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Gat
toni
– G
oeth
ert
7 M
ay 2
010
1
CAPTURING PROCESS OF INFORMAL HOUSING DEVELOPMENT
Dr. Reinhard Goethert UN WORLD URBAN FORUM 7 – MEDELLIN, COLOMBIA 2014
A LONGITUDINAL SURVEY METHODOLOGY A pattern recognition approach
“How did they do that?”
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FIRST - We need to change our
ATTITUDE!!! It is not ‘just a survey’ but A CELEBRATION OF SUCCESS!
Consider it a Festival to celebrate the community’s success that also provides the basis for a survey of its development. It is not ‘just a survey’, but a way toward re-energizing the sense of community along with a serious reflection in understanding the process. The survey teams are not just surveyors, but are guides who help the families to understand and reflect. The survey forms provide the structure for reflection with the families and provides the background for policy considerations.
!
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PROCESS CAPTURE IS KEY METRIC
• Capturing process in a longitudinal diagramma3c approach
$$$
EXPANSION By Rooms
INCOME Household
NUMBER IN HOUSEHOLD
=>Shows cri(cal Trigger points in understanding process
SPECIAL EVENTS
Four Metrics:
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Rationale: Why are we doing this?
• The frightening challenge of doubling of populaHon and tripling of Third World urban areas by 2030 requires new thinking on strategy and policy.
We need more houses quickly!
• The demonstrated success of the informal sector in building housing – es3mated at 70% by the World Bank – is the key de facto partner in housing. How do they do it?
§ The pay-‐as-‐you-‐go process clearly works. BUT: § takes a long time – it is slow (how to speed up?) § Unclear quality of construction (how to improve quality?) § Often in undesirable locations (how to guide location?) § Very expensive to service after-the-fact (how to preplan areas?)
The key to sustainable policies is to link with existing practice of the incremental self-builder.
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What is incremental housing? A step-‐by-‐step, staged development star3ng from an ini3al small starter core, controlled by owner.
Incremental housing is an integral urban development process in building housing, communities and citizens
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What does it look like?
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It keeps getting better!
Lima, Peru
Bangkok, Thailand
Sri Lanka
Cairo
SQUATTER
SITE & SERVICES
INFORMAL
STARTER CORE
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What are the benefits of an incremenal strategy?
At the urban scale: Guides location of growth Maximizes effective use of funds: “build one – get many” Addresses speed and scale challenges of rapid urban growth
To families: Provides houses more quickly Provides a ‘safe’ start Provides affordable option Offers flexibility and choice in house expansion and outcome Parallels secure tenure, basic services and facilities
To communities: Provides instant identity Supports development of social networks Provides sufficient size to support services, commercial opportunities
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What are some examples of incremental ‘starter’ core houses?
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Gat
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Understanding process is a (the?) key reference
for sustainable proactive
policies
“Numbers are nice But process is twice (as nice)”
Quantitative vs Qualitative Data
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Understanding the incremental process: Focus
The process survey focuses on the dwelling and support policies
The three components of a planned proactive incremental process:
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The Survey Base: House Consolidation/Expansion Typology
EXPANDED (Very successful) • Provides addiHonal units to housing stock of city • Improved quality
CONSOLIDATED (Successful) • Provides addiHonal rooms to housing stock of city • Improved quality
STAGNANT (Not developing) • No added rooms to housing stock of city • Marginal-‐to-‐poor quality • Needs support?
The survey considers the addition to a city’s housing stock as a key goal.
Starter (Move-‐in)
Issue of standards: Is there a base level that the govt should aim for? Should subsidies focus on bringing up to a standard level, and then end?
Gat
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The Basic Process Diagram: Understanding Process
Key Policy issues
Current stage
$$$
Move-in Growth: Consolidation
Expansion Stagnant
• How to speed process?
• What ‘bottlenecks’ to overcome? • How to promote safe construction? • When and where interventions needed?
• What is an appropriate starter unit? • What are key location factors? • What support is needed?
• How does it compare to
other housing options?
• What is the cost/benefit to city, to community and to families?
• How to start?
Gat
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����
The Basic Process Diagram: Discovering Household Strategies
WHAT • Ini3al move-‐in? • Tenure situa3on? • Payments? • Permits, etc.? • Services? • Loca3on, aSrac3on • How found? • Sense of security?
WHY/WHEN/HOW • Trigger, catalyst? • Govt support? • Difficul3es? • Key interven3ons
Key Survey QuesHons (in addi;on to standard set of basic informa;on)
WHAT • Tenure situa3on? • Payments? • Services? • Value? • Sense of security? • Expecta3ons?
Current stage Start Stage Growth: Consolidation
Expansion Stagnant
$$$
Gat
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The Basic Process Diagram: External Factors
Which drive the ‘triggers’ of development?
