Research Design February 2011

Land-tenure and Incremental Housing in Ahmedabad, India

Student: Student no: Course: Faculty: Course code: Supervisor: 2

nd

Simea Knip 1549235 Master thesis: Sociology of Globalization & Diversity Faculty of Social Sciences 706724 Dr. Peer Smets (VU) Dr. Freek Columbijn (VU) Niraj Jani arch. (Saath)

assessor:

Local mentor:

Contents
D e s c r i p t i o n o f t h e r e s e a r c h p r o b l e m : A n i n t r o d u c t i o n t o t h e u r b a n c r i s i s . 3 Purpose, relevance & research questions Theoretical framework: Self-help housing in a nutshell. Methodology Planning Table of Contents References List of Abbreviations Appendix 1: Map of Slums in Ahmedabad 4 8 1 0 1 3 1 4 1 6 2 1 2 2

Description of the research problem: An introduction to the urban crisis.

For the rst time in history, more then 50% of the worlds population lives in cities. This urbanization pattern will increase to 70% of the worlds population living in cities by the year 2050 and will mostly take place in developing countries. (UN-Habitat, 2009) At the dawn of the new millennium, the total number of people living in slums in life-threatening conditions was about 924 million worldwide. This number represents 32% of the worlds total urban population. Within thirty years, this number will be doubled to two billion people living in slums, mostly in developing countries. (UN-Habitat, 2003; 2009). UN-Habitat states in its 2003 global report, that slums have been the only large-scale solution in providing [affordable] housing for low-income people (p. xxv). A country that is struggling with largescale housing decits is India. Right after China, India counts the largest population in t h e w o r l d . A s p e r C e n s u s o f I n d i a ( 2 0 0 1 ) 1, t h e total Indian population counted 1,03 billion people in the year 2001. This number will rise to an estimated population of 1,33 billion people by the year 2020. In the year 2009, 28% of the Indian population lived in urban areas. This number will increase to 41% of the total population living in urban areas by 2030 (UNDP, 2009). Furthermore the report states that 80 million poor people live in cities and towns, of which
Source: UN-Habitat, 2003; AMC, 2006

61.8 million live in slums, representing 23.7% of Indias total population 2001.

The Census of India is an important source of information about the population of India. Data on income and expenditure, literacy, education, housing & household amenities, urbanization, population count, number of scheduled castes and tribes, languages and religion are collected by a survey held every 10 years. The Census of India 2001 is the latest set of data available. The Census data of 2011 is currently being collected.

Ahmedabad, the former capital of Gujarat, is the largest city in the state and the sixth largest metropolitan area of India, with an estimated population of 4.7 million people (Census of India, 2001). In Ahmedabad, 53.2% of the p o p u l a t i o n l i v e s i n s l u m s 2 a n d c h a w l s 3. M u s l i m s , s c h e d u l e d c a s t e s l i k e D a l i t s (SCs), scheduled tribes (STs) and other backward castes (OBCs) constitute 91% of the slum households. More than 95% of the slum dwellers are migrants, indicating how rural poverty is now spilling over into urban areas (UNHabitat, 2003). Within the boundaries of the Ahmedabad Municipal Corporation (AMC), 2093 illegal settlements are spread over the city (Ahmedabad Municipal Corporation, 2006). Ahmedabad is a good example of a rapidly expanding third world city coping with housing decits in a globalizing world, like so many other cities in the global South.
The Slum Networking Project In partnership with local and international NGOs and private sector organizations, the Ahmedabad Municipal Corporation (AMC) runs several slum up gradation projects and programs. One of those programs is the Slum Networking Project (SNP), which has proved to be quite successful, albeit on a small scale (Barman, Datta Dey, & Sharma, 2006; Payne, 2001). The AMC launched this project in 1995, in cooperation with the World Bank. To encourage participation, the AMC offers a ten-year tenure security for slums under the SNP. This guarantee is likely to count as a moratorium on eviction, rather then a freehold or leasehold title (Samad, 2006). The main objectives of the SNP are to improve infrastructure and to enhance community development through community participation (Ahmedabad Municipal Corporation, 2006; 2010). Saath One of the NGOs participating in the SNP is Saath Charitable Trust. Saath is based in Ahmedabad and is registered as a charitable trust since 1989. In the late eighties, Saath launched a pioneer program that aimed to turn slums into vibrant neighborhoods: the Integrated Slum Development Program. The organization offers market-based solutions to empower the urban poor and has implemented several programs for poverty alleviation. Saath works closely with local Community Based Organizations and has extensive experience in community development in slum areas (Saath, 2010).

