

with contingency, enfolding them productively 

into an interpretative design process that is 

predicated on unforeseen outcomes. 

The Lesotho project will find direct correlation 

in many [southern] African situations. It may not 

be directly applicable, but local interpretation 

of its principled approach to socio-economic 

empowerment could contribute a force in 

directing built environment development in 

our own contexts. This becomes particularly 

relevant in the phase of the rapid urbanisation 

of our cities and the growing informality that 

has come to characterise ‘African Urbanism’. 

The approach of Design Build Research posits 

a productive framework for engaging this work 

and suggests new instruments of delivery that 

engage critical human agency in focussing 

design creativity to social conditions. 

9


The prospect of envisioning the informal 

sector as a laboratory for engaging questions 

of community building, as opposed to that of a 

problem of slum clearance, we may discover 

new and poetic modes of spatial production 

that deliver socio-economic as well as physical 

shelter benefits. 

References 

Appadurai, Arjan [1996] Modernity at Large. Minnesota Univ. Press, Minneapolis. 

Foster, Hal [] The anti-aesthetic – Essays on Post Modern Culture. 

Frascari, Marco [1984] The Tell-The-Tale Detail; Via 7: The Building of Architecture, pp23-47; 

University of Pennsylvania/Rizzoli, NYC. 

Le Febvre, Henri [1991]; The Production of Space; Blackwell, London. 

Low, Iain [1998] Building and self-reliance; in Apartheid, architecture and after; Judin, H & Vladislavic, 

I [eds.] NAi, Rotterdam. 

Memmi, Albert [1965] The Colonizer and the Colonised, transl. Greenfield, Howard; Earthscan, 

London. 

Venturi, Robert [1965] 

Complexity and Contradiction in Architecture; MoMA, NYC 

Watson, Vanessa [2002] Change and continuity in the planning of Cape Town; Routledge, London. 

Endnotes 

i. DoHS introduced government’s new Sustainable Human Settlement / Breaking New 

Ground [SHS/BNG] housing policy in 2004. 

ii. Generally the emphasis is on both the social and physical, sometimes the political, but 

seldom, if ever, on the economic needs required for sustaining community development. 

iii. Memmi, Albert; The Colonizer and the Colonised; 

iv. That is a non-western / non-modern one 

v. Reconstruction and Development Program [RDP]; Growth Employment and Redistribution 

[GEAR]; [ASGIAS], Extended Public Work Programs [EPWP] 

vi. The notion of competing rationalities and the difficulty of conciliation is a key tenet 

formulated in Watson’s PhD inquiry which critique’s planning processes in the City of Cape 

Town; Watson, Vanessa [200X] Change and continuity in the planning of Cape Town 

vii. Appadurai, Arjan [1996] ‘The Production of Locality’ in Modernity at Large; Minnesota 

University Press, Minneapolis. 

10


viii. 

ix. 

These are the very qualities that Robert Venturi ascribes the roman baroque whose 

complexity approximates our contemporary condition, and demands similar effort 

in attempting to resolve its questions. 

The problem of continuity and change is intimately linked to the breakdown of tradition and 

the speed of delivery that modernization and economic progress demands. Focillon’s 

prompt is toward an inclusivity that enables the co-existence of difference necessary 

for democratic practice and the maintenance of civil society, particularly in an age of 

radical/accelerated change. x. Frascari, Marco [1984]; The Tell-The-Tale Detail; Via 7: 

The Building of Architecture, pp23-47; University of Pennsylvania/Rizzoli, NYC. 

11


Promoting Alternative Technologies: 

Experiences Of The Habitat Research & 

Development Centre (HRDC) 

Martin Andreas Wienecke 

Habitat Research & Development Centre Namibia 

1. Introduction 

The growth of human settlements in Africa has 

been a characteristic in the last century. Africa 

is the continent with the highest urban growth 

rate. This has serious implications for the urban 

environment, the social circumstances and the 

ecology. Providing housing and infrastructure 

are two priorities governments have to tackle. 

However, merely constructing new houses and 

the associated infrastructure is inadequate. 

Housing is much more. The UNCHS (1997) 

defined housing in a comprehensive context 

as “physical shelter plus related services 

and infrastructure, including the inputs (land, 

finance, etc.) required to produce and maintain 

it”. The United Nations (1978) provide a 

definition of rural housing, which can also 

be applied to urban housing, to illustrate the 

multitude of components involved: 

“... as the dwelling units plus utility services 

such as roads, water supply, sewage disposal, 

electricity and fuel. Furthermore, it includes 

markets, health centers, social and cultural 

areas for education, religion, recreation, 

community participation and management. 

Facilities for agricultural and agro-industrial 

activities and services also form part of the 

system”. 

In urban areas the latter will include nonagricultural 

industries, bureaucracies, and 

higher educational institutions. If the challenges 

of housing are to be addressed, a multitude of 

factors have to be incorporated in the process, 

as indicated in the definition above. 

The reliance on conventional approaches 

has not contributed to problem solving in the 

case of housing. Many attempts have been 

made to alleviate some of the constraints, e.g. 

community based projects or involving small 

contractors in the construction processes. 

In most cases conventional materials and 

construction methods formed the basis of the 

activities. The affordability of many households 

declines continuously, due to the constant 

increases in prices for conventional materials 

and services, and the slower growth rates in 

incomes. This has lead to various attempts 

to find a solution through mass production, 

economies of scale, and subsidies, to lower 

the costs. Other initiatives looked at nonconventional 

approaches in order to overcome 

constraints, among them were alternative 

technologies. Some examples will illustrate 

the design and work done by the Habitat 

Research and Development Centre. 

2. Alternative technologies 

So-called modern construction materials are 

regarded as more durable than traditional 

12


materials, such as clay, wood, or thatching. 

In most cases the utilization requires skilled 

personnel, and requires money to purchase 

materials and to pay artisans for work done. 

This contrasts with what was achieved over 

centuries by many indigenous societies, who 

relied on locally available materials and their 

own skills. This vernacular knowledge is 

nowadays often ridiculed and described as 

back ward, although they could be described 

as eco-materials. 

Non-conventional or alternative technologies 

have been advocated especially in the 1960a 

and 1970s. Wang (1991:10) differentiates 

between three terms, which are often lumped 

together. The first is intermediate technology, 

an approach to development in which full 

industrial technology is eventually possible. 

The second term, appropriate technology 

was discussed above. Proponents criticised 

many industrial technologies, which are 

not appropriate for poor communities. The 

third term alternative technology, is a radical 

criticism of the excesses of the industrial 

society. By promoting alternative technology, 

its proponents seek to reform society by making 

use of technology, which is environmentally 

sustainable, affordable, and allows equity in 

the access to resources. The alternative to 

industrial technology should have aspects 

accommodating the needs of the rich and 

also the poor. The rich need a technology 

to allow them to achieve their desired living 

conditions without unnecessary depletion of 

natural resources, whereas the poor require 

technology suitable for their survival needs 

(Wang 1991:11). These technologies should 

be cheap, simple and effective. Among the 

alternative technologies are for example biogas 

plants, which make use of waste products, 

are environment friendly, and could be used 

for fertiliser production and to produce gas 

for cooking purposes in rural areas, thereby 

minimising the need for firewood. 

Intermediate technology is concerned with 

small-scale industries starting with existing 

techniques and using knowledge of advanced 

techniques to transform or improve them 

(Rondinelli & Ruddle 1978:105-106). In poor 

communities technological innovations must 

be inexpensive and of minimal risk. Thus to 

be relevant, the demand for products must be 

within the purchasing power of the consumers. 

Another form of intermediate technology is 

village technology aimed at small farmers. It 

is advocated that innovations in this respect 

should begin at the current level of village 

competence, for example using traditional 

carpenters or blacksmiths. Materials used 

should be locally available at low costs. 

“Village technology should seek principally 

to reduce bottlenecks and constraints in 

production systems” (Rondinelli & Ruddle 

1978:104). Intermediate technology must 

be made available to those interested and 

requiring it. Knowledge can be transmitted 

through training and information channels 

from one place to another. A central authority 

gathering, researching and providing relevant 

information, can be a useful point to start with 

the dissemination process. 

The term ‘appropriate technology’ is defined 

by Napier, et al. (1987:1) as “technology that 

is appropriate to the needs of a particular 

society at its present level of development, 

since different cultural and geographic groups 

require different technologies. 

13


‘Technological self-determination’ should 

harmonise with cultural identity and 

complement the needs of the community in 

a satisfying and creative process”. It also 

stresses that every society has a technological 

tradition and new technologies should not come 

into conflict with traditions. This however is not 

always possible, especially in cases where the 

communities demand those technologies used 

by the ‘modern’ sections of the society. 

With references to Alternative Technology 

(AT), the question is, alternative to what 

BusinessDictionary.com (2010) defines the 

term as manufacturing or production methods 

that are less polluting and more resource 

efficient than the traditional methods, whereas 

Dictionary.com (2010) describes it as a 

technology, which conserves or renews natural 

resources and is considered environmentally 

friendly. These definitions refer to alternatives 

to the expensive conventional technologies 

and their negative effects of the natural 

environment. 

Jamison et al. note that during the 1970s AT 

activists advocated technologies that would 

facilitate the radical transformation of industrial 

society to facilitate a transition to a more 

ecologically harmonious, socially convivial, 

and economically steady-state society (Smith 

2005:106). Examples included renewable 

energy; organic food production; autonomous 

eco-housing and communities; cooperatively 

operated workshops; small-scale 

infrastructures for water (Smith 2005:107). 

Corresponding to this position, a key figure in 

the AT movement, Fritz Schumacher, intended 

to change the poor transfer of capitally-intense 

technologies from the industrialised world to 

the developing and this resulted advocating 

‘appropriate’ technologies (Smith 2005:110). 

A comparison with conventional technologies 

is depicted in Figure 1 (Smith 2005:111): 

Figure 1 – AT solutions versus conventional technologies 

14


Morris (2009:1) points out that Schumacher 

used the term “appropriate technology” to refer 

to “technologies that fit local conditions, are 

inexpensive, small-scale, simple to use, made 

from local materials, do not deplete natural 

resources, and help create fulfilling jobs and 

workplaces, especially for poor and rural 

people”, and these were intended to promote 

self-reliance. Schumacher’s book Small Is 

Beautiful highlights some the important themes 

(Morris 2009:2): 

• The importance of human scale, 

• The idea of natural capital; treating nature as 

capital and not as income, 

• Including concern for workers and 

environmental integrity in business decisions, 

• The “economy of permanence”, based on 

sustainable use of natural resources, and 

• Decentralism and a belief in community selfreliance. 

Although AT and the related concepts 

declined in the 1980s and 1990s, the 

principles reemerged at the beginning of the 

20th century. Environmental crises, energy 

crises, and climate change are among the 

triggers, which aided what the early AT 

advocates intended in industrial countries 

such as reduction of polluting industries, 

renewable energy, and ecological protection. 

However, the “alternative energy challenge 

was being interpreted through the incumbent, 

industrial frame, into which AT ideas did not 

fit comfortably” (Smith 2005:112). Wind and 

solar energy technologies are very expensive 

and require a considerable initial investment. 

A plant manager in a German solar panel 

factory stated (pers. Communication June 

2010) that the establishment of a new factory 

requires huge amounts from Government, 

i.e. subsidies. This is one reason why no 

production facility operates in Southern Africa. 

Laszlo (2010) summarises arguments for a 

further evolution of technology: 

“The evolutionary challenge for 

technology in the third millennium is one 

of designing the vehicles for sustainable 

human and societal development in 

partnership with earth. The challenge 

calls for the conscious creation of 

evolutionary systems-not through the 

‘hard technologies’ that shape and 

mold the physical infrastructure of our 

planet, but through ‘soft technologies’ 

that augment creative and constructive 

processes of human interaction. 

Through them, humanity has the 

opportunity to create the conditions for 

the emergence of a true learning society 

at both regional and global levels. The 

meaning of key terms such as evolution, 

technology, and development must be 

explored if we are to create a shared 

understanding of the contemporary 

survival challenges faced by humanity”. 

The soft technologies inter alia refer to 

attitudes, ethics, and other psychological 

factors, where the hard technologies include 

alternative technologies. The combination 

of these two factors can be found in what is 

termed Eco-materials and green building. 

Ecomaterials is defined by EcoSouth as those 

construction materials that are ecologically and 

economically viable (ECOsur, 2010a). Due to 

the diminishing income from the sale of sugar 

to the former Soviet Union after 1989, Cuba 

began to develop its own building materials. 

15


Universities were involved in developing, for 

example, an alternative binder product CP40 

(see ECOsur, 2010b). Village technologies 

were developed in Cuba to enable inhabitants 

to produce building components such as 

bricks, window and doorframes, roof tiles, 

and sewer pipes, all made from concrete. 

The transfer of certain technologies has, for 

example, resulted in the manufacturing of 

micro-concrete roof tiles are in Namibia. 

The building of shelter, according to Wines 

(2000:9), consumes one-sixth of the world’s 

fresh water supply, one-quarter of its wood 

harvest, and two-fifth of its fossil fuels 

and manufacturing materials. Sustainable 

architecture or green architecture, attempts 

to advance three purposes: 1. to advance 

the purely selfish motive of survival by a 

cooperation with nature, 2. to build shelter 

in concert with ecological principles as part 

of this objective, and 3. “to address the 

deeper philosophical conflicts surrounding 

the issue of whether we really deserve the 

luxury of this existence, given our appalling 

track record of environmental abuse” (Wines 

2000:20). The challenge is to reach the point 

where green architecture is indistinguishable 

from good architecture (Jones 1998:9). 

Brenda and Robert Vale pioneered energyefficient 

architecture in the 1970s and wrote 

Green Architecture. They were “not so much 

concerned with what a building looked like as 

with what it did to the environment” (Madge 

1993:160). They also discussed the viability 

of Western patterns of consumerism and the 

need to ‘green’ city planning. 

nurtures their health, satisfaction, productivity, 

and spirit. It requires the careful application of 

the acknowledged strategies of sustainable 

architecture: non-toxic construction, the use of 

durable, natural, resource efficient materials, 

reliance on the sun for day lighting, thermal 

and electric power, and recycling of wastes 

into nutrients (ARC Design Group, 2000). 

Green building or architecture considers 

solar passive or earth sheltered design, 

solar hot water heating and cooling systems, 

photovoltaic systems, and energy efficient 

appliances. 

Kibert and Schultmann (No date:1) argue 

that the “green building movement espouses 

that the built environment should be created 

using ‘ecological’ principles, yet there is little 

evidence that there is any real understanding 

of ecology or ecological principles on the part of 

the various actors in the building process”. The 

authors stress that a deeper understanding of 

ecology and ecological concepts is needed 

to create a truly effective green building 

movement. According to Bringezu (Kibert 

& Schultmann (No date:4); Wallbaum & 

Buerkin (2003:54)), the Wuppertal Institute in 

Germany suggests an alternative set of rules 

for the industrial systems to follow ecological 

principles, labeled the Golden Rules of Eco- 

Design: 

1. Potential impacts on the environment 

should be considered on a life cycle 

basis or from cradle-to-grave, 

2. The intensity of use of processes, 

products and services should be 

maximized, 

A green building serves the needs of the people 

who inhabit it, which means it supports and 

16


4. Hazardous substances should be 

eliminated, and 

5. Resource inputs should be shifted 

towards renewables. 

The emergence of the term Construction 

Ecology refers to the development and 

maintenance of a built environment, which 

contains 1. a materials system that functions 

in a closed loop that is integrated with ecoindustrial 

and natural systems; 2. dependence 

on renewable energy sources, and 3. the 

fostering of preservation of natural system 

functions. These objectives have also been 

applied to industries as part of Industrial 

ecology, where four cardinal rules can be 

hypothesized that should govern the flow 

of materials in the built environment along 

the lines of how ecological systems function 

(Kibert & Schultmann No date:5). These rules 

are referred to as the Cardinal Rules of the 

Construction Materials Cycle: 

1. Buildings must be deconstructable, 

2. Building products must be 

disassemblable, 

3. Building product materials must be 

recyclable, and 

4. The dissipation effects of materials 

recycling must be harmless. 

In line with the above UN definition, considering 

a building only is not sufficient. Infrastructure is 

needed to provide energy, water and sanitation 

services. Several ideas were incorporated of 

which solar energy was a requirement in a land 

with an abundance of sunshine. As the most 

arid country south of the Sahara, water is an 

important consideration. Rainwater harvesting 

and dry sanitation were added to reduce 

water consumption. Community organizations 

requested conference facilities, which 

they could use, as part of the facilities. Dry 

sanitation was not considered as suitable for 

large numbers of people using the facilities in 

a short period of time. Therefore conventional 

flush toilet were used in the ablution blocks, 

but in order to avoid wasting the water, all 

were connected to a biogas plant, which in 

turn is connected to an artificially constructed 

wetland to treat the effluent. 

3. The example of the HRDC 

3.1 Functions and role of the HRDC 

The operations of the HRDC had to consider 

a wide range of activities. The HRDC is an 

institution in which the public and private 

sector can participate, as well as NGOs active 

in housing and associated fields. This requires 

a transdisciplinary and transinstitutional 

knowledge generation approach to achieve 

the numerous objectives in the field of housing 

and its related issues. 

a) Research: 

The first priority is the gathering and analysis 

of information available inside and outside 

the country. For this skilled manpower 

(human resources) in the private, public 

and NGO sectors is required to facilitate the 

gathering, analysis and flow of information 

between professionals and users. Existing 

techniques, approaches or technologies 

have to be identified and tested. This process 

provides information on possible products and 

projects within the country, which could be 

implemented. 

17


b) Development 

Once enough information has been collected 

and evaluated, the development of materials, 

equipment, technologies, can commence to 

provide a basis for communities and small 

and medium scale entrepreneurs. This can be 

supported by adapting technologies and by 

networking with other institutions and partners. 

c) Consultancy services 

Once products have been researched and 

developed, consultancy services can be 

(and have been) provided by the HRDC, 

based on the experience gained and the 

available technology. This benefits individuals 

and communities, as the service is aimed 

at individual homebuilders (self-help); 

community facilities which can be built by 

communities (labour intensive projects); 

government projects, such as infrastructure 

provision or buildings. In general the HRDC 

offers the following services: consultancies 

relating to urban and rural development, 

housing, infrastructure, environmental issues, 

technology transfer, policy advice, and 

information services. 

d) Marketing: 

Two marketing strategies have to be 

considered once services and products are 

available: The first is product marketing, which 

aims at potential clients in the private and 

public sector, to make them aware what is 

available and what has been developed. The 

second is technology marketing, which targets 

entrepreneurs who can provide services and 

products to consumers. 

The HRDC was also intended to be the site for 

a permanent exhibition of building products and 

technologies to encourage the private sector 

to use the Centre’s marketing opportunity and 

to have products and technologies tested in 

Namibia. This was a request made by smaller 

companies during the inception phase. 

e) Skills Training: 

Another area is the provision of training 

facilities at the HRDC and in co-operation 

with an existing training institution, to enable 

people to learn or upgrade skills in six to eight 

week courses. To support the informal sector, 

village based industries could be promoted by 

giving trainees the opportunity to manufacture 

their own tools and equipment and to repair 

them, even if they are living and working in a 

remote rural area by utilising locally available 

resources. 

3.2 Embodied energy 

The establishment of the HRDC was initially 

based on the fact that about 80% of building 

and construction materials were imported. 

It is a well-know fact that there are many 

resources in Namibia, which are not utilised. In 

2002 the then Ministry of Regional and Local 

Government and Housing (MRLGH) supported 

the proposal to build a Centre, which will 

investigate and test alternative technologies, 

building materials and approaches. The latter 

included design and architecture with a focus 

on various types of energy inputs. This resulted 

in expanding the options to be considered, 

from available resources, e.g. clay and lime, to 

additional natural resources such as prosopis 

and local stone, to what is called waste. The 

latter included old tyres, building rubble, and 

metal drums. 

18


The built environment has been more a 

part of the problem than the solution (Wines 

2000:32). Architecture and environment are 

inextricably linked and their relationship is 

complex and multi-faceted (Jones 1998:15). 

The building of shelter, according to Wines 

(2000:9), consumes one-sixth of the world’s 

fresh water supply, one-quarter of its wood 

harvest, and two-fifth of its fossil fuels and 

manufacturing materials. Many resources on 

earth are regarded as finite, therefore, cannot 

be replenished. One of the most complex and 

problematic issues over the next century is 

how to construct a human habitat in harmony 

with nature (Wines, 2000:8). Even the most 

advanced designs are struggling with ways to 

integrate environmental technology, resource 

conservation, and aesthetic contents (Wines 

2000:20). 

Conventional building materials shown in table 

1 consume enormous amounts of energy - 

non-renewable energy, except when recycled. 

Holtzhausen (no date:2) clarifies two types of 

embodied energy: 1. Initial embodied energy 

and 2. Recurring embodied energy. The first 

includes energy that is non-renewable and is 

consumed in the process from acquiring the 

raw materials to the construction of the building. 

Recurring embodied energy is non-renewable 

energy required for the maintenance, repair, 

restoration, refurbishment or replacement 

of materials, components or systems during 

a building’s life span. There are associated 

environmental implications of embodied 

energy. They comprise resource depletion, the 

production of greenhouse gases, maintenance 

of biodiversity, and environmental degradation. 

One impact of building materials is related to 

embodied energy, which correlates with the 

amount of energy utilised to mine raw materials, 

transport them to a factory, manufacture a 

product, and transport the product to sellers 

and consumers. The Victoria University of 

Wellington (no date) shows some figures for 

selected materials: 

Table 1 - Embodied Energy Coefficients 

19


In addition to embodied energy, other types 

of energy were considered in the design, 

construction and use of the buildings, to 

address the conservation of each of these 

types of energy (Maritz, 2002): 

• Embodied energy: consumed in the 

manufacture of building materials, 

components and systems. 

• Grey energy: consumed in the 

distribution and transportation 

of building materials to the site. 

• Induced energy: consumed during 

the construction of the building. 

• Operating energy is used in running 

the building and its occupants’ 

equipment and appliances. 

• Added energy: consumed in the 

building’s maintenance, alteration 

and final disposal. 

4. Lessons learned 

4.1 Design and architecture 

The design took into consideration local 

aspects, such as rivers, small trees and 

bushes. The concept for this design revolved 

around three objectives (Maritz, 2002): 

• To integrate architecture and 

landscape 

• To relate to the scale of the local 

housing context, and 

• To attempt a completely 

environmentally appropriate 

building as far as possible in 

the context of its Windhoek location 

and role in Namibia 

With regard to the landscape, the buildings 

were designed to ensure that only a few plants 

had to be removed. 

The office building was turned 25º east of north 

in order to incorporate passive responses to 

keep the buildings cool in summer and warm 

in winter. The north facing parts of externally 

fixed solar screens to the roof overhangs 

shade the offices. The positions of the sun 

during the various seasons are illustrated in 

Figure 2. 

Figure 2 – Sun positions during the year and on 21 June at 13h00 

20


Massive walls were intended to act as thermal 

buffers, preventing the building from heating 

up quickly in the summer and cooling down 

quickly in winter (Maritz, 2002). However, 

the external shading had a negative effect 

on inside temperatures in winter. As Figure 

2 shows, the shading makes it impossible for 

thermal buffering to occur. Instead the walls 

remain cold. The orientation of the building 

worsens the situation, as it is turned towards 

the morning sun, which is a cold sun. The 

warm afternoon sun does not penetrate into 

the interior and therefore NO thermal buffering 

of the walls and floors occurs. 

Figure 3 – Solar passive design 

Passive solar design requires proper training 

and utilisation by the staff members, for 

example, curtains have to be withdrawn in 

winter to warm up the inside space. Contrary 

to the design principles of passive design, 

electrical coolers were installed in the offices. 

The public wing comprising the multi-purpose 

hall, library and exhibition hall, are cooled 

naturally by three windtowers, or badgir (see 

Section 5.1). They have proven to be very 

effective during summer. The rooms are cool, 

not cold, and have the added advantage that 

moist air, not cold and dry air, enters the halls. 

The wind towers have proven to be efficient 

enough, without using the installed backup 

system of electrical pump and sprayers. 

However, as no shutters or doors were installed 

to close the openings, the cooling effect is also 

maintained during winter. 

4.2 Building materials 

The construction of the HRDC integrated a 

wide range of building materials, ranging from 

industrial to natural. An overview of some of 

the most used materials will illustrate what has 

been incorporated: 

Many industrial products can be recycled 

or reused. Examples of industrial materials 

are steel imported from South Africa, burned 

clay brick manufactured in Kombat and 

Mariental, or local ready mixed concrete. The 

HRDC obtained concrete test cubes from an 

engineering lab, which were used as paving 

for the entrance area. Steel is a material that 

can be reused for many purposes, such as 

gates and burglar proofing. Second hand door 

and window frames were extensively used. 

21 

Stabilised soil blocks were one of the most 

widely used wall materials in the construction


of buildings. The inventor of the machine 

(Hydraform) in Windhoek estimated that about 

80% of all soils in Namibia are suitable for the 

usage as stablised soil blocks. For the HRDC 

materials from a farm dam and the leftovers 

of road construction projects (fines) were 

used. For the first phase, the blocks used for 

the offices has a cement content of around 

4-6%, whereas for the much higher walls at 

the public wing (library, conference room) 

about 6-8% were added. After the first blocks 

were manufactured on site during a fairly 

cold month of August, the tests after 28 days 

showed low compressive strengths, which was 

less than what was required. The curing period 

was extended and once the temperatures got 

higher, the compressive strength of the blocks 

was up to standard. Other wall materials 

include rammed earth walls for the exhibition 

hall, burned clay bricks, old tyres, sand bags, 

dry stone walls made from mica and building 

rubble from a demolished municipal flat 

building. 

Clay has been utilised in various ways 

varying from burned bricks to adobe. Some 

foundations and walls were built with burned 

bricks from Namibian factories, which stated 

operations during the time when the HRDC 

constriction started. Good quality clay does not 

require any additions in adobe construction. 

Reinforcement such as straw or grass can 

be added. For the construction of one of the 

ablution blocks, sand bags constituted the 

foundation and reinforced clay balls were 

formed by hand are then used to build the 

walls by twisting them to form a solid mass. 

Hydraform blocks also contain some clay. 

Several walls and buildings were built entirely 

from old tyres, e.g. storerooms and a double 

garage. Several retaining walls were also 

constructed with tyres. The idea came from 

the USA, where buildings, constructed with 

tyres, are called Earthships. The concept 

was developed by Michael Reynolds near 

Taos, New Mexico, where communities of 

earthships have established themselves 

(GreenHomeBuilding.com, no date). The 

original design incorporates passive solar 

architecture, but also have built-in systems 

to take into account human needs (Ehrhardt 

2000:26). They use the planets natural 

systems to provide all utilities - using the sun’s 

energy and rain to provide heat, power and 

water. They are buildings that heat and cool 

themselves, harvest their own water and use 

plants to treat their sewage (Low Carbon 

Trust, no date). 

The German Technical Development 

Cooperation (GTZ) provided funding for 

building material research, in particular 

lime based materials, to assess geological 

resources, properties and the economic 

viability of products. Calcretes suitable for 

building purposes are widely distributed in 

the northern and eastern parts of Namibia 

(Epukiro), which were utilised from the end 

of the 19th century as dimension stones in 

several locations. These soft calcretes allow 

the artisanal shaping of building blocks with 

simple means, e.g. a panga. The extraction of 

these materials and the shaping of dimension 

stones are labour intensive and yield low 

recovery rates (GTZ, BGR, GSN & HRDC 

2008:5-6). Once the research was completed, 

blocks were transported from the eastern part 

of Namibia to Windhoek. 

22


A rondavel was built on the site of the HRDC, 

because the results from the research indicate 

that the “calcrete bricks and blocks are 

economically quite competitive compared to 

standard masonry materials on the market” 

(GTZ, et al. 2008:29). 

The combination of the various building 

materials had one surprising effect - for all 

participants and visitors: at the end of the 

construction phases, money from the project 

funds was still available. There was no cost 

overrun, no request for additional funding. The 

reason - many materials were made available 

free of charge or at a very low cost. 

5. Infrastructure 

The first phase of the HRDC only utilised 

dry sanitation systems. Seven toilets were 

installed, consisting of two industrial units 

imported from South Africa and some 

experimental units, including a doublechamber 

composting toilet. The imported units 

are made from plastic materials, whereas the 

experimental units have pits built with cement 

bricks. It was found that these pits collected 

water, up to 14 centimetres per pit. This 

was the result of condensation. All pits and 

the imported units can be serviced form the 

outside. The experimental toilets had cast iron 

covers, where the condensation was observed. 

Therefore extractor fans were successfully 

installed to ensure a steady flow of air through 

the system to prevent condensation. 

5.1 Water and sanitation 

The roofs of most buildings are connected to 

water tanks to ensure rainwater harvesting. 

The rainwater of the public wing is collected for 

air conditioning purposes. Three wind towers 

or badgir were constructed, based on the 

age-old method originally created in Persia, 

nowadays Iran. According to Prof. Ghavami 

, this technology is up to 5,000 years old. At 

the top, a badger is usually open toward the 

direction of the favourable winds. In the case 

of the HRDC a basin was constructed at the 

bottom of the first floor of the tower, to hold 

the water. Wind blown into the tower during 

summer time is usually warm and dry. If this 

air makes contact with the water, evaporation 

takes place. The humid, cool and heavy air 

enters the adjacent rooms through an opening, 

resulting in comfortable inside temperatures. 

The opening should be closed during 

wintertime to avoid cold from entering the halls. 

The final phase in construction consisted of 

two conference halls, which can accommodate 

up to 160 delegates, and four workshops. Due 

to the fact that dry sanitation systems are not 

suitable for a large numbers of users, e.g. 

during a tea break, it was decided to make use 

of flush toilets. All the toilets, and the showers 

at the workshops, are connected to a 10 cubic 

metre biogas plant. This has two purposes: 

1. to produce biogas, and 2. to show that the 

remaining effluent (which contains a large 

volume of water) can be used, after treatment 

in an artificially constructed wetland, to 

produce food. This forms part of the promotion 

of EcoSan (ecological sanitation). 

EcoSan offers an approach to combine 

several apparent disparate aspects, such 

as water, sanitation and food production. 

Several technological components can also 

be integrated to offer a paradigm shift away 

from the conventional sanitation approach, 

23


i.e. waterborne sanitation. This is especially 

relevant in an arid country, because: 1. water 

is scarce and should not be wasted, 2. soils 

are usually poor and require fertiliser, 3. 

combining water and fertilizer can be useful 

in food production. Sunita Narain (2004:12) 

contends that in view of the water crisis of the 

world, 

“we need policies and practices that 

augment, minimise and recycle the 

resource. It is on this yardstick, when we 

measure the modern sewage system, we 

will find it is ecologically mindless and 

inequitous. This is because: 

• It is natural resource intensive: 

It uses materials, energy and 

generates waste. It has high 

• environmental and health costs. 

• It is highly capital intensive: It divides 

the urban population into rich and 

poor, that is, between people who 

can afford the expensive urban 

services and those who cannot”. 

generate electricity. For the Windhoek area 

a figure of 6.0 to 6.2 kWh/m2/day can be 

obtained. At present on a sunny day, the HRDC 

can run on 100% solar energy, if not too many 

activities take place. Excess energy is fed into 

the municipal grid and at night electricity from 

the grid is provided. This has the advantage 

that no batteries have to be used to store 

energy, as batteries are very environmentally 

unfriendly if not disposed properly and very 

expensive to replace. Shortly after completing 

the first phase, a local private school adapted 

the system for its school. Once feed-in tariffs 

are available in Windhoek the two institutions 

can generate electricity and a small income 

from selling electricity. 

Solar energy is also used to obtain warm 

water for the kitchen by means of a solar water 

geyser. In addition the HRDC promotes solar 

cookers, which are manufactured in Namibia. 

A project is underway to utilise one of the 

workshops to produce box cookers locally 

as the suppliers do not meet the demand for 

these cookers. 

The various sanitation systems at the HRDC 

illustrate the fact that a large center can be 

independent from a municipal sewer network. 

Every aspect of sanitation can be handled 

on site. What is required is an attitude and 

confidence in what is regarded as waste is in 

fact a resource. 

5.2 Energy 

Due to the fact that Namibia has excellent 

solar radiation, solar technology was installed 

to generate electricity. For the Windhoek area 

a figure of 6.0 to 6.2 kWh/m2/day can be 

Energy prices are increasing annually. In 

Namibia it is expected that parity will be 

reached shortly, i.e. the cost per unit from 

solar energy sources will be the same as for 

grid electricity. Thereafter grid electricity will 

become more expensive than solar energy. 

It therefore makes sense to invest in this 

technology. 

Another versatile fuel is biogas. The plant at 

the HRDC is primarily used for educational 

purposes. This has generated interest 

by builders and several individuals, e.g. 

farmers. However, there are very few builders 

24


in Namibia, capable of constructing a biogas 

plant. Such a plant requires quality work to 

ensure that the investment is worthwhile. To 

build capacity it is planned to cooperate with 

a network partner in Lesotho to provide the 

necessary training. 

6. Education and training 

6.1 Skills training in alternative materials 

and construction methods 

The HRDC is constructed from a wide variety 

of materials, including non-conventional 

materials. Therefore the builders were not 

acquainted with many of the techniques. Inservice 

training was as a consequence a key 

requirement. Initially frustrated with working 

with stabilised blocks, which do not require 

mortar, they struggled with the first few layers. 

Once they understood how to work with the 

blocks, one builder declared: I am building 

my house with these blocks. The construction 

process then proceeded to such an extent that 

it was ahead of schedule after a few weeks. 

The learning curve by the contractor was 

also evident. For the first construction phase 

stabilised soil blocks cost R3.50 per block, 

whereas in the final phase the costs dropped to 

less than 50%. The reason was that stabilised 

blocks were unknown to the main contractor, 

who therefore increased the price per block to 

cover the perceived risk. The same contractor 

also built the remaining facilities of the final 

phase, based on his earlier experiences. 

During the final construction phase a group 

of trainees was included. They were trained 

in theoretical and practical aspects of 

construction, ranging from tyre construction 

to producing bags for insulating the ceilings. 

A private sector firm executed the training with 

experienced teachers. One of the halls was 

used as classroom and an outside area was 

constructed for practical exercises. Afterwards 

the trainees worked on the construction of 

various buildings. 

Training and skills transfers are regarded 

as very important. Once the HRDC has 

established that a material, technique or 

technology is suitable, capacity building is 

required to have competent artisans, who can 

use these materials or methods. This is also 

part of marketing a product or technology. 

This has been successfully done by the Clay 

House Project, which constructed a clay house 

(compacted clay foundation and clay block 

walls) at the show house area of the HRDC. 

6.2 Education and advocacy 

The HRDC has one primary function: to 

educate. This is not limited to particular strata 

in society, but includes everyone from preprimary 

school to university. Guided tours are 

one opportunity to show visitors the various 

materials, technologies and approaches. 

Some of these provided ideas, which were 

used in several tourism projects, such as 

construction of houses with bottles, sandbags, 

and tyres. The Shack Dwellers Federation of 

Namibia bought a block-making machine in 

July 2009, to manufacture stabilized blocks 

for its projects, after members were convinced 

that after five years at the HRDC the blocks 

were still in a very good condition. 

One example may suffice to illustrate the 

process of promoting one of the items exhibited 

25


at the HRDC. The Village Council of Aranos 

resettled 800 families to a new area in 2005. 

One problem was the provision of sanitation 

facilities. Representatives visited the HRDC 

several times to obtain information on the 

various systems. In 2006 Council requested 

a meeting in Aranos with the community to 

address the options available. The HRDC 

explained some options by means of lightweight 

plastic toilets and pictures. After explaining the 

options, community members stated that they 

could build one of the options – the Otji-toilet. 

The latter was designed and is constructed by 

the Clay House Project in Otjiwarongo. With 

the help of a project grant to promote these 

dry systems, where the local authority has to 

contribute 560 bricks and accommodation for 

one week to the training team, two units were 

build shortly after. In the following years the 

local authority employed these trained builders 

to construct additional toilets. 

A project in northern Namibia intended to 

construct a building to house the offices of 

a community forestry programme. It was 

proposed to use clay as main building material. 

However, officials in Windhoek were critical. 

The clay house at the HRDC convinced them 

that the material was not inferior. The project 

was approved and the offices plus two Otjitoilets 

and a shop, to sell local handicraft, 

were constructed. With the support of the 

Clay House Project the office and toilets were 

constructed. 

Education and advocacy includes cooperation 

with network partners in the private sector, 

local authorities, and organizations, such as 

the Shack Dwellers Federation of Namibia 

and the Clay House Project. Another activity is 

lecturing at educational institutions inside the 

country, but also on international level. 

Education is of utmost importance if new 

concepts and their related technologies are 

advocated, for example, EcoSan. Avvannavar 

and Mani (2008:5) explain the reasons: 

“Two sets of people can be classified 

based on the nature of association 

with nature in terms of handling human 

excreta. The first include the faecophilic, 

who consider human excreta as a part 

of a natural cycle and have evolved 

suitable mechanisms. The second 

include the faecophobic, who consider 

human excreta something to ‘stay away’ 

from and their sanitation approach 

reflects such a fear”. 

Avvannavar and Mani point out that, a 

faecophilic believes that soil can take good 

care of human excreta by decomposition. If 

properly buried in hot-dry climates the faecal 

matter does not carry a bad odour, which is in 

line with modern findings that burial of excreta 

breaks the faecal-oral transmission and is 

nearly 100% safe mechanism of handling 

the need to construct latrines (Waterkeyn 

& Cairncross quoted by Avvannavar & 

Mani 2008:5). In predominantly agricultural 

countries, the practice to defecate in the fields 

returns human excreta to the soil. Winblad 

and Kalima (quoted by Avvannavar & Mani 

2008:5) point out that, “Societies that have 

traditionally used excreta in agriculture (and 

even aquaculture) for thousands of years have 

been predominantly found to be high-density 

settlements in countries like India, China 

and South-East Asia”. Jenkins (2005:125) 

26


underscores that this should provide a fairly 

convincing testimony about the usefulness of 

human “waste” as an agricultural resource. 

The use of the term “waste” to describe 

recycled or recyclable materials “is an 

unpleasant semantic habit that must be 

abandoned” (Jenkins 2005:8). Winblad and 

Kilama (1978:22) propose that “waste” is a 

misleading term for excreta, kitchen refuse, 

crop and garden leavings. Therefore the term 

“waste” should in this case be replaced by 

“residue”. Unlike humans, Nature does not 

generate waste. 

be replaced. This resulted in a review of policy 

options available. The new policy incorporates 

principles in line with Integrated Water 

Resources Management (IWRM), dry sanitation 

and ecological sanitation as alternatives to the 

conventional waterborne systems. This was 

based on the experiences made by the HRDC 

with the various technologies and approaches. 

The policy also recommends that “community 

ownership and management of sanitation 

facilities should be adopted if the strategy of 

choice is a communally shared sanitation 

system, whether ecological, dry or water-borne 

sanitation” (Republic of Namibia 2008:11). 

“We do not recycle waste. It’s a common 

semantic error to say that waste is, can be, or 

should be recycled. Resource materials are 

recycled, but waste is never recycled. That’s 

why it’s called ‘waste’. Waste is any material 

that is discarded and has no further use” 

(Jenkins 2005:7). 

7. Policy formulation and consultancy work 

As alternative technologies and approaches 

are at present not always well-known and 

understood, it is necessary to raise awareness 

and sensitise policy-makers on central and 

local levels. Therefore participating in the 

process of formulating policies is essential. 

Another possibility to disseminate and utilise 

experiences is in projects. A few examples 

may suffice. 

In 2008 the Namibian cabinet requested a 

review of the 1993 water and sanitation policy. 

One central task was to suggest how the 

remaining bucket toilets in the country could 

In order to implement the policy, government 

supported the formulation of a five-year 

national sanitation strategy in 2009, based 

on the policy’s indication that an operative 

strategy would guarantee safe and affordable 

sanitation, encouraging decentralised 

sanitation systems where appropriate. In 

addition the strategy should also promote 

recycling through safe and hygienic recovery 

and use of nutrients, organics, trace elements, 

water and energy or the safe disposal of all 

human and other wastes” (Republic of Namibia 

2008:4). The implementation of the national 

sanitation strategy started in 2010 with a focus 

on reorganising the lead agency in the Ministry 

of Agriculture, Water and Forestry, and 

capacity building efforts. Educational activities 

have been incorporated, as communities, 

residents and decision-makers have to be 

educated on the various alternative sanitation 

options available. To support these endevours, 

various publications are being prepared with 

the assistance of the HRDC. 

27


With regard to consultancies and advice, 

several projects can be mentioned. The 

HRDC conducted stakeholders’ consultations 

to gauge current awareness, knowledge and 

practices with different rainwater harvesting 

mechanisms in Namibia. The ultimate aim 

will be a situation analysis report capturing 

the main barriers to the adoption of rainwater 

harvesting in Namibia with a special case 

study of the Khomas Region. The purpose of 

rainwater harvesting is to provide water to those 

who are not served by a communal system. 

An investigation in the eastern parts of 

Namibia investigated the opportunities 

for the introduction of water recycling 

technology, rainwater harvesting technology 

and solar technologies in two communities 

in the Omaheke Region, with the aim to 

improve the supply of affordable water 

for irrigated food production systems. 

A study tour to various locations was 

undertaken to learn about different sanitation 

options as part of the Service Delivery 

Promotion Project (SDPP). Members of this 

team meet to exchange experiences and 

discuss problems relating to cost reductions in 

the servicing of land and to provide low income 

areas in towns with sanitation. Therefore the 

team members undertook an Alternative Toilet 

System Study Tour to familiarise themselves 

with different sanitation systems, such as 

in Aranos (dry sanitation), Gibeon (vacuum 

system) and Mariental (urine diversion system). 

8. Constraints and opportunities 

8.1 Constraints 

It has to be accepted that not everyone can 

get an all the alternatives. There are not 

enough resources available – suitable clay 

deposits are not found everywhere, old tyres 

are not available everywhere, second-hand 

items cannot be purchased everywhere, and 

knowledge is not accessible everywhere. 

Capacities in using alternatives for formal 

housing are lacking on all levels. Therefore 

training and skills transfer are needed in the 

promotion of non-conventional approaches. 

Affordability, skills, and quality of the final 

product or service has to be ensured. 

With regard to natural resources, resource 

availability and harvesting rates have to be 

taken into consideration. It is impossible that 

everyone on Earth can have access to all the 

options described. With the still exploding 

global population growth rate, resources 

become less not more. A state of overpopulation 

cannot solve any problem. As Miller (1996:22) 

points out, “People overpopulation exists 

when there are more people than the available 

resources can support at a minimal level”. 

E.O. Wilson stresses that if each person 

currently alive would attain the US level of 

consumption, it would require four more Earths 

(Wilson 2002:150). These additional issues 

should be addressed in order to broaden 

the basis for the promotion of alternatives, 

but a critical mass of progressive minds is 

lacking. Another question is whether socalled 

leaders or decision-makers understand 

technologies and natural processes. 

28


They often have a one-dimensional view or too 

many other important priorities, which require 

their attention. During the 2008 Windhoek 

sanitation policy workshop, several gaps and 

challenges were identified, which can be 

applied to other areas too, such as it is easy to 

write the policy, but it is difficult to implement 

the policy effectively, as it 

• requires political will, 

• requires coordination, 

• requires understanding of principles, 

and 

• requires institutions to assume duties 

or responsibilities. 

Alternatives need to be incorporated in formal 

education, ranging from vocational training 

to tertiary institutions. The Ugandan Minister 

Mutagamba (2004:9) acknowledges that, 

politicians have to carry out advocacy work, 

however “we also need to be trained for 

that, we need information that will help us 

sensitise the masses out there”. Education 

and acceptance of alternatives go hand in 

hand. During field work, in connection with 

the implementation of the national sanitation 

strategy, school teachers requested more 

literature on alternative sanitation, as the 

available school books did not provide the 

necessary details. 

8.2 Opportunities 

The two major phases of construction has one 

aspect in common: at the end of each phase 

there was still money available, despite that 

fact that the HRDC is a government funded 

project and experienced bureaucratic delays. 

The reason is simple: the team involved 

constantly looked for resources, which could 

be used. When the municipality demolished a 

flat building, contacts were made to enquire 

about the fate of the materials, e.g. building 

rubble, window and doorframes. The latter 

two were to be kept in store for a community 

project, whereas the rubble was to be dumped 

at a landfill site, as it was regarded as useless 

waste. Cooperating with the municipal 

department and the contractor the rubble was 

transported to the HRDC site, where it was 

reused in gabions and cement bricks were 

reused in walls. Similarly when a service 

station was built close to the site the natural 

stone (mica) left from the excavations for the 

petrol tanks were brought to the HRDC site – 

all free of charge. 

When the construction of the HRDC started, 

the municipality issued a directive that all 

old tyres had to be transported to the main 

landfill site, where a fee of R7.50 per tyre was 

charged. This resulted in many tyres were 

disposed in the veld around Windhoek. When 

the HRDC offered to take the tyres free of 

charge, hundreds were delivered to the site. 

They were incorporated in the construction of 

retaining walls, and buildings such as walls for 

storerooms and the double garage. Farmers in 

the southern parts of Namibia provided sheep 

wool, Grade 3, which was regarded as useless 

due its poor quality, but it was utilised in the 

construction as an insulating material between 

the roof sheets and the ceiling. 

The question could be asked: what is the value 

of alternatives Alternatives provide choices, 

they can support efforts of employment creation, 

they can utilise locally available materials. 

Most governments are interested in creating 

29


employment opportunities. Government has, 

for example, provided funding to train young 

school leavers in various skills. A group was 

trained as masons in 2010 at the HRDC. A 

private contractor provided them with the 

chance to gain practical experiences at one of 

his building sites what they have learned as 

interns. This cooperation of public and private 

institutions shows that there is an untapped 

potential of advancing local opportunities. 

9. Conclusion 

Most of the HRDC design is in accordance with 

concepts such as alternative technology and 

Green Architecture, by utilising locally available 

materials, recycling materials, environmental 

benefits are derived, and taking environmental 

aspects into consideration in the design and 

during the construction process. 

resulted in additional projects on site, for 

example, recycling paper and gardening 

(urban agriculture). Another success is the 

fact that more and more organisations are 

using the HRDC as a conference or workshop 

venue, because it provides a different working 

atmosphere. The HRDC has been presented 

on TV, in newspapers and magazines on 

national and international level. 

The HRDC demonstrates that many alternative 

technologies and approaches are feasible and 

effective. Due to the many problems found 

in the field of housing, it is necessary to offer 

choices and to understand these alternatives. 

The inclusion of choices in projects, policies 

and educational activities illustrates that these 

products or approaches are not inferior. Why is 

the HRDC doing this Albert Einstein provides 

the answer: 

The work done by the HRDC has found its 

way into projects, policies, and education. In 

addition, requests are made by individuals or 

organisations, who plan to build an own house, 

an office, to provide information on materials 

and builders. Cooperation with NGOs has 

“The significant problems we face 

cannot be solved 

at the same level of thinking 

we were at 

when we created them”. 

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earthship.htm 

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GmbH: 

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33


Sustainable Development Criteria for Built 

Environment Projects in South Africa (CSIR) 

Jeremy Gibberd 

Council for Scientific and Industrial Research 

1 Introduction 

South Africa faces a range of social, economic 

and environmental challenges. HIV/AIDs has 

resulted in life expectancy dropping from 52 

years in 1997 to 43 years in 2007 (Harrison 

2009). Unemployment is estimated to be 

23.5% and about 6.7 million people in South 

Africa are functionally illiterate (Presidency 

2009, DoE 2009). Climate change is likely 

to make this situation worse and will lead to 

increasing water stress, reduced food security 

and loss of species and ecosystems (DEAT 

2009). 

Rural Development (GDARD) developing a 

set of sustainable development criteria for built 

environment projects requiring environmental 

impact assessments. (Gibberd 2010). Some 

aspects therefore refer specifically to Gautengbased 

policy, although the general principals 

of the work are applicable to other areas of 

South Africa. The paper provides a definition of 

sustainable development and shows how this 

can be translated into objectives and criteria 

which can be used to guide the development 

of more sustainable built environment projects. 

2 The environmental context 

Sustainable development, which aims to 

achieve social and economic improvement 

while reducing, or avoiding, negative 

environmental impacts can be used to address 

these challenges. However sustainable 

development is difficult to achieve. It requires 

a holistic and integrated approach and the 

development sector and in particular, the 

construction industry, tends to operate in a 

highly fragmented way. The application of 

sustainable development is also not well 

understood and has not been adequately 

translated into practical actions that can be 

implemented. 

This paper is based on work undertaken for 

the Gauteng Department of Agriculture and 

Increasing carbon emissions from human 

activities and a reduction in the ability of the 

natural environment to absorb carbon dioxide 

is leading to an accumulation of greenhouse 

gases in the upper atmosphere. These gases 

trap more heat in the upper atmosphere 

leading to global warming. As a result, 

temperatures are predicted to increase by 

2 - 6°C OC by the end of the century (IPCC, 

2007). Estimates carried out for the City of 

Joburg indicate that temperatures in the next 

50 years may increase between 2 and 3.5°C 

(Hewitson, Engelbrecht, Tadross, Jack, 2005). 

Within Africa, South Africa produces the 

highest CO 2 

emissions and has one of the 

highest CO 2 

emissions per GDP in the world. 

34


In 2002, carbon emissions per capita in South 

Africa were 8.4tonnes/capita - higher than 

Western European averages of 7.9 tonnes/ 

capita (SEA 2006). 

Global warming is likely to impact Africa 

particularly negatively. The National Climate 

Change Response Policy developed by the 

Department of Environment and Tourism 

outlines the following impacts (DEAT 2009a): 

• Agricultural production and food 

security in many African countries are 

likely to be severely compromised 

by climate change and variability. 

Projected yields in some countries 

may be reduced by as much as 50% 

in some countries by 2020 and as 

much as 100% by 2100. Small scale 

farmers will be most severely affected. 

• Existing water stresses will 

be aggravated. About 25% o Africa’s 

population (about 200million people) 

currently experience high water 

stress. This is projected to increase 

to between 75-250 million by 2020 

and 350-600 million by 2050. 

• Changes in ecosystems are already 

being detected and the proportion of 

arid and semi-arid lands in Africa 

is likely to increase by 5-8% by 2080. 

It is projected that between 25 

and 40% of mammal species in 

national parks in sub-Saharan Africa 

will become endangered. 

• Projected sea-level rises will have 

implications for human health and 

the physical vulnerability of coastal 

cities. The cost of adaptation to sea 

level rise could amount to 5-10% of 

gross domestic product. 

• Human health will be negatively 

affected by climate change and 

vulnerability and incidences of 

Malaria, Dengue fever, Meningitis 

and Cholera may increase. 

3 The contribution of the built 

environment 

Construction and the built environment make 

a substantial contribution to global warming 

and play a significant role in most economies. 

Environmental, social and economic impacts 

attributed to the built environment at a global 

scale are outlined below. 

• Consumes 40% of energy use, 

• Consumes 17% of fresh water use, 

• Consumes 25% of wood harvested, 

• Consumes 40% of material use 

• Employs 10% of the world’s work 

force 

• Construction is the largest employer 

of micro-firms (less than 10 people) 

• Buildings are typically located on the 

most productive land (Estimated to 

be 250 million hectares world wide, 

mostly on primary agricultural land) 

In South Africa the built environment is directly 

responsible, through electricity consumption, 

for over 23% of South Africa’s carbon emissions 

(see table below). Vehicle-based infrastructure 

and transport planning has resulted in 

transport contributing to 16% of South Africa’s 

CO 2 

emissions and an additional 18mt CO 2 

per year, or about 4% of South Africa’s CO 2 

emissions, come from the manufacture of 

building materials (CIDB 2009). 

35


Sector 

C0 2 

Emissions 

Commercial 10% 

Residential 13% 

Transport 16% 

Industry 40% 

Mining 11% 

Other 10% 

Total 100% 

Figure 1: South African carbon emissions per sector 

4 Defining sustainability 

Recent work by the World Wildlife Fund 

contributes substantially to defining sustainable 

development by providing quantified minimum 

criteria for sustainability. In the 2006 Living 

Planet Report, sustainability is defined as 

achieving an Ecological Footprint (EF) of less 

than 1.8 global hectares per person and an 

Human Development Index (HDI) value of 

above 0.8 (WWF 2006). This is shown by the 

shaded rectangle in the graph below. 

Figure 1. Human Development and Ecological Footprint (WWF 2006) 

36


Ecological Footprint 

The Human Development Index 

An Ecological Footprint is an estimate of 

the amount of biologically productive land 

and sea required to provide the resources 

a human population consumes and absorb 

the corresponding waste. These estimates 

are based on consumption of resources and 

production of waste and emissions in the 

following areas: 

The Human Development Index was developed 

as an alternative to economic progress 

indicators and aimed to provide a broader 

measure that defined human development as 

a process of enlarging people’s choices and 

enhancing human capabilities (United Nations 

Development Programme 2007). The measure 

is based on: 

• Food, measured in type and amount 

of food consumed 

• Shelter, measured in size, utilization 

and energy consumption 

• Mobility, measured in type of 

transport used and distances traveled 

• Goods, measured in type and 

quantity consumed 

• Services, measured in type and 

quantity consumed 

• A long healthy life, measured by life 

expectancy at birth 

• Knowledge, measured by the adult 

literacy rate and combined primary, 

secondary, and tertiary gross 

enrolment ratio 

• A decent standard of living, as 

measure by the GDP per capita in 

purchasing power parity (PPP) in 

terms of US dollars 

The area of biologically productive land and 

sea for each of these areas is calculated in 

global hectares (gha) and then added together 

to provide an overall ecological footprint. This 

measure is particularly useful as it enables 

the impact of infrastructure and lifestyles to 

be measured in relation to the earth’s carrying 

capacity of 1.8 global hectares (gha) per 

person. 

South African EF and HDI figures 

The figures below show that South Africa 

has an ecological footprint of 2.1, above the 

maximum required of 1.8 gha and a human 

development index measure of 0.66, below 

the minimum of 0.8 required for sustainability. 

Measure South Africa Sustainability Target 

Ecological Footprint (gha) 2.1 1.8 

Human Development Index 0.658 0.8 

For South Africa to move towards sustainability there must therefore be an improvement in both the 

Ecological Footprint and Human Development Index performance. 

37


5 The legislative and policy 

context 

is protected and that development that does 

occur is both sustainable, and justifiable: 

South Africa has legislation and policy that 

aims to protect the environment and support 

sustainable development. Examples include 

the South African Constitution and the National 

Environmental Management Act (NEMA) 

which are discussed briefly below. 

South African Constitution 

The South African Constitution contains a Bill 

of Rights that enshrines the rights of all people 

in South African and affirms the democratic 

values of human dignity, equality and freedom. 

The Bill has sections covering equality, human 

dignity, privacy, freedom of religion belief 

and opinion, environment, property, housing, 

healthcare, food, water and social security, 

children, education, language and culture. 

Through a section on equality, the Bill requires 

that all people have full and equal enjoyment 

of these rights and freedoms: 

Everyone is equal before the law and has the 

right to equal protection and benefit of the law. 

24. Environment 

Everyone has the right 

a. to an environment that is not harmful 

to their health or well-being; and 

b. to have the environment protected, 

for the benefit of present and future 

generations, through reasonable 

legislative and other measures that 

i. prevent pollution and 

ecological degradation; 

ii. promote conservation; and 

iii. secure ecologically 

sustainable development 

and use of natural resources 

while promoting justifiable 

economic and social 

development 

Sustainable development and the protection 

of the environment is therefore a constitutional 

obligation, and government and society must 

ensure that this is fulfilled through ‘reasonable 

legislative and other measures’. 

Equality includes the full and equal enjoyment 

of all rights and freedoms. To promote the 

achievement of equality, legislative and 

other measures designed to protect or 

advance persons, or categories of persons, 

disadvantaged by unfair discrimination may 

be taken. 

Environmental rights in the Bill of Rights include 

the right to an environment that supports health 

and well being. It also requires legislation to 

be developed to ensure that the environment 

1 

http://www.footprintnetwork.org/en/index.php/GFN/page/world_footprint/ 

2 

Human Development Report 2006, United Nations Development Programme 

3 

Section 9 of the South African Constitution 

Section 24 also refers to a requirement to 

‘secure ecologically sustainable development 

and use of natural resources while promoting 

justifiable economic and social development’. 

Within the context of the Bill of Rights, 

justifiable economic and social development 

can be interpreted to define development that 

promotes the achievement of other rights in 

the Constitution such as the equality, housing, 

healthcare, food, water and education. Within 

this paper this interpretation is used to suggest 

that development that helps to fulfill 

38


constitutional obligations should be prioritized 

over development that does not. 

The National Environmental and 

Management Act 

The National Environment and Management 

Act include a set of principles that specifically 

address sustainable development and 

environmental management (DEAT1998): 

(2) Environmental management must 

place people and their needs at the forefront 

of its concern, and serve their physical, 

psychological, developmental, cultural and 

social interests equitably. 

(3) Development must be socially, 

environmentally and economically sustainable. 

(4) (a) Sustainable development requires the 

consideration of all relevant factors including 

the following: 

(i) That the disturbance of 

ecosystems and loss of biological 

diversity are avoided, or, where they 

cannot be altogether avoided, are 

minimised and remedied; 

(ii) that pollution and degradation 

of the environment are avoided, or, 

where they cannot be altogether 

avoided, are minimised and 

remedied; 

(iii) that the disturbance of 

landscapes and sites that constitute 

the nation’s cultural heritage is 

avoided, or where it cannot 

be altogether avoided, is minimised 

and remedied; 

(iv) that waste is avoided, or where 

it cannot be altogether avoided, 

minimised and re-used or recycled 

where possible and otherwise 

disposed of in a responsible manner; 

(v) that the use and exploitation 

of non-renewable natural resources 

is responsible and equitable, and 

takes into account the consequences 

of the depletion of the resource; 

(vi) that the development, use and 

exploitation of renewable resources 

and the ecosystems of which they are 

part do not exceed the level beyond 

which their integrity is jeopardised; 

(vii) that a risk-averse and cautious 

approach is applied, which takes 

into account the limits of current 

knowledge about the consequences 

of decisions and actions; and 

(viii) that negative impacts on the 

environment and on people’s 

environmental rights be anticipated 

and prevented, and where they 

cannot be altogether prevented, are 

minimised and remedied. 

This Act makes it very clear that there is 

a requirement for projects to be ‘socially, 

environmentally and economically sustainable’. 

However it does not provide much further 

detail on what this entails. This makes it both 

difficult to interpret, and to enforce. 

The sustainable development criteria listed 

later in this paper are an attempt to describe 

this requirement in the form of a set of criteria 

that can be used by both government and the 

private sector to guide the integration of 

39 

4 

Section 24 of the South African Constitution


sustainable development into built environment 

projects. 

6 Carbon emission mitigation 

strategies 

South Africa is a signatory to both the United 

Nations Framework Convention on Climate 

Change (UNFCC) and the Kyoto Protocol. 

In order to address UNFCC commitments 

the Long Term Mitigation Scenarios (LTMS) 

process was initiated in 2006 and completed in 

2008. This formulated strategies to ensure that 

South Africa would reduce carbon emissions. 

Many of the mitigation strategies identified 

have implications for the built environment and 

a number of these are outlined below (DEAT 

2009b): 

• Limits on less efficient vehicles 

• Passenger modal shift 

• Solar water heater subsidy 

• Commercial efficiency 

• Residential efficiency 

• Renewables with learning 

• Waste management 

• Land use: afforestation 

• Escalating CO 2 

tax 

Following the LTMS process, key policy 

approaches were agreed on by the South 

African cabinet. These strengthen current 

energy efficiency and demand-side 

management initiatives such as environmental 

fiscal reform and carbon taxation. These will 

penalize energy inefficient technology and 

provide for additional tax allowances of up to 

15% for energy efficient equipment. 

Figure 2. Strategic options to get from ‘Growth without Constraints’ to ‘Required by Science’ (DEAT 

2007). 

40


The LTMS showed that although significant 

emission reductions can be gained through 

technology-based actions, these are not 

sufficient for the scale of change required to 

achieve the ‘Required by Science’ trajectory 

shown in the graph above. 

Adaptations in social behavior were therefore 

also explored and the LTMS proposes a 

number of people and building orientated 

measures that achieve low-cost, large scale 

mitigation impacts (DEAT 2009c). These 

include: 

• Social adaptation and changes in 

human habitation, urban planning and 

the built environmental 

• Changes in the distance between 

work, home and other life functions 

• Modal shifts to public transport and 

moves away from individual car 

owners towards the operation of 

shared vehicles 

• Changes in food production and 

consumption and the localization of 

these activities. 

The LTMS is valuable because it provides 

direction for the future development of the 

built environment. By presenting the scale of 

the problem, it communicates the necessity 

for immediate change and the requirement 

for a paradigm shift in the way we design 

and manage the built environment. It also 

demonstrates that technological interventions 

are not sufficient. 

7 Built environment 

sustainable development 

objectives and criteria 

The environmental context, legislation and 

scenario modelling indicate that it is essential 

that the built environment support sustainable 

development. Supporting sustainable 

development in the built environment 

will require measures that can be easily 

understood, and implemented. 

This section of the paper proposes a set of 

sustainable development objectives for the 

built environment. These objectives aim to 

ensure that the built environment supports 

sustainable development as defined earlier in 

the paper. Linked to each of these objectives 

are criteria which list key measures which, if 

implemented, will support the achievement 

of the overarching sustainable development 

objective. 

8 Land Use and Integrated 

Development 

Objective: Development should be integrated 

with existing and planned infrastructure and 

land uses to ensure efficient systems and 

balanced use of land. 

Criteria 

• Spatial Development Frameworks: 

Proposed development can 

demonstrate it is aligned with Spatial 

Development Frameworks. 

• Environmental Management 

Frameworks: Proposed development 

can demonstrate that it is aligned with 

41


relevant Environmental Management 

Frameworks. 

• City Development Strategies: 

Proposed development demonstrates 

it aligns with relevant city 

development strategies. 

• Urban development boundary: 

Proposed development can 

demonstrate that it is within the urban 

development boundary. 

• Existing and planned 

infrastructure: Proposed 

development can demonstrate it 

will be integrated into and 

use existing or planned infrastructure 

such as roads, storm water and 

sewage systems and water and 

energy supplies. Studies have been 

carried out to demonstrate there 

is adequate capacity in these 

systems and proof that the Local 

Authority accepts these findings. 

• Public transport networks: 


access to the site can be easily 

achieved through existing or 

proposed public transport systems 

(see also TR, Transport and Routes). 

• Complementary social and 

economic land uses: Development 

demonstrates that it will complement 

local land uses. 

• Building density: Development 

demonstrates that it will exceed the 

minimum building density 

requirements of relevant local policy 

and planning schemes. 

• Open space: The nature and type of 

open space provision in the 

development is aligned with local 

planning, policy and bylaws. 

Development includes the following 

minimum open space provision. 

Type of development 

Open space provision 

Subsidy housing 

20% of site area 

Other Residential 


Business 


Industrial 


Where open space provision is specified by local municipalities these can be aligned with in 

preference to the above requirements. 

9 Biodiversity 

Objective: Development should be located where damage to natural environments and ecosystems 

is minimised. It should ensure that existing natural environments are preserved and take opportunities 

to strengthen this. 

Criteria 

• Sensitive areas: Proposed development demonstrates that it does not include any areas 

that could be defined as sensitive. If the development does include areas that may be 

defined as sensitive, the project demonstrates full compliance with all requirements of the 

42


GDACE Requirements for Biodiversity 

Assessments (GDACE 2008). 

• Development on ridges: Proposed 

development demonstrates that no 

development will occur on ridges. 

If the proposed development does 

occur on a ridge, the development 

will indicate classification of affected 

ridge and demonstrate that conditions 

in Departmental Policy Development 

Guidelines for Ridges will be achieved 

(GDACE 2001). 

• Greenfield sites: Proposed 

development can demonstrate that 

the site that will be used is not a 

green field site and does not provide 

valuable ecosystem services. The 

site proposed has been previously 

been built on or is already extensively 

disturbed. Where part of a proposed 

site is in a green field condition the 

proposed development retains and 

protects thiswithin the proposed 

development. 

• Site clearing: Design and contract 

documentation indicating the 

following considerations: 

• Site clearing: Large-scale 

clearing of the site is avoided 

and the area disturbed by 

development is minimized. 

• Mature trees and natural 

features: Mature trees and 

natural features such as large 

rocks or outcrops are retained 

(see also MC Materials and 

Construction for protection 

measures). Exceptions to this 

are trees which are invasive 

species and trees which are 

incompatible with the relevant 

town planning scheme. 

• Existing vegetation: Where 

existing indigenous vegetation 

is to be cleared and is of an 

appropriate q u a l i t y , 

plants should be rescued and 

replanted, or propagated and 

replaced. 

• Locally indigenous planting: 

Planting scheme including 

locally indigenous plants proposed for 

the development. This demonstrates 

how local biodiversity and the 

creation of habitats will be supported. 

10 Agriculture and Landscaping 

Objective: Development should not lead to a 

loss of agricultural land. Appropriate agriculture 

and landscaping should be integrated in 

developments to improve the provision of local 

fresh food and ecosystem services. 

• Retention of agricultural land: 

Development should avoid sites with 

high agricultural potential and ensure 

that this land is retained for farming. 

The proposed development does not 

encroach on land identified by The 

Gauteng Agricultural Potential Atlas 

(GAPA) as land with high agricultural 

potential. Exceptions to this include 

land within the Urban Edge that has 

high development potential such 

as land located in a development 

node. Development nodes are 

defined in local Spatial Development 

Frameworks (SDFs). 

43


• Environmental impacts of 

agriculture: Management plan that 

ensures that negative environmental 

impacts of agriculture are minimized. 

This may include plans to manage 

and monitor agricultural inputs, 

such as fertilizer, herbicides and 

pesticides, in order to minimize 

negative environmental impacts. The 

use of organic and labour intensive 

farming methods. 

• Degraded or contaminated sites: 

The proposed development is located 

on a degraded or contaminated 

site. Proposed remediation and 

improvement processes are outlined. 

• Planting: The proposed development 

demonstrates how planting will be 

effectively integrated into the site. 

Planting will be determined by local 

circumstances, however the following 

guideline provision is proposed. 

Type of development Planting provision 

Subsidy housing Minimum of 1 indigenous or fruit tree per unit 

Other Residential Minimum of 1 indigenous or fruit tree per unit 

Business 

Minimum of 1 indigenous or fruit tree per 200m 2 of gross floor area 

Industrial 

Minimum of 1 indigenous or fruit tree per 300m 2 of gross floor area 

Other planting instead of trees also meet this criteria if they are deemed to be equivalent 

alternatives. Equivalent alternatives to the provision to 1 tree are: 5 m 2 (area) of indigenous 

grasses, shrubs, or other plants or 5m 2 of food gardens. 

• Green roofs: Proposed development 

demonstrates that the vegetation 

lost through development, or a 

substantial portion of this (over 40%) 

will be replaced in the form of green 

roofs. 

• Hard external surfaces: Large areas 

(over 500m 2 ) of impermeable 

external hard surfaces are avoided. 

This does not apply to strips of hard 

external surfaces (less than 15m in 

width) such as those used for roads 

and paths. 

• Environmental impacts of 

landscaping: Management plan that 

ensures that negative environmental 

impacts of landscape maintenance 

are minimized. This may include 

plans to use landscaping that has 

minimal irrigation requirements, and 

to manage and monitor landscape 

inputs such as fertilizer, herbicides 

and pesticides in order to minimize 

negative environmental impacts. It 

may also include the use of organic 

and labour intensive methods. 

11 Water, Sewage and Storm 

Water Runoff 

Objective: Development should minimise 

the consumption of municipal potable water 

and the disposal of sewage into municipal 

systems. Increased storm water runoff and 

water pollution should also be avoided. 

Criteria 

• Water efficient fittings: Efficient 

water fittings should be used in new 

44


development to avoid wasting potable 

water. 

• Shower heads have a 

maximum flow rate of 10L/ 

minute 

• Wash-handbasins taps have 

a maximum flow rate of 6L/ 

minute 

• Toilets are not water based or 

are dual flush and do not 

exceed 3L (1/2 flush) and 6L 

(full flush) 

• Waterless urinals are used 

or these have a maximum 

flush of 2L/flush. 

• Rainwater harvesting: Development 

demonstrates how it will use 

rainwater harvesting to reduce 

mains potable water consumption 

and include the following minimum 

provision. Where possible this 

capacity should be increased. 


Minimum rainwater harvesting capacity 


40L/m 2 of gross floor area 



Business 


Industrial 


The above capacity can be provided individually (per building) or collectively in larger storage 

facilities such as large underground tanks. 

• Grey water: Eighty per cent of wash 

hand basins and showers are linked 

to grey water systems. 

• Sewage: Water efficient fittings (see 

above) are installed to reduce 

production of sewage. Where there 

is adequate space the proposed 

development uses ecological local 

sewage treatment plants that ensure 

that sewage can be treated locally 

and provides useful outputs such as 

fertilizer. Plan to show how treated 

effluent will not cause negative 

environmental impacts. This criterion 

can be deemed ‘not applicable’ if 

confirmation from the local authority 

has been provided stating that it will 

not accept onsite ecological sewage 

treatment plants. 

• Storm water runoff 

management: Sustainable urban 

drainage systems (SUDS) including 

swales, filter strips, retention ponds, 

infiltration trenches, green roofs 

and permeable paving are used to 

avoid polluting storm water runoff 

and control storm water runoff from 

site. Calculations and or modeling 

to show how SUDS will function to 

reduce peak flows, ensure onsite 

retention and avoid water pollution. 

This should include data such as 

climatic information, infiltration 

potential of surfaces, capacity of 

rainwater harvesting systems as well 

quantitative performance of SUDS 

components such as attenuation 

ponds and swales. requirements 

are specified. Exotic plants with high 

water requirements are avoided. 

• Low water requirement planting: 

Locally indigenous plants with low 

45


water requirements are specified. 

Exotic plants with high water 

requirements are avoided. 

• Irrigation water: Efficient 

irrigation system linked to controls 

which ensure irrigation does not 

occur when it is not needed and 

irrigation occurs when evaporation 

losses are lowest. As far as possible, 

water for irrigation is sourced from 

grey water or rainwater harvesting 

systems. This criterion does not 

apply to agricultural irrigation. 

12 Materials and Construction 

Objective: Development should minimise the 

negative environmental impacts of construction 

and the consumption of resources. Positive 

social and economic impacts of construction 

and resource use should be maximised. 

Criteria 

• Sourcing of building 

materials: Procurement policy 

requiring twenty per cent of materials 

(such as bricks, sand and cement) 

by weight used in construction to be 

sourced within 400km from site. 

• Sourcing of components 

and equipment: Procurement 

policy requiring twenty per cent of 

equipment and components (such 

as electrical, mechanical and wet 

services materials and equipment 

and components such as doors and 

windows) by value to be sourced 

from within 400km of site. 

• Local jobs: Procurement 

policy that requires eighty per cent of 

construction workers to be sourced 

within 50km of site. 

• Labour intensive 

construction: Design and 

construction strategies support the 

use of labour intensive approaches. 

Targets in terms of person years 

of construction work created per 

million rand construction spent 

should be provided showing 

how these compare favourably 

with best practice benchmarks. 

Best practice benchmarks can 

be obtained from organisations 

such as the Development Bank of 

South Africa and the Department 

of Public Works (Expanded Public 

Works Programme). Compliance 

with the Construction Industry 

Development Board (CIDB)’s 

labour intensive construction guides 

including ‘Labour-based methods 

and technologies for employment 

intensive construction works’ and 

‘Implementing labour intensive road 

works’ (CIDB 2005, CIDB 2007). 

• SMME support: 

Procurement policy supports the use 

of small and medium enterprises 

based within 50km of site. 

Compliance with the CIDB’s guide 

for small and medium enterprises 

and contracting ‘3 R’s basic guide for 

SMMEs’ (CIDB 2003). 

• HIV / AIDs: Construction 

planning and contract documentation 

for the development comply with 

the ‘Specification for HIV/AIDs 

awareness’ (CIDB 2003a). 

46


• Material selection: Design 

specifications and contract 

documents reflect the following 

material selection considerations. 

• Embodied energy: 

Preference is given 

to materials that have 

consumed the least 

amount of energy in their 

sourcing, manufacturing and 

transportation. 

• Reused materials: Reused 

materials such as materials 

from the demolition of 

buildings, including crushed 

aggregate is used in new 

construction. 

• Recycled content: 

Preference is given to 

materials that have recycled 

content over those that do 

not. 

• Renewable sources: 

Checks and accreditation is 

in place to ensure that 

materials specified, such as 

timber, are from renewable 

sources. For instance, timber 

with Forest Stewardship 

Council (FSC) certification 

comes from forests where 

trees are replanted. 

• Grown materials: Where 

possible, renewable grown 

materials such as timber, 

thatch, wool and cork are 

used in construction. 

• Insulation: Insulation that 

contains refrigerants or uses 

refrigerants in its 

manufacturing process is 

avoided. 

• PVC: The use of PVC based 

materials and components is 

avoided or minimised. 

• Construction waste: 

A requirement for at least 

thirty per cent of all 

construction waste 

to be recycled or reused is 

included in contractual 

documentation. 

• Soil retention: Construction and 

contract documentation indicating the 

following considerations: 

• Movement of earth: Largescale 

cut and fill operation 

and movement of earth is 

avoided. 

• Soil erosion: Soil erosion 

and sediment control plan 

for construction works which 

indicate measures such as 

mulching, seeding, vegetative 

filter strips, gabions and 

retention ponds to prevent 

soil erosion. 

• Retention of topsoil: Where 

top soil is removed this 

is reused on site and not 

transported elsewhere. 

• Protection of vegetation and 

natural features: Construction and 

contract documentation provide for 

protection measures such as buffers, 

fencing and signage around trees, 

vegetation and natural features being 

retained on site. 

47


13 Energy, Mechanical and Electrical 

Systems 

Objective: Development should minimise the 

use of non-renewable energy and maximise 

use of renewable energy sources. 

Criteria 

• Urban heat island: Roof and 

external hard surfaces have 

absorptance value of less than 0.5. 

For further information see ‘SANS 

204, Energy Efficiency in Buildings’ 

standard’ (SABS 2009). 

• Urban heat island: Large areas of 

car parking or hard external surfaces 

(over 500m2) should be avoided. If 

these cannot be avoided, a minimum 

of 20% of the area should be shaded, 

preferably by trees. 

• Site layout: Site layouts and 

modeling demonstrate that buildings 

have good access to fresh air, views 

and daylight. A minimum of 4m of 

clear external space (vegetation 

and open fencing can be located in 

this area but not solid walls or other 

buildings) immediately in front of 

windows in useable spaces should 

be provided. This does not apply to 

rooms not occupied on a continuous 

basis such as storerooms and toilets. 

• Orientation: The long section of 

buildings should be orientated to 

+/- 15 degrees North and the extent 

of the façade facing north should be 

maximized while the length of façade 

facing east and west should be 

minimised. 

• Built form: Building plan depths 

should not exceed 15m, unless 

buildings have substantial atria or 

their particular function ie a cinema, 

requires this. 

• Glazing: Solar shading and glazing 

designed to comply with ‘SANS 

204 Energy Efficiency in Buildings’ 

standard (SABS 2009). 

• Thermal insulation: Insulation 

values of all elements of the building 

envelope (roof, wall and floors) meet 

‘SANS 204 Energy Efficiency in 

Buildings’ standard (SABS 2009). 

• Natural ventilation: Opening area 

in building envelope (such as 

opening windows) equivalent to a 

minimum of 5% of useable area. 

• Daylight: Daylight modeling showing 

that eighty per cent of useable area 

within buildings has a 2% or higher 

daylight factor. A deemed to satisfy 

condition for this can be achieved 

where eight per cent of the useable 

area can be shown to be within 2h 

of an external window, where h is 

the height of the head of the external 

window. 

• Passive environmental control: 

Proposed buildings demonstrate 

use of passive environmental 

control strategies to reduce energy 

consumption. 

• Water heating: Water heating is 

achieved through solar water heaters 

or other energy efficient means of 

heating water provided. 

• Electrical lighting: Internal electrical 

lighting power densities in the 

development comply with ‘SANS 204, 

Energy Efficiency 

48


in Buildings’ standard 

• Electrical lighting: Lighting controls 

such as motion sensors, timers and 

daylight switching are used to ensure 

lighting is only on when needed. 

• Swimming and ornamental pools: 

Avoidance of swimming or 

ornamental pools, unless these have 

no energy demands or these are met 

from renewable energy sources. 

• Energy consumption and peak 

demand: Proposed development 

confirms that it will comply with 

‘SANS 204 Standard on Energy 

Efficiency in Buildings’ standard and 

achieve energy consumption and 

peak demand targets. 

• Renewable energy: New 

development demonstrates that 10% 

of its energy requirements will be 

met from onsite renewable sources. 

Where possible this capacity should 

be increased. 

how organic waste produced on site, 

is recycled on site. 

• Recycling plans: Recycling plan 

which sets out waste minimization, 

reuse and recycling targets and 

describes strategies and systems 

that will be used to achieve these 

including local recycling partners. 

• External lighting: Low level lighting 

and light fittings with hoods are used 

to avoid light pollution. In addition 

controls such as timers and 

movement sensors are used to 

ensure lighting is only on when 

needed. 

15 Local Economic 

Development 

Objective: Development should support 

diverse productive local economies that create 

work and sustainable enterprises. 

Criteria 

14 Waste and Pollution 

Objective: New developments should minimise 

the amount of waste diverted to land fill. 

Pollution should also be avoided. 

Criteria 

• Recycling provision: Provision 

for waste recycling made in the new 

development including recycling 

space of sufficient size and 

appropriately located for ease of use 

by occupants and recyclers. 

• Organic waste: Where possible, 

development proposals demonstrate 

• Small enterprise development: The 

proposed development demonstrates 

that it will support existing or new 

small or micro enterprises 

• Job creation: The proposed 

development demonstrates that it will 

support a labour intensive approach 

and shows how employment created 

will be in line with local best practice. 

16 Transport and Routes 

Objective: Development should reduce the 

reliance on cars and ensure that energy 

efficient, environmentally friendly forms of 

transport are encouraged. 

49


Criteria 

• Public transport: Development 

demonstrates that people who 

work or live in the development are 

located within 1,200 m of scheduled 

public transport (bus or train). Where 

public transport is not available, a 

green transport plan is developed 

which demonstrates how car usage 

will be avoided and energy efficient 

transportation used. This could 

include agreements with local 

minibus or bus operators and provide 

details on how other criteria in this 

section would be achieved. 

• Walking: Provision of dedicated 

accessible pedestrian paths on the 

site linking buildings to each other and 

to public transport nodes on public 

highways. 

• Cycling and walking routes: Cycle 

routes along dedicated cycle paths 

and clearly demarcated cycle 

lanes are provided for at least the 

equivalent length of vehicular roads 

provided within the estate. Cyclist 

and pedestrians are given priority at 

all crossing points and junctions and 

measures such as signage and traffic 

calming features are incorporated 

into roads to ensure that drivers 

acknowledge this. Compliance 

with ‘Cycle Friendly Environment 

Guidelines’ (Gauge 2009). 

• Cycling facilities: Work 

environments: Secure cycling parking 

is provided for at least 3% of the 

building occupants. Residential 

environments: At least one secure 

parking point per unit is provided. 

• Local facilities: Access to following 

local facilities is provided. 




Local facilities 

Access to the following facilities within 750m can 

be demonstrated: bank (or bank ATM), crèches, 

food retail and leisure and recreation facilities 

Business 

Industrial 

Access to the following facilities within 400m can 

be demonstrated: bank (or bank ATM), crèches, 

food retail or café/restaurants 

• Working facilities: Access to following local facilities is provided. 

50





Business 

Industrial 

17 Health and Well Being 

Objective: Development should support the 

health and well being of people on site and in 

neighbouring communities. 

Criteria 

• Daylight: Eighty per cent of all 

useable space within buildings 

should achieve a 2.0% daylight 

factor. This can be demonstrated 

through daylight modelling. 

Alternatively, an acceptable deemed 

to satisfy condition is to demonstrate 

that eighty per cent of the useable 

area is within 2.5H of an external 

window, where H is the height of the 

head of the window. 

• Ventilation: All buildings in the 

estate have ventilation openings 

(such as an opening window) of at 

least 5% of the associated useable 

floor. 

• Views: Eighty per cent of all useable 

area within buildings is within 6m of 

an external window and has a direct 

line of sight to this. An unobstructed 

space of 4m is provided externally 

in front of windows (vegetation and 

open fencing can be included but not 

Working facilities 

Access to a business centre / facility with 

video / tele-conferencing / internet, meeting 

rooms and printing facilities within 1,200m of 

every residential unit. 

Access to broad band / video / teleconferencing 

within 400m of any office work environment 

accommodating more than 5 people. 

solid walls and other buildings) to 

ensure that the view of the external 

space is adequate. 

• Indoor air quality: The specification 

of materials for buildings in the 

development should avoid these 

materials and finishes. 

• VOCs: Some carpets, adhesives and 

paints have volatile organic 

compounds (VOCs) which are 

off-gassed, negatively affecting air 

quality. Products with no or low VOCs 

are specified. 

• Formaldehyde: Formaldehyde 

similarly can be off-gassed from 

composite boards and timber 

products, negatively affecting indoor 

air quality. Products with no or low 

formaldehyde are specified. 

• Exercise and recreation facilities: 

Access to following local facilities is 

provided. 

51



Exercise and recreation facilities 

Subsidy housing Access to the following facilities within 


1000m from residential environment can be 

demonstrated: park / gym / walking or running 

trails. 

Business 

Access to the following facilities within 400m 

from work environments can be demonstrated: 

park / gym / walking or running trails. 

Industrial 

Not applicable 

18 Education and Ongoing Learning 

Criteria 


education and ongoing learning of people on 

site and in neighbouring communities. 

• Facilities for education and ongoing 

learning: Access to following local 

facilities is provided. 




Business 

Industrial 

• Primary schools: Primary school 

facilities are located within 1,500m 

of all family dwellings along a safe 

walking route. 

• Secondary schools: Secondary 

school facilities are located within 

2,250m of all family dwellings along a 

safe walking route. 

• Site operation worker training: 


that human resource policy will include 

a requirement for site operation 

workers to access accredited 

education for a minimum equivalent 

Exercise and recreation facilities 

Facility for education and ongoing learning 

that can accommodate 5% of the residents will 

be made available in week day evenings and 

during week ends. A facility of this nature should 

be available within 1,000m of every residence. 

Facility for education and ongoing learning that 

can accommodate 5% of the workers will be 

made available. A facility of this nature should 

be available within 400m of every workstation 

of 5% of working hours. 

• Construction worker training: 

Construction contract document 

indicates a requirement for 

construction workers to access 

accredited education for a minimum 

equivalent of 5% of working hours. 

19 Housing 


Inclusionary Housing and ensure that people 

who work on site do not have to travel long 

distances to access affordable housing. 

52


Criteria 

• Affordable housing: 

The development demonstrates 

everyone working on the site that 

needs affordable housing is able to 

access this within 10km of the site. 

• Inclusionary housing: Inclusionary 

housing is integrated in the 

development in line with the 

Inclusionary Housing Policy and local 

compulsory prescriptions. 

20 Social Cohesion and 

Inclusion 


social cohesion and benefit the full diversity of 

the population. 

• Natural, cultural and historical 

landscapes: Access is provided to the 

local community as well as for people 

within the development to natural, 

cultural and historical landscapes 

located within the development. 

• Inclusive and accessible facilities: 

The new development demonstrates 

that facilities will be inclusive and able 

to accommodate the full diversity of 

the population. 

• Information about the development: 

Inclusive participatory processes 

are planned that respond to local 

communities and take into account 

issues such as language, income, 

education and disability. 

21 Management and Monitoring 

Criteria 

• Sporting and recreation facilities: 

Affordable access to sporting and 

recreation facilities in the development 

is provided for local communities 

as well as for people within the 

development. 

• Health and education facilities: 

Affordable access to health and 

education facilities in the development 

is provided for local communities 

as well as for people within the 

development. 

• Children and youth facilities: 

Affordable access to children and 

youth facilities in development is 

provided for local communities as well 

as for people within the development. 

Objective: Sustainable development targets 

that reflect the South African context should 

be set for the development. Management and 

monitoring should be carried out to ensure that 

these are achieved. 

Critieria 

• Development conditions: Developer 

should make the Record of Decision 

(ROD) and other development 

conditions readily available to the 

local community through a website 

or other means. Information and 

reporting on compliance should also 

be made available through the same 

means. 

• Environmental Management Plan 

(EMP): Environmental Management 

Plan for the development 

53


covering both construction and 

operational phases. Environmental 

Management Plan includes 

sustainable development criteria from 

this guide and show how these will be 

achieved. 

• Environmental Control Officer 

(ECO): An Environmental Control 

Office is appointed for the 

development. The ECO reports on the 

achievement of ROD development 

requirements, the EMP and 

sustainable development targets to 

management (and possibly to relevant 

stakeholders such as the future 

homeowners, the local community 

and local and provincial authorities). 

Reports are developed on a monthly 

basis during construction phases 

and on a two monthly basis during 

operation of the development. 

• Operational performance: Building 

user guides are developed for 

occupants of buildings to ensure 

that systems designed to support 

sustainability are maintained and 

operated optimally. 

• Operational performance: Facilities 

management manuals and monitoring 

requirements to ensure that systems 

designed to support sustainability are 

maintained and operated optimally. 

As minimum, energy, water and waste 

performance against targets should 

be reported on. 

• Independent certification: 

Commitment by developer that 

independent environmental rating 

or certification such as a ‘Greenstar’ 

rating or ‘Fair Trade in Tourism’ 

certification will be achieved. 

22 Using the sustainable 

development criteria for built 

environment projects 

The sustainable development criteria for built 

environment projects can be used in a range 

of different ways. Their key use however is as 

a framework that can be used by developers 

to design projects and then to show how 

these projects have addressed sustainable 

development. 

As part of an iterative development process 

the criteria can be used to evaluate different 

options and strategies in order to rapidly 

identify the most sustainable solutions. Once 

a project has been have been developed, data 

tables and documentation, as outlined below, 

can be used to demonstrate how sustainable 

development has been addressed. This 

documentation helps to ensure that there 

can be effective evaluation of proposals and 

constructive interaction on key issues with key 

stakeholders before implementation occurs. 

54


Land use categories* 

Existing 

Proposed 

Difference 

Difference 

site 

development 

(units) 

(%) 

Subsidy and affordable housing (m 2 ) 

Other residential (m 2 ) 

Business (m 2 ) 

Industrial (m 2 ) 

Education, community or institutional 

purposes (m 2 ) 

Resorts (m 2 ) 

Mining (m 2 ) 

Transport (m 2 ) 

Service infrastructure (m 2 ) 

Open space (m 2 ) 

Private open space (m 2 ) 

Agriculture (m 2 ) 

Total site area (m 2 ) 

Land use indicators 

Percentage of the site used for residential 

purposes (%) 

Percentage of the site used for education, 

community or institutional purposes (%) 

Percentage of the site that is open space 

(%) 

Percentage of site used for agriculture (%) 

Table 1. Data table for Land Use and Integrated Development. 

LU 

LU1 

LU2 

LU3 

LU4 

Land Use and Integrated 

Development 

Data table 

Spatial Development 

Frameworks 

Environmental 

Management Framework 

City Development 

Strategies 

Urban Development 

Boundary 

Documentation 

Completed data table, discussion of positive and negative 

differences (%) 

Extract of SDF, statement of compliance 

Extract of EMF, statement of compliance 

Extract of Strategy, statement of compliance 

Extract of SDF with Urban Development Boundary, 

indication of site location relative to boundary 

55


LU5 Existing and planned 

infrastructure 

Studies indicating that there is adequate capacity in local 

roads, storm water, sewage, power and water supply for 

development. Confirmation from Local Authority 

LU6 Public transport 

networks 

Map indicating public transportation relative to site with 

distances. Documentation on public transportation including 

timetables and costs. 

LU7 Complementary social 

and economic land uses 

Needs study carried out of adjacent areas, indication of how 

development will address needs identified. 

LU8 Building density Extract of building density requirements of LA / good 

practice. Calculations indicating that this will be achieved / 

surpassed. 

LU9 Open space Site plan and calculations indicating compliance 

Table 2. Documentation for Land Use and Integrated Development Criteria. 

23 Conclusion 

The social, economic and environmental 

context of South African suggests that 

implementing sustainable development is 

increasingly important. However, opportunities 

within built environment projects to adopt 

a sustainable development approach often 

appear to be missed. This may be the result 

of planning and design approaches that do 

not take sustainability into account. It may 

also be easier to follow conventional routes 

rather than take on processes that appear 

to be both complex (by addressing a range 

of different objectives simultaneously) and 

contentious (by addressing social, economic 

and environmental issues). 

This paper aims to demonstrate that a 

relatively simple framework can be developed 

to help ensure that sustainable development 

is integrated into built environment projects. It 

argues that a holistic and integrated approach, 

in which social, economic and environmental 

objectives are addressed simultaneously, 

encourages the development of innovative 

and effective solutions that support sustainable 

development within a South African context. 

24 References 

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CIDB, 2003a, Specification for HIV/AIDs awareness. 

CIDB, 2005, Labour-based methods and technologies for employment intensive 

construction works. 

CIDB, 2007, Implementing Labour Intensive Road Works. 

CIDB, 2009, South African Report on Greenhouse Gas Emission Reduction, Potentials 

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from Buildings, A Discussion Document. Construction Industry Development 

Board. Page 22. 

DEAT, 1998. National Environmental Management Act. Department of Environment and 

Tourism. Pretoria. Chapter 1. 

DEAT, 2007, Long Term Mitigation Scenarios. Department of Environment and Tourism, 

Pretoria. Page 14. 

DEAT 2009, State of the Environment Report. Accessible from http://soer.deat.gov.za/ 

themes.aspxm=387 

DEAT, 2009a, The National Climate Change Response Policy. Department of Environment 

and Tourism. Pretoria. Page 8. 

DEAT, 2009b, The National Climate Change Response Policy. Department of 

Environment and Tourism, Pretoria. Page 14 

DEAT, 2009c, The National Climate Change Response Policy. Policy Department of 

Environment and Tourism, Pretoria. Page 20. 

DoE, 2009, Trends in Education Macro indicators report 2009 South Africa. Pretoria. 

Page 97. 

Gauge, 2009, Cycle Friendly Environments. 

GDACE, 2008, GDACE Requirements for Biodiversity Assessments. 

GDACE, 2001, Departmental Policy Development Guidelines for Ridges will be achieved. 

Gibberd, J, 2010, Sustainable Development Criteria for Built Environment Projects 

Requiring Environmental Impact Assessments in Gauteng. Gauteng Department of 

Agriculture and Rural Development (GDARD). 

Harrison, D, 2009, An Overview of Health and Health care in South Africa 1994 – 2010: 

Priorities, Progress and Prospects for New Gains. Accessed from www.doh.gov.za 

Hewitson, B, Engelbrecht, F, Tadross, M. and Jack, C., 2005, General conclusions on 

development of plausible climate change scenarios for southern Africa, in: 

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R. E. Schulze (ed.), Climate Change and Water Resources in Southern Africa: Studies on 

Scenarios, Impacts, Vulnerabilities and Adaptation, Water Research Commission, WRC 

Report 1430/1/05, Pretoria, South Africa. 

IPCC, 2007, Climate Change 2007, Synthesis Report. Inter Governmental Panel on 

Climate Change. Page 7. 

Presidency, 2009, Development Indicators 2009. Pretoria. Page 20. 

SEA, 2006, State of Energy in South African Cities. Sustainable Energy Africa, Cape Town. 

SABS, 2007, SANS 204 Energy Efficiency in Buildings. South African Bureau of 

Standards. 

UNDP, 2005, Human Development Report 2005. United National Development 

Programme. Accessed from http://hdr.undp.org/en 

WWF, 2006, Living Planet Report 2006. World Wildlife Fund. Accessed from http://www. 

panda.org. 

58


A framework for assessing building technologies 

for marginalised communities 

Joe Odhiambo and Benson Wekesa 

Abstract 

Agrément South Africa 

The majority of the urban poor population in most developing countries find shelter in informal 

settlements, which are characterised by inadequate dwelling units. There is a need for building 

technologies that are responsive to such communities and their environment to empower 

them to make their own contribution to the process of improving their housing conditions. 

Literature shows that during the past few decades there has been tremendous development 

and evolution of alternative building technologies considered responsive to the urban poor. 

However, there are no appropriate frameworks or methodologies that can be used to assess 

the response of these technologies in a holistic manner. Most studies tend to address this 

theme from a single point of view and without taking other issues into account. Example 

are when people focus on the technical aspects of technology, such as production and 

manufacturing processes, or when they deal with social, economic and environmental issues 

separately. 

This paper proposes a conceptual framework that can help to define and evaluate the 

response of building technologies to the urban poor and their environment in a holistic manner 

and in a regional context. It is based on the concept of sustainable development. Building 

technologies can be analysed, evaluated and finally compared to select the optimal variant 

according to a set of criteria. The outcome can enhance the understanding of the potentials 

of the technologies which, in turn, can demonstrate how to empower the urban poor to make 

their own contribution to the process of improving their housing conditions. 

59 


The majority of the poor urban population 

(marginalised communities) in most developing 

countries find shelter in informal settlements. 

In general, the settlements are characterised 

by inadequate dwelling units and lack of 

basic infrastructure such as potable water, 

electricity, access roads, sanitation facilities 

and the majority of the inhabitants are poor 

(UN-Habitat, 2003: chapter 5; Srinivas, 1994: 

1-2). In Africa, from Cairo to Cape Town, 

millions of poor urban dwellers reside in such 

settlements. It is estimated that 166 million 

people or 73% of sub-Saharan Africa’s urban 

population reside in informal settlements (UN- 

Habitat, 2004: 2; De Vries, 2003: 13). In South 

Africa up to 9,1 million people currently reside 

in informal settlements (StatsSA, 2001).


The conditions in most settlements are 

hazardous to health and tend to exacerbate 

the already severe socio-economic conditions 

of the urban poor as well as environmental 

pollution and the degradation of the local 

ecosystems (Gulis et al., 2004: 1-9; Richards 

et al., 2006: 375-388). 

In general, the proliferation of informal 

settlements is due to poverty brought about as 

a result of market and public policy failure for 

a significant segment of the urban population 

(Wegelin, 2004: 8). For example, the majority 

of the urban population in sub-Saharan Africa, 

including in South Africa, rely on the informal 

economy for subsistence – hawkers, small 

traders, and artisans and technicians in home 

industries (Burton 2002: 25). The informal 

economy does not have the necessary base 

to sustain the ever growing urban population 

in these developing countries. 

nations. However, adequate shelter varies 

from individual to community and even to 

country depending on the socio-economic, 

cultural and political factors. Article 60 of the 

Habitat Agenda (1996), for example, defines 

“adequate shelter” as: 

“…more than a roof over one’s head, it 

also means adequate privacy; adequate 

space; physical accessibility; adequate 

security; security of tenure; structural 

stability and durability; adequate lighting, 

heating and ventilation; adequate basic 

infrastructure, such as water supply, 

sanitation and waste-management 

facilities; suitable environmental quality 

and health-related factors; and adequate 

and accessible location with regard to 

work and basic facilities; all of which 

should be available at an affordable 

cost…” 

Internationally, it is widely acknowledged that 

adequate shelter is a basic human right rather 

than a basic need. Since the adoption of the 

Universal Declaration of Human Rights in 1948, 

the right to adequate shelter has repeatedly 

been reaffirmed. The International Covenant 

of Economic, Social and Cultural Rights 

(1966), the Vancouver Declaration of Human 

Settlements (1976), the Habitat II Declaration 

(1996) and the Millennium Development 

Goals (http://www.unmilleniumproject.org) 

all reaffirm the right to adequate shelter. In 

South Africa, the right to housing is enshrined 

in the country’s Constitution, with adequate 

shelter being central to everyone’s quality of 

life, including health, economic, social and 

cultural aspects. It is also a critical component 

in the social and economic stability of 

Furthermore, the Habitat Agenda states that 

“adequacy should be determined together 

with the people concerned, bearing in mind 

the prospect for gradual development”. The 

above definition highlights the functions and 

requirements of adequate shelter. These 

are very subjective in that people’s needs 

and requirements are different. In addition, 

adequate shelter is not just the provision 

of dwelling units, but a whole process that 

integrates the socio-economic, cultural and 

environmental factors of the target community. 

The problem of inadequate shelter associated 

with the urban poor population in developing 

countries has been approached from different 

points of view, some of which include: 

60


• upgrading of informal settlements 

(Balbo, 2001: 1-2; Imparato and 

Ruster, 2003: 1-16; Wegelin, 2004: 

1-10; Werna and Keivani, 2001: 87- 

88) 

• provision of a housing subsidy 

(Huchzermeyer, 2003: 591-612) 

• clearing informal settlements and 

relocating residents into public houses 

(Werna and Keivani, 2001: 84-87; 

Okpala, 1992: 9-32; Ogunshakin and 

Olayiwola, 1992: 41-53) 

• promotion of housing production and 

delivery modes that target a reduction 

in the unit cost of houses (UN-Habitat, 

2005: 1-2). 

The outcomes of these interventions have 

had varying degrees of success in different 

countries. However, informal settlement 

upgrading seems to be the most successful 

approach. It involves the integration of the 

physical, social, economic, organisational 

and environmental improvements undertaken 

cooperatively and locally among citizens, 

community group businesses and local 

authorities (Wegelin, 2004: 6). This is 

because it seeks to empower the communities 

to make their own contribution to the process 

of improving their living conditions and hence 

their quality of life. 

The presence of informal settlements in 

developing countries has generated many 

views from various stakeholders, including 

scholars. Leading authors on urban planning, 

such as Abrams (1964), see informal 

settlements as an invasion by the poor of 

cities areas for the purpose of seeking shelter. 

However, Turner (1969) who is considered 

an authority on informal settlements due to 

his pioneering work on the favelas of Lima, 

portrays such settlements as extremely 

successful solutions to the housing problem 

of the urban poor population in developing 

countries. Payne (1977) agrees with Turner 

and concludes that informal settlements 

are inevitable in the overall urban growth 

in developing countries. Steyn (2003), who 

believes that social and economic systems in 

Africa require a fundamentally different type 

of urbanism compared to western systems, 

reinforces Turner’s view. Steyn proposes 

that apart from the uncomfortable building 

configurations, informal settlements are 

responsive to the socio-economic conditions 

of the urban poor. This paper conceptualises 

informal settlements as a transitional 

phenomenon associated with urbanisation in 

developing countries which allows the very 

poor to access urban opportunities and hence 

it should be supported. Furthermore, informal 

settlements represent an active, grassroots 

attempt by the desperate poor to take care of 

their housing needs without professional and 

institutional support. There is a need to support 

the efforts of the poor to continue making their 

own contribution to the process of bringing 

about betterment in their living conditions and 

improving the quality of their lives. 

This paper advocates the need for building 

technologies (materials and construction 

methods) that are responsive to the urban poor 

and their environment. These technologies 

can provide good quality dwelling units while 

simultaneously addressing the socio-economic 

needs of the urban poor and minimising 

negative impacts on the environment. 

61


As stated earlier, a good quality, durable 

dwelling unit is central to everyone’s quality 

of life, The socio-economic conditions of the 

urban poor are desperate, for example, with 

unemployment being very high. However, 

the choice of building technology can help 

address such issues. There exists a definite 

relationship between, for example, employment 

opportunities and the production and selection 

of building materials and assembly of both the 

structural and non-structural elements and 

components that make up the physical fabric 

and form of a building (Watermeyer, 1999: 1). 

The protection of the environment has become 

an important criterion worldwide to sustain the 

species Homo sapiens (Du Plessis, 2002: 

6). The built environment is considered to 

have significant impacts on the environment, 

including disturbing the eco-balance, land 

degradation, air pollution, and energy 

consumption (Kibert, 2007: 595). Energy 

consumption is also a major cause of climate 

change due to the release of carbon dioxide 

into the atmosphere during the combustion 

of fossil fuels. Such an approach will without 

doubt empower the urban poor communities 

to make their own contribution to the process 

of improving their living conditions. 

It is important though, at both national and 

local policy levels, to be clear about the notion 

that the bulk of housing for the urban poor 

will always be built by the poor themselves. 

No government in developing countries, 

especially in sub-Saharan Africa, can finance 

the eradication of its housing backlog. While 

the population in these countries is still 

growing, the majority of people continue to 

rely on the informal economy for subsistence 

and the rate of urbanisation and rural urban 

migration remains high, thus the demand for 

housing in urban centres will always be there. 

2 Building construction 

technologies 

Literature surveys show that during the past 

few decades there has been tremendous 

development and evolution of alternative 

building technology options. Some of these 

are considered responsive to the urban poor 

and their environment. Typical examples 

include modified earth building technologies 

such as techniques of soil stabilisation, 

water resistant mud plaster, techniques of 

preventing contact of earth-based construction 

by rain, and stabilised soil-cement blocks (UN- 

Habitat, 1985; CSIR, 1987; Mathur, 1993 and 

Bolton and Burrough, 2001). Many authors, 

for example Fathy (1973), consider such 

technologies as responsive to the urban poor 

and their environment as these technologies 

rely on labour-intensive methods and allow 

communities direct participation and control 

and are affordable. These are the same views 

held by Steyn (2003: 21). The technologies are 

also based on low and local use of renewable 

energy and materials, which are simple and 

work in harmony with the environment and 

are are thus inherently sustainable, asserts 

the Development Workshop, Tehran (DWT) 

(1975: 1). 

Other developments include reducing to a 

minimum the volume of expensive materials 

needed for masonry wall construction 

components, including various forms of 

cavity and perforated masonry. These are, for 

example, extruded burnt clay blocks, hollow 

62


concrete blocks, random voids by aeration – 

gas concrete made with the help of aluminium 

powder, or no-fines concrete, as well as large 

masonry units, interlocking and self-aligning 

masonry units and prefabricated masonry, to 

make them more affordable while improving 

the technical performance such as thermal and 

energy efficiency and the rate of construction 

(Parry, 1984: 252). 

Developments in construction techniques 

include self building and techniques aimed at 

reducing costs, for example, building flatter 

roofs, the use of roof cladding materials (metal 

and fibre-cement roof sheets) that can prevent 

water penetration when used at low slopes, and 

self-supporting ones such as W-shaped roofing 

sheets (Parry, 1984: 250-253). Alternative 

binding materials such as lime-pozzolana, 

which are cheap compared to the expensive 

and environmentally unfriendly Portland 

cement, have also been proposed. One can 

add improved techniques for the production 

of building materials and equipment on small 

scale and closer to construction sites. Typical 

examples include the widely used equipment 

for the manufacture of fibre-cement roofing 

sheets developed by Intermediate Technology 

Building Materials Laboratory, United Kingdom 

(UK) and “Cinva-ram” for earth-based products 

developed in Latin America (Parry, 1984: 250- 

253). 

In addition, the use of plastics in building 

construction and the development of advanced 

composite materials are also good examples. 

Plastics are considered inexpensive and 

perform well as a building material. Plastics are 

used in, for example, door and window frames, 

as roofing sheets, and as water-proofing and 

insulating materials. Examples of advanced 

composite materials include reinforced fibrecement 

products. These have been developed 

to complement conventional construction 

materials. 

A considerable body of literature describes 

the methods for production and use of 

these building technologies in the provision 

of dwelling units. However, there are no 

frameworks or methodologies that can be used 

to assess the response of such technologies 

to the urban poor and their environment, given 

that people’s needs and requirements are 

different and subjective. 

It is necessary to reconsider building 

technologies that can improve people’s life 

from a holistic point of view. This will enhance 

understanding the potential such technologies 

have and how to empower the urban poor to 

make their own contribution to the process of 

improving their housing conditions. 

This paper proposes a conceptual framework 

that can help to define and evaluate building 

technologies that are responsive to the urban 

poor and their environment in a holistic manner 

and in the regional context (South Africa). 

It is based on the concept of sustainable 

development. 

3 Methodology 

In designing the framework, the methodology 

adopted was literature surveys and a desktop 

study. The framework defines responsive 

technologies in terms of technical, socioeconomic 

and environmental criteria defined 

in the regional context. The technologies can 

63


be analysed, evaluated and finally compared 

to select the optimal variant according to the 

given set of criteria. In reality, to develop such 

a framework, built environment professionals 

should be consulted throughout to capture 

and reflect the value systems of various 

stakeholders. However, many expert opinions 

are in the public domain and therefore literature 

was consulted in developing the framework 

and using stakeholders to validate it. 

The concept of sustainable development 

was adopted in developing the framework. 

This was because development processes 

processes that seek to address social and 

economic needs and concerns, and to facilitate 

the economic empowerment of targeted 

communities while minimising negative 

impacts on the environment, have generally 

been referred to as sustainable development 

(Bowen and Hill, 1997: 223). Sustainable 

development has also increasingly become a 

central element of the urban planning process 

(Choguill, 1995: 583). Building materials are 

commonly selected based on functional, 

technical and financial requirements. However, 

with sustainability as the current key concept in 

the urban planning process, the environmental 

load of building materials has also become a 

more important criterion (Van der Lugt et al., 

2005: 648; DuBose et al., 1995: 11). 


and how it relates to the built environment 

and building technology in general was 

outlined, and then applied in developing the 

framework. The framework utilises a set 

of criteria generated based on the socioeconomic 

environment of the urban poor and 

expert opinions as reported in the literature. It 

presents a multi-criteria optimisation problem 

and the simple multi-attribute rating technique 

was recommended in solving the problem. 

4 Sustainable development 

4.1 Definition and interpretation 

The most widely used definition of sustainable 

development in the literature is what was put 

forward by the United Nations-sponsored 

World Commission on Environment and 

Development (WCED) in 1987. It states it as 

the development that “meets the needs of the 

present without compromising the ability of 

future generations to meet their needs”. The 

phrase “meeting the needs of the present” refers 

to developmental aspects of sustainability, 

which include economical and societal (social, 

cultural and political) expectations. The phrase 

“without compromising the needs of the future” 

mostly refers to environmental degradation. 

The key elements are thus to find a balance 

between the human needs of improved 

lifestyles and the feeling of well-being on the 

one hand, and preserving natural resources 

and ecosystems on which we and future 

generations depend. This introduced the 

notion of intergenerational equity, which 

translates into a need to adopt to changing 

circumstances. As stated by Sahely et al. (2005: 

73), there is no way of knowing what future 

generations will want, and the ability to adapt 

to changing environmental or socio-economic 

conditions is key to sustainable development. 

Also implied in the definition is the need for a 

multidisciplinary and holistic approach in the 

development and decision-making processes. 

64


The definition of sustainable development 

therefore envisages a development process 

that seeks to empower communities through 

self-determination. The concept can be 

applied to any sphere of development which 

has as its main objective improving the quality 

of life without compromising that of future 

generations. 

4.2 Sustainability in the built 

environment 


has drawn interest from built environment 

professionals (Shen et al., 2008: 57), as the 

construction industry is considered to have 

a significant impact on the environment. 

According to Van Wyk (2007: 4), construction 

activities consume 50% of all resources 

globally, 70% of all global timber products 

and 40% of energy. The consumption of these 

resources adversely affects the environment 

through over-exploitation of both renewable 

and non-renewable resources (materials and 

energy). Over-exploitation, for example, of 

building materials may result in stripping of top 

soil and destruction of the natural topography, 

resulting in problems such as soil erosion, 

landslides and loss of fertile soil for farming 

and detrimental effects on local hydrology 

(Kibert, 2007: 595). 

Consumption of energy is a major contributor 

to climate change. This is due to the release 

of carbon dioxide (CO2) into the atmosphere 

during the production process, for example, the 

combustion of fossil fuels. In the construction 

industry, energy is used in the extraction, 

production and transportation of building 

materials, manufacture and operation of 

machinery, and operation and maintenance of 

buildings. The increase in global temperature 

has been linked directly to the production of 

greenhouse gases, including CO2, causing 

climatic change (Kibert, 2004: 494). Other 

adverse environmental impacts relating to 

the construction industry include loss of 

biodiversity, depletion of major fisheries, and 

toxification of soil, water and air due to the 

releases of toxic chemicals, some of which 

mimic natural hormones, which might cause 

havoc in both animal and human reproductive 

systems (Kibert, 2004: 494). 

Sustainable construction was first defined by 

Kibert in 1994 as “the creation and responsible 

maintenance of a healthy built environment, 

based on resource efficient and ecological 

principles” (Kibert, 2007: 595). The inclusion of 

construction in sustainable development was 

proposed at the World Summit for Sustainable 

Development held in Johannesburg in 

September 2002. The Agenda 21 for 

sustainable construction in developing 

countries was launched as a discussion 

document during the summit (Du Plessis, 2005: 

406). Although there are various definitions, for 

example, Kibert (1994); Huovila and Ritcher 

(1997); Lanting (1998); UNEP (2003) and 

Du Plessis (2005: 407), the aims and goals 

of sustainable construction remain the same. 

It is a way for the building industry to move 

towards achieving sustainable development, 

while taking into account environmental, 

socio-economic and cultural issues. 

Although the concept of sustainable 

development in the built environment is 

relatively new, much has been written about the 

65

subject. Definitions, principles and frameworks 

have been suggested by, for example, Bowen 

and Hill 


(1997: 223-239), Shafii (2006: 29-44) and 

DuBose et al. (1995: 1-15). The implication of 

sustainability in the built environment in various 

national and regional contexts has been 

explored by, for example, Shen et al. (2008: 

55-68), Ekanayake and Offori (2000: 1-6), 

Ballard et al. (2003: 6-14), Du Plessis (2005: 

405-415), Poon (2007: 1715-1716) and Tam 

et al. (2007: 1471-1477). Building assessment 

and the tools for that have been addressed 

by, for example, Nelms et al. (2007: 237- 

251), Adinyira et al. (2007: 1-8), Ding (2008: 

451-464), Crawley and Aho (1999: 300-308), 

Gibberd (2005), Sahely et al. (2005: 72-85), 

Guy and Kibert (1998: 39-45), Mulavdić (2005: 

39-52), Šaparauskas and Turskis (2006: 321- 

326), and Cole (2000: 949-957). A range of 

procurement and delivery systems and other 

process issues have been well-covered by 

Ngowi (1998: 340-350) and Rwelamila et al. 

(2000: 39-50). 

4.3 Principle issues affecting 

sustainable construction 

The summary of principle issues and the 

rationale affecting sustainability in the built 

environment are given in Table 1 (Shafii, 2006: 

3). Bowen and Hill (1997: 227) divided these 

principles into four pillars of sustainability, that 

is, social, economic, biophysical and technical 

– with a set of over-arching, process-oriented 

principles, to be used as a checklist in practice. 

Table 1: Issues and rationale affecting sustainable construction (source: Shafii, 2006: 3, Table 1) 

Issues 

Environmental-friendly construction 

materials 

Energy efficiency in buildings 

Construction and demolition waste 

management 

Health in buildings 

Sustainable architecture 

Rationale 

The building construction industry consumes as 

much as 50% of all materials extracted from the 

earth’s crust 

The operations of the construction industry and 

subsequent demolition of built facilities account for 

about 40% of all energy used and a similar percentage 

of greenhouse gas emissions 

Construction and demolition waste account for 50% 

of all waste generated prior to recovery 

The quality of the internal environment of buildings 

is an essential element to the health of its occupants 

Urge for implementing principles and measures in the 

design process leading to the overall performance of 

buildings 

Social impacts arising from construction 

and the built environment 

Sustainable construction can improve the living 

context and relationship between citizens and their 

environment and contribute effectively towards social 

cohesion and job creation, and the promotion of 

cultural and regional economic development. 

66


A close inspection of these principle issues 

reveals that the building construction industry 

can be targeted to significantly reduce 

environmental loading on planet earth. In 

addition, the technology adopted can be used 

to address social and economic needs of the 

target community. 

4.4 Methodologies for promoting 

sustainable construction 

been put forward to promote sustainability 

in the built environment. These can broadly 

be classified as educational, management 

systems, green design and buildings, 

green procurement, green technologies in 

production and construction methods, and 

waste management (Table 2). The use of 

technology emerges consistently as one of the 

vehicles to enhance sustainability in the built 

environment. 

There are several methodologies that have 

Table 2: Methodologies for promoting sustainable construction (Source: Shen et al., 2008: 56, Table1) 

Methods 

Education 

Environmental management 

systems (EMSs) 

Green building 

Description 

It calls for curriculum and training programmes in the construction 

industry to include more knowledge and materials on sustainable 

construction practices such as cost saving methods from a reduction 

of construction waste. Funding needs to be provided for training 

and education for those who cannot afford the costs themselves, 

and setting up incentive and reward schemes (Ekanayake and 

Ofori, 2000: 5) 

Various EMSs have been introduced to address the impacts of 

construction activities on the environment; generally they tend 

to promote measures such as establishing waste management 

plans, reducing and recycling construction and demolition wastes, 

providing in-house training on environmental management, and 

legal measures on environmental protection Bowen and Hill, 1997: 

235-236) 

Kibert (2007) defines green buildings as health facilities designed 

and built in a resource-efficient manner, using ecologically based 

principles. Such buildings are meant to consume significantly 

less energy and materials, provide healthy living and working 

environments, and greatly improve the quality of the built 

environment. Several methods such as CASBEE in Japan, LEEDR 

in the USA, NABERS in Australia, BREEAM in the United Kingdom, 

and SBAT in South Africa have been developed to help assess the 

‘greenness’ of buildings (Ding 2008: 453; Kibert, 2007: 598; Cole, 

2005: 949-957; Gibberd, 2005) 

67


Methods 

Green design 

Green procurement 

Green roof technologies 

Lean construction 

Waste management 

Description 

This calls for the identification of suitable methods of construction 

at the design and tendering stages (Ekanayake and Ofori, 2000: 5) 

Green procurement systems have been promoted to mitigate 

construction waste and to achieve better performance (Ekanayake 

and Ofori, 2000: 5; Rwelamila et al., 2000: 49) 

Nelms et al. (2007: 239) introduced a methodology for assessing 

green roof technologies 

Engineered-to-order methodologies are being explored to see what 

techniques can help reduce construction times, and achieve other 

performances that increase customer and stakeholder value while 

minimising waste. Prefabrication is one such technique - it reduces 

construction waste on site and other construction activities (Kistan 

and van Wyk, 2007: 10) 

Reducing construction waste has become a key issue in promoting 

sustainability in the construction industry. It aims at reducing the 

remains of the materials delivered on site after being used in 

construction work (Ekanayake and Ofori, 2000: 5; Poon, 2007: 

1715; Tam et la., 2007: 1470) 

4.5 Sustainable building con 

struction technologies 

Construction technology has been identified 

as one of the key methods for promoting 

sustainability in the construction industry by the 

application of green technologies in production 

and construction methods and waste 

management. This is because of the potential 

benefits across the economic, environmental 

and social spectrums. It is through technology 

that we extract natural resources, to modify 

them for human purposes, and to adapt our 

man-made living space. 

DuBose et al. (1995: 5) defines green/ 

sustainable technology as “the technology that 

promotes a societal move toward sustainability, 

a technology that fits well with the goals of 

sustainable development”. These are practical 

solutions for achieving economic development 

and human satisfaction in harmony with the 

environment. Such technologies serve to 

contribute, support or advance sustainable 

development by, for example, reducing risk, 

enhancing cost-effectiveness, improving 

process efficiency, and creating processes, 

products or services that are environmentally 

beneficial or benign while benefiting humans 

(DuBose et al., 1995: 5). Technologies adopted 

in the building construction can therefore be 

used to address social and economic needs 

and concerns and, depending on how they 

are structured, to facilitate the economic 

empowerment of marginalised sectors of 

society while minimising negative impacts on 

the environment. 

To qualify as a sustainable technology, 

such solutions, in addition to meeting preexisting 

requirements and constraints (e.g. 

technical viability), must have the following 

68


characteristics (DuBose et al., 1995: 5): 

• minimise the use of non-renewable 

energy and natural resources 

• satisfy human needs and aspirations 

(economic, social, political) with 

sensitivity to the cultural context 

• minimise negative impacts on the 

earth’s ecosystems. 

Bowen and Hill (1997: 229) state that 

minimising consumption of both materials 

and energy is necessary because overconsumption 

inherently involves increasing 

the disorder and rendering them of lower utility 

for future use. Therefore, consuming as little 

material and energy as possible, or doing 

more with less, is a fundamental objective of 

sustainable technology. 

Sustainable technology must also meet 

the needs of the population it is intended to 

serve. Such needs may include economic, 

social and political. In fulfilling these needs 

the technology must account for human 

preferences and cultural differences. In some 

cases these preferences may conflict with 

environmental objectives and a compromise 

will have to be reached. This does not mean 

that human preferences should be ignored; 

fulfilment of our desires means the difference 

between surviving and living. 

Causing minimal negative environmental 

impact (as well as maximising positive inputs) 

is an important objective of sustainability 

since the environment consists of ecosystems 

of which the ongoing health is essential for 

human survival on earth (DuBose et al., 1995: 

5; Du Plessis, 2002: 6). Sustainability of the 

human race requires that ecosystems be 

protected and preserved in a reasonable state 

of health through maintaining biodiversity, 

adequate habitat, and the ecosystem. 

Further scrutiny of the definition and 

characteristics of sustainable technology 

reveals that it is not a new concept. It is similar 

to the theory of “appropriate technology” that 

evolved in the 1970s. “Appropriate technology” 

was defined then as the technology that is 

designed with special consideration to the 

environment, ethical, cultural, social and 

economic aspects of the community it is 

intended for (Eckaus, 1977: 10). It has only 

taken on increased importance as the negative 

impacts of human activities on a planetary 

scale became apparent. 

4.6 Assessment of sustainability 

One of the many questions that have 

surfaced as a result of the discourse on 

sustainable development is “how can we 

assess sustainability”. As a result, several 

types of assessment methodologies of 

sustainability have been put forward that can 

be categorised in three groups on the basis 

of their methodological foundations (Adinyira 

et al., 2007: 3). These are environmental in 

general, life cycle assessment methods and 

sustainability indicator assessment methods. 

4.6.1 Environmental in general 

Environmental methods in general 

methodologies mainly focus on issues 

relating to preserving natural resources 

and ecosystems on which we and future 

generations depend such as wise resource 

consumption, curbing pollution and looking 

69


at our impact on bio-diversity (Cole, 2000: 949- 

957). With this methodology environmental 

impacts tend to be identified, mostly using 

methods such as checklists, matrices and 

evaluations, logical frameworks, cost-benefit 

analysis and multi-criteria assessments 

(Adinyira et al., 2007: 3). On the basis of this 

methodology, many sustainability assessment 

techniques have been developed that focus 

on energy and material flow and address both 

resources use and wastes, arising across a 

wide range of development activities. 

In general, environmental methodologies have 

significant limitations with respect to the range 

of sustainability issues they are capable of 

addressing. The methods are mostly limited 

to environmental issues of sustainability 

and to applications at the levels of policy 

planning, programme development and urban 

design. These fall short of technical, social 

and economic issues that this paper aims to 

address. 

4.6.2 Life cycle assessment 

Life cycle assessment (LCA) methodologies 

are aimed at incorporating the four key elements 

of sustainability including environmental, 

intergenerational equity concerns and the 

need for a multidisciplinary and holistic 

approach in the development and decision 

making processes (Adinyira et al., 2007: 4). 

LCA is based on a structured methodology 

that can be utilised, for example, to evaluate 

environmental implications of products, 

processes, projects, or services throughout 

their life cycles from raw materials extraction 

to end of life (Sahely et al., 2005: 74). Its origin 

is traced to Agenda 21’s call for the integration 

of the environmental aspects and other key 

elements of sustainable development, as 

envisaged in the definition put forward by 

WCED (Adinyira et al., 2007: 4). 

Life Cycle Analysis (LCA) has four components, 

namely goal and scope definition, inventory 

analysis, impact analysis, and improvement 

analysis (Sahely et al., 2005: 74). Goal 

and scope definition requires defining the 

purpose and boundaries and establishing 

the functionality unit of the system to be 

considered. The inventory analysis is mainly 

an accounting of energy and raw materials 

usage and discharges to all media over the 

entire life cycle of the system (i.e. product, 

material, process, project, or service). In 

practice, the impact analysis component of 

LCA lists the results from inventory analysis 

in various environmental impacts categories, 

such as depletion of resources and global 

warming potential. Lastly, improvement 

analysis is a systematic evaluation of the 

needs and opportunities to reduce the 

environmental burden associated with the life 

cycle of the system. While LCA focuses mainly 

on environmental impacts, life-cycle costing 

(LCC) has emerged as an equivalent tool for 

examining the economic impacts of a system 

(Sahely et al., 2005: 75). 

The main advantage of LCA is that it is a 

well-established, standardised methodology, 

where potential impacts are aggregated and 

quantified and it is system or project specific. 

However, LCA also has some major drawbacks, 

including the complex and time consuming 

nature of the analysis, large data requirements 

and boundary definition. Furthermore, LCA 

is mainly limited to environmental aspects 

70


and does not explicitly consider the other key 

elements of the sustainability paradigm such as 

economic and social factors. Nevertheless, the 

LCA methodology has contributed significantly 

to the sustainability analysis by advocating 

expanded time and spatial boundaries in the 

analysis of systems. 

4.6.3 Sustainability criteria/ 

indicator assessment 

Sustainability criteria/indicator assessment 

methodologies are used to monitor and 

measure the state of the environment 

by considering a number of variables or 

characteristics (Adinyira et al., 2007: 5; 

Sahely et al. 2005: 73). Many sustainability 

criteria/indicator assessment methodologies 

have been developed to attempt to simplify 

the holistic assessment of a sustainability 

paradigm. The methods use sustainability 

criteria/indicators as a way of understanding 

and quantifying the interaction between 

the four key elements, as envisaged in the 

definition of sustainable development. 

are no definite criteria/indicators applicable 

in the building construction industry. They 

propose developing such criteria/indicators 

through brainstorming, focus groups, expert 

opinion, and both quantifiable and perceptual 

measurements, including surveys that are 

region or project specific. On the other hand, 

Šaparauskas and Turskis (2006: 323) propose 

an indicator selection procedure using an 

algorithm to create appropriate indicators. 

The indicator is accepted on the basis of its 

availability, reliability and measurability. Such 

an approach is likely to exclude some of the 

vital criteria that might not be measurable. 

Nevertheless, a combination of LCA and 

sustainability criteria/indicator methodologies 

seems to be more suited to a framework that 

can define and evaluate building technologies 

responsive to the urban poor and their 

environment. This is because technologies 

can then be viewed as a system and from a 

multi-criteria perspective that this study is 

attempting to address. 

4.7 Principle challenges 

From a methodological point of view, 

sustainability criteria/indicator assessment 

methodologies are useful integration tools to 

evaluate development from several dimensions 

and test sustainability (Adinyira et al., 2007: 5). 

However, the main problem is relating what the 

indicators measure to the actual sustainability. 

Indicators are unavoidably value-laden, and 

sometimes present difficulties in interpreting 

whether or not any progress towards 

sustainability is actually being made (Adinyira 

et al., 2007: 5). The other challenge, according 

to Guy and Kibert (1998: 1), is that there 

The principle challenge is to propose a 

practical framework for defining and evaluating 

building technologies that are responsive to 

the urban poor and their environment in the 

regional context. As stated earlier, ‘responsive’ 

is taken to imply a building technology that 

provides a good quality dwelling unit and at 

the same time addresses the socio-economic 

needs of the urban poor while minimising 

the negative impacts on the environment. 

Thus, these are practical solutions to 

achieve economic development and human 

satisfaction in harmony with the environment. 

71


Literature reveals that there is no universal 

framework that defines such technologies. 

However, the sustainability paradigm gives us 

the avenue through which such frameworks 

can be developed, although from a region, 

project or process-specific perspective. 

It is difficult to have a universal framework 

because, as stated earlier, people’s needs 

and requirements are subjective and different. 

This is also because of the conflicting goals 

in the development and management of 

construction activities, for example, (i) 

financial versus technical factors, (ii) shortterm 

versus long-term planning horizons, 

and (iii) network versus project factors. With 

the advent of the sustainability paradigm, 

we now have an avenue to balance various 

objectives and trade-offs. The key, however, is 

to utilise a systems approach in defining the 

goal and criteria methodologies for measuring 

sustainability (Sahely et al., 2005: 74). 

Socioeconomic 

Figure 1: Superimposing the three components 

of sustainability 

Technical 

Environment 

al 

Furthermore, the envisaged framework 

seeks to address building technologies 

from a multidimensional perspective, that is, 

technical, socio-economic and environmental 

components. However, each component has 

different characteristics and solutions than the 

others, and more often than not, with different 

units of measurement. Figure 1 illustrates the 

three dimensions and their interaction. The 

optimum technological solution is confined to 

the area where the three components overlap. 

It is easy to see that any solution complying 

simultaneously to the three components has 

to be contained within this area. However, 

even if this common area could be known or 

determined, it is necessary to remember that 

there can be thousands of different solutions, 

but only one of them will be the optimum 

solution. 

When one considers that there is a set of 

building technologies that is responsive to the 

urban poor and their environment, how can 

these technologies be evaluated on the way 

they comply with these three dimensions 

The answer is that one can compare the 

alternatives and a reach a compromise which 

allows for the selection of the best combination 

of technologies in a given scenario. 

However, to reach a compromise, it is 

necessary to establish a set of acceptable 

criteria for the different components of 

sustainable technology. Such criteria should 

be determined with the target community 

in mind. Consequently, there will be a set of 

criteria regarding the socio-economic aspect, 

and others for the environmental and technical 

aspects of the technology alternatives. 

These criteria can then be used to gauge the 

contribution of each technology alternative in 

attaining the final goal. It is important to note 

that each criterion can impose a threshold 

72


or a pair of these, which must be met by the 

diverse technology alternatives, but usually 

with different cardinal values. There exists, 

most likely, a common ground for some of 

the alternatives, considering the interaction 

of trade-offs, and consequently the task is to 

find a method that could identify this common 

ground for all the technology alternatives. 

while minimising the negative impacts on 

the environment. The responsiveness of the 

technology can then be considered in terms 

of the quality of the dwelling (engineering 

objective), quality of life (socio-economic 

objective) and minimisation of negative 

impacts on the ecosystem (environmental 

objective). 

5 The proposed conceptual 

framework 

5.1 Systems approach 

It was proposed to view housing delivery 

as a system (Figure 2). The goal is building 

technologies that can result in a good quality 

dwelling unit and at the same time address 

the socio-economic needs of the urban poor 

A good quality dwelling unit will improve 

the quality of life of the household. The 

feedback mechanisms in the system have 

both environmental and socio-economic 

implications. For example, the use of 

sustainable technologies will lead to the 

minimisation of negative impacts on the 

environment, and improved quality of life. 

In turn, improved quality of life leads to 

diminishing environmental degradation. 

Environmental 

objective 

Engineering 

objective 

Socio-economic 

objective 

Minimisation of 

negative impacts on 

the earth’s ecosystem 

Physical resource 

(materials & energy) 

Quality 

dwelling unit 

Performance 

and quality 

Improve the quality 

of life 

Figure 2: Conceptual framework 

73


5.2 The proposed criteria 

Appropriate criteria should be determined, 

bearing in mind the needs of the targeted 

community. In this instance the target 

community is the urban poor in South Africa. 

In general, the environmental concern is 

universal. It is concerned with minimisation of 

the negative impacts on the environment and 

efficient utilisation of resources, especially 

materials and energy. Socio-economic 

concerns are, however, not universal and 

are different from region to region. However, 

in the case of South Africa and indeed 

the whole of sub-Saharan Africa, it can be 

stated conclusively that it is concerned with 

improvement of the quality of life. Therefore, 

the first step towards improving the quality 

of life is poverty alleviation. In this regard the 

proposed criteria are given in Tables 3 and 4. 

Table 3: Building technology – Environmental criteria 

Environmental sustainability objective 

Efficient utilisation of building materials 

Optimisation of energy consumption 

(reduction in both embodied and operating 

energy) 

Protection and maintenance of biodiversity 

Environmental criteria 

Restriction on overexploitation 

Extending the life of non-renewable materials by: 

• reduction in their use 

• re-use 

• recycling 

• switching to renewable substitutes 

Construction methods that allow adaptability 

(assembly techniques that allow non-destructive 

disassembling) 

Reduction in waste generation(Du Plessis, 2002) 

Production of building materials close to construction 

sites 

Careful planning and design in relation to ventilation 

andorientation 

Use of building materials and methods that enhance 

thermal performance of buildings 

Use of energy from renewable 

Minimisation of particulate and gaseous emissions 

• apply procedures to eliminate or manage 

noise, dust, vibration, chemical and 

particulate emissions 

• eliminate or carefully manage the use of 

building materials or finishes with volatile 

organic compounds 

Avoid sensitive ecosystems 

Protect on site vegetation and topsoil 

(Kibert, 2004: 495; Häkkinen, 2007: 249-250) 

74

Table 4: Building technology – Socio-economic criteria 


Socio-economic sustainability objective 

Stimulate and support local economy; and 

community participation 

Equity 

Skills and capacity development 

Human health and safety 

Financial affordability 

Employment creation 

Adaptability 

Socio-economic criteria 

Self-determination 

Use of building technologies that: 

• have evolved over time 

• are labour intensive 

• are small scale 

• use un-skilled or semi-skilled labour 

(Bowen and Hill, 1997: 227-229; Steyn, 2003: 21) 

Mixed use 

Socially acceptable (Bowen and Hill, 1997: 229) 

Allows community participation and control 

Training 

(Bowen and Hill, 1997: 228) 

Avoid the use of building materials or finishes that are 

hazardous to health 

Healthy and safe working environment 


Labour-intensive building technologies 

Abundant and locally available resources 

Less emphasis on technical standards 

Owner built/self help 

Indigenous systems 

Small scale 

Addressing market imperfections 


Small scale 

Labour-intensive methods 

Abundant and locally available resources 

Owner built/self help 

Supported by government policies 


Construction methods that: 

• allow incremental addition 

• allow future expansion 

• fixing details that allow non-destructive 

separation (Van Wyk, 2007: 4-5) 

75


The technical objectives are aimed at 

achieving a good quality and durable dwelling 

structure. Quality can be described in terms of 

housing attributes. Becker (2002: 926, Table 

2), amongst others, provides a list of housing 

attributes. The national building regulations 

and design codes, for example, SANS 

10400:1990 The Application of the National 

Building Regulation, usually provide for design 

and construction procedures to meet the 

performance requirements of these attributes. 

In general, though, it should be demonstrated 

on a factual and technical basis that can 

be substantiated and verified by means of 

tests, calculations performed in terms of 

appropriate design codes of practice, or from 

first principles that the construction system, 

materials, element or components satisfy the 

performance requirements (SAICE, 2000: 1-1) 

enlisted by the housing attributes. 

In this study, the housing attributes were 

considered as the technical criteria. Not all 

the attributes were taken into account, only 

the ones given in Table 5 were considered as 

appropriate. This was because these aspects 

are considered to be influenced the most by 

the type of building technology employed and 

as being the minimum requirements (SAICE, 

2000: 1-1). 

Table 5: Building technology – Technical criteria 

Technical objective 

Performance (quality) 

Technical criteria 

Durability 

Thermal and condensation 

Structural strength and stability 

Behaviour during fire 

Water penetration and rising damp 

Structural serviceability 

76


The proposed criteria were conceptualised as an objective hierarchy model as shown in Figure 3. As stated earlier, the challenge is to compare 

the alternative technologies and a compromise reached that allows for the selection of the optimum. The proposed methodology is given in the 

section that follows. 

Sustainable 

development 

Sustainability 

objectives 

Sustainability criteria 

for sustainable 

objectives 

Criteria for building technology 

responsive to the urban poor 

Technical 

objective 

Environmental 

objective 

Socio-economic 

objective 

Quality and durable 

structure 

Efficient utilisation of resources 

(materials and energy) 

Protection and maintenance of 

biodiversity 

Stimulate and support local 

economy 

Community participation 

Skills and capacity development 

Health and safety 

Affordability 

Employment creation 

Adaptability 

Durability 

Resistant to water penetration 

and rising damp 

Thermal comfort 

Structural strength and stability 

Behaviour during fire 

Re-use 

Recycling 

Renewable substitutes 

(materials and energy) 

Reduction in waste generation 

Production of building materials 

close to construction site 

Apply procedures to eliminate or 

manage emissions 

Indigenous building systems 

Labour-intensive methods 

Small scale 

Locally and abundantly available 

materials 

Allow incremental or future 

expansion 

Techniques that allow nondestructive 

disassembling 

Socially acceptable 

Semi-skilled labour 

Owner built/self-help 

Sustainable building construction technology for 

the urban poor 

Figure 3: Objective hierarchy model 

77

ij 

ij 

max 

j 


4.3 The proposed assessment 

method 

The proposed framework presents a multicriteria 

optimisation problem. There are many 

techniques for multi-criteria optimisation, such 

as simple multi-attribute rating techniques, the 

analytical hierarchy process, order preference 

by similarity to ideal solution (Engelbrecht, 

2007: 113-177). The simple additive weighting 

(SAW), one of the simplest and probably the 

best known and most widely used technique, is 

recommended in this study. The model is used 

to aggregate the scores into one score based 

on the criteria weights. At first the scores are 

normalised (converted) by the formulas: 

1. 

x 

ij 

a 

= 

a 

ij 

max 

j 

ij 

2. xij 

= 

max 

a j 

Where 

aij 

xij 

= = the score for the criterion. 

max 

a j 

When the criteria are maximised, Formula 1 

has to be used, and Formula 2 when the criteria 

are minimised. The scores are aggregated into 

one score using the formula: 

3. 

aij 

xij 

= 

max 

a j 

a 

Where 

x = 

a 

is the total score, is the number 

aij 

xij 

= 

max 

of criterion, a j 

s the weight of each criterion, 

and is the normalised score of the criterion. 

In the event that the criteria are not measurable, 

it is proposed to approach several stakeholders, 

including academics and industry players to 

rate the technology. However, it is important 

a 

to note that such score rating is subjective and 

based on the perceptions of the respondents. 

Yet, statistically the information can be used to 

draw objective conclusions. Alternatively, it is 

proposed that such criteria be defined in terms 

that can be quantified and systems developed 

to capture data which can then be presented 

and analysed accordingly. 

It is also necessary to compute the weighting 

of the three pillars of sustainability (socioeconomic, 

technical and environmental). Such 

computation can be based on a field survey 

where the targeted community participates 

to establish the most pressing issues, which 

can then be weighted using social science 

techniques. The score rating for each criterion 

and category (technical, socio-economic and 

environmental) can be averaged, normalised 

and aggregated into one score. The grand 

total score rating can then be calculated as the 

sum of the three total scores. 

6 Conclusions and 

recommendations 

The concept of sustainable development is 

now well defined and it can be applied to any 

sphere of development and decision making, 

including the built environment. The proposed 

framework defines building technologies 

responsive to the urban poor in terms of 

technical, socio-economic and environmental 

sustainability objectives in the regional context. 

Building construction technologies can be 

analysed, evaluated and finally compared in 

order to select the optimal variant according to 

the given set of criteria. The outcome of such 

an evaluation can enhance the understanding 

of the potentials of the technologies, 

78


which in turn can demonstrate how to 

empower the urban poor to make their own 

contribution to the process of improving their 

housing conditions. Such outcomes can also 

be useful for policy formulation and decision 

making. However, it should be noted that the 

framework is not universal, especially with 

regard to the criteria, it is regional specific. 

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Acknowledgements 

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the material support. 

85


Innovation and Alternative Building Technology 

within a Sustainable Development Paradigm 

ABSTRACT 

Tom Sanya 

School of Architecture Planning and Geomatics, University of Cape Town 

People are at the centre of sustainable development. Basing on this anthropocentric viewpoint 

this paper posits that alternative building technologies can play an active role in solving today’s 

shelter problems and indeed in creating habitats for sustainable living. The routinely assumed 

powerlessness of the poor is problematised to make the case that, with alternative building 

technologies, everyone can get to be part of the solution. For alternative technologies to be 

effective in such a role, it is argued, innovation at all building lifecycle must be catalysed. The 

goal should be creation of a self-organising framework for reconfiguration of processes and 

products at different scales to develop and utilise alternative technologies in ever fresh ways 

of building sustainable habitats. International and local South African statistics and examples 

are used to support the arguments. 

INTRODUCTION 

Sustainable Development is, above all, 

about fulfilling human needs for present and 

future generations (World Commission on 

Environment and Development, 1987). Shelter 

features along with nutrition and healthcare 

as an indispensable essential for fulfilling 

the health, safety, welfare, socialisation and 

self-actualisation needs of humans (Dunin- 

Woyseth, 1993). In South Africa, it widely 

acknowledged that the shelter and housing 

needs for the largest sections of the population 

remain unfulfilled – with the shelter deficiency 

growing. Taking the case of Cape Town, 400 

000 families are without adequate shelter. 

With a high annual rate of increase of 20 

000 households per annum, this number is 

growing steadily (City of Cape Town, 2009). 

This is in a context where 40 percent of the 

city’s population are considered to be living 

below the poverty (ibid) with the majority of 

them staying in the unsanitary conditions of 

informal settlements. 

Generally, post-1990s government in South 

Africa has taken a lenient approach to informal 

settlements, demolition being the rare exception 

rather the rule. Additionally, the government 

has proactively been engaged in provision of 

housing to the poor most significantly under the 

Redistribution and Development Programme 

(RDP) and subsequently the Breaking New 

Ground (BNG) strategy. The main approach 

by government to the housing problem is 

centred on delivery of a finished building for 

the formerly disadvantages to move into, and 

with the beneficiaries sometimes getting a 

bonus in form of a job and training during the 

construction process. 

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And there are also instances of Black Economic 

Empowerment (BEE) whereby black-owned 

local firms are contracted to execute the 

construction. But the housing problem 

remains and evidence suggests the problem 

is growing. Thus, this intervention approach 

of constructing contractor built housing, with 

standard materials has failed quantitatively. 

Moreover, evidence also suggests qualitative 

problems with many of the houses constructed 

under such arrangements. These problems 

include poor indoor environmental quality, 

substandard construction, and monotonous 

blandness. It is in this context that service 

delivery riots continue as people remain 

passively expectant of government delivered 

housing and related services. This failure 

should come as no surprise because it was 

realised as long as the 1970s that such topdown 

house-provision-focussed approaches 

are problematic. And lamentations by 

authorities about their increasing hopeless in 

providing housing only goes to underscore the 

prescience of the 1970s argument against this 

mode of housing delivery. Governments using 

the public housing approach have almost 

always failed in quantitative terms to construct 

sufficient housing to fulfil demand. It was also 

the experience back then that it is difficult (if 

not impossible) for public housing schemes 

to provide solutions that meet the diversity in 

needs and preferences among lower income 

groups in terms of trade-offs between size, 

quality, use, location and cost. Many projects 

were far away from employment centres 

where the poor could find jobs. And the plan 

layouts were not suited to living patterns, for 

instance to the cooking habits of the people, 

carrying out of petty trade and subletting. They 

were also based on Western designs and 

so proved poorly suited to specific climates 

and micro-climates. Repair and maintenance 

were a continual problem. For instance, 

buildings deteriorate very fast in rainfall and 

high humidity locations and yet governments 

proved perpetually ineffective at implementing 

maintenance programmes (see Turner, 1976). 

This paper takes the stance that the current 

predominant approach to government 

intervention in housing has structural flaws that 

need innovative re-examination. By taking the 

well-being of the human being as a focal and 

starting point, this paper weaves a framework 

from a building lifecycle perspective to highlight 

the immense latent energies that are locked 

down by the current top-down government 

approach. The paper makes the case the a 

government-facilitated self-help approach 

aimed at reconceptualisation of process 

and product at different levels in the housing 

production chain can activate resources, 

energies and sysnergies for a far more 

effective mode of habitat development. The 

scope of the paper is limited to the individual 

building and to the outdoor spaces defined 

between it and other buildings/elements. 

Technologies discussed are mainly those in 

regard to building materials and other inputs 

into the construction of the building envelop 

but the principles are clearly applicable to other 

aspects of building. The value of this paper is 

in proposing a framework under which people 

can be empowered by government to improve 

their habitats under a sustainable development 

paradigm. The paper’s arguments are explicitly 

or implicitly underpinned by empathy for 

conditions in informal settlements as well as 

the wider contextual consideration that South 

Africa experiences 

87


experiences a high unemployment rate of 

more than 20 percent (Statistics South Africa, 

2009) 

The paper starts by a brief discussion of the 

concept of innovation, alternative technologies 

and sustainable development. It then 

presents the building as a lifecycle system. 

Subsequently, using examples, the paper 

illuminates the opportunities available for 

beneficial innovation at each lifecycle stage 

both in process and (intermediate) product. 

The final part is a contemplative reflection on 

a framework for more effectively organising 

different role-players in human settlements. 

INNOVATION 

Fig 1: Categories of Innovation (Adapted from Diyamett, 2004) 

Innovation is essentially about beneficial (to 

humans) novelty. It is a generic concept that 

is applicable to all spheres of human activity. 

Innovation is not absolute, but can be context 

dependant. For example, an old product/idea 

in a context where it was previously unknown 

or use of a known material in a way not yet 

tried before could all qualify to be innovations. 

Fig. 1 above presents the different types 

of innovation. Process innovation is on 

the production side and encompasses 

equipment (i.e. capital and investment goods) 

increased productivity of labour, production 

cost reduction all aimed at increasing 

profit. Importantly, process innovation also 

includes organisational innovation (e.g. 

better management, organisation of labour), 

education of work-force etc. Under the 

sustainability paradigm the above framework 

this paper expands the above framework to 

also include other environmental and socioeconomic 

sustainability considerations (not 

necessarily chosen by the producer but 

enforced by government through legislation or 

demand of such products by the consumers 

(such as those pertaining to pollution control). 

Product innovation is about introduction of 

new goods and services that customers are 

not aware of. Product innovation can also be 

about improvement in the quality of a product 

(see Diyamett, 2004). 

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There are different degrees of innovation. 

Budworth (1996) identifies the following: 

incremental innovation, radical innovation 

and fundamental innovation. In incremental 

innovation, beneficial changes to production 

process or final product are small but 

persistent. Rosenberg (1982) argues that 

such changes, though small, can cumulatively 

have a significant beneficial effect. Rosenberg 

(ibid) adds that incremental innovation comes 

through learning on the job, that is, learning by 

doing. The next degree, radical innovation, is 

a much more substantial change that does not 

however establish a new industry. The highest 

degree is fundamental innovation, which is a 

result of strong scientific research that creates 

a completely new industry based on previously 

unknown production systems. Fundamental 

innovation requires the most investment and 

therefore carries the highest risk amongst the 

three (Diyamett, 2004). 

Of the three types of innovation, this paper 

proposes that incremental innovation is the 

model that would provide maximum benefit 

in the addressing the human shelter needs 

in South Africa today. Incremental innovation 

requires little or no expenditure (Rosenberg, 

1982), and always remains an intrinsic part 

of the production setting – so much so that 

it sometimes goes unnoticed. This sort of 

piecemeal intervention is a sure a way of 

creating habitats that people truly identify with 

and that evolve commensurately with available 

resources. Further to this, incremental 

innovation does not involve major investment 

risk (see for example Budworth, 1996). Rather, 

investment is given in small doses tailored 

to community needs and resultant benefits 

arguably become part of an evolving locally 

produced culture. 

Alternative technology 

The term “alternative technology” was 

popularised by Peter Harper in the 1970s 

in the Undercurrents magazine to as part 

of efforts to propagate a vision of “science 

with a humane face”. (see www.intertype. 

co.uk/undercurrents/index.html). Alternative 

technology is defined by contrast from what 

are perceived to be prevalent environmentally 

destructive practices. Alternative technology 

is aimed to be environmentally friendly, 

affordable, and to offer people greater control 

over production processes. In this paper, 

alternative technology is used synonymously 

with appropriate technology to cover the 

wider ethical, cultural and social concerns of 

sustainable development (see Schumacher, 

1973) . Alternative technology is acquiescent 

to incremental innovation because it is, by 

definition, small-scale and locally embedded 

– characteristics that provide opportunities 

for a people-led habitat improvement drive. 

Alternative technologies can produce better 

habitats while also nourishing the local poor 

communities with jobs, income as well bringing 

other socio-economic and environmental 

benefits. 

Building lifecycle 

A building is the final stage in a long process 

cycle. A building is habitable space with a 

definitive boundary of walls, floors and roofs/ 

ceilings. The quality of a building is judged in 

functional, technical and aesthetic terms as 

related to the human need for health, comfort 

and welfare. 

89


Hence, the sizes and relations between 

spaces, the indoor environmental quality (IEQ), 

durability and spatial-aesthetic appeal are key 

considerations in assessment of judging a 

building. In sustainability thinking, a building 

is conceptualised in terms of its full lifecycle 

stages with the following process stages 

respectively: raw-material extraction, building 

material preparation/manufacture, building 

construction, building use/maintenance, 

demolition and disposal/recycling (with inputs 

of energy, labour, capital and transport in each 

stage as needed). 

Architectural and other forms of design are 

central for the benefits of innovations to be 

realised. Each new design is a universe of one 

– a unique product that combines previously 

known or unknown building materials into a 

whole which is more than just a sum of the 

parts. As per the above definition therefore, 

any unique design is essentially an innovation. 

Hence, there is immense potential for innovation 

via design. This potential is increased many 

times over when designers don’t just focus on 

the final product (the building) but open their 

minds to the opportunities available in all the 

lifecycle stages of a building. The following 

arguments and examples illuminate how 

exploring opportunities for reconceptualisation 

of product and process at the different lifecycle 

stages opens more avenues for creativity in 

the construction process while also saving 

costs, creating jobs, building communities and 

saving the environment. 

Sourcing Raw Materials 

Building materials can either be used in 

their raw form (i.e. without conversion) or 

after undergoing transformation. From a 

sustainability viewpoint, using a material in its 

raw form is the most sustainable alternative 

especially if such a material is locally available. 

This is because such a material would be 

cheaper and impose a lower environmental 

load. Examples of materials used in raw or 

near-raw form include wooden poles, bamboo, 

uncut stone and earth. Though most of these 

materials are generally deemed to be inferior 

to the industrially produced ones, experience 

shows that they are just as capable, 

through innovative design, of producing 

functional, durable and aesthetically pleasing 

architecture. They also offer extra advantages 

in terms healthier and more comfortable IEQ. 

For example, the author of this paper has 

experimented with building with unbaked 

earth in Uganda with community participation. 

Pecuniary savings were realised as well 

as advantages in community networking, 

training, and minimising consumption of 

dwindling tree and swamp resources in the 

locality. There are many earth buildings in the 

world that have lasted for centuries and new 

interest in the material in the western world 

is producing earth architecture as modern 

as any. CRATerre is an earth construction 

research in Grenoble (France) that has done 

extensive work in documenting earth building 

practices from antiquity to the present, and in 

creating and disseminating training material 

(see for example Houben and Guillaud, 1986; 

and Rigassi, 1995). 

Conversion of raw materials into building 

materials can be done at a number of scales 

ranging from craft-based through light cottage 

industry to heavy industrial ones. At the 

craft-based and light industrial end of the 

1 

Schumacher used the term “intermediate technology” instead of “appropriate technology”. 

2 

In the discussions that follow, the term designer is used to encompass architects and other designers. 

90


scale would be such facilities as small brick 

and lime kilns, timber mills, adobe block 

making. At the heavy industry end is included 

cement and steel industry, and the factories 

for production of highly processed building 

materials. According to Emmit (2004), the 

nearer to the heavy industry end of the scale 

the more expensive, and the more destructive 

to eco-systems and societies the technology 

is. In South Africa generally, the predominant 

materials for construction of governmentprovided 

houses are mainly sourced on 

from the heavy industries. The incremental 

innovation suggested by this paper is more 

aligned to the raw-form materials, craft-based 

and light industries end of the scale. Sourcing 

building materials through small-scale, local 

firms nourishes the intended beneficiary 

communities with jobs and money. The 

process of housing provision would not only 

directly contribute to alleviation of poverty in 

this manner, but would also have multiplier 

effect of spurring economic activity in other 

local production sectors. Apart from the above 

economic advantages, this approach would 

be beneficial for getting people to socialise 

together, to develop social cohesion, and 

become part of the formation of an evolving 

urban culture. 

Arguably, working together 

like this can contribute to people developing 

mutual trust and respect. Such community 

building activities can start countering against 

the debilitating and aggravating culture of 

crime, idleness and substance abuse. 

From Building Materials to the 

Building 

Design gets to finally crystallise into a 

building through a construction process. 

Good designers direct the combination of 

different materials and components into an 

aesthetically pleasing building that is useable, 

safe, affordable, comfortable, and durable. 

They use materials in refreshingly new ways 

to produce a varied and interesting built 

environment – which is the opposite of the 

bland uniformity offered by government today. 

They orientate buildings to simultaneously fit 

into, be sheltered and benefit from nature. 

They locate buildings to form positive outdoor 

play and socialisation. They have no problem 

with involving the community in making aprior 

design decisions and use whatever challenges 

they come up against as yet another design 

opportunity. 

Examples abound of projects in South Africa 

that have successfully involved communities. 

The Mapungubwe Interpretation Centre 

(by Peter Rich Architects), which won the 

2009 World Building of the Year Award, was 

realised with the significant participation of the 

community. Major public buildings can be used 

to teach the community new technologies on 

the job – technologies which they can later 

apply to building their own houses. There 

are further design opportunities in creating 

innovative ways of using space, for example 

by creating efficient multi-use spaces in a 

process of collaborative work between say 

an architect and furniture denser (for instance 

as presented in Low [ed], 2008: 60-62). 

Additionally, there are possibilities for designing 

kits of parts (such as doors, parts of walls, 

built-ins etc) that communities can eventually 

start prefabricating and erecting. Above all, 

good designers can open local people’s eyes 

to routinely unnoticed possibilities. A case 

in point is MMA architects who used bags 

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of sand, a material so ubiquitous that it is 

routinely undervalued, to create affordable 

storeyed houses in Cape Town. In similar 

vein, architect Jo Noero interpreted four 

ordinary prototypes of free standing buildings 

to create a varied dense urban architecture in 

the Lenasia low-income housing project (see 

Sorrell, 2009). 

Using and Maintaining the Building 

Many decisions done at design stage in terms 

of passive measures and technologies can 

achieve good buildings with high levels of 

comfort and low environmental load without 

much initial expenditure 

Reuse of Existing Building 

Reusing existing buildings makes a lot of 

economic and environmental sense. The 

locked in embodied resources are not wasted 

and the no new resource demands are made. 

To be reusable, buildings must be designed to 

be adaptable to different users and uses based 

on flexibility in space sizes and configurations 

as well as on possibilities for altering the 

envelop. 

Demolishing 

When buildings get to finally be demolished, 

reuse of components is an alternative that 

can be explored. This particularly requires 

forethought in terms of designing for 

disassembly. In this regard for example, 

bolted connections can be better than nailed 

ones. Components of buildings which can 

be reused include bricks, windows, doors, 

wooden/structural structural members. The 

rubble itself can also be reused in numerous 

other ways. It is possible for communities 

to self-organise to recover as much from 

demolished buildings as possible. Apart from 

the usual definition of raw-materials as those 

unprocessed ones from nature, an innovative 

approach also includes (demolition and other) 

garbage as a potential source of raw-materials. 

Using garbage as a construction resource 

offers a number of advantages. It reduces 

the amount of garbage that must be thrown 

away/treated, it usually freely and locally 

available, and it can provide employment 

opportunities for the jobless. In a sense also, 

use of garbage for construction is a sure way 

to recover embodied resources and pre-empt 

consumption of more. The opportunities for 

innovation in seeing garbage as a building 

resource is immense. That a good designer 

can put garbage to refreshing architectural 

use is evident in the works of Nina Maritz (a 

graduate of the University of Cape Town) such 

as at Twyfelfontein Rock Art Museum Visitor 

Centre in Namibia. Another example is the 

Wat Pa Maha Chedio Kaew temple in Thailand 

where monks used approximately 1.5 million 

bottles to build a temple. More recently, 

a floating dining room was constructed in 

Vancouver with empty plastic bottle. Successful 

incorporation of garbage as a useful resource 

in the construction process is a sure way of 

achieving a sustainable system of construction 

over the entire lifecycle of building in a closed 

cradle-to-cradle loop. 

Government empowered self-help 

efforts 

To catalyse the incremental innovation activities 

described above, this paper recommends 

92


recommends efforts be diverted from the 

current housing-provision-centred model to a 

government-empowered self-help one. 

Turner (1976) advocated for self-help approach 

to informal settlement upgrading because, he 

argued, personal scale and local variety are 

natural and even inevitable functions of local 

and personal decisions. Self-help is a system 

of production, financing or maintenance in 

which a significant part is organised and 

carried out by the beneficiary. “Usually 

it involves them (the beneficiaries) in an 

incursion into functions that would normally be 

the responsibility of either the public or private 

sectors who are either unable, or unwilling to 

provide that service” (Ward [ed], 1982:7). This 

quotation from Ward leads to identification of a 

third sector which is neither the private nor the 

public sector. This sector has been termed as 

‘the popular sector’ by Turner (1976). Self-help 

is about facilitating the role of the popular sector 

in provision of housing. To many, the concept 

of self-help automatically conjures images of 

the beneficiaries doing the manual labour such 

that the so-called ‘sweat equity’ is the key to 

achieving cost saving in self-help housing. 

However, the concept does not necessarily 

require direct labour provision by the housing 

user. Most self-help builders actually hire 

labour (see Turner, 1976 and Sanya, 2000). 

In such a case, “… the owner-builders (act) 

as their own general contractors, employing 

much of the labour, buying the materials 

themselves, and supervising the work” (Ward 

[ed], 1982:103). What is important is not direct 

labour provision, but self-determination and 

autonomy of control by the housing user. Selfhelp 

therefore emphasises that the people 

must be involved in the making of decisions 

that shape their habitats. 

Self-help is not only economically viable (as 

it mobilises people’s innovative resources in 

the provision of housing) but it is also a sure 

way of providing the necessary flexibility and 

variety in living environments. No authority can 

anticipate the immense variety of household 

situations, priorities and specific housing 

needs. Centrally supplied housing is bound to 

lead to mismatches between people’s housing 

priorities and the housing they get. 

However, self-help cannot in isolation solve the 

housing problem. Without any support, selfhelp 

means will surely fail as the exacerbating 

situation of informal settlements attests. Many 

types of large scale infrastructure and certain 

public services demand heavy investment 

and high level coordination the kind of which 

cannot be provided by self-help means. Selfhelp 

can only successfully operate as part of 

larger system consisting of three levels each 

with a corresponding scope of responsibility 

as identified by Turner (1976:117). The central 

government is the highest authority and its 

level of action should be to guarantee equal 

access to resources (land, finance, training 

and appropriate tools); the intermediate 

level is the municipal government whose 

level of responsibility should be provision 

of infrastructure; and the lowest level is the 

local community and individuals whose level 

of action ought to be building and maintaining 

houses and their immediate surroundings. 

Thus actions that are targeted at larger 

catchment populations demanding more 

stability are better handled at higher levels 

while those for smaller catchment populations 

lending themselves to flexibility are better 

93


The central government is the highest 

authority and its level of action should be to 

guarantee equal access to resources (land, 

finance, training and appropriate tools); the 

intermediate level is the municipal government 

whose level of responsibility should be 

provision of infrastructure; and the lowest 

level is the local community and individuals 

whose level of action ought to be building 

and maintaining houses and their immediate 

surroundings. Thus actions that are targeted at 

larger catchment populations demanding more 

stability are better handled at higher levels 

while those for smaller catchment populations 

lending themselves to flexibility are better 

handled at local or individual level. Closely 

related to self-help is a more fundamental 

approach termed as ‘the popular approach’ 

by Hardoy and Satterthwaithe (1989). This 

approach advocates for full participation of 

communities in determining the form of tenure 

and property rights, involvement in determining 

how land use will be defined in settlements, 

control over which houses (or shacks) have to 

be moved to pave way for infrastructure etc. 

It also means giving the poor more access 

to finance, information and know-how, which 

can make their participation more effective. 

The approach calls for formation of community 

organisations and close collaboration between 

the government and these organisations. It 

also requires enhancement of the role of NGOs 

to act as liaison between the community and 

government, and provide technical advice and 

training for the community. Thus, government 

through scaled-down intermediaries finances 

and facilitates numerous small self-help 

projects at community level. In short, the 

popular approach is a bottom-up one. 

The popular approach also advocates that the 

problem of housing is not looked at in isolation 

but is put in the broader social and economic 

context. This requires innovative ways of 

organising government and other role players 

in the building construction sector. 

In this paper, the specific proposal is that the 

municipality government gets decentralised in 

a three tier system Under this proposal, the 

role of the municipality is decentralised and 

its core functions get more streamlined to 

those that can feasibly be accomplished at a 

city-wide scale of operation. The lowest level 

of government (Level 1) would be in direct 

contact with people and would be responsible 

for about 500 households. Level 2 would 

comprise of about 40 Level 1 units. This level 

would oversee the L1 units below it while also 

being responsible for more complex buildings 

and for infrastructure facilities with a high 

catchment population. And finally all L2 units 

would fall under the municipality (L3). The 

municipality’s functions would then include 

provision and safeguarding of infrastructural 

facilities with city-wide catchment populations, 

synchronisation of the activities of L2 units 

under it and approval of very complex 

building plans. The current administration 

system, which expects the municipality to 

provide housing and regulate all aspects of 

urban development at neighbourhood level 

is unworkable and is prone to inefficiencies. 

To directly concern itself with each individual 

plot subdivision and house construction as is 

the case today, the municipality is taking an 

approach that can only be made successful 

by heavy expenditure of resources to create 

a police-state. Such resources are unavailable 

and a police-state is obviously undesirable. 

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What is needed is to create more relevant 

urban management organs at L2 and L1 to 

oversee the smaller scale aspects of urban 

development while limiting the role of L3 to 

a more feasible one of coordination of the 

L2 units below it and safeguarding of the 

appropriate category of infrastructure. 

Each level of governance should be vested 

with the powers and enabled to make decisions 

about the built environment within its area of 

jurisdiction. L1, which has the most immediate 

contact with the communities, can be staffed 

with a core staff of technicians with relevant 

qualifications in urban and environmental 

planning, architecture, and health. This team 

could then, for example, be responsible for the 

following functions within the L1 area: 

• enablement of community participation 

in decision 

• approving of simple building plans; 

identification, 

• demarcation and safeguarding of 

environmental areas and networks of 

green; 

• safeguarding of village-level 

communal areas and facilities; 

• dissemination of knowledge and 

information to the community, 

• gathering and incorporation of 

community views in the formulation (or 

adjustment) of a minimum framework 

for urban development; 

• enforcement of the minimum urban 

development framework 

This would all be in a framework where the 

municipal government empowers people 

by ensuring they have access to necessary 

knowledge, resources and information. As 

a basic requirement to make the above 

described system of decentralised operation 

workable, it is suggested that the municipality 

sets aside land for public infrastructure 

elements such as roads, schools and networks 

of green. This proposal, unlike the acquisition 

of large chunks of land for public housing or 

sites-and-services schemes, requires much 

smaller amounts of land and should therefore 

be easier to undertake. For a city like Cape 

Town, which is the largest landowner in its 

area of jurisdiction, such a process would be 

further simplified. With the strategic areas 

thus safeguarded, landowners may now be 

free to subdivide their land and build as they 

please as long as they remain within certain 

reasonable predefined limits (it is preferable 

that such limits are formulated with the active 

participation of the community through the 

decentralised hierarchical administrative units 

as described). 

Additionally, to ensure a reasonably 

harmonious environment and guide the 

interactions amongst the various role-players 

in the housing construction sector, the 

municipality needs to put certain laws in place. 

Proscriptive not Prescriptive Planning 

Such laws should be proscriptive laws 

instead of prescriptive laws (see Turner, 

1976). As opposed to prescriptive laws, which 

specify lines of action that must be followed, 

proscriptive laws define limits within which 

actors have maximum freedom to operate. 

Furthermore, current laws and regulations are 

formulated in legal jargon that even the most 

seasoned building professionals struggle to 

95


interpret. The new proscriptive regulations 

should be packaged into formats that are 

readily accessible and comprehensible bythe 

common man who, under the proposals 

of this paper, is the main builder of his own 

habitats. The simplified format can then be 

disseminated to the people through public 

seminars and use of brochures. The regulations 

should be tools with which individuals can 

create a decent living environment other than 

means of restricting what people can do. 

Contextualising with Other Role 

Players in the Housing Sector 

Design professionals do not work in isolation 

and the last part of this paper is aimed at 

suggesting a framework for how the diverse 

role-players in the construction can work 

together with innovative alternative building 

technologies to improve habitats. Apart from 

the community (clients and users) and design 

professionals, other role-players include 

government, funding agencies, education 

institutions, NGOs, contractors and subcontractors, 

builders and constructional 

professionals. How these interact with each 

other is highlighted in the diagram below. In 

the diagram, the community (the people) are 

at the centre. The rest of the role players are 

grouped into three: 1) government and NGOs 

2) the education institutions and building 

professionals 3) the funders, producers and 

builders. 

As per the self-help approach, the producers, 

builders and artisans would mainly be part 

of the community; and would in many cases 

be the actual beneficiaries of the housing. 

The role-players not only interact with the 

community but also with each other. Thus 

the government interacts with producers and 

builders through empowerment of small BEE 

Fig 2: Interaction amongst Different Role-Players in the Housing and the Community 

96


firms to produce materials, or supports the 

artisans with training. 

To facilitate self-housing efforts, each of the 

three groups must have big overlaps with 

the communities – meaning that government 

needs to delegate certain powers to a much 

lower level as described above. This contrasts 

with the status quo whereby the lowest 

authority that can approve a building plan 

in an urban area is the municipality. The 

overlap also represents the grassroots NGOs 

actively engaged in community activism and 

mobilisation. Such groups remain in touch 

with people, understand their needs, dispense 

advice, and undertake advocacy on the 

community’s behalf. An additional proposal 

here is that innovative funding methods that 

are embedded in the community be used to 

avail credit to people. Here, the Noble-Peace- 

Prize-winning GRAMEEN Bank microfinance 

model suggests itself as a possibility for 

government to work closely with NGOs to get 

credit down to the grassroots. In this model, 

small loans are given to the very poor people 

with no collateral prerequisite. These loans are 

coupled with education of the recipients and 

strong encouragement to save. Through small 

self-organised groups (consisting of family, 

neighbours and friends) the loan recipients 

support each other in their poverty alleviation 

activities. Also, the peer-pressure from the 

groups ensures high loan repayment rates. 

Compared to providing a finished house, 

this micro-credit approach offers obvious 

advantages in terms of lower investment as 

well as the fact that government eventually 

recoups the money. The GRAMEEN model is 

also interesting because, although it includes 

shelter as one of its aims, it is only incorporated 

as part of a broader range of others such as 

clean water, basic hygiene and health, smallscale 

agriculture, and financial propriety (see 

www.grameen-info.org). The government 

would need to make funds available on good 

terms to kick start and maintain the microcredit 

process. This micro-financing model can 

bring banking ownership right down to small 

communities in the informal settlements so 

that they too start accumulating wealth through 

savings-based credit creation. 

In this proposal also, education institutions 

need to leave the comfort of the ivory tower 

to start having community presence and to 

impact positively on the communities. This 

requires a shift from exclusively elitist curricula 

to those that are more responsive to the needs 

of the majority poor. Community involvement 

would require that different disciplines work 

together – sociologists, doctors, social 

scientists, economists, architects, product 

designers and mass-communicators working 

with community participation to find ever 

innovative ways of imagining, designing, 

financing and coordinating the improvement 

of human habitats and life quality. Student 

projects could start getting them to engage 

with the society around them, to apply their 

minds to human settlement problems, and to 

create and disseminate innovative ideas in 

doses communities can digest. In this ethical 

role, university education does not just aim at 

transmitting knowledge but also at imparting 

values to graduates; values that will spur 

them into empathising with the indigent. The 

young minds can take full advantage of the 

self-organising possibilities in the internet 

to network with each other and to avail 

communities with useable information similar 

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to, for example, the system of developed by 

Open Source House (see www.os-house. 

org. The graduates would emerge into ethical 

professionals with the will and skills to play 

a meaningfully role in solving the problems 

of urban informal housing. There is plenty of 

opportunity for government and education 

institutions to liaise to in terms of strategic 

visioning, priority setting, forging of bilateral 

and multilateral links, and research funding. 

CONCLUSION 

There is a housing deficiency in South 

Africa that is, to a large extent, being fulfilled 

by burgeoning informal settlements. The 

government strategy of providing completed 

houses to beneficiaries is failing to meet the 

deficiency. Moreover, this approach is also 

prone to a range of qualitative problems. This 

paper has proposed an alternative method 

based on incremental innovative intervention 

as a more efficacious approach in South 

Africa’s context. The approach suggested 

hinges on government-empowered self-help 

as an avenue for unlocking the currently 

latent resources and innovative energy in 

communities. Government should limit its 

role to that of a provider of a guiding framework 

within which the people have the liberty to 

innovate at all levels of the production chain 

to create sustainable habitats while saving 

money, creating jobs, building social networks, 

and preserving the natural environment. 

masses would probably be driven to riot by 

any suggestion that they include something 

as “dirt” cheap as earth or reclaimed waste 

as part of the solution for self-building their 

abodes. After all, recent “toilet riots” in Cape 

Town demonstrate that in present day South 

Africa, even the very poor prefer to have 

concrete walls for their toilets. 

Mindset change takes a generation – which 

is approximately 30 years. Starting today, 

incremental innovation can lead to greatly 

improved and improving human settlements 

by 2050. Perhaps above all, people need to be 

imbued with a pride that will open their eyes 

to the riches within their seemingly hopeless 

communities. A richness so profuse that world 

famous architect Jo Noero took the shack 

and the informal as the genesis of his design 

philosophy which, in a refreshingly wicked 

twist that only gifted designers are capable 

of orchestrating, he has successfully applied 

to informal and upmarket buildings alike. This 

underscores that within the slums is the power; 

the power to innovate liveable habitats for the 

people, by the people, of the people. 

It is appreciated that the reality on the ground 

is such that the proposals herein cannot be 

realised overnight or even in a couple of years 

but could take decades. There are powerful 

vested interests to contend with and the poor 

98


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100

ABSTRACT 


A Sustainable Housing Calculator: Demonstrating 

the long term benefits of sustainable building 

interventions 

Johan Burger, Mark Swilling and Jerome Lengkeek 

School of Public Management and Planning 

University of Stellenbosch University 

“While the environmental and human health benefits of green building have been widely 

recognized, [research reveals that] minimal increases in upfront costs of 0-2% to support 

green design will result in life cycle savings of 20% of total construction costs – more than 

ten times the initial investment. In other words, an initial upfront investment of up to $100,000 

to incorporate green building features into a $5 million project would result in a savings of $1 

million in today’s dollars over the life of the building.” Aileen Adams commenting on “The Costs 

and Financial Benefits of Green Buildings,” a report to California’s Sustainable Building Task 

Force, October 2003. 

Introduction 

The preconceived notion that sustainable 

building interventions are too expensive to be 

considered for possible use in subsidy housing 

developments has been challenged for many 

years. During the past decade, the cost of 

many of these interventions has been falling 

rapidly, and the need for a reduction in water 

and electricity use has become more acute. 

The result of this intersection between the 

questioning of old assumptions, falling costs, 

and growing environmental concerns has 

been the increased use of sustainable building 

interventions, particularly in the commercial/ 

industrial and high income residential sectors. 

However, there has been little uptake of these 

interventions in the low income, mixed income 

and subsidised housing sectors. There is 

therefore a pressing need for tools that can 

enable government officials, developers, and 

housing contractors to measure the viability 

of more sustainable methods of construction, 

particularly in these lower income sectors. 

A significant step in this process was taken 

with the life cycle assessment case study that 

was previously published in the first edition 

of the Sustainability Institute’s “Sustainable 

Neighbourhood Design Manual” (SI, 2009). 

It demonstrated that even a development 

that included a full range of sustainable 

interventions would be cost effective when 

measured over a 30-year life cycle. By its very 

nature of being a case study, its findings were 

directionally very important, albeit somewhat 

limited due to the use of data from a particularly 

expensive case. 

The next natural step in the process of defining 

financial viability in settlements was to find 

101


ways of efficiently calculating the true costs of 

sustainable interventions over the full life cycle 

in a variety of unique situations. The need for 

such a tool led to the creation of the Sustainable 

Housing Calculator, which we will introduce 

later in this paper. The first section of the paper 

repeats the background information on the 

need for sustainable building materials and the 

life-cycle cost assessment methodology used 

in both the original case study and in the new 

sustainable housing calculator. The second 

section provides an overview of the functioning 

of the calculator and a section on how to use 

it. Finally, the paper will conclude with some 

of the key findings that were generated by the 

calculator when tested with live data by the 

Sustainable Neighbourhoods Programme at 

the Sustainability Institute in 2010. 

Section 1 Background and 

Methodology 

There is now an emerging global consensus 

that unsustainable resource use (global 

warming, the breakdown of eco-system 

services and the depletion of key renewable 

and non-renewable resources) will threaten 

the existence of large numbers of human 

and non-human species. These threats 

have been well documented in several 

major international reports, including inter 

alia the impact of human-induced global 

warming (Intergovernmental Panel on Climate 

Change. 2007), the breakdown of the ecosystem 

services that humans and other living 

species depend on (United Nations. 2005), 

the depletion of oil reserves (International 

Energy Agency. 2008), the ecological threats 

to food supplies (Watson et al., 2008), the 

threat of water scarcity (Gleick. 2006; United 

Nations Development Programme. 2006), 

and the negative impacts on the poor of the 

global crisis of unsustainability (United Nations 

Development Programme. 2007). The result is 

a global consensus that the continuation of 

unsustainable modes of development will need 

to be replaced by what the Johannesburg Plan 

of Implementation adopted at the World Summit 

on Sustainable Development (WSSD) in 2002 

defined as “sustainable consumption and 

production”. This broad framework has led to a 

focus on cities because it is generally assumed 

that the construction and operation of the built 

environment is responsible for approximately 

50% of all CO2 emissions. There is a growing 

consensus that cities have to play a leading 

role in the transition to a more sustainable 

socioecological regime (United Nations. 2006). 

Significantly, recent empirical research 

commissioned by the United Nations 

Environment Programme (UNEP) has 

identified three priority challenges, namely 

transport, food supplies and the construction 

of buildings/urban infrastructure, which 

together account for more than 60 percent of 

total energy and materials used by the global 

economy. This brings into focus the technical 

aspects of the design and construction of 

buildings. More sustainable use of resources 

means reducing CO2 emissions, using less 

primary material resources and reducing 

unproductive waste outputs. Sustainable living 

is made possible when the built environment is 

configured to achieve these objectives. There 

is, however, a common – and sometimes 

offensive – opinion that sustainable built 

environments will remain the preserve of 

the affluent and/or developed economies, 

while minimum standard conventional 

housing provision remains the only affordable 

102


option for the poor. This common assumption 

is based on hard facts about what it costs to 

construct the physical structure of the house 

and related infrastructure, but it ignores the 

cost of operating the house over its entire 

life-cycle. This is highly problematic in light 

of the fact that life-cycle operating costs are 

projected to rise faster than inflation due to 

declining supply of key input resources. 

The objective of this research was to 

demonstrate that a life-cycle approach 

rather than the more traditional once-off 

capital cost approach generates results that 

demonstrate that sustainable living is more 

affordable for both the household and the tax 

base of the city. This has been achieved by 

collecting data and information on life-cycle 

costs of both minimum standard conventional 

housing provision (hereafter referred to as the 

“current approach”) as well as a package of 

“sustainable living” applications. Conclusions 

were reached by measuring and comparing 

40-year life-cycle cost effectiveness of the two 

alternatives. The results are expressed as net 

present values, using a discount rate of 9%. 

According to Wrisberg, there are several “lifecycle” 

methodologies that are in use in the 

world today that have emerged in response 

to the global demand for “tools” to determine 

the material and energy content of particular 

production and consumption processes, as 

well as environmental impacts (Wrisberg et al. 

2002). 

A “life cycle” approach is necessary because 

it has become imperative to take into account 

the full capital and operational costs of a given 

production or consumption process over the 

life cycle of the process. 

Without this kind of analysis it will not be 

possible at the design stage to determine 

which process will 

contribute most towards achieving a more 

sustainable socioecological regime; or 

alternatively, which one 

will do the least damage. However, a wide 

range of life-cycle methodologies have 

emerged for different purposes. These 

included the following: Life Cycle Assessment, 

Material Input per Unit of Service (MIPS), 

Environmental Risk Assessment (ERA), 

Material Flow Accounting (MFA), Cumulative 

Energy Requirements Analysis (CERA), 

Environmental Input-Output Analysis (env. 

IOA), analytical tools for eco-design, Life 

Cycle Costing (LCC), Total Cost Accounting 

(TCA), Cost-Benefit Analysis (CBA) and Cost 

Effectiveness Analysis (CEA). It is not possible 

to describe and analyse these different 

methodologies here. 

Suffice it to say that a CEA approach has 

been adopted because this makes it possible 

to compare the “conventional approach” to 

housing delivery to a “sustainable living” 

alternative across the life-cycle. The essence 

of this approach, according to Wrisberg, et al 

(2002), is that it does not quantify benefits like 

CBA, even though they regard it as a derivative 

of CBA. Citing a report by RPA (1998) entitled 

Economic Evaluation of Environmental 

Policies and Legislation, Final Report for DG 

III of the European Commission, Contract 

Number: ETD/97/501287, Wrisberg, et al 

(2002) states that CEA aims at determining 

the least cost option of attaining a predefined 

target after the fundamental decision process 

has been finalised. 

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CBA, by contrast, is used to assess viability 

of an investment by quantifying the future 

realisation of costs and benefits, generally 

through discounted cash-flow analysis. An 

investment is viable if the present value of all 

benefits exceeds the present value of all costs. 

The net present value (NPV) should therefore 

indicate a positive return. The following 

sections will cover, first a definition and 

description of housing, including the current 

approach and sustainable living alternatives; 

second a description of what was included in 

the measurement and how the measurement 

was executed; third the actual measurement 

of data collected on the current approach; 

fourth the actual measurement of data on the 

package of sustainable living applications; 

and fifth an interpretation of the results and 

formulation of recommendations. 

The intention here is not to recoup on 

housing literature through the ages, but it is of 

relevance to firstly refer to John Turner’s 1972 

benchmark work where housing is defined as 

both a noun and a verb (quoted in Spence, 

Wells & Dudley. 1993). When considered as a 

verb, the focus is not on the physical structure 

of the house, but on the processes of how 

people came to be housed and how those 

people continue to sustain their existence in 

and from such a house. Bourne (1981) defines 

housing as a ‘flow of services’ with inputs, a 

matching process and outputs. On the outputs 

side, shelter is only one such output and is 

supplemented by equity, satisfaction and 

status, environment, access, services and 

social relations, all of which have a bearing on 

sustainable living. This agrees with Turner’s 

laws of housing, which emphasize that housing 

is not what it is, but what it does in the lives 

of people (Spence et al. 1993). Even though 

such conceptualisations of housing find many 

practical manifestations in various systems 

taking care of the livelihoods of the poor in 

South Africa, they are not taken to the logical 

conclusion of one integrated cost effectiveness 

framework for evaluating housing delivery in 

its entire life-cycle. 

When turning to the sustainable living construct 

– or sustainable development to make it a 

delivery construct – it is once again not the 

intention to reflect on the growing volumes of 

literature, but as with the brief return to seminal 

housing definitions, the watershed Brundtland 

Report (World Commission on Environment 

and Development. 1987) and its definition 

invoking the needs of future generations 

counterbalanced by the as yet unmet current 

needs of a large proportion of the world’s 

population is of relevance. The three mutually 

reinforcing and critical aims of sustainable 

development conceptualised in the Brundtland 

Report, namely improvement of human wellbeing, 

more equitable distribution of resource 

use benefits across and within societies and 

development that ensure ecological integrity 

over intergenerational timescales (see 

Sneddon, Howarth & Norgaard. 2006) serves 

as reality check when reflecting on how to 

improve the livelihoods of literally millions of 

South Africans. It is an undeniable fact that 

South Africa’s total ecological footprint is 

already between 15 and 20 percent higher 

than its total biocapacity (World Wildlife 

Foundation. 2006) and that signals like power 

outages and water restrictions clearly reveal 

that it is impossible to keep on expanding 

business as usual as the current approach 

to housing delivery is doing. The National 

Framework for Sustainable Development that 

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was adopted by the South African Government 

in June 2008 (by Cabinet resolution) explicitly 

stated that South African cities and housing 

construction must adopt sustainable resource 

use guidelines. 

The National Department of Human 

Settlements is responsible for housing delivery. 

Since 1994 it has adopted and implemented 

two quite different housing policies. The first 

was articulated in the 1998 White Paper on 

Housing which essentially provided for a capital 

subsidy to drive housing delivery for poor 

households. Because this subsidy included 

the land cost, the urban poor that received 

houses landed up on the outskirts of the urban 

system far from places of work and connected 

via expensive transport systems. Since 2004 

the Department of Human Settlements (known 

at that time as the Department of Housing) 

has implemented a new housing policy 

known as Breaking New Ground. This policy 

recognises the need to provide for a range 

of interventions aimed at creating integrated 

human settlements rather than marginalised 

ghettoes. Significantly, the current approach 

does not ignore sustainable development – at 

least not in policy and strategy development. 

Since the promulgation of the Housing Act, 

1997 (RSA, Act 107 of 1997), housing policy 

development has increasingly emphasised 

the importance of sustainable livelihoods. 

Such conditions were defined in the Act and 

subsequently further clarified with policies and 

strategies and also given content with new 

funding arrangements. 

The Comprehensive Housing Plan 

for the Development of Integrated 

Sustainable Human Settlements 

(otherwise known as Breaking New Ground) 

as announced by the Minister of Housing, 

Dr Lindiwe Sisulu, in September 2004 (RSA, 

National Department of Housing. 2004) 

provides for not only the development of lowcost 

housing, medium-density accommodation 

and rental housing, but also the promotion 

of the residential property market through 

stronger partnerships with the private sector; 

social infrastructure; and amenities to promote 

the achievement of a non-racial, integrated 

society. Since late 2008, the Minister and her 

Department have emphasized the need to 

include “sustainability”. This current approach 

entails making available a top structure subsidy 

of R43 506 (2008/09 amount) that must provide 

as a minimum a 40m² gross area, 2 bedrooms, 

separate bathroom with toilet, shower and 

hand basin, a combined kitchen/living area, 

“Ready Board” electricity supply and it must 

adhere to NHBRC technical specifications 

(Provincial Government of the Western Cape 

(PGWC), Department of Local Government 

and Housing, 2007). These technical 

specifications are quite comprehensive, but 

nevertheless distinguish between Level 1 

and Level 2 User Performance parameters, 

with Level 1 “intended for houses, where for 

reasons of access to initial capital a user is 

able to tolerate more frequent maintenance 

cycles, limited penetration of water to the 

interiors, discernable deflections, minor levels 

of cracking etc.” (RSA, National Department 

of Housing. 2003: 38). Even though the 

specifications also prescribe a design working 

life of 30 years for structural systems and 

non-accessible components and 15 years for 

repairable or replaceable components, the 

existence of a Level 1 illustrates that it remains 

a tendency to shift as many costs as possible 

105


later into the life cycle of the asset. 

This invariably means lightening the financial 

burden for tax-funded housing providers, 

but increasing the burden for tax-funded 

infrastructure operators and self-funded 

households. The sustainable living applications 

package for the sake of this research project 

moves from the premise that the initial tax 

funded provision should be substantially 

increased in order to reduce tax funded and 

self-funded life-cycle operating costs, but 

simultaneously achieve better total life-cycle 

cost effectiveness. Although the emphasis is 

therefore on cost-effectiveness measurement 

(as explained in the next section), the 

sustainable living package selected for this 

comparison requires a much higher initial 

investment in order to introduce qualities 

indispensible for social, socio-economic and 

ecological sustainability. The original research 

project that created the foundation for the 

sustainable housing calculator described in 

the remainder of this chapter used data from a 

package of sustainable building interventions 

used in the Kosovo housing project in the 

Western Cape and the Lynedoch Ecovillage. 

As identified in that project, the main limitation 

was that it only measured one specific case 

to prove the point that sustainable building 

interventions are cost effective over the full 

life cycle of the development. We now need 

to go to the next step and show that this 

is possible in other settings, and to assist 

planners in choosing the optimum combination 

of sustainable building interventions. Also, 

the costing will vary over time as the cost 

of existing interventions comes down when 

technologies become more developed. 

A possible solution would be to expand this 

research to a comprehensive set of case 

studies in different settings and using different 

interventions. Although this would present 

a directionally compelling case that would 

increase the likelihood of the consideration 

of sustainable building interventions, it would 

not help to make individual project decisions 

on the best combination of interventions and 

which would give the best economic payback 

with the most environmental benefit. 

This clearly leads to the need for a calculator 

that will have the flexibility to allow the 

user to input the local criteria, and test the 

effectiveness in that local situation through 

various interventions. This should allow 

outputs which can lead to optimized solutions, 

as well as calculating the length of time to 

reach economic payback and quantifying the 

environmental benefits. 

With assistance and cooperation from Standard 

Bank and the National Department of Human 

Settlements, the Sustainable Neighbourhoods 

group at the Sustainability Institute has 

developed just such a calculator tool. This 

paper includes practical guidelines which will 

enable developers, government officials and 

built environment professionals to use the 

financial calculator, and to understand and 

utilise final outputs. More detailed instructions 

are included with the electronic versions of the 

calculator. 

106


Cost effectiveness analysis 

Cost effectiveness analysis is a technique 

for investment appraisal prescribed in the 

South African National Treasury directives. 

The “Medium Term Expenditure Framework 

Treasury Guidelines: Preparing Budget 

Proposals for the 2007 MTEF” (RSA, National 

Treasury. 2006), expresses the following 

intention: “It is the intention of the National 

Treasury to progressively require more detailed 

analyses as funding requests are becoming 

larger compared to available resources. 

Under these circumstances it is appropriate 

to prioritise requests which can demonstrate 

the largest benefits to our country.” Since the 

2007 MTEF, all new infrastructure projects or 

programmes require some form of appraisal 

to demonstrate advanced planning. Such 

appraisal may include needs analyses, options 

analyses, cost-benefit analyses, lifecycle costs 

and affordability analyses. Cost-effectiveness 

analysis (CEA) was specifically identified by 

National Treasury as a tool that can help to 

ensure efficient use of investment resources 

in sectors where it is difficult to value benefits 

in monetary terms. They specifically identified 

CEA as useful for the election of alternative 

projects with the same objective (quantified in 

physical terms), and it is most commonly used 

in the evaluation of social projects – e.g. in the 

health or education sectors (RSA, National 

Treasury. 2006). It is therefore a logical 

deduction to use CEA for measuring the long 

term costs of settlements and housing. A 

critical factor is the selection of a discount rate 

to convert future money into present value in 

order to compare costs and benefits spread 

unevenly over time. The higher the discount 

rate, the smaller the weight of future costs in 

the NPV. Seeing that the majority of costs in a 

capital investment are incurred early in the lifecycle 

and benefits are accrued over the longer 

term, it is advisable to use a higher discount 

rate in order to rather have a pessimistic view 

on future benefits. Another factor influencing 

the choice of a discount rate is the economic 

situation of the particular source. Winkler, 

Spalding-Fecher, Tyani and Matibe (2002) 

for example used the social discount rate 

(then 8 percent) for tax-funded investment, 

but a consumer discount rate of 30% for 

investment by poor households in their cost 

benefit analysis of energy efficiency in urban 

low cost housing. The authors argued that 

poor households do not have money to invest 

upfront, forcing them to rely on very punitive 

sources of capital. 

In cost effectiveness analysis, benefits or 

returns are not quantified. The costs incurred 

over a period of time for two or more alternatives 

serving the same purpose are discounted 

to a NPV and the alternative with the lowest 

NPV therefore represents the most cost 

effective investment. It stands to reason that 

conservatively future costs should be weighed 

heavier in the NPV, meaning a lower discount 

rate. Similarly, future costs for poor households 

with their lower than inflation increase in 

revenue should be weighed conservatively 

more than present costs by means of the use 

of a lower than social discount rate. However, 

for the sake of simplicity and because we 

may be accused of deliberately favouring the 

sustainable living alternative with its higher 

capital and lower life-cycle operating costs, we 

used the 2007 National Treasury prescribed 

9% social discount rate for all sources. 

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Section 2 Using the Sustainable 

Housing Calculator 

In this section, we will provide guidelines for 

the use of the financial calculator; we will list 

several types of costs and various funding 

sources within the calculator. These sources 

contribute to the financing of life-cycle costs. 

We will also provide some thoughts on 

potential uses for the calculator in this section. 

To ensure the accessibility and transparency 

of the calculator, it has been developed in 

Microsoft Excel. All of the calculations can be 

accessed without a password, although some 

sheets remain in the background in order 

to reduce the complexity of the tool. 

Built 

environment professionals, officials, students 

and people 

with the required technical 

skills can quite easily work through the 

calculations and make desired adjustments. 

The development of the calculator has been 

funded by Cordaid, Standard bank and the 

NDHS for the purpose of assisting government 

officials, contractors and built environment 

professionals in measuring sustainable 

interventions in settlements. The tool is opensource 

and is therefore meant to be used and 

adapted as widely as possible. 

Jefarres and Green Consulting Engineers, 

Meshfield Sustainable Innovation, and ACG 

Architects in 2009 and 2010. A number of 

the most cost-effective and environmentally 

beneficial interventions were selected, and 

costs were based on costs in the Western 

Cape at the time of the study. Although costs 

may vary in other provinces and over time, the 

selected interventions provide a good starting 

point for cost-effectiveness calculations. 

Because the calculator is built in Excel without 

locked cells or complicated programming, it is 

not overly difficult to replace the base values 

with other values that are relevant to any 

particular project, in any province. If a Quantity 

Surveyor is available to the project team this 

task can easily be assigned to the QS. 

Working with the input items: 

1. Interventions 

The calculator comes with a number of preprogrammed 

sustainable building interventions. 

These interventions resulted from research 

carried out by the Sustainability Institute, 

Stellenbosch University, Standard Bank, 

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2. Costing 

Within the calculator worksheet (or “tab”) 

labelled “Input”, there is a heading called 

“Costing and NPV Assumptions.” There are 

costs for 15 pre-selected sustainable building 

interventions in this section, covering a range 

of best practice options for reducing electricity 

and consumption, and alternate, sustainable 

sewage treatment interventions. The calculator 

can easily measure the effectiveness of other 

interventions by renaming one of the rows and 

replacing the cost variables with the relevant 

data for that intervention. The column for 

Current Cost reflects the capital purchase cost 

of each intervention. 

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3. Source of funding 

Within the costing section there is also a column 

which allows the user to select the source of 

funding. Several pre-selected funders have 

been loaded into a drop down box (funders 

including the municipality, the Department of 

Human Settlements, the household, and a 

private developer). It is also possible for the 

user to add additional funding sources in the 

spaces provided. This step is important as 

it allows for a summary to be made of costs 

per funder, and it compares these costs to the 

party(ies) receiving long-term benefits. Openly 

calculating these costs makes it easier to 

identify funding gaps. 

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4. Start/end dates 

Within the “Costing and NPV Assumptions” 

section of the Input worksheet are start and 

end dates, which will, in most cases, be “0” 

and “0” respectively. This illustrates capital 

investments that are made only once. However, 

it may be necessary in some developments 

to retrofit or add interventions after the initial 

construction is complete. An example of this 

may be the post-project inclusion of solar 

water heaters. If interventions have a limited 

life cycle (for example, one could argue that 

the life cycle of SABS approved solar water 

heaters is generally about 20 years) , it also 

becomes necessary to include replacement 

costs in the calculations by adding the cost 

again at the end of the life cycle (for example 

year 20 for solar water heaters). 

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5. NPV 

The value for the NPV column represents the 

Net Present Value discount rate. When items 

are entered that have a future cost, such as 

the solar water heater replacement, they 

require a value for NPV to discount them to an 

equivalent present value. 

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6. Base development costs 

The base development cost columns allow you 

to control the values entered into the calculator 

for land, top structure, and infrastructure. It is 

important to have these items listed separately 

so that the results can be kept up to date. For 

example, land costs will vary significantly from 

site to site, so adjustments in this column can 

allow you to compare the costs of projects 

without having to use a misleading average. 

Another example would be the amount for 

the basic top structure. This amount can 

be updated each year as the new subsidy 

amounts are announced by government, and 

as costs increase. 

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7. Operating expenses 

If the user scrolls to the right within the 

“Input” worksheet, he or she will find an 

“Operating Expenses” section. This section 

allows the user to enter the expenses that 

will occur after construction for the ongoing 

maintenance of the building and its utilities. A 

key difference from the preceding section on 

Base Development Costs, however, is that 

there is also a space here for NPV or cost 

escalation. This has been added to allow the 

user to factor in future increases in operating 

expenses. Each line provides separate entry 

points for maximum flexibility so that realistic 

estimates can be entered. As stated in the 

previous section of this paper, simply using an 

overall NPV discount rate (of 9% for example) 

might reveal a much more rapid increase than 

a projected rise in inflation over time. 

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115 

Adjust intervention list 

When all of the data points are entered and/ 

or reviewed, the calculator is ready to produce 

results. The main interface needed for this 

task is the first section of the Input worksheet, 

namely the list of the sustainable building 

interventions on the left-hand side (with Y 

or N options). Although the calculator was 

designed to be used to compare sustainable 

options to conventional options, it can also 

be used to compare any two combinations of 

housing developments with one another. This 

can be done by selecting scenarios (Yes or No 

scenarios in the drop-down box) to indicate 

whether that intervention will be included or 

not. There are separate columns providing 

up to five different housing typologies within 

a development. To indicate whether a type 

should be included or not, simply enter the 

amount of units that will be built for each type in 

the row below the name of that type (e.g. RDP, 

GAP, MID). The abbreviations are defined as 

follows in the base case: RDP is used for basic 

subsidy housing, GAP columns are used to 

allow for three different types of houses aimed 

at the gap market. MID indicates market-priced 

housing, typically the lower end of the market 

which is targeted towards those who narrowly 

qualify for a housing bond with the banks. 

Making Changes to more advanced inputs 

1. Calculations – as mentioned 

previously in this chapter, the 

calculations are all included in excel 

spreadsheets that are not locked 

or password protected. A few 

rows and columns may be hidden 

in the main input sheet to make 

the calculator less complicated,


but these can easily be revealed by 

an advanced user who wishes to 

examine or change the methodology. 

Everything has been left open for the 

sake of transparency, and to allow the 

tool to be adapted easily by advanced 

users. 

2. Energy use assumptions – the 

worksheets on the extreme right 

(Subsidy, GAP, and MID) contain the 

energy use assumptions. If a new 

intervention is added, or an existing 

one needs to be modified to update 

newer versions of technologies 

for cost or environmental benefit, 

the values can be updated in the 

appropriate cells there. 

3. Adding new interventions – 

The calculator allows for the use of 

up to 15 interventions. If a different 

intervention is required, the user 

can simply overwrite one of the 

existing interventions’ names, costs, 

and environmental benefits in these 

worksheets. 

Examine Output 

With all of the above items reviewed or 

modified, you are ready to proceed with 

using the calculator to evaluate a proposed 

development. 

1. Single use comparison – In its simplest 

form, the calculator can be used for the 

original purpose, i.e. to compare the 

inclusion of a package of sustainable 

building interventions to more 

conventional standard interventions. 

2. Stress testing a plan – Once all of 

the data has been entered and 

results generated from the calculator, 

users will find that it is very easy to 

“play around with” the input screen 

by including or removing various 

interventions to explore the impact 

on financial and environmental 

costs and benefits of a proposed 

development. This allows users to find 

the ideal combination for a specific 

site. Users can also stress-test the 

sensitivity of the calculator to various 

theoretical assumptions, for example 

by changing the NPV discount rate 

for future electrical costs to reflect a 

higher rate of Eskom rate increases. 

3. Post analysis/case studies/proposals 

– The calculator can also be 

incorporated into case studies and 

proposals in order to illustrate the 

benefit of particular development 

interventions as compared to what 

would have occurred if a different 

package of interventions had been 

used. 

Personalizing the Tool 

Users are openly invited to modify the tool 

as they wish, and to use it for any purpose. 

Users are, however cautioned against 

making modifications other than those 

specifically outlined above as it may lead 

to incorrect results. This can be controlled 

by ensuring that if any changes are made 

to the calculation methodology or formulae 

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in the cells that you also include some quality 

assurance testing to validate that the results 

are still being calculated accurately. 

Conclusion 

To test the results that would be generated 

by the calculator, we used actual data for 

the Western Cape generated by Quantity 

Surveyors. Fifteen sustainable building 

interventions were assessed through the 

calculator, measuring the capital costs, the 

operating costs, and the environmental 

impact of each. The findings of this process 

confirm the conclusion of the original life-cycle 

assessment case study in that sustainable 

building interventions were proven to be 

more cost effective over the full life cycle of a 

housing development. Although this was again 

as directionally important as the findings from 

the first study, the result of an examination of 

the break-even point of each of the individual 

interventions was also highly illuminating. 

Many of the interventions broke even over a 

surprisingly short period of time even without 

consideration of their environmental or health 

impacts. The following are the highlights of 

these findings: 

1. The following interventions pay back 

within one year of construction: 

Hold-flush Toilets 

CFL Bulbs 

Aluminium Windows 

Duplex - Shared Walls 

Compressed earth blocks (If not 

locally available, Block 90//90 are also 

highly cost effective) 

2. The following interventions pay back 

within less than 15 years: 

Low-flow Fixtures 

Basin to feed cistern 

Solar Water Heater 

Efficient Design 

Though ceilings and ceiling insulation were 

not found to be particularly economical 

interventions, the significant health and 

comfort benefits they provide outweigh the 

costs of the interventions. 

Greywater Recycling is cost effective within 

a 15 year horizon, but only on middle-income 

housing that currently utilise potable water for 

garden irrigation. 

Though rainwater harvesting is not particularly 

economical, it does provide environmental 

benefits and in water poor areas should be 

considered regardless of the costs. 

In summary, our analysis revealed that nearly 

all sustainable building interventions were 

economic over the life cycle of a building. 

If ecological benefits and savings to local 

government are also calculated, the benefits 

of implementing these interventions become 

even more decisive. 

With the use of the Sustainable Housing 

Calculator, the long-standing debate on 

the cost-effectiveness of sustainable vs. 

conventional building interventions can finally 

be examined objectively for improved decision 

making. 

Contact information at www. 

sustainabilityinstitute.net). 

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Sustainable Architecture, Planning and Culture - Beyond 

the mechanical and unambiguous 

Tania Katzschner 

School of Architecture, Planning & Geomatics 

University of Cape Town 

‘the major problems in the world are the result of the differences between the way nature 

works and the way people think.” 

Gregory Bateson 

“We abuse land because we regard it as a commodity belonging to us. When we see land as 

a community to which we belong, we may begin to use it with love and respect.” 

Aldo Leopold 

“If everyone helped their neighbour then who would be without help” 

Graffiti on a Salt River factory, Cape Town 

“Science enables humans to satisfy their needs. It does nothing to change them. They are no 

different today from what they have always been. There is progress in knowledge, but not in 

ethics. This is the verdict of both science and history, and the view of every one of the world’s 

religions” 

John Gray Professor of European Thought at the London School of Economics 2002 

“There is but one way to save ourselves from this hell: to leave the prison of our egocentricity, 

to reach out and to one ourselves with the world” 

Erich Fromm 

“However fragmented the world, however intense the national rivalries, it is an inexorable fact 

that we become more interdependent every day” 

Jacques Yves Cousteau 

“It takes generosity to discover the whole through others. If you realize you are only a violin, 

you can open yourself up to the world by playing your role in the concert”. 

Jacques Yves Cousteau 

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This article will explore issues of sustainability 

and culture and attempt to deal with some 

deeper questions interdependence, fairness, 

decency and wholeness raise. The aim of 

the article is to deepen the conversation 

about sustainability and the establishment of 

sustainable human settlements. 

We live in a paradoxical and perilous time 

rendered more so by a deficit of vision (Orr, 

2009: 9). We live in a time of transition, a time 

when all is changing and being challenged – 

weather systems, ecosystem, our interaction 

with nature, our understanding of other beings. 

Decades of exploitation of natural resources 

and a dominant culture of consumerism 

has culminated in us living in a time of 

environmental crises, a time of progressive 

and accelerating destabilization of our entire 

planet. As a result, we have forced ourselves 

into a situation whereby changes in the way 

we manage our natural resources is not only 

inevitable, but is essential to our survival. 

Addressing the current state of the built 

environment and ensuring new developments 

and buildings are designed to the highest 

standards, is thus becoming increasingly 

urgent as the negative environmental impact 

of humans is better understood, and our 

complete dependence on ecosystems is 

more apparent. Sustainability in architecture 

and planning is generally thought of in terms 

of resource efficiency, pollution reduction 

and mitigating impacts on the natural 

ecosystems. It can be argued, however, that 

human wellbeing and planetary wellbeing 

are intricately interwoven and that any effort 

to teach about sustainability presupposes the 

resurrection of the natural world and its value. 

Assertions about environmental problems 

are created and interpreted by people with 

different perspectives and interests and thus 

very different ways of evaluating the same 

issue. 

Because environmental problems and 

solutions manifest differently depending on 

your perspective, we must include different 

perspectives and methods - economic, 

ethical, cultural, scientific, phenomenological 

and epistemological - to understand and 

ameliorate them. 

Persuasive talk about environmental problems 

and solution misleads by conveying the 

impression that these challenges are merely 

a problems that can be quickly solved by 

technological fixes without addressing the 

larger structure of ideas, philosophies, 

assumptions, and paradigms that have 

brought us to this moment in history where the 

world is in the grip of multiple crises. The point 

is the same as one that has been attributed to 

Einstein: “significant problems we face cannot 

be solved at the same level of thinking we 

were at when we created them” (Calaprice (in 

Orr) 2004:292) 

In a very dynamic and changing context 

for environmental knowledges and in order 

to bring to fruition important visions of 

sustainability, scientists, architects, planners 

and built environment professional must 

attend to personal and cultural interiors – 

including values, worldviews, and religious 

beliefs – because they all play a role both in 

creating and resolving environmental issues. 

It is the aim of this paper to explore the more 

indeterminate and ambiguous nature of the 

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issues. It is the belief of the author that great 

benefit would be derived by a more conscious 

acknowledgement and awareness of how 

cultural forces are influential and how they 

pattern our everyday activities and responses. 

We should explore the emerging economic 

and ecological issues as well as matters that 

are deeply cultural, ethical and spiritual. 

This article further attempts to highlight 

issues of sustainability in an unfair world 

and attempts to deal with some inconvenient 

questions fairness, decency and wholeness or 

interdependence raise. The aim of the paper is 

to deepen the conversation about justice and 

solidarity. 

There is incoherence between the dominant 

paradigm and our experience of increasing 

complexity, interdependence, and systems 

breakdown in our lives and the world – in 

terms of helping us perceive the world clearly, 

describe it adequately or act wisely. For human 

development to be placed on an ecologically 

sustainable path, the relationships between 

people and nature will have to change. It’s 

an extraordinary time, a time where we have 

remarkably little knowledge about the future. 

There is increasing recognition that global 

conditions of unsustainability, inequity and 

environmental degradation can only be 

adequately addressed through a fundamental 

change towards more relational thinking and an 

integrative consciousness which is both critical 

and deeply connective (Sterling 2003,8). 

Ecologically sustainable development requires 

an extension of thought beyond that which 

was the norm for most of the 20th century, 

towards a much more integrative perspective 

that brings together (at least) society, 

economy and the environment with present 

and future dimensions. This paradigm change, 

needed for a sustainable future, has yet to be 

embraced by the mainstream of designers and 

built environment professionals. 

Exploring the goals of sustainable 

development 

In its limited form the word sustainable simply 

means “long-lasting”. We know, however, 

from global and local debates, that the word 

is multi-layered and has come to represent the 

interconnectedness of the social, economic, 

political and environmental. Sustainability is no 

longer the preserve of the environmentalists. 

Sustainability has become the focus of 

governments as they seek to act on deepening 

levels of poverty and inequality. 

Largely irrespective of the definition one 

chooses to use, ‘sustainability’ appears to be 

something we are rapidly moving further away 

from, rather than towards. All the measures 

we currently have, from a plethora of different 

studies and approaches across the spectrum, 

and at scales from local to global, whether, 

for example the 2005 Millennium Ecosystem 

Assessment (MA), WWF’s annual 

Living 

Planet Index, the IPCC’s Fourth Report in 

2007 and various updates thereto, UNEP”s 

4th Global Environmental Outlook (GEO4) 

in 2008, the Organisation for Economic Cooperation 

(OECD) 2009 Factbook on Economics, 

Environment and Social Statistics, the World 

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Bank Cities and Climate Change Report 2010, 

the UNEP 2010 Green Economy report, the UN 

Habitat State of Cities Report 2008, the 2010 

State of the World report by the Worldwatch 

Institute for example “Transforming Cultures 

– From Consumerism to Sustainability”, or 

national level studies such as South Africa’s 

Environmental Outlook’ in 2007 , to name 

a few, all return the same message - that 

we are mining our natural capital, that we 

are compromising the future functioning of 

natural systems and that we are putting more 

and more people into vulnerable positions of 

compromised health, wellbeing and livelihoods 

. 

In 2006 the World Conservation Union’s 

(IUCN) ‘renowned thinkers group’ stated that 

“Evidence is that the global human enterprise 

is rapidly becoming less sustainable, not 

more”. 

By all accounts then the planet is in a growing 

ecological deficit and we absolutely need new 

approaches, we need to be changing course, 

changing mindsets, and changing measures. 

As so eloquently expressed by Kofi Annan, 

then Secretary of the UN at the 2002 World 

Summit on Sustainable Development, ”… 

and let us face an uncomfortable truth: the 

model of development we are accustomed 

to had been fruitful for the few, but flawed for 

the many. A path to prosperity that ravages 

the environment and leaves the majority of 

humankind behind in squalor will soon prove to 

be a dead-end road for everyone.” (as quoted 

in King, 2009: 1) 

American author and environmental activist 

Derrick Jensen states that the fundamental 

truth of our time is that our dominant western 

culture is killing the planet. Further he 

maintains that we can quibble all we want – 

about whether it is killing the planet or merely 

causing one of the six or seven greatest mass 

extinctions in the past several billion years, but 

no reasonable person can argue that industrial 

civilization is not grievously injuring life on 

Earth (Jensen, 2010). 

What then, is the ultimate goal of striving for 

‘sustainable development’ It must surely be 

human wellbeing, because it is only when the 

majority of people alive at any point in time 

are satisfied with their lot, that the planet will 

be adequately taken care of and will in turn, 

provide adequate underpinning ecosystem 

services for humankind. 

Changes in worldviews, institutions and 

technologies will be necessary not only to 

achieve lifestyles that are better adapted to 

today’s ‘full world’ context (Costanza et al., 

2010) but to achieve life and survivability for 

many. Adam Kahane expands on this idea of 

a full world and states that “the fullness of our 

world produces a threefold complexity. We can 

pretend that we are independent and that what 

we do does not affect others (and what others 

do does not affect us), but this is not true. 

We can pretend that everybody see things 

the same way, or that our differences can be 

resolved purely through market or political or 

legal competition, but this is not true. And we 

can pretend that we can do things the way we 

always have, or that we can first figure out and 

then execute the correct answer, but this is not 

true (Kahane, 2010:5). 

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We are living in a pessimistic period but 

the knowledge that change is necessary is 

perhaps grounds for optimism: maybe we do, 

at last, have the chance to make a better world. 

At the current moment then lots of normative 

shifts are underway as we know that we 

need radical change. We are thus living in 

momentous extraordinary times: times where 

we have remarkably little knowledge about 

the future; times when change is accelerating, 

and when the horror of what could happen if 

we do nothing and the brilliance of what we 

could achieve if we act can both, at times, 

be overwhelming. The current uncertainty, 

however, is also part of the challenge that 

makes the built environment professions 

such fascinating and absorbing professions. 

The work of designers and built environment 

professionals I would argue is thus entering a 

critical and most important phase. 

The human-nature split, or 

nature-culture divide – ecological 

unintelligence 

Bill Mc Kibben (2008, 19) argues that “partly 

we have failed to act because we have 

become pretty denatured.” “The economy 

seems more real to us than the ecosphere” 

(McKibben 2008, 20). Embedded within the 

mantra of sustainable development is a largely 

unquestioned embrace of the economic 

growth principles. There is a disconnection 

in Western thinking between the well-being 

of two intertwined life-systems – that of 

humans and the planet (Thompson 2008, 94). 

‘Development’ has become such a part of 

economic discourse that other renditions of its 

meaning we might bring to the table, renditions 

that would challenge and conflict with the 

prevailing discourse – for instance cultural 

development, personal development, spiritual 

development – are all too easily drowned or, 

at best marginalised. We have also failed to 

act as the problems are so big. In our modern 

western world we have learnt to break issues 

down into ever-smaller pieces and have 

separated nature and culture. Grappling with 

fundamental threats to creation, however, 

requires moving in the opposite direction. 

There is a lacking of a sense of the wholeness 

and interrelatedness of things. “Organicity 

must be reintroduced with a postmodern 

system where living systems are not reducible 

to components and where nature is considered 

to be alive” (O’Sullivan 2008, 140). “The awe 

and reverence toward nature, so prevalent in 

pre-modern worldviews, is totally absent in the 

modern world” (O’Sullivan 2008, 138). 

An either or thinking has historically governed 

our approaches, i.e. culture versus nature, 

civilisation versus wilderness, and city versus 

country. These oppositions are fierce and 

counterproductive and deserve much of the 

blame for the current bankruptcy of our current 

approach to the environment (Capra 1996; 

Orr 2004). According to Gregory Bateson, 

whom Fritjof Capra regards as one of the 

most influential thinkers of our time – our 

worldview is founded on an ‘epistemological 

error’, a perception or belief in separateness 

that makes it so. We need to attempt to move 

beyond this nature-culture impasse and merge 

development and conservation. One could 

argue that we have lost our sense of place in 

the world. In Ian McCallum’s (2005) words we 

have to stop speaking about the earth being in 

need of healing. The earth doesn’t need 

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healing, we do (14). 

As Ian McCallum (2005) argues, having turned 

a blind eye to the fact that we are part of nature’s 

great diversity, we have become ecologically 

unintelligent (14). We have steadily distanced 

ourselves from our biological past. “We have 

ignorantly, if not arrogantly, placed ourselves 

at the apex of creation. It is time to come down 

from that precarious pedestal” (McCallum, 

2005, 14) “Let’s become conscious of the 

animals that we have on board with us and of 

what they mean to us” (McCallum 2004, 229). 

Urban people tend to have less and less 

contact with nature and as a result, they 

may be less inclined to behave responsibly 

towards the environment, however unwittingly, 

as they become more removed from the very 

natural systems that underpin their survival. 

If sustainability and humanity’s continued 

survival on this planet is the project, we need 

to start imagining and implementing the notion 

of nature into those domains of the ‘civilized’, 

the urban and industrial centres and the way 

they work. 

The idea of human as separate from nature is a 

binary deeply rooted in western civilization. It is 

present in the Judeo-Christian traditions which 

describe an origin in which man was given 

dominion over the beasts. In ancient Greece 

and in the Tale of Gilgamesh, the forests were 

the representation of all brutishness and evil, 

the domain of wild irrational female forces 

which contrasted with the city state that was 

associated with rationality and maleness. In 

middle ages Europe, the image of an ordered 

world of culture managed by civilized men 

surrounded by a chaotic wilderness inhabited 

by savages, pagan warlocks and witches who 

drew their power form nature itself continued 

(Colchester 1994). An idea that continued, 

and still continues, to inform the activities of 

fundamentalist Christian missionaries, that 

see the practices of shamanism by indigenous 

peoples as “devil worship” as such, the project 

of taming the wilds and civilizing the savage 

became a fundamental truth and clear destiny 

(Chidester 1996, Colchester 1994). The flip 

side of this was that with white expansion 

and increase in urban dwelling, a notion of 

the wilderness as a refuge from the ills that 

accompanied civilization arose. John Muir, 

one of the driving forces behind the national 

parks movements in America insisted that 

wilderness as primitive and natural, be 

preserved as untouched. Wilderness was 

thus set to become the sphere of recreation 

(for definite sections of the population). This 

philosophy was then put into law with the 

1964 U.S. Wilderness Act which states that 

wilderness is a place “where man himself is a 

visitor who does not remain” (Gomez-Pompa 

and Andrea 1992, 271). This idea has persisted 

in the global creation of parks and protected 

areas. That these old notions of nature as 

separate have informed many policies makes 

the finding of solutions, at a policy, and onthe-ground 

level, an immense challenge. The 

images are potent. Attempting to unpick the 

dynamics of this so-called conundrum is akin to 

wading through thick mythological soup. Scott 

(cited by Parajuli 2001) identifies ingredients 

of this “soup” as created by the modern state: 

“firstly, an administrative ordering of nature 

and society, plus a confidence in scientific and 

technical progress, add the authoritarian state 

that used its full weight and power to bring high 

modernist designs into being, as well as a 

123


disabled civil society.” 

In this nature-culture divided world discussed 

above, the “myth” around nature has been 

turned into reality which is well illustrated by 

our role of language. Nature in our current 

predominant mindset is made in the image of a 

commodity, a ‘natural resource’, underpinned 

by a philosophical stance that views humans 

as standing apart from the rest of the living 

world. This is a good example of ‘shallow 

ecology’ or ‘weak sustainability’ whereby only 

instrumental, or ‘use’ value is ascribed to 

nature. We need to be careful of our language 

and careful not to be seduced by jargon 

and slogans such as ‘eco-friendly’, ‘ethical 

hunting’, ‘sustainable utilisation’, ‘downsizing’, 

‘transparency’, ‘biodegradable’, and ‘growth’. 

Jargon and slogans can illustrate the dilution 

of the ‘sustainable development’ concept, i.e. 

are we simply ‘sustaining development’ or 

working towards sustainable development 

“We are accustomed to thinking about the 

Western cultural synthesis as a developmental 

endpoint which points towards the control 

of all natural forces by human decisions” 

(O’Sullivan 2008, 132). The development 

of modern Western science and expertise 

is suffused by the underlying belief that all 

forces can be contained and controlled by 

scientific inquiry and technological advance. It 

is critical to question some of our assumptions, 

and some of the things that we think of as 

normal. Edmund O’Sullivan (2008, 132) in 

‘Re-enchantment of the natural world’ tells us 

that it wasn’t always this way. Understanding 

the historical roots of our dominant mode of 

thinking allows us to see that this is not the 

only way of thinking and, indeed, that we live 

in a different historical moment with a different 

challenge facing us. Instead of considering 

ecological thinking as fringe or alternative 

and reductive scientific economic thinking as 

normal, we should ask which type of thinking 

or worldview is best suited to the challenges 

we face. Is it normal to face a global ecological 

crisis in a divide and conquer (reductive) 

way while separately treating a global crisis 

of human rights, of increased militarisation 

Questions of sustainability have in general 

become pertinent to many more disciplines 

than we would traditionally associate with it. 

Enough is now known to upset profoundly 

our everyday notions of space, time, matter 

and energy. Design is the discipline entrusted 

with the construction of space. Humans have 

torn themselves from the rest of nature, and 

sustainable design is a way to repair the rift. 

As planners and designers we need to design 

so artfully and carefully as to help reconnect 

people to nature and to their places (Orr 2007, 

par 11). As design professionals we hold the 

keys to creating a far better world than that 

in prospect, but only if we respond creatively, 

smartly, wisely and quickly to these facts (Orr 

2007, par 11). 

Resurrection of the Natural World and 

Values Revisiting Concepts, revising 

Paradigms 

The concepts and arguments underpinning 

a sustainable future and the need for society 

as a whole to revisit and rethink the way 

in which we utilise our natural assets have 

been in the mainstream for decades. Yet 

even with the strongest ecological evidence 

supporting these concepts, i.e. that there are 

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limits to resource use as well as the receiving 

environment’s ability to absorb pollutants, 

globally, society has been unable to make 

the change towards a more sustainable and 

ecologically conscious and intelligent future. 

The environmental movement, arguably one 

of the largest movements in the history of 

the world, appears to have had little impact 

in driving fundamental changes in world 

economics, governance and environmental 

justice. One can argue that the movement 

has had little impact even in the context where 

never before in the history of the planet have 

as many resources been applied at any single 

time to drive the sustainability agenda. 

Much current practice is still based on decades 

old concepts, despite advances made in 

theory. The ‘three pillars’ model of sustainable 

development, despite still being widely 

promoted, has long since been discredited 

in seeking sustainability – to be replaced by 

the ‘cascade of dependencies’ a far more 

realistic approach. This shows that human 

society is dependent on the environment, 

and economics is dependent on both society 

and the environment and all three are today 

dependent on ‘governance’ to understand 

the issues, develop sustainability policies 

and enforce them, as depicted in Figure 1 

from South Africa’s National Framework for 

Sustainable Development and Department 

of Environmental Affairs and Tourism (DEAT) 

(2007), where it has been attempted to bring 

this enhanced appreciation of ’cascades of 

dependencies’ to the political table. 

Figure 1: The interactive model of sustainability and the interdependence model of sustainability 

(adapted from DEAT 2007). 

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It is important to stress that current patterns 

of economic growth and genuine sustainability 

are wholly contradictory concepts - economic 

interests usually ride paramount. Further 

economic growth implies quantity while 

development is a critique and a search 

for quality. Sustainable development as 

conceived by economist by and large fails to 

consider any reduction of material standards 

of living and any attempt to slow down the 

accumulation dynamics. “In short alternatives 

to development are blackballed, alternatives 

within development are welcome” (Sachs 

1995, 436 as quoted in Selby, 2008). If we 

accept the finiteness of the planet – that the 

planet is not an inexhaustible cornucopia – 

and if we interpret “sustainable development” 

as “sustainable growth” then the terms 

becomes an oxymoron, a contradiction in 

terms. Sustained growth within a planet that 

is finite is not possible unless one limits the 

timeframe within which the growth intention 

applies and/or is selective about where the 

growth should happen. We cannot continue 

with just enriching the already rich; if only 

economic performance counts, trade-offs will 

continue! 

Within South Africa with Environmental 

Impact Assessment practice where different 

alternatives and no-go alternatives have to be 

explored it is not untypical to get the following 

decision: “ the no-go alternative could not 

be adopted as the developer would lose his 

opportunity for economic investment and 

resultant gain” Provincial MEC, 2005 

At a plenary address of the International 

Association for Impact Assessment conference 

in Calgary in 2008 Ian Lowe rattled the cage 

a bit and asked the audience how best to 

achieve ‘unsustainable development’ 

He answered this question himself and said by 

pursuing: 

• Increased per capita consumption 

• Rapid depletion of non-renewable 

resources 

• Over use / extermination of renewables 

• Disrupt global climate change 

• Produce more waste 

• Widen inequalities 

• Embrace materialism 

• Trash our ‘adaptation insurance’… 

[biodiversity] 

• Encourage population growth 

Arguably this is exactly what we are doing 

and the trajectory we are on. We are living 

beyond the carrying capacity of the earth – the 

assumption of economic growth being able 

to continue forever or be somebody else’s 

problems is illogical and denialism. We’ve 

reached the limits of a ‘FULL EARTH’ – our 

economy is too big for our earth (Costanza et 

al., 2010). 

The rhetoric of sustainable development has 

thus been used by environmental organisations 

and global economies alike and the conflict 

between development and protection was 

neutralised – the euphemism reassured us 

that we can have our cake and eat it too. 

The key issue was how to get a share of the 

cake, not the limits to the size of the cake. 

While development is made “sustainable” – 

able to be continued – capitalist models of 

progress and resource exploitation were often 

challenged but not notably changed. There 

exist staggering statistics such as that the 

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assets of the three richest people in the world 

alone exceed the combined GNP of all leastdeveloped 

countries and their 600 million 

people (Capra 2002). 

As Paul Hawken, Amory Lovins, and Hunter 

Lovins argue in Natural Capitalism, there 

is a better economy to be created that does 

not depend on drawing down natural capital, 

imposing costs on the poor or posterity, 

confusing prosperity with growth, and 

risking global catastrophe (1999). But the 

development of that economy will require 

clarity about the fair distribution of wealth and 

risk shrewd public policies. It will require us to 

relearn the art of frugality, sufficiency, sharing 

and neighborliness. It will require a bit of 

ingenuity to craft what Howard and Elisabeth 

Odum call a “prosperous was down” (2001). 

A shift is required from the goal of standard 

of living to that of quality of life, transforming 

the drive to simply get and consume into 

the profoundly different one of pursuing 

deep psychic fulfilment – a step forward, 

not backwards as it is too often portrayed. 

Achieving sustainability then requires attention 

to psychology and even spiritual issues, 

to satisfy values deeper than advertising 

induced desire. Sustainability is not only 

about curbing environmental abuse – it 

is more about enjoying a saner and more 

just way of life. The universe is not a dead 

clockwork mechanism but a living process, 

constantly unfolding and creative. A profound 

psychological impact of such a shift could help 

us to no longer feel alienated from the world, 

nor compelled to defend against this feeling 

through acquisitive consumption, but can 

instead disencumber ourselves to open up 

and feel an integral part of this astounding and 

benevolent planet. 

Perhaps in the end, it will not be a change in 

technology that will bring is to a sustainable 

future and to the development of a more 

responsible society, but a change of heart, 

a humbling that allows us to be attentive to 

nature’s lessons. As author Bill McKibben has 

pointed out, our tools are always deployed in 

the service of some philosophy or ideology. If 

we are to use our tools in the service of fitting 

in on Earth, our basic relationship to nature - 

even the story we tell ourselves about who we 

are in the universe – has to change. 

Environmentalism, architecture 

and the role of designers - from 

egosystem to ecosystem 

The environmental design disciplines – 

architecture along with urban design, regional 

planning and landscape architecture – will 

inevitably play a key role in the quest for 

sustainability. It is after all an environmental 

crisis that looms, and the design of the current 

built environment contributes immensely to 

the crisis, in its wastefulness of land, energy 

and commuting time and in the lifestyles it 

facilitates. It also constrains how much we can 

change these lifestyles. 

In terms of architecture and design, 

Peter Buchanan (2008) describes it “as 

sustainability’s greatest and exciting gift to 

return the profession to its purpose and dignity 

as it addresses very real and urgent issues so 

that it will inspire influence in the shaping of 

our environment and culture” (128). 

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Architecture schools and practises need 

to accept the challenge and pick up the 

sustainability gauntlet. Education in particular 

has an enormous responsibility as the next 

generation of architects, designers, thinkers 

and doers needs to be prepared. “Until a 

realization of the relationship between humans 

and their environment has become part of 

our education and a principle basis of its 

orientation, a long range improvement of land 

use is improbable” (Hall, Hebbert and Lusser 

2000). 

The architecture and planning profession is 

searching for new ethics and understanding, 

an ethics that espouse attitudes and behavior 

for individuals and societies which are 

consonant with humanity’s place within the 

biosphere; an ethics which recognizes and 

sensitively responds to the complex and everchanging 

relationships between humanity and 

nature and between people. The professions 

are articulating new visions and attitudes in its 

search for new kinds of planning. 

The built environment disciplines, thus, are 

forever evolving and being challenged to adopt 

new visions, reaffirm and reinterpret their 

core values to meet changing circumstances 

and new challenges. Never before has 

the pace of change - social, technological, 

economic, environmental and political been 

so fast nor on such a large scale. There are 

new forces driving spatial organization and 

change and professionals need to engage 

with the complexity of socio-spatial dynamics 

which requires deep and critical thinking. 

Managing the spatial dimensions of this 

change depends on working with a growing 

variety of organizations and individuals and 

these relationships are becoming increasingly 

complex. 

The new visions that are emerging sees 

architecture and planning as being about 

people and places, the natural and the built 

environment and long-term stewardship. 

Focus on people and relationship is key 

rather than the material things and images. 

In the past planning focused largely on land 

use management and physical development 

and sometimes quite abstracted design 

approaches. Past planning has been criticised 

as primarily reactive, short-term, partial, and 

as an opportunity driven activity. Planning is 

becoming less technocratic than in the past, 

not as slender and narrow. Planning is seen to 

be more of a thoughtful reflective and creative 

activity. Traditionally ecology and society have 

been approached separately – it is increasingly 

clear that we need to include the presence of 

humans and human experience. 

Today principles of sustainability, inclusion and 

equity are at the centre of built environment 

profession’s concerns. Increasingly and 

more than ever before have sustainability 

and the environment been recognized as 

key underlying elements and concerns of 

the disciplines. In addition more and more 

solutions must not only reduce our impacts 

on the environment but also help to restore 

and regenerate it. There is a need for a new 

design methodology for regenerative human 

settlement. 

This is what Peter Buchanan (2008) describes 

as the big choice we face: the move from ego 

to the eco (egosystems to ecosystem), from 

acting on the world to acting with it (128). 

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“It is about understanding the unfolding 

and dynamic interplay between nature and 

culture and treating design as if it is a process 

of participating in and reconciling these 

processes as they flower into forms that best 

benefit people and the planet” (Buchanan 

2008, 128). 

Design also needs more of what Albert 

Borgman terms “spacious awareness and 

humility” (Borgman 2008, 6). He discusses how 

premodern cultures were keenly conscious of 

space – they could and did inhabit, at least 

conceptually, the whole universe (Borgman 

2008, 6). “In contrast, the semantic space 

most people in our rich Western democracies 

inhabit is just the surface of the earth” 

(Borgman 2008, 6). Borgman states that we 

live in ambiguous space (2008, 14). Many of 

the technological and economic advances 

often considered as evidence of our cultural 

vitality are smoothing and accelerating 

private forms of transportation, information 

and consumption and are thus fomenting the 

feeling of restlessness and unreality that is 

the curse of destitute space. We are largely 

unaware of the destitution of space, because 

we think that the threat to space is material 

poverty rather than experiential destitution. 

David Orr (2007, par. 17) suggests that we 

need a standard for our work, rather like the 

Hippocratic Oath or a compass by which we 

chart a journey. For that David Orr (2007) 

proposes that “designers should aim to cause 

no ugliness, human or ecological, somewhere 

else or at some later time” (par. 17). 

“That standard will cause us to think upstream 

from the particular design project or object 

to the wells, mines, forest, farms and 

manufacturing establishments from which 

materials are drawn and crystallized into 

particularities of design. It will cause us also 

to look downstream to the effects of design on 

climate and health of people and ecosystems. 

If there is ugliness, human or ecological, at 

either end designers cannot claim success as 

a designer regardless of artfulness of what is 

made” (Orr 2007, par 17). 

Orr (2007) further suggests that we must 

think of ourselves firstly as place makers not 

form makers – this difference he stresses is 

critical (par.18). He argues that design has 

conventionally or traditionally been mostly 

indifferent to human and ecological costs 

incurred elsewhere (Orr 2007, par.18). Place 

making he argues must honor and preserve 

other places, however remote in space and 

culture (Orr 2007, par. 18). 

Paradigm Shift 

Questions of sustainability typically center 

around energy usage, consumption patterns 

And issues such as water scarcity. We must, 

however, keep in mind much deeper questions 

that rarely find their way into political debate 

or public discourse and there will need to be 

attempts to integrate economics with ethics, 

culture and spirituality. Such conversations 

about changes in governance, economics, 

social norms and daily life that must be made 

to avoid the worst of what lies ahead are only 

beginning. 

We in the comfortable middle class must be 

prepared to “give up”, give up cars, rethink and 

reimagine cities and be prepared to share 

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our spaces - we must be able to think differently 

and boldly. These are conversations we rarely 

have energy for here in SA given the daily 

complexities of life here. We each have to 

abandon our comfort zones, think differently 

about space and sharing it. 

a discredited and bankrupt model, philosophy 

and theory. The point is the same as one that 

has been attributed to Einstein: “significant 

problems we face cannot be solved at the 

same level of thinking we were at when we 

created them” (Calaprice, 2005:292). 

Although we are experiencing a period of 

extraordinary commitments and statements, 

to reduce dependencies and ‘solve problems’, 

it is the author’s belief that culture does not 

feature in story enough. 

The article does not argue that this failure is 

necessarily the result of bad intention on any 

person or organisation’s part. It does, however, 

contend that there is an ongoing failure to 

address deeper shortcomings. 

There are many examples of minimizing 

environmental damage – the so-called ‘green’ 

agenda. Around the world, cities are becoming 

more sustainable through resilient buildings, 

alternative transportation systems, distributed 

and renewable energy systems, watersensitive 

design, and zero-waste systems 

– with all the cleverness of a new industrial 

green revolution. 

From new cities like Masdar in Abu Dhabi to 

redeveloped areas like Treasure Island in the 

United States, Vauban in Hanover in Germany, 

BedZed carbon-neutral development and 

social housing experiment and the new 

Olympic village in London, Munich Sustainable 

Development Plan, to plans for a new ecocity 

Dongtan on the island of Chongming in 

Shanghai, China – there are many ecological 

innovations but the argument is that this is 

not enough! The key question now is whether 

cities can not only reduce their impact on Earth 

but also contribute to its regeneration. 

Sustainability initiatives fail or aren’t as 

transformative as they needs to be as 

arguably we are trying to rescue and bail out 

Glib talk about climate “solutions” for example 

misleads by conveying the impression that 

climate is merely a problem that can be 

quickly solved with technological fixes without 

addressing the larger structure of ideas, 

philosophies, assumptions and paradigms 

that have brought us to the brink of irreversible 

disaster (Orr, 2009: xiv). 

Some thought-leaders such as for example 

James Lovelock independent scientist, 

environmentalist and futurologist (possibly 

best known for the Gaia theory) have given up 

hope for sustainable development and believe 

that retarded collapse is the best we can hope 

for. 

The “hangover” for conservation 

and environmentalism 

Environmentalism has done little to build the 

broad base – both political and cultural – that 

it needs to succeed. The environmentalists’ 

strategy of alarmism and scarcity the last 50 

years hasn’t worked. 

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Environmentalism has allowed itself to be 

defined in a way that is too narrow, that 

resonates with too few people, and does not 

connect enough with the real aspirations and 

concerns of the average South African. 

Environmentalism is also not helped by other 

realities such as long-standing efforts to save 

land in remote places that few of us will ever 

see or experience. A general hypocrisy further 

can muddy its most basic proclamations – for 

example its support of a concept of alternative 

energy, alongside its record of opposing 

specific alternative energy projects (such 

as wind farms) because they conflict with 

traditional conservation objectives having to 

do with preservation of land and wildlife. 

It’s too easy to call a big oil spill an 

“environmental catastrophe”, the resulting 

loss of fishery and tourism jobs and “economic 

disaster,” and men who die in deepwater rigs 

that exploded a “human tragedy”. In truth, 

these are not different things – they are parts 

of a single reality our culture has created for 

itself. 

The sequel to environmentalism must grow 

out of that recognition, and be rooted in the 

perpetuation of all life – human and nonhuman. 

Many indigenous people remain hostile 

to environmentalists despite often sharing 

their goals. Some environmentalists’ elitism, 

purism and good-versus-evil worldviews still 

reflect attitudes of their intellectual ancestors. 

Norms live in cultures like genes, manifesting 

themselves unexpectedly. 

By putting a scientific spin on the crisis, scientists 

become the authoritative spokespeople for an 

entire movement to ‘save nature’, having as 

its fundamental goal the ‘preservation of intact 

ecosystems and biotic processes’ (Escobar, 

2008: 139). While there is much to be admired 

there is also much questionable including 

the base orientation of the concern because 

of its origin in particular scientific traditions. 

There are for example limited analyses of 

the causes of environmental destruction and 

destabilisation and consequently the builtin 

proposed policy formulation. Until recently 

rarely is mention made of capitalism, the 

endless resource need to satisfy the lifestyle 

of rich countries, or of the market framework. 

This politics of division cannot help the earth 

now. Nature is endangered by threats that 

come from no specific villain or location. The 

oceans grow warmer and more acidic, marine 

mammals are contaminated, dead zones 

spread, plastic debris flips from wave tops to 

beaches and into the guts of birds. No one 

is innocent. Categories won’t help – nations, 

race, good and evil – for they have little to 

do with humanity’s need to fit within a global 

ecological niche. Power alone without love 

won’t help us either. Power itself is a good deal 

of the problem, as coercion divides the people 

who ultimately must work together. 

The solution has to come from the people, 

through persuasion, enlightenment, and the 

creation of new norms, until the powerful are 

swept irresistibly along in new social reality. 

This is a better job for the weak, who often 

have more at stake in the loss of nature, a 

closer relationship to its gifts, and a greater 

capacity to recognize when a certain level of 

material wellbeing is enough. This is what Paul 

Hawken calls “blessed unrest”. 

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Understanding the history of racism in the 

conservation movement will be important, not 

to assign blame, but to diagnose our unhealthy 

relationship with each other and with nature, 

learn from our mistakes, and begin cooperating 

in the ways that we must in order to reverse 

our destruction of the Earth’s ecosystems. 

Beyond the mechanical 

were relatively local, close in time and space 

and to where we lived. Today many of the 

negative social and environmental side effects 

manifest on the other side of the world. Cause 

and effect are no longer close in time and 

space and not immediately tangible. The case 

for sustainability remains frustratingly elusive, 

partly because many of the suggested benefits 

are intangible (for example “the future”). 

An indication of how hard the cultural shift 

required would be, becomes clear when 

one examines the mechanistic mindset that 

pervades our society and our institutions. Our 

institutions are governed by habit – notably 

by industrial, “machine age” concepts such 

as control, predictability, standardization 

and “faster is better”. The industrial age 

management model breaks the system into 

pieces, creates specialists, lets everybody do 

his or her piece, and assumes that someone 

else makes sure the whole works. 

We have difficulty in seeing whole systems 

in a culture shaped so thoroughly by finance, 

capital and narrow specialisation. How does 

one build partnership among all the different 

specialists and experts and a sense of 

collective responsibility This way of thinking 

is still unfamiliar, an effort rather than a habit 

of mind. When only the superficial symptoms 

of complex problems are addressed, the 

underlying problem typically remains unsolved, 

and even can be exacerbated if the solution 

feeds into a cycle. An integrative awareness 

whereby one unites technology, ecology, 

society, matter, mind and spirituality has been 

lacking in the twentieth century. 

Historically our problems, however severe, 

Seeing things in their wholeness is socially 

threatening. To understand that our manner 

of living, so comfortable for some, is linked to 

climate change, to cancer rates, to poverty, to 

the disappearance of biodiversity, to hazardous 

landfills and toxic wastes, to the depletion of 

the ozone layer, is the need to for a change in 

our way of life. 

Inhabiting different worlds – the 

faith in a single natural world 

comprehensible through science 

It is a time of increasingly dire news and 

seemingly unsolvable social and economic 

problems. The scientific evidence suggests 

that the years ahead will test our present and 

coming generations in extraordinary ways. We 

are all frustrated by our limited understanding 

of the challenges. While some see it as a set 

of technical problems there is a danger that 

superficial approaches give a false sense of 

progress. 

While cities of the “north” debate their quality 

of life, many cities of the south struggle for 

life itself. While some people are already 

dying due to climate change the experience 

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is not yet personal for many more affluent 

citizens around the world. We need to explore 

deeper how we can be with that information in 

a place of intensity and chaos. It seems clear 

that we need to find new ways to problems 

solve – be more soft, spongelike and receptive. 

The latest UN Climate Change Conference 

in Copenhagen in December 2009 failed to 

agree on a deal to tackle Climate Change. 

The failure of Copenhagen makes it clear that 

Copenhagen is read in very different ways by 

different people and that there is no common 

path towards change. There is the issue 

and challenge as to how to connect scientific 

research to legal and political measures - a 

gulf between law and all sciences seems to 

preclude such an exchange. Law has a very 

difficult time absorbing science and jurists 

reinterpret scientific work through a legal lense 

often obfuscating the results. So while some 

make sense of the failures at Copenhagen (also 

referred to as “Brokenhagen”, “Tokenhagen” 

or “Hopenhagen”) as the climate negotiations 

being highly complex and too technical for the 

politicians and lawyers, the author argues that 

we need to look still deeper than that. 

To many people it was no surprise that 

Copenhagen failed, given a negotiation 

process of such Byzantine complexity and the 

fact that most negotiating teams are mandated 

to defend the rights of their country to continue 

using oil and coal to fuel economic growth 

unless they are paid not to (Cullinan, 2009). 

For some critics the mainstream prescriptions 

amount to a complex politics of cooptation 

that leaves intact the underlying framework of 

economics and the market that is inimical to 

nature in the first place. Although the climate 

challenge is receiving a lot of attention these 

days, the global temperature increase is but 

a symptom. The planet has a ‘fever’, and it 

is essential to identify the disease in order to 

prescribe the right medication(Dahle, 2010: 87) 

(Lovelock, 2006). Those who focus exclusively 

on solutions are rather like doctors who only 

prescribe and never diagnose (Orr, 2009:xv). 

The solutions most talked about are 

technological and so neither require nor result 

in any particular improvement in our behavior, 

politics, or economics that brought us to 

our present situation in the first place (Orr, 

2009:xv). That some corporations have got the 

new religion on energy efficiency or greening 

their operations or carbon-trading schemes 

pales besides the fact that none is capable in 

Korten’s words of “voluntarily sacrificing profits 

to a larger public good” (Korten, 2007). 

Decolonising Nature – Knowledge 

of Nature and the Nature of Nature 

A view from the World People’s Conference 

on Climate Change and the Rights of Mother 

Earth in Cochabamba, Bolivia in April 2010 

for example is that the corporations and 

governments of the so-called “developed” 

countries, in complicity with a segment of the 

scientific community, have led us to discuss 

climate change as a problem limited to the rise 

in temperature without questioning the cause, 

which is the capitalist system. In other words 

COP is viewed as an attempt to only deal with 

effects, better allocating the pollution pie so to 

speak – using science to allocate maximum 

levels of pollution. The current international 

negotiations focus on political agreements 

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about emissions reduction, technology transfer 

and financing. Arguably the rules of our current 

legal systems as a whole are skewed in favour 

of both corporations and property owners. Our 

governance and law-making attempts mainly 

regulate how quickly natural communities are 

destroyed rather than preventing destruction 

(Cullinan 2010:4). 

Increasingly this is viewed by many as a 

completely wrong approach, just dealing with 

one symptom rather than confronting climate 

destabilization, or alleviating some aspects 

of poverty without solving deeper problems 

and essentially protecting the interest of the 

wealthy. The “Copenhagen Accord” is viewed 

as something being imposed on developing 

countries by a few States which not only simply 

offers insufficient resources but arguably also 

attempts to further divide people and create 

confrontation. 

Not only is it difficult for scientists and politicians 

to engage but the current negotiations also rely 

and depend on a certain definition of science. 

The universal embrace of naturalism has 

been, for moderns, the road to peace (Latour, 

2004:458). Whether science at any point 

should consider that the confrontation between 

countries, cultures, north and south, scientists 

and animists might be framed differently is not 

part of the discussion or on the negotiating 

table. We need to ask how we can better 

accommodate contradictory perspectives It is 

hazardous, and perhaps ethnocentric as well, 

to assume that enemies, opponents agree 

on baseline principles. When there are many 

contradictory perspectives, is there perhaps a 

“malady of tolerance” (Latour, 2004:456) 

The knowledge of nature is not a simple 

question of science, empirical observation, 

or even cultural interpretation. To the extent 

that this question is a central aspect of how 

one thinks about the present environmental 

crisis, it is important to have a view of the 

range of positions on this issue. What 

lies in the background of this question - 

besides political and economic stakes – are 

contrasting epistemologies and, in the last 

instance, foundational myths and ontological 

assumptions about the world (Escobar, 2008: 

120). While nature is a distinct ontological 

domain, it has become increasingly hybridized 

with culture and technology and increasingly 

produced by human’s knowledge. There 

cannot be one true account of nature’s nature 

(Escobar, 2008: 129) 

Bruno Latour (2004) argues that for most 

sociologists and political scientists wars rage 

because human cultures have (and defend) 

differing views of the same world. If those views 

could be reconciled or shown to differ only 

superficially, peace would follow automatically. 

Bruno Latour (2004) in a piece on “Whose 

Cosmos, which Cosmopolitics) portrays how 

Viveiro de Castro has persuasively shown that 

the question of ”the other”, so central to recent 

theory and scholarship, has been framed with 

inadequate sophistication. There are more 

ways to be other, and vastly more others, than 

the most tolerant soul alive can conceive” 

(Latour, 2004:453). That way of understanding 

cosmos and cosmopolitics is limited in that 

it puts a limit to the number of entities on 

the negotiating table. We seem unable to 

establish dialogues between science and local 

knowledge. Modernity rejects the integration 

of the natural, human and supernatural or 

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spiritual worlds which is an incommensurability 

of global knowledge systems. 

We can’t think that religion is ignorable. 

Many scientists and westerners have no 

inkling that humans have always counted 

less than the vast population of divinities and 

lesser transcendental entities that give us life 

(Latour, 2004: 456). Latour argues further 

that whenever cosmopolitanism has been 

tried out, such as for example by the United 

Nations, it has been during the great periods 

of complete confidence in the ability of reason 

and, later, science to know the one cosmos 

whose existence and solid certainty could then 

prop up all efforts to build the world metropolis 

of which we are all too happy to be citizens. 

The problem we face now is that it’s precisely 

this “one cosmos” or what Bruno Latour calls 

mononaturalism that has disappeared and 

therefore we need to abandon the beautiful 

idea of cosmopolitanism since we lack what 

our ancestors had, a cosmos (Latour: 2004: 

453) 

Society has always meant association and this 

has never been limited to humans. What is in 

question between us is the extent to which we 

are ready to absorb dissents not only about the 

identity of humans but also about the cosmos 

that we live in (Latour, 2004: 451). The ecophilosopher 

Joanna Macy throughout her work 

stresses the theme and need to reconcile false 

dichotomies and polarities. We need to expand 

our perspectives big enough to encompass 

both in new ways (Macy, 1991). 

For most people, in most places, during 

most eons, humans have “owners” to use 

Tobie Nathan’s terms and those proprietors 

take precedence over humans at whatever 

cost (Latour, 2004: 456). At international 

negotiations of the UN or UNESCO there 

are assumptions that humans of good will 

must agree that gods are no more than 

representations. Escobar (2008) argues that 

it would be pretty to think so but to some it is 

not humans who are at war but gods. Escobar 

(2008) argues that we should entertain the 

possibility that ‘enemies’ can be separated by 

disagreements that wide. 

Escobar argues that we need to decolonize 

knowledge as ways to decolonize nature and 

the land and natural resources (2008:12). 

The dominant western mechanistic views 

of nature that sees the universe as a dead 

machine is lacking in reverence for life and 

interconnections. The modern project of 

economic growth and domination of nature 

has gone badly awry and is threatening the 

living system of planet. The recent bombing of 

the moon in October 2009 by the United States 

in the name of science in order to discover 

whether there is water on the moon (while India 

had already discovered this) surely depicts 

that something has gone wrong in the name 

of science. Does this “reflect a prior disorder in 

thinking” (Orr, 2010:75) about humanity’s role 

in ecological systems We need to explore 

how better to integrate science and wisdom. 

Allan Kaplan states that because we have 

achieved so much success in our use of the 

material world which lies outside of ourselves, 

the way of thinking which supports such 

usage has come to be taken as the legitimate 

way of approaching the world. It has come 

to be taken as given. Yet simply because a 

particular way works with respect to certain 

135


phenomena does not mean that it is universal, 

it does not mean that all phenomena should be 

regarded in the same way (Kaplan, 2002:xiii). 

Vaclav Havel noted, in an address to the 

World Economic Forum many years ago, that 

“What is needed is something larger (than the 

scientific method). Human’s attitude in the 

world must be radically changed. We have to 

abandon the arrogant belief that the world is 

merely a puzzle to be solved, a machine with 

instructions for use waiting to be discovered…” 

(Havel as quoted in Kaplan 2002: xv) 

Abandoning the need to control and 

shape the world – acknowledging 

that we need new institutions 

There exist tremendous contradictions 

and incompatibilities. While global climate 

stability and ecological resilience are global 

public goods that require cooperative global 

solutions, fossil fuels are market goods that 

promote competition and resource struggles. 

The transition to sustainability requires new 

energy sources that are “non-rival”. Yet we 

have systems that give priority to private 

market goods and services at the expense 

of public goods. If societal goals shift from 

maximizing growth of the market economy 

to maximising sustainable human wellbeing 

we need new or different institutions to better 

serve these goals to broaden acceptance and 

credibility. 

In recent months there has been much talk of 

“redesigning capitalism” and a “new financial 

architecture” as evident in the title of the 2010 

State of the World report by the Worldwatch 

Institute for example “Tranfroming Cultures – 

From Consumerism to Sustainability. 

Certainly organizations and institutions that 

shape our world are increasingly revealing 

their inability to address the challenges of our 

time. These organization are experienced, 

both by those outside of them and those 

inside them, as driven by the need to control 

and shape the world rather than respond 

creatively to new impulses and needs. There 

is great need for creativity and innovation in 

the way we organize the world. An economic 

renewal tailored to the 21st century would 

establish institutions committed to fitting the 

human economy to Earth’s limited life-support 

capacity. 

According to the capitalist perspective the 

Earth is not seen as “capable of experience” 

because it is reduced to a service provider, 

not a living system. A “right” human-Earth 

relationship would recognize humans as part of 

an interdependent web of life on a finite planet. 

The economy must recognize the rights of the 

human poor and of millions of other species 

to their place in the sun. In a world awash in 

money, addressing poverty only with growth 

reflects a tragic lack of moral imagination. 

Indeed , in pushing for more “free” trade as it 

is currently understood, we would entrench an 

ongoing addiction to consumption, pursued in a 

manner that often ravages the bio-productivity 

of developing countries (Mofid, 2010). 

Logjam in legal Systems and 

governance regimes 

As the grip of climate change tightens, and 

other problems… we are discovering that 

present law is inadequate to protect present or 

136


future generation. We are entering the opening 

years of difficult times with no adequate 

political framework or philosophy. 

As Amory Lovins, co-founder of the Rocky 

Mountain Institute and well known author, puts 

it “We lack a theory of governance…” “we need 

to invent whole new institutions, new ways of 

doing business and new ways of governing” 

(Gould and Hosey, 2007:32). 

Trade Organization, the consequence of this 

tight system of truth telling, linking science, 

policy and economy can be devastating for the 

maintenance of our natural systems. 

As argued throughout the article shifts can be 

driven by collapse or through conscious and 

integrated changes in worldviews, institutions, 

and technologies. New goals, rules and tools 

can be developed. 

Beyond issues of democracy and 

inclusiveness are other questions about how 

well our Constitutions work relative to the 

climate and the environment (Orr, 2009:14). 

The environment is a complex, interactive, 

and nonlinear system (Orr, 2009:14). Yet most 

of our legal framework favor decentralised, 

fragmented and incremental lawmaking and 

as a result, laws, policies, agencies, and 

whole government departments often work 

piecemeal and at cross-purposes, without 

due regard for long-term consequences (Orr, 

2009:15). 

The rapidly intensifying challenge of climate 

change has exposed how ineffective 

international and national governance 

regimes are in dealing with the side-effects 

of consumerism and the excessive use of 

fossil fuels on which the industrialised human 

cultures are based. However, there are still 

major differences regarding how best to 

respond. At present most governments appear 

to favour a combination of new technology and 

improving the application of existing regulatory 

systems (e.g. intensifying the enforcement of 

existing laws and expanding carbon trading). 

Eco-philosopher Thomas Berry attributes that 

flaw to the preoccupation of the writers of our 

constitution and legal systems with property 

rights, “with no recognition of the inherent 

rights of nature and no defense of the natural 

world” from Corporations (Berry, 2006:108- 

109). 

“In the context of rapid climate change, which is 

already making it more difficult for poor people 

to survive in many countries (particularly in 

Africa!) negotiating for a bigger slice of the 

global carbon emissions budget is like fighting 

for a better deckchair on the Titanic”(Cullinan 

2009). 

Seemingly benign scientific discourse ends 

up as a basis of a complex system linking 

organisms and ecosystems, powerful tools, 

social institutions, private interests, and even 

the hopes and aspirations of millions. As 

many analysts have indicated, when linked to 

exclusionary property rights enforced by World 

“The only sensible way forward is to firstly 

abandon any arrogant beliefs that our 

civilizations are unsinkable and secondly to 

focus on saving the ship, not our deckchair 

and thirdly to change course as rapidly as 

possible” (Cullinan 2009). There are thus 

also many hopeful people that believe 

137


that the Copenhagen process was an important 

milestone in the huge cultural transition which 

is continuing to gather momentum (Cullinan, 

2009). 

There is a movement in Latin America around 

“The Rights of Mother Earth” pioneered by 

Ecuador and Bolivia. The Bolivians supported 

by at least nine other Caribbean and Latin 

American countries are arguing that the reason 

why we have climate change and a host of 

environmental and social issues is that most 

political systems (whether based on capitalism 

or socialism) are inherently destructive 

because they do not take account of the needs 

to strike a balance between the interests of 

humans and those of other members of the 

Earth community (Cullinan 2009). 

Ecuador is exceptional in opting to make 

a fundamental change to the architecture 

of its governance system by recognising 

rights of Nature and redefining its concept of 

development. There the existence of a large 

number of people who had not wholly adopted 

Western consumerist values, appears to have 

been a crucial factor in securing the recognition 

of the rights of nature in the Constitution. 

Calls for a Universal Declaration of the Rights 

of Mother Earth to the United Nations indicate 

the potential for these ideas to spread rapidly. 

“In Latin America thus ‘defend the rights 

of Mother Earth’ is a battle cry not only for 

environmental protection but also for social 

justice and freedom from destructive cultural 

imperialism (Cullinan, 2009). 

“They point out that in the same way that a 

leaf will only flourish if it is part of a healthy 

plant growing in fertile, well-watered soil, 

so individual human wellbeing can only be 

sustained by building healthy communities 

within healthy ecological communities. This 

traditional wisdom is as valid today as it ever 

was. Human rights are meaningless and 

cannot be sustained if Earth has no rights. The 

right to life is an empty slogan without food and 

water which can only be provided by the Earth” 

(Cullinan, 2009) 

This movement appears to understand 

that mindless pursuit of GDP growth and 

material accumulation is a fatally defective 

developmental model. Recognising that the 

community of life which sustains us has a right 

to integrity and health and enforcing those 

rights is a precondition to maintaining healthy 

human communities, not a competing interest 

(Cullinan, 2009) 

Ecuador’s Constitution which aspires to “Living 

Well” is a strong indicator that a centuriesold 

logjam in legal and political thinking and 

practice is beginning to break-up. Pioneering 

work is being done around the world to replace 

laws and governance systems that facilitate 

the exploitation of Earth with systems based 

on the recognition that human well-being is 

a consequence of the well-being of the Earth 

systems that sustain us. 

The reasons why legal systems are failing to 

protect the Earth community is because they 

reflect the underlying beliefs that humans are 

separate from, and superior to, all other-thanhuman 

members of Earth whose primary role 

is to serve as “natural resources” for humans 

to consume. These beliefs are demonstrably 

false. Humans are of course, but one of many 

species of mammal that have co-evolved 

138


within a community or system (“the Earth 

community”) on which they are wholly 

dependent. In the long-term humans cannot 

thrive in a degraded environment anymore 

than fish can in polluted water (Cullinan, 

2010:143) 

Just as colonial laws did not recognise the 

rights of indigenous peoples and facilitated the 

exploitation of them and their land, so most 

contemporary legal systems do not recognise 

that any other-than-human indigenous 

inhabitants are capable of having rights 

(Cullinan, 2010:1). The law defines land, water, 

other species, and even genetic material and 

information as “property” which entrenches an 

exploitative relationship between the owner 

(a legal subject with rights) and the property 

(legally-speaking a “thing” which is incapable 

of holding rights) as surely as defining one 

person as a slave-owner and another as a 

slave (Cullinan, 2010:144). 

One of the most exciting contemporary 

developments in human governance then 

is this simultaneous emergence on several 

continents of initiatives to bring about a 

fundamental change in governance systems 

(Cullinan, 2010:144). These initiatives all 

share the belief that one of the primary causes 

of environmental destruction is the fact that 

our governance systems are designed to 

perpetuate human domination of Nature, 

instead of fostering mutually beneficial 

relationships between humans and the other 

members of the Earth community (Cullinan, 

2010). They all advocate an approach to law and 

governance known as “Earth jurisprudence” 

(Cullinan, 2002). Earth jurisprudence is a 

philosophy of law and human governance that 

is based on the idea that humans are only one 

part of a wider community of beings and that 

the welfare of each member of that community 

is dependent on the welfare of the Earth as 

a whole (Cullinan, 2002). According to this 

perspective human societies will only be viable 

and flourish if they regulate themselves as part 

of this wider Earth community and do so in a 

way that is consistent with the fundamental 

laws or principles that govern how the 

Universe functions (the ‘Great Jurisprudence’) 

(Cullinan, 2010:144). 

This approach requires looking at law from the 

perspective of the whole Earth community and 

balancing all rights against one another (as 

we do between humans) so that fundamental 

rights like the right to life take precedence 

over less important ones such as rights 

to conduct business (Cullinan, 2010:144). 

Currently the rights of humans, and particularly 

corporations, automatically trump the rights of 

all others (Cullinan, 2010:144). Natureculture 

theory also offers a challenge to the centrality 

of humanness for realising reality in much 

representational thinking. A natureculture is an 

assemblage of people, things, laws, politics, 

techniques and ethical strategies (Muecke, 

2008), which means that no one participant in 

this ever-moving network has an omnipotent 

purchase on the truth of the matter. 

A few prescient commentators have for 

several decades drawn attention to the need 

for legal systems to take an evolutionary leap 

forward by recognising legally enforceable 

rights for Nature and other-than-human beings 

(Cullinan, 2010). 

139


Perhaps the clearest calls for the development 

of a new jurisprudence have come from the 

eminent American cultural historian, religious 

scholar and eco-philosopher Thomas Berry. 

He argued that the legal systems in countries 

such as the United States of America, 

legitimised and facilitated the exploitation and 

destruction of Earth (Cullinan, 2010). Berry 

(as quoted in Cullinan, 2010:146) argued that : 

“We need a jurisprudence that would provide 

for the legal rights of geological and biological 

as well as human components of the Earth 

community. A legal system exclusively for 

humans is not realistic. Habitat of all species, 

for instance, must be given legal status as 

sacred and inviolable.” 

Conclusion 

In order to turn the current crises into an 

opportunity for a successful, sustainable and 

everlasting change, where all people, wherever 

they may be, can live fulfilling healthy and yet 

more ecologically compatible lives we need 

to all take action within the sphere of our own 

consumption and ecological behavior. 

This article has tried to shed some light on how 

to transcend and include and unpack some 

deeper issues of behavior, culture, politics and 

economics. 

In much of our response and engagement 

with sustainable development there is still 

little connection between deeper levels of 

human motivation and ecological problems. 

Many of our problems represent fundamental 

challenges to our institutions and organizations 

philosophies and paradigms and demand a 

“change of culture” (The Worldwatch Institute 

Report 2010). 

The author believes that the coming change 

is not primarily about climate change 

and sustainable development but more 

importantly about the fundamentals of human 

civilisation that generate climate change 

and social exclusion as a by-product. Our 

existing compartmentalised sciences and 

epistemologies are utterly unable to describe 

the current complexity. A common world if 

there is going to be one, is something we will 

have to build tooth and nail together with a 

willingness to use new methods of thought and 

many levels of thinking. A common world is not 

something we come to recognize, as though it 

had always been here. 

To quote David Orr (2007) again “as design 

professionals we hold the keys to creating a far 

better world than that in prospect, but only if we 

respond creatively, smartly, wisely and quickly 

to these facts” (par.11). The profession should 

be impatient for the means of incorporating the 

‘new’ nature of nature into the “old” methods 

of design – this is the essential adventure 

of our time. We need to accept the learning 

challenge that draws upon the complementary 

physical, mental, emotional, spatial and 

spiritual dimensions of the learner, that 

enchant the learner and designer to cultivate 

earth-mindfulness necessary for sustainable 

living. 

140


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144


The Holistic Approach Needed for all 

Sustainability Endeavours 

Kevin Whitfield 

Centre for Sustainable Agriculture and Rural Development 

University of the Free State, Bloemfontein 

145 


Before one begins to specialize in alternative 

building technologies and their role in 

sustainable human settlements, which is a 

very relevant topic, one needs to understand 

that the study around the sustainability of 

any concept needs an integrated and holistic 

approach. The aim of this study is to give a 

brief philosophical discourse on the basis of 

sustainability, the reason behind the worldview 

of why sustainability came about. This is 

achieved by comparing the mechanistic/ 

Cartesian worldview advocated by Rene 

Descartes, Isaac Newton and Sir Francis 

Bacon, and the systems worldview that was 

set off by quantum physics and later lead to 

holistic approaches being taken within a wide 

range of disciplines. This goes on to show that 

when one specializes and narrows in on a 

topic, one returns to the methods that created 

unsustainability. 

