Doctoral Dissertation Research: The Impacts of Tenure Formalization on Security and Living Conditions in Informal Settlements

Regents Of The University Of Michigan - Ann Arbor, Ann Arbor MI

Investigators

Abstract

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.