abstract: Slum development and growth is quite popular in developing countries. Many studies have been done on what social and economic factors are the drivers in establishment of informal settlements at a single cross-section of time, however limited work has been done in studying their spatial growth patterns over time. This study attempts to study a sample of 30 informal settlements that exist in the National Capital Territory of India over a period of 40 years and identify relationships between the spatial growth rates and relevant factors identified in previous socio-economic studies of slums using advanced statistical methods. One of the key contributions of this paper is indicating the usefulness of satellite imagery or remote sensing data in spatial-longitudinal studies. This research utilizes readily available LANDSAT images to recognize the decadal spatial growth from 1970 to 2000, and also in extension, calculate the BI (transformed NDVI) as a proxy for the intensity of development for the settlements. A series of regression models were run after processing the data, and the levels of significance were then studied and compared to see which relationships indicated the highest levels of significance. It was observed that the change in BI had a higher strength of relationships with the change in independent variables than the settlement area growth. Also, logarithmic and cubic models showed the highest R-Square values than any other tested models. / Dissertation/Thesis / M.U.E.P. Environmental Design and Planning 2011

Este trabalho tem o objetivo de contribuir para intervenções mais sustentáveis em assentamentos precários, considerando a percepção ambiental dos moradores da Ilha Grande dos Marinheiros. Trata-se de local pertencente à Área de Proteção Ambiental do Delta do Jacuí, situada na região metropolitana de Porto Alegre. Tendo em vista a situação das ocupações e a extrema vulnerabilidade ambiental do local, a inclusão da percepção da população e a identificação de suas necessidades são fundamentais em processo de intervenção mais sustentável. O estudo foi desenvolvido inicialmente através de um levantamento preliminar, por meio de entrevistas e de levantamento de dados, buscando uma apreensão do local e definição dos objetivos do trabalho. A etapa seguinte consistiu em levantamento de dados, realizado por meio de entrevistas e por observação direta. O objetivo principal foi identificar e analisar a percepção ambiental dos moradores da Ilha Grande dos Marinheiros a fim de fornecer subsídios a intervenções mais sustentáveis em assentamentos precários. Como objetivos intermediários, buscou-se identificar e analisar a relação entre a percepção ambiental e sustentabilidade em assentamentos precários; os vínculos afetivos dos residentes com o local e com a comunidade e os principais problemas e necessidades dos moradores, para confrontar os dados obtidos na pesquisa com dados técnicos e com a bibliografia consultada. Os dados foram analisados, apresentados à comunidade e confrontados com recomendações técnicas. Foram identificados e analisados o perfil, valores, atitudes, o nível de satisfação dos moradores, seu modo de vida, os principais problemas da área, sua percepção sobre a questão ambiental e sua expectativa em relação à APA. Verificou-se, também, que uma parcela significativa dos entrevistados tem um vínculo afetivo com o local e com a natureza, sobretudo os ilhéus, e que há diferenças na percepção ambiental e atitudes conforme local de moradia. O trabalho se mostra relevante, tendo em vista a viabilidade da ocupação do local a partir da criação da APA, tornando-se necessário um projeto de intervenção mais sustentável. / The aim of this work is to contribute for more sustainable interventions in precarious settlements, considering the environmental perception of the inhabitants of Ilha Grande dos Marinheiros. It is located in the metropolitan region of Porto Alegre and it is situated in the EPA of Delta do Jacuí. Regarding the situation of the occupation and the extreme environmental vulnerability, the inclusion of the perception of the population and the identification of its yearnings are essential in the process of sustainable intervention. The study was developed initially through an exploratory stage, in order to comprehend the site. The following stage consisted of data collecting, carried through by interviews with inhabitants and observation. The main objective was to identify and to analyze the environmental perception of the inhabitants of Ilha Grande dos Marinheiros, in order to support more sustainable interventions in precarious settlements. As secundary objetives the affective values, attitudes, place and community attachment and the main problems of the area were identified to confront with the technical information colleted in the literature. Subsequently the data were analyzed and presented to the community. The profile, values, attitudes and expectations of the inhabitants were identified and analysed, in relation to the living period on the site, and also the existing conflicts. It was also verified that a large number of the interviewed have a place and nature attachment. This work is expected to be relevant, regarding the viability of the areas occupation due to the EPA´s creation in 2005, becoming necessary a more sustainable intervention project, for which, the consideration of the population perception and the identification of their yearnings becomes essencial.

