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9/23/2014 Informal Settlements Research ISR

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This research project selects the city of Medellin as a case because of some of its particular conditions
that make it a perfect candidate to explore dimensions of the two main variables of this research. First,
Medellin is the city with longer and larger variations of conflict when compared with other cities in Latin
America and, second, it is a city with a large concentration of informal settlements, the result of an
ongoing process of building since the early 1950s to the present. This is the same period that the country
and city have experienced what may be called a non-declared civil war (Bushnell 1993). In this way
Medellin represents represent an extreme case or a unique case (Yin 2009). The goal of this research is
to find a deeper understanding of how the modification of urban space plays a role (positive or negative)
in the violent conflict in which the use of an extreme case is a good strategy.
The unit of analysis is the informal settlements of Medellin from 1968 to 2012. Specifically this research
will concentrate in 3 districts (comunas) of Medellin as embedded units (comunas: 1, 6 and 13). These
embedded units are selected following the same criteria of the selection of the city of Medellin. They
represent the areas of the city with larger levels of informality and transformation over time and longer
and more varied forms of urban conflict.
This study is trying to understand the role of space in the production of violence. To do so I aim to find
intersections between these two variables of conflict and evolution of space in informal areas by mapping
them. It is important here to understand that presently ways we map informal space differ from ways of
mapping conflict and violence. The goal then is to find ways methodologically to intersect both
mappings to find how a change in one variable determines an effect on the other. Following is a review
of how these two fields separately had map the two main variables.
Form James Turner to James Holston a recurrent theme about the urban informality is its ever-
changing physical form. At the urban scale, there are profound implications of this incremental process in
the constitution of the form of the informal city. In the Architectes des favelas, Didier Drummond studies
the urban development of the favelas in Rio de Janeiro and based on his cases, finds that the informal
settlements go through a series of phases of evolving consolidation, Phase one
is implantationprecarious shelters; phase two is transformation of shelters to sheds, and phase three
is solid construction (Drummond 1981).

Figure 1 Architectes des favelas Didier Drummond phases of evolving consolidation phase one
implantation precarious shelters phase two transformation of shelters to sheds phase three solid
construction source: (Drummond 1981)
In these three phases Drummond reveals the very nonspontaneous mechanisms rather predictable and
normative way in which these urban environments evolve what could be called resident planning of what
is often understood in urban planning literature as spontaneous growth. Lacking form, these mappings
are the minimal but key infrastructure additions accompany and make each one of these phases of the
informal environment viable. Kellett and Napier (1995) explore the built form of the Informal dwelling
as opposed to a the entire settlement in its Squatter Architecture? they propose to view the self-
building production under the glass of vernacular to understand both the process of construction as
well as the final product. Kellett, Peter, and Mark Napier find that there has been a virtual absence of
empirical data on "squatter architecture (Kellett and Napier 1995, 7).
To fill that void from the "space syntax" school of Bill Hillier (1996) a new group of a studies is
emerging that is fascinated with the growth of the urban informal form and that is tackling two problems
Research Design and Methodology
A. Case Selection
B. Unit of analysis and level of analysis
C. Analytic Theory
1. Mapping space of informality
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that researchers find when trying to understand informal settlements. One of these problems is the
creation of effective mapping. Large numbers of informal settlements are still unmapped and their
continued process of growth makes it a challenge to accurately formulate policy and project
prescriptions. The second and maybe even more elusive problem is the creation of predictive models that
can forecast growth of informality. Augustijn-Beckers (et al 2011) simulates growth in informal
settlements using An Agent-based Housing Model. He argues that this model can successfully
simulate the housing pattern of informal settlements growth Barros and Sobreira (2002) map slum
geometry in terms of ways that urbangrowth changes in shape and size over time. Patel, Crooks and
Koizumi (2012), in their efforts to develop a model to simulate the unique conditions of informal
settlements, propose a new term for the process of mapping and forecasting as a Slumulation. Finally
Laura Vaughan (2006; 1997) studies the location patterns of ethnic minorities and challenges the
homogenous concept of ghettoisation and finds that through self-help processes, clustering of
endangered groups serve as ways of self-protection from hostile populations. This provides important
findings for the intersection of mapping security and informality. Specifically here, Vaughan identifies
how ways that people strategically create and organize space as self-protectionand all in the context of
poverty and informality. Adding to the above findings of the fact that space matters in informality and
poverty, the construction of informal spaces is not spontaneous, Vaughan here shows that there exist
patterns within informal spaces that are nothomogenous. This study, in other words, does in depth to
show particularities of this particular space (informality) and how the way people use the creation of their
space to protect themselves from others (security). There is a body of literature that engages in how the
urban form impacts perceptions and real security in urban settings in the developed formal
world (Newman 1972; Newman 1995; Jacobs 1961; Cozens and Hillier 2012). Up to now, however, we
are lacking studies that can empirically find correlation of how changes in the urban form of the informal
settlements impact the unique conditions of security in these areas.
