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

这一博士论文研究项目将评估非正式住区或贫民窟正规化的范围，以改善生活在那里的社会边缘化人口的生活质量。为此，联合国际将调查印度第九大城市浦那的贫民窟通知政策的过程和结果。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，由于他们的非法身份，面临着被强行驱逐而没有适当补偿的风险。关键挑战之一是如何通过改善土地保有权保障和生活条件来实现包容性城市化。因此，将非正式保有权地位与正式制度相结合，即通常所说的保有权正规化，已成为一种普遍做法。尽管学者们经常吹捧正规化是重要的一步，但正规化如何以及在多大程度上改善贫民窟居民的生活质量仍不清楚。该项目将通过提供关于贫民窟通知政策的过程和结果的系统调查的经验证据来填补这一空白，贫民窟通知政策是一种任期正规化的形式。为了评估该政策的影响，该项目调查(1)贫民窟通知政策是如何实施的，(2)哪些因素影响贫民窟的保有权保障水平和生活条件(例如住房、基础设施和服务)，以及它们的通知状况在多大程度上重要。该项目将采用顺序混合方法，通过访谈、现场观察和文件分析等各种定性方法解决第一个研究问题。在定性结果的基础上，该项目将利用联合PI将收集的调查数据的统计分析，寻求第二个研究问题的答案。通过这样做，这项研究将促进城市规划、发展经济学和人文地理学领域中自助住房、产权和非正规性理论的知识。该项目将通过提高对发展中国家处于社会边缘地位的人口的认识和了解，使社会受益。通过提供贫民窟通知政策如何使浦那的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。在目前印度中央政府准备向全国贫民窟居民提供财产权的情况下，这将是至关重要的。如果没有对非正式特征的适当理解，这种简单的正规化可能会加剧城市穷人的生活。1000多户贫民窟家庭将参加采访和调查。未来，国际合作组织将通过在学术期刊上发表文章和在会议上发表演讲，在研讨会上与决策者和当地居民讨论，以及在课堂上授课等方式，积极传播项目成果。作为博士论文研究改进奖，该项目将为有前途的学生建立独立的研究生涯提供支持。

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.