Este trabalho tem o objetivo de contribuir para intervenções mais sustentáveis em assentamentos precários, considerando a percepção ambiental dos moradores da Ilha Grande dos Marinheiros. Trata-se de local pertencente à Área de Proteção Ambiental do Delta do Jacuí, situada na região metropolitana de Porto Alegre. Tendo em vista a situação das ocupações e a extrema vulnerabilidade ambiental do local, a inclusão da percepção da população e a identificação de suas necessidades são fundamentais em processo de intervenção mais sustentável. O estudo foi desenvolvido inicialmente através de um levantamento preliminar, por meio de entrevistas e de levantamento de dados, buscando uma apreensão do local e definição dos objetivos do trabalho. A etapa seguinte consistiu em levantamento de dados, realizado por meio de entrevistas e por observação direta. O objetivo principal foi identificar e analisar a percepção ambiental dos moradores da Ilha Grande dos Marinheiros a fim de fornecer subsídios a intervenções mais sustentáveis em assentamentos precários. Como objetivos intermediários, buscou-se identificar e analisar a relação entre a percepção ambiental e sustentabilidade em assentamentos precários; os vínculos afetivos dos residentes com o local e com a comunidade e os principais problemas e necessidades dos moradores, para confrontar os dados obtidos na pesquisa com dados técnicos e com a bibliografia consultada. Os dados foram analisados, apresentados à comunidade e confrontados com recomendações técnicas. Foram identificados e analisados o perfil, valores, atitudes, o nível de satisfação dos moradores, seu modo de vida, os principais problemas da área, sua percepção sobre a questão ambiental e sua expectativa em relação à APA. Verificou-se, também, que uma parcela significativa dos entrevistados tem um vínculo afetivo com o local e com a natureza, sobretudo os ilhéus, e que há diferenças na percepção ambiental e atitudes conforme local de moradia. O trabalho se mostra relevante, tendo em vista a viabilidade da ocupação do local a partir da criação da APA, tornando-se necessário um projeto de intervenção mais sustentável. / The aim of this work is to contribute for more sustainable interventions in precarious settlements, considering the environmental perception of the inhabitants of Ilha Grande dos Marinheiros. It is located in the metropolitan region of Porto Alegre and it is situated in the EPA of Delta do Jacuí. Regarding the situation of the occupation and the extreme environmental vulnerability, the inclusion of the perception of the population and the identification of its yearnings are essential in the process of sustainable intervention. The study was developed initially through an exploratory stage, in order to comprehend the site. The following stage consisted of data collecting, carried through by interviews with inhabitants and observation. The main objective was to identify and to analyze the environmental perception of the inhabitants of Ilha Grande dos Marinheiros, in order to support more sustainable interventions in precarious settlements. As secundary objetives the affective values, attitudes, place and community attachment and the main problems of the area were identified to confront with the technical information colleted in the literature. Subsequently the data were analyzed and presented to the community. The profile, values, attitudes and expectations of the inhabitants were identified and analysed, in relation to the living period on the site, and also the existing conflicts. It was also verified that a large number of the interviewed have a place and nature attachment. This work is expected to be relevant, regarding the viability of the areas occupation due to the EPA´s creation in 2005, becoming necessary a more sustainable intervention project, for which, the consideration of the population perception and the identification of their yearnings becomes essencial.