In terms of mapping conflict two different approaches have been developed. One approach merges
geographic analysis with crime data collected by reporting agencies, creating a spatial crime analysis
(Hirschfield and Bowers 2001). Here space, time, crime are the key variables that can be mixed with
multiplicity of other information collected in the databases to find levels of correlation between them
(level of unemployment and robberies). The main operations where these variables are mixed are block
aggregation, voronoi diagrams, kernel smoothing and animation[1] (Williamson et al. 2001) These
mappings help inform security agencies how to deploy their resources. A second approach comes from
social sciences (sociology and anthropology). Caroline Moser provides a series of studies of perception
of securities by community members that also maps locations of crimes and criminals in her
Participatory urban appraisal (C. O. N. Moser and McIlwaine 2004; C. Moser 2009, 71; C. Moser
2000). Susan Liebermann and Justine Coulson in Participatory mapping for crime prevention in South
Africa - local solutions to local problems merge research mapping of security with policy
recommendation to integrate community members into community policing their work reveals that
crime does not happen randomly over the territory but that actually happens in predictable
spaces(Liebermann and Coulson 2005). This solidifies the ability to understand that insecurity and
space are related issues, but missing is an accounting of the qualities that make such spaces identified
different from others. Annette Kim in "The mixed-use sidewalk: Vending and property rights in public
space" maps conflict and informality on the sidewalk in Ho Chi Minh City, Vietnam. In her spatial
ethnography the use of Sidewalk Cartography provides a multidimensional understanding of the
multiplicity uses that the informal occupation of the public space entails (Kim A.M. 2012). I think that
these studies have the ability to identify the intersection of insecurity and space in the geography of
informality. What they have not done so far is produce an analytical framework in which spatial
characteristics are complicit in the production and reproduction of insecurity. This is important because
as Bruce Stanley explains in City Wars or Cities of Peace: (Re)Integrating the Urban into Conflict
Resolution, there has been no discussion about the role of cities as sites or actors in conflict
2. Mapping conflict
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termination and conflict resolution(Stanley 2003).
This research project intends to map with two longitudinal studies both the evolution of urbanization and
conflict in informal settlements. In this way we could see how changes of social, economic conditions in
informal settlements have impacts in the way the urban form evolves and reciprocally how changes to the
urban form in return impact the way communities, non-state armed actors and the state engage and its
repercussions on the ever evolving conditions of security in informal settlements. Of the large numbers
of longitudinal studies in informal settlements that we have access to, Janice Perlmans Favela: four
decades of living on the edge in Rio de Janeiro (Perlman 2010) represents one of the most significant
ones. But given that it does not clearly map the urban form and that it spans three decades between two
data collection points, this study fails to map what specific urban changes have happened over the span
of 40 years in favelas in Rio de Janeiro and how these changes of security have impacted uses and
perception and the construction of urban space. It is clear from the Perlman case that to be able to
generate a coherent mapping of changing conditions of security and of urban form, we need to more
closely and consistently collect data points. Also that community members participation would be
needed in the process of historical mapping both the evolution of conflict and urban form over large
timespans.
