Incremental Urbanism: A study of incremental housing production and the challenge of its inclusion in contemporary planning processes in Mumbai, India

Whilst urbanisation reached an unprecedented dimension, in a not so distant future half of the urban population will live in informal¿ settlements. Often subsumed under the pejorative term slum, these habitats account for the majority of the future urban growth. Incremental urban development was once accepted as a viable means of addressing housing needs for large parts of the urban population. However, these approaches were largely abandoned in the 1990s in favour of mass housing provided through public private partnerships. While these largely failed in providing the required quantities and produced poor urban spaces, the scale of the phenomenon is such that incremental urban development needs reconsidering. However, in contrast to the well-documented experiences of the 1970s and 1980s, there is a lack of knowledge about the actual functioning of incremental development in contemporary regimes of urbanisation. Adopting an approach informed by French pragmatist sociology (Boltanski and Thévenot 2006), particularly the sociology of convention (Thévenot 1984), this research inquires into the production of slums at two levels: the intricate reality of housing production in Mumbai¿s slums and the contemporary controversies revolving around urban development. Building on fieldwork in a self-built¿ resettlement colony in Mumbai forty years after it was established, this research examines how incrementally developing settlements are made, maintained, and transformed through everyday practices of local actors. Standing at the crossroads of the market, the political, and the social the so-called contractors are key figures engaged in the processes of construction and house making. As mediators in and of incremental urbanism they produce not only built-up space but also social space. Focusing on contractors as hitherto under-examined figures reveals that self-help housing in Mumbai, in contrast to conventional believes about housing practices of the urban poor, is by and large a professionalised mode of urban production. This research offers a refined account of the intricate reality of housing production and the ambiguous nature of incremental urbanism. Regarding urban planning, this research analyses the on-going revision of the Mumbai Development Plan 2014-2034 and the controversies accompanying it, which brings to the forefront the interplay of powers and arguments that otherwise are disguised in the dispersed and detached everyday making of the city. To better understand the discourse on current planning practices and struggles over conflicting approaches towards slums, this research examines the arguments and legitimization principles that underpin four major positions advocated in the controversies as the `good¿ way to urbanisation. Considering them as equally valid positions allows drawing comparisons between the different conceptualisations of urban planning and development, and the role and legitimacy they confer to modes of incremental urbanism. Reading the two moments in the production of Mumbai¿s slums together sheds light on the challenges to incorporate incremental urbanism into planning processes. It is argued that these challenges lie not solely with the conflicting rationalities ¿ or cosmos ¿ of how to create a just city, which clash in the controversies, but also with the ambiguity of incremental urbanism itself. Both of which contribute to complex processes of invisibilisation, or subalternisation, of incremental urbanism.

Planification urbaine et usages des quartiers précaires en Afrique

Benjamin Michelon

Since 2000, declarations issued in rapid succession by the international community have aimed at setting goals to drastically improve the living conditions of slum dwellers while, in the same time, the slums dwellers increased by 4,5% per year in Africa. Simultaneously, we have witnessed changes in the manner in which city residents perceive space: in today's city, the relationship between places and flows constitutes the new living space and sense of belonging (Castells, 1996). With the changes in the information society, space of flows are transformed into power flows, concentrated in space of flows which dominates more and more space of places, peripheriques areas where flows takes place everyday. Using this theory as grid, it is to re-examine the evolution of urbanization in African cities and their shantytowns. Indeed, this process of domination of the space of flows has implications for the planning approaches and uses of space of place in slums. This dual vision, putting power to the flows of space valued by the elites'cities of the living spaces of places experienced by people, is used to observe, name and understand the past and the future of cities. These elements have resulted in the formulation of a number of questions that have served as guidelines for this research. This research first targets the development of the urbanization process and the role of precarious neighborhoods: what measures are now being implemented by the authorities to reconcile the need to improve the competitiveness of African cities (advocated by donors) with the expectations of people in poor neighborhoods? In a second phase, the role of these neighborhoods' community areas is evaluated: are they a media to be valued and included in the projects to restructure the neighborhoods? Two assumptions have emerged from said questions. The first concerns the process of urbanization in African cities. This involves an analysis of the balance of power between the application of modernizing planning practices and the use of space by the residents of the neighborhoods. The second questions the role of community spaces as efficient public areas within the framework of projects to upgrade the neighborhood. The expected results of this thesis aim i) to understand the evolution of these precarious areas in the building of African cities, ii) to learn about the place and the role of community spaces and to learn from neighborhood upgrading projects. For this study, two cities were chosen: Douala (Cameroon's economic capital) and Kigali (Rwanda's political capital). For each, two methodological perspectives were adopted: the first is a comprehensive study of the entire city, based on plans, planning documents, interviews with local officials, archive documents; and the second is as a local study carried out in a market area of the city, based on observations, interviews, a questionnaire developed from a representative sample of traders, and a social and spatial analysis of the neighborhood. This approach is therefore comparative (two cities and two districts), multi-scale (two scales of analysis), historical (identifying cultural, social and political customs) and interdisciplinary (even holistic to a certain extent, taking into account different disciplines such as law, economics and urban sociology). Ultimately, this study reveals both the local specificities and differences of each city. These dissimilarities were largely developed in the presentation of these territories. They are indeed important, especially for the city of Kigali, which is undergoing a process of post-genocidal reconstruction. However, it also appears that each city's path contains a significant number of common characteristics, mainly linked to the responses they provide to urban problems: globalization today tends to standardize practices. The first element common to both areas is urban duality. This process occurs first in an urban form. The African city today remains a binary geographical entity: the city that separated the indigenous people from the settlers was succeeded by a post-colonial city marking the separation between the inherited formal city and the informal city in creation. This urban confrontation can be seen as a form of inertia, defined as a rectilinear uniform advance, suitable for the fabric of the city. The analysis of the evolution of city planning shows that projects have failed to break this logic. The delay accumulated in this field since the 80s had the effect of amplifying the phenomenon. Furthermore, this duality is reflected in the urban power struggle between the authorities and the inhabitants. On the one hand, the authorities seem determined to reproduce and keep constant both tension with and distance to the population, seeking to maintain their social control over the population. On the other hand, residents of poor neighborhoods regularly claim a "right to the city". This inertia does not mean a lack of change. This manifests itself through urban crises which temporarily break the balance. A new order is then implemented, replicating the urbanization process that prevailed in the old order. In a second phase, this research highlights the struggle for territory which emerges in these African cities. Indeed, in the midst of the general trend of inertia and reproduction, a few evolutions are worth mentioning. There is first of all a real spatial and social fragmentation of urban areas. This process occurs both in the slums and the formal rich neighborhoods mushrooming more and more on the outskirts of the city (near the urban ring roads serving these new places in which to live). To this diversification of territorial situations can be added an increasing number of slum upgrading projects, the results of which fail to meet the original targets. Moreover, even within neighborhoods, there is a fragmentation of community spaces, such as markets. The latter have undergone an important evolution since the 80s, sometimes leading to conflict between this type of local trade and the business carried out in shopping malls, which is claimed to be modern. The influence of the space of flows and the implementation planning process promote liberal "modern" sector, consisting of subsidiaries of large corporations, supermarket chains to a upper class people, while causing profound changes in space with neighborhood markets. The challenge of planning for the city of tomorrow appears to reduce this duality and to take into account this duality to prevent the development of precarious neighborhoods and urban fragmentation.