Este trabalho tem o objetivo de contribuir para intervenções mais sustentáveis em assentamentos precários, considerando a percepção ambiental dos moradores da Ilha Grande dos Marinheiros. Trata-se de local pertencente à Área de Proteção Ambiental do Delta do Jacuí, situada na região metropolitana de Porto Alegre. Tendo em vista a situação das ocupações e a extrema vulnerabilidade ambiental do local, a inclusão da percepção da população e a identificação de suas necessidades são fundamentais em processo de intervenção mais sustentável. O estudo foi desenvolvido inicialmente através de um levantamento preliminar, por meio de entrevistas e de levantamento de dados, buscando uma apreensão do local e definição dos objetivos do trabalho. A etapa seguinte consistiu em levantamento de dados, realizado por meio de entrevistas e por observação direta. O objetivo principal foi identificar e analisar a percepção ambiental dos moradores da Ilha Grande dos Marinheiros a fim de fornecer subsídios a intervenções mais sustentáveis em assentamentos precários. Como objetivos intermediários, buscou-se identificar e analisar a relação entre a percepção ambiental e sustentabilidade em assentamentos precários; os vínculos afetivos dos residentes com o local e com a comunidade e os principais problemas e necessidades dos moradores, para confrontar os dados obtidos na pesquisa com dados técnicos e com a bibliografia consultada. Os dados foram analisados, apresentados à comunidade e confrontados com recomendações técnicas. Foram identificados e analisados o perfil, valores, atitudes, o nível de satisfação dos moradores, seu modo de vida, os principais problemas da área, sua percepção sobre a questão ambiental e sua expectativa em relação à APA. Verificou-se, também, que uma parcela significativa dos entrevistados tem um vínculo afetivo com o local e com a natureza, sobretudo os ilhéus, e que há diferenças na percepção ambiental e atitudes conforme local de moradia. O trabalho se mostra relevante, tendo em vista a viabilidade da ocupação do local a partir da criação da APA, tornando-se necessário um projeto de intervenção mais sustentável. / The aim of this work is to contribute for more sustainable interventions in precarious settlements, considering the environmental perception of the inhabitants of Ilha Grande dos Marinheiros. It is located in the metropolitan region of Porto Alegre and it is situated in the EPA of Delta do Jacuí. Regarding the situation of the occupation and the extreme environmental vulnerability, the inclusion of the perception of the population and the identification of its yearnings are essential in the process of sustainable intervention. The study was developed initially through an exploratory stage, in order to comprehend the site. The following stage consisted of data collecting, carried through by interviews with inhabitants and observation. The main objective was to identify and to analyze the environmental perception of the inhabitants of Ilha Grande dos Marinheiros, in order to support more sustainable interventions in precarious settlements. As secundary objetives the affective values, attitudes, place and community attachment and the main problems of the area were identified to confront with the technical information colleted in the literature. Subsequently the data were analyzed and presented to the community. The profile, values, attitudes and expectations of the inhabitants were identified and analysed, in relation to the living period on the site, and also the existing conflicts. It was also verified that a large number of the interviewed have a place and nature attachment. This work is expected to be relevant, regarding the viability of the areas occupation due to the EPA´s creation in 2005, becoming necessary a more sustainable intervention project, for which, the consideration of the population perception and the identification of their yearnings becomes essencial.

Few studies have attempted to determine the tenability of Community Participation (CP) theory is explicating Water Production and Management dynamics in Urban Informal Settlements. Consequently, several gaps exist in knowledge of the value of this important theory for efforts to improve water service delivery in such settlements. The main purpose of this study is to contribute to efforts addressed to filling these gaps. Four water schemes established by Sustainable Aid in Africa International in partnership with different communities in the informal neighborhoods of Kisumu Kenya are used as empirical referent. The study is guided by the following three Research Questions; 1) what is the relationship between community participation and beneficiary satisfaction with the work of the water management committees in the four schemes? 2) what are the contributions (positive or negative) of community participation on the production of clean potable water supply in the informal settlements? 3) what are the participation-related factors affecting the performance of the schemes? Uncovering answers to these questions entailed the use of a mixed methods approach. The approach involved the application of both quantitative and qualitative techniques. The former was employed mainly to answer the first two Research Questions and latter to deal with Research Question Three. The quantitative component of data collection involved administering a survey questionnaire through a simple random sampling technique. Logistic Regression and Chi-square Tests were employed to analyze the quantitative data. In the qualitative phase, Focus Group Discussions, Observation, Transect Walks and Photographic evidence was used to collect data analyzed through Constant Comparison Analytic technique. For Research Question One, the logistic regression results indicate that five participatory variables are significantly associated with beneficiary satisfaction with the work of the water management committees. These are provision of paid or unpaid labor to the water schemes, household willingness to intervene against pipe vandalism, meeting attendance, willingness to contribute money or time to the community water scheme and whether a household has ever made a complaint about water supply/quality issues. For Research Question Two, the chi-square test shows that households who use community managed water schemes and attend water and sanitation meetings tend to practice better water handing hygiene in the settlements. For Research Question Three, the following factors are identified to be either aiding and/or impeding the success of the schemes; networking and collaboration, continuous community engagement/participation, the formation of water consumer groups, coordination and organizational management, extent of institutional formalization, provision of dividends to the community, clannism, population increase, and poverty and community fatigue. This dissertation sheds new light on the role played by CP in managing vital resources such as water in urban informal settlements/neighborhoods. An important policy contribution is that CP can be used as a viable strategy in the establishment of effective water schemes in urban informal settlements. Furthermore, it can act as an antidote with regards to water quality improvements in urban informal settlements/neighborhoods.

This thesis assesses the potential of Venezuela’s technical water committees (mesas técnicas de agua, MTAs) to address governance and logistical challenges for improving sanitation in the barrios (low income settlements) of Caracas. The MTAs are a radical experiment in urban planning whereby beneficiary communities map their own water and sanitation needs and help to plan infrastructure development, which is financed by the state. In addition to improving services, the MTAs aim to promote “popular” or “citizen power” as part of a broader political transformation, the Bolivarian Process (1999-present). Based on Hickey and Mohan’s (2005) four criteria for “transformative participation,” the paper argues that the MTAs have opened spaces for citizen empowerment and improved services in the barrios; however, participation at the local scale cannot resolve many of the challenges for improving sanitation such as institutional overlap and the financing gap, especially given that sanitation is the least profitable form of service provision in terms of economic and political payoffs.

This research explores the tensions between non-formal land access, violence and urban land policy in the post-conflict city of Juba in Southern Sudan. It departs from the conventional notion of rights to land based on property rights to a broader concept of ‘access’ to investigate the means, processes and relations within society, or ‘mechanisms’, by which individuals attempt to gain and maintain access to non-formal settlement land, how this is controlled and the connections to violence. Moving beyond current dualist frameworks used to understand informality, this research aims to unpack the formal and non-formal institutions in the city whose interplay results in unequal opportunities for individuals to access urban land and how violence is both a mechanism and outcome of this. Using a mixed methods methodology, the research was carried out in Juba and three of its non-formal settlements that have emerged at different times during the city’s approximately ninety-year history. It used mainly in-depth interviews, group discussions, participant observation, structured settlement surveys and semi-structured key informant interviews. As the ‘new’ capital of a multi-ethnic region that has experienced decades of civil war, Juba provides fertile ground to explore these issues. Firstly, by tracing the evolution of the region’s political economy the research shows how, rather than being a new phenomenon, exploitation by government and violence have been integral features of urban land management in the region. Secondly, by considering Juba’s development it shows how violence underpins contemporary settlement patterns in the post-conflict period. Thirdly, by providing case studies of three non-formal settlements it details the evolvement from a sense of community to more segregated practices where land access is becoming highly ethnicised, reflecting broader tensions in the region. Finally, it shows how both ethnic tensions and unclear legislation are being instrumentalised by a web of powerful actors who, whether through coercion, deception or violence, are undermining urban planning in the post-conflict city for their own benefit, and hence the ability of non-formal inhabitants to access land. The research concludes that partly due to the formative nature of institutions controlling urban land access, violence has not ended in the post-conflict period but remains integral. Nevertheless, whilst approaches to non-formal settlements may be seen as a consequence of the persistence of dysfunctional institutions, it also relates to the post-conflict political economy that is emerging in Southern Sudan and the extent to which urban land access is facilitated by connections with the urban political or military elite. As a result, for hundreds of thousands of internally displaced persons, returnees, combatants and ex-combatants the ‘peace dividend’ is compromised. In an urban environment hostile to their presence, they have no choice but to settle in non-formal settlements that, rather than being a solution to their shelter needs, leave them exposed to exploitation by a range of powerful actors.