To find ways in which space has play a role in the ongoing urban conflict in the City of Medellin over the
last 4 decades, I intend to find intersections between two parallel longitudinal studies: (1) One study that
concentrates on the physical evolution of the urban form of the informal settlements of Medellin, which
maps important inflexion points in the production of urban form, such as foundational moments,
evictions, community and state projects, and the progressive evolution of such spaces. (2) A second,
ethnographic study of the stories of evolution of such spaces that maps stories of building, rebuilding and
urban conflict. For both of these time lines this research project will use of archival material (such as
photos, maps, aerial photographs, census, crime reports, newspapers) as well as stories by community
members, state officials and armed actors using semi-structured interviews. This methodology is used,
first, because semi- structured interviews is an efficient method that provides detail, depth and an
insiders perspective (Leech 2002). Also because other methodologies, such as surveys or other
quantitative gathering methods, will be unfeasible and inadequate to implement in the context of
theinformal settlements in a way that reach a significant portion of the population. Results of this kind of
quantitative research will not likely provide reliable results, since security, and accessibility to all or a
statistically significant and randomized portion of the population of interest, (via face to face or by any
others means as email of phone) is impossible at this stage. Therefore, conducting this kind of
quantitative research in this context will exclude important segments of the population, bringing a serious
risk of bias of selection. The use of archival material will help to triangulate and test the time frame of
stories collected during the semi-structured interviews.
Most of the data about community stories about building the city of Medellin will come from 800
interviews (600 as 2012 and 200 more in 2013) conducted as part of Medellin my Home, my historical
memory project involving marginal communities of Medellin (2009-2013). The interviews include both
stories from the 3 areas of study as well as from other areas of the city with conflict and informality. This
group was randomly selected from a 45.000 pool of families considered by the city of Medellin in the
lower bracket of poverty. Interviews have been performed by Duke University students trained by me
and were video recorded. We have more than 6000 hours of video up to date. To compensate for the
probably bias of this population other random community interviews would be perform by me in the
three areas of studies with community members not belonging to this database. These groups of
individuals are going to be selected through snowballing (Bertaux and Bertaux-Wiame 1981) , starting
with access to three comunas (districts) at two points. The first one is recommended individuals by the
Analytical framework of mapping space and conflict
D. Design
E. Selection of Participants
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social workers team of the EDU and Planning Department. And the other one is within community
groups or NGOs in the selected embedded units of analysis (comunas). By having these two entry
points, this study seeks to cancel some of the bias that selecting each one will introduce. I will not do
focus groups with residents because in previous research experiences, given some of the private nature of
the questions (perception of security), the type of dynamics of focus groups in informal settlements,
produced standardized (safe) responses.
In terms of state officials, interviews from this group will include professional experts who have
participated in the planning, execution or evaluation of project on informal settlements it will also
include the works and interviews of academics that bridge between working with state in these areas and
analyzing the urban informality phenomena. Up to date I have interviewed 40 individuals that fit with in
this category, including mayors planning directors, and planners whose work and opinions has direct
influence in the three selected embedded units (Comunas).
The last category of armed actors include current and formally illegal armed actors. This group is smaller
than the others and access to the members represents the largest challenge in this project. One entry point
is the large portion of re-integrated illegal armed actors who are part of community organizations
(protecting them) and also of state projects that support reintegration process. The second entry point is
to use a network of community members, state officials and project managers that deal in the day to day
activities with active member of illegal armed groups. Up to date I have conducted 10 interviews with
members of this category. For this research the intention is expand this number to 40 to have a
representative sample using the explained entry points and snowballing method.
Internal validity:
To guarantee face validity for each group, there are different selection methods for each category of
interviewees. These three different pools will inform the creation of the two time lines (urban
development and conflict) each time line would be triangulated by hard data (newspaper articles, aerial
photographs, police reports, homicide rates and official historical documents). The conclusion will be
drawn by the intersections of such timelines (moments in which clearly changes on the urban form
represent changes on perception of security)
To guarantee content validity interviewees will be asked similar a set of questions adapted for the kind
of knowledge of each group. (Experts, community, armed actors). Also geo-reference of crime data and
time are common practice as analytical tools to understand the relationship of security and space
(Hirschfield and Bowers 2001). In terms of urban form evolution on informal settlements community
members provide the narrative and some of the evidence by the use of photo albums. Histories that
become key in understanding intersection of space and security in informal settlements could be also
corroborated by newspaper articles that would corroborate time and space veracity of such events. While
community narratives should help to produce the thick description (Geertz 1973) necessary to
contextualize the intersection of events and space. In this way I use triangulation is a method of cross-
checking data from multiple sources to search for regularities in the research data (Odonoghue 2003,
78).