EPFL2012

En quête d'habitat

Marie-Paule Thomas

This doctoral thesis is based on the observation that the individualization of society that is taking place today has led to new differentiations within the domains of lifestyle and residential choice. Our main hypothesis was that lifestyle influences residential choice. What kinds of differentiation with regard to lifestyles are we seeing currently? What connections are there between lifestyles, residential preferences and localization? Theoretically, the typical methods for describing residential choice and environment rely on epistemological, methodological and empirical corpuses that are quite varied and, at times, contradictory. On one hand do we find economic and demographical approaches based on the theory of the "rational" actor who attempts to optimize his localization according to "functional and economic" parameters (i.e. proximity to the workplace, the price and size of the residence depending on income and background); on the other we find sociological and anthropological approaches based on theories of social action where choice as a general rule is "socially" determined based on the individual's family ties, tradition, culture, way of living or even social position (Authier & al., 2010). Above and beyond such rational or social perspectives, other factors also influence the choices we make, including the sensitive dimension related to an individual's physical and emotional experience of space. In order to grasp all three logics of action in a single analytical frame we based our analysis on the postulate that residential choice is "plural." Thus do multiple criteria – accessibility, social rooting of families, social status of the residential residence, appreciation of the morphological qualities of the environment, etc. – figure into the decision. We assumed that based on their lifestyles that households blended one or the other of these logics of action, thus resulting in their ranking their criteria for choice in different ways. We proposed a conceptualization of lifestyle that offers a compromise between classical structuralist perspectives (Bourdieu, 1979) and individualist perspectives (Beck, 1983). In our opinion residential choices are influenced by a three-fold dimension of lifestyle: urban practices and daily life (stylization), values and urban representations (evaluation) and resources/constraints (stratification variables). Thus did we couple classic vertical forms (training, income, gender, etc.) with new horizontal forms (attitudes, opinions, values, practices, etc.) that engender social inequalities. Residential choice therefore results in a compromise (resulting from lifestyle) between the different functional, social and sensitive criteria that are or are not present in the structural, socio-historical, environmental context (potential receptiveness). Methodology The cities of Bern and Lausanne in Switzerland – two cities of comparable size but whose socio-historical backgrounds and urban structures vary significantly, particularly with regard to the quality of public transportation service – served as the field for our study. As families often use long-term residential choices to realize plans for the future, we chose to look at them. We used a combination of quantitative and qualitative methods for our empirical work. At the macro level we describe the territory using a series of functional, social and sensitive indicators that allowed us to characterize "potential receptiveness" at different levels, from citywide to neighborhood. At the micro-sociological level we conducted: a quantitative telephone survey of 500 households in each agglomeration, a qualitative survey comprised of 40 semi-directive interviews in eight neighborhoods that distinguished themselves by their geographical location (central, suburban, peri-urban) and architectural diversity. Principal findings In general our findings show that income inequalities have a discriminatory effect on the size and price of the residence as well as on the probability of finding a living space that is entirely adapted. These inequalities however only play a secondary role when it comes to explaining differences in terms of residential preferences. Whether or not the households had a weak or strong income, certain areas of the city were never considered if they did not correspond to the individual's lifestyle. To begin we showed that the immediate environment plays an important role in quality of life for families, especially with regard to the presence or absence of elements favoring children's autonomy. Access to public transportation for instance is a decisive factor in terms of localization for most families. Above and beyond these commonalities we highlighted six axes of differentiation for residential preference that indicate the qualities most sought after by families: do they want to live in an environment that first and foremost is safe, densely-populated, convivial, traditional, calm or elite? To identify how families classify choice criteria and in so doing position themselves on the different axes we did a typological analysis, thus allowing us to categorize households into seven major "residential lifestyles," each of which valued the environment's social, sensitive and functional qualities in varying degrees. Thus we found there was not a quality of life that held true for all groups but rather qualities of life. Two main groups stood out, highlighting as such the contrast between ways of living typical of (modern) industrial society, based on classic models of upward social mobility, work and material success, and those originating from (post-modern) post-industrial society, based on self-enrichment, post-materialism and criticism of so-called "bourgeois" values. The groups identified are products of the historical sedimentation of the different ways of relating to the environment that have appeared over time. By comparing our analysis of residential lifestyles and the structural/cultural differences between the cities of Lausanne and Bern we were able to highlight the impact of context on the spatial distribution of lifestyles at different scales (from nationwide to the neighborhood level). We were also able to prove that geographical distinctions such as center, suburban and peri-urban become less important; each area has its own individual functional (accessibility, services), sensitive (urban morphology, architecture) and social (social-spatial diversity, segregation) qualities. Based on these characteristics, an environment is more or less receptive to different types of residential lifestyles (can I do everything on foot in this neighborhood? Can my children go to by themselves? Is there a strong social/community dynamic?). With such a detailed qualitative and quantitative description of areas it becomes easier to determine who would like to live in a given neighborhood and who, on the contrary, would not ("describe where you live and I'll tell you who you are?"). To guarantee the success of urban development or regional policies, those responsible for planning and development need to consider urban planning not only in terms of "social mixing" but in terms of the "mixing of lifestyles" as well. Through this notion of potential receptiveness, the urbanism of lifestyles is one of the main functional conclusions of this study, for which we propose avenues of change and recommendations (how to plan and think about urban development based on use?).