NaHonal, city context
EXTERNAL FACTORS
Current stage
$$$
Move-in Growth: Consolidation
Expansion Stagnant
• City economic situation • Country economic situation • Policies: title, credit, infrastructure • Disasters, war
• Shifts in relative location • Services in community • Facilities in community
The Household
Survey
Neighborhood context EXTERNAL FACTORS
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Typical Survey Summary – 3 Activities
Traditional Data
Traditional analysis
Data collected via paper, cell phone or DIY methodology
3 – Government and
Neighborhood Context Survey
Staff interviews, publication research
1 – Diagram Timeline
Data
Pattern analysis
Household Interviews (Paper, cell, DIY)
Data aggregated as collected
2 – Household Survey
At incremental growth stages
Household Interviews (cell phone aggregates data
during collection)
•Sketch of each stage • Photographs: outside inside
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And how to do it: Three Ways of collecting data?
Traditional interview ‘paper’ surveys
‘mSurvey’ cell phone base
Do-it-yourself fill-in forms?
i
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A"SURVEY"IN"TIME" 6"
3.7 SURVEY DIAGRAM: INCOME, HOUSEHOLD SIZE, HOUSE SIZE OVER TIME
Three key data attributes at the family level were graphed to facilitate understanding of shifts in household changes over time: household size, income (in terms of multiples of basic minimum income), and house expansion (in terms of room additions). Comparison of the diagrams offers ready identification of the inter-relation among the three. They show the intervals between expansions as related to the other factors, persons/room may be determined, and triggers dates.
Change in Household size Change in household income Growth in terms of rooms
Number of PERSONS
Number of ROOMS
HOUSEHOLD INCOME
Graphing the Three Key Metrics
Gat
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Diagram Survey Form
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Gat
toni
– G
oeth
ert
7 M
ay 2
010
19
Example in Squatter Settlement in Lima, Peru
Gat
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(Not a surprise: House expansion related to funds available Remittances (outside income) is often the key element)
Consolidated Houses Unconsolidated Houses
1960 1970 1980 1990 2000 2005
2
3
4
5
6
10
9
8
7
11
15
14
13
12
16
20
19
18
17
N r.o
f Roo
ms
/ Nr .
of P
erso
ns
Nr. of Room sNr. of Person s
SUCCESSFU L #1
21
22
23
24
25
Thatch / Wood Brick Concrete frame / Brick Infill
Brick
1980
Nr.o
f Roo
ms
/ Nr .
of P
erso
ns
Nr. of Person sNr. of Room s
4
3
2
1960
Thatch / Wood
1970
12
11
7
8
9
10
6
5
17
18
19
20
16
13
14
15
Concrete frame / Brick Infill
1990 2000 2005
SUCCESSFU L #225
24
23
22
21
Brick
1980Nr
.of R
oom
s / N
r. o
f Per
son
s
Nr. of Person sNr. of Room s
4
3
2
1960
Thatch / Wood
1970
12
11
7
8
9
10
6
5
17
18
19
20
16
13
14
15
Concrete frame / Brick Infill
1990 2000 2005
LESS SUCCESSFU L #125
24
23
22
21
1980
Brick
4
N r.o
f Roo
ms
/ Nr.
of P
erso
ns
Nr. of Room sNr. of Person s
1960
2
3
Thatch / Wood
1970
5
6
10
9
8
7
11
12
15
14
13
16
20
19
18
17
Concrete frame / Brick Infill
1990 2000 2005
LESS SUCCESSFU L #2
21
22
23
24
25
Adobe
4
Nr.o
f Roo
ms
/ Nr.
of P
erso
ns
Nr. of Room sNr. of Person s
1990
2
3
Thatch / Wood
2000
5
6
8
7
NEW #1
2005
Nr.o
f Roo
ms
/ Nr.
of P
erso
ns
4
Nr. of Person sNr. of Room s
1990
3
2
Thatch / Wood
2000 2005
7
8
6
5
NEW #2
New Houses
Rooms
Persons
Examples from Squatter Settlement in Lima, Peru
Gat
toni
– G
oeth
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7 M
ay 2
010
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Now GO CELEBRATE with the family and the community!
!
For more information: url: web.mit.edu/incrementalhousing
Gat
toni
– G
oeth
ert
7 M
ay 2
010
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15
10
5
1
Your Turn! SELF-ASSESSMENT
ROOMS/HOUSEHOLD SIZE
'=' 1 ROOM, ALSO 1 PERSON
NU
MB
ER
FUTU
RE DREA
MTIME (YEARS)
GROWIN
G
UP
SCHOOL
FUTU
RE DREA
MTIME (YEARS)
GROWIN
G
UP
SCHOOL
1 - Graph HOUSEHOLD SIZE (number)2 - Graph number of ROOMS (Kitchen + Bathroom = 1)(Plot the values at the life thresholds, then connect with line)
FUTU
RE DREA
M
GROWIN
G
UP
SCHOOL