Land is an essential resource in the housing-process. To construct shelter one needs access to basic resources, like land, construction tools, building materials, skills, labor and nance (Smets, 2004; Turner, 1976).

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Slums are illegally built squatter settlements located on public or private owned land. There are no or little basic facilities, like water, electricity or a sewerage system (Ahmedabad Municipal Corporation, 2006). Chawls are old multi-story buildings, initially meant to locate the laborers of the former textile industry. Dwelling-units in a chawl are usually not bigger then one room and there are no or little basic amenities (Samvad, 2006).

Basic resources for shelter

Source: Turner (1967, pp. 84-86), Smets (2004, pp. 78-83)

Unlike the other resources, a legal land-title is believed to transfer dead4 capital into real capital (De Soto, 2000). De Soto states that slum dwellers in third world countries do possess an impressive amount of capital. But because a formal registration system is lacking, theyre not able to convert their assets into real capital. One way to improve this situation is the distribution of legal land-titles to slum dwellers. Gilbert (2002) agrees that the lack of a legal land-title is inconvenient for the urban poor, but that by now its recognized that a full-title is not necessary for security of tenure. To bring about housing investments by the urban poor, the perception of security is more important then an actual legal status. Besides, sometimes a legal land-title is not enough and other additional services needs to be supplied to unleash investments (Gilbert, 2002).

Purpose, relevance & research questions

The purpose of this research is to nd out what the inuence is of land tenure status5 on building strategies of the urban poor in informal settlements in Ahmedabad, India. On one hand, De Soto (2000) states that a legal land-title will release a potential resource of capital. On the other hand Gilbert (2002) states that perceived tenure security is enough to generate capital.

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Dead capital can be described as assets without formal recognition, reducing its potential to create surplus value through multiple transactions and thus create real capital (De Soto, 2000, p. 32). Land tenure status refers both to legal land tenureship de jure (land-title) or de facto (offered public facilities) and illegal land-tenureship (with no protection against eviction).

Observing building strategies in two settlements that differ in perceived tenure-security will deliver empirical evidence in favor or against the idea that a higher perceived tenure-security will induce housing investments. De Soto and Gilbert will deliver the theoretical framework to explain the situation in Ahmedabad. In addition, by studying the effects of perceived tenure security in informal settlements, I want to make a small contribution to the accumulation of knowledge about the current global situation on affordable housing for the urban poor. For these reasons, two squatter-settlements in Ahmedabad will be investigated: one without land-titles and one with a de facto tenure status provided under the SNP. To make a good comparison possible, the settlements have to meet additonal criteria. Both settlements should be comparable in terms of: Geographical position: To avoid bias in terms of benets or disadvantages because of a settlements geographical position (land-use, orientation, distance to central services, availability of (public) transport, type of area (business or commercial district, industrial or residential area) etc.). Population size: The sizes of settlements differ greatly, which possibly inuences social patterns within the settlements. Cultural & social composition: Dalit Hindus, tribes and Muslims represent the majority of Ahmedabads slum dwellers. A comparable composition of socio-cultural groups can exclude bias by culture. Income: Slum-dwellers mainly fall in the Economical Weaker Section (EWS) or the Lower Income Group (LIG). Because of their low income, people from the Economical Weaker Section (EWS) are not likely to invest much in their homes.
Similarities and dissimilarities between settlements Settlement Indicator Perceived tenure security (in 2010) Geographical position Socio-cultural composition Population size yes X Y X Y X Y no Settlement X Settlement Y

Based on these selection criteria two settlements are selected: Guptanagar II and Yogeshwarnagar. Both settlements are located in the Vasna ward and both

settlements are comparable in terms of geographical position, socio-cultural composition and population size.
Guptanagar II is a cluster of a bigger slum-area (5,000 households) in Vasna. Guptanagar II consists of different communities, tribes and castes. This settlement has around 800 households and its dwellers obtained a non-objection certificate (NOC) for 10 years under the SNP in the year 2005. This is a guarantee that they will not be evicted in the next 10 years. Yogeshwarnagar is another cluster within the Vasna slum-area. Its social-cultural composition is comparable with Guptanagar II and is slightly smaller (700 households). This settlement has not been upgraded by SNP program, nor did residents receive a NOC.
Source: Jani & Shah (2010)

