Territories of scarcity and creativity: a critical view of informal settlements and emerging tactics under conditions of scarcity in Nairobi, Kenya and Quito, Ecuador

This thesis explores the processes through which scarcity is constructed in informal settlements and how conditions emerging within its limits gives way to particular socio-spatial phenomena and influence the emergence of self-organisation and creative strategies from a non-expert perspective. At the same time, this thesis deconstructs these emerging tactics (reactive and transformative) in a diagrammatic way to generate a critical study of their potential for socio-spatial change that goes beyond the everyday survival. Most people associate scarcity with “not having enough” of something, most usually of a material nature. In contrast, this paper is based on the premise that scarcity is a constructed condition, therefore exploring it beyond its immediate manifestation and illustrating its discursive, distributive and socio-material components. In this line, the research uses Assemblage Theory as both an approach and a tool for analysis. This approach allows the research to depart from everyday narratives of the residents, and gradually evolve into a multi-scalar, non-linear reading of scarcity, by following leads into different realms and unpacking a series of routine events to uncover their connections to wider processes and particular elements affecting the settlement and the city as a whole. For this purpose, the research is based on a qualitative, flexible and multi-sited methodology, using different case studies as testing grounds. Collected data stems from a 11-months ethnographic fieldwork in informal settlements in Ecuador and Kenya, analysing the socio-spatial practices and strategies deployed by the different actors producing the built environment and arising from everyday and latent experiences of scarcity. The thesis examines the multi-scalar nature of these strategies, including self-building and management tactics, the mobilisation of grassroots organisations, the innovative ways of collaborating deployed by different coalitions and the reformulation of urban development policies. As outcomes of the research, the thesis will show illustrative diagrams that allow a better understanding of, firstly, the construction of scarcity in the built environment beyond its immediate manifestation and secondly, the way that emerging tactics a) improve existing conditions of scarcity, b) reinforce the status quo or c) contribute to the worsening of the original condition. Therefore, this thesis aims to offer lessons with both practical and theoretical considerations, by firstly, giving an insight into the complexity and transcalar nature of the construction of scarcity in informal settlements; secondly, by illustrating how acute conditions related to scarcity gives birth to a plethora of particular phenomena shaping the territory, social relationships and processes; and thirdly, by identifying specific characteristics within the informal that might allow for new readings of the city and possibilities for socio-spatial change under conditions of scarcity.

Community-led upgrading for self-reliance in informal settlements in South Africa: a review

Around the world, informal and low-income settlements (so-called “slums”) have been a major issue in city management and environmental sustainability in developing countries. Overall, African cities have an agenda for slum management and response. For example, the South African government introduced the Upgrade of Informal Settlements Program (UISP), as a comprehensive plan for upgrading slum settlements. Nevertheless, upgrading informal settlements from the bottom-up is key to inform broad protocols and strategies for sustainable communities and `adaptive cities´. Community-scale schemes can drive sustainability from the bottom-up and offer opportunities to share lessons learnt at the local level. Key success factors in their roll-out are: systems thinking; empowered local authorities that support decentralised solutions and multidisciplinary collaboration between the involved actors, including the affected local population. This research lies under the umbrella of sustainable bottom-up urban regeneration. As part of a larger project of collaboration between UK and SA research institutions, this paper presents an overview of in-situ participatory upgrade as an incremental strategy for upgrading informal settlements in the context of sustainable and resilient city. The motivation for this research is rooted in identifying the underpinning barriers and enabling drivers for up-scaling community-led, participatory upgrading approaches in informal settlements in the metropolitan area. This review paper seeks to provide some preliminary guidelines and recommendations for an integrated collaborative environmental and construction management framework to enhance community self-reliance. A theoretical approach based on the review of previous studies was combined with a pilot study conducted in Durban (South Africa) to investigate the feasibility of community-led upgrading processes.

How Formal and Informal Institutions of Middle Eastern Countries Influence Managerial Discretion: An Empirical Investigation

Managerial discretion is the focal theme bridging the clash between two schools of thoughts; whether executives have greater influence on their firms’ outcomes or other factors restrain their actions (Hambrick & Finkelstein, 1987). It is argued that constraints come from inertial, normative and environmental forces (e.g. DiMaggio & Powell, 1983). Of these restraints is the institutional environment in which a firm is headquartered. Our paper falls within this research stream and provides an extension for Crossland and Hambrick (2007, 2011) work. We investigate the national level of discretion in new cross-cultural contexts, provide deeper understanding of its concept, and shed the light on undiscovered discretion’s antecedents and consequences. We adopt a quantitative approach in which questionnaires represent our data collection instrument. We anticipate that in high discretion countries firms tend to follow what Miles & Snow (1978) labeled ‘Prospector’ strategy as opposed to low discretion countries in which firms incline to implement a ‘Defender’ strategy.

What do we expect from an ombudsman? Narratives of everyday engagement with the informal justice system in Germany and the UK

This paper looks at expectations people have of informal justice mechanisms through a rich empirical dataset of 2775 recent ombudsman users in Germany and the United Kingdom. In a cross-cultural comparison the ombudsman, as a model of justice is explored. Not much is known about people’s expectations towards the ombudsman model; this paper starts to fill the gap. Four roles became apparent as cross-cultural narratives in the dataset; people who interact with ombudsmen expect them to be interpreters, advocates, allies and instruments. The identified roles are largely common to both countries, but in some aspects they show national specificities. These national specificities are seen mainly in the use of language; in Germany it is more legalistic in comparison to the UK. I argue that this might be related to what has been described as the general legal culture of each country and the institutional set-up.

An overview of top-down vs. bottom-up models for informal settlement upgrading in South Africa

The paper explores informal settlement upgrading approaches in South Africa and presents a review of top-down vs. bottom-up models, using experience and lessons learned from the Durban metropolitan area. Reflections on past upgrