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Chapter Four: Research Methodology
Undertaking any research requires that there be a method of collecting and analyzing data.
The objective of this section is to outline and describe the relevant method of data collection and analysis.
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The first case study (Amawoti-Cuba) is an upgraded informal settlement, and the second one (Barcelona 2) is an ongoing upgrading project.
4.1.2 Fieldwork/ Field Visits
Bechhofer and Paterson (2000) argue that fieldwork is exceptionally good at providing access to the negotiated social order and everyday processes through which it is negotiated and sustained. It is generally an important form of data collection and observation by which a researcher gains a close, and sometimes intimate, acquaintance relationship with whom he/she interacts. In conducting fieldwork the principles suggested by Bechhofer and Paterson (2000) were adopted. They argue that the researcher, in a fieldwork situation, should be able to strike a careful balance between just being a researcher and becoming acquainted with some people in the area. They highlight dangers of trust and mistrust that might occur. These are, however, beyond the scope of this dissertation but their basic understanding is of valuable importance.
4 field visits were made to each case study area by the researcher. The initial trip entailed situational analysis of the areas. It included elements of physical and social environment analysis. Physical analysis was aimed at checking whether or not the areas were walkable.
Social environment elements aimed at understanding social hierarchies of authority and leadership. This was a useful analysis because later on it offered freedom and protection for the fieldwork to be conducted with relative ease. As soon as people realised that all necessary hierarchies had been observed, they were willing to engage and help whenever possible.
These aspects were crucial to the understanding of broader societal issues that might have affected the research. Frequently, communities reject or even react violently to people who do not observe the hierarchies of power. More generally, the field visits allowed for the development of a rapport with subjects and the environment from which data was to be collected. The other visits were to conduct questionnaire surveys with households.
Appointments with the professionals were made two weeks in advance. All the professionals were emailed an interview schedule and format including questionnaires before the actual interviews.
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4.1.3 Sources of Data
It is a general consensus that sources of data are core contributors to any research. They provide the study with relevant data. In most circumstances, the relevance and importance of data provided by each source is based on the nature and character of data obtained A personal observation is that primary data sources will often provide relevant data to a particular situation. Secondary data sources may provide relevant and irrelevant data. It is therefore in the discretion of the researcher to take only the data relevant to the objectives of the research being conducted. This research had many options. Primary data was sourced from policy professionals and households through data collecting techniques discussed in Section 4.1.4 below.
Secondary sources of data were identified from an array of available data which ranged from government policy documents, legislative documents, NGO’s documents, articles and official government correspondence. The selection of these sources was informed by the need to create a theoretical and conceptual foundation for this research.
4.1.4 Data Collection
Secondary data was used as a starting point to understand overarching issues in housing, water and sanitation. Policy analysis requires that policy documents and legislation be an integral part of data collection. Data from government policy documents and legislation on the provision of housing, water and sanitation in informal settlements upgrading in Ethekwini Municipality, was collected from national government sources such as department websites and published government reports.
Primary data sources included community members and policy professionals. The household surveys were conducted in the two selected case study areas. Random sampling method was used. This method allowed each household an opportunity to be included in the survey.
30 households were surveyed per case study making in total 60 households. Barcelona 2 had approximately 250 households and Amawoti had approximately 280 households. The reason for choosing 60 households was based on the assumption that informal settlement upgrading projects have uniform characteristics in each given area. Therefore, a small sample size was deemed a rational option given time and monetary constraints from the researcher’s side.
Questionnaires were used to collect data from the households.
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Household interviews were structured and consisted of a combination of close-ended and open-ended questions. The questionnaires yielded qualitative data.
Purposive sampling method was used to identify policy professionals from municipal departments of housing, water and sanitation.
A purposive sample is one which is selected by the researcher subjectively. The researcher attempts to obtain the sample that appears to be representative of the population and will usually try to ensure that a range from one extreme to the other is included (Galloway, 1997)
The policy professionals that were interviewed were from the field of housing, water and sanitation within Ethekwini Municipality. They included the Research Manager from Housing Unit, Deputy Head of Water and Sanitation Department and Planning Manager in Land Section. The interviews were semi structured to allow for an open conversational discussion of broader policy issues. The majority of the questions were open-ended and the purpose of this was to allow free flowing conversation on policy matters that could have not otherwise been stimulated through closed questions and structured interviews. The questionnaires and interview questions were designed to answer the research question (see the appendix). They took into account the broader research objectives.
4.1.5 Data Analysis
The objective of data analysis is to look at and summarize data with the intent of extracting useful information and develop conclusions. The analysis of data is done in a thematic format using research objectives outlined in Chapter 1. Data is categorised accordingly and is placed into these themes. It is therefore discussed within the framework of research objectives and supported by the literature review. The purpose of analysing data this way is to ensure that each research objective is met. The data collected is attached as an appendix to avoid clutter and to make the data analysis process relatively simple. Data is presented using graphs, tables and figures.