Métropolisation, habitat précaire et relogement forcé: entre phénomènes d'exclusion et tactiques populaires d'intégration

This work was carried out within the interdisciplinary scientific program named "Sustainable Development, Metropolisation and Pollution of Natural Resources in Ho Chi Minh-City, Vietnam". This program, launched in 1994, is financed by the Swiss National Science Foundation (Priority Program Environment, Module 7 "Environment and development"). The main goal of this thesis is to grasp the social, economic and spatial dimensions at stake of involuntary resettlement of precarious settlements. in the context of developing countries' metropolisation. One of the approach selected fits within a thorough study of southern metropolis evolution dynamics, more precisely that of disadvantaged neighbourhoods. Moreover, we decided to develop a specific approach of involuntary resettlement, which is constructed using mainly two dialectical and interdependent concepts: exclusion and integration. In this way, this work differs from the most frequently used theoretical models, which are based on impoverishment or stress dimensions. In third world metropolis, government forces have an increasing tendency to turn to involuntary resettlement in order to implement or promote urban planning. Every year, approximately 6 million people are forced to move into an urban environment. This concerns mainly the most underprivileged sections of the population corning from precarious settlements. In recent times, this phenomenon has grown to such a point that some international institutions have even talked about the century of involuntary resettlement. The theoretical framework of this thesis refers to three different fields of knowledge, which nevertheless are linked to one another. The first field concerns developing countries metropolisation. Closely associated with the globalisation and polarisation of international trade, this process leads not only to the rise of exclusion but also to the dualisation of economic, social and political spheres and the fragmentation of urban spaces. The second theoretical field of study is based on questions raised by precarious settlements in southern metropolis. We analyse the way vulnerable populations living in disadvantaged neighbourhoods develop urban integration tactics in order to counter metropolitan exclusion forces and to alleviate precariousness. Finally, the third field is part of involuntary resettlement problematic. While it shares a close link to public policy evaluation, this problematic analyses the institutional values, norms, and practices underlying relocation policies of the people living in disadvantaged neighbourhoods. Our goal is also to develop a better understanding of the consequences associated to this kind of urban program and the way they might contribute to strengthening living conditions as well as residential situation precariousness for those who have been forced to move, leading them to develop defence mechanisms in order to guaranty their integration in the metropolis. In this analysis, we will focus on Ho Chi Minh-City and on the relocation program concerning the populations living in Nhieu Loc-Thi Nghe canal's precarious settlements. In the empirical part of this work, we will analyse and measure the consequences of this policy on their living conditions as well as on their behaviour. We will try to analyse to what extent those consequences tend to increase exclusion of underprivileged populations, limit their integration capacity, and enhances their residential mobility towards new precarious settlements that fit more to the aspirations, and above all, to the means of the underprivileged. Given the complexity of the topic covered in this work, we opted for an interdisciplinary approach. It appeals to different fields of social sciences: sociology, economics, geography, political sciences, but also architecture and urban planning. Moreover, we chose a quantitative as well as a qualitative method. Based on a multidimensional analysis of Nhieu Loc-Thi Nghe canal's population living in precarious settlements, we will be able to grasp the discriminating dimension of involuntary resettlement policy set up by metropolitan authorities as well as its severe impact on the population at a residential, social and economical level. Restrictive economic criteria or in some cases insufficient compensations offered by public authorities are such that a number of persons are excluded from the program. But on top of that, part of the families relocated in modern and salubrious apartments suffer from exclusion. As regards housing, the new apartments are characterised by their limited residential functions. This is mainly due to constraints linked to high rise housing, which acts as an economic and social barrier. In terms of social organisation, involuntary resettlement leads to a family nuclearisation process, and traditional sociability tends to turn to a more individualistic way of life, a phenomenon which results in a partial deconstruction of solidarity and protection networks. Finally, at the domestic economy level, resettled populations have to deal with an increase in service charges as well as working conditions deterioration which involve decreasing incomes. Although this modern way of life appeals to resettled families, most of them are brought to develop new integration tactics in order to limit involuntary resettlement exclusion effects. These tactics are to a large extent conservative inasmuch as they tend to reproduce ways of life and space habits characteristic of the former residential areas. To a large extent, they are characterised by palliative measures of space utilisation, professional insertion, income improvement and domestic means reallocation. Despite their willingness, families have a hard time fighting against resettlement exclusion forces. Residential mobility as well as subsidised apartments resale then become the way for some families to minimise precarious living conditions. Nevertheless, the benefits they gain from these illegal practices are often insufficient for them to buy or build an accommodation close to the center of the metropolis. The only possibility left to the reseller is then to rent a dwelling unit in a disadvantaged neighbourhoods or to move on the outskirts. While residential mobility leads to the creation of new precarious settlements in Ho Chi Minh-City, some families living conditions as well as residential situation keep on deteriorating, a decline which might bring some of them to experience a kind of urban nomadism. While the results of our study confirm the hypothesis stated at the beginning of this work, they also point out how hard it is to fulfill the housing aspirations of the most underprivileged considering the precariousness of their living conditions. The inadequacy of precarious settlements relocation policy is even worse when based on a modernist and standardised approach of the housing problem which favours typological and technical dimensions of residential space to the detriment of social, economic and ecological dimensions. What is at stake in involuntary resettlement concerns mainly the multidimensional mechanisms of exclusion and integration of which depends the subsistence of the most underprivileged in Ho Chi Minh-City. Urban authorities need to make political adjustments if they want resettlement impacts to fit the goals of sustainable development. In order to achieve this objective, popular participation and exchange between involved actors is the first condition they need to fulfill for the implementation of any policy in order to fight against exclusion and promote the integration of the most underprivileged as well as for any policy which aims to take into account the capacity of urban ecosystems.