This is followed by reasons why a holistic 

worldview needs to be incorporated within 

all studies surrounding the sustainability of 

any concept, such as housing, agriculture, 

etc. This basically means that within one’s 

own discipline, one cannot exclude the other 

disciplines as all are inextricably integrated. 

While we cannot include all the disciplines 

in one study without it having enough depth, 

one does need to remember that there are 

links between one’s own discipline and other 

disciplines. This paper seeks to remind 

the reader that the conceptual paradigm of 

sustainable human settlements is not just about 

housing and alternative building materials, but 

includes a host of other disciplines that revolve 

around satisfying the various human needs, 

such as food, work, enjoyment, etc. 

Following this analytical discourse, practical 

examples of sustainable housing and links 

with other disciplines, which stem from 

Mollison and Holmgren’s Permaculture, are 

discussed and these include sustainable 

energy, re-use of grey water, home gardens 

and home industries, and the integration of 

the above. Lastly, two housing developments 

are discussed. These development projects 

focus on the use of available materials with 

specific reference to natural and recycled 

materials. These two development projects 

follow a holistic approach as they also focus on 

Permaculture gardens, use of grey water and 

renewable energy. These two development 

projects and their holistic view is what this 

paper aims to promote. 

2. Metaphors and our 

Conceptual Thought System 

It is of vital importance to include metaphors


within the scope of this study as will be 

explained. There is a common understanding 

among people that metaphors are just a poetic 

device and metaphors are left as just that. 

This is not correct as metaphors have a much 

greater role than just operating within poetical 

contexts. It has been found that metaphors are 

commonly used in language as a descriptive 

device. They are used to describe concepts 

that dominate our thoughts and so form an 

integral part of our actions and perceptions too 

(Lakoff & Johnson, 1980). 

One’s conceptual thoughts will determine 

how one will think about a concept, one’s 

perceptions on a given concept and the 

actions one will take. This all takes place on 

a subconscious level. Language usage is one 

method of analysing how one thinks and acts, 

language also identifies which metaphors are 

used in one’s conceptual thinking and thus 

helps identify which metaphors influence our 

perceptions, thoughts and actions (Lakoff & 

Johnson, 1980). 

One’s own conceptual system is not 

necessarily a result of one’s own thoughts, 

but rather as a result of outside influences that 

have influenced one’s thoughts. An example of 

an outside influence is the common worldview 

that is held by society; which is often on a 

subconscious level and it is not noticeable 

easily. 

This study examines the metaphors 

surrounding nature as a machine and nature 

as a mother or as a system, and is followed 

with the metaphorical meanings and usages. 

Mother Nature is a common metaphor due to 

women’s association with giving birth to life 

and nurturing life. The other metaphors follow 

in the proceeding chapters. 

3. The Degradation of the Earth 

Mankind over the past few centuries has 

destroyed the earth through development. 

This has been achieved through various 

activities such as agriculture, industries, 

transportation vehicles and construction. This 

destruction has occurred at a subliminal level 

and the destruction is of such magnitude that 

the earth’s regulatory system could fail. 

With the help of the great forests, oceans 

and weather patterns, the earth is able to 

regulate itself and this is what provides 

pleasant conditions to live in. This complex 

regulatory system is known as Gaia. With 

mankind’s burning of fossil fuels, through 

industry and transportation, have helped 

to accelerate global warming – which is a 

natural phenomenon. This acceleration could 

lead up to a threshold point where after Gaia 

could cease to work along with its associated 

weather patterns (Martin, 2006). 

Coupled with this, we have depleted natural 

resources as if there was an unlimited supply. 

Mankind has over-fished, over-hunted and 

mined excessively to the point of depletion. 

This cannot continue if mankind wants to live 

on this planet into the future (Martin, 2006). 

4. Sustainability 

The concept of sustainability came about due 

to the above mentioned degradation to the 

Earth. The mainstream concept of sustainable 

development originated in 1972 at the 

146


United Nations Conference on the Human 

Environment, whereby the connection 

between the quality of the environment and 

the quality of human life was explored. By 

1987 the term sustainable development was 

coined and defined as development that meets 

the needs of today without compromising the 

needs of future generations. Sustainability 

is a holistic study that encompasses 

economic development, socio-cultural equity 

and environmental quality. Sustainable 

economic development can be defined as the 

maximization of income while concurrently 

maintaining a constant or enhancing capital. 

From the ecological perspective, in terms 

of sustainable development, one needs to 

maintain the robustness and resilience of 

physical and biological systems, while from 

a socio-cultural perspective it is meant as 

maintaining the stability of cultural and social 

systems (Rogers, Jalal & Boyd, 2008). 

The core of sustainability remains with 

economic development, socio-cultural equity 

and environmental quality, but there are other 

criteria and principles that apply to different 

fields of study. The following principles are 

adapted from Pretty (2006): 

1. The integration of biological and 

ecological processes into housing 

development; 

2. Minimization of the use of nonrenewable 

inputs that harm the 

environment and human health; 

3. The productive use of human 

knowledge and skills so that selfreliance 

is improved and human 

capital is substituted for costly external 

inputs; and 

4. The productive use of people’s 

collective capacity to solve common 

problems by working together. In this 

way, housing and natural resource 

problems can be solved. 

In terms of economic development, the 

modern concept of economic development 

first emerged in the 1920s and by the 1950s, 

the concept was popularised as a solution for 

eradicating poverty. The concept was based 

upon the economic reconstruction that occurred 

in Europe after World War II. Common to the 

concept were the terms rapid industrialization, 

modernization and urbanization (Max-Neef, 

1991). 

As early as 1973, economists such as Dr E.F. 

Schumacher – and later, Hazel Henderson 

– recognised the inherent problems with the 

western economic development model and its 

implementation in developing countries (Capra, 

1988). Schumacher (1983) put forward the 

proposition that an intermediate technology – 

between low-cost indigenous technology and 

high-cost intensive technologies – is needed 

to solve developing countries problems, such 

as housing. This technology, in this case 

building material, should be relatively cheap 

and enhance living conditions. This would 

form the start of an alternative and effective 

model for economic growth. Max-Neef (1991), 

the development theorist from Latin America, 

proposed that development should be based 

upon self reliance and in this way dependence 

on developed nations or other people is 

broken and the debt that is related to this 

dependence. These points form the basis of an 

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alternative economic development model that 

Max-Neef has used to create sustainable 

economic development in Latin America. He 

termed this model Human Scale Development. 

Sustainable livelihoods is a concept that has 

become increasingly important in the realm 

of development. This concept is central to 

poverty reduction, rural development and 

environmental management. Its importance 

lies in the analysis of what combinations of 

resources will enable livelihood strategies to 

be achieved, and what will be the outcomes. 

Sustainable livelihoods also take into account 

the various needs of society, such as shelter 

(housing), and the management of these 

needs sustainably (Scoones, 1998). 

Max-Neef (1991) outlines various needs that 

need to be satisfied in order for a decent 

quality of life. In the list of needs, is the heading 

subsistence, which is inclusive of food, shelter 

and work. Shelter (housing) is the broad topic 

of this study. 

5. The Role of Physics as the 

Basis of All Study 

The study of physics and all Western science 

have as its roots in Greek philosophy during 

the sixth century B.C. The culture at the 

time did not separate science, philosophy 

and religion. This study was termed physis, 

which originally meant the endeavour to see 

the essential nature of all things. Physics is 

derived from this Greek word physis. Physis 

had a very holistic worldview whereby it 

examined life and the world in its entirety. In 

the same century, another school of thought 

emerged that promoted dualism. This school 

made a distinction between mind and matter, 

and the holistic worldview was broken (Capra, 

1975). 

A worldview is basically how one person or 

the whole of society view the world we live in. 

Examinations of worldviews are a philosophical 

task by nature. It is important to note that the 

entire world does not necessarily believe in 

the same worldview, this can easily be seen 

by looking at the differences between Eastern 

and Western philosophies in modern times. 

6. The Mechanistic Worldview 

Eastern philosophies, comprising Hinduism, 

Buddhism and Taoism among others, are 

vastly different but their basic features of their 

worldview are the same. This worldview is 

the same as that of early Greek or Western 

philosophy, which held a holistic and organic 

view of the world: man, plants, animals and their 

environment with their various components 

were viewed as a single entity and studied as 

this accordingly. As stated earlier, the basis 

of Western sciences, including physics, was 

based in a culture where science, philosophy 

and religion were studied without distinctions 

between them (Capra, 1975). 

The holistic worldview was held until the start 

of the Renaissance when the scientific study of 

nature began. Experiments to prove theories 

were conducted and results were expressed 

in mathematical language. At this point, Rene 

Descartes advocated the dualistic view of 

mind and matter, with matter being considered 

as dead. This was known as the Cartesian 

division and this became a worldview which 

allowed scientists to separate themselves 

from the world and thus be able to analyse 

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the world as different objects operating as 

part of a large machine. Thus the mechanistic 

worldview was born. Isaac Newton also 

held this mechanistic worldview and these 

two people became synonymous with the 

mechanistic worldview (Capra, 1975). 

This view did not only examine oneself 

mechanistically, but also nature and society 

were viewed mechanistically or as separate 

parts. Separate parts to be exploited by 

different interest groups, which has lead to 

various environmental and social crises over 

the years. There have been positive aspects 

to this mechanistic worldview, both classical 

physics and technology developed from this 

worldview, although they have often lead to 

detrimental conditions (Capra, 1975). 

It should be remembered that a patriarchal 

worldview also dominated societies’ views on 

life from that time to modern times. Around 

that time, a man named Francis Bacon 

who formulated a clear theory for making 

experiments and he became famous for this. 

He also viciously attacked nature through 

phrases containing metaphors referring to 

nature as women and that one should enslave 

and torture nature in order to learn, use and 

abuse. This image of nature was concurrent 

with witch trials, which were held frequently 

in his time. The effect of Bacon’s attack 

was that the view of the nurturing earth was 

disappearing to be replaced with the view of 

the earth as a machine coupled with patriarchal 

views of society (Capra, 1983; Capra, 1988). 

Metaphors promoting the domination of nature 

prevailed under the mechanistic worldview, at 

the same time women were put under male 

domination through a paternalistic worldview. 

This illustrates the effects of metaphors on 

society’s conceptual thought system. 

The mechanistic worldview has lead to a 

technological revolution in an attempt to put 

nature under greater domination and to make 

use of nature in a more efficient manner. 

This need for technology advancement and 

domination over nature shows symptoms 

of being ideological, with technology and 

economic advancement being elevated to 

hyper-normative status with disregard to the 

other normative values’ true natures. This is 

coupled with a relationship of domination with 

technology dominating nature (Schuurman, 

1983). 

7. Change of Worldview and 

the New Paradigm 

Solutions to the problems associated with 

the paternalistic and mechanistic worldview 

need to be formulated and a good first step 

is to change the dominating worldviews to 

metaphors that do not promote degradation 

and fragmented views of what is true nature. 

A new worldview has been formulated on 

the old worldview that existed before the 

mechanistic worldview. It focuses on a holistic 

view of nature and life, and follows what is 

known as systems thinking or a systems 

view of life. It looks at life in its entirety and 

includes the interrelationships and the 

interdependencies that make up life. For while 

mechanistic science studied the basic building 

blocks, systems science focuses on the basic 

principle of organization (Capra, 1983). 

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This new systems view can be seen 

within modern physics where there is now 

emphasis on processes, interrelationships 

and interactions. It follows after a “bootstrap” 

philosophy which has abandoned the idea 

of fundamental building blocks as well as 

fundamental entities such as laws. It rather 

focuses on the dynamic interactions between 

the different parts, which is ironic in a sense, 

as this was the starting point of physics or 

‘physis’ as it was termed then (Capra, 1975). 

Physics did of course leave this holistic 

view point to examine smaller and smaller 

parts of life until physicists got to a point 

when they realised the interconnectedness 

of all parts they studied. This realization 

of interconnectedness came about when 

physicists did different experiments with atoms 

and sub-atomic particles. Certain experiments 

showed that atoms and sub-atomic particles 

were particles while other experiments 

showed that they were in fact waves (Capra, 

1982). The same is true of light particles or 

photons which also have both particle and 

wave-like properties (Davies & Brown, 1988). 

This became known as quantum theory. 

This phenomenon bewildered scientists with 

their mechanistic worldview as when they 

examined life down to its most basic properties 

(as mechanistic/Cartesian thinking promotes), 

it was sometimes there and it was other times 

wave-like (or not there). This paradox forced 

scientists to change the way they view the 

world. Scientists in other fields have also come 

to realise the interconnectedness of life and 

have started more holistic approaches to their 

work, in line with a systems view point (Capra, 

1975). 

Along with a change in worldview from 

mechanical to systems are the various protest 

movements, such as the feminist movement 

and the ecology movement, which also played 

a role in changing the mechanistic worldview. 

A certain kinship is linked between feminism 

and ecology due to the view of Mother Nature 

and the dominations exerted upon them under 

similar conditions. A feministic and ecologistic 

viewpoint would be an integral part of a 

systematic viewpoint, with no part, in such a 

movement taking dominance over other parts 

(Capra, 1988). 

A balance through a systematic viewpoint could 

greatly improve the quality of our environment 

and ourselves, and metaphors associated with 

this viewpoint should be accurate of nature 

and life’s true natures. 

8. The Link with Other 

Disciplines 

Permaculture is a word contraction of both 

permanent agriculture and permanent culture. 

It was developed by David Holmgren and Bill 

Mollison on the island of Tasmania, off the 

coast of Australia, as a pro-active measure 

to combat the degradation caused by political 

and industrial systems (Mollison, 1991). 

Holmgren and Mollison developed a lifestyle 

system which focused on the interrelationships 

between all the elements within the system. 

These elements include plants, animals, 

buildings, water, energy and communications. 

How these elements interact will determine 

how the system will be designed. Permaculture 

is all about design and putting the right element 

in the right place for efficiency in the functioning 

of the said element (Mollison, 1988). 

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According to Mollison (1991), Permaculture 

design has a set of universal laws and 

principles that suit all climates and cultures as 

well as a component of practical techniques 

to suit specific climates and cultures. The 

universal principles are as follows: 

• Locate each element, in relation to the 

other elements, for assistance; 

• Single elements perform many 

functions; 

• Each element has the support of many 

elements; 

• Effective zonal planning for housing 

and other elements with an emphasis 

on energy efficiency; 

• The use of biological resources 

instead of fossil fuel resources; 

• On-site recycling of energy; 

• Use of natural plant successions for 

establishment of favourable sites; 

• Use of polycultures and diversity for 

productive and interactive systems; 

and 

• The use of edges and natural patterns 

to their best effect. 

Holmgren (2006) has since advanced the 

Permaculture principles that were originally 

developed. Some of Holmgren’s principles 

are new, while the rest are a refinement of the 

original principles: 

• Observe nature and interact with 

recognised patterns. This is the 

foundation of all learning and 

understanding; 

• The capture and storage of energy. 

The energy that is referred to is 

inclusive of water, nutrients, seeds, 

carbon and energy used for power 

supply; 

• The application of self regulation 

and the acceptance of feedback so 

that excessive and inappropriate 

growth is discouraged. In this way 

technologies do not exploit resources 

with subsequent damage in the future; 

• The use and value of renewable 

resources. These resources should 

be used to generate income while 

non-renewable resources should be 

thought of and used as capital assets; 

• No waste production. The system 

should be designed so that something 

that would be considered as waste 

is used productively by another 

component in the system; 

• Designing patterns and then details. 

There are patterns in nature that work. 

These patterns have different details 

under different circumstances. First 

the patterns need to be recognised 

and designed, and then the details 

can be added; 

• Integration of elements rather than 

segregation. Relationships between 

the different components in the 

system should be optimised – so 

that every component serves the 

other components’ needs as well 

as accepting the other components’ 

products; 

• The use of small and slow solutions. 

Small and slow technologies are more 

practical and energy efficient; 

• The use and value of diversity. 

Diversity is insurance for the variances 

in nature and everyday life; 

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• The use of edges and the appreciation 

of value in the marginal. The edges 

of fields, rivers and any other similar 

elements often provide the most 

interesting events. Marginal areas 

often serve functions that are not 

given enough recognition; and 

• Creative use and response to 

change. One must respond proactively 

to uncontrollable change by 

using the change to one’s advantage. 

This principle links up with the first 

principle in a cyclic manner. 

The principles of Permaculture are within 

the boundaries of the three principles of 

sustainability, although the Permaculture 

principles give direction to achieving 

sustainability and encompass the principles 

proposed (and adapted by the author) by 

Pretty. 

An example of a Permaculture system, 

encompassing the house, will be given. The 

house should be made of natural and recycled 

materials that are locally available so that 

transportation of materials is kept to a short 

a distance as possible, thus limiting pollution. 

The position of the house is important, so 

the house should face north (in the southern 

hemisphere) to make the most use of available 

heat from the sun. This position will also 

enable maximum use of solar power, whether 

it is in the form of photovoltaic cells or solar 

water heaters. The house should be on a slight 

slope so that waste water from the house 

can be used to water crops via gravity. The 

roof should be used to capture rainwater for 

drinking and washing. 

Waste from the kitchen can be turned to 

compost or fed to chickens and pigs. Trees 

should be planted to block wind and provide 

shade. Some of these trees should be a 

mixture of fruit trees to provide food for the 

residents of the house as well as any animals 

while leguminous trees should be planted to 

improve the soil’s fertility. Home gardens close 

to the house are also an essential element 

in Permaculture as these provide food to the 

people living in the house. Elements such 

as a herb garden, which are often used, are 

placed as close to the house as possible while 

elements that are seldom used are placed 

further from the house. 

One will also notice micro-environments 

around the home and one should make use 

of these as they will provide conditions for 

different plants to flourish. An example of this 

would be to grow lettuce (a winter crop) on the 

south of a house (in the southern hemisphere) 

during summer as this side is colder than the 

north side and thus allowing one to grow crops 

out of season. Another part of Permaculture is 

to make full use of all available space. In this 

way, one should plant different crops together, 

although one must take note to plant crops that 

complement each other as some crops do not 

grow well together. The last important point of 

Permaculture is to make use of any available 

resources that are unique to the area, but 

without degrading the resources. 

9. Housing in South Africa 

At the end of Apartheid, the approximate 

backlog of housing at that time was estimated 

to be 2 million houses, with population growth 

increasing the need for housing by 150 000 

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houses per annum (Ramabodu, 2004). 

According to Statistics SA (2007), the 

population is continuing to grow. The 

population was 40.5 million people in 1996, 

44.8 million in 2001 and 48.5 million by 2007. 

The survey also found that housing conditions 

have improved from the previous survey in 

1996. In 1996, only 64% of households lived 

in formal dwellings and this has increased to 

71% by 2007. Households living in informal 

dwellings were accounted for at 15%, while 

11.7% live in traditionally-built houses. Service 

delivery has also improved since 1996 with 

more households having access to electricity 

and the majority of households, at 88%, have 

access to piped water. 

ecology of the area; 

• Utilization of less resources by 

recycling and by using improved 

technology; 

• Minimization of the effects of building 

materials on the environment; 

• Utilizing less harmful chemicals; 

• Minimization of waste through 

recycling; 

• Maximising the use of public transport 

to reduce the use of additional 

vehicles; 

• Utilizing existing buildings to preserve 

land; and 

• Increasing the quality of indoor 

environments by using natural light 

and air, and building orientation. 

If 15% of the South African population live 

in informal dwellings, it calculates to being 

7.275 million people who still require adequate 

housing. This number increases annually as 

the population grows. Adequate solutions are 

required to reduce this number. 

10. Sustainable Housing 

According to Engela (2006), there are principles 

that guide ‘green’ or sustainable housing 

developments with key emphasis on reducing 

energy consumption, providing a safe and 

healthy working and living environments, and 

reducing waste. Beyond these, the following 

also help in the guidance of building in a more 

ecologically-beneficial way: 

• Energy consumption must be 

minimised and, natural and renewable 

sources of energy should be used; 

• Minimization of site impact to the 

Having set the ground work for determining 

the sustainability of buildings, two building 

systems are proposed as sustainable due to 

their consideration of the environment and 

their social awareness. Both of these building 

systems promote self-reliance, which means 

that people who do not have adequate housing 

can use these systems to build their own 

houses with the use of natural and recycled 

materials. These building systems are the 

Tlholego Building System and the Earthship 

Biotecture. 

10.1 Tlholego Building Systems (TBS) 

“The TBS is a flexible, owner-built, low-cost, 

high-quality housing system.” It aims to avoid 

the serious shortcomings of the present lowcost 

housing projects in South Africa as it 

addresses social, environmental and resource 

problems that are not considered in the 

construction of the country’s low-cost houses. 

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TBS houses conform to modern standards, but 

use natural materials so that environmental 

degradation is minimised. This system was 

initially aimed at solving the problem of 

supplying low-cost houses, but the principles 

are applicable to all sectors of the housing 

market (Tlholego, 2001). 

In conjunction to the houses themselves, the 

houses lend themselves to using unburnt 

mud bricks, passive solar designs, collection 

of rainwater, compost toilets, solar water 

heating, grey-water irrigation and food selfreliance 

through Permaculture gardens. The 

project coordinators believe that one of the 

most important accomplishments of TBS is 

the sustained transfer of skills in innovative 

building techniques to the Tlholego community. 

The community now has a building team that 

is competent and capable of transferring TBS 

to other communities (Tlholego 2001). 

The TBS have replaced low-quality houses at 

Tlholego and the system was chosen by the 

National Department of Housing as the most 

appropriate system or model to represent 

South Africa at the Africa “Solutions Towards 

Sustainable Development” Conference in 

March 2000. This conference was held by the 


(CSIR) (Tlholego, 2001). 

Earthship Biotecture is a worldwide 

phenomenon of self-reliant housing made 

from natural and recycled materials. The 

organization has 40 years of research and 

development experience behind it, which have 

helped them to build Earth-friendly and humanfriendly 

houses that require little to no mortgage 

payments and utility bills. They define an 

Earthship as a passive solar home constructed 

of natural and recycled materials that have 

thermal mass for stabilising temperature and 

make use of renewable energy and integrated 

water systems that allow the Earthships to be 

off the electricity grid, thus having little to no 

utility bills. Their definition of Biotecture is a 

combination of biology and architecture that 

allows the design of sustainable buildings and 

environments (Reynolds, n.d.). 

The mission of Earthship Biotecture is to 

evolve the way people live on this planet by 

evolving how we live as well as slowing down 

and reversing the degradation to the Earth that 

is caused by human development. In addition, 

they want to present a way to achieve the above 

and to inspire people to live a sustainable 

lifestyle. These buildings are designed so that 

they make use of natural heating and cooling 

via solar and thermal dynamics, they are 

energy self-sufficient via the sun and wind, the 

buildings harvest their own water from rainfall, 

they treat and dispose of their own sewerage 

on site, they produce a large amount of food 

and they are built from the by-products of 

society, such as glass bottles, cans and tyres. 

These are the Earthship design principles 

(Reynolds,n.d.) 

10.2 Earthship Biotecture 

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11. Conclusion 

The mechanistic worldview has had a 

very destructive history and it would seem 

wise to move away from such a model to a 

model that does not lead to serious negative 

consequences. The systems viewpoint which 

looks at life and nature in its entirety sounds 

to have good prospects for humanity. Such a 

model would need to balanced, without any 

elements dominating the model. Mankind is 

entering into a crises period and to improve 

mindsets and worldviews could greatly change 

mankind’s predicament. Having said that, 

to exclude elements from a study would be 

unwise as this is cause of the initial problem, 

that of the Earth’s degradation. 

The information of alternative options that 

are holistic is available. Permaculture is a 

prime example of the holistic integration of 

the different elements into a sustainable 

livelihoods framework. Permaculture principles 

and practices should be integrated into lowcost 

housing developments as it offers the 

inhabitants of such housing developments 

a better quality of life. The two examples 

provided under the topic of Sustainable 

Housing give evidence to the fact that the 

integration of natural and recycled materials 

are sustainable and can not only improve the 

quality of life of inhabitants, but also improve 

the quality of the environment. This is also 

achieved at a lower cost. The fact that the 

Tlholego Building System and the Earthships 

make use of Permaculture principles and 

practices gives further evidence for the need to 

integrate other elements – such as renewable 

energy, grey-water use and home gardens – 

into housing development projects. With such 

actions, sustainable livelihoods can become a 

reality for recipients of housing developments. 

References 

Capra, F., 1975. The tao of physics. Wildwood house, London. 

Capra, F., 1983. The turning point. Flamingo, London. 

Capra, F., 1988. Uncommon Wisdom. Rider, London 

Davies, P.C.W. & Brown, J.R., 1988. The ghost in the atom. Cambridge University Press, Cambridge. 

Engela, S., 2006. The sustainability of conventional green buildings in a semi-arid region. Masters 

thesis, Centre for environmental management, Faculty of Natural and Agricultural Sciences, 

University of the Free State. 

Holmgren, D., 2006. Permaculture: Principles and pathways beyond sustainability. Holmgren Design 

Services, Victoria, Australia. 

Lakoff, G. & Johnson, M., 1980. Metaphors we live by. University of Chicago Press, Chicago. 

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Martin, J., 2006. The meaning of the 21st century. Transworld publishers, London. 

Max-Neef, M.A., 1991. Human Scale Development: Conception, application and further reflections. 

Apex Press, New York. 

Mollison, B., 1988. Permaculture: A Designers’ Manual. Tagari Publications, Australia. 

Mollison, B., 1991. Introduction to Permaculture. Tagari Publications, Australia. 

Pretty, J., 2006. Agroecological Approaches to Agricultural Development. Department of Biological 

Studies, University of Essex, UK. 

Ramabodu, M.S., 2004. A study on the sustainability of housing policy with reference to the lowincome 

housing, basic needs such as electricity, sanitation, water and the delivery thereof. Masters 

thesis, Faculty of Natural and Agricultural Sciences, University of the Free State. 

Reynolds, M., no date (n.d.). About Earthship Biotecture. Available on-line: http://earthship.com/ 

aboutus. Accessed: 10-08-2010. 

Rogers, P.P., Jalal, K.F. & Boyd, J.A., 2008. An introduction to sustainable development. Earthscan, 

London. 

Sans author, 1996. The Constitution of the Republic of South Africa, Act 108 of 1996. 

Schumacher, E.F., 1983. Small is Beautiful: A study of economics as if people mattered (20th ed.). 

Cox & Wyman Ltd, Reading, UK. 

Schuurman, E.,1983. Reflections on the technological society. Wedge publishing, Ontario. 

Scoones, I., 1998. Sustainable rural livelihoods: A framework for analysis. IDS Working Paper no. 

72, Institute of Development Studies. 

Statistics SA, 2007. Community Survey 2007 (Revised version). Available on-line: http://www. 

statssa.gov.za/publications/P0301/P0301.pdf. Accessed: 10-08-2010. 

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Accessed: 11-08-2010. 

156


Comparisons, trade-offs and opportunities within the 

context of sustainability, contemporary vernacular 

architecture and innovation: A case study of Centani: 

Greenshops Financial Services Centre; and East London: 

University of Fort Hare, New Auditoria and Teaching 

Complex. 

Colleen Avice Steenkamp 

School of Architecture, University of the Free State , Research Cluster on 

Sustainable Development and Poverty Reduction, University of the Free State 

157 

1. INTRODUCTION: 

Why is sustainability becoming more 

imperative What are the common functional, 

ecological, ethical, social and design principles 

currently being used in South Africa How could 

sustainability be incorporated into modern 

architectural and vernacular design within a 

regional context Despite the popularity of 

using the terms “sustainability, innovation 

and vernacular architecture”, these remain 

ambiguous terms within the architectural 

profession. 

Rather than construct synthetic, and generally 

insupportable, distinctions in some hypothetical 

sequence, one should rather choose to 

examine the sustainability, innovation and 

vernacular architecture within a specific 

region, chosen here is the eastern seaboard 

of the Eastern Cape. In so doing, identifying its 

source: people, traditions, cultures, materials 

and skills. 

This paper will focus on three contemporary 

theoretical and practical terms within 

the architectural profession, these being 

sustainability; the introduction of innovative 

methods and materials; and vernacular 

architectural design within the South African 

Eastern Cape Province. Qualitative data 

will be employed by means of case studies 

whereby a comparative theoretical analysis 

may be performed between the Centani: 

Greenshops Financial Services Centre and 

the New Auditoria and Teaching Complex at 

the University of Fort Hare in East London. 

The aim is to critically analyse these case 

studies within the sustainable, vernacular 

and innovative contexts, thereby bridging the 

gap between the architectural academia and 

practice. 

This paper aims to demonstrate the integrated 

bonds between the populate and community 

life, and their cultural and environmental 

content within both case studies. Within 

South Africa, there lies a traditional tapestry, 

a treasure of skills, craftsmanship and 

competence. The sensibility and the knowhow 

to construct buildings within the Eastern 

Cape effectively with regard to the land, the 

climate and the resources at hand, all embody 

the values and needs that are specific to 

the region. In the case studies discussed, 

the buildings constructed – or that which


is under construction – have often achieved in 

their integrity and authenticity, beauty of form 

and harmony of design. 

2. Definitions and discussions: 

2.1. Sustainability: 

The report from the World Commission on 

Environment and Development (U.N., 1987) 

together with the writings of Conway (1985, p. 

31-35), delineated sustainability as the ability 

to ensure that humanity meets the needs of 

the present, without compromising the ability 

of future generations to meet their own needs; 

and also the ability of a system to maintain 

productivity in spite of a major disturbance. 

After much research regarding the meaning of 

sustainability, a concise but useful discussion 

of the foremost - though sometimes conflicting 

interpretations of what ‘sustainability’ is, and 

a brief explanation of premises of a human 

ecology perspective on vernacular architecture 

- both Lawrence (2006) and Hatfield Dodds 

(2000) suggest various basic principles that 

may be applied in professional practice to 

increase the sustainability of future buildings 

and settlements. 

Using the architecture of the Eastern Cape 

Province as a focus to validate these principles, 

one should aim to meet, among others (Hatfield 

Dodds, 2000; Lawrence, 2006): the need to 

consider ecological and cultural diversity; the 

importance of interrelations between different 

geographical scales; the value of participatory 

approaches to development; the critical 

need to raise public awareness of the issues 

concerned; the provision of guarantees that 

economic activity does not over-exploit natural 

resources or exceed the capacity of the earth 

to adjust to the impacts of human activities 

on which sustenance is based; ensuring that 

ecological integrity and resilience to change 

is maintained by the amount and diversity of 

natural resources and other environmental 

assets; reducing inequalities between 

human societies and within specific human 

settlements by authorising institutions to be 

key actors in reconsidering the environmental 

and social consequences of the uses of natural 

resources by humans; maintaining human wellbeing 

and quality of life by promoting broader 

participation in decision-making, especially 

at the local community level; fostering ethical 

frameworks, moral values and attitudes that 

give more consideration to future generation 

and the non-human components of the world. 

2.2. Vernacular Architecture: 

According to Lawrence (2006, p. 110), 

vernacular buildings are human constructs 

that are the results of interrelations amid 

ecological, economic, material, political and 

social factors. Furthermore, Ozkan (2006, p. 

108) further described vernacular architecture 

as the highest form of sustainable building, as 

it not only uses the most accessible materials, 

but also employs the widest available 

technologies. 

Vernacular architecture comprises of the 

dwellings and other buildings of the people. 

Related to their environmental contexts and 

available resources, they are customarily 

owner- or community- built, utilizing a variety of 

traditional technologies. All forms of vernacular 

architecture are built to meet specific 

158


needs, accommodating the values, economies 

and ways of living of the cultures that produce 

them (AlSayyad, 2006; Asquith, 2006; 

Lawrence, 2006; Oliver, 1997; Ozkan, 2006). 

Vernacular architecture among practicing 

architects, continues to be associated with 

the past, underdevelopment and poverty – 

often vernacular architecture in the Eastern 

Cape is viewed solely in the light of mud 

huts and thatch roofs. Despite the popular 

conceptions to the contrary, Asquith (2006, 

pp.1-2) noted vernacular building traditions 

not as remnants of an underdeveloped or 

romantic past, but rather as buildings of 

importance and relevance to many cultures 

and people in the world: past, present and 

future. Therefore, after the damnation of the 

general conception surrounding vernacular 

architecture as being the only harbinger of 

authenticity (or solely as African authenticity 

– lacking Western influence), as the container 

of a specific determined cultural meaning, as 

a static legacy of a past, what will emerge, 

also noted by AlSayyad (2006, p. xviii), is 

perhaps a twenty-first century South African 

vernacular which reflects the buildings of the 

people in a democratic country. The South 

African vernacular should therefore be viewed 

as a political project, a project whose principal 

mission is the dynamic interpretation and reinterpretation 

of its past in light of an everchanging 

present. 

2.3. Tradition: 

Tradition can be defined as the creative 

processes through which people interpret 

past knowledge and experiences to face 

the challenges and demands of the present. 

The actual significance of tradition within 

architectural practice is often overlooked to 

allow for the prevailing Western influence, 

but as Bronner (2006, p. 5) notes, ‘traditon 

should be seen as a reference to the learning 

that generates cultural expressions and the 

authority that precedent holds’. 

This paper explicitly focuses on the way in which 

traditional cultures merge with contemporary 

innovation. Comparable to the proposal done 

by Vellinga (2006, p. 10), widening the Eastern 

Cape vernacular and traditional concepts - so 

that it includes all those buildings that are 

“distinctive cultural expressions of people who 

live in or feel attached to a particular place or 

locality” - would help the building traditions 

that are now called vernacular to exonerate 

themselves of the stigma of underdevelopment 

and a backward past, thereby enabling them as 

sources of architectural know-how, to assume 

an active part in the provision of sustainable 

architecture for the future. 

2.4. Indigenous Knowledge and 

Innovation: 

Why has the indigenous knowledge of the 

South African people – such an enormous 

and rich resource in our country – largely 

been ignored by our government and also the 

general public (Prain, 1992, p. 52) Perhaps it 

is due to the lack of understading surrounding 

the terms ‘tradition and vernacular’, which as 

already noted, is far beyond the ‘mud hut’ and 

‘thatched roof’ (Asquith, 2006, p.1-2). 

The knowledge, experience and skills of 

the indigenous South African builders of 

the Eastern Cape still have an important 

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contribution to make the creation of sustainable 

settlements and buildings needed in the 

future (Ozkan,2006, p. 108) as will be verified 

in the case study of Centani: Greenshops 

Financial Services Centre. Confirmed by 

Sawyer, (1992, p. vii) past and present 

indigenous knowledge does play a key role in 

sustainability. It seems imperative then, that an 

architectural perspective is created - in which 

valuable indigenous knowledge is integrated 

with equally valuable modern innovative 

knowledge (shown in the case study of the 

New Auditoria and Teaching Complex at the 

Fort Hare University), therefore enabling the 

development of settlements and buildings 

that are both contemporary and modern, 

yet which build upon the characteristics of 

the local vernacular traditions and therefore 

amalgamate within the cultural and ecological 

context. 

Indigenous knowledge and innovation is, 

according to Hirji (2002, p. 313), ‘a system of 

methods, customs and traditions developed 

over many generations, through a traditional 

way of life of an in-depth knowledge of a 

system or systems by local people. 

2.5. Apprenticeship: 

Xhosa-specific population that live in it. 

Architectural theory and practice, which 

encompasses all the factors that surround 

the art of building, is embedded within society 

and is passed on from one generation to the 

next by means of tradition and more often 

apprenticeship. It is when these cycles of 

transmission of information or technology 

are broken by outside forces that apprentice 

systems cease to be active (Ozkan, 2006, p. 

108). Unfortunately, changes that ignore the 

complex nature of social and environmental 

forces, yield architecture which, since 1994 

has been seen throughout the country in the 

Reconstruction and Development Programme 

(RDP). 

Parallel to this, the changes since 1994 - when 

South Africa became a democracy - have 

been marked in recent years as individuals, 

families and whole communities have left the 

rural areas, and, often with no homes to go 

to, migrated to the cities, resulting in various 

informal settlements or squatter camps and 

other social problems, alongside political 

changes, resulting in militaristic ranks or lowcost 

RDP housing schemes rarely taking into 

account the culture in particular and seldom 

reflecting the values of the indigenous people. 

The maintenance of an apprenticeship 

system, as was forged by Marchand (2006, 

p.51), in which one is bound to another to 

learn a trade that endows a community with 

not only technical skills but a sense of social 

identity and professional responsibility is the 

most effective way to guarantee a sustainable 

reproduction of a distinct architecture and 

an urban landscape imbued with changing 

and dynamic meaning for the Eastern Cape 

In a country where the scarcity of energy 

resources and synthetic materials is only likely 

to increase, the determination to make use of 

abundant local resources, the reintroduction of 

an apprenticeship system along with the desire 

to respect and engage with the complexities of 

cultures, historical contexts, tradition and the 

pressing needs of habitat, will most certainly 

give rise to impressive, durable and socially 

conscious architecture. 

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3. Criteria for selecting specific 

case studies and their 

research systems: 

Introduction to case studies 

Selecting appropriate case examples has 

involved the weighing up of a number or 

factors: availability and accessibility of the 

relevant information; the appropriateness of 

examples to the validity of the research; onsite 

research as a key component to realizing 

the projects objectives in a proficient and 

equitable manner; the collection of analytical 

information; the evaluation of innovative 

methods and technologies; and the actual 

implementation thereof in the projects all play 

important roles (Voss, 1992). 

New Auditoria and Teaching Complex due 

for completion in 2011. Centani (in the Old 

Transkei region north of East London) acts as 

a rural case study, with the introduction of the 

Greenshops Financial Services Centre which 

was completed in 2008. 

Service specific as a public or community 

building, the East London University of Fort 

Hare with its New Auditoria and Teaching 

Complex serves student’s needs in particular, 

with the Centani Greenshops Financial Service 

Centre acting a dual role as both a community 

hall and meeting place and also providing 

public financial services to the community. 

Both case studies have intentions which mirror 

their design language, with sustainability and 

innovation at the forefront thereof. 

The timeframe (2007-2012) has ensured 

that the case studies are recent, for the 

emphasis of the study. One has chosen not 

to use the familiar fiction, sometimes called 

the “ethnological present” which implies that 

the Eastern Cape society and its buildings 

subsist in an invariable, monotonous state, 

when in fact, the historical cultural methods of 

construction concerned have almost died out 

and most vernacular dwellings disappeared or 

demolished. 

The case studies have been selected from a 

specific region, time period and architectural 

intension, so as to make relevant and unbiased 

comparisons. Region specifically, the Eastern 

Cape Province of South Africa was selected, 

further limiting the study to the coastline 

between East London and Port St. Johns. 

East London therefore being a primarily urban 

case study of the University of Fort Hare: 

The Centani Greenshops Financial Service 

Centre was designed and managed by the 

architects Vernon Collis and Anna Cowen in 

association, from the Western Cape; while 


the University of Fort Hare in East London, 

was designed by local East London architects 

Ngonyama Okpanum Associates in association 

with Native Architecture. 

3.1. Centani: Greenshops Financial 

Services Centre: 

When cultural changes (national, political or 

governmental) occur, old buildings may be 

adapted to new ways of living, and new buildings 

may be altered in form to accommodate 

them (Oliver, 1987, p. 10). Similarly, the 

Greenshops Financial Services Centre, which 

was once a centre of administration within the 

Apartheid Governement, has with no doubt 

161


been altered, adapted and rennovated to 

accommodate the communities needs. The 

new Greenshops Financial Services Centre 

has mirrored Oliver’s views and quarried the 

ruins of the old buildings on the site and used 

local materials and skills which may have been 

considered inadequate, in the past and possibly 

even in the twenty-first century, to contribute to 

the communities’ social development. 

3.1.1. Sustainability 

The critical need to raise public awareness from 

the Centani Greenshops Financial Services 

Centre intended to set in motion the healing 

of all parts of the social body, using as few as 

possible of the earths resources and ‘planting’ 

in the community an ethos of indepndence. This 

project characterises sustainability unerringly, 

giving it significance that far exceeds its size, 

as a model for architectural method which 

engages the unique problems in this country 

and as a model for sustainable development. 

Summarizing what Lawrence (2006, p. 122) 

presented regarding the “basic principles for 

professional practice” one of the principles 

which dealt with ‘adaptability’ of the existing 

building stock for the reuse of old buildings 

to serve the needs of contemporary daily 

life – has been successfully practiced in the 

the Centani Greenshops Financial Services 

Centre project. Today, the principle of 

adaptability is too easily forgotten by architects 

- who want to demolish, rather than renovate 

existing buildings. Lawrence went further 

stating that ‘there is a need to consider how 

to reduce uses of non-renewable resources, 

how to lower greenhouse gas emissions and 

lower solid waste disposal,’ thereby gratifying 

the sustainable principles of design. 

The materials used within the project allowed 

for unparalleled flexibility: old bricks from 

quarried buildings were reused, the newly built 

forms can be recycled or left to decompose 

back to the soil. Overall, the Greenshops 

Financial Services Centre should be celebrated 

and promoted in light of these economic and 

ecological attributes, both of the latter which 

are also noted by Marchand (2006, p. 61). 

The Centani Greenshops Financial Services 

Centre reflects the meaning of sustainability 

through every facet of the project. Ecological 

and cultural diversity is mirrored through the 

consistent use of local materials suitable to the 

environment. Ruined buildings’ materials were 

reused , particulary bricks; the abundance of 

clay from the excavations, suitable for building 

as well as thatching grass needed to reinforce 

the mud walls; roof eves were extended to 

provide weather protection. The buildings are 

designed to maximize passive heating and 

cooling using shading devices, raised floors 

and variable ventilators. Rainwater was taken 

off its roofs to strorage tanks to be used in the 

permaculture gardens (Cooke, 2009. p.22-26). 

3.1.2. Vernacular Architecture 

The Centani: Greenshops Financial Services 

Centre has been in use for two years and 

although still young, has convincingly proven 

that the traditional methods, vernacular 

forms, indigenous building methods and 

locally sourced material, can be put back into 

contemporary building use. The commitment 

from the architectural team to make use 

of local resources - an approach long 

espoused - was rewarded by the community’s 

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continuous appreciation and independence 

in every sphere which proved to be 

exceedingly affirming (Cooke, 2009. p.22-26). 

As discussed previously and also noted by 

Oliver, Lawrence, Ozkan, AlSayyad and 

Asquith (regarding the principles of vernacular 

architecture), the Greenshops project 

successfully inculcates vernacular principles: 

built by the local people of Centani; with 

available resources from the site and town; 

utilizing a variety of traditional technologies; 

built to accommodate and meet the specific 

needs; and finally accommodating the 

values, economies and ways of living of the 

local culture that produced it. Within the 

context of vernacular architecture the project 

has embraced what is known and what is 

inherited about the building. It has included the 

collective wisdom and experience of a society 

and the norms that have become accepted by 

the group as being appropriate (Oliver, 1986, 

p. 113). 

3.1.3. Tradition 

Echoing within the Centani Greenshops 

Financial Services Centre is what Rapoport 

(1989) viewed as significant in the modern 

concept of tradition: where the past becomes 

part of the present as a guide to future action. 

Lewcock (2006, p. 16) added to the traditional 

concept of the latter, and the Greenshops 

Financial Services Centre project can easily be 

viewed as such: a process in which innovation 

and precedent are dynamically combined 

allowing continuous change to take place. 

Perhaps the most interesting exercise 

conducted by the architects, this social 

development project aimed to encourage 

local people, and instilled once-again their 

appreciation of the traditional building 

methods of mud and earthen infill as the 

principal building material (Cooke, 2009. p.22- 

26). Earth construction used as a building 

material within this project has provided a 

real alternative for the building sector, its 

technical performances were established, and 

it provided an economically viable solution, 

both in macro-economic terms and in terms 

of building costs. It renewed the links with 

traditional building cultures, thus retaining 

its local nature, not only by virtue of the raw 

materials used, but also from a cultural point 

of view (Booysen, 2003, p. 43). 

3.1.4. Indigenous Knowledge and 

Innovation 


Centre successfully explored the relationship 

between local knowledge, available resources, 

cultural identity and architecture. More 

specifically, the project illustrated the gestation 

of technical learning and socialization that 

occurs throughout a project focussed on social 

development. As reasoned by Marchand 

(2006, pp. 46-47) that the indigenous 

knowledge of local building trades must be 

central to discussions, studies and projects 

concerned with the sustainability in the twentyfirst 

century and beyond, each of the latter 

were addressed within the project. 

Innovation was stimulated with the the 

traditional wattle and daub technology being 

improved by providing concrete foundations 

and by adding diminutive amounts of lime and 

boron-treated thatch to the the mud mixture, 

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a concept applauded by Rapoport (1989) in 

which the past becomes part of the present 

as a guide to the futrue. Innovation was also 

reflected in the archtectural designs’ ability 

to reuse the materials of ruined buildings 

– plundered bricks, which were cleaned 

off; broken, hard materials were used as 

aggregare in foundations, door handles 

fashined from the original jail bars were 

reclaimed from the site. These innovative 

ideas also aided in the sustainability of the 

project as a whole (Cooke, 2009, p. 22-26). 

Encapsulating the values of the society 

surrounding the building, the architects 

decapitated the myths which surrounded the 

eucalyptus plantations’ sounds - which were 

found to be wind-induced. The mysteriously 

encoded culturally determined symbols, which 

are usually only read through the acquisition 

of knowledge, which is frequently inaccessible 

to all but the privileged elite: to shamans, 

medicine men or priests, (Oliver, 1987, p. 170) 

were therefore decoded by the architects. 

The brave steps taken into the traditional 

belief systems, added to the strength of the 

symbolism: a bridge to the changes within, 

into a community meeting place and financial 

service hub (Cooke, 2009, p. 23-24). 

The plantations became the primary source 

of training for the locals - who were set out to 

manufacture economically-sound eucalyptus 

and pine doors and windows. Local residents 

were trained to fell trees, strip and borontreat 

the timber and cure it in a solar kiln for 

use in the structure as ceilings, screens and 

ventilators (Cooke, 2009, p. 23-24). 

3.1.5. Apprenticeship 

From the start, the Centani Greenshops 

Financial Services Centre recognized the local 

indigenous people as pivotal agents necessary 

for the implementation and long term success. 

Respect for the locals autonomy and regular 

consultations with the builders about the 

project aimed at scheduling, consequently 

strengthened the internal ties and coordinated 

efforts of the professional association. 

The project provided locals with valuable 

opportunity to acquire practical experience 

in restoring the old building and fostered 

skills that would hopefully be inculcated in 

successive generations of builders (Marchand, 

2006, p. 50). 

The transmission of knowledge and the 

negotiation of identities and boundaries 

that takes place through the system of 

apprenticeship have allowed the local people 

to sustain standards and has enabled them 

to continuously create a meaningful built 

environment within the region. Such a built 

environment is inherently dynamic, “while 

remaining rooted in a dialogue with history 

and place” (Asquith, 2006, p. 8). Crucially, 

this dynamism needs to be taken into account 

when considering the sustainability of the 

building tradition (Asquith, 2006, p. 8). 

The Greenshops Financial Services Centre 

was developed beyond the mere site and 

the architects were well aware that the 

potential success of the project would be 

determined by the local skill - passed down 

through generations - and social acceptance 

of the new buildings. Workshops with local 

chiefs and cultural leaders, to include their 

164


perspective and needs in order to develop an 

appropriate approach were held, as well as 

in-depth studies of available materials and 

appropriate technologies to the area (Cooke, 

2009. p.22-26). Knowing that materials can 

only be exploited when a society has the 

technology to work it and that good builders 

know their materials and make the best of their 

properties (Oliver, 1987, p. 59), the architects 

examined carefully the building technology 

which was currently in use, finding a mixture 

of traditional indigenous materials. With much 

experience and traditional influence, the entire 

workforce employed for the project were 

local Xhosa people who, according to Oliver 

(1987) had developed intuitive senses of 

appropriateness for the materials. 

The value of participatory and apprenticeship 

approaches to the development also reflected 

in the gardens, which were to be used to 

produce food in the kitchen for the staff. This 

process also created work, seeded small 

businesses and transferred skills (Cooke, 

2009, p. 23-24). 

3.2. New Auditoria and Teaching 

Complex at the Fort Hare 

University: 

The architects of the new Auditoria and 

Teaching Complex for the University of Fort 

Hare in East London - Ngonyama Okpanum 

Associates in association with Native 

Architecture - developed a ‘pattern language’ 

to regulate the design intent; this, inter alia, 

included all floors to be accessible for services, 

all buildings to be orientated with long facades 

facing north, limited air conditioning for 

apparatus only, naturally ventilated spaces, 

natural day-lighting, locally sourced materials 

and light-weight construction (Stratford, 2009, 

p. 54-57), the importance to achieve a state of 

pax deorum within the design seemed central 

although on further study, it may seem as 

though ira deorum is more prevalent. 

The complex is bounded on the north and 

south by wide streets; the primary response 

was to place three wings running east west, in 

downward cascade from the south towards the 

north. Each wing is penetrated by a pedestrian 

concourse that is vertically connected by a lift 

in the south wing and a series of double-acting 

staircases at the intersection of each wing. 

This concourse starts on the street at parking 

level on the south side and spills out onto the 

street at second floor, which is at grade on 

the northern street. In this way, the concourse 

becomes a pedestrian arcade of the city 

(Stratford. 2009. p. 54-57). 

2.2.1. Sustainability: 

The New Auditoria and Teaching Complex at 

the Fort Hare University, has the entire building 

oriented with long facades facing north, natural 

ventilated spaces and natural day-lighting, and 

a wind scoop system which aims at regulating 

temperatures and internal conditions. 

The sustainable principles delineated earlier 

by Hatfield Dodds (2000) and Lawrence 

(2006) have had modest regard within the 

New Auditoria and Teaching Complex at 

the Fort Hare University. The ecological 

considerations have been accounted for 

through the consented solar exposure given 

to each wing of the building, reducing the 

winter shadow. Unfortunately the value of 

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participatory approaches to the development 

has not enjoyed the same significance which 

was given in the Centani Greenshops project. 

The critical need to raise public awareness of 

the sustainable issues concerned are however 

being addressed regularly by the architects. 

The economic activity on the site has not overexploited 

natural resources due to the use of 

innovative Wintec precast concrete systems 

which minimized the use of commonly used 

concrete and also limited the amount of waste 

on the site. 

The external façade to the south walkway 

is faced with a permeable mesh screen, 

which serves to rupture prevailing winds and 

alleviate driving rain. Inside this mesh screen 

is a vertical planting screen at each floor 

which is irrigated with harvested rainwater. 

This serves to provide evaporative cooling 

and oxygenation of natural air which is drawn 

into the building from the cooler side of the 

building; it also provides a ‘handrail’ to the 

walkway (Stratford, 2009, pp. 54-57). Despite 

the impressive ventilation systems used as 

temperature-sustaining tools, (as it continually 

cools the inside temperatures of the building) 

there remains one intrinsic flaw: the colder 

winter months have not convincingly been 

accounted for. The Latin word sustenere 

meaning to uphold, or capable of being 

maintained in a certain state or condition, 

is the origin of ‘sustainability’, therefore, 

while ‘sustainable’ can mean supporting a 

desired state of some kind, it can also mean 

maintaining undesirable conditions (Lawrence, 

2006, p. 111) as is reflected in the continuous 

cooling of the building - despite the low outside 

temperatures. 

3.2.2. Vernacular Architecture: 


the University of Fort Hare is more than the 

materials from which it is made, the labour 

that has gone into its construction or the time 

and money that may have been expended on 

it: as borrowed from Oliver (1987, p. 15), the 

new complex as the theatre of the students 

lives where the major dramas of education 

and politics, of laws and policies, of labour 

and of being in labour are played out, and in 

which a succession of scenes of public and 

community life is perpetually enacted. Yet the 

metaphor unaccompanied remains derisory: 

the play can be performed without the stage; 

the theatre stands empty for most of the time, 

awaiting the performers and their audience. 


the University of Fort Hare within the city centre 

of East London (as a contemporary South 

African building) is more than just a stage or a 

scene; the relationship of each individual to the 

building is innate and essential for the growth 

of a mutualitarian country or society. Whether 

this relationship will exist within the building 

is still to be examined. The lack of ownership 

which should be instilled between the building 

and its inhibitor during the community’s 

participatory and apprenticeship systems is 

a large setback which can be measured only 

after completion. 

Vernacular architecture should also include 

available resources and a variety of traditional 

or innovative technologies, the choice of 

laminated saligna timber for all joinery 

within the building was an informed decision 

made so as not to import exotic hardwoods 

or aluminium extrusions, the timber was 

166


locally sourced and after lamination still 

remained cheaper than meranti timber 

(Stratford, 2009). Unfortunately, one would 

be mendacious to state that the building is 

justly vernacular. For this building to be truly 

vernacular, it will have to be part of a cultural 

context that, in contemporary South African 

times, is ever harder to find (Vellinga, 2006, 

p. 88) – it would mean that the building is 

accommodating the values of the local people, 

economies and ways of living of the cultures 

that produce them, which to date has not yet 

been motivated. 

3.2.3. Tradition and innovation 

In the writings of Bronner (2006. p.6) tradition 

is about expectation and social acceptance 

rather than constraint. As a reference to 

precedent and a social construction, tradition 

invites commentary and interpretation and 

is often continuously re-negotiated, from 

generation to generation. As such it allows for 

creativity, adaptations and innovations that 

may ultimately, once they have been socially 

accepted, be integrated and become part of 

the tradition. It is this tradition used within the 

New Auditoria and Teaching Complex at the 

University of Fort Hare, which needs first to be 

socially accepted prior to a final triumph being 

realized. 

Within the New Auditoria and Teaching 

Complex at the University of Fort Hare, the 

social acceptance is tested by the expectations 

of the design. Innovative ideas and extreme 

engineering stretched the negotiation within the 

innovation to be accepted into social tradition. 

The tremendous innovations can be found 

throughout: air being drawn into the innovative 

Wintec Ventilated Access Floor through 

special floor-mounted diffusers by virtue of 

displacement ventilation within the interior 

space; the north façade is double-skinned and 

is ventilated at the roof apex; this north façade 

is made up of black recast concrete panels, 

U-shaped in plan and glazed across the U to 

form a vertical flue, the combination alternates 

with an internal glazed timber façade which 

is opposite a flush glazed façade spanning 

between the precast panels. In this way, 

another vertical flue is formed between the two 

glazed facades. Also, the internal reveal of the 

precast panels is splayed and painted white; 

this together with vertical reflective Venetian 

blinds within the flue spaces controls bounced 

light into the interior. The ventilation system is 

powered by solar energy through buoyancy 

induced in the ventilated stack façade and 

also by wind-induced pressure differences 

generated at the aerofoil section covering the 

continuous apex roof slot (Stratford, 2009, pp. 

54-57). 

The analysis of tradition within this environment 

takes on the life story of the creators and the 

symbolism of the expressions. Unlike the 

ideal of vernacular as the prevalent common 

expression of the people, most of the future 

students will be well aware that they stand 

apart in this elaborate structure. It is also 

expected on completion of the project that 

interviews with the inhabitants will draw 

out their reference to grassroots skills and 

processes that are not, but should have been, 

part of this modern culture (Foster, 1984). 

167


3.2.4. Indigenous Knowledge and 

Innovation: 

As in other similar instances when architects 

attribute innovative forms and ideas to 

particular buildings it was not so much the 

historical veracity which was of interest, but 

rather the degree of esteem they accorded to 

creativity and signature in the building trade 

(Marchand, 2006, p. 56). Rather than the use 

of indigenous knowledge, innovative concepts 

were tested, stretched and implemented: the 

ventilated access floor, a new concept which 

provides a floor plate with access from top and 

bottom, a plenum for services and ventilation 

all within a structural depth of 535mm; the floor 

is finished on both faces with precast concrete 

floor/ceiling tiles which provide a heat sink and 

are fitted with service access points for power 

and lighting; the all-up mass of this floor is 45% 

less than equivalent in situ access floor - which 

would be about 850mm deep - in this way the 

embodied energy is dramatically reduced by 

brining less material to site and the floor may 

be deconstructed and built into another project 

at the end of the building life cycle (Stratford, 

2009). 

Although one could never insult the innovative 

genius in the wake of the New Auditoria and 

Teaching Complex’s design, the query made 

by Bronner (2006. p.6) still remains in the 

hindsight: adaptations, innovations and the 

social acceptance thereof are all endorsed 

through the invitation of commentary and 

the renegotiation of tradition and indigenous 

knowledge, both of which are currently being 

regarded with some hostility. 

3.2.5. Apprenticeship: 

Apprenticeship systems are dwindling as the 

indigenous cultural know-how of traditional 

building methods decline. The impacts on the 

layout and construction of the built environment, 

plus the consumption of materials and energy 

have increased significantly. Today, there 

are choices between traditional materials 

and methods, synthetic materials and new 

technologies: the former usually enables the 

use and reuse of renewable resources, where 

as the latter require more energy and more 

specialized expertise (Lawrence, 2006, p. 

127). 

Although there is a reduction of embodied 

energy within the precast floor/ceiling 

tiles, less wasted material on the site, and 

the materials ability to be deconstructed 

and reused - these materials still require 

more energy than traditional materials and 

methods. The specialized expertise needed 

for the construction of the building, the lack 

of apprenticeship systems and of community 

participation all lead to the reduction of the 

sustainable roots surrounding community 

and economic upliftment as well as the ability 

for the community to take ownership of the 

building. 

4. Comparative analysis: 

Sustainable adjustments to climate, which 

were considered in both case studies, were 

the influence of the angle of the earth’s axis to 

the sun, the direction and speed of its rotation, 

irregular and unequal distribution of land 

masses, differences in atmospheric pressure, 

energy received from the temperature 

168


from solar radiation and that radiated into the 

atmosphere, types and densities of vegetation, 

the patterns of precipitation, prevailing winds 

and ocean currents (Oliver, 1987, p. 116). The 

East London region within the Eastern Cape 

Province of South Africa may be summarised 

as a temperate or humid mesothermal and 

sub-tropical climate. The New Auditoria and 

Teaching Complex was built to serve a variety 

of functions to accommodate various faculties 

as the different departments moved through 

the available space as it became available 

(Stratford, 2009), but one of the most important 

efforts within the project was to create a “microclimate” 

acceptable to their occupiers. 

Buildings, according to Oliver (1987, p. 113), 

do not control climate, which apart from the 

wind or shadow that they may cast, remains 

largely unaffected by them, but within the 

building, it does modify the climate, creating 

internal conditions that come closer to those 

which the occupants find most comfortable. 

Creating or designing according to human 

comfort could and should use means and 

methods which are not detrimental to the 

environment in order to allow the inhabitants to 

respond to their prevailing climatic conditions 

as has been exercised within both the 

Greenshops Financial Services Centre and 


the Fort Hare University. 

Vernacular resources, technologies and forms 

such as adobe, wind-catchers or courtyards 

are generally seen to be well adapted to 

local climatic conditions and are therefore 

often considered as appropriate bases for 

environmental design – as has been established 

in the Centani Greenshops Financial Services 

Centre. What is needed however, are methods 

which enable the systematic test of the actual 

performance of vernacular traditions and to 

thereby generate an understanding of how 

they may be upgraded so as to provide truly 

sustainable buildings for the new millennium. 

Although both Centani Greenshops Financial 

Services Centre as well as the New Auditoria 

and Teaching Complex at the University of 

Fort Hare where well considered with regard 

to vernacular architecture, it remains difficult 

to comparatively analyse the project within 

the vernacular framework. One method tried 

while determining the vernacular performance 

of each project was in situ monitoring – these 

results aimed to show the projects which 

have been ‘counter-intuitive’ in the sense 

that the buildings did not perform as well as 

generally assumed. What is needed within the 

vernacular architecture of South Africa then, is 

research that critically tests the performance 

of vernacular traditions in the face of the 

challenges of the twenty-first century. 

The Centani Greenshops Financial 

Services Centre, in addition to its social and 

technological concerns, materials and methods 

of construction were developed that took into 

consideration the scarcity of natural resources. 

Innovative and appropriate technologies were 

developed based on abundant and readily 

available natural materials. Moreover, in order 

for the project to be successful in the long 

run, thorough training programmes for local 

builders were regularly implemented (Cooke, 

2009, p. 22-26). 

As early ethnographies predicted in previous 

historical projects, the University of Fort Hare 

design has succumbed to the pressures 

169


of modernization and development: the 

design has adapted the building culture by 

incorporating primarily modern elements, 

rather than maintaining and even strengthening 

traditional others (Vellinga, 2006, p. 85-86). 

Part of the resistance which one expects 

to occur, is also stemmed from the fact that 

these innovative solutions have been brought 

in by “westerners”, even though the project 

employed local resources. The University of 

Fort Hare’s new building closely resembles 

the Village of New Gourna in Egypt by Hassan 

Fathy (Fathy, 1973). Both are well-intentioned 

and good-willed, but failure is presented 

through the fulfilment of architectural goals 

because of pre-existing, complex cultural 

forces that emanated from within the local 

community. 

Under such innovative circumstances, it is 

in testing to be successful. First of all, it is 

impossible to objectively select the criteria that 

define the term ‘success’. Is the measure of 

success the number of lecture rooms provided 

for students Is it the student’s acceptance of 

what has been offered to them Or is it the 

students own definition or expectation of a 

lecture theatre 

and scientific innovation. If South African 

Architecture is to mean more than the mere 

provision of yet another roof and wall to the 

populace; there needs to exist a greater 

understanding about the qualities that shape 

the publics needs within a building. By doing 

so, the architectural practice may be more 

effective in designing buildings appropriate to 

indigenous living conditions and public needs 

– and within this process learn more about our 

country’s wealth of knowledge and innovative 

solutions to current problems. 


Centre has essentially adopted the importance 

of local technical and historical methods of 

construction by including an apprenticeship 

system together with innovative modern 

techniques, thereby adding to the community a 

unifying sense of ownership and responsibility. 


the Fort Hare University has taken a wider 

approach by creating innovative developments 

in material mixtures and methods of 

construction (rather than the training of people 

about the actual construction thereof), value 

is therefore weighted primarily on engineering 

ingenuity rather than on community upliftment. 

Linking the indigenous knowledge system 

observed within the Centani Greenshops 

Financial Services Centre, with world science 

and innovations (the New Auditoria and 

Teaching Complex at the University of Fort 

Hare) requires better understanding of both 

the role of scientific (architectural) research 

and the limits of empirical locality-specific 

indigenous knowledge (Ezaguirre, 1992, 

p. 20). There should exist no fissure in the 

relationship between indigenous knowledge 

All buildings, whatever their function, have to 

meet certain physical constraints. The Centani 

Greenshops Financial Services Centre was the 

result of a long tradition of received techniques, 

assembled by trial, error and experimentation 

over many generations. The New Auditoria and 

Teaching Complex at the Fort Hare University 

was based on detailed mathematical and 

engineering calculations and the application 

of formulae after experimentations. 

Neither is better nor worse than the other, 

170


as the basic laws of physics ultimately 

determined whether either building will stand 

up or collapse (Oliver, 1987, p. 57). 

5. Closing Remarks: 

As was noted by Ezaguirre (1992, p. 19) and 

also verified within the case studies, local 

indigenous and technical knowledge within the 

building practice should never be overlooked. 