If perceived tenure security does make a difference, will it promote building activity within squatter settlements? This leads to the following research question: RQ What are the similarities and differences in building strategies related to perceived tenure security between Guptanagar II and Yogeshwarnagar in Ahmedabad, India? What are explanations for those similarities and differences? The remaining resources, namely building methods & materials, labor and nance, are used as indicators to determine change in building strategies between the settlements. If perceived tenure security makes a difference, then dwellers of the settlement with a legal land status are more likely to invest in their houses. They are also likely to use more sustainable methods for constructing shelter. The following subquestions, regarding the remaining resources apply for both the settlements; Yogeshwarnagar, without a non-eviction guarantee and Guptanagar II, with a presumably higher perceived tenure security through a non-eviction guarantee. SQ1. SQ2. SQ3. What nancial resources are used by residents of Guptanagar II and Yogeshwarnagar in the period 2000-2010? What building methods & materials are used by residents of Guptanagar II and Yogeshwarnagar in the period 2000-2010? What kinds of labor are used by residents of Guptanagar II and Yogeshwarnagar in the period 2000-2010?

Theoretical framework: Self-help housing in a nutshell.

For housing, in the sense of constructing shelter, access to basic resources is required. These basic resources consist of monetary and non-monetary means (Smets, 2004, p. 78). Financial means can be used to invest in land, building m a t e r i a l s , t o o l s , a n d c o n s t r u c t i o n s s k i ll s . ( i b i d ) . O r a s J o h n F . T u r n e r ( 1 9 7 6 ) p u t s it, direct or indirect dweller-control depends on the availability of appropriate tools and materials (or technology), of land and finance (p. 17). In short, to construct shelter, one needs a piece of land, sufcient nancial means and technology in the sense of building materials, tools and construction skills and labor in order to use them (ibid, p. 86). Turner (1976) considers housing not solely as a product; housing has socialvalue as well (p. 60). The word housing is both a noun, meaning the stock of dwelling units, and a verb, in the sense of the process by which that stock is created and maintained (ibid). Turner states that it is considered reasonable to speak about housing in terms of market value or in terms of housing processes, but to mix these two terms is considered as abnormal (ibid, p. 61). Consequently, the performance of housing (what it does) is not described by any housing standards, in contrast to the physical aspects of housing (what it is). In Turners view, the meanings of housing and value should be used properly. Human values should be distinguished from market values (ibid). Furthermore housing needs change, mainly because of the changing family cycle or stages in the migrants (urban) life. Large institutions can never adequately meet the endless variety of needs. Therefore, the users should be in charge of the main components of the housing process, individually or through small-scale local institutions (ibid, p. 41). One way to achieve this is (assisted) self-help housing. Self-help housing is practically the only strategy for lower-income groups to obtain a home of their own. It offers the opportunity for low-income households to build and improve their house step by step, once sufcient nance is available and once these households decide to invest it in their house. (Bredenoord, van Lindert & Smets, 2010, p. 274). Besides, improvement of housing conditions has proofed to activate different mechanisms in poverty alleviation (Durand-Lasserve & Selod, 2009). Or as Cedric Pugh (2001) simply states: Housing improvements has long-term pay-offs (p. 415).

The basic resources needed for the construction of shelter are interrelated; this is especially the case for nance and technology. As stated by Peer Smets (2004) incremental building demands incremental financing (p. 12) and the methods of financing dictate the mode of construction (p. 14). The urban poor arrange nancing for their building activities in mainly informal ways. Formal ways of nancing are available, but they neglect the livelihood strategies of the poor (p. 14), which are mainly informal. Banks and nancial institutions are generally not eager to grant loans to dwellers of illegal settlements. Potential clients need proof of a regular salaried income from employment. Poor households that are mainly employed in the informal sector cannot obtain such documents. In India, housing nance for the economical weaker section (EWS) and low-income groups (LIG) are mainly provided by the private sector, such as NGOs, micronance institutions, housing nance companies and banks (UNHSP, 2008). Concerning building materials and construction techniques, not much have changed in recent years. The formal Indian market depends on traditional high-cost building materials. Time costly production leads to inadequate supply and high costs, increasing the total costs of housing (Sengupta, 2010, p. 325). To decrease housing costs, poor urban households depend on selfmanaged building strategies by constructing their homes their selves (with or without hired labor) and by purchasing materials and tools themselves (Bredenoord & van Lindert, 2010). Self-built homes in slum-areas are being constructed from whatever materials are available to hand (Lloyd-Evans & Potter, 1998, p. 139). The materials self-help constructors use for basic shelter are a wide range of recycled waste-materials like: packing cases, cardboard cartons, recycled scraps of wood, corrugated iron, attened tin cans, straw matting and sacking (ibid, p. 140). An initial shelter may give a quite primitive impression (p. 281), but what really counts is the ability of its users to incrementally improve their self-built house over the years (Bredenoord & van Lindert, 2010). Development of policies on provision of affordable materials and construction capacity are important tools to increase access to affordable housing for the urban poor (Rakodi, 1992, p. 43). Also, the use of cheaper indigenous materials in accordance with proper construction techniques should

be supported and permitted to decrease housing costs for the urban poor (Malpezzi, 1992, p. 16). Finally, Darshini Mahadevias arguments in favor of poverty alleviation through self-help employment, also applies for self-help housing. Simply providing credit is not enough, it also includes access to reasonable priced raw materials (Mahadevia, 2001, p. 246).