Villes à la frontière et transformation de l'espace

Lena Poschet El Moudden

Few borders exist which separate two countries as dramatically disparate as the Dominican Republic and Haiti. Both share the territory of the Hispaniola island, but a profound process of differentiation rooted in the colonial division of the island between France and Spain and ideologically maintained by both modern nations, has lead to what Théodat (1998, 2003) calls the "twofold insularity" – each country behaves as if it were located on a separate island. In spite of all prejudices and ethnical, historical, linguistic, social, economic or religious differences, people living in the border regions established cross-border relations which, even if largely based on economic interests, are much more frequent and important to both nations than officially admitted (De Jesus Cerdano and Dilla, 2005; Sillé & Segura & Cabral, 2002). The local dynamic created by this exchange becomes palpable when one observes the busy binational market in the border towns of Ouanaminthe (Haiti) and Dajabón (Dominican Republic). Twice a week, people from nearly the whole northern part of both countries travel to these towns located on either side of the Masacre River, in order to buy and sell goods or to offer services in the market of Dajabón. The other days, tons of cargo transit to Haiti, to the extent that the once small borderland settlements have become an important junction in the economic subsystem of the northern part of the island. Moreover, the construction of a free zone in Ouanaminthe in 2002 –to produce textiles for the US-market– has connected the borderland towns to the international economy. This recent development is set within a context of progressive opening of borders (Martinez, 1994). It is the result of international policies that have been decided in the capitals, without consulting the concerned regions. In Ouanaminthe and Dajabón, local institutions are weak and receive no or little financial and administrative support from central administration. They do not have the means to cope with growing pressure on land and infrastructure, as the emergence of legal and illegal livelihood opportunities in the borderland has generated a threefold increase of the overall population in the past twenty years (Dajabón grew from 8'500 inhabitants in 1980 to 16'000 in 2002 and Ouanaminthe from 7'000 in 1981 to 39'000 in 2003). How did these recent economic, political and societal transformations shape the urban space of the two borderland towns? I addressed this issue by analyzing the motivation of stakeholders involved in the process of spatial transformation, and the impact of their actions. In my work I refer to the conceptual framework of urban intermediation (Bolay and Rabinovich, 2004), i.e. the spatial issues that each town has to address according to its internal characteristics, its function in national and international networks and its relation to the direct rural environment. In order to use this framework for the borderland issues, the conceptual part of this study proposes to develop the concept of "borderland intermediation". To the existing urban intermediation concept, it adds the influence of the characteristics of the border (based on policy and political aspects, economic issues, local identities, social networks, national defense issues and geographical insertion). By doing so, it relates the bi-national system of borderland towns to the intermediation concept. Data has been collected over three and a half years during several periods of fieldwork: observation and mapping of occupation and use of urban space, cartography, qualitative interviews with local stakeholders and residents, completed by other primary and secondary sources. This study shows that the recent transformations have accentuated the existing unbalanced relationship between the two towns. The powerlessness of the municipality of Ouanaminthe to meet population growth and to impose regulations or taxes related to the growing trade has enhanced its dependency to the Dominican town. For a growing number of Haitians, it is of existential importance to cross over to Dajabón in order to seek income, healthcare and education and this, in spite of latent racism and mistreatments. Founded on a strong sentiment of exploitation, Haitians often criticize the capitalist or even colonialist relationship imposed by their neighbors: not only the fact that the bi-national market takes place in Dajabón, but also that Dominican enterprises develop subsidiaries in Ouanaminthe, taking advantage of cheap labor and the absence of local production. On the contrary, the majority of Dajabón residents interviewed do not need to cross the river for their living. Most of them have never been to Ouanaminthe, but consider it insalubrious, out of control and dangerous. Both towns lack application of regulations in urban planning matters. Thus, spatial growth has entirely been ruled by landowner structure and land occupation practices. Around Dajabón, the adjacent land belongs mainly to two landowners, whose strategy –to enhance soil value through development of equipped middleclass neighborhoods– has restricted the urban sprawl. In Ouanaminthe land belongs to a multitude of small peasants. The selling and illegal occupation of rather small plots leads to sprawling urban growth, guided by rural pathways and leaving entire parts of neighborhoods inaccessible to motor vehicles. Population growth has also been absorbed by high densification of existing neighborhoods. No formal collaborations exist between the two municipalities. Informal ones do, through the implication of the two mayors, but overall, cross-border collaboration is left to NGOs and professional associations who militate for human rights, environmental issues and fair treatment inside the bi-national market. International development agencies present in the borderland initiate projects with bi-national concern, but these are disconnected from the local level and strongly influenced by the fact that these agencies relate directly to the central governments. We also observe a process of internal segregation in both towns, as commercial establishments progressively occupy parts of the town centers and the emergent middle class gathers in specific neighborhoods. Ouanaminthe and Dajabón are functionally interlinked and their transformation is undeniably governed by the progressive permeability of the border. Nevertheless, this border separates two completely different urban landscapes that are deeply marked by the internal characteristics of each town. Furthermore, the unequal and complex relationship of both populations creates the paradox that their spatial proximity accentuates the segregation in both towns, as it allows the citizens of both countries to stay in their environment and to commute –if necessary– even daily. This work shows that the application of the intermediation concept is relevant for the study of complex relationships that govern borderland space. The analysis based on this concept has enabled to study, on a local level, processes that are taking place on a global level. In so doing, it has allowed us to provide some answers to the central question: "How do local populations, national and international firms and governments react when a territorial economy, based on agriculture, is progressively linked to international networks? "