Local peoples’ knowledge about the specific 

conditions in which they live and work may be 

more exact than the knowledge of practicing 

individuals in the building profession. This is 

neither a failure within the building profession 

nor the idealization of the low-resource 

area, but recognition of the division of labour 

between architectural research and the 

empirical knowledge that local indigenous 

people acquire in order to produce with 

available resources. 

As is revealed within the case studies, 

an approach which focuses on the active 

application of vernacular technologies (Fathy, 

1973), forms and resources in a modern and 

development contexts will not be without its 

problems, challenges and setbacks, and will 

have to address themes and issues that so far 

have been largely disregarded in the field of 

vernacular, indigenous and sustainable studies. 

For instance, as it will have to engage with, or 

indeed be part of, the so called ‘development 

discourse’ (Grillo, 1997), there will be need for 

critical discussions of the political and ethical 

dimensions of key concepts like sustainability, 

development, intervention and participation. 

There already exists a long established, 

though still somewhat marginalized discourse 

that focuses on the ways in which indigenous 

traditions and innovations may be integrated 

into contemporary building practices, as was 

summarised by Afshar and Norden (1997). 

At present however, while concerns over 

sustainability and cultural identity continue 

to shed animosity over the processes of 

modernization and globalization, an alternative, 

innovative approach to development is 

continuously being looked for. It seems more 

opportune and urgent a time than ever to 

fabricate the achievements of such research 

into contemporary practice. 

Unfortunately, as was noted by Payne (1977), 

and confirmed within both case studies, 

western models of planning and designs based 

on commercial land markets are penetrating 

most parts of our country. Perhaps rural 

areas less so as was shown by the Centani 

Greenshops Financial Services Centre, but 

finding ways in which vernacular knowledge 

and expertise may be integrated into urban 

contemporary building design and practice 

continues to be one of the main challenges 

one faces in the twenty-first century. 

What is needed is the disposal of the stigmas 

of underdevelopment, poverty and the past 

that currently cling to the concept of indigenous 

vernacular architecture. Such research and 

education should focus on issues of process 

rather than product, identifying general 

principles and concepts rather than basic facts 

and figures. More importantly, it should be 

critical and actively engaged in realities of the 

present, rather than remaining focussed on the 

past. These ideals were further emphasised 

by Rapport (2006), however, in order for 

the sustainable, innovative, indigenous and 

171


vernacular architecture to teach lessons that 

are relevant to the future, a more problemorientated, 

comparative and integrative stage 

that leads to explanatory theory needs to be 

entered. 

The New Auditoria and Teaching Complex 

at the University of Fort Hare has become 

a precedent from which much may be 

birthed, traditions have allowed for creativity, 

innovation, and change; building traditions 

continue to evolve and transform while new 

ones will arguably keep emerging. Though 

such new “grassroots traditions” may not be as 

established as that of local earth construction, 

it may well represent the future of the 

sustainable and vernacular in industrialized 

urban societies. 

The patterns and principles of good practice 

from both the Greenshops Financial Services 

Centre and the New Auditoria and Teaching 

Complex at the University of Fort Hare were 

identified to sustain the human settlements 

for which they were designed. Building design 

and construction together with the layout of 

the buildings were explicitly account for: water 

cycles that collect and reuse rain water and grey 

water in buildings and adjoining open spaces; 

natural ventilation in contrast to mechanical 

systems of air-conditioning; reusable materials, 

such as wood, clay and brick, should be 

used instead of non-biodegradable synthetic 

products in new building construction and 

renovation projects. Innovative approaches 

of this kind not only help promoting the local 

architectural environment, but also protect the 

cultural heritage of human settlements (where 

applicable). In addition they have become a 

catalyst for a new kind of ecology-orientated 

tourism and economic investment (Lawrence, 

2006, p. 124). 

Participatory approaches should become an 

integral component of the building culture, as 

well as development initiatives which aim to 

promote and establish sustainable supplies of 

locally available building materials (Marchand, 

2006; Lawrence, 2006). Local appreciation 

for traditional Eastern Cape architecture and 

building methods must be bolstered, and 

it’s social, economic and ecological value 

recognized. The post-colonial dichotomy 

between tradition and modernity must be 

challenged along with the popular association 

of tradition with stasis and ‘backwardness’ 

and the conceptual affiliation of modernity 

with concrete, corrugated iron and all things 

Western must be debunked. Changing 

attitudes can only be achieved through 

educational processes that promote scholarly 

investigation, publications, public displays and 

open discussions (Marchand, 2006). 

Pressure (on architects to design 

contemporary, truthful, honest and socially 

acceptable buildings) comes primarily from 

the local market. In an urban setting of South 

Africa, contemporary, modern and “western” 

architecture command a considerably higher 

market price and social acceptance than do 

the traditional rammed earth or compressed 

earth blocks mixtures. As long as the South 

African elites continue to conceive of mud 

architecture as the property of their povertystricken 

rural brethren, the Xhosa-building 

tradition within the Eastern Cape, as well as 

the diversity of other building traditions and 

innovative designs throughout the county, will 

be progressively denigrated and may one day 

cease to exist (Marchand, 2006; Voss, 1992). 

172


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175


The Role of Innovative Technology in Sustainable 


. 

Llewellyn Van Wyk 

Council for Scientific and Industrial Research (CSIR) 

Introduction 

The construction industry, which comprises 

both the building (residential and nonresidential) 

and civil engineering sectors, 

produces physical infrastructure that alters 

our natural and built environment landscape. 

However, environmental concerns including 

climate change are rapidly changing the 

operating environment and, like other big 

industries, construction is expected to develop 

and implement the prerequisite adaptation and 

mitigation strategies. 

Global construction demand is being driven 

by a steadily growing urban population 

(especially in developing countries) giving rise 

to chronic housing shortages, inadequate and 

failing infrastructure, devastation arising from 

natural and human-induced extreme events, 

and signs of emerging environmental distress. 

The global population grew on average by 81 

million people annually between 1975 and 

2009 (UN, 2008): enough to fill a region the 

size of Gauteng every two months. Since cities 

are not under construction at this rate, existing 

urban infrastructure has to absorb an additional 

200,000 people every day. An estimated 

900 million are living in inadequate housing 

and unsafe neighbourhoods. Individuals and 

families struggle to secure the resources they 

need for healthy and prosperous lives and this 

includes shelter (IIED 2009). There are very 

high levels of informal tenure and incremental 

housing development in towns and cities 

in developing countries: urban poverty is a 

significant cause of inadequate shelter. 

The Millennium Development Goals are the 

world’s time-bound and quantified targets 

for addressing extreme poverty in its many 

dimensions – income poverty, hunger, disease, 

lack of adequate shelter, and exclusion – 

while promoting gender equality, education, 

and environmental sustainability. They are 

also basic human rights – the rights of each 

human being to health, education, shelter, 

and security as pledged in the Universal 

Declaration of Human Rights and the UN 

Millennium Declaration (UNDP 2005:1). 

The UN Millennium Goals are interpreted 

as country goals: that is to say they must be 

made operational by the individual sovereign 

state, and the state must be held accountable 

as a co-signatory. 

Regrettably the number of people living in 

slums and slum-like conditions in the world’s 

cities is growing: between 1990 and 2001 the 

slum population grew in every region except 

North Africa (UNDP 2005:19), and in many 

instances, the quality of existing shelters 

are “deteriorating” (UNDP 2005:2). For all 

developing countries the UN recommends that 

the MDG-based frameworks to meet the 2015 

targets be designed around seven “clusters”, 

176


one of which is “Promoting vibrant urban areas, 

by encouraging job creation in internationally 

competitive manufactures and services, 

upgrading slums, and providing alternatives 

to slum formation” (UNDP 2005:64). The UN 

Millennium Project recommends that known 

interventions reaches the scale of investment 

needed to achieve the goals. The need to 

scale up arises from the limited impact of pilot 

projects implemented at local or district levels 

without a measurable impact on national 

indicators. National scale-up however remains 

a major institutional challenge requiring 

an intersectoral approach and a carefully 

designed multiyear planning framework. 

as approximately 2.1 million which translates 

to about 12 million South Africans still in 

need of a better shelter (Sexwale 2010). 

Government has budgeted R16-billion on 

subsidized housing for the 2010/2011 financial 

year. Fifty six per cent of households lived in 

formal dwellings in 2009 (StatsSA 2009:5) with 

13,4 per cent of households living in informal 

dwellings. The number of households living 

in ‘RDP’ or state subsidized dwellings was 

recorded as 12,8 per cent with an almost equal 

percentage of households having at least 

one member of the household on a demand 

database/waiting list for state subsidized 

housing. 

Progress toward achieving the Millennium 

Development Goals has been slow in Sub- 

Saharan Africa: one of the reasons for this 

is the “very slow diffusion of technology from 

abroad” (UNDP 2005:148). An essential priority 

for African economic development therefore is 

to mobilize science and technology targeted 

at Africa’s specific ecological challenges, i.e., 

food, disease, nutrition, construction, and 

energy (UNDP 2005:156). 

South African Context 

Within the South African context, the South 

African population was recorded in the 2009 

Community Survey as 49 383 thousand with 

the total number of households recorded as 13 

812 thousand. The net population growth was 

recorded as 430,000 per annum. 

Government’s aim is to deliver 220,000 

subsidised houses per annum between 

2010 and 2014: the current backlog for state 

subsidized housing as of 2010 was reported 

Of those occupying RDP or state subsidised 

housing 16,1 per cent stated that the walls 

were weak or very weak and 14,9 per cent 

regarded their roofs as weak or very weak. 

More than 30 per cent of households in the 

Western and Eastern Cape reported problems 

with the quality of the roofs and walls (StatsSA 

2009:5). 

With regard to other infrastructures services, 

82,6 per cent of households are connected 

to the mains electricity supply: however, 24,8 

per cent (or one-in-four) of households still 

use wood or paraffin for cooking. While 89,3 

per cent of all households had on- or off site 

access to piped or tap water, only 42,1 per 

cent accessed their main source of drinking 

water from inside their dwelling. With regard to 

sanitation and waste removal, 6,6 per cent of 

households had no access to a toilet facility or 

were using a bucket toilet and 46,9 per cent of 

households do not have their refuse collected 

by the municipality. 

177


Definition of Terms 

Building performance – means the physical 

performance of the building components and 

of the building as a whole in terms of structural 

stability, durability, water penetration, wind 

and condensation resistance, and thermal, 

acoustic and lighting comfort. 

Built environment – shall be defined as that 

environment which comprises urban design, 

land use and the transportation system, and 

the patterns of human activity within this 

physical environment (Handy, Boamet, Ewing 

and Killingsworth, 2002). 

Environmental performance – means 

the degree of physical human comfort or 

discomfort inside a specific space. 

Feasible – potentially achieve-able, 

considering none, or very little, additional cost, 

the limitations of available labour, training that 

may be required, ease of maintenance and 

robustness and local availability of materials 

and components for later alterations and 

additions. 

Finishes – means the surface treatment of 

building components or elements, such as 

paint to walls and ceilings, carpets or tiles to 

floors and the treatment of surfaces, such as 

wood or stone. 

Fittings and fixtures – means attachments 

to the building and its elements which, while 

fittings remain loose and detachable from 

the building, fixtures are mechanically fixed 

to the building and can only be removed by 

mechanical means. 

Foundation – is that part of walls, piers and 

columns in direct contact with, and transmitting 

loads to, the ground (Emmitt & Gorse, 2005). 

Implementable – means buildable and useable 

within the context of low-cost housing. 

Infrastructure – in the context of this paper 

is defined as the basic physical assets of a 

country, community or organisation. These 

assets are usually referred to as fixed assets 

(e.g., buildings, highways, bridges, roads, 

pipelines, water networks, rail tracks, signals, 

power stations, communication systems, etc.) 

and moving assets (e.g., aircraft, train rollingstocks, 

defence equipment, buses, etc.) (Ciria, 

2007). 

Innovative technologies from Science, 

Engineering and Technology – materials 

technologies, manufacturing technologies, 

production technologies and assembly 

technologies that are science based 

or supported, or enhanced by science, 

engineering and technology and that improve 

building performance. 

Less dependant on municipal services – where 

municipalities cannot always meet the service 

needs of new housing areas falling within their 

jurisdiction, individual houses or groups of 

houses can be made less dependant on such 

services by supplying, or partially supplying, 

their own service needs in terms of water, 

sewage, water heating and drainage in a 

sustainable manner. 

Low-cost housing – means houses developed 

by a Local Authority using a government 

subsidy. 

178


National Building Regulations – means 

those regulations promulgated in terms of 

the National Building Regulations Act (Act of 

1970). 

Open Building Approach – in the context of 

the paper means not closed or blocked up, 

allowing entrance or passage or access to all 

irrespective of colour or creed or kin, inclusive 

not exclusive, accessible to the physically 

handicapped, multi-usable, extendable, 

demountable and re-locatable. 

Optimally applied – the gains of applied 

innovative technologies optimised or 

maximised in terms of performance and 

affordability. 

Poverty reduction – considering the urban 

implications of optimal sustainability planning 

rather than that of a single house/stand, small 

industry and local labour opportunity can 

be created, together with subsistence food 

gardening. Group servicing of properties and 

waste disposal, sorting and sale are other 

possibilities, including prefabricated building 

components in a small local site workshop. 

Roof assembly – is the structural support 

system and the fixing and securing mechanism 

for the roof surface material, which in turn is 

to cover the building and protect it from the 

weather. The roof assembly and finishing 

has to withstand the ravages of rain, snow, 

hail and wind, and large diurnal variations 

in temperature while moderating external 

conditions for indoor comfort. 

Scientifically determine – by building, 

monitoring, and testing the houses as compared 

to acceptable standards and best practice. 

A scientific process by which defects can be 

determined and interventions considered and 

tested until healthy and sustainable conditions 

can be achieved. 

Sub-structure – means those portions of the 

building below the finished floor structure, i.e., 

foundations and foundation walls or column 

supports, including any structure below top of 

the ground floor slab. 

Subsidy houses – refers to the standard 

40 square metre subsidy house type plan 

as approved by the NHBRC and built by 

developers and contractors across the country. 

Suburban house – refers to a typical city 

suburban residential area of middle-income 

homes, inland from the coast on the Highveld 

of the country, boasting a mild climate, but with 

large diurnal variations in temperature. 

Super-structure – means those portions of the 

building above the ground floor slab. 

Sustainable living environments – means living 

environments are such that buildings impact 

minimally on the environment and attempt 

to put back as much into the environment as 

taken from it. Furthermore, the environment 

created by the building on the site in its local 

surroundings should form a sustainable entity. 

The building should be durable and easy to 

maintain, preferably by the owner or tenant 

and the building should be able to respond to 

occupant needs. The developments should, at 

least in part, be self sufficient and independent 

of municipal services and allow for a range of 

life situations. 

179


The Technology Challenge 

Technology significantly influences human’s 

ability to adapt to or take control of their 

environment: application of technology may 

have both positive and/or negative results, and 

often causes unintended consequences. 

Technology can be described as the state 

of practical knowledge and tool use at any 

given point in time. Technology encompasses 

arts, crafts, professions, applied sciences, 

and skills. It can also refer to systems 

and methods of organisation including the 

specific fields of study concerning them 

or the products that arise out of them. By 

extension, technology includes a collection 

of techniques: it encompasses therefore the 

current state of humanity’s knowledge of how 

to combine resources to produce desired 

products, undertake problem-solving, fulfil 

needs, develop and implement technical 

methods, develop skills, and how develop new 

processes, tools and raw materials. 

Alternative technology or technologies 

refers to various methods and practices 

used in place of, or as well as, conventional 

methods and practices. In building, alternative 

technologies generally refers to non-traditional 

building practice that does not fall within the 

realm of conventional building practice for that 

time or place or both. Thus whereas adobe 

construction is not alternative for certain rural 

areas, it would be considered alternative if 

used in an urban context. 

Innovation can be described as the useful 

application of new inventions or discoveries 

(McKeown 2008). Innovation may be 

incremental or radical: the application 

must always be substantially different (not 

necessarily new) to be described as innovative. 

Innovative Technology Challenge 

The overarching challenge for innovative 

technology in housing can be stated as follows: 

Guiding research question: 

How, and in what way, can innovative material, 

production and assembly technologies in 

science, engineering and technology (SET) 

be applied to construction manufacturing 

to improve building performance, and 

construction processes, and facilitate 

sustainable human settlements 

The emphasis of the research question is on 

how innovative technologies can interact with 

the system that constitutes the physical built 

environment and how this system interacts, 

in turn, with the natural system. However, the 

solutions developed would be guided by an 

overarching set of principles, namely: 

• Would the technologies developed 

and implemented improve the quality 

of life for the communities in which 

they are implemented through the 

following: 

o Providing a healthy living and 

working environment; and 

o Providing opportunities 

for economic development 

and sustainable livelihoods 

• Would the technologies developed 

and implemented contribute to sound 

ecological management principles 

180


Innovative Technology Objective 

The objective of implementing innovative 

technology is to achieve comfortable 

subsidized housing that perform as good as 

or equal to conventional suburban housing, 

are durable and quick to build, readily 

alterable, easily extendable, less dependent 

on municipal services, and able to facilitate 

sustainable human settlements. 

Constructing an Innovative 

Technology Framework 

An innovative technology framework should be 

predicated on supporting certain key national 

objectives: 

level of the entire development, and not 

only at the level of individual housing units. 

ii) Scaled-up technology – technologies 

employed should be capable of being 

scaled-up across similar subsidized 

housing projects in South Africa. The 

development of innovative technologies 

should therefore have in mind the skills 

levels within the construction industry, the 

needs of the beneficiaries, and the ability 

of the local authority and the community to 

service and maintain those technologies 

over time. The use of innovative products 

should similarly ensure that the technology 

solution be available to the beneficiaries 

over the life cycle of the dwelling. 

i) Treat Development Holistically – any 

technology proposals recommended 

for a housing project should be treated 

holistically, that is to say, that all proposals 

support a common set of national goals and 

objectives. Certain technologies are known 

to offer other benefits, such as job creation. 

Similarly, potentials to be found in the 

specific geographic conditions of the site 

and its surrounding areas, for example local 

soils, may well add-value to the development 

if properly exploited. Local authorities are 

increasingly unable to sustain the expansion 

of urban areas within their jurisdiction: thus, 

if any development proposal is to serve as 

a model development, it must demonstrate 

an ability to operate in a manner that will not 

further undermine the financial sustainability 

of local authorities. One of the ways that it 

can do this is to reduce the dependence 

of the development on municipal services. 

This approach should be explored at the 

iii) Assess the impacts – one of the objectives 

of the Department of Science and 

Technology (DST) is to improve the 

quality and depth of Science, Engineering 

and Technology (SET) statistical 

information to support development and 

investment decision-making as well as 

to drive improvements in the quality of 

SET activities against the backdrop of 

internationally recognized benchmarks. 

To accurately assess the impacts of the 

proposed technologies requires that a 

base technology level be determined in 

conjunction with alternative technologies, 

and that the technology be applied in the 

same manner. In other words, occupancy 

rates and occupancy usage should, as 

far as possible, be comparable. As stated 

above, certain technologies are more 

effective at certain scales than others: thus, 

the overall development must be assessed 

for scale opportunities and all technologies 

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assessed against the range of scales 

offered within the development. 

iv) Reduce extreme poverty – virtually all 

countries face critical decisions about the 

best strategies for managing the massive 

transition anticipated in the coming decades 

of rural populations out of agriculture. 

Challenges that this presents are related 

to determining how urban growth can be 

made more effective for poverty reduction 

and how new forms of urban growth can 

be captured cost effectively. Development 

technologies that support job creation, are 

labour intensive, and create opportunities 

for skills development and training are 

among the strategies that can support 

economic growth opportunities for urban 

communities. 

v) Explore global incentives – climate 

change and global warming have 

stimulated new opportunities in the field of 

alternative energy technologies, especially 

those that reduce carbon emissions. The 

scale of this development may well meet 

the requirements for carbon trading with a 

developed country. 

Innovative Construction Technologies 

This section describes innovative construction 

technologies which could be considered for use 

in the design and construction of sustainable 

human settlements. The technologies are 

arranged into the same descriptive format as 

used for the experimental houses, namely 

sub-structure, super-structure, roof assembly 

and services. 

The information is drawn from the experimental 

work done with the test houses, as well as the 

technology pillars and technology focus areas 

described in the PG Report Establishing an 

advanced construction technology platform for 

South Africa (CSIR 2007). 

In the 2007 report, five technology pillars were 

identified, namely: 

• Conventional technologies 

• Fringe technologies 

• Hybrid technologies 

• Bio-technologies 

• Nano-technologies 

Conventional technologies are those 

technologies generally used by the building 

industry in contemporary building. It is based 

on most of the construction materials delivered 

to site in their raw or semi-raw state (cement, 

stone, sand, bricks), and the preparation and 

installation of the materials and/or products 

(wet and dry) done on the site. and/or products 

(wet and dry) done on the site. 

Fringe technologies are those technologies 

that are reasonably well established, but 

whose application is generally low. Examples 

of fringe technologies include timber-framed 

buildings, lightweight steel buildings, solar 

water heaters and photovoltaic panels. 

Hybrid technologies are those technologies 

that combine two or more technologies into 

the building process. Examples include 

polystyrene blocks with concrete infill or a light 

structural frame combining a panelised internal 

finish with a conventional external finish, such 

as traditional brick cladding. 

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Bio-technologies are those technologies 

relying on bio-materials for their composition. 

Examples of bio-technologies include natural 

fibre composites using natural fibres in concert 

with bio-resins or man-made plastics. 

Nano-technologies are those technologies 

that work with molecules at a nano-scale. 

Typical examples would include a natural 

fibre composite where the fibres have been 

modified at the nano-level. 

Both the bio-and nano-technologies are still too 

far away from implementation for consideration 

in the proposed laboratory building. These 

technologies will, however, need to constitute 

the next generation of construction materials 

if the massive consumption of non-renewable 

materials is to stop. For now the technologies 

under consideration will be drawn from 

conventional, fringe and hybrid. 

• Load-bearing thermal-stud walls for 

external walls; and 

• Light-weight steel-joist floors. 

Light concrete technology 

For the purposes of designing and constructing 

sustainable human settlements, use can be 

made of 50mm continually reinforced concrete 

pavement (CRCP) for ground floor slabs, for 

the roof as a thin concrete composite, while 

permeable concrete pavement can be further 

used for external parking areas. 

Composite technology 

The identified technologies in this focus area 

are not ready for immediate implementation 

and will require ongoing research. However, 

under investigation are natural fibre composites 

roof sheets and sections. 

The CSIR PG Report of March 2007 

(Establishing an Advanced Construction 

Technology Platform in South Africa) also 

identified five material focus areas, namely light 

steel technology, light concrete technology, 

composite technology, Open Building 

Manufacturing Systems and convergence 

technologies. 

Light steel technology 

Among the report’s recommendations, 

the following Research, Technology and 

Development (RTD) activities can be included 

into the design and construction of sustainable 

human settlements: 

Open Building Manufacturing Systems 

Open Building Manufacturing Systems 

(OBMS) is more of a construction process 

than a construction technology; however, 

it requires a specific technology response 

in order to fulfil its objectives. OBMS 

incorporates the application of contemporary 

systematised methods of integrated life cycle 

design, production planning and control, 

mechanised and automated manufacturing 

processes, and lifecycle management and 

maintenance. Included in the OBMS approach 

are the following: Concepts for manufactured 

buildings – included in this area is flexible 

system typology with rich architectural 

expressions, flexible manufacturing and masscustomisation 

options; smart components with 

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integrated services, and smart connections 

enabling rapid, easy, ‘plug and fix’ assembly 

on site. 

Business processes – included in this area is 

performance-driven production and delivery 

processes supported by assessment methods 

and coherent indicators for whole buildings, 

new value-driven business processes 

specifically for open manufactured building 

systems, organisational concepts and models 

to support and reflect new processes, and 

new services covering the whole life cycle of 

buildings. 

Production technology and automation – 

included in this area is off-site manufacturing 

and preassembly: highly flexible, scalable, 

efficient, and automated manufacturing 

methods systems including robotics, mobile 

factories and concepts for portable/mobile 

factories that will bring efficient manufacturing 

and preassembly operations to building 

sites, logistic solutions for efficient and lean 

handling and on-time delivery of modules and 

components and on-site assembly methods 

and systems for rapid, safe and precise 

handling and assembly of modules and 

components. 

Information and communication technology – 

research areas required include distributed, 

web-based, intelligent component catalogues; 

customer-driven, three-dimensional modelbased, 

design and configuration; and modelbased, 

site logistics and assembly planning. 

System integration – areas requiring further 

research include open versus closed systems 

and integration of products, processes, life 

cycle support and information. 

Convergence technologies 

Technological convergence is the modern 

presence of a vast array of different types 

of technology to perform very similar tasks. 

Thus, convergence technologies refers to a 

trend where some technologies having distinct 

functionalities evolve to technologies that 

overlap, i.e., multiple products come together 

to form one product with the advantages of 

each initial component. A classic example 

in construction is fibre reinforced concrete. 

Roco and Bainbridge (2002:10) identify four 

areas for fundamental scientific research that 

will have great significance for technological 

convergence. Two of these have relevance to 

construction, namely: 

Entirely new categories of materials, devices 

and systems for use in manufacturing, 

construction, transportation, medicine, 

emerging technologies and scientific research 

– nanotechnology is clearly pre-eminent in 

this regard, but Information Communication 

Technology (ICT) also stands to play a 

significant role in both research and design 

of the structure and properties of materials. 

Included in this area are adaptive materials 

such as house paints that change colour, 

reflecting heat on hot days Dianne Panel 

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184


Fundamental principles of advanced 

sensory, computational and communications 

systems, especially the integration of diverse 

components into the ubiquitous and global 

network – a particularly challenging set 

of problems confronting computer- and 

information-science engineering is how to 

achieve reliability and security in a ubiquitous 

network that collects and offers diverse 

kinds of information in multiple modalities, 

everywhere and instantly at any moment. In a 

rapidly changing global environment, sensing 

the environment and bio systems will become 

essential in global environmental monitoring 

and remediation (Roco & Bainbridge 2002:17). 

Principles of Sustainable Design 

While the practical application varies among 

disciplines, some common principles include: 

• Low-impact materials: choose nontoxic, 

sustainably-produced or 

recycled materials which require little 

energy to process. 

• Energy efficiency: use manufacturing 

processes and produce products that 

require less energy. 

• Quality and durability: longer-lasting 

and better-functioning products will 

have to be replaced less frequently, 

reducing the impacts of producing 

replacements. 

• Design for reuse and recycling: 

“Products, processes and systems 

should be designed for performance 

in a commercial ‘afterlife’”. 

• Design impact measures for total 

earth footprint and life-cycle 

assessment for any resource use are 

increasingly required and available. 

Many are complex, but some give 

quick and accurate, whole-earth 

estimates of impacts. 

• Sustainable design standards and 

project design guides are also 

increasingly available and are 

vigorously being developed by a 

wide array of private organisations 

and individuals. There is also a large 

body of new methods emerging from 

the rapid development of what has 

become known as ‘sustainability 

science’ promoted by a wide variety 

of educational and governmental 

institutions. 

• Biomimicry: “redesigning industrial 

systems on biological lines ... enabling 

the constant reuse of materials in 

continuous closed cycles...” 

• Service substitution: shifting the mode 

of consumption from personal 

ownership of products to provision of 

services that provide similar functions, 

e.g., from a private automobile to a 

car sharing service. Such a system 

promotes minimal resource use per 

unit of consumption (e.g., per trip 

driven). 

• Renewability: materials should 

come from nearby (local or 

bioregional), sustainably-managed 

renewable sources that can be 

composted (or fed to livestock) when 

their usefulness has been exhausted. 

• Healthy Buildings: sustainable building 

design aims to create buildings that 

are not harmful to their occupants or to 

the larger environment. An important 

emphasis is on indoor environmental 

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quality, especially indoor air quality. 

Case study 

Background 

This case study arises out of a request made 

by the Department of Science and Technology 

(DST) to CSIR in 2007 to evaluate two 

applications for funding made to DST with 

regard to subsidized housing projects. The 

applications were submitted by Overstrand 

Municipality and Buffalo City Municipality for 

additional funding for 711 and 500 houses 

respectively. The CSIR in its Evaluation 

Reports of September 2007 noted that both 

applications offered unique opportunities 

to develop, test and implement innovative 

technologies aimed at delivering sustainable 

human settlements and improving the 

performance of the house. Arising out of the 

Evaluation Reports, the CSIR was contracted 

by DST in January 2008 to “develop, test and 

implement innovative technologies aimed 

at improving the performance of the houses 

and contributing toward sustainable human 

settlements.” 

The houses were intended to be built in 

accordance with a low-income house plan 

as approved by the National Home Builders 

Registration Council (NHBRC). This is a 40 

square meter housing unit comprising two 

bedrooms, a living area including a kitchenette, 

and a bathroom having a shower, a basin 

and a water closet (wc). The house is to be 

constructed of 140mm wide hollow concrete 

blocks on conventional concrete foundations, 

a conventional 75mm concrete floor slab on 

a damp proof course on compacted fill, steel 

window frames, steel door frames with timber 

doors internally and externally, and a roof 

assembly consisting of timber beams with 

a cranked steel roof sheet. Provision was to 

be made for cold water supply only, and for 

a single electrical board comprising a light 

and two plug points. No ceilings, roof or wall 

insulation, plaster, or rain water goods were 

provided. Both projects are located on hilly 

terrain, with slopes ranging from gentle to steep. 

Both projects were to be provided with roads 

(unpaved in the case of Mdantsane), and bulk 

water, storm water and sewerage reticulation. 

The Kleinmond project was to include street 

lighting and tarred roads (chip and spray). Due 

to the findings of the Environmental Impact 

Assessment, the number of houses in the 

Kleinmond project was reduced to 411 units. 

Research methodology 

The research methodology was based on 

two limitations, namely that all technologies 

would need to comply with the requirements 

of the National Building Regulations and 

Standards Act (Act 103 of 1977), and that the 

CSIR would test any innovative technologies 

prior to recommending such technologies for 


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Having regard for the above, the CSIR 

proposed to: 

Development of Innovative 

Technologies 

1) Investigate the identified technology 

requirements for each technology 

and best practice within the context of 

the projects including the applicable 

statutory and policy confines. 

2) Determine the availability and 

suitability of each identified technology and 

best practice requirement having regard for 

the potential impact of each 

technology. 

3) Perform a financial evaluation of each 

identified technology and best practice 

requirement. 

4) Prepare and submit to DST a list 

of recommended technologies and 

best practices. 

5) Upon instruction from DST, prepare 

Technical Specifications for each 

approved technology and best 

practice requirement for inclusion into 

the Contract of Works to be entered 

into by the relevant municipality. 

6) Monitor the implementation of 

the approved technologies and best 

practices for compliance with the 

Technical Specifications. 

7) Monitor the performance of the 

approved technologies and best 

practices for a minimum period of 12 

months. 

8) Evaluate the performance of the 

approved technologies and best 

practices at the completion of the 

monitoring period and compile an 

Evaluation Report for submission to 

DST 

The building technologies and materials 

typically used in subsidized housing offer 

minimum performance standards with regard 

to the ingress and egress of heat and cold 

and moisture. The delivery of 2.2 million 

units however creates sufficient critical mass 

to warrant the investigation of the mass 

production of housing components in a 

manner that also creates jobs and upskilling 

for the local community. Since most of the 

units conform to one house plan, it is possible 

to prefabricate whole components, such as 

the roof, the plumbing installation, the wiring 

installation, and the bathrooms. Accordingly 

the CSIR developed and tested an alternative 

house design using innovative technologies 

to improve the performance of the house 

through the construction of three houses on its 

innovation site on the Pretoria Campus: 

• House One was constructed according 

to the typical low-income house 

building plans as approved by the 

NHBRC; 

• House Two was built according to the 

same layout but with building 

technologies typically used in 

suburban housing; and 

• House Three was built based on 

the findings of the Technology Scan, the 

outcomes of the analysis derived from 

the construction of the first two houses; 

the examination and determination 

of construction best practice; and 

design proposals aimed at improving 

the performance of the house (van 

Wyk, de Villiers, and Kolev 2009). 

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The innovative technology process was aligned 

with the construction processes for easy 

reference, i.e., sub-structure, super-structure, 

roof, finishes, and services (Llewellyn-Davies 

& Petty: 1960; Barry: 1974; and Emmitt & 

Gorse, 2005). 

Observations carried out on the construction 

of House One and House One and House 

Two revealed a number of areas where 

improvements were either required or were 

desirable. The plan layout of the NHBRC house 

is such that any extension of the unit requires 

substantial demolition of the existing structure. 

There are two causes of this: the first is that 

the roof sheets slope down toward the area 

of the site typically available for extension, 

limiting the vertical height of the extension and 

thus its horizontal dimension. To overcome this 

requires the removal of the entire roof sheet 

as the roof consists of one sheet cranked over 

the entire floor plan. The second cause has to 

do with the location of the services (bathroom 

and kitchen) as well as the window of bedroom 

three on the back wall of the house, requiring 

either the loss of a bedroom or the demolition 

of the kitchen and/or the bathroom – the 

most expensive components of the house – 

if horizontal expansion is to occur. Given that 

the subsidised house is meant to be a starter 

house, the inability to expand the house 

economically is a serious deficiency and is 

highly detrimental to the beneficiary. 

Figure 1: Section through house parallel to roof purlins/beams 

House Three (see Figure 1) is thus designed 

so that no services are located on that part of 

the house to be extended, that no windows 

are placed in that part, and the roof slope is 

orientated in a manner that enables the ridge 

to be extended without the removal of any roof 

sheets. In addition, the rear door of the house 

is placed in the wall to be extended so that 

the beneficiaries can construct the addition 

and simply open up the door to access the 

extended house. 

Problems typically arising out of the substructure 

construction relate to inadequate 

depth of excavations, inadequate 

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backfilling, using inappropriately sized rubble 

for the backfilling, and inadequate structural 

strength of the foundation wall. As the CSIR 

has successfully developed, tested and 

implemented a thin concrete technology for 

roads, this technology was adapted for use 

on House 3. The technology for continuously 

reinforced concrete pavement (CRCP) 

comprises the use of a compacted base 

course treated with a diluted bitumen emulsion 

topped with a 193 steel mesh reinforced 50 

mm concrete layer. The advantage of this 

technology is that it removes the need for 

excavations, concrete footings, foundation 

walls, backfilling, compacted sand layer 

and dpc and construction can be done 

using local labour and materials. For mass 

housing contracts it has the added advantage 

of facilitating the creation of a continuous 

platform, similar to road construction, requiring 

only the individual slabs of the houses to be 

excavated and cast. The platform is prepared 

1m wider on each side, resulting in a hard 

stable external surface that also reduces mud 

splashing onto the lower courses when it rains. 

Construction of the super-structure reveals 

typical severe shortcomings with regard to the 

control of the thickness of the mortar joints, 

and the cutting and wastage of a large number 

of blocks. This wastage was a result of a lack 

of co-ordination between the dimensions 

of the structure and the dimensions of the 

block, and the lack of joint thickness control 

during construction. With this in mind, House 

3 was redesigned along modular lines, where 

the dimensions of the house are determined 

by the module of the hollow concrete block. 

Strict joint control and careful planning of the 

room dimensions resulted in a zero-waste 

circumstance requiring no cutting of blocks. 

Construction of the roof assembly typically 

results in severe vibration at the junction 

between the wall and the roof sheet causing 

a horizontal crack in the top masonry course; 

and the thermal performance of the roof 

is extremely poor as a result of a lack of 

roof insulation. For House 3 two courses of 

U-shaped hollow concrete blocks are used 

below wall plate level: these are reinforced 

with a steel reinforcing bar and filled with 

concrete resulting in a continuously reinforced 

ring beam around the full perimeter of the 

house. The wall plates are laid on a screed 

laid to fall from front to back and secured to 

this reinforced beam by hoop iron fixed to the 

reinforcing bar and cast in. The fall enhances 

the discharge of rain water to water harvesting 

points at the corners of the building. The roof 

beams are orientated in a manner that results 

in the roof sheets running longitudinally rather 

than vertically: this enables the roof overhang 

to be structurally supported while making the 

whole roof act as a gutter. Tests on the site 

have confirmed that the overhangs protect 

the wall surface from rain, thereby minimising 

moisture penetration, and the rain water 

discharges at the corners. 

Very little scope exists for improving or 

enhancing the finishes: given the financial 

constraints placed on low cost houses, the 

decision was taken to focus on improving the 

performance of the structure rather than on the 

cosmetic appearance of the house. However, 

as the housing location qualifies for the ‘coastal 

allowance’, an external plaster coat of ‘Perlite’ 

is applied which promises improved thermal 

and water resistance. 

189


Figure 2: 3D view of plumbing manifold 

With regard to services significant attention 

was paid to prefabricating the plumbing 

installation: to this end, a plumbing ‘manifold’ 

was developed that picks up the plumbing 

fittings and could be inserted into prepared 

penetrations through the block (see Figure 2). 

The result is a significantly shortened plumbing 

installation, and critically, since most of the 

installation is fixed internally, the potential for 

damage or vandalism is reduced. 

window frames for four of the seven windows. 

Provision was made for the installation of two 

rain water tanks at the rear of the building, 

and the roof was sloped from front to rear so 

that the entire roof acts as a gutter. Evaluation 

done in rainy conditions demonstrated that 

the rain water was indeed flowing to the rear 

corners as predicted. 

Findings 

With regard to environmental efficiency, the 

measures implemented in House One and 

House Two to improve the water and thermal 

efficiency were also applied. Specific NBR 

requirements for lighting and ventilation to 

the rooms, being 5 per cent of the room area 

for ventilation, and 10 per cent of the room 

area for light, are exceeded by the provision 

of an additional window in bedroom one and 

two additional windows to the kitchen area. 

With regard to water, the requirements for 

water-efficient taps, shower-heads, and dualflush 

cisterns apply. With regard to thermal 

efficiency, an insulated ceiling board is 

installed. To minimise thermal bridging at the 

windows, use was made of precast concrete 

Two modeling studies were undertaken postconstruction 

of the test houses to determine 

whether the application of SET did result in 

measurable performance improvements. 

The first study used computational modeling 

of each of the houses described in Section 4 

and ran analyses to determine their thermal 

properties and to assess how they behaved 

in respect to daily and seasonal changes 

(Osburn 2010). The houses were constructed 

computationally using Energy Plus in 

accordance with the technical specifications 

of each house. A purchased air analysis 

was used to calculate the energy required to 

maintain a comfortable indoor environment. 

190


In addition, simulations were run without a 

purchased air analysis for the hottest and 

coldest day for house 1 and the daily internal 

temperature of house 1 and house 3 were 

compared. 

The second study undertook a Life Cycle 

Analysis (LCA) to assess the environmental 

performance of the default subsidy house 

(House 1) and the CSIR experimental 

house (House 3) to determine whether the 

application of SET delivered any measurable 

environmental performance improvements 

(Naalamkai Ampofo-Anti 2010). The LCA 

software tool, SimaPro 7.1, served as the 

main source of the life cycle inventory (LCI) 

data used in the study. The datasets applied in 

the study included transport services, energy 

services, and building materials with a view 

to assessing climate change impacts, energy 

consumption, material depletion, and water 

consumption. 

With regard to the first, the study found that 

House 3 (the CSIR experimental design) 

required 56,2% less energy than House 1 

(the default subsidy house) to maintain a 

comfortable indoor temperature. 

Table 1: Comparison of Total Load between House 1 and House 3 

House Heating Load (GJ) Cooling Load (GJ) Total Load (GJ) 

House 1 12.29 7.50 19.78 

House 2 8.66 0.00 8.66 

In order to assess other interventions that could 

be made to improve thermal performance it 

was modeled with carpeting, additional roof 

insulation, and wall insulation. The study found 

that the addition of a carpet further reduced 

the energy required by 73,0%; the addition 

of carpeting and 150 mm thick polystyrene 

roof insulation provided a reduction of 76,0%; 

while the addition of carpeting, 150 mm 

thick polystyrene roof insulation and 50 mm 

thick polystyrene wall insulation provided a 

reduction of 85,4%. 

Table 2: Impact of Additional Insulative Materials on House 1 

House Heating Load (GJ) Cooling Load (GJ) Total Load (GJ) 

Carpet 4.77 0.55 5.33 

Plus roof insulation 4.54 0.20 4.74 

Plus wall insulation 2.85 0.02 2.87 

With regard to the second, the study found 

that House 3 requires about 35% less material 

resource input by weight compared to House 1 

largely due to the replacement of conventional 

foundations with the thin concrete floor, the 

replacement of solid concrete blocks with 

hollow concrete block, and the elimination 

of floor screed. The study found that House 

3 contributes less to climate change than 

House 1, the potential difference between the 

two designs being 685kg CO2 equivalents 

excluding operational reductions due to lower 

heating loads. The study further found that 

House 3 contributes less to water depletion 

than House 1. In additions to the two studies, 

simple calculations were done to determine 

191


the net energy and water savings that would 

accrue at a national scale if the technology 

was scaled-up. Assuming that the current 

backlog of 2.1 million units were constructed 

using this technology, the following reductions 

would accrue. 

Table 3: National Resource Reductions 

Innovative technology Per House National 

Energy reduction heating/cooling 11,12 GJ 23 352 000 GJ 

CO 2 reduction from materials 0,685 ton 1 438 500 ton 

Material mass reduction 18,8 ton 39 480 000 ton 

Water from materials 19,73 m3 41 433 000m3 

Water, through rain water harvesting 22m3 46 200 000m3 

Electricity savings SWH 1762.95kWh/annum 3.7 billion kWh/annum 

Electricity saved PVP 36kWh/annum 75.6 million kWh/annum 

CO 2 reduction SWH 2.11 ton/kWh/annum 4.4 million ton/annum 

CO 2 reduction PVP 0.04 ton/kWh/annum 90 300 ton/annum 

Conclusion 

The study finds that there is substantial scope 

for innovative technology to improve the 

performance of low-cost housing in South Africa. 

However, the study also finds that a significant 

impediment to performance improvement in 

low-cost housing is the difficulty that small 

contractors have in assimilating innovative 

technology, especially having regard to the 

poor construction practices demonstrated in 

low-cost housing projects. 

Innovative technology can be applied 

to substantially improve both the Indoor 

Environmental Quality (IEQ) and general 

performance of low-cost housing in South 

Africa, thereby improving the quality of life of 

the beneficiaries. Innovative technology can 

also reduce the amount of material used, 

and the amount of waste produced during 

construction. 

The limitations include limited funding to cover 

the extra costs arising out of the implementation 

of innovative technologies, delays caused 

to the performance measurements as 

a consequence of inclement weather 

experienced during the construction period as 

well as difficulties in establishing a sufficiently 

robust IEQ performance measurement 

protocol. 

Modular co-ordination was affectively applied 

in House 3 demonstrating better quality blockwork 

by the same team that had built House 1. 

The stringency of maintaining the 10mm joint 

to ensure the fitting of doors and windows and 

building by the block rather than a conceptual 

dimension meant no breakage or cutting and 

hence no waste. It also meant no mistakes, 

except where insufficient documentation was 

provided. Where cutting did occur it was such 

that both portions of the block were used. 

Modular co-ordination has to be broad based 

to be effective and the variety of units kept to 

a minimum. All units needed for designed coordination 

must be available to the user. 

192


With too many units to make it workable the 

various manufacturers across the country only 

produced those units found to be more popular 

in their region, once again fuelling the need for 

cutting and breaking on site. 

The altered design of the standard house 

for growth and development over time as 

demonstrated meets a strategic goal for this 

study in that it provides a home base model for 

achieving sustainable human settlements over 

time that was not feasible with the previous 

standard house. As the research progresses 

it has yet to demonstrate how the model can 

go to scale in all senses: concept, technology, 

financing, implementation, monitoring, and 

evaluation which are all aspects of the study. 

The general approach of the research is 

holistic in that all aspects of research are seen 

within a dynamic sustainable urban model 

that supports a broad-based and common 

set of goals and objectives: house design, 

performance, a healthy working and living 

environment and opportunity for economic 

activity and sustainable livelihoods. 

regards the standard subsidy house and the 

suburban version, remain unanswered as to 

performance at this stage. Sub questions 3 

and 4 as regarding good and best practice 

have been dealt with in the research as 

necessary components of the process of the 

research, informing the technology selection 

and development for House 3. Sub-questions 

5, 6, await the availability of all three houses 

for processing time, cost and manpower data 

as well as the testing of performance of all 

three houses and processing the results. This 

latter work should be enabled on completion 

of House 3 by end April 2009. Sub-question 

7 regarding roll-out of housing incorporating 

final recommendations will follow both 

during the remaining research period and on 

completion of final results and consideration 

of their implications in the low-cost housing 

environment. The project remains on target as 

regards its original research focus. 

The technologies being researched are 

simple applications of available materials 

and methods but in such a way as to add 

sustainable value to the property and its users 

at little additional cost. 

The objectives are, in short the following: more 

comfortable buildings that perform better, 

are durable, quick to build, readily alterable, 

easily extendable, and less dependent on 

municipal services. While the necessary 

research framework and the building 

structures are complete or nearing completion 

for testing the research questions 1 and 2, as 

193


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SEXWALE, T., 2010. Address by the Minister of Human Settlements, Tokyo Sexwale MP, on the 

occasion of the Human Settlements Budget Vote, National Assembly, Cape Town. 

STATISTICS SOUTH AFRICA, 2009. General Household Survey 2009, Statistical Release P0318, 

Statistics South Africa, Pretoria. 

UN 2008. World Population Prospects (2008 Revision), Department of Economic and Social Affairs, 

United Nations, New York. 

194

UNDP, 2005. Investing in Development: A Practical Plan to Achieve the Millennium Development 

Goals; UN Millennium Project; Earthscan, London. 


VAN WYK, L., DE VILLIERS, A., AND KOLEV, M., 2009. Advanced Construction Technology Platform: 

Part 1, Developing innovative material, production and assembly technologies, CSIR, 2009. 

Endnote 

The author wishes to express gratitude to Prof. Andre de Villiers, Luke Osburn and Naalamkai 

Ampofo-Anti for their contribution to the case study. 

195


The Story Of The Great Plans Of Mice And Men: 

Selling Sustainable Earth Construction. 

. 

Das Steyn 

Department of Urban and Regional Planning 

University of the Free State, Bloemfontein. 

Abstract 

Gerhard Bosman 

Unit of Earth Construction 

Department of Architecture 

University of the Free State, Bloemfontein. 

The use of earth as a building material and construction technique is very old and well known 

in South Africa and in the rest of the world (Fathy: 1973, Fransen & Cook 1965, Frescura: 

1985). These skills were both African and European in origin and changed repeatedly to suit 

the local situation (Frescura: 1985). In many rural areas of SA people are still building with 

earth, although the skills are slowly disappearing. 

Five senior researchers and a troop of students from the University of the Free State (UFS) 

in South Africa and the Eindhoven University of Technology (TU/e) in the Netherlands, 

collaborated to do research with Dutch funding from SANPAD (South Africa – Netherlands 

Research Programme on Alternatives in Development). 

Specific research objectives were: 

- To make an inventory and document existing upgraded earth building 

knowledge and skills in a number of selected target areas in SA. 

- To create awareness and support for earth construction in communities 

resulting in job creation, capacity building and a high quality built environment 

as part of local economic development. 

The research hypothesis was that proper research into understanding the present attitudes 

towards earth construction together with the necessary dissemination on the modern use of 

earth construction can change perceptions and lead to earth construction being an acceptable 

and sustainable technique to conventional techniques, which can enhance sustainable local 

economic development. 

Five target areas in the Free State and Northern Cape were selected and doing two series of 

surveys were done on preferences of building materials and earth construction in: Botshabelo, 

196


Thaba Nchu, Makgolokeng near Harrismith, Taung and Pampierstad The first, undertaken 

before the promotion of the idea of using sustainable earth construction, was done by means 

of technical workshops to leader groups and builders, while the attitudes of the population at 

large was influenced by a play in a local language on the use of earth bricks to build one’s 

own house. 

In each of these the number of houses were counted and mapped (as far as maps were 

available because for some of the rural areas no recent maps or aerial photos were available). 

According to Stoker (1981:13) the sample size for each of the areas were calculated. In total 

nearly 1 800 households had to be visited. Information pertaining to demographics, income, 

present housing conditions and services available, questions on preferences of building 

materials and earth construction were drawn up to be asked to all households. 

After analysing the present situation an intervention, through the use of technical workshops 

on earth construction as well as a play, were conducted. This comedy, called “Hofeta 

Mokhukhung (‘More than a shack’) – A story of hope”, brought forward the message to the 

public at large that earth could be used to build houses of a good standard. It was written for 

the UFS by a drama student and performed by two black drama students in 14 shows covering 

the study area. It was performed on stage, on the verandas of schools or under a carport in 

either Sesotho or Setswana depending on the community. The attendance was fantastic with 

5 240 people seeing it during the 14 shows. A video in Setswana with English captions was 

made for further distribution. 

The next phase involved a follow-up questionnaire in the study area with a smaller sample 

size to get an idea whether attitudes towards the use of earth construction have improved 

with the interventions (play and workshop). Again the results were analysed and evaluated 

in terms of the influence of the intervention on the attitudes towards earth construction in the 

study areas. Both collaborating parties took part in the evaluation of the data and its influence 

on sustainable local economic development. 

The results were not what we hoped until we realised that the last survey was done just after 

the entire highveldt was subjected to the worst flood in 50 years in April 2006, just before the 

planned follow-up survey. The rain that lasted several days, ending in floods, damaged most 

earth constructed houses while several even collapsed. 

The results of our selling campaign were not what we expected with only a slight improvement 

of attitudes because of the rain. In his poem “to a mouse, on turning her up in her nest with the 

plough” Robert Burns wrote how the best laid plans of mice and men can go awry. This also 

happens in research, where we learned this lesson during a span of four years. 

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This article describes our research and gives the statistical results as well as our future 

expectations on earth construction 

1 Introduction to earth 

construction 

Man has been using earth construction for 

thousands of years in different parts of the 

world. Modern research has been done into 

this construction method as it is a sustainable 

method of building. Presently we know quite 

a lot about the different techniques and how 

to improve them with modern science. What 

we actually do not know is why poor people 

over the world abandon this method and would 

rather live in shacks built from corrugated iron, 

plastic or other available material, but will not 

opt for a well-built earth constructed house. 

Solving this question has been the aim of this 

project. 

The authors of this article have been involved 

in sustainable development and alternative 

construction technology research and 

training of architecture, quantity surveying, 

construction management and urban planning 

students since 1996. During this period earth 

architecture was identified as an ideal vehicle 

for supporting local economic development in 

a sustainable way. 

There are a number of definitions and 

explanations of what earth constructed 

buildings are. Houben (1994:4) explains it as 

follows: It is the use of raw soil and turning 

that into a building element without the use 

of any firing. All earth building elements such 

as bricks are produced by making use of 

the natural and inherent qualities of the soil. 

Renewable energy sources like the wind and 

the sun is used in the production process of 

these elements. No burning of fossil fuels 

takes place as part of the production process 

of these elements (Vale & Vale,1996:28). 

1.1 What are the reasons for 

investigating earth construction 

What are the reasons for studying and 

investigating earth construction 

1) Almost one third of the world’s 

population live in houses made of 

raw earth (Houben,1994:6) and that 

can be increased to around 50% 

when living and work is combined 

(http://www.earth-auroville.com). 

This should be one good reason to 

consider the qualities of earth. 

2) In the 1970’s the world was confronted 

with a huge energy crisis. The high 

cost of oil and fuel forced the world 

to look for alternatives. Here earth 

presented itself as a possibility. The 

production of building elements can 

be done by using renewable sources 

of energy like the sun and wind. It was 

thus cheaper to produce that burnt 

bricks and was ecologically far more 

sensitive. 

3) The material (soil) can be found 

almost everywhere (with the exception 

of a few places on earth like the North 

and South Poles). 

4) The material is cheap. 

5) The production of bricks, or any of the 

other techniques like rammed 

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earth, can provide 

employment in developing countries. 

6) Earth construction can play a role in 

the huge housing shortage of 

developing countries especially 

because it can provide work for the 

small entrepreneur. 

7) Earth has the added advantage that it 

creates thermally comfortable spaces. 

8) The material is different in every part 

of the world and in this way contributes 

to the unique character of each 

place. It becomes an expression 

of a place and its people’s identity 

e.g. differences can be seen in the 

character of the Dogon of Mali and 

houses of the Ndebele in South Africa. 

1.2 What are the different techniques 

used around the world 

used around the world. (Houben, 1994:165) 

Looking at figure 1, these different techniques 

can be seen. They are divided into a number 

of local variations, but the main techniques 

are: 

a) Moulded earth (hand shaped adobe, 

machine shaped adobe, hand moulded 

adobe) 

b) Stacked earth 

c) Shaped (direct shaping) 

d) Compacted (rammed earth, tamped 

blocks, pressed blocks) 

e) Cut (sods, cut blocks) 

f) Filled (fill-in) 

g) Covered (earth shelters) 

h) Dug (dug-out) 

i) Applied (daubed earth) 

j) Formed (cob on posts, straw clay) 

k) Poured (poured earth) 

l) Extruded (extruded e.g. bricks) 

There are 12 different recognised techniques 

Fig 1: Chart showing 

the 12 different earth 

building techniques 

(Houben, 1994:165). 

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These techniques are found around the world. 

The technique used is closely linked to the 

type of soils available in a certain region and 

also related to the traditions of the people of 

these places. 

1.3 Perceptions of construction 

methods 

1. Earth should still be used as a building 

material in the selected areas. 

2. The chosen locations should include a 

mix of urban and rural areas. 

3. They should also include a mix of both 

formal and informal areas. 

4. The areas should be within a fourhour 

drive from Bloemfontein. 

The perceptions of what is non-durable in 

terms of building material are highly subjective, 

“often relating to the culture and conditions of 

the observer rather than the observed” (Oliver, 

1987:221). In some developing countries “the 

problem is largely one of prejudice; hostility 

to the use of ‘bush’ or ‘backward’ methods, 

antipathy to certain materials and techniques, 

and fears of being ‘held back’ from modernizing” 

(Oliver, 1987:232). Pawley (1975:34) found 

that advertising has convinced the poor that 

Western forms of housing are the only solution 

to the housing problem. In Europe the green 

movement influenced architecture to be more 

ecologically friendly, healthy and sustainable 

(Haas & Schmid, 1990; Papaneck, 1995). In a 

study in Scotland, Stevenson (2006:262) found 

that people are more inclined to use natural 

materials in housing. This is an opposite trend 

to what is experienced in the developing world 

where ‘modern materials’ are in demand. 

2 The methodology and the 

use of earth construction in 

the target areas 

A set of criteria was drawn up, in order to 

identify the areas in which to do the research 

and surveys. Locations were selected using 

the following criteria: 

The research project was undertaken in terms 

of the following structured phases: 

• The first phase [starting date Sept. 

2003] comprised a literature study 

on three main themes, namely the 

current perceptions regarding the 

acceptability of earth construction; 

measuring the extent to which earth 

construction is used at present; and 

ways in which earth construction 

could help to sustain local economic 

development. 

• The second phase [starting date 

Oct. 2003] comprised the mobilisation 

and inception phase, during which the 

project was outlined and developed 

by the research team. Five target 

areas were identified: 

- Bothabelo near Bloemfontein 

in the Free State Province 

- Thaba Nchu near 

Bloemfontein in the Free 

State Province 

- Tsiame near Harrismith in the 

Free State Province 

- Magolokeng near Harrismith 

in the Free State Province 

- Taung in the Northern Cape 

Province 

200


- Pampierstad in the Northern Cape Province 

- Bankhara Budolong near Kuruman in the Northern Cape Province 

Figure 2: The map shows the areas that were investigated and surveyed. 

These areas were selected on the basis of 

(a) the presence of earth construction and/ 

or (b) the presence of small brickyards, (c) 

the willingness of communities or groups to 

take part in the project, (d) the different earthbuilding 

techniques utilised in the respective 

areas, and (e) being in an arid area. 

• The third phase [starting date March 

2004] involved the planning of the first 

survey. In each of these areas, the 

houses were counted and mapped. 

The sample size for each of the areas 

was calculated according to Stoker’s 

(1981:13) method: 

√(N ÷20) x 20, where N is the stratum size, thus giving the following number of houses for the areas 

in question: 

- Botshabelo: Block K 147 houses 

Block W 

56 houses 

- Thaba Nchu: Bultfontein Extension 4 220 houses 

informal settlements 

107 houses 

- Harrismith: Tsiame 72 houses 

Magolokeng 

130 houses 

- Taung: Pampierstad formal and informal 313 house 

Taung and Manokwane 

91 houses 

201

- Kuruman: Bankhara Bodulong formal 231 houses 

TOTAL 


Mapoteng 

As the areas were approximately the same in 

respect of their characteristics, it was decided 

that a systematic sample would be used, 

rather than a stratified random sample, as 

maps for some of the areas were not available. 

Areas were randomly selected and then every 

fourth house was interviewed. The fourth 

phase [starting date June 2004] involved the 

collection of data from the different sampling 

areas in terms of the different households . 

• Phase five [starting date August 2004] 

comprised data-analysis and 

interpretation. 

• Phase six [starting date March 

2006] entailed the completion of a 

follow-up questionnaire in the study 

area, involving a smaller sample 

size, to assess whether attitudes 

towards the use of earth construction 

had improved as a result of the 

interventions (play and workshop). 

• The seventh phase [starting date 

September 2006] was the reporting 

phase, in which all qualitative and 

quantitative findings were published 

into a concept report. 

• The eighth and final phase entailed 

the dissemination of the findings 

161 houses 

1 528 houses 

3 Earth as building technology 

in South Africa 

3.1 A background to earth building in 

South Africa 

The South African building tradition can be 

divided into two main streams. The first relates 

to the use of earth by the indigenous inhabitants 

of the country. The second tradition is that of 

the colonial settlers who brought earth-building 

techniques from other parts of the world. 

3.1.1 Indigenous earth-building 

traditions 

There are a great variety of indigenous building 

traditions, since each of the different groups 

had their own method. Similar techniques and 

methods were used by both indigenous people 

and settlers. The available resources usually 

played a decisive role in this regard. As people 

developed a more permanent lifestyle, the 

walls were built of more solid material, such as 

sods or stone. Changes in the plan form came 

about as a result of several factors, including 

new technologies and materials (e.g. the use 

of corrugated iron as a roof material), as well 

as urbanisation. 

Figure 4: A Ndebele house on the left and a Sotho house on the right 

202


Today, many dwellings built in accordance with 

these traditional building methods can still be 

seen in rural areas. The thatched roofs have 

mainly disappeared, and have been replaced 

by corrugated iron sheets. The forms have 

changed, but the building techniques have still 

remained the same, involving the use of wattle 

and daub, cob and sun-dried blocks. 

Figure 5: Earth houses in Thaba Nchu with structural problems (left: no lintels & right: no roof 

overhang) 

In urban areas it is a different application where earth construction is seen as a temporary solution. 

The quality of these buildings is very poor, owing to the disappearance of the original skills and the 

knowledge involved in the use of the relevant techniques and decoration. 

3.1.2 Architecture of the settlers 

The Cape Dutch architecture in South Africa 

displays a wonderful blending of building 

applications and methods known in Europe, 

with the available materials and skills of a new 

country (Greig, 1971:21). Many earth-building 

techniques were used in accordance with the 

available resources. A few examples will be 

discussed. 

• Wattle and daub 

Some of the first houses in the Cape 

displayed no similarity to the wellknown 

Cape Dutch houses, but 

were single-storey dwellings, built 

of wattle and daub according to a 

rectangular plan. The roofs were 

thatched (Walton,1952:5). Examples 

of this tradition of building with earth 

are found all over the country. Elize 

Labuschagne (1998:26) writes that 

in the Transvaal, as it was known 

then, the trekboere (the farmers 

from the Cape who migrated to the 

north) built their houses according to 

different earth-building techniques. 

Materials included wattle and daub 

as used for the houses of the Zulu, 

Tswana, Venda and also the Sotho 

(Labuschagne, 1998:26). The walls 

were then plastered with mud, or mud 

and cow-dung, and whitewashed with 

lime. 

203


• Cob 

Examples of cob architecture can be 

found in Tulbach. After the earthquake 

of 29 September 1969, in which the 

largest portion of the main street 

of Tulbach was almost ruined, Dr 

Gawie Fagan, who conducted the 

restoration, found that the walls of the 

houses were made of cob. 

Figure 6: Historic houses restored in Church Street, Tulbach 

Cob walls were also used in the construction 

of the early Free State houses (Pretorius 

1997:134). When a farm became a more 

permanent residence, stone and sun-dried 

blocks were used for construction (Pretorius 

1997:134). 

• Sods 

The earth sods were cut and left to 

dry. They were then laid in a shallow 

trough, with the grass facing the 

ground. Each layer was placed, using 

mud as an adhesive, or sometimes the 

sods were dry-stacked (Labuschagne 

1998:27). 

South Africa has a rich earth-building 

tradition regarding the different 

techniques, locations and soil types, 

as well as the country’s different 

cultures. What is possibly even more 

important is the fact that, in the various 

earth-building traditions of the people 

of this country, more similarities than 

differences can be observed. 

3.2 Contemporary sustainable earth 

buildings in South Africa 

During recent years different groups started 

experimenting with alternative materials and 

construction methods in South Africa. The 

word “alternative” is applied to materials and 

techniques not part of mainstream building 

practices. Many of the buildings may not 

constitute great architecture but they have 

played a noteworthy role regarding the criteria 

of sustainability. 

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3.2.1 The Cape Province 

The Alliance Française building in Cape Town, 

designed by ACG Architects and Development 

Planners, provides the venue for a language 

school. The process followed promoted 

the use of compressed earth blocks in a 

contemporary building. This project provided 

economic opportunities and skills-training 

for the surrounding community (SA Digest, 

2000:90). 

Figure 7: Exterior (a) and interior (b) views of the Alliance Française building in Cape Town 

3.2.2 The Free State 

The Unit for Earth Construction (UEC) which 

is part of the Department of Architecture at the 

UFS has constructed several experimental 

buildings since 1995. These include a prototype 

house, ablution facilities for sports grounds, 

daycare centers for pre-school children, a 

large multi-purpose hall and a tourist centre. 

Stabilised adobe and compressed earth 

blocks were used for these buildings. Training 

of unskilled small builders and students 

comprised a large part of these projects. 

Figure 8: Three projects by the UEC: (a) and (b) day care centers in Bloemfontein and (c) a tourism 

craft center in Gariep Dam. 

3.2.3 The Northern Cape 

The South African Council for Scientific and 

Industrial Research (CSIR) – the main research 

instituttion in the country – launched a project 

entitled Thube Makote, with the aim of building 

a school in each of the nine provinces. One 

of the requirements was the use of locallyproduced 

materials. In a project entailing 

the construction of a school in Bankhara 

Budolong near Kuruman a part of this project 

was realised with the help of The Unit for Earth 

Construction at the UFS. A group of people 

from the community received training in the 

production of compressed earth blocks and 

the contractor bought the bricks from them. 

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3.2.4 The Eastern Cape 

Another experimental project was conducted 

in Buffalo City near East London by the Van 

Der Leij Foundation with the technical support 

of CRATerre-EAG in France. This housing 

project was carried out with the approval and 

co-operation of the municipality. 