The need for more inclusive and integrated cities has resulted in a paradigm shift in the South African transport and land use policy environment where transport and land use planning are viewed as a continuum as opposed to isolated planning aspects. Issues such as residential segregation, social exclusion, spatial inefficiencies, inequality, residential informality, marginalisation of the low-income cohort continue to form part of the current planning discourse. While policy acknowledges the need to redress these issues, the urban spatial patterns in South African cities continue to trace the historical planning trajectory. Recently, congestion has become an issue in some of South Africa’s cities with Johannesburg and Cape Town appearing in the list of the top hundred most congested cities in the world. It is thus essential to understand how South African cities can address urban accessibility and mobility issues along with redressing apartheid spatial planning to attain sustainable cities that allow for inclusivity of all population groups. Like most South African cities, Cape Town is a relic of apartheid planning where the urban spatial patterns reinforce social exclusion among other issues. Urban and transport planning in Cape Town focuses on addressing issues of spatial inefficiencies, social exclusion, congestion due to rapid motorisation and the proliferation of informal settlements. It is against this backdrop that the central concern of this research is to understand urban dynamics linked to the spatiotemporal interaction of transport and land use in Cape Town to aid in the formulation of proactive urban policies. There is compelling evidence in the literature that dynamic integrated land use transport models provide an avenue through which the urban change process can be understood to aid in the development of adaptive land use and transport strategies. METRONAMICA, a dynamic land use transport model, is applied in this research to simulate and understand land use and transport change in Cape Town. A sequential stage-wise procedure was implemented to calibrate the model for the period 1995- 2005 and an independent validation was carried out from 2005 to 2010 to evaluate the model. Kappa statistic and its associated variants were applied to assess the ability of the land use model block to reproduce land use patterns while the EMME model and previous transport studies for Cape Town were used to evaluate the transport model. The results from the calibration and validation exercise show that the model can reproduce historical land use and transport patterns. The integration of the transport and land use model through accessibility improved the Kappa Simulation and Fuzzy Kappa Simulation. This showed that the model explained urban change better when land use and transport interacted compared to an independent land use model. This shows that accessibility can be employed in the Cape Town context to enhance the understanding of the urban change process. In addition to the Kappa statistics, the fractal dimension which measures the landscape complexity was used to assess the predictive accuracy of the model. The model performance revealed that the landscape patterns simulated by the model resemble observed land use patterns signifying a good calibration of the model. The calibrated land use transport model for the Cape Town Metropolitan region (CTMRLUT) was applied for policy scenarios. Three scenarios were simulated, specifically the business as usual (BAU), redressing social exclusion and the potential for in situ upgrading of informal settlements. The study found that intensive land use development along the Metro South East Integration Zone (MSEIZ) was linked to a reduction in commuting distances to economic activities which is in contrast to the BAU scenario. While these scenarios looked at the urban spatial patterns, the effect of land use patterns on congestion was also explored. The findings from the scenario simulations suggest that despite the reduction in distance to economic centres, the congestion condition in Cape Town will continue to deteriorate. Further, the findings indicate that interventions that only target land use developments are not sufficient to address congestion issues in Cape Town. Instead, to address the congestion problem in Cape Town, mixed land use and compact growth strategies need to be complemented with travel demand management strategies that target private car usage and intensive investment in transport infrastructure, especially rail, to facilitate the use of alternative modes. With regards to informal settlements, the study found that in situ upgrading could be a viable option to tackle some informal settlements. However, for proper inclusionary informal settlement policy, an approach that resonates with contextual realities would be more suitable to assess the viability of in situ upgrading based on the location of informal settlements relative to centres of economic activities. Additionally, the study revealed that instead of informal settlements locating as stand-alone settlements, some of them located adjacent to low-income housing which might be indicative of a growth in backyard shacks which is an existing housing trend in some lowincome suburbs in Cape Town. While this research has shown that integrating land use and transport in policy is potentially useful in solving urban issues, it has also revealed the value of urban modelling as a platform on which to assess the potential impacts of policies before their implementation. This is a strong case for the utilisation of decision support tools in land use and transport planning in contemporary South African cities.