This study has selected subjects (cases) on the basis of extreme characteristics as an example of areas
where urban informality and conflict coexist. This approach of selecting an outstanding case could be a
threat to internal validity, in this case regression to the mean (Campbell and Stanley 1963; Cook and
Campbell 1979; and Shadish, Cook and Campbell 2002). The objective of choosing outstanding cases is
that this research project is not interested in finding correlations between urban informality and conflict
but instead on finding ways in which the space of modification plays a role in urban conflict. In any
case, this research should limit its conclusions to contexts in which the inferences are drawn.
Reactivity: Individuals, who participate in this research, just because they agreed to participate in the
F. Validity and Reliability
Threats to internal validity:
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research, might be more willing to show favorable outcomes or corroborate intended outcomes similar to
the Hawthorne effect (Heppner el al. 1992), given that the questions will easily inform the interviewee of
the research interest and could imply expected outcomes. Answers that positively confirm outcomes need
to be examined in more detail and it will require asking interviewees to provide a larger factual
explanation during the interview.
Single group threat: Given that is not possible to have a control group in this design, (an area with no
conflict in Medellin or with urban informality but no conflict) it is the expectation that having three
opposing groups with similar set of questions will reduce this threat.
External Validity-Transferability: This research design, as a single-case study methodology, hinders the
possibilities of generalization. Thus, it is important to account for this at the concluding stage. But it is
also important to account for the fact that the conclusions drawn from this analysis can, to an important
extent, be applied to the all other areas in the city of Medellin that have urban informality and conflict.
The conclusions of this research can be applied specifically to new policies implemented in high urban
conflict areas in Medellin in the future. Beyond Medellin, conclusions could be transferable to other
cities in the country that have the same socio political context of conflict and similar patterns of urban
development cities like Cali and Bogota. At the Latin America scale the city of Medellin serves as a
referent of issues of urban conflict were drug related groups general large levels of conflict some of the
conclusion of this research can be helpful to understand such contexts like Rio de Janeiro, Sao Paulo in
Brazil, San Pedro Sula in Honduras, Mexico city, Juarez and Tijuana in Mexico. Beyond the Latin
American context conclusions have to be more careful but two areas become possible venues for
generalization on is that of informing CPTED (Newman 1972; Cozens and Hillier 2012; Jeffery 1971;
Schneider 2006) theory and policies about how to secure urban space and second on understanding the
evolution of the urban form of informal settlements at the global scale.
Case study protocol: Consistency and stability in the responses of the interviewees will be addressed by
conducting semi-structured interviews using the same interview guide for each group of interviewees,
and making sure that each individual feel safe and comfortable in the environment of the interview.
Language of the questions will be crafted to each group and tested on-site days before the start of
interviews to be able to correct for cultural and technical misinterpretations.
Threats to reliability: This research is asking individuals to connect actions that happened in the past (up
to 40 years ago) with effects on the present. The context of the present (level of violence in the
neighborhood, deterioration of physical projects because of passing of time or other factors, or the
interruption of policies that were implemented in those neighborhood, current and past conditions of
conflict and political affiliations) can affect and vary the results. This reduces the probability of
replication of the research. I could use the Split-Halves Method[2] to test for consistency of response, but
the number of interviews is really small to be divided in a random and consistent way and this will only
prove reliability of the data collected and not of this sample to others taken before or after the study. The
goals is that using archival material alongside data collected during the interviews would provide space
to understand such process and reduce such risk.
A first stage will require become familiar with the data collected. It then will require dividing all the data
collected through the field research: transcripts of the interviews, notes on the interviews and field visits
and text or graphical material collected on the field (provided by the interviewees as part of their
interviews), into the three categories of state officials, communities and non-state armed actors. This
process of analyzing coded pieces of text would be assisted by text process software such as Nvivo.
Second, all data collected will be coded based on analytical patterns and/or themes that emerge from
within the text in what is call open coding (Warren and Kramer 2010). Third, all data collected will
coded in the general categories of the constructs identified in the literature of conflict and informality and
specifically coded as influence of space on conditions of violence and on violence in the production of
Reliability
G. Data Analysis
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space. This process is what Donald Campbell calls pattern matching this process would happen both as
abstract (narrative) and as visual (physical mapping) exercise. Finally, results from the patterns emerging
from the open coding and pattern matching process should generate, explanations of the how or
why changes in perceptions happen. This final stage is known as explanation building (Yin 2009).