Rich, designed the offices of Hydraform, a 

company which produces brick presses. Bricks 

produced by the presses manufactured by 

the company were used for the construction. 

This is an example of a corporate building that 

illustrates the potential of the use of earth in 

urban areas. 

3.2.7 Namibia 

3.2.5 KwaZulu-Natal 

In KwaZulu-Natal, an Australian group, AusAid, 

worked in the very remote rural areas, using 

earth as a building material. The work of the 

Durban-based architect Rodney Harber is a 

great example of “pushing the boundaries”. He 

uses various types of materials in his projects. 

3.2.6 Gauteng 

The Habitat Research and Development 

Centre in Katatura by the architect Nina Maritz 

addressed different issues regarding the 

different facets of sustainability. The building is 

the result of a range of materials, techniques 

and innovative ecosystems. This centre 

illustrates how the building industry can play 

a role in the protection of our environment, by 

encouraging innovative thinking about what 

we do and how it is done. 

In Gauteng the well-known architect Peter 

Figure 9: The Habitat Research and Development Center in Katatura, Windhoek. 

3.3 Informal housing in South Africa 

In South Africa every town and city is 

surrounded by extensive areas of informal and 

formal housing built by the less fortunate. Vast 

numbers of poor people live in these townships 

surrounding towns and cities. The informal 

houses are made of all sorts of materials that 

people can obtain at little or no cost. These 

include plastic, corrugated iron sheets, wood, 

old bricks and also earth. Many people use the 

soil from the plot on which they are residing, 

to make blocks to build a house. This is one of 

the cheapest ways to construct a house if one 

has little or no income. 

206


Figure 10: The current situation in respect of housing in the Thaba Nchu area. 

However, these houses all display similar 

problems, which include one or more of the 

following: 

• A lack of foundations, with the result 

that houses tend to crack, especially 

in areas where clay is prominent. 

• The floor level on the inside of the 

house is often much lower than the 

ground level on the outside resulting 

in rain water that streams in. 

• The bottom plinth of the buildings 

receives no attention, leading to 

surface water eroding the walls. 

• Openings do not have proper lintels if 

indeed they have any. 

• The absence of window sills and 

gutters leads to a great deal of water 

damage under windows. 

• The corners are problematic with poor 

bonding. 

• The inadequate roof structures and 

anchorage lead to extensive water 

damage and eventually structural 

problems. 

• The use of parapet walls constructed 

in earth results in water penetration, 

cracks and loss of structural strength. 

Figure 11: Main problems with erosion caused by water penetration 

207


This situation in respect of poverty, informal 

settlements and the practice of building with 

whatever materials are available – with little 

“know-how” or skill – has created negative 

perceptions about earth buildings in general in 

this country. This is most unfortunate, since if 

earth buildings are constructed in the correct 

manner and properly maintained, they can last 

for hundreds of years. The Cape Dutch houses 

provide an excellent example in this regard. 

3.4 The Government’s solution 

In South Africa the government has a policy 

to provide every citizen with a free house 

and minimum services (Pithouse, 2009). This 

creates expectations from poor people, doing 

away with and the initiative to do your own 

thing. Furthermore the government is building 

all these houses with burned or cement bricks. 

This is then perceived as a better way of 

building. 

4 The attitudes of people 

found in the first survey 

The following results indicate the main issues 

and problems that can be deduced on the 

basis of the data collected. 

4.1 Categories of three main areas 

The different locations can be categorised 

into three (3) main areas: Area A comprises 

formal urban areas, i.e., townships that were 

planned before settlement took place and may 

or may not have all the services such as water, 

electricity and/or a sewerage system. Area B 

is comprised of informal urban areas, where 

settlement took place before any planning had 

been implemented. Some areas have services 

and some none at all. Area C consists of rural 

areas, where the land belongs to the tribe and 

the local chief is in charge of the distribution 

thereof. These areas, too, may or may not 

have all the relevant services. 

Table 1: Three areas surveyed 

Frequency Percentage Valid 

Cumulative 

Percentage Percentage 

Valid A 1075 60,0 60,0 60,0 

B 329 18,4 18,4 78,4 

C 

386 21,6 21,6 100,0 

Total 1790 100,0 100,0 

4.2 Acceptability of earth as a building 

material 

The acceptability of earth as a building material 

was addressed on the basis of several different 

questions. In response to the question on respondents’ 

opinions regarding the average quality 

of walls made from adobe blocks, in terms of 

a 5-point Likert scale (very good – very poor), 

the most frequent answer was “poor” (47.3%; 

n=844), followed by “very poor” (34.3%; n=612). 

Regarding the question as to whether they felt 

that the use of adobe was problematic, 86.6% 

(n=1546) of respondents’ answered in the affirmative. 

When asked if they considered the use 

of adobe to be a good idea, 84.6% (n=1377) of 

respondents’ answered in the negative. 

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4.3 Reasons for low acceptability 

levels 

The respondents specified the problems which 

were related to the use of adobe (q22). The 

responses were divided into the following 

categories: (a) collapses; (b) cracks; (c) 

maintenance; (d) climate/rain; (e) insects; (f) 

not safe/ not strong and (g) other. More than 

one of these categories could be selected as 

arguments for regarding the use of adobe as 

problematic. 

Table 2: Arguments for low acceptability of adobe blocks 

Argument Frequency [-] Percentage [%] 

Collapses 864 55.9 

Cracks 337 21.8 

Maintenance 224 14.5 

Climate/rain 663 40.9 

Insects 22 1.4 

Not safe/ not strong 189 12.2 

Other 187 12.1 

4.4 General conclusions 

In the determination of the nonparametric 

correlation coefficients, a significant correlation 

was found between the perception relating to 

adobe, and the fact that a person is (or is not) 

currently living in an adobe house. This positive 

weak correlation suggests that respondents 

who live in adobe houses perceive adobe 

houses in a more positive light than those who 

currently do not reside in adobe houses. 

The aim was to promote earth as a building 

material with the potential to create better living 

environments, and to change perceptions 

regarding earth construction. 

It was decided that schools in the areas 

would be used to present these activities. A 

classroom, hall or similar venue was utilised 

for the play and workshops. 

5.1 The workshops 

5 Intervention by the researchers 

This phase of the project involved the 

promotion of earth construction. This was 

achieved by means of: 

a. the presentation of technical 

workshops; and 

b. the performances of a community 

play in Setswana and Sesotho (the 

local languags of these areas). 

Five technical one day workshops (one in each 

area) were presented by The Unit for Earth 

Construction (UEC) based at the UFS. People 

from different backgrounds were selected to 

attend the workshops. Those who attended 

included councillors, small builders and chiefs, 

inter alia. The aim of the workshops was to 

familiarise people with the contemporary uses 

of earth construction. 

209


5.2 The play 

The project team had been looking for a 

medium through which to tell a story and 

convey a message that would be of interest 

to a larger audience. A comedy entitled 

“Hofeta Makhukhung” – “A Story of Hope” 

was developed in this regard. The play, which 

was presented in the format of a community 

theatre production, was performed in Sesotho 

and Setswana. Fourteen performances of 

this comedy were attended by a total of 5260 

adults and school children. A DVD was made 

of the play for future use of this method of 

communication. 

of South Africa. Houses built with earth showed 

problems associated with wet conditions: 

collapsing foundation walls, plastering falling 

off, crack-forming in parapet walls, etc. 

6.1 The results of Survey II 

Only the main findings will be examined as 

the full results were published as a separate 

research report. 

6.1.1 Preferred building material for 

walls and motivations for 

preferences. 

5.3 Measuring the influence of the 

intervention on attitudes 

After the intervention the second survey took 

place in order to measure the effect of the 

intervention. 

6 The results of the second 

survey 

A selection of the questions asked in Survey 

I were included in the questionnaire, with 

four new questions added to establish the 

number of individuals who had attended the 

workshops and play. Survey I was conducted 

during the period before the performance of 

the community play while Survey II (from 3 - 

7 March 2006) was conducted thereafter. The 

areas were homogeneous, as in the case of 

Survey I (conducted in 2004). 

Respondents were asked to indicate which 

building material they preferred for the 

construction of walls. Answers to the question 

relating to the reasons for respondents’ 

preferences in this regard, are grouped into the 

following categories: (a) aesthetics; (b) strong 

and safe; (c) fewer problems; (d) climate; (e) 

quick building process; (f) finances; and (g) 

other. Table x indicates the scores in each 

category, grouped according to respondents’ 

preferences. 

The second survey was done after one of the 

worst floods in 50 year flood in the central area 

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Table 3: Preferences in respect of building material for walls 

Burned bricks N=237 Cement blocks 

N=363 

[-] [%] [-] [%] 

Aesthetics 84 27.4 25 7.0 

Strong & safe 117 48.7 185 49.2 

Fewer problems 11 4.8 39 10.9 

Climate 8 3.5 31 8.7 

Quick building process 1 0.4 2 0.6 

Finances 7 3.0 22 6.2 

Other 28 12.2 62 17.4 

211 

The results of the Mann-Whitney U test 

reveal that in cases where respondents had 

attended the play, their perceptions regarding 

adobe blocks had not been influenced by 

their attendance; and that no differences 

were observed between the perceptions of 

respondents who had attended the play, and 

the perceptions of those who had not attended 

the play, in terms of their opinions regarding 

the quality of adobe blocks. 

6.3. Conclusion of Survey II 

On the basis of the results, it must be concluded 

that no visible effect of the interventions can be 

observed within the population of respondents 

who answered to the questions posed in 

Questionnaire 2. In order to change people’s 

perceptions regarding adobe blocks, other 

measures will need to be taken. 

7 Lessons of the Research 

Project 

The results were not what we hoped for until 

we realised that the last survey was done just 

after a period that the whole highveldt was 

subjected to one of the worst floods in 50 year, 

in March 2006. Once the survey had started it 

could not be stopped and we had to continue. 

We did not realise that in some places the rain 

that lasted several days and ending in floods 

damaged most the earth constructed houses 

while several even collapsed. 

Due to the rain the results of our selling 

campaign were therefore not what we 

expected, with only a slight improvement 

of attitudes. We learned the lesson that 

the best laid plans of mice and men do not 

always have the results that you worked for 

during a span of four years. Houses built in 

earth experienced problems associated with 

wet conditions: collapsing foundation walls, 

plastering falling off, crack-forming in parapet 

walls and in some cases the toppling down of 

houses. Seeing what is happening with earth 

constructed houses around you most probably 

have a heavier influence on your attitudes than 

a workshop or a play (presented sometime 

before the flood). 

7.1 What now 

The study has shown that earth construction 

is being used as a sustainable building 

method in South Africa. This was achieved by 

pointing out relevant research and providing


adequate examples. On the basis of the 

results, it can be concluded that no visible 

effect of the interventions can be observed. 

In order to change people’s perceptions 

regarding adobe blocks, other measures will 

need to be taken. It is also highly probable 

that the Survey II influenced people’s attitudes 

towards earth construction. 

The search for a sustainable approach to 

all spheres of development has, in recent 

times, become an ever more pressing matter. 

Affordable, effective construction methods 

that represent sustainable architecture are 

becoming of great importance in achieving 

this goal. The attempt to change perceptions 

regarding earth construction was not singularly 

effective. According to the research results, the 

respondents ranged from poor to extremely 

poor. It is thus to be expected that basic 

services such as running water, electricity 

and a flushing toilet inside the dwelling could 

constitute acceptable living standards. The 

tolerance for earth houses was low, with the 

most important reasons for dislike of this 

construction method cited as the fact that these 

houses collapse, are not strong and stable and 

cannot withstand climate factors such as rain. 

In correlation with the hypothesis, this may 

indicate that the proper skills for building with 

adobe bricks have fallen by the wayside and 

that proper training and information about this 

construction method might help render the 

negative perception positive. The perception 

that earth houses signify poverty, as well as 

that it can be perceived as old-fashioned, 

should be taken into consideration. 

8 The Future of Earth 

Construction in South Africa 

This article does not aim to provide specific 

directly applicable measures for supporting 

local economic development through 

sustainable construction. At best, it may 

provide some guidelines for developing such 

measures. The article does aim to stress 

the importance and potential of applying 

sustainable construction as a means for local 


8.1 Sustainable construction 

Earth construction was identified as an 

ideal vehicle for supporting local economic 

development in a sustainable way. People who 

are directly or indirectly involved in construction 

have every reason to be concerned about 

sustainable development. 

According to 

estimations, the construction industry is 

responsible for approximately 40 per cent of 

all resource consumption and 40 per cent of 

all waste production (Du Plessis, 2002: iv). 

Furthermore, the construction industry does 

not have a good reputation in terms of social 

responsibility (Du Plessis, 2002: 16). 

8.2 Sustainable settlements 

Truly sustainable construction requires 

that attention should not only be focused 

on buildings, but also on infrastructure and 

services. Furthermore, socio-economic and 

environmental issues need to be considered, 

while community involvement is essential. 

Achieving sustainable settlements is the goal 

in this regard. 

212


In 2001, the CSIR was commissioned by 

the National Housing Department to carry 

out a study on the sustainability of human 

settlements in South Africa (Du Plessis, 

2003: 12-13). One of the chosen points of 

departure for determining the sustainability of 

existing human settlements was the quality 

of life offered to each member of society. The 

institutional determinants for the sustainability 

of settlements were based on the issues of 

financial capacity, institutional integration, 

operational efficiency, technical capacity and 

political will. The environmental indicators 

were centered on the issues of resource use, 

pollution and degradation, as well as protection 

of the environment. 

8.3 Sustainable building technology 

One could simply say that sustainable 

building technology is building technology 

that contributes to the creation of sustainable 

settlements. Though this is true, it does not 

provide many practical indications of ways 

in which to determine the sustainability of 

proposed building materials and construction 

techniques. For that purpose, it will be 

necessary to look more closely at the ways 

in which building materials and construction 

techniques have an impact on the environment, 

and how they affect sustainability in a broader 

sense (e.g. in terms of socio-economic 

factors). In addition, we will need to find ways 

to compare the different factors, in order 

to determine the total effect on sustainable 

development. 

8.4 Earth construction as a 

sustainable alternative 

The SANPAD project provided local 

entrepreneurs with exposure to the production 

of higher-quality blocks which could prove 

to be more acceptable to consumers, and 

which would also be more beneficial from an 

environmental point of view. Earth construction 

can justly be considered a sustainable 

alternative. With earth, good-quality buildings 

can be constructed, which are suited to the 

local climate and which also provide a healthy 

inner climate for the occupants. 

The production of sun-dried bricks uses 

up far less energy than, for instance, the 

production of concrete or bricks fired in a kiln. 

Manufacturing one fired brick consumes 2 

kWh of energy, whereas the manufacture of 

a cement-stabilised earth brick of the same 

size consumes 0, 05 kWh. Producing 1 m³ of 

concrete consumes 300-500 kWh, whereas 

the same volume of raw earth for building 

uses only 1% of this quantity of energy 

(Gerneke, 1992b: 36). Furthermore, sundrying, 

in contrast to baking, does not lead 

to the emission of harmful substances into 

the air (air pollution). Raw materials for the 

creation of earth blocks can be extracted from 

the production site, preventing the negative 

impacts on the environment that are caused 

by the transportation of materials to the site 

by road. Earth construction can also help to 

reduce the environmental impact caused by 

building waste. 

213


8.5 Employment 

8.6 Conclusion 

There is no doubt that unemployment is one 

of the major problems in South Africa. The 

creation of more job opportunities should 

therefore be one of the main priorities, if not 

the top priority, in any attempt to stimulate 

local economic development. 

In many poor communities in South Africa, 

e.g. in Kuruman in the Northern Cape, small 

entrepreneurs have started to produce earth 

blocks in accordance with traditional skills, 

but with material that has been upgraded 

(by adding cement to adobe blocks). These 

groups run small brickyards, and make a 

living from selling the blocks. These existing 

small businesses that have been running 

successfully for a period of time should be 

supported, either financially or through training 

(Diedericks, 2001: 50). This provides another 

argument in favour of supporting local brickmakers 

as a potential source of further local 


Considering the rich tradition of building with 

earth (Gerneke, 1992a/b/c), and taking into 

account such factors as the local climate, 

the use of local raw materials, the minimal 

environmental impact, the labor-intensity, and 

the lower costs involved in earth construction, 

building with earth can be regarded as an 

appropriate technology for housing in South 

Africa. 

The South African Government (on all three 

levels) and academic institutions have an 

important role to play in this regard. The 

diversity and ability of earth construction to 

adapt to contemporary architecture could be 

utilised much more effectively in government 

and semi government initiatives. If the 

commitment towards sustainable development 

is to be taken seriously at all, the importance 

of earth construction must not be overlooked. 

Building high profile buildings all over the 

country using earth will be a means to show 

that the negative attitudes on earth architecture 

can be changed. 

The results of this research did not give the 

expected outcomes. However Edison, when 

asked how many failures he had in experiments 

during the invention of the electric bulb, replied 

that it was not failures but data showing which 

avenues in his research did not work. 

Earth construction traditionally is for dry areas. 

Modern technology in earth construction 

must still convince people that this type 

of construction can also be used in wetter 

conditions. However this convincing will take 

time and should not be conducted during or 

after floods. More research and intervention in 

people’s attitudes towards earth construction 

should be done in this country in order to 

reduce our ecological footprint. 

214


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216

Abstract 


National Sustainable Settlements Facility 

– opportunities to finance domestic energy 

service improvements through climate change 

mechanisms and Energy Efficiency and Demand 

Side Management (EEDSM) instruments 

. 

Steve Thorne 

SouthSouthNorth Projects (Africa) 

The suppressed demand for energy services of the poor manifests in lack of access to modern 

energy infrastructures and unfulfilled energy service requirements. Typically emissions and 

electricity demand savings from the poor are small and un-interesting from a GHG mitigation 

perspective. However, if development occurs, the poor will increase their consumption of 

goods and services, that is include their use include modern fossil fuelled energy services, 

subsequently increasing their Greenhouse Gas (GHG) emissions. To predict future emissions, 

through primary behavioural research and subsequent modelling, will make GHG mitigation 

projects amongst the poor more interesting now. The application of suppressed demand in 

the development of baselines (for both GHGs and EEDSM) in poor parts of the world, and 

notably Africa, could leverage infrastructural development that involves a once off leap-frog 

to cleaner energy technologies at the time of first access, diminishing the need for unlearning 

dirty habits later. 

The paper presents the case of Kuyasa - a low cost housing area in South Africa where the 

above rationale has been applied to a project that is the first CDM project to be registered 

in Africa. The same rationale is currently being applied to the development of a Clean 

Development Mechanism programme (National Sustainable Settlements Facility) under the 

Development Bank of Southern Africa in new and existing settlements projects throughout 

South Africa. 

217



In industrialised countries sustainable 

development emphasizes putting a limit to 

the environmental impact of production and 

consumption, thus focusing on environmental 

sustainability. However, in developing 

countries sustainable development prioritises 

economic and social development i.e. 

increasing access to affordable goods and 

services, thus promoting equity. Hence the 

challenge for developing countries is to 

address the environmental sustainability 

aspect while achieving equity. Industrialised 

countries can greatly assist in achieving the 

sustainable development agenda through 

implementing mechanisms under the United 

Nations Framework Convention on Climate 

Change (UNFCCC), and notably by using 

the CDM as a vehicle to address poverty 

alleviation while achieving future reductions in 

Greenhouse Gas emissions. This endeavour 

challenges the history of the application of the 

CDM, and will need some dedicated tools to 

achieve it. 

Similarly, the newly launched Energy Efficiency 

and Demand side Management instrument 

being considered by the National Energy 

Regulator of South Africa could also miss the 

poor unless equity priorities are enlisted. 

sustaining people’s livelihoods. At the most 

basic level, energy, in combination with 

appliances, contributes to the provision of 

space heating, lighting, and cooking. As 

livelihood patterns improve, modern energy in 

the form of electricity, is increasingly essential 

to allow for household amenities such as 

television, internet connection and other 

appliances. It has long been established that 

low income households, especially in rural 

areas of developing countries, use biomass 

as their main energy source and that in many 

areas there is an increasing gap between what 

is needed and the supply of energy services. 

Access to affordable energy services and 

a shortfall in energy consumption (energy 

poverty) among low income households has 

thus been found to be closely related (Rovere 

et al., 2003) as levels of consumption are 

required to ensure economic sustainability 

in maintaining existing and extending new 

energy infrastructure. 

Figure 1 provides per capita residential energy 

use, per capita energy consumption levels for 

different economies, and energy consumption 

per unit of GDP. (While the aggregated ratios 

tell a story, they mask the variances between 

wealthy and poor within countries.) 

Both instruments could play a role in delivering 

financial benefits to monitored and verified 

emissions, energy and power reductions 

that could leverage thermal performance 

improvements in subsidised settlements. 

Adequate and affordable energy is one of 

the most essential inputs for building and 

218

Figure 1 Per Capita energy use and consumption 


This case study considers how an instrument 

such as the CDM can be used to close the 

gap between the two differing priorities of 

greenhouse gas mitigation and poverty 

reduction. The case study demonstrates how 

to identify and account for suppressed demand 

for energy services. If suppressed demand 

can be measured and credited it can empower 

the CDM to contribute to convergence on a 

common notion of sustainable development 

while delivering real and measurable emissions 

reductions. In effect, crediting future avoided 

emissions now provides a means to achieve 

access to cleaner energy technologies at the 

time of first access, rather than the perversity 

of first qualifying to get clean once emissions 

are high. To do this however, may be construed 

as undermining the integrity of the CDM in 

achieving real and measurable emissions 

reductions. 

The registration of a CDM project in Kuyasa 

South Africa in 2005 has presented a 

precedent for using a baseline scenario that 

elevates the level of energy service from the 

current and dismal status quo, to a scenario 

which is increasingly unconstrained by poverty 

and/or lack of infrastructure while avoiding 

conventional fossil fuel lock-ins. In addition to 

Global interests in Greenhouse Gas emissions 

reductions, National interests in improving 

Energy Efficiency and/or Demand Side 

Management may provide further incentives 

to improve settlements. The National 

Sustainable Settlements Facility (NSSF) under 

the Development Bank of Southern Africa is 

looking to blend these interests in providing 

a one-stop facility that efficiently realises 

the financial interests and delivers them to 

beneficiaries. 

219


Both instruments require recognition of the 

concept of suppressed demand for energy 

services amongst communities whose 

livelihoods are improving for realistic financial 

support to be realised. The paper deals with 

this issue from here on. 

2. Energy poverty and 

households 

At a household level, an indication of “energy 

poverty” can be limited to access to energy 

services, including both to fuels and appliances. 

These limitations can be attributed mainly to 

low disposable income but can also be as a 

result of limited distribution infrastructure. As 

a result, “energy poverty” continues to affect 

energy choices and consumption patterns of 

poor households. Thus, if development and 

poverty alleviation strategies succeed, the 

economic status of energy poor households 

and their ability to consume goods and 

services will change. Consequently, this group 

will increase its demand for energy services 

and acquire a similar variety of energy fuels, 

appliances and consumption patterns as 

that seen amongst their “energy well-off” 

counterparts who are characterised by high 

consumption of energy and high emissions. 

Therefore, unless the emissions intensity of 

their energy services is reduced as poverty is 

reduced, the emissions problem will continue 

to exist as will the demand for energy, including 

electricity. 

3. Suppressed Demand for 

energy services 

As the status of poor energy households is 

expected to change for the better as livelihoods 

increase or energy infrastructure expands, it is 

assumed that there currently exists among this 

household group a “suppressed demand” for 

energy services. In many developing countries 

there also exists a suppressed demand for 

energy services outside of the household 

sector. For example, in rural areas without 

grid or other constant supplies of electricity, an 

argument could be made that a suppressed 

demand exists for the services exclusively 

powered by electricity, where these services 

go unmet and therefore suppressed (Rovere 

et al., 2005). 

Within the severe constraints on both 

disposable income and access to fuels and 

appliances, poor households have tended 

to manage their use of energy services 

supplied by commercial energy sources to the 

maximum possible extent (SJ Thorne, 1995). 

Only firewood and other non-commercial fuels 

directly collected in the field show a different 

consumption pattern, in regions where they are 

relatively abundant. As the poor do not have 

capital to invest in high-efficiency appliances, 

the efficiency of their energy use has tended 

to be comparatively low, contrasting with their 

behavioural approach, which has tended to 

enhance energy and financial conservation. 

The key challenge now is to define and 

determine the level of basic energy services 

(for lighting, heating, cooking, media and food 

storage) and the level of “consumption” of these 

energy services, which will “satisfy” energy 

service requirements and could be viewed 

as a future energy service scenario where 

energy services are no longer suppressed. 

For example, if one would define the level of 

energy services consumed by a US citizen or 

220


the super-rich in India, the suppressed 

demand concept would immediately become 

in-operational. A lower-bound approach would 

be to define a minimum level of consumption of 

energy services for “decent” human livelihood. 

The German Advisory Council on Global 

Environmental Change (2003) set an average 

level at 500 kWh per annum per household. A 

fine tuning of this average level would have to 

consider the special circumstances of regional 

contexts, and in general for adequate provision 

of an energy service such as different warming 

or cooling needs due to different climate 

conditions. 

With this case study, it is relevant for us to 

propose the minimum level of consumption 

of energy services necessary to achieve the 

average Human Development Index of the 

industrialised countries, while taking the climatic 

situation of the host country into account. With 

this, it should be realised that it will be rather 

difficult to determine both the minimum and 

maximum level of consumption of energy 

services without taking into consideration 

the issue of “suppressed demand” which 

persists in developing countries, especially at 

household level. 

The approach we have taken is to establish the 

energy service level that is required to satisfy 

individual energy services. The case study 

below considers space heating in low cost 

housing in Kuyasa making use of empirical 

data gathered during a baseline study. 

4. Incorporation of suppressed 

demand in baseline 

development: The Kuyasa 

Case Study 

Kuyasa is a low income area where low cost 

housing has been provided under a once-off 

South African national housing subsidy. The City 

of Cape Town, South Africa, selected this area 

as a candidate for improvements employing 

the CDM and other financial instruments such 

as Demand Side Management (DSM). 

A baseline study facilitated by SouthSouthNorth 

Projects Africa (SSNA) in low cost housing 

in South Africa, was used to showcase the 

occurrence of suppressed demand. SSNA set 

out to establish whether suppressed demand 

exists and how it could be incorporated into 

the design of emissions baselines in terms 

of the provisions of paragraph. 46 of the 

Modalities & Procedures for CDM projects of 

Article 12, which reads: “The baseline may 

include a scenario where future anthropogenic 

emissions by sources are projected to rise 

above current levels, due to the specific 

circumstances of the host Party.” 

An attempt was made to develop a baseline 

that anticipates the future (unsuppressed) 

energy consumption and hence emissions from 

the outset in terms of an increased demand 

for conventional energy services. Such a 

methodology requires a balance between a 

conservative baseline development and a 

defensible interpretation of the aforementioned 

paragraph 46. An additional challenge has 

been to develop a predictive baseline model 

that is also transparent. 

221


4.1 Background of the case study 

A study was undertaken in Kuyasa to assist 

in establishing the baselines for three 

technological interventions in low cost housing 

units and; to define and determine anticipated 

consumption levels of energy services by low 

income households in Kuyasa. 

Type II. E. Energy efficiency and fuel 

switching measures for buildings, paragraph 

66 of Appendix B of Simplified baseline and 

monitoring methodologies for selected smallscale 

CDM project activity, states: “The energy 

baseline consists of the energy use of the 

existing equipment that is replaced in the case 

of retrofit measures ….” 

This baseline methodology does not expressly 

take into account suppressed demand and we 

will discuss how it can be interpreted to do so. 

These households were be retrofitted with 

renewable and energy efficient technologies 

which include energy efficient lighting, 

solar water heating and improved thermal 

performance as part of a small-scale CDM 

project activity. These interventions all fit within 

the small-scale project activity size limit under 

the typologies of the registered small-scale 

methodologies, AMSIC, AMSIIC and AMSIIE. 

The approach is readily being translated 

into regular size bottom-up methodologies, 

currently under development, in solar 

water heating and thermal performance 

improvements, applicable to programmes of 

activities. 

Baseline methodologies for these project 

activities have been described in the UNFCCC 

Kyoto Protocol simplified modalities and 

procedures for small-scale CDM project 

activities, Paragraph 27, generically as 

“The baseline for a CDM project activity is 

the scenario that reasonably represents 

the anthropogenic emissions by sources of 

greenhouse gases that would occur in the 

absence of the proposed project activity”. 

4.2 Thermal Performance Baseline 

Development 

In this case study, a sample of 10 households 

chosen by the community has been the basis 

for the baseline study and to create early 

profiling of the technologies. The sample 

was selected based on the preferences of 

the local community and the\need for the 

energy; and not selected with reference to 

energy service stratifications therefore it is 

not necessarily statistically relevant to all 

households in Kuyasa for any specific energy 

services, in fact if anything, the sample was 

selected on the basis of need. The sample 

comprises households populated by elderly 

people, those with disabilities and households 

operating part-time crèches. These low cost 

housing units are 30m2 in size and have 

neither ceilings nor fixed water heaters. 

Lighting is provided by incandescent bulbs. 

Energy service benchmarks such as thermal 

comfort and warm water on demand are not 

met. During the project pilot, outside lighting 

has been added, on request of the household, 

extending the household security through 

lighting service. 

Currently, a primary research-based study is 

being conducted on the thermal performance 

component, and this is described below. A 

parallel approach to water heating using solar 

1 

The requirement of a statistically relevant sample was not required as the baseline study was principally required to provide information that referred to the thermal 

performance of the structures, which were identical in size, shape and materials. The characteristics of each house (e.g. orientation, heating loads, occupancy etc.) 

were gathered and inserted into the predictive tool for calibration purposes. 

222


water heaters considered how to deal with the 

shift from batch heating of water in pots to a 

situation of hot water on demand. 

The insulated ceiling baseline study has been 

divided into two, i.e. technical and behavioural/ 

anthropological components. The technical 

monitoring involved data loggers recording 

all electricity flows (for a range of heating 

circuits), indoor and outdoor temperatures, 

hot and cold water flows and temperatures 

(for solar water heater installations) and solar 

radiation. Prior evaluation of housing materials 

and orientation were undertaken at the outset. 

Other fuels and appliances were recorded by 

the behaviour/anthropology research team, 

who used questionnaires, workshops, and 

direct interviews with household members 

(undertaken by energy anthropologists) during 

data downloading to identify reasons for 

temperature, electricity and water consumption 

“spikes”). As a background to these technical 

and behavioural studies, the economic trends 

in the living standard measure (LSM) that most 

closely approximates the Kuyasa inhabitants 

has been undertaken. It has concluded that 

this segment of the South African population 

is increasing the consumption of goods and 

services, including the future installation of 

electric hot-water storage geysers. 

based on non-sleeping occupancy (which is 

conservative) and existing non-space heating 

loads and to understand when thermal comfort 

for the residents is reached temperaturewise 

by observing space heating behaviour. 

The outcome of this investigation concluded, 

based on empirical data, that 21oC was the 

point where thermal comfort was reached 

and as predicted by bioclimatic charts. As a 

conservative assumption, the heating season 

has been limited to the coldest 4 months of the 

year, May, June, July August (Appendix 1). 

The first part of the energy use monitoring 

has been to set up a thermal performance 

theoretical model to estimate the energy 

performance of houses with ceiling and ceiling 

insulation (project activity) and the energy 

performance of houses without ceilings and 

ceiling insulation (baseline). The predictive 

tool has employed empirical data to establish 

seasonal and diurnal heating requirement 

223


Figure 2 Algorithm 1: Model Development 

Select 5 houses 

for validation 

process 

Validate models on the 

basis of predicted indoor 

ambient temperatures 

Section 3.3: 

• Prepare spreadsheet summary of 

predicted (modeled) and measured 

indoor ambient temperatures 

• Calculate the average difference 

between the two data sets, on an 

hourly basis 

• Select the lowest of the calculated 

median values as the upper bound 

Model 

accurate and 

conservative 

 

• If temperature predictions within 

10% of measured, continue 

• If not, refine model input data and 

perform new iteration 

• Repeat process until model results 

within 10% range 

Perform energy 

calculations 

iterations, with 

and without a 

ceiling 

Section 3.1 and 3.2: 

Identify the 

• diurnal space heating periods 

• morning and evening indoor temperature 

levels (thermal comfort levels 21 ° C) 

Prepare summary of results 

indicating space heating 

energy saved – for both 

morning and evening 

heating periods 

Extrapolate results for all 

houses 

224

Figure 3 Model validation and results processing 


Select 5 houses 

for validation 

process 

Validate models on the 

basis of predicted indoor 

ambient temperatures 

Section 3.3: 

• Prepare spreadsheet summary of 

predicted (modeled) and measured 

indoor ambient temperatures 

• Calculate the average difference 

between the two data sets, on an 

hourly basis 

• Select the lowest of the calculated 

median values as the upper bound 

Model 

accurate and 

conservative 

 

• If temperature predictions within 

10% of measured, continue 

• If not, refine model input data and 

perform new iteration 

• Repeat process until model results 

within 10% range 

Perform energy 

calculations 

iterations, with 

and without a 

ceiling 

Section 3.1 and 3.2: 

Identify the 

• diurnal space heating periods 

• morning and evening indoor temperature 

levels (thermal comfort levels 21 ° C) 

Prepare summary of results 

indicating space heating 

energy saved – for both 

morning and evening 

heating periods 

Extrapolate results for all 

houses 

225


4.3 Results from the thermal 

performance theoretical model 

Figure 4 shows the project activity represented 

by an average house with a ceiling and ceiling 

insulation on the one hand, and the baseline 

scenario of an average house without a 

ceiling and ceiling insulation on the other, both 

heated to reach 21°C during the non-sleeping 

occupancy periods. The difference represents 

the energy saving in kilowatthours, and the 

resulting emissions depend on the fuel and 

appliance used (in the case of Kuyasa the 

South African grid electricity was used as the 

space heating fuel as this is likely to be the fuel 

under the unsuppressed baseline scenario). 

Actual energy use of the sample of houses 

amounted to a far lower level of energy for 

space heating than the modelled suppressed 

demand baseline. 

Figure 4 Output of calibrated model as applied in Kuyasa 

226


The energy required to provide thermal 

comfort in the case of Kuyasa type houses for 

4 months of the year between the times of, for 

illustration, morning and afternoon periods of 

occupancy, is predicted using the calibrated 

(and validated) model. For the purposes of 

illustration, the level of thermal comfort is 

reached for morning and evening periods for 4 

winter months. The amount of energy required 

to heat the house without the ceiling is A and 

AI. The current level of energy utilized is C and 

CI. The energy required to warm the house 

with the ceiling and ceiling insulation is B and 

BI. The current suppressed demand for space 

heating energy services can be expressed as 

follows: 

Suppressed demand = (A-C)–(B-C) * 

morning period + (AI-CI)-(BI-CI) * evening 

period 

The resulting values are shown in Figure 5. 

Figure 5 Graphical representation of suppressed demand in thermal performance of housing 

Thermal power required to reach 21 o C 

A 

B 

C 

Thermal energy 

required in 

houses without 

ceilings 

Suppressed 

demand for 

thermal energy 

Thermal energy 

required with 

ceilings and 

ceiling 

insulation 

Current level of 

heating 

Outdoor ambient 

winter’s day 

temperature profile 

A I 

B I 

C I 

morning 

evening 

Therefore, the suppressed demand baseline 

for a CDM project activity that installs ceilings 

and ceiling insulation, is the predicted 

emissions scenario in houses that achieve an 

indoor temperature of 21°C in the absence 

of ceilings, even if the current actual indoor 

temperature and thus actual energy use 

is lower. The degree to which the heating 

service is suppressed is expressed as the 

difference between actual energy use (status 

quo or suppressed demand) and energy use 

necessary to reach the 21°C (satisfied level of 

service or unsuppressed demand). A crucial 

assumption is that with increasing income 

before the installation of ceilings would be 

possible, an increasing amount of energy 

would be consumed as the households’ 

income progresses, in order to increase 

thermal comfort. 

227


4.4 Monitoring of projects that include 

elements of suppressed demand 

According to the small-scale methodology 

IIE, the following monitoring is required: “In 

the case of retrofit measures, monitoring shall 

consist of: 

(a) Documenting the specifications of the 

equipment replaced; and 

(b) Calculating the energy savings due to 

the measures installed.” 

predictive tool has set the energy required 

for heating both the baseline and project 

to the established level of thermal comfort. 

Monitoring is thus simplified to monitoring 

whether the technology within a statistically 

relevant sample is in place. 

The actual specific variables are shown on 

Table 1. 

For ceilings and ceiling insulation, there is no 

equipment to be replaced, but the thermal 

characteristics of a house without an insulated 

ceiling has been modeled based on empirical 

data from the sample of houses in the target 

community. 

To calculate the project activity emissions, 

actual energy use for space heating will be 

monitored as will the indoor temperature in 

establishing a calibrated predictive tool which 

is used to calculate the amount of energy it 

would have taken for equivalent heating in 

a home without an insulated ceiling. With 

different housing types, materials or sizes 

be included in the project boundary in which 

insulated ceilings are to be fitted, a sample 

of those houses should be used to calibrate 

the predictive tool afresh and the prediction 

provided on a square metre of heated area. 

If the newly calibrated tool reflects higher 

emissions reductions than the original 30m2 

houses, the project participant may reserve the 

right to utilize the original smaller 10 household 

sample to determine emissions reductions on 

the basis of conservatism. Once the inputs 

to the tool have been verified, the calibrated 

228


ID number Data type Recording 

frequency 

Proportion of 

data to be monitored 

3a. Insulated 

ceilings 

Type of insulated 

ceilings installed in 

Kuyasa from sales 

records 

Quarterly 30 houses per 

quarter (rotating) 

3b. Insulated 

ceilings 

4. Penetration 

of technologies 

outside of 

the project 

boundary in 

Khayelitsha 

Number ceilings 

still in place by 

inspecting whether 

the roofs are still in 

place. 

Number of 

insulated ceilings 

Quarterly 30 houses per 

quarter (rotating). 

After 7 years 100 houses 

random sample 

(rotating) 

Table 1 Monitoring requirements for insulated ceilings 

How will 

the data be 

archived 

(electronic/ 

paper) 

For how long 

is archived 

data to be 

kept 

Electronically Duration of 

the crediting 

period 

electronically Duration of 

the crediting 

period 

Electronically Duration of 

the crediting 

period 

Comment 

Data will be used to document 

specifications of systems installed, 

and energy use for emissions 

baseline and to calibrate the thermal 

performance models 

Monitoring will be limited to checking 

that roof is in place. 

The proportion of insulated ceilings 

in place will be used to correct the 

emissions reductions. 

Data used to inform the baseline 

update 

229


5. Developments in the 

application of suppressed 

demand in future 

applications 

It may be possible to develop a methodology 

to apply suppressed demand principle to 

any one of a range of services. This is being 

attempted in the development of large-scale 

methodologies for thermal performance 

and solar water heating. What has been 

understood from this experience of having a 

CDM project validated with these elements 

is that the suppressed demand concept can 

effectively be applied to energy efficiency as 

well as energy service supply using cleaner 

energy technologies. 

The principle application of the concept to a 

situation is not only suppressed as a result 

of poverty but also/rather by lack of access 

to “modern” energy service. The poverty 

and lack of access nexus by and large will 

fit squarely with the same areas that are the 

focus of the Millennium Development Goals. 

Using a suppressed demand entry point to 

these remote areas’ development, could 

leverage the much needed underlying finance 

for further development. With the advent of 

some details on the CDM Programme Activity 

(UNFCCC 2006), the transaction costs and 

the ease of registering activities under a 

Registered Programme of Activities (PoA) that 

allows for the registration of multiple project 

activities under one design document (through 

increasing net revenue from the activity) will 

contribute to facilitating access to underlying 

project finances even in public sector 

projects. In private sector activities such as 

agricultural processing, extractive industries, 

small industrial/commercials concerns etc. 

the income from the generation of credits 

should by definition result in the removal of 

barriers to investment in the project activity’s 


6. Conclusions 

Suppressed or growing demand is an 

important issue, especially in the context of 

small-scale CDM projects and Demand Side 

Management involving end users of energy 

services. Bringing down the emissions and 

demand trajectories of developing countries 

will only be possible, if the expected and 

hoped for increase in economic activity uses 

high-efficiency, lower emissions technologies 

and builds on current energy management 

behaviour. Even if emissions do not decrease 

with respect to the current level, they do 

decrease with respect to the level that would 

have been reached had a less-efficient 

technology been used. The current rules CDM 

and EEDSM do not explicitly define suppressed 

demand, and for this concept to be employed 

this is essential. We show that taking account 

of suppressed demand is a powerful way of 

leveraging green house mitigation interest in 

avoiding future emissions from locations and 

increasing demand for electricity, which have 

increasing livelihoods and are likely to satisfy 

basic energy service needs in the future. A 

key challenge for research is now to get a 

consensus on the level of suppressed demand 

and the acceptable (real and measurable) 

methods to predict this. 

To get projects expressly utilising the climate 

mitigation mechanisms and EEDSM to the 

most marginalised, the energy poor and the 

230


entrepreneurs in least developed areas and 

countries, will drive the regional equity principle 

in the UNFCCC Nairobi Framework and draw 

these people and their livelihood activities into 

international greenhouse gas mitigation action 

as well as improving the quality of services. A 

crucial problem faced by UNFCCC is one of 

broadening the participation in the addressing 

the global problem of climate change. A 

secondary benefit of application of suppressed 

demand baselines – attaching value to the 

future ability to emit - could result in active 

involvement of Least Developed Countries 

and the more marginalised sectors of society 

in projects that increase energy service 

while reducing the emissions intensities 

simultaneously. To not credit suppressed 

demand will result in perversity – the exclusion 

of the energy poor until they become dirty 

enough to qualify to become clean. 

This case study illustrates that the acceptance 

of suppressed demand baselines can be seen 

as the translation of a “basic needs approach” 

to CDM project design methodologies and 

similar methods for EEDSM. The crucial 

issue is the timing and the way of meeting 

basic needs of low-income populations 

in developing countries as those needs 

increasingly are met. The basic assumption 

here is that CDM and EEDSM contributions 

to sustainable development are related to 

accelerating the meeting of basic needs 

avoiding the use of conventional high-carbon 

emitting technologies and low efficiency fuel 

and appliance combinations. This approach 

is consistent with other UN initiatives, such 

as the Millennium Development Goals and 

with mitigation approaches that value the 

sustainable development outcomes at least 

as much as the mitigation of Greenhouse 

Gasses. 

A business-as-usual (as opposed to the status 

quo) scenario may forecast that the meeting 

of a given basic needs would not happen in 

the time horizon covered by the CDM project 

crediting period (for example, ceilings and 

thermal comfort in the case study discussed 

here). However, the baseline should be 

allowed to include an effort to accelerate the 

achievement of this basic energy service and 

to represent the energy demand required 

through conventional technologies to meet this 

end. This anticipation can be further justified 

by the fact that global warming and climate 

change are very long-term phenomena, by 

the assumption that in the long-term basic 

needs will ultimately be met in developing 

countries (even if only after the CDM projects 

crediting periods) and by the need to avoid 

lock-in effects of adopting conventional 

technologies in long-lived infrastructures (for 

example, again, in buildings, as illustrated in 

the case study discussed here). In summary, 

suppressed demand baselines could be seen 

as harmless to the environmental integrity of 

the Kyoto Protocol and a contribution to a propoor 

Millennium Development Goals. 

While there could easily be concerns that 

accounting for suppressed demand may 

constitute future “hot air” and hence a loophole, 

it may be worth considering the sustainable 

development benefits which is the second leg 

of the CDM. Should the UNFCCC feel uneasy 

with approving a method at the large-scale that 

incorporates suppressed demand even for a 

narrow application, it is interesting to note that 

the highest quality label in Green House Gas 

231


mitigation, the Gold Standard would already 

accepts suppressed demand for methods 

employed in the voluntary market. These 

methods apply to biomass using cook stoves 

amongst others. 

Likewise similar approaches by EEDSM 

approaches at a National level could make 

both carbon, energy and demand reduction 

methods coincide, reducing the transaction 

costs of both. A reduction in these transaction 

costs would imply a greater contribution to the 

capital and maintenance costs of clean energy 

technologies and practices. 

The space heating example explained here 

is the first of a number of applications of 

suppressed demand. Applications to water 

heating, lighting, cooking, etc. can all be 

developed and applied, as could broader 

applications to rural energisation, for example. 

The National Sustainable Settlements Facility 

(NSSF) provides an optimum place to coordinate 

the blending of energy/demand 

and emissions reduction interest as the 

Development Bank of Southern Africa is 

already a conduit for the public financing of 

municipal infrastructure including settlements. 

Appendices 

Appendix 1 

Diagram which illustrates: Thermal Performance Study Methodology 

Using the calibrated model for houses with ceilings and ceiling insulation, the amount of energy 

required to reach thermal comfort without ceilings for the heating season can be predicted. 

The calibrated model has been validated (internally) against real thermal performance data. A 

graphical representation of the calibrated model predictions against the real data is presented below. 

232


For the five house in the sample that were 

used to validate the model the total average 

difference between the recorded and predicted 

is 11%. Implying that the temperature prediction 

is approximately 2% lower on average. The 

energy required to reach thermal comfort as 

predicted by the model is therefore erring on 

the conservative side. It is concluded that 

this is sufficiently accurate and conservative 

as predictive model and is proposed as 

reasonable estimation of a baseline energy 

scenario for thermal performance. 

The figure below provides a summary of the discrepancies for the 5 houses. 

233


Thus the suppressed demand baseline 

scenario is the energy that would be used to 

fulfil thermal comfort without ceilings or ceiling 

insulation (“the existing equipment”) as per the 

case where no suppressed demand exists. In 

order to determine the baseline, a theoretical 

thermal performance model - QUICK6 - is 

used. The model calculates the amount of 

energy needed to reach thermal comfort of 

21ºC for two diurnal heating periods (mornings 

and evenings) based on non-sleeping 

occupancy during the coldest season (four 

months). Non-sleeping occupancy was used 

as an indication of when heating is required. 

Non-sleeping occupancy is revealed by the 

monitored electrical signals for light and other 

appliance usage. The thermal performance 

improvements use theoretical and empirical 

data to provide annual and diurnal heating 

periods and levels of thermal comfort. Once 

fed into the model, these provide the following 

graphical interpretation of the suppressed 

baseline emissions scenario. 

References 

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Zilles, R.; Miranda, F.; Lucon, O., 2003. Expanding the Access to Electricity in Brazil. The Energy 

Access Technical Report from the Brazilian Member Centres Centro Clima/COPPE at the Federal 

University of Rio de Janeiro and CENBIO/IEE at the University of São Paulo. Prepared in the context 

of the GNESD – Global Network on Energy for Sustainable Development – Project. Available at 

www.gnesd.org 

Rovere, E. L. L.; Goldemberg, J.; Coelho, S. T.; SimÕes, A. F.; Guardabassi, P.; and Miranda , F.; 

2005. Renewable Energy Technologies to Improve Energy Access in Brazil. Technical Report from 

the Brazilian Member Centres Centro Clima/COPPE at the Federal University of Rio de Janeiro and 

CENBIO/IEE at the University of São Paulo. Prepared in the context of the GNESD – Global Network 

on Energy for Sustainable Development – Project. Available at www.gnesd.org 

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denken – Klimaschutzstrategien für das 21. Jahrhundert, Sondergutachten 2003, WBGU, Berlin, 

2003. 

Thorne, S. 1996. Financial costs of household energy services in four South African cities. EDRC 

Report No 61. 1-65. EDRC, University of Cape Town. 

UNFCCC. Type II. E. Energy efficiency and fuel switching measures for buildings, paragraph 66 of 

Appendix B. Simplified baseline and monitoring methodologies for selected small-scale CDM project 

activity. 

http://cdm.unfccc.int/Panels/meth/meeting/02-03/meth3anb.pdf 

234


UNFCCC Conference Of Parties. Simplified modalities and procedures for small-scale CDM project 

activities FCCC/KP/CMP/2005/8/Add.1. http://unfccc.int/resource/docs/2005/cmp1/eng/08a01.pdf 

UNFCCC. Modalities and Procedures for clean development mechanisms as defined in Article 12 of 

the Kyoto Protocol paragraph 46. http://unfccc.int/files/meetings/cop_11/application/pdf/cmp1_18_ 

modalities_and_procedures_for_cdm_art12.pdf 

UNFCCC, 2006. Annex 15 to the Clean Development Mechanism Executive Board meeting 28. 

Guidance on the registration of project activities under a programme of activities as a single CDM 

project activity. (Version 1) 

UNFCCC. The Nairobi Framework- catalysing the CDM in Africa. http://cdm.unfccc.int/Nairobi_ 

Framework/index.html 

Winkler, H. and Thorne, S.J., 2002. Baselines for suppressed demand: CDM projects contribution 

to poverty Alleviation; Paper submitted to Forum for Economics and Environment presented at the 

Annual Conference 

Notes 

1 This paper extends the work done by Winkler and Thorne 2002 by using a case study of 

suppressed demand to explain the theory in terms of its application to a case study. The 

case study referred to, is the Kuyasa CDM project which was registered in 2005 and is likely 

to be implemented in 2006. The project has also been registered as the first Gold Standard 

project in the world. 10 000 credits have been sold at 15 Euros per tonne, a precedent that 

is attributed to the Gold Standard price premium. 

2 The QUICK version 3 Model is a fully comprehensive, passive thermal and HVAC design 

simulation tool, cf. www.newquick.com 

235


“Time” as a key factor in design and technical 

decision-making: concepts of accessibility, 

affordability, participation, choice, variety and 

change in the South African Housing sector 

. 

Amira Osman and Nosizo Sebake 

Sustainable Human Settlements, Built Environment, Unit Council for Scientific and 

Industrial Research (CSIR) 


This study refers to a design attitude that 

conceptualises ‘objects’ from a long term 

perspective, thus integrating a fourth 

dimension, i.e. time, in the design phase. The 

use of time in design is generally referred to 

as the “disentanglement” of buildings, systems 

and components by Open Building practitioners 

and researchers. Disentanglement in buildings 

presents many benefits on site during 

construction as well as throughout the lifetime 

of the building during its operational phase. 

The benefits of disentanglement also span 

over to the ultimate change in use, re-use (of 

the building or its salvaged components). 

The disentanglement of the levels of the built 

environment may offer a management and 

design tool that promotes participation and 

integration. A system of involving government, 

the private sector and communities in 

the development and management of a 

new type of rental and ownership stock is 

envisioned. For example, within a particular 

neighbourhood, government or the private 

sector may own and control a level of the 

environment refered to as the “support” level 

which is characterised by being relatively 

expensive, robust and permanent – this is a 

primary level. Communities, Social Housing 

Institutions or companies may lease these 

support structures on a long term basis and 

apply fit-out or infill as deemed appropriate for 

context, market demand, affordability levels, 

etc – this fit-out/infill level is refered to as the 

secondary level. 

This provides a mechanism for achieving city 

restructuring and introduces a new paradigm 

which may entail reformulating the housing 

construction sector. This approach may not 

only to be applied at the building level, but 

also at neighbourhood and city levels. This 

increase in scale enables this approach to 

have a true impact in terms of inclusionary 

housing, participation and providing the poor 

access to the city in legitimate ways. 

The differentiation between the primary 

and secondary levels of the environment 

allows for the accommodation of informal 

processes, the involvement of small scale 

builders and small local industries in the fitout/infill 

levels and full on-going participation 

236


by residents and users. The final built product 

(including the primary and secondary levels 

implemented by various stakeholders) would 

be able to adapt to user/owner/tenant needs 

and market demand without major disruptions 

at the neighbourhood or city scale. 

the conception of these ‘long term objects’ 

is achieved, time becomes a design catalyst 

where built environments are treated as living 

systems (Lukez, 2009: 5). 

2.1.2 Open Building 

2 Alternative building 

technologies and innovation: 

Definitions of concepts used 

to describe adapatability in 

the Built Environment 

Concepts presented rely heavily on a 

number of theories, including Habraken’s 

Supports, Open Building levels, and different 

approaches to material/component re-use. All 

of these theories provide approaches to the 

built environment, which also relate to studies 

on the way material is re used or salvaged, 

based on life cycle analysis. However, uniform 

definitions and concepts for this research 

field are lacking and many researchers work 

in small enclaves and do not communicate 

enough with each other. 

Some of the terms used to describe this 

approach to the design of the built environment 

are explained in the below section: 

2.1.1 Time-Based Architecture (TBA) 

and 4 Dimensional Design (4D 

design) 

Time-Based Architecture (TBA) or 4 

Dimensional Design (4D design) “... refers to 

a design attitude to conceive ‘objects’ from 

a long term vision, therefore integrating the 

fourth dimension, i.e. time, in the initial design 

phase.” (Paduart et al., 2006; p 2). When 

Open Building (OB) is a term that is used by 

an international network of practitioners to 

define an approach to the design of the built 

environment which implies that it has the 

potential to change over time. This has financial, 

physical and management implications. As an 

approach to building, Open Building, is quite 

common in commercial and office buildings, 

however it is gaining more recognition as being 

equally valid in the residential, healthcare and 

public buildings. It is anticipated that if the 

Open Building approach gains momentum 

as a movement, it will ultimately not only 

transform the built environment but also the 

development processes. This will in term 

influence policy, financing and procurement 

within the construction industry. 

The aim of Open Building is to find principles 

of ordering and combining subsystems to 

give optimal freedom for design layout and 

installation (Dekker, 1998: 312), allowing for 

efficient building and enabling the redesign 

or replacement of a subsystem. This makes 

it possible for alteration of these subsystems 

over time and provides users with more choice 

in adapting their living environment. In this 

way OB may be used at any scale of the Built 

Environment (urban, neighbourhood to house 

unit) and faciitates the relationship between 

stability and transformation. 

237


2.1.3 Design for Deconstruction, 

Disassembly and Dismantling 

When assessing for the adaptability of 

a building, the following three aspects 

must be considered; the materials used to 

manufacture a building’s components, the 

components themselves, and the building 

as an entity. In dealing with these aspects 

issues of deconstruction, disassembly and 

dismantling have to be considered. Definitions 

for Design for Deconstruction, Disassembly 

and Dismantling seem to overlap and all use 

the same DfD abbreviation. “Disassembly” is 

seen to combine both “Deconstruction” and 

“Dismantling” and puts more emphasis on 

correct detailing, procedure and the use of 

sub-assemblies (Osman and Herthogs, 2010). 

Many guidelines have been developed for 

the process of removing building components 

and materials from an existing built structure 

and the requirements for reprocessing the 

salvaged components and materials, in 

order to reintegrate them into another built 

structure (Sassi, 2002; p.2). While most 

of these guidelines focus specifically on 

decreasing waste production, thus focussing 

on environmental impact, other researchers 

tend to focus on the importance of necessity of 

deconstruction, disassembly and dismantling 

in architecture from the building user’s point of 

view – that is as tools for adaptability. 

2.1.4 Mass Customization 

The need to address demand through numbers, 

reduced cost and speed (which always leads 

to mass housing and mass production and 

standardisation of questionable quality) needs 

to be reconciled with the aims of the Breaking 

New Ground (BNG) to personalise and 

address individual needs (usually perceived 

as being too complex a process, expensive 

and slow). 

In Mass Customization, mass production, in 

this case mass housing, is approached with 

an alternative system where customization is 

attempted by developing systems rather than 

products. These systems (perhaps resulting in 

a kit of parts) could then be used to customize 

the production of housing to individual needs. 

This implies that processes of standardization 

and partnering with industry suppliers would 

be crucial to the success of this approach. This 

is further explained in the below diagram: 

238


3 The various implications 

of “disentanglement” in the 

Built Environment 

3.1 The technical implications of 

“disentanglement” 

The construction industry is perceived to be 

relatively conservative and open systems 

have been promoted by those who have 

pointed to the incapability of traditional 

building processes to cope with sophisticated 

production (Westra, 2002: 1667). However the 

articulation of the interface between different 

technical systems is paramount to the above 

approaches – leading to a systems approach 

as a tool and moving away from traditional 

systems of construction. 

In the South African context, linking up with 

existing industries, and combining indigenous 

knowledge and modular building systems as 

a means of providing low-income housing 

may be a relatively unexplored option. 

Liaison with existing industries in townships 

is believed to offer opportunities for relevance 

and flexibility in design as well as support for 

local entrepreneurship and the fostering of 

meaningful partnerships and interventions. 

In this way local technology and “what 

exists on the ground” is taken as a point of 

departure for research and intervention, and 

not some obscure and possibly irrelevant 

theory far removed from reality. Taking locally 

available skills as a starting point for a design 

process reinforces the idea that technological 

innovation has to adapt to local capacities and 

not vice-versa. “Real” sites become locations 

for technological and cultural exchange 

allowing for more understanding of emergent 

enterprises leading to better informed decisions 

regarding housing design and technology. 

By sharing knowledge and transferring 

technical know-how to small, medium and 

micro construction enterprises, knowledge 

gaps in the construction sector may be 

addressed. 

3.1.1 Modular systems 

Using modular systems may facilitate quicker 

construction and save costs (Martin 2001: 32). 

Modular systems are affordable, adaptable 

and their quality can be assured through 

manufacture under controlled conditions. A 

rudimentary form of modularisation is already 

being used in South African townships. 

When considering existing shack-building 

techniques, smaller, staggered modules may 

be used achieving more stable structures. The 

modules thus become easier to transport and 

to use for alternative combinations which may 

ultimately offer more variety. Juxtaposition 

of smaller panels offers more stability and 

provides sufficient space for insulation and 

alternative cladding solutions (Osman & 

Peeters, 2005). Innovative solutions to the 

junctions of these panels may offer stability 

without loosing the potential adaptability 

and ease of dismantling, transportation and 

reconstruction, which are qualities inherent 

in informal structures. In addition to that, 

informal structures are also manufactured 

off-site, are easily constructed by users and 

are light-weight. Perhaps these qualities may 

inform new innovative soutions, albeit with 

more quality and robustness Perhaps these 

solutions may be used in single family houses 

and multi-family medium and higher density 

option as infill/fit-out at the secondary 

239


levels of development Perhaps this will allow 

for “zozo” (shack) yards in the townships 

to become legitimate, more developed 

businesses and allow them to enter the 

affordable housing market with a more 

advance product 

3.1.2 Differentiating levels 

Buildings need to clearly and visibly identify 

different levels and systems hence making 

it possible for future residents to understand 

which sections are permanent and which 

may be removed. This results in the creation 

of the primary level, base building or support 

structure, allowing for the manipulation of the 

secondary levels of partitioning and furniture. 

The standard practice of constructing cellular 

rooms out of load bearing masonry needs to 

be changed to enable a layperson to easily 

distinguish between load-bearing and non 

load-bearing walls should alterations be 

required. A partitioning system consisting of 

dry walls, sliding doors and sliding panels may, 

for example, be used where moveable panels 

are required to address privacy issues at night. 

These same moveable panels may be moved 

away to create a spacious environment during 

the day. In addition to allowing for easy interior 

alteration on a daily basis, the transformation 

of family units into communal living facilities for 

a longer-term set-up may also be achieved. 

Storage options may also serve as room 

dividers. In multi-family housing partitioning 

walls and some features of the units may be 

pre-designed/fixed with services strategically 

located to allow for maximum variation. 

By “disentangling” the wet core, supports and 

infill of an individual unit, the house could be 

changeable without affecting bathrooms and 

kitchens, which are incorporated as a part of 

the support structure. Service lines needs to 

be considered in terms of economical factors 

(i.e. shortest possible route for piping) and also 

with regards to possible future extensions and 

changes that should not interrupt the services. 

The placement of a building on a site may 

offer opportunities or limitations in extension. 

Special considerations for circulation space, to 

allow vertical and horizontal extension, may be 

also be taken into account. 

“Supports” may be constructed according 

to local building style and regulations, 

while building interiors change more rapidly 

(Habraken 1998: 7). Variety in the quality of 

infill/fit-out level can thus be achieved. The 

infill/fit-out level refers to equipment, non-load 

bearing partitions, pipes, cables and ducts. 

The “support” or “base building” needs to 

address different scenarios throughout the 

lifetime of the building and that this must be 

tested by thorough and rigorous design; this is 

not a bland structural frame and should portray 

architectural quality and have the potential for 

interesting design variations that relate to the 

context and add quality to the surrounding area. 

3.1.3 Material selection and technical 

detailing 

The ability to adapt a building is, for the largest 

part, determined by two parameters; whether 

or not the construction can be disassembled 

and reconfigured or re-used; and the amount 

of effort that is needed to do this. Therefore, 

the most crucial aspect of “Design for 

Disassembly” (DfD) is the detailing of the 

connections between a building’s different 

240


components; DfD means designing buildings 

that can be disassembled and reassembled 

part per part (Durmisevic, 2006); it assures 

that connections can be undone. “Design 

for Compatibility” (DfC), on the other hand, 

ensures that elements can be connected to 

each other, because their measurements are 

all based on the same sequence (Osman & 

Herthogs, 2010). 

Some design and construction methods 

integrate both DfD and DfC into a combined 

design strategy that presents a set of 

guidelines to design multiple adaptable and 

reusable constructional components which are 

compatible with each other (Debacker, 2006). 

Thus, these components can be used to design 

a variety of sub‐assemblies. The result is a 

“generating system”, i.e. a limited number of 

basic elements and a set of combination rules 

that allows for more complex entities to be 

“generated”; in other words, the focus is more 

on the life cycle of the components (Osman 

and Herthogs, 2010). Currently, most design 

strategies either focus on the adaptability of 

a building (based on the building’s life cycle) 

or on the ability to dismantle a building in 

such a way that different materials can be 

salvaged easily (based on the cycle of material 

resources). 

3.2 The spatial implications of 


South African cities are still highly segregated, 

or hyper-segregated as emphasised by 

Christopher (2001). Research also indicates 

that the rate of integration has also declined 

after the initial rush of the 1990’s. New divides 

are emerging in South African cities. Tomlinson 

(2001) explains that previous divisions were 

based on race, now they are based on socioeconomic 

status. 

The current apparent support of sub-urban, 

peripheral growth is resulting in spatial and 

social fragmentation creating a geography 

of exclusion. It is no doubt also contributing 

to environmental degradation. Re-directing 

policy to combat this trend would require a 

shift in the way we think about the morphology 

of human settlements as well as the processes 

by which they are created. 

The extent to which people are living together 

in an integrated manner is measured by; 

race, socio-economic status, age and gender. 

Physical de-segregation has been measured 

quantitatively using census data. Social desegregation 

can be measured qualitatively 

using indicators such as friendship, common 

local identity, sharing local facilities and 

involvement in local institutions (Lemanski, 

2006). Thus social de-segregation is less 

visible than physical de-segregation. Physical 

de-segregation, however, must still be 

achieved, through city restructuring, as it 

might offer more opportunities for social desegregation. 

3.2.1 Open Building as a restructuring 

tool 

Open Building applied at the building level, as 

well as at neighbourhood and city levels; may 

have an impact in terms of inclusionary housing, 

participation and enabling the poor to access 

the city in legitimate ways. The differentiation 

between levels of the environment allows for 

the accommodation of informal processes, 

the involvement of small scale builders 

241


and small local industries in the fit-out/infill 

levels and full on-going participation by 

residents and users; it may be possible, with 

innovative design, to successfully include the 

poor within the city on land traditionally thought 

of as too expensive for lower income housing. 