Methodology
Guptanagar II obtained a legal land status for ten years in 2005, provided under the SNP. To see whether this status makes a difference, an historical comparison will be made between the two settlements. A period of ve years before, and ve years after Guptanagar II gained its legal status will be compared. Data will be collected by interviews with the dwellers of the selected settlements. The interviews will be partly structured (socio-economic data) and partly semi-structured (history of housing improvements) A semistructured interview or a conversation with a purpose, offers an opportunity for the construction of contextual knowledge by focusing on relevant specics in each interview (Mason, 2002). Respondents are allowed to respond more freely by not being limited to a set of xed answers. (Giddens, 2001). The questionnaires will rst be tested in the eld, by interviewing two households in every settlement. If necessary, the questionnaire will be adjusted. In addition key-gures in the eld (community leaders, NGOs, academics, ofcials) will be interviewed. If the respondent agrees, I will record the interview. If not, taking notes will sufce. Especially in this last case, I aim to work out the interviews at the same day on which they are conducted. Next to the interviews, direct observation will add extra in depth information about the communitys housing circumstances . By direct observation I mean observing the built environment of the settlements while being present at activities organized by Saath and while conducting interviews. Documental research, by analyzing archived documents, will help to get an impression of the settlements in the past (Giddens, 2001; Mason, 2002). The gathering of data and initial analysis of data will be employed simultaneously. Initial analysis determines where to go and what to look for next

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in data collection. Analysis and data collection continually inform one another(Grounded Theory Institute, 2009). The gathered qualitative data will be analyzed through open coding, which means the process of breaking down, examining, comparing, conceptualizing and categorizing data (Corbin & Strauss, 2004). This process of data reduction will result in the discovery of new ideas and broader conceptual frameworks, and will nally lead to generalizing and theorizing from the dataset (Atkinson & Coffey, 1996). Regression analysis (with MS Ofce Excel 2008) of the quantitative data collected through the structured interviews will statistically offer evidence for accepting or refuting the idea that perceived tenure-security has inuence on housing investments. The size of the sample will be 25 to 30 respondents per settlement selected through systematic point sampling; a sample of a number of points (households) selected from a study area (the settlement) in a systematic way by using a transect line (Action Plan for Geography, 2010). Considering the time available, a sample of 50 to 60 respondents is sufciently meaningful to draw a conclusion from the data. Units of analysis are households, with each respondent representing one
Systematic point sampling

household. A sample of 25 to 30 points will be selected along the longest diagonal starting from the southwest corner of the map. Every 10th household on the line will be selected. In real life, it will not be possible to follow this line exactly. I will choose a path

as close as possible to the line, for example, by taking alternately a left or right turn. At the beginning of the eldwork, I will draw a map of the area. On this map I will mark the intended route along the diagonal and the number of houses on this route. If it is not possible to obtain a sample of 25 to 30 houses by selecting every tenth door on this route, I will increase or decrease the number of houses in between. If there is nobody at home at a selected house, I will come back at another time. If a household does not want to participate, then Ill approached the next dwelling. The timings of collecting data will be mainly in the late afternoon and early evening on both weekdays and weekends.

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For conducting eldwork, corporation of the community is needed. Therefore, it is important to justify and explain my presence to the members of the community. Saath is present in both of the settlements. Before conducting the actual eldwork, I will pay visits to several programs and activities organized in the settlements. Saath will also introduce me to key-gures (communityleaders) in the settlements. For the eldwork I will need a local translator and guide. This assistant should have: an open-minded attitude towards culture, religion and the castesystem, a good level of as well English as Gujarati, experience with (scientic) eldwork and he or she should be familiar with the issues in Ahmedabads slums. With these criteria in mind, I have found a female employee of Saath willing to help me. She works for the Research & Development cell and she knows both the areas well. Shes from a high-caste family and is used to work closely with families & youth of different backgrounds in several slums in Ahmedabad. I dont expect that her background will have a negative inuence on collecting reliable data.

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