This doctoral dissertation research project will assess the scope of the formalization of informal settlements, or slums, for the improvement of the quality of life of the socially marginalized populations who live there. To do so, the co-PI will investigate the process and outcomes of slum-notification policy in Pune, the ninth-largest city in India. In rapidly urbanizing developing countries, a large number of slum dwellers suffer from poor living conditions and face the risk of forcible eviction without due compensation because of their illegal status. One of the critical challenges is how to achieve inclusive urbanization by improving the tenure security and living conditions. Therefore, integrating informal tenure status with formal systems, commonly referred to as tenure formalization, has become common practice. While academics often tout formalization as an important step, it remains unclear how and to what extent formalization improves the quality of life of those in slums. The project will fill the gap by offering systematically investigated empirical evidence about the process and outcomes of slum-notification policy, a type of tenure formalization. To assess the impacts of the policy, the project investigates (1) how a slum-notification policy has been implemented, and (2) what factors contribute to the level of tenure security and living conditions (e.g., housing, infrastructure, and services) in slums and to what extent their notification status matters. The project will employ a sequential mixed-methods approach, addressing the first research question through various qualitative methods, such as interviews, site observations, and document analysis. Building on the qualitative findings, the project will then seek answers to the second research question using statistical analysis of survey data that the co-PI will collect. In so doing, the research will advance knowledge on theories of self-help housing, property rights, and informality in the fields of urban planning, development economics, and human geography.
The project will benefit society by raising awareness and understanding of socially marginalized populations in developing countries. By offering empirical evidence of how the slum-notification policy has benefited slum households in Pune, the project will help policy makers to modify formalization policies. This will be critical under the current situation in which the central government of India is preparing to provide property rights to slum dwellers across the country. Without proper understanding of informal characteristics, such simple formalization could exacerbate the life of the urban poor. More than 1,000 slum households will participate in the interview and survey. The co-PI will actively disseminate project findings by publishing in academic journals and presenting at conferences, discussing with policy makers and local residents in workshops, and teaching classes in the future. As a Doctoral Dissertation Research Improvement award, this project will provide support to enable a promising student to establish an independent research career.
The project aims to examine the link between the tenure security of slum dwellers (i.e., the protection from forcible eviction) and their housing investment behaviors. The project analyzed the effect of the slum declaration policy in Pune, by which the local and state governments legally ensures the occupancy of slum dwellers and entitle them to basic amenities. With the financial support from the NSF Doctoral Dissertation Research Improvement Grants, the investigator collected surveys from 562 households in 56 slums across the city of Pune. The statistical analysis of the survey data revealed that the formalization of slums through slum declaration has prompted housing improvements. The effect is found to be heterogeneous depending on the degree of tenure security people had enjoyed prior to the formalization. In addition, the project investigated how people in non-formalized slums seek for better tenure security, housing, and basic amenities through various political channels. Focusing on a slum settlement in Pune, the investigator conducted about 60 semi-structured interviews with the residents of the slum, as well as government employees, politicians, and local researchers and professionals. This qualitative analysis shows how legal and political environments interact with each other and shape slum residents' perception about their tenure security. This perceived tenure security ultimately influences households' housing investment decisions. The findings of the project contribute to the development of theory, empirical knowledge, and methodology of urban planning and other related fields. There has been enduring debate regarding what would effectively and efficiently enhance the tenure security of slum households and thereby encourage their investment in housing. This project offered evidence that slum formalization without the provision of full property rights can stimulate housing investment. The project benefits society by raising awareness and understanding of socially marginalized populations in developing countries. By offering empirical evidence of how slum declaration has benefited slum residents in Pune, the project helps local policy makers modify slum policies. With the financial support from the NSF DDRI grants, the investigator has presented about the project description and preliminary findings at several research institutes in India and the U.S. The final product of this project will be published as the co-PI's doctoral dissertation, as well as articles on academic journals.