Different income levels can be accommodated 

within the same support structures as the 

infill level allows for variety not only in shape, 

layout and form but also in costs. Thus the 

relevance of Open Building to South Africa is 

emphasised as a means to allow for different 

tenure forms and affordability levels within the 

same area, leading to the achievement of a 

residential mix. 

Mixed residential options may 

be grouped together in the 

same development where it is 

evident visually that there is a 

difference between the costs or 

tenure of the residential units. 

However, they may also be incorporated 

into a development 

where it would not be possible 

to easily distinguish between 

the different housing options. 

Mixed use may also imply that 

the different functions are in the 

same building or in seperate 

buildings. 

There are negative consequences of uniformly 

grouping low-income people in the same 

housing developments. Income mix, race mix 

and tenure mix would probably better help meet 

the restructuring goals of BNG. The objective 

of achieving an income mix should also be 

accompanied with a corresponding grading of 

quality levels – however what is argued here 

is that all people irrespective of income level 

or payment capability should benefit from a 

robust, permanent and high quality support 

level. This support, primary structure or base 

level of the environment then becomes the 

structuring framework for neighbourhoods 

(and perhaps cities). 

3.2.2 The public realm as the primary 

structure, support or base level 

The public realm could become the formal 

framework (the “support” or “base”); a 

permanent, long-term “structure” that allows 

for informal activity and interventions to 

occur within its parameters. In other words, 

allowing for the unexpected. This process 

would distribute the levels of decision making 

in the environment and separate them so as 

to reduce conflict and allow for the organic 

processes of human intervention to occur 

(what Hamdi refers to as emergence). Housing 

projects become catalysts for environmental 

transformation and structure and define 

242


public space; they may trigger off positive 

activity in the vicinity and surroundings, 

allowing for continued interpretation, change, 

adaptation, and involvement. 

Hamdi (2004) explains how ‘small’ interventions 

grow and guide development and how the role 

of the professional becomes one of creating 

conditions for emergence and in this respect 

searching for catalysts. These catalysts then 

generate a process of ‘negotiated reactions’ 

(Dewar & Uytenbogaardt, 1991), whereby 

continuous transformation is achieved within 

a stable environment. This is perceived as a 

common characteristic of successful urban 

places. While projects need to have a bigger 

vision, they need to start small, by identifying 

where existing energy is and latching on to 

that spatially, physically and functionally. 

Routes and nodes, may help structure the 

development process, section by section, in 

the city by allowing for natural process to occur 

– thus creating connectors and energy flows 

between them. Projects have influence beyond 

the confines of their sites as expressed in the 

below diagram: 

However, it is questioned if single projects 

(mega or small scale) can ever achieve the 

critical mass needed to ensure positive and 

lasting change. While large scale interventions 

are needed, they have to be broken into smaller 

manageable clusters to ensure buy-in and 

participation. Who provides that bigger vision 

This vision would need to articulate aims not 

only in terms of political and social agendas 

but also in spatial and physical terms 

3.2.3 The idea of interface and “the edge” 

Addressing and activating the routes and 

the edges gains considerable importance in 

combating the gated houisng trend. When all 

housing becomes gated, the spaces in between 

housing complexes become unmonitored and 

the possibilities for passive surveillance and 

crime reduction are undermined. Developers, 

including Social Housing Institutions should 

be compelled to provide evidence that they 

have meaningfully addressed the edges 

and surrounding routes so that vulnerability 

and susceptibility to crime is reduced and 

that the market potential of all developments 

is enhanced before project approvals are 

granted. This would also go towards providing 

positive visual impact on the peripheries of 

developments. 

243


In selecting zones for injecting market 

housing, Social Housing and mixed use and 

mixed income developments, it is the “edges” 

or visible zones that need to be targeted. This 

is stated with some caution as it may appear 

contentious given Apartheid planning practice 

of “hiding” parts of the city. However, if these 

visible edges are addressed and activated as a 

more permanent level of the environment it can 

allow for more fluid and adaptive processes to 

occur beyond that edge. 

Activating the edges not only adds value to all 

locations irrespective of income groups living 

there (and is thus equitable) but also revitalises 

routes (economic opportunity and passive 

surveillance) and also improves image which 

then adds to moral and general upliftment 

of communities and increases confidence in 

government. 

As a pre-requisite for active edges, low densities 

need to be addressed. Current densities are 

unable to achieve the critical mass needed 

to integrate income generation opportunities 

in these developments. Noting that: 

High density (greater critical mass to support 

small business) + short distances = Diverse 

opportunities 1 

3.3 The management implications of 


A system of involving government, the private 

sector and communities in the development 

and management of a new type of housing 

stock is envisioned. An example is that 

government/private sector may own and 

control the support structures within a 

particular neighbourhood. Other agents such 

as Social Housing Institutions would lease 

these structures on a long term basis and 

apply fit-out or infill as deemed appropriate for 

context, market demand, affordability levels 

etc. primary, secondary and tertiary systems 

within the built environment are expressed 

through the diagrams below borrowed from 

theoretical papers on the INO hospital concept 

in Bern, Switzerland: 

Crate with bottles (system levels) 

Empty crate (primary system) 

Bottles (secondary system) 

Liquid (tertiary system) 

This issue of densities and possibilities for small scale enterprises to flourish is argued by Dewar, D., Uytenbogaardt H. (1991). 

244


Strategically grouped projects can have a 

greater chance of achieving “sustainable, 

integrated human settlements”. However, 

in management terms, they need to remain 

divided in smaller clusters. The size of 

these clusters is an important aspect to be 

considered: they need to be large enough to 

create and impact, yet small enough to allow 

for a sense of ownership and shared purpose. 

At the core of this argument is the understanding 

that housing is not just the individual living 

unit but encompasses all aspects in the 

macro- and micro- environment. Within 

these urban structures, the house is seen 

as a flexible/adaptable product rather than a 

fixed final product. The idea of urban design 

as an inseparable component of housing is 

reinforced. This allows for an understanding of 

informal processes, economies, settlements 

and structures and our role as professionals in 

interacting with these alternative systems and 

“ways of doing/living”. 

3.4.1 Access issues and Inclusive Design 

Osman and Gibberd (2000: 6) estimated the 

percentage of the population in South Africa 

most likely to be experiencing problems with 

the built environment, including their own 

homes, at 44%. This was based on statistics 

concerning the disabled, the elderly, children 

and HIV+ people (Statistics South Africa, 

1999). Environments need to be designed in 

such a way as to allow maximum accessibility 

and transformation to accommodate for 

all sectors of the population. An Inclusive 

Design approach achieves an environment 

that everyone can use regardless of age, 

physique or range of ability. Allowing for easy 

manipulation of our built environment means 

accommodating for differing needs, making 

the environment more accessible to all and 

allowing users to have more control over their 

living spaces: thus having differentiated levels 

and agents of control in the built environment. 

3.4 The social implications of 


There are special considerations in the 

South African context that may support the 

implementation of Open Building. Open 

Building systems are perceived to be a tool 

that leads to the achievement of diversity. 

Current housing stock does not allow for 

extended families and is very eurocentric 

in its design. Social Housing as an example 

currently caters for the typical nuclear family, 

which is in reality only one form of household, 

while demand calls for a wider product range. 

Reference can be made to the Bill of Rights, 

the Constitution, the Employment Equity 

Act, Promotion of Equality and Prevention of 

Discrimination Act, all legislation pertaining 

specifically to establishing an inclusive 

environment. The White Paper on an Integrated 

National Disability Strategy represents 

government’s thinking on the development of 

people with disabilities and the promotion and 

protection of their rights. Approximately 5-12% 

of South Africans are moderately to severely 

disabled (White Paper, 1997: i). One must 

avoid the typical mistake that society tends 

to make of viewing people with disability as 

a single group. This ignores the diversity of 

disability and the variety of needs experienced 

by people with different types of disability. 

245


Osman and Gibberd (2000: 10) identified a 

practical framework for the design of new 

housing where elements of a house can be 

categorised as (i) Universal Design features, 

(ii) Inclusive Design features, (iii) Adaptable 

features and (iv) Specific features where 

each category indicates the features of the 

residential environment and what needs to be 

initally incorporated or adapted in the future to 

serve the needs of a diverse population. 

3.4.2 Participation 

The concept of participation, as an accepted 

paradigm in development, is explored through 

methods that allow for user participation 

in design decision-making. Such designaiding 

techniques optimise the contribution 

of role-players in housing through maximum 

transparency and effective communication. 

Housing is perceived as the study of options, 

giving people variety and choice, rather 

than the previous tradition of design where 

architects worked in isolation and the end 

product was fixed and unchanging based on a 

rigid aesthetic ideal. 

By adopting a democratic process in decisionmaking 

processes regarding the built 

environment and acknowledging the large 

number of participants in its development, a 

richer, layered, sustainable environment which 

fosters a sense of belonging, ownership and 

pride may be achieved. This is in contrast to 

the conventional top down approaches to 

decision-making within the built environment, 

which are strictly planned and rigid. This 

strict planning results in sterile, repetitive, 

monotonous, fragmented, mono-functional 

environments and disempowers people 

(professionals and communities alike). 

Habraken (1998: 28) states that the built 

environment may be described solely in terms 

of live configurations operating on different 

levels. In so doing, it is described as a dynamic 

form controlled by people, fully taking into 

account that the built environment is a product 

of people acting. Thus re-interpretation of living 

environments to suit changing demographics, 

family configurations and lifestyles needs to be 

accomodated. Housing may be sub-divided, 

clustered, re-arranged as needs arise. 

The concept of participation is thus, not 

only confined to “once-off” consultation in 

initial stages of design where in some cases 

communities participate in decision-making 

processes, but also as an on-going process 

where the built environment allows for future 

adaptations. This is even more relevant when 

it has been argued that participation is not 

about asking people what they want as their 

wants are experientially determined (Dewar 

and Uytenbogaardt, 1991). 

3.4.3 Experimentation 

The question arises as to whether affordable 

housing is a suitable place to experiment 

with materials or new technologies. People 

generally do not want to stand out in the 

neighbourhood as those living in a “weird 

experimental box”. This “standing out” 

also exacerbates the separateness; thus 

highlighting the significance of a single support 

structure within the urban environment that 

serves everyone, regardless of race or socioeconomic 

status, and that allows for different 

users of different age groups or mental or 

246


physical capabilities to live in close proximity 

to each other. 

3.5 The ecomomic implications of 


It is obvious that with current funding, using 

conventional approaches to building and 

settlement development is not the route to 

go in terms of delivery efficiency and backlog 

challenges. Sometimes it is even questioned 

whether the subsidy approach is sustainable. 

However, it is also understood that the private 

sector would in any case address housing 

demand, across the board of income levels, 

where it is seen as a viable and profitable 

market. It is also understood that the role 

of government would still remain crucial in 

achieving developmental aims. Various forms 

of government support, including but not 

restricted to funding, will be important for many 

years to come. 

Funding (in the form of subsidies, grants, 

loans) needs to be strategically used: 

two (2) distinct levels where one level is 

permanent, robust, high-quality and shared 

by groups of people and communities, while 

the second (lower) level is more transient, 

transformable, and less permanent; implies 

that it can be upgraded once more funds are 

sourced without them having to be completely 

demolished. 

The second point means that projects need 

enough assets that enable them to be financially 

viable. Can these aims be achieved with the 

current subsidy figures It is argued that the 

only way that these aims can be achieved is 

by changing the way that government finances 

housing at present and by changing the way 

that the housing stock is actually built. 

Identification of the various, distinct levels of 

intervention within the urban fabric means that 

different qualities (at different costs) of infill 

to be achieved within a permanent support 

system. Changing market demands would 

have to be catered for, if housing is to be usable 

and profitable over a long period of time. 

• To put in place assets that will be 

useful for many years into the future; 

• To to develop institutions that will 

be sustainable and able to function 

independently in the future; 

• To encourage individual/group 

ownership and long-term commitment 

and responsibility for the residential 

building stock. 

The first point may be addressed by adopting 

an approach to the built environment that 

factors in the element of “time”. By conceiving 

of developments from the outset as having 

In searching for alternative ways and methods 

of design and implementation, it is also 

attempted to challenge the perception that 

limited funds mean poor quality or that low 

cost means that a flexible, enabling, inclusive, 

accessible environment catering for the needs 

of all sectors of the target population cannot be 

addressed through creative design. 

There is no single solution to cost efficiency; 

it needs to be addressed in creative ways 

with long-term vision. In rental housing, a unit 

houses different people with different needs 

throughout its lifetime. Rather than having a 

247


standard quality of infill for all the tenants, 

a consumer-oriented rent policy may be 

implemented to offer a flexible response to 

clients’ needs in terms of infill quality (Dekker, 

1998). By using alternative construction 

methods, it may be possible to include poor 

people in the city on land traditionally thought 

of as being too expensive for low cost housing. 

Social housing stock being built now is generally 

three or four storey walk-ups with minimal 

space standards. This rental stock does not 

have the built in capacity for adaptation and 

change. Many times separating walls between 

the tiny units are structural walls that cannot 

be remove easily. If rental buildings are not 

designed to allow for change, they may 

soon become redundant and will have no 

market value; future adaptations may be very 

complex and costly exercises. To address 

the issue of tenant turnover throughout its 

lifetime, Social Housing also needs finishing 

that is of a sufficiently high quality and a 

basic structure that is robust. Space layouts, 

materials, construction methods, detailing can 

accommodate for unforeseen need. 

Attempts at inclusionary housing can be 

problematic where the high cost market 

housing and the lower cost housing is included 

in the same development but is visibly very 

different. With an Open Building approach 

the base building benefits all residents of the 

development while, within this structure, the 

infill can be of varying costs and qualities. 

Housing programmes must also be approached 

as being mutually dependent. Huchzermeyer 

et al (2006: 23) explain how “transformative 

policy” approaches may “involve setting aside 

portions of conveniently located land with basic 

services for a relatively informal and rapid 

form of occupation under flexible but secure 

tenure (in South Africa these are referred to 

as ‘reception areas’).” It is argued that this 

concept as well as ideas of community-based 

or area based subsidy mechanisms for land 

and infrastructure can also be relevant to 

Social Housing developments. 

For example, the informal settlements 

programme adopts a “…community-based or 

area-based subsidy mechanism for land and 

infrastructure.” (Huchzermeyer, 2006: 55). She 

elaborates that; “The grant to the municipality 

for the land regularization and upgrading 

intervention is not linked to the individual 

qualifying household, as is the case with most 

subsidies available under the national subsidy 

system. The individual household qualification 

criteria apply only in the last (fourth) phase 

of the Programme, which focuses on the 

improvement of the dwelling structures.” 

Should the same concept not be applied to 

other forms of housing such as Social Housing 

where the subsidy is split into at least two 

components One subsidy may be used at 

the precinct/neighbourhood level to achieve 

the aims of restructuring, while the other part 

of the subsidy can be used for the individual 

units. This community-based or area-based 

approach may offer opportunities to experiment 

with different processes and techologies. 

4 Final comments 

Housing reveals the social, cultural and 

political intentions of a people; in South Africa 

this is particularly evident. Housing policy 

248


is reflected in the built product and in the 

form of neighbourhoods. While the current 

government intends to remedy inherited 

fragmentation, preoccupation has tended 

to focus on meeting quotas rather than 

developing quality environments. It is believed 

that changed housing delivery mechanisms 

will ultimately influence the spatial and physical 

characteristics of the resultant environment. 

The premise of this paper is that “time” 

as a key factor in design and technical 

decision-making, and that this would have 

technical, spatial, management, social and 

economic implications. These are then further 

elaborated with regards to the following 

themes: modularisation, differentiation in 

levels, material selection and detailing, city 

restructuring, the design of the public realms, 

interfaces and edges, access and inclusivity, 

participation, experimentation and affordability. 

It is believed that a changed approach in 

decision-making in the Built Envrionment 

will offer greater opportunity with regards 

to accessibility, affordability, participation, 

choice, variety and change. The tools/ 

concepts presented contribute to a debate that 

moves away from the individual house unit to 

neighbourhood design and city restructuring. 

Housing should be adaptable within a stable 

and robust support structure; this urban 

support structure gives an environment its 

character. The aim is to allow for flexibility 

while not subtracting from an effectual urban 

identity. 

A dynamic housing programme is in full swing 

in South Africa, yet the housing backlog is not 

decreasing. Informality, emergence and the 

so-called “second economy” are aspects of the 

South African social/economic scene that will 

probably remain for many years to come – a 

unique challenge facing some countries is that 

designed and informal/emergent systems are 

equally important. Current debates regarding 

development, in general, and housing, in 

particular, attempt to position the issues in the 

broader perspective of the ‘south’, the African 

continent and new policy directions in South 

Africa. 

Approaches to technology have to be aligned 

with this thinking and solutions have to be 

unique to context and varieted in response. 

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252


Enterprise Development in the Alternative 

Building Technology Industry 

. 

Hennie Roets and Serenta Ramraj 

The Polymer Focus Group, Sasol ChemCity 

About Sasol ChemCity 

Sasol ChemCity, a wholly owned subsidiary of 

Sasol Chemical Industries, acts as an incubator 

facilitating the establishment of independent 

downstream SMMEs in the chemical and 

related sectors as well as Sasol suppliers. By 

embarking on this socio-economic initiative, 

Sasol has aligned itself with two important 

national enterprise development strategies, 

namely BEE and BBBEE. Consequently, we 

are incentivized to assist businesses that 

have a 26% or more BEE ownership stake. 

Sasol ChemCity concentrates on start-up 

businesses, growing existing businesses and 

assisting turnarounds (distressed businesses). 

There is a strong focus on growing the sector 

by becoming involved with businesses that are 

innovative (or have innovative products), are 

export focused or have import replacement 

capabilities. 

Sasol ChemCity does not fund projects 

or businesses; however, we will provide 

entrepreneurs with assistance in terms of 

finding possible investors or financiers. It is 

a preference to remain independent from 

the beneficiaries and therefore prefer not to 

take up representation on the boards of the 

companies it assists (unless by exception, 

large funders insist on Sasol ChemCity being 

represented on the incubatees’ board). 

Sasol ChemCity’s service offerings include 

some or all of the following: 

a. Assistance with drafting a bankable 

business plan; 

b. Assistance with regard to acquiring 

funding; 

c. The necessary technical assistance 

with regard to product testing and 

process improvement; 

d. Assistance with Concept 

Development; 

e. Assistance with sourcing of a suitable 

BEE partner; 

f. Establishment / Optimisation of 

Business Processes; 

g. Assistance with possible funding 

proposals; 

h. Training of Principals, Consultants 

and Agents of Associated Business 

on Safety and Marketing regarding 

the Product and/or Stability tests of 

products; 

i. Assistance with the design / 

implementation of a corporate image 

/ identity for your enterprise and on 

clearance of preferred corporate 

image logo and or name (IP), i.e. the 

design of a logo, etc. 

j. Consumables for start-up of business 

e.g. bottles, labels and raw material. 

253


k. Assistance in the attainment of 

relevant governmental accreditation 

associated with running the process 

facility; 

The Sasol ChemCity Enterprise Development 

Model [Figure 1] demonstrates the service 

offering in the Business Life Cycle, whilst 

highlighting key stakeholders in the value 

chain. The model was derived with the aim 

of delivering on wealth creation, job creation 

and BEE. The effectiveness of this model is 

validated by the success of Sasol ChemCity. 

In a period of a mere three years [July 2007 

– July 2010], Sasol ChemCity has established 

292 enterprises resulting in the creation of 

2892 jobs. 

Figure 1: Sasol ChemCity Enterprise Development Model 

Due the vast nature of the chemical and 

related sectors, focus groups within Sasol 

ChemCity have been established to provide 

better strategic direction to its incubatees. 

These focus groups include: 

1. Renewable Energy 

alternatives that are derived from natural 

resources, as well as being environmentally 

friendly. These projects are thus completely 

renewable resulting in little or no damage to 

the environment. Projects that form the basis 

of this portfolio are Biodiesel, Ethanol Gel, 

Solar and Project Evaluation. 

This group focuses on developing viable 

projects which harness and/or create energy 

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2. Waste Management 

This team focuses on identifying, evaluating 

and developing financial feasible business 

opportunities in an environmentally responsible 

and compliant manner in the areas of: 

a. solid waste beneficiation 

b. waste collection, recycling and 

processing 

c. used lube oil collection, recycling and 

processing 

d. waste to energy 

e. fine coal beneficiation 

f. inorganic and organic chemicals 

3. Health and Beauty 

A Cosmetic Technical Support Group was 

formed to provide specialized technical support 

for SMMEs within the cosmetic industry. The 

team was initially structured with the intention 

of providing predominantly technical support. 

However, as the number of businesses 

being incubated increased and the needs 

of prospective entrepreneurs became more 

diverse, it was imperative that a more holistic 

approach be taken during the development 

of these SMMEs. This subsequently led to 

the inclusion of both technical and business 

support in the cluster’s service offering. The 

team enjoys the support of the Cosmetic, 

Toiletry and Fragrance Association of South 

Africa (CTFA) and is also associated with the 

Society of Cosmetics Chemists (Coschem). 

4. Liquid Chemicals and 

Supplier Development 

All chemical projects linked to the acrylic acid 

value chain falls within this portfolio. These 

include the production of crude acrylic acid, 

glacial acrylic acid, ethyl acrylate and butyl 

acrylate used in super absorbent polymers, 

detergents, water treatment, food packaging, 

emulsions and textiles to name a few. A second 

major focus of this cluster is assisting Sasol 

suppliers to grow their businesses, saving 

distressed businesses and enabling suppliers 

in transformation to improve their BEE status. 

5. Social Enterprise 

Development 

The drive behind the Community projects is 

empowerment, wealth and job creation at 

grass root level with specific focus on BEE and 

the empowerment of women. The focus areas 

identified were the Cosmetics industry, Candle 

Making businesses, Veggie tunnels and 

bakeries. Assistance in these areas includes: 

a. The creation of sustainable SMME’s 

with a unique value proposition 

b. Creating Infrastructures and building 

capacity to enable growth 

c. Innovative and professional branding 

and brand positioning 

d. Customised market development 

and product positioning to address 

specific market needs, e.g. funeral 

candles and “long burning”, “non- 

dripping” candles 

e. Designing unique channels to market 

f. Creating economies of scale by 

stabling associations, co-operations 

and mini-franchises 

g. Including local monopolies and strong 

traditional intermediaries in the value 

chain 

255


h. Pack sizes and pricing structures 

needs to address “value for money” 

concept and spending patterns 

i. Empowerment of owners and 

client through training and product 

knowledge creating unique business 

processes to address unique 

challenges 

j. Post-implementation support 

6. New Business Development 

This is a newly formed focus group that whose 

main aims are: 

a. To maximize Enterprise Development 

spend based on current activities 

within Sasol Limited 

b. Implement Enterprise Development 

internationally where Sasol is active 

c. Work closely with Sasol Business 

Units to implement projects 

7. Business and Entrepreneur Support 

The intent of this group is to ensure 

sustainability of businesses incubated post the 

implementation phase. This is achieved by: 

a. Providing comprehensive business 

and entrepreneur support starting 

from the implementation stage of the 

value chain. 

b. Influencing the selection of clients and 

projects with high sustainability 

potential 

c. Developing and managing strategic 

relationships with key internal and 

external stakeholders to leverage 

unique offering to clients 

d. Ensuring compliance, good 

governance and risk management by 

Sasol ChemCity incubated clients 

e. Providing fit for purpose corporate 

image support 

f. Developing skills and competencies to 

ensure quality results. 

8. Site Development and 

Management 

The ChemCity Industrial Park is situated 

in Sasolburg which is the industrial hub of 

the Free State. It boasts 120 hectares of 

industrial land that caters for light and medium 

industrial activities. Sites on offer range from 

1000 – 10000 m2. The park has 24-hour 

access-controlled security. Sasol ChemCity 

facilitates site selection, assistance with 

feasibility studies, legal and environmental, 

major hazards installation analysis, amongst 

other services. The Park is currently being 

developed by Sasol ChemCity (Pty) Ltd. The 

purpose of the Park is to offer entrepreneurs 

and SMME’s a world class iconic Industrial 

Park that can cater to their requirements and 

assist with maintaining sustainability and 

success. A variety of services are on offer 

and the prices of the stands vary according 

to the zoning of the stand. 

The Park offers 

an environment that incorporates elements of 

biodiversity, indigenous vegetation, green and 

energy efficient buildings. 

9. Polymer Focus Group 

The Polymer Focus Group strives to be the 

leading business enabler in the field of polymer 

conversion in South Africa by implementing 

ground breaking technologies and innovative 

256


products. These objectives are achieved 

through a well established national network 

of technical support structures, business 

associates and financial expertise. 

The Polymer Focus Group take pride in 

delivering quality results in every project we 

engage in. The project portfolio encompasses 

a broad spectrum of industry sectors within 

the polymer conversion area, i.e. packaging 

materials, pipes and construction material. 

There is also a strong focus on recycling 

projects and products from recycled material 

in an effort to contribute towards a clean, safe 

and sustainable environment. 

The Polymer Focus Group combines skill and 

experience. While there is ample ability inhouse, 

the Sasol ChemCity model allows the 

focus group to source the necessary skills or 

experience, at no cost to the entrepreneur. 

Sasol’s support gives us access to markets 

and industry knowledge, which is one of Sasol 

ChemCity’s greatest key to success. 

As a business incubator, the Sasol ChemCity 

Polymer Focus Group’s purpose is to help 

establish and grow businesses by providing 

support to entrepreneurs, both in developing 

a bankable business plan as part of the post 

funding implementation phase. By serving 

polymer entrepreneurs, Sasol ChemCity 

is supporting the communities in which 

they operate and therefore contributing 

towards Government’s overall growth and 

transformation strategy. This support provides 

a positive contribution to Sasol’s relationship 

with Government and so benefits the group as 

a whole. 

The Polymer Focus Group has centered itself 

around four sub-focus areas: 

a. Turnarounds for distressed businesses 

b. Wood-Plastic Composites 

c. Sasol Polymers (PP, PE, PVC) 

d. Alternative Building Technology 

The service offering of the Polymer Focus 

Group is comprehensive and is outlined below: 

a. Comprehensive business training 

programs, Project facilitation and 

assistance with 

a. Business and Management 

skills 

b. Advisory boards and mentors 

selection 

c. Management team 

identification 

d. Deal structure and negotiation 

e. Networking activities 

f. Industry and competitor 

analysis 

g. Opportunity identification 

h. Environmental impact studies 

i. Feasibility studies 

j. Assist with compilation / 

auditing of business plans 

k. Identification of entrepreneurs 

b. Access to finance and funding 

a. Bank loans, loan funds and 

guarantee programs 

b. Access to angel investors or 

venture capital 

c. Marketing assistance 

a. Access to markets / sales 

b. Marketing studies / strategies 

/ plans 

c. Corporate Image development 

257


d. Back office support 

a. Accounting / financial 

management support 

as well as Polyvinyl Chloride (PVC) 

products utilized in the building and 

construction industry such as pipes, 

fittings and flooring. 

e. Stakeholder interface and linkage 

a. Links to higher education 

resources, strategic partners, 

players in the industry 

9.1. Alternative Building Technologies 

[ABT] sub-focus group 

Vision 

The vision of this sub-focus group is to create 

a model that will allow a diverse spectrum 

of entrepreneurs to integrate in order to 

deliver/provide a sustainable housing/ 

building solution, whilst promoting economic 

development thus creating jobs. 

The objective of the team is to: 

a. Bring credibility to the entrepreneurs: 

Being supported by a Sasol ChemCity 

brings credibility to the entrepreneurs 

due to the strategic, financial, 

marketing and operational direction 

that we assist with. This support has 

resulted in attaining funding for the 

businesses and has added value to 

the brand of the business. 

b. Assist with technology: Technical 

assistance can be provided to the 

entrepreneurs with regard to polymers 

used in the system. This includes the 

expanded polystyrene [EPS], the 

glues used to laminate the EPS, etc, 

c. Obtain correct accreditation [NHBRC- 

Agrément, SABS, and Rational 

Design]: The ABT group will work 

with the entrepreneur to assist the 

business in attaining the relevant 

accreditation. This assistance includes 

understanding the correct procedures, 

attaining funding for product testing 

and assisting the entrepreneur in 

meeting the requirements for the 

relevant accreditation. 

d. Networking and Collaboration: 

Sasol ChemCity is in a fortunate 

position to be able to identify 

opportunities where different 

businesses can work together to 

enhance the product offering and to 

increase sustainability of the business. 

The team is in constant search for 

synergies and collaborations that 

can enhance the success of the 

businesses. 

e. Effective and efficient value chain: 

The value chain needs to ensure 

that all participants are treated with 

fairness and integrity, whilst beneficial 

for all. Creating the much needed 

access to markets is the prime 

objective. This will be managed by 

ensuring appropriate agreements are 

in place where required. 

258


f. Through a bankable business plan, 

assist in obtaining funding: A bankable 

business plan is not only required to 

obtain funding, but is also essential 

in ensuring strategic, financial, 

marketing and operational direction. 

Furthermore, a bankable business 

plan gives comfort to key stakeholders 

in the business with regard to growth 

and sustainability of the business. 

Criteria for a business to be 

incubated 

Businesses that require start-up or growth 

assistance from the Alternative Building 

Technology sub-focus group, must 

demonstrate the following: 

a. Innovation: The product can either 

be developed locally or the technology 

can be licensed in from another 

country. Technological assistance 

with regard to the use of the polymers 

in the alternative building material can 

be provided to the entrepreneur 

b. BEE: Businesses are encouraged to 

have a minimum of 26% BEE 

ownership. If the businesses require 

assistance in transforming the 

business, then Sasol ChemCity can 

assist. Furthermore, we are of the 

opinion that a higher BEE rating will 

bode well for the business during the 

government tender process in the 

building and construction industry. 

c. Export potential or import replacement: 

Sasol ChemCity emphasizes the 

need for local manufacturing to 

accelerate job creation and wealth in 

South Africa. The ease at which the 

alternative building material can be 

exported will be evaluated in terms of 

weight and volume. The more material 

that can be exported at lower costs 

makes the business more feasible. 

Wherever possible, we would look 

at the potential of replacing imported 

products. Local manufacturers will be 

identified and will be assisted by Sasol 

ChemCity to grow the business in 

order to supply the imported product. 

In doing so, manufacturing costs of 

the alternative building material will be 

reduced, thereby increasing profits for 

the business. 

d. SANS 204 compliant technologies: 

The alternative building technology 

must conform to the minimum 

requirements of SANS 204. Although 

conforming to the standard is 

currently voluntary, it is expected to 

be compulsory by September 2010. 

Furthermore, Sasol ChemCity aligns 

itself with the energy efficiency 

strategy of South Africa by supporting 

technologies that contribute to the 

holistic solution. 

e. Potential Green star rating: The 

potential for the product to form part 

of a holistic solution in terms of Green 

Building is also evaluated. Such 

criteria include insulation values of 

the material, source of raw materials, 

transportation of materials, ability to 

recycle, and building waste on site. 

The ABT team will work in collaboration 

with the Green Building Council of 

South Africa (GBCSA) to encourage 

the appropriate technologies. 

259


f. Definite market need: The need for 

housing in South Africa is quite evident; 

however, the social acceptability of the 

product must be demonstrated. Albeit 

a challenging task, it is crucial that the 

end user will purchase the product. 

Some incubatees have demonstrated 

this by building show houses and/or 

entering competitions specific related 

to alternative building technologies. 

Challenges 

Sasol ChemCity foresees opportunity in the 

establishment of SMMEs directly and indirectly 

linked to alternative building technologies 

which will result in the creation of jobs and 

wealth. In the residential sector alone, there 

is a definite need for housing with the current 

backlog at approximately 2.2 million. Not only 

is the need focused on numbers but also on 

the quality of the homes that can be provided. 

Sasol ChemCity has only just entered this 

industry space and is by no means an expert in 

this sector. However, good industry knowledge 

is essential in assisting our entrepreneurs; 

hence we have explored the industry as best 

as we could. In doing so, we have identified 

some challenges faced by our entrepreneurs 

in entering the market. 

It is without a doubt that alternative building 

technologies have the potential to address 

many of the issues currently experienced with 

housing the nation, however, there are a few 

challenges in implementing these solutions. 

The first and foremost challenge is access 

to the market. There are a few factors that 

contribute to this and they can be outlined as 

follows: 

- Social Acceptability: Alternative 

building technologies have been 

around for many years; however it 

appears that the end user perceives 

the product to be inferior to 

conventional building materials, even 

though some of the technologies 

that have been licensed into South 

Africa have been widely used on 

an international scale. ABSA bank 

has hosted two competitions for 

alternative building technologies – the 

first in Soshanguve and the second in 

Wellington. They have indicated that 

the social priorities in the two areas 

differed, thus making it difficult to 

establish general criteria to make an 

alternative building system socially 

acceptable. 

- Bonding of Homes: Some banks have 

indicated that they will bond the homes 

on condition that the building systems 

obtain an Agrément Certificate. This 

is a fair request however, there is a 

general perception that the banking 

industry is reluctant in bonding 

homes built from alternative building 

technologies. Strong and visible 

support from the banking industry for 

these alternative building technologies 

will facilitate the businesses in gaining 

access to the market. 

- Accreditation: It is clearly understood 

that the relevant accreditation from an 

institution such as Agrément South 

Africa or South African Standard of 

Bureaus is essential to the business 

as it brings credibility to the 

260


business with regard to the 

technology. This allows the business 

to tender for certain contracts as these 

certifications are a requirement of the 

tender process. However, as a startup 

business, many of the businesses 

do not necessarily have the cash to 

conduct the entire product testing 

required. The ABT team is evaluating 

workable solutions to this challenge. 

homes are too small to build a substantial 

cash flow. Although there is a greater need 

for subsidised homes, businesses will be 

more profitable and sustainable if they supply 

affordable bondable homes and homes in the 

high end market. 

Sasol ChemCity’s positioning in 

the Alternative Building Technology 

Industry 

- Government Subsidies: Most 

entrepreneurs find it challenging to 

build a quality home where the costs 

fall within the government subsidy. It 

is the opinion of some entrepreneurs 

that the government subsidy amount 

be increased to ensure that a better 

quality home can be built. 

The second challenge identified is risk of cash 

flow of business. As a start-up business, on 

time payment from clients is crucial for the 

sustainability of the business. This risk is even 

higher when businesses supply subsidised 

homes as the profit margins on subsidised 

Sasol ChemCity is committed to working in 

partnership with government and partners 

in all spheres to foster development. The 

collaboration between Sasol ChemCity and 

its partners is intended to assist in facilitating 

enterprise development and the associated 

job creation. Knowing the challenges faced 

by the entrepreneurs in the alternative 

building technology space, Sasol ChemCity 

has created a value chain that will allow the 

entrepreneurs to overcome the most difficult 

challenge – access to the market.[Figure 2] 

Figure 2: Alternative Building Technology Enterprise Development Model 

261


The need in the market is evident- not only 

because of the backlog in housing, but also 

because of the drive of energy efficiency 

in the country which will warrant the highend 

residential and commercial sectors to 

employ the alternative building technologies 

as building methods. The benefits of these 

building systems are better understood in the 

high-end market. More awareness needs to be 

created at the lower end market to educate the 

end user on the benefits of these products. 

The Polymer Focus Group has established 

relationships with large building material 

supply companies such as Saint-Gobain, as 

well as large construction companies such as 

Group Five in order to aid access to market for 

our entrepreneurs. Other companies include 

SMME’s such as Novo Domus (an incubated 

company of Sasol ChemCity), and private 

developers. 

Due to the fact that almost all of the alternative 

building technology suppliers are in the startup 

phase of their businesses, they have 

to be both manufacturer and contractors 

even though the aim of the business is to 

manufacture the alternative building systems. 

The Polymer Pocus Group has grown the 

Alternative Building Technology portfolio 

to approximately 8 potential suppliers. The 

technologies fall within 3 categories: Structural 

Insulated Panels (SIPs), manufacture of bricks 

from natural elements and Insulated Concrete 

Forms (ICF’s). The structural insulated panel 

system consists of an expanded polystyrene 

core with magnesium oxide, calcium silicate, 

oriented strand or gypsum boards as outer 

skins. The expanded polystyrene can also be 

mixed with some cement to strengthen the 

system. The brick system is manufactured from 

a 98% soil mixture and can be fitted together 

like Lego blocks. The insulated concrete form 

building system allows one to build the house 

to roof level with the expanded polystyrene and 

thereafter pour in the concrete. The expanded 

polystyrene acts as a shuttering system and 

remains in the building system to provide 

insulation for the building. 

The clients (developers and end users) do not 

want a walling system, they want a complete 

home. Consequently, the Polymer Focus 

Group is developing a supply chain that can 

supply other alternative building materials 

such as wood plastic composite door frames 

and window frames. In collaboration with the 

Department of Trade and Industry and the 

North West University, a centre of excellence for 

wood plastic composites has been established 

at the North West University. This centre allows 

entrepreneurs to develop their products by 

manufacturing and testing the product at the 

facility. The Renewable Energy group in Sasol 

ChemCity has a team specifically focusing 

on the solar water industry. A gap has been 

identified in the industry in that there are not 

enough solar water heaters installers with the 

correct skills to install the systems. The team 

is in the process of establishing installers and 

these incubatees could form part of the value 

chain. Alternative energy products such as 

energy efficient lights, solar powered street 

lights, solar garden lights etc will form part of 

the value chain. There is a constant search 

for better alternative and greener products 

on the market. The Liquid Chemicals group 

in Sasol ChemCity assists entrepreneurs in 

the formulations of paints. There is a need for 

greener paints in the industry, especially 

262


if these paints can be made more affordable 

for the low cost and affordable housing. 

Sasol ChemCity has partnered with Nurcha 

to establish viable project funding solutions 

for the entrepreneurs. Nurcha is a section 21 

company that is funded by the South African 

government in partnership with the Soros 

Foundation, various overseas donors and other 

commercial lenders. The company provides 

bridging finance for construction companies 

that support the national programme to house 

all South Africans in sustainable human 

settlements. These include contractors and 

developers who are involved in the construction 

of subsidy and affordable housing, community 

facilities and infrastructure. There are currently 

two projects that are being discussed with 

Nurcha. 

As previously mentioned, funding for 

product testing is a stumbling block for the 

entrepreneurs. The Polymer Focus Group 

is collaborating with Agrément South Africa, 

South African Bureau of Standards (SABS) 

and Small Enterprise Development Agency 

(SEDA) to explore workable solutions in 

assisting the entrepreneurs with funding the 

product tests required for accreditation. 

Once the alternative building technology 

suppliers have gained enough market access, 

they will become manufacturers. There will 

then be potential to incubate contractors that 

utilize alternative building technologies. The 

ideal model is shown in Figure 3. 

Figure 3: Ideal ABT enterprise development model 

263


Significant growth of alternative building 

technologies in South Africa may warrant 

the local production of polystyrene. This is 

a long term objective and will be monitored 

and evaluated on a regular basis. Once this 

model is working efficiently, the portfolio will 

be expanded to include chemicals in the 

building and construction industry. Preliminary 

industry analysis has indicated the potential 

to locally manufacture chemicals required in 

the building and construction industry. Further 

analysis will be done to identify specific 

products and markets that should be targeted. 

The opportunity also exists to assist large 

building material suppliers and construction 

companies in transforming their suppliers into 

BEE companies. 

9.2. The way forward 

South Africa is currently experiencing a spurt in 

alternative building technologies. Many of the 

technologies are being sourced from foreign 

countries where the concept has been proven 

for many years. Although the technology 

may be suitable, Sasol ChemCity foresees 

the need to ensure the development of 

sustainable businesses in this industry through 

viable business concepts as well as skilled 

entrepreneurs. As a business incubator, Sasol 

ChemCity plays a vital role in this industry 

to distinguish a product from a business. In 

doing so, the potential for alternative building 

technologies to address the housing backlog 

in the country, to contribute to economic 

development, thus creating jobs and wealth; 

will become a viable solution. 

By collaborating with key stakeholders in 

the industry, the Polymer Focus Group 

is constantly gaining valuable industry 

knowledge and creating resourceful networks. 

In doing so, a centre of excellence with regard 

to business incubation in the alternative 

building technology industry is being created. 

It is of the Polymer Focus Group’s opinion that 

employing alternative building technologies 

to supply into certain human settlement 

development cannot be totally segregated from 

social enterprise development. If sustainable 

human settlements are to be created, the two 

concepts should be propositioned together. 

A theoretical study was done on a 2000 unit 

development for subsidised homes, where 

the community comprised of 12 000 people 

(6 people per household). For an additional 

R2500- R3000 per house, 333 veggie 

tunnels can be established to feed the entire 

community throughout the year and generate 

a sustainable income for the business owners. 

Approximately 4 bakeries can be established 

that will provide 150 loaves of bread per 

day. Employment in the community can be 

summarised as follows: 

People that qualify for houses - 2000 jobs 

Veggie tunnels 

- 800 jobs 

Bakeries 

- 40 jobs 

Based on these figures, 23% of the community 

will be employed. This excludes potential 

employment from other opportunities such as 

construction of the homes, manufacturing of 

bricks, electrical installations, plumbers, etc. 

Depending on the building technology being 

used, this additional cost can be factored into 

the building costs. 

264


The amalgamation of the alternative building 

concept with the social enterprise development 

concepts will form part of the solution of 

creating a sustainable human settlement. 

Furthermore, it will also satisfy the basic needs 

of the people in the community 1 

Figure 4: Maslow’s Hierarchy of needs 

Although Sasol ChemCity is fairly new to the 

alternative building technology industry and 

are by no means experts in the field, there is 

a definitive value add for a business incubator 

like Sasol ChemCity in this industry. 

opportunity to present this paper. 

Acknowledgements 

The authors wish to thank the Sasol ChemCity 

focus groups for their contribution. The authors 

also wish to thank the large construction 

companies, large building material supply 

companies, Nurcha, Agrément South Africa, 

South African Bureau of Standards (SABS), 

Small Enterprise Development Agency (SEDA) 

and Green Building Council South Africa 

(GBCSA), Department of Trade and Industry 

and North West University for collaborating 

with the Polymer Focus Group. Thank you to 

the Department of Human Settlement for the 

265 

1 

http://www.theurbn.com/2010/08/maslows-hierarchy-residential-housing/


The Use Of Alternative Technologies In Low Cost 

Housing Construction: Why The Slow Pace Of 

Delivery 

. 

Chief Directorate: Research 

National Department of Human Settlements 


The centrality of innovation in meeting the 

housing needs of post-Apartheid South Africa 

has been expressed through various pieces of 

legislation and programmes. The most prominent 

being the New Housing Policy and Strategy for 

South Africa: White Paper of 1994 which states: 

‘it is only by mobilising and harnessing the 

full diversity of resources, innovation, energy 

and initiative of individuals, communities, the 

State and the broader private sector, that the 

challenge can be met effectively’. Furthermore, 

the Comprehensive Plan for the Development 

of Sustainable Human Settlements approved 

by Cabinet in 2004 put emphasis on innovation 

particularly the use of alternative building 

technologies as a means of responding to an 

increasing need for adequate shelter. Although 

many pilot projects on alternative building 

technologies have been implemented since 

1994, in the past five years the discourse on their 

appropriateness, costing, availability, capacity, 

skills need, etc. has increasingly gained currency 

in the South African human settlements milieu. 

In 2007 the National Home Building Regulation 

Council (NHBRC) was mandated to explore 

new designs that would provide a wider choice 

of quality, aesthetically pleasing and affordable 

housing. The resultant Eric Molobi Innovation Hub 

in Soshanguve gave opportunity for innovators 

to showcase alternative building technologies or 

innovative systems. Following the establishment 

of the Innovation Hub, provincial departments 

made strides towards exploring alternative 

building technologies in provincial housing 

development projects. 

In the past fifteen years, the provincial uptake 

of alternative building technologies remained 

slow and sporadic despite initiatives designed 

to explore various technologies and the 

promise that they could speedily help address 

the housing backlog which currently stands at 

over 2 million. Between 1994 and 2010 about 

2.9 million housing units were delivered for low 

income earners, however, research studies 

conducted during the same period indicates 

that only 17000 of these were constructed using 

alternative building technologies or innovative 

systems (NDoH, 2004; NDHS, 2010). In essence 

alternative technologies only contributed 0.6% of 

the total government housing delivery. 

In 2003 the Department of Housing conducted a 

study on the extent to which alternative building 

technologies were used in low income housing 

projects and the socio-economic impact of these 

technologies on beneficiaries. The second 

research conducted in 2008 focused primarily 

on officials – it made an enquiry on reasons 

there was limited implementation of alternative 

building technologies. 

266


The study conducted in 2010 updated and 

reanalysed data collected for the study completed 

in 2008. In exploring reasons there is no large 

scale uptake of alternative building technologies 

in government housing projects, this paper is 

informed by the three studies. 

2 Overall provincial experiences 

Generally, the utilisation of alternative building 

technologies in government housing projects 

was found to be inadequate as only Gauteng 

Province was the most active and consistent. 

The study found moderate effort in other 

provinces such as Eastern Cape and Western 

Cape. Kwazulu-Natal Province indicated that 

the use of alternative technologies is limited 

to transitional housing while the intention is to 

establish a showcase innovation hub. Attempts 

by the Free State Province is limited to only one 

show house while Mpumalanga and Limpopo 

Provinces though reported not having any 

current projects, reported that they established a 

database of providers of technologies. Northern 

Cape Province is confronted by complex 

challenges marked by failures of the technology, 

political related matters and social acceptability 

issues. North West is the only province that did 

not report any activities relating to the use of 

alternative building technologies. 

Despite these hindrances research studies 

conducted in 2003, 2008 and 2010 found 

that there is a variety in the type of alternative 

building technologies provinces trialled although 

certain technologies appear more popular. 

Further, the 2010 study noted that provincial 

preferences are consistently changing and 

reasons for the inconsistencies could not be 

established. For example, research conducted 

in 2003 found higher frequencies in the use of 

compressed earth blocks, interlocking blocks, 

shutters and concrete, everite fibre cement 

blocks and ecoframe building materials (NDoH, 

2003). On the other hand, research undertaken 

in 2008 and 2010 identified concrete panels, in 

which three systems were the most commonly 

used technologies across provinces: Goldflex 

100 & 800 Building System and Cemforce 

GRC. The second most popular technology 

or system is the hydraform building systems. 

Gauteng province made use of this system at 

Soshanguve. The third most commonly used 

technologies are polystyrene based with imison 

building technology the most popular – this has 

been used extensively in Gauteng particularly 

in the backyard upgrading project in Zola, 

Soweto. Moladi system was the most preferred 

particularly in the Eastern Cape. 

Surprisingly, provinces reported similar 

experiences with regard to the use of alternative 

technologies. None of the provinces have special 

budgetary arrangements or procedures for the 

procurement of alternative building technology. 

This means that alternative technology projects 

are subjected to the same approval processes 

as brick-and-mortar. The study established that 

officials responsible for implementation often are 

not certain of how alternative technology projects 

should be managed – the issues mentioned 

range from procurement to construction. Despite 

an understanding that both the National Building 

Regulations and the Housing Code do not 

prevent provinces from procuring alternative 

building technologies, a lack of clear directive 

from national department was mentioned as a 

contributing factor in exacerbating the situation. 

267 

1 

In June 2009, Department of Housing changed to Department of Human Settlements.


A limited understanding of alternative building 

technologies and systems was reported by 

provinces as limiting large scale implementation. 

Respondents mentioned that as a consequence 

there were projects wherein contractors or 

providers were hired without the necessary 

Agrément certificate, thus contravening the 

National Building Regulations. 

Provinces noted that alternative technologies 

and innovative systems have not, contrary to the 

claims of providers, amounted to savings for the 

department. In some cases, provinces found that 

some of the technologies had hidden costs which 

made their usage in government subsidised 

houses more expensive (NDoH, 2008). 

Conversely, in cases where the technology was 

less expensive, the savings were not accrued to 

the state as the same subsidy amount is paid 

for all houses whether built with alternative 

technologies or conventional building materials. 

All provinces acknowledged the potential of 

alternative building technologies in increasing 

the speed of construction – they reported that a 

40m2 house can be build in four to seven days 

compared to the 30 days taken when using 

conventional building materials (NDHS, 2010). 

As provinces battle to meet the demand for low 

income housing, the fast paced construction 

provided by alternative building technologies 

proved more appealing however, it is important to 

note that alternative building technology projects 

are often delayed because of the training required 

for labour before the start of construction. As 

a result, the difference in the pace of delivery 

between conventional and alternative building 

technology is often insignificant or not realised. 

3 Why the slow up-take of 

alternative building 

technologies 

The study established that (a) the policy space 

and building regulations do not prohibit the 

use of alternative building technologies in 

government housing development projects (b) 

there are a variety of technologies in the market 

but mostly have limited production capacity (c) 

although provinces have trialled or engaged with 

different technologies, this has not resulted in 

large scale housing development projects. The 

study identified a number of challenges which 

can be classified into three categories: matters 

related to beneficiaries, developmental issues, 

and institutional. 

3.1 Perceptions of Beneficiaries: 

Arguable, technically approved building 

materials do not necessarily imply acceptance 

of the technology by the beneficiaries. Negative 

perceptions of beneficiaries have been cited 

as one of the challenges preventing up scaling 

the use of alternative building technologies 

particularly in government housing development 

projects. Respondents cited the unfamiliarity 

of beneficiaries with the products and thus 

beneficiaries developing scepticism of that 

which they do not know. Beneficiaries tended to 

believe that they are devalued by the state and 

are therefore given inferior product. Providers of 

alternative systems and technologies often do 

not - without government assistance - conduct 

sufficient marketing of their products to the 

beneficiaries. 

268


3.2 Quality of structures: 

Studies conducted in both 2003 and 2010 

found that within a few months of completion of 

construction structural defects such as gaping 

wall cracks, roof leaks, unstable roofs, water 

penetration and seepage were experienced. 

In some cases houses were demolished due 

to shoddy workmanship. All these problems 

contributed to already negative perceptions 

of alternative building technologies which 

prevented large scale rollout. 

3.3 Developmental issues: 

Minimal manufacturing capacity and focus on 

importing 

Most companies tend to rely on importing the 

materials they use, functioning as traders while 

manufacturing plants are based in foreign often 

developed countries. This can have negative 

impact on economic development as it expands 

the country’s import value and increases capital 

outflow instead of expanding the manufacturing 

capacity of the country. Secondly, beneficiaries 

find it difficult to extend the units because 

materials are not readily available. 

Job Creation and local economic development 

South Africa is a developing country with 

unemployment rate of about 25.3% (Stats SA, 

2010) therefore improvement of living conditions 

of the poor through job creation among others 

is a priority of government. While conventional 

building processes have proven to have the 

ability to create a variety of opportunities for 

the unemployed in local communities through 

bricklaying, material provision, subcontracting of 

services, etc. alternative building technologies 

are not there yet. These technologies are often 

high tech, requiring extensive training which is 

not often carried out properly as it is seen by 

providers as eroding profits. 

Business sustainability and protection of 

consumers 

Most companies were found to be new ventures 

that import materials from mostly developed 

countries and their sustainability or potential 

to expand is often associated or dependent 

on accessing government projects. Although 

government has a role to support innovation it 

also has a duty to protect the consumers, as a 

result when there are too many unknowns to 

contend with, the tendency is not to invest or - 

as seen in the past 10 years - to have minimal 

investments in alternative building technologies. 

The price of alternative building materials 

A number of providers of alternative technologies 

claim that alternative building technologies will 

make housing development cheaper for the 

state. On the contrary, the studies conducted in 

2008 and 2010 found that the use of alternative 

building materials is not cheaper than brick-andmortar 

and when there are savings these were 

not accrued to the beneficiaries or the state – 

only providers benefitted. 

3.4 Institutional support 

Procurement and tender processes 

Although the department has had keen interest 

in using alternative building technologies and 

systems, there has been little, if any institutional 

269


arrangements made to make the process smooth. 

Officials mentioned the lack of procurement 

policies for alternative building technologies as a 

constraint that prevented their up-scaling. 

Inspections 

Under the Consumer Protections Act, 

government has an important role of protecting 

consumers from dishonest business practices. 

This is a function which the Act delegates to the 

National Home Builders Registration Council 

(NHBRC). However, with regard to houses 

constructed using alternative building material 

and systems, there is misalignment as Agrément 

South Africa is not often invited to inspect the 

use of alternative building technologies in 

government housing projects. Therefore, though 

inspections might be carried out by qualified 

engineers, they are not always undertaken by 

officials who understand the comprehensive 

certification conditions the material or system 

carries. Provinces also indicated that their own 

in-house inspectors were not experienced in 

the quality assurance of alternative building 

materials as not all materials would have known 

‘look outs’ that gives an indication of the quality 

and strength of the structure. 

4 Conclusion 

The fact that alternative building technologies 

have not taken root in provincial housing projects 

is indicative of the complexity of changing 

people’s mindsets, and multiplicities in dealing 

with these technologies. Efforts to up-scale 

alternative building technologies in provincial 

housing projects should therefore be done with 

due consideration of these intricacies, and an 

awareness that it demands a comprehensive 

multi-pronged strategy. 

5 References 

Burnett, P. 2007. Eco-friendly green housing bumps against red tape. Science in Africa. March 2007. 

National Department of Housing (2003). The extent which alternative building technologies are used 

in low cost housing projects and their socio-economic impact on beneficiaries. 

National Department of Housing (2008). Going to scale with Alternative Building Technologies in 

South Africa: a Progress Report. 

National Department of Human Settlements (2010). Updating existing knowledge on the usage of 

alternative building technologies in housing construction. 

Statistics South Africa (2007). Community Survey 2007. 

Statistics South Africa (2010). Quarterly Labour Force Survey. 

270


Coming To Terms With Alternative Building 

Technology: Gauteng Province Experience 

. 

Chief Directorate: Housing Needs, Research and Planning 

Gauteng Provincial Department of Local Government and Housing 

and 

Chief Directorate: Research 

National Department of Human Settlements 


In the last 15 years, the Gauteng Provincial 

Department of Local Government and Housing 

has delivered more than 500, 000 units to poor 

households. However, this delivery has not 

been sufficient to meet increasing demand for 

housing in the province. Inevitably, a deficit of 

600, 000 households continue to live in housing 

conditions that do not meet acceptable minimum 

requirements for residential quality. Many 

reside in informal settlements and overcrowded 

backyard shacks. According to Statistics South 

Africa, in Guateng Province the 2007 Community 

Survey showed a decline of 1% in the number 

of households leaving in formal dwellings from 

74.6% in 2001 to 73.5% in 2007. Arguable, this 

could indicate a possible increase in demand 

for low cost housing creating an additional 

burden for the state. It is for this reason that the 

department explored different means of meeting 

the growing need for adequate shelter. 

This paper explores the experience of the 

province in its engagements with alternative 

building technologies and innovative building 

systems. The paper narrates the experience 

of practitioners such as project managers 

and other officials involved in various housing 

development projects where alternative building 

technologies are utilised. It is also important to 

note that, though the province began trying out 

alternative building technologies since early days 

of democracy, this paper focuses on the most 

recent (between 2004 and 2010) experiences. 

2. Preparatory work: working the 

ground 

Preparatory work that the provincial department 

had undertaken included consultation with the 


(CSIR) which is a significant research 

institution for innovation and alternative building 

technology and with the National Home 

Builders Registration Council (NHBRC). The 

consultations assisted the department to gain 

insight and understanding of alternative building 

technologies and the technical requirements in 

constructing houses with such technologies. In 

addition, the departmental officials gained insight 

by visiting housing projects where alternative 

building technologies had been utilised. The visit 

to Eric Molobi Innovation Hub provided valuable 

lessons in understanding the various types of 

technologies available. 

Once the Department made a decision on the 

type of building technology, a bill of quantities 

was determined by a quantity surveyor. 

When appointing the providers of alternative 

technologies the normal government tender 

271


processes for housing construction were applied. 

It is important to note that despite promises of 

savings that is usually associated with alternative 

building technologies, in all projects, units 

were built with the applicable subsidy amount. 

Prior to the commencement of construction, 

NHBRC inspectors underwent training in order 

to understand the specific technology and its 

application. 

3. Projects: delivery through 

alternative technologies 

In the past six years the delivery of houses with 

the use of alternative building technologies 

contributed less than 1% (about 3000) to the total 

number of units built by Gauteng Department 

of Local Government and Housing. During this 

period the province completed in excess of 200 

000 units using brick-and-mortar. The provincial 

attraction to alternative building technologies is 

based on the understanding that construction 

is quicker compared to conventional brick-andmortar. 

The study found a number of reasons 

that explains why alternative technologies have 

not been able to deliver as expected and these 

are discussed in more details in the following 

subsections. 

What has been delivered though alternative 

building technology 

Geographically the housing projects delivered 

using alternative building are spread in 

various parts of the province with the City 

of Johannesburg taking the biggest share. 

Imison which uses insulated walls consisting of 

expanded polystyrene core cladded with plaster 

on both sides was used in Zola, Soweto for 

upgrading of informal backyard structures. This 

project delivered 1387 backyard units. The same 

material was also used in Finetown to construct 

37 units. 

At Nomzamo in Soweto 468 units were 

constructed using polycon bricks which are 

manufactured partly from polystyrene aggregate. 

The other prominent project was in Kaalfotein, 

where prefabricated concrete walls were used 

to construct 800 units. In Diepsloot West Ext 5 

moladi was used to construct two show housing 

units - the technology consists of moulds and 

concrete mixture with added moladi chem. 

City of Tshwane has not had as many projects; 

what is worth mentioning are projects in 

Attridgeville and Mamelodi where various 

alternative building technologies were used to 

deliver 533 units as part of informal settlements 

upgrading programme. In Vlakfontein Ext 3 four 

hundred and four (404) units were constructed 

using Goldflex 100 which uses concrete panels. 

Challenges experienced 

There are a number of reasons housing delivery 

through alternative building technologies has 

remained negligible compared to conventional 

materials despite claims of a reduction in 

construction time and improved quality of 

structures. Challenges experienced came from 

multiple sources which included the Department, 

developers and communities. 

a) Limited capacity of alternative 

building technology providers 

For the most part, companies providing alternative 

technologies are new ventures or mere providers 

of the technology without experience in the 

272


management of housing construction projects. In 

some cases, during the construction phase, the 

province established that appointed construction 

companies did not have sufficient cash flow and 

qualified manpower, which often caused major 

delays. The province also discovered that in the 

majority of cases, providers are not the inventors 

or manufactures of the technology and problems 

arise when there are no established methods of 

procurement which means that the initial cost of 

projects is often exceeded. 

b) Technology level 

Some of the alternative building technologies 

are considered high-tech which on its own 

does not present a threat as all technologies 

go through the same loop from being high-tech 

to low-tech. However, South Africa especially 

Gauteng province has a saturation of unskilled 

and unemployed labour and the use of high-tech 

building materials requires investment in time and 

money in training the local labour force. In most 

cases, this training although necessary delayed 

the commencement of construction, which often 

led to delays in the completion of the projects. 

In other instances labour was not sufficiently 

trained resulting in poor workmanship. 

c) Limited understanding of, and 

resistance to, alternative 

technologies within the department 

Innovation means the development of new ideas 

which requires change and most officials were 

found to experience difficulties in accepting the 

new building technologies. The study determined 

that officials had minimal understanding of 

the processes that govern the use of these 

technologies in the construction of housing as 

a result providers were appointed without the 

necessary Agrément and NHBRC certificates. 

At times, officials responsible for monitoring 

quality of structures did not have the expertise 

in alternative building technologies and did not 

understand the full extent of the certificate. 

d) Community resistance to alternative 

technologies 

There were a number of challenges that had 

to do with beneficiaries not being familiar with 

alternative technologies and innovative building 

systems. Firstly, communities had a perception 

that anything that is not built with bricks-andmortar 

is substandard and unpleasant. This 

resulted in rejection, lack of buy-in and in some 

cases resistance at start-up of many projects. 

The caused setbacks in the commencement 

of construction and also increased the costs 

of projects as the department had to invest in 

rigorous consumer education and intervention 

strategies. Secondly, beneficiaries complained 

about the difficulties experienced in hanging 

pictures as nails cannot penetrate the cement 

concrete or reported chipping of the polystyrene 

walls. Thirdly, beneficiaries complained that 

it was difficult, if not impossible, to carry out 

alterations such as adding or removing doors, 

windows, and other utilities once the structures 

were complete. 

e) Quality of the structures 

There were cases where the structures were not 

of good quality as a result of poor workmanship. 

In Finetown units were demolished and rebuilt 

because of shoddy workmanship. 

273


4. Lessons learned 

The utilisation of alternative building technologies 

in the past six years has enabled the provincial 

department to learn the following: 

• Firstly, in order to upscale the use of 

alternative technologies, it is vital to invest 

in consumer education. Beneficiaries 

need to understand the materials, 

their strengths and weaknesses, and 

maintenance. Also, the acceptance of 

the alternative building technology by 

beneficiaries should be secured prior 

to commencement of construction 

of houses using alternative building 

technologies. 

• Secondly, construction contracts should 

only be awarded to providers of 

alternative technologies who have 

experience in housing construction 

and not to companies that have an 

idea but lack practical implementation 

experience. 

• Thirdly, although monitoring and quality 

assurance is important in all construction 

projects, the two are even more vital 

when the construction is innovative or 

using alternative building technologies. 

It is important that both National Home 

Builders Regulation Council (NHBRC) 

and Agrément be part of the monitoring 

of government houses constructed 

with alternative materials or innovative 

systems in order to protect the 

consumers. 

• Lastly, thorough feasibility studies 

of local conditions should be conducted 

prior to the commencement of 

construction using alternative building 

technologies. Complementing this, 

implementing officials or agencies 

should consult the full certification by 

Agrément to ensure that it is suitable for 

local conditions. 

5. Conclusion 

The pressures exerted by the demand for 

adequate shelter for poor household obligated 

the Gauteng Department of Local Government 

and Housing to open to different construction 

technologies and systems. Since 1994 the 

department has engaged with alternative 

building technologies and innovative systems. 

Despite this, the experiences of the province 

in using alternative building for low income 

household has not been easy. However, the 

province does not view the small delivery 

through alternative building technologies as a 

total failure as the years of exploration provided 

excellent education in finding alternatives means 

of providing adequate shelter. 

274


Bibliography 

Foss, K. (2008). The polystyrene house, The Star: 13 June. 

Gauteng Department of Housing (2005). Report on Registration of Informal Settlements. 

Johannesburg. 

Marx, C and Royston L. (2008). How the poor access, hold and trade land in informal settlements 

of South Africa: case studies of Cape Town, Ekurhuleni and eThekwini. Available online: www. leap. 

org.za 

Marx, C. (2003). Supporting Informal Settlements. In Khan, F and Thring P (eds.) , Housing Policy 

and Practice in Post -Apartheid South Africa. Heinemann Publishers. 

Michael Pavlakis and Associates (2007). Report to Gauteng Department of Housing on a Geotechnical 

investigation for the proposed Nomzamo Township, Soweto. Consulting Geotechnical Engineers. 

(Original copy in records of the Gauteng Department of Housing). 

National Department of Housing (NDoH). (2004). A Comprehensive Plan for the Creation of 

Sustainable Human Settlements: Breaking New Ground. Pretoria. 

National Department of Human Settlements (NDHS) (2009). National Housing Code. Government 

Printers, Pretoria. 

South Africa (1996). Constitution of the Republic of South Africa, Act 108 of 1996. Pretoria: 

Government Printer. 

275

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Human Settlements Review 

VOLUME 1, NUMBER 1 

SEPTEMBER 2010 

ISBN: 978-0-621-39733-8 

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Human Settlements Review - Parliamentary Monitoring Group

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