EPFL2011

Sustainable Development, Planning and Poverty Alleviation

Jean-Claude Bolay, Eléonore Labattut

In 2018, the world population is around 7.6 billion, 4.2 billion in urban settlements and 3.4 billion in rural areas. Of this total, according to UN-Habitat, 3.2 billion of urban inhabitants live in southern countries. Of them, one billion, or nearly a third, live in slums. Urban poverty is therefore an endemic problem that has not been solved despite all initiatives taken to date by public and private sectors. This global transformation of our contemporary societies is particularly challenging in Asia and Africa, knowing that on these two continents, less than half of the population currently lives in urban areas. In addition, over the next decades, 90% of the urbanization process will take place in these major regions of the world. Urban planning is not an end in itself. It is a way, human and technological, to foresee the future and to act in a consistent and responsible way in order to guarantee the well-being of the populations residing in cities or in their peripheries. Many writers and urban actors in the South have criticized the inadequacy of urban planning to the problems faced by the cities confronting spatial and demographic growth. For many of them the reproduction of Western models of planning is ineffective when the urban context responds to very different logics. It is therefore a question of reinventing urban planning on different bases. And in order to address the real problems that urban inhabitants and authorities are facing, and offering infrastructures and access to services for all, this with the prospect of reducing poverty, to develop a more inclusive city, with a more efficient organization, in order to make it sustainable, both environmental than social and economic. The field work carried out during recent years in small and medium-sized cities in Burkina Faso, Brazil, Argentina and Vietnam allows us to focus the attention of specialists and decision makers on intermediate cities that have been little studied but which are home to half of the world's urban population. From local diagnoses, we come to a first conclusion. Many small and medium-sized cities in the South can be considered as poor cities, from four criteria. They have a relatively large percentage of the population is considered to be poor; the local government and its administration do not have enough money to invest in solving the problems they face; these same authorities lack the human resources to initiate and manage an efficient planning process; urban governance remains little open to democratic participation and poorly integrates social demand into its development plans. Based on this analysis, we consider it is imperative to renovate urban planning as part of a more participatory process that meets the expectations of citizens with more realistic criteria. This process incorporates different stages: an analysis grounded on the identification of urban investment needed to improve the city; the consideration of the social demands; a realistic assessment of the financial resources to be mobilized (municipal budget, taxes, public and international external grants, public private partnership); a continuous dialogue between urban actors to determine the urban priorities to be addressed in the coming years. This protocol serves as a basis for comparative studies between cities in the South and a training program initiated in Argentina for urban actors in small and medium-sized cities, which we wish to extend later to other countries of the South.

2019