EPFL2006

Vers un assainissement urbain durable en Afrique subsaharienne

Halidou Koanda

Justification In Sub-Saharan Africa, excreta and wastewater disposal is characterised primarily by on-site sanitation systems. This sanitation option is more likely to increase as governments, municipalities, communities, private operators and donor agencies strive to reach the Millennium Development Goals aimed at reducing by half the proportion of people without access to basic sanitation facilities. Due to increased urban population growth in Sub-Saharan Africa, the faecal sludge volumes will increase to alarming quantities in the coming decades. An evaluation of faecal sludge management practices reveals that the main shortcomings relate to the widespread lack of involvement and foresight by the municipalities, the paucity of effective legal provisions and organization, and the absence of stakeholder coordination. Stakeholder involvement for planning and implementing faecal sludge management is virtually inexistent or excluded from urban sanitation planning processes. In the majority of situations, faecal sludge management is financially not viable. This is a major cause of the indiscriminate dumping of faecal sludge in urban areas or its untreated use in urban agriculture. These practices not only pose permanent and serious health risks but also contaminate both scarce ground and surface water. Objective and general approach On the basis of these facts, which present a real challenge to sector specialists, the overall objective of our research is to develop an innovative strategic planning approach for sustainable faecal sludge management in urban areas which allows minimising public health and environmental risks. Focus is placed on developing a reproducible methodology for stakeholder involvement, on enhancing population awareness for improved faecal sludge disposal and attributing a leading role to the dynamic private faecal sludge emptying and transport operators. These aspects form the three pillars of our search for a comprehensive methodological approach. The municipality of Ouahigouya in Burkina Faso with a population of about 65'000 inhabitants was used as pilot site to launch, implement and scientifically validate the approach. Analysis and stakeholder involvement The stakeholder-based planning approach developed in Ouahigouya relies on a combination of stakeholder identification and analysis, and participatory planning techniques (focus groups, workshops, informal meetings, all-stakeholder workshops). A quantitative survey among households allowed collecting stakeholders' proposals and evaluating suggestions for improvement of faecal sludge management and neighbourhood hygiene proposed by the population. The main steps in the stakeholder involvement approach include: Jointly clarifying the objectives of the planning process together with the stakeholders; Identifying stakeholders and their interests; Classifying stakeholders according to their importance and influence based on defined criteria and confirmed by the stakeholders themselves; Identifying the interactions between the stakeholders; Verifying the results of the stakeholder analysis by the stakeholders themselves; Choosing stakeholder involvement techniques; Implementing the chosen method of stakeholder involvement: development of faecal sludge management scenarios, acceptance of the scenarios by the stakeholders in focus groups, choice and acceptance of a basic scenario for development of the future strategy in an all-stakeholder workshop; Evaluating the chosen involvement process by the stakeholders. The experience gained with the planning methods developed and implemented in Ouahigouya reveals that the "Stakeholder analysis" method is efficient and provides answers to questions such as: Who are the important and influential stakeholders? Who should participate in the planning process and in which manner? This experience also revealed the need for capacity building of certain stakeholder categories (emptying operators, women's associations, etc.) to increase their degree of involvement in the planning process. Improvement in stakeholder involvement was achieved thanks to a combination of workshops, focus groups and other informal meetings allowing less influential stakeholders (associations of local women, horticulturists, emptiers) to share information and to freely express their opinions and concern and to defend their interests. Thus, providing an excellent example of local democracy appreciated by all stakeholders of Ouahigouya. The approach developed provides tools for policy-makers and planners to ensure an effective stakeholder involvement in the process of developing a common vision and implementation of improved urban sanitation measures. The