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

这个博士论文研究项目将评估非正规住区或贫民窟正规化的范围，以改善居住在那里的社会边缘化人口的生活质量。为此，联合调查委员会将调查印度第九大城市浦那贫民窟通报政策的过程和结果。在快速城市化的发展中国家，大量贫民窟居民生活条件恶劣，由于其非法身份而面临被强行驱逐而得不到应有补偿的风险。关键挑战之一是如何通过改善租住保障和生活条件来实现包容性城市化。因此，将非正式的权属地位与正式制度相结合，通常被称为权属正规化，已成为一种普遍做法。虽然学者们经常吹捧正规化是重要的一步，但人们仍然不清楚正规化如何以及在多大程度上提高了贫民窟居民的生活质量。该项目将通过提供关于贫民窟通知政策（一种权属正规化）的过程和结果的系统调查经验证据来填补这一空白。为了评估该政策的影响，该项目调查了(1)贫民窟通知政策是如何实施的；(2)哪些因素影响了贫民窟的使用权保障水平和生活条件（如住房、基础设施和服务），以及它们的通知状态在多大程度上至关重要。该项目将采用顺序混合方法，通过各种定性方法解决第一个研究问题，如访谈、现场观察和文件分析。在定性研究结果的基础上，该项目将利用联合牵头人收集的调查数据的统计分析，寻求第二个研究问题的答案。在此过程中，这项研究将推进城市规划、发展经济学和人文地理学领域中关于自助住房、产权和非正式性的理论知识。该项目将提高对发展中国家社会边缘人口的认识和了解，从而使社会受益。通过提供贫民窟通知政策如何使浦那贫民窟家庭受益的经验证据，该项目将帮助决策者修改正规化政策。在印度中央政府准备向全国贫民窟居民提供产权的当前形势下，这一点至关重要。如果对非正式特征没有适当的了解，这种简单的形式化会使城市贫民的生活恶化。1000多户贫民窟家庭将参与访谈和调查。联合调查委员会将积极传播项目成果，在学术期刊上发表文章，在会议上发言，与决策者和当地居民在讲习班上讨论，并在未来讲授课程。作为博士论文研究进步奖，该项目将提供支持，使有前途的学生建立一个独立的研究生涯。

This doctoral dissertation research project will assess the scope of the formalization of informal settlements, or slums, for the improvement of the quality of life of the socially marginalized populations who live there. To do so, the co-PI will investigate the process and outcomes of slum-notification policy in Pune, the ninth-largest city in India. In rapidly urbanizing developing countries, a large number of slum dwellers suffer from poor living conditions and face the risk of forcible eviction without due compensation because of their illegal status. One of the critical challenges is how to achieve inclusive urbanization by improving the tenure security and living conditions. Therefore, integrating informal tenure status with formal systems, commonly referred to as tenure formalization, has become common practice. While academics often tout formalization as an important step, it remains unclear how and to what extent formalization improves the quality of life of those in slums. The project will fill the gap by offering systematically investigated empirical evidence about the process and outcomes of slum-notification policy, a type of tenure formalization. To assess the impacts of the policy, the project investigates (1) how a slum-notification policy has been implemented, and (2) what factors contribute to the level of tenure security and living conditions (e.g., housing, infrastructure, and services) in slums and to what extent their notification status matters. The project will employ a sequential mixed-methods approach, addressing the first research question through various qualitative methods, such as interviews, site observations, and document analysis. Building on the qualitative findings, the project will then seek answers to the second research question using statistical analysis of survey data that the co-PI will collect. In so doing, the research will advance knowledge on theories of self-help housing, property rights, and informality in the fields of urban planning, development economics, and human geography. The project will benefit society by raising awareness and understanding of socially marginalized populations in developing countries. By offering empirical evidence of how the slum-notification policy has benefited slum households in Pune, the project will help policy makers to modify formalization policies. This will be critical under the current situation in which the central government of India is preparing to provide property rights to slum dwellers across the country. Without proper understanding of informal characteristics, such simple formalization could exacerbate the life of the urban poor. More than 1,000 slum households will participate in the interview and survey. The co-PI will actively disseminate project findings by publishing in academic journals and presenting at conferences, discussing with policy makers and local residents in workshops, and teaching classes in the future. As a Doctoral Dissertation Research Improvement award, this project will provide support to enable a promising student to establish an independent research career.