This research seeks to examine the process of displacement and resettlement of residents who had been affected by regularization process within Manzese and Buguruni wards in Dar es Salaam City, Tanzania. It aimed at analyzing the issues and opportunities faced by the affected residents during regularization. The regularization which involves two processes, tenure and physical upgrading has been extensively used in solving problems associated with unplanned and informal settlements within developing countries in Africa, Asia and Latin America. It’s a process used to bring informal and unauthorized settlements into the legal, official and administrative structures of land management as well as improving the living conditions of its dwellers. In Tanzania, whereby more than 80 per cent of its urban residents live in informal settlement, the process had been practiced in order to provide basic services such as access roads, storm water drainages, street lights, water supply and public toilets within informal and unplanned settlements. Compared to previous strategies for upgrading such as slum clearance and site and services and squatter upgrading, regularization had been considered to bring positive results.  The main concern of this research is physical regularization which was implemented through Community Infrastructure Upgrading Project (CIUP) within sixteen settlements in Dar es Salaam city. During its implementation, about twenty households of tenants and house owners were displaced. This research being explorative focused on understanding the process of displacement and resettlement by using qualitative method. This was done through narrations of traced and found six tenants and four house owners within the affected settlements of Mnazi Mmoja, Mnyamani and Madenge settlements. It applied case study strategy whereby the settlements made the main case study areas and the individual displaced residents became sub cases. Experiences before, during and after displacement and resettlement were narrated by using in-depth interviews. The selected settlements were obtained through criteria sampling whereby the individual displaced residents were found by using snow balling approach. Also resettlement issues and opportunities faced by displaced tenants and house owners were analyzed and the emerging patterns of issues and opportunities were identified. The issues include loss of access to common facilities, homelessness, marginalization and social disarticulation, family disintegration and joblessness. The opportunities include improved facilities, expansion of human competence and social opportunities, enhanced capabilities and improved social services. It was also realized that the issues suffered and opportunities accrued by house owners were different from that of tenants. The research examined the process of displacement and resettlement through policy and legal frameworks which guided the regularization. It also used the justice and collaborative theories in formulating concepts for data collection, analysis and discussing the results. During the discussions it was realized that there were emerging gaps in the process as it was indicated within the experiences of individual cases. These gaps include that of lack of real participation and democracy, insufficient knowledge on compensation level, insufficient community participation especially with the affected tenants.  The research provides an indicative knowledge on regularization process which can further be used in improving the planning process. / QC 20111123

Intermittent water supply is a major challenge in informal settlements (slums) in Nairobi, Kenya. Smart water man- agement is an emerging technology that uses sensory net- works for continuous monitoring of water infrastructure to detect anomalies and inform effective distribution of wa- ter resources. This thesis investigates how visualization of data collected from the water network can support the lo- cal water utility in the Nairobi slums in improving water distribution, including maintenance and development. An explorative qualitative study, including interviews with util- ity staff members and field observations informed the devel- opment of three conceptual prototypes to propose how the collected data could be incorporated in the water utility’s practices. The design of the prototypes lead to a discussion on how smart water management can be adapted to the specific challenges of the context. The thesis concludes by suggesting that a successful implementation of smart water management, besides supporting efforts directly related to the slum areas, must also address the problems of inefficient and inequitable water allocation concerning the whole city of Nairobi. ­­ / Oregelbunden vattenförsörjning är en stor utmaning i informella bosättningar (slumområden), i Nairobi, Kenya. Smart water management är ett ny tekniskt område som använder sensornätverk för kontinuerlig övervakning av vatteninfrastrukturer för att upptäcka avvikelser, som t.ex. läckage, och informera effektiv distribution av vattenresurser. Denna studie undersöker hur visualisering av data som samlats från vattennätet kan stödja det lokala vattenbolaget i Nairobi i arbetet med att förbättra vattendistributionen, inklusive underhåll och utbyggnad. En explorativ kvalitativ förstudie baserad på intervjuer med anställda på vattenbolaget och fältobservationer användes som underlag för en designprocess av interaktiva datavisualiseringar. I designprocessen skapades tre konceptuella prototyper som exemplifierar hur den insamlade datan skulle kunna inkorporeras i vattenbolagets praxis. Utformningen av prototyperna ledde till en diskussion om hur smart water management kan anpassas till de särskilda förutsättningarna i Nairobis informella bosättningar.  En lyckad implementation av smart water management måste, förutom att stödja de insatser direkt relaterade till de informella bosättningarna, också adressera problematiken gällande ineffektiv och ojämlik fördelningen av vattenresurser i hela staden Nairobi.