conditions for replicating the approach developed and tested in Ouahigouya are due to participatory democracy, great commitment of the local authorities and the high motivation of the stakeholders involved. Levers for the willingness-to-improve faecal sludge management and neighbourhood hygiene The evaluation method of the willingness to improve faecal sludge management by the population was based on a combination of the planned behavior model of Ajzen and the contingent valuation method, financial analysis of the pit emptying and faecal sludge enterprise, and on focus groups of stakeholders. By focusing on local practices, perceptions and individual behavior, this method revealed that financial viability – often reduced to willingness-to-pay – is not the only factor to consider when planning improvement of sanitation practices. Willingness-to-improve is highly dependant on psycho-sociological factors such as attitude towards and beliefs in an improved neighbourhood environment, social pressure on the households by the neighbourhood as well as the subjective costs and benefits expected from improved faecal sludge management. These factors therefore present levers allowing planners and decision-makers to encourage, increase and develop the demand for improved latrine emptying services, e.g. though social marketing. Promoting private entrepreneurs According to market analysis of emptying services and stakeholders involved, small private and mainly informal enterprises play a leading role in faecal sludge management in most cities of Sub-Saharan Africa. These operators, dynamic but fragile, require an appropriate institutional, jurisdictional and economic environment based on a balanced partnership between the municipality (public) and the private sector. Our study reveals that for a company truck to be profitable, about 1'000 trips per year (at 6'000 FCFA per trip) are required or the equivalent of a city of 56'000 inhabitants. In the case of Ouahigouya, profitability is increased if the emptying operators apply the latest management and professional tools and techniques, and manage to provide emptying services in neighbouring towns. Decision support tools The research led to developing decision support tools for professionals and policy-makers. These tools facilitate the development of a tariff-oriented policy to avoid uncontrolled faecal sludge discharge into the environment, to render investments by private operators profitable, and still make emptying services accessible to low-income households. This involves: Analysis of the cost structure of 3 pit emptying companies has revealed that fuel, maintenance/repair and personnel costs make up 45%, 20% and 30%, respectively, of an enterprise's operating expenses. An Excel programme was developed to allow municipalities and private operators to determine the operating costs of emptying services. This allowed to establish a sustainable money flux between the different stakeholders involved and to define the tariffs. To prevent faecal sludge discharges in the immediate residential environment or on unauthorised sites, it might under specific circumstances prove necessary and feasible to reimburse rather than charge entrepreneurs for delivering faecal sludge to the treatment sites, hence, create a strong incentive for good emptying and haulage practice. Evaluation methods of the sludge quantities to be disposed of have been developed to allow faecal sludge planning by the municipal authorities, assessment of the potential market and return on investment by the private operators. Advantages of the approach for the population of Ouahigouya Based on the results of our study, it was possible to formulate practical recommendations for the organisation of the urban sanitation sector for the municipality of Ouahigouya – now in possession of a sustainable faecal sludge management strategy. Our study has also contributed to promoting local consultation and raising the awareness of the role and contribution of each stakeholder group, in particular the previously neglected manual emptiers in their daily efforts to improve the living conditions of the urban inhabitants. The "Strategic Excreta and Wastewater Sanitation Plan", that was developed and supported by the "Office National de l'Eau et de l'Assainissement - National Water and Sanitation Agency", provides an excellent framework for the implementation of the elaborated faecal sludge management model (as part of the this strategic plan).

EPFL2006

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

Villes à la frontière et transformation de l'espace

Lena Poschet El Moudden

EPFL2006

Vers un assainissement urbain durable en Afrique subsaharienne

Halidou Koanda

EPFL2006

En quête d'habitat

Marie-Paule Thomas

EPFL2011