I am a well-positioned to complete this research and produce findings that will contribute to academic
literature and to policy dialogue. As an architect, I have been working on socially engaged design
projects in conflict cities for the last 15 years in five countries: the United States, Mexico, Brazil,
Colombia and India. Two projects I designed in the Tijuana/San Diego region with a socially engaged
architectural firm I co-founded (Estudio Teddy Cruz), won the annual Progressive Architecture Award,
citing the most outstanding projects in the United States, and the national Young Architects Forum
award. Ten years later, this work appeared in New York Citys MoMA (Modern Museum of Art)
Exhibition Small Scale, Big Change: New Architectures of Social Engagement. The empirical and
qualitative research I undertook and published on spatial policies implemented toward reducing violence
in Medellns drug controlled neighborhoods include the same districts I will study for this project. I am
an active member of the Urban Resilience in Situations of Chronic Violence, a research and action
project from the MIT Center for International Studies directed by Dr. Jhon Tirman and Dr. Diane E.
Davis, for which they invited me to develop the Medellin Case.
I also have specific and unusual access to state, non-state and community member sources,
actors and spaces. This access begins with the fact that I am a native of Medelln, who as a teenager
lived in a context of narcotraffic and guerrilla war. This is important not just because I lived through
violence in Medelln but because I also understand everyday normality in the midst of violence (going
to school, holidays, hanging out with friends). With more than three decades (six decades counting
family) of roots within academic, political and social communities, I also have privileged access to
research sources. I earned my undergraduate degree in architecture at the Universidad Nacional de
Medelln in Colombia and worked on architectural projects there. Often, before people agree to speak
with me, they ask me about my personal background with Medelln. At some level, inspiration to push on
with my research when it becomes most difficult is that this project is, in some sense, a way of paying
my dues for not having died.
Some of my research questions, contacts, and sources come from a six-year historical memory project in
Medellin, which I co-founded with Dr. Tamera Marko, an historian at Duke University. Specifically, we
document stories about how people displaced from their rural communities in Colombia due to poverty,
war and narcotraffic violence built their own homes and neighborhoods in Medelln. We work with
displaced families photo albums, which in most cases are the only existing record of how community
members built their neighborhoods over the last sixty years. We also work closely with the last three
regimes of Medelln Mayors and Secretaries of Social Welfare (second-in-command to the mayor and in
charge of informal areas of the city.) I organized bringing Sergio Fajardo to a 2012 conference at MIT.
He is the former Medelln Mayor, a former Colombian Presidential candidate and the current Governor
of Antioquia, the state in which Medelln is the capital.
The idea for this project was born when a community elder in one of Medellns most violent and drug-
controlled neighborhoods invited me to see her family albums in her home in 2008. Since then, we have
interviewed more than 600 consistency with earlier figures?] families in their homes and have 3,000
hours of interviews and 50 of them edited into documentary stories that circulate online and in film
festivals and K-16 curriculum. ("Ladera, vida y dignidad")These families, especially the women, tell stories
about surviving violence by negotiating what I call their spatial environments and physical spaces.
Women have collaborated in stories for our archive about building drainage canals, cement stairs,
playgrounds, and roof gardens and how they negotiated with non-state, state and fellow community
member actors to do so and always in the context of drug-related violence. Without my ongoing
relationships with these community members and the trust we have built with each other, this doctoral
H. Ability to Complete the Research
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projects current scope would be impossible. Because of my special access, however, this doctoral
project feels to me like more than just an academic hoop to receive my Ph.D.: this project is a privilege.
[1] Block aggregation, voronoi diagrams, kernel smoothing and animation are different analytical tools
used spatial analysis. Block aggregation refers to the use of information of spatial data by sectors such as
(census track, blocks or territorial divisions. Voronnoi diagrams uses as inputs points (called seeds, sites,
or generators) that divide the space into regions of influence. A kernel smoother is a statistical technique
for estimating a real valued function in GIS The goal of kernel smoothing is to estimate how the density
of events varies across a study area based on a point pattern. "Kernel estimation was originally developed
to obtain a smooth estimate of a univariate or multivariate probability density from an observed sample
of observations..." (Bailey and Gatrell 1995). Finally Animation in crime mapping is a way to introduce
time as a variable to understand how data changes with time and space.
[2] In the split-halves method, the total number of items is divided into halves, and a correlation taken between
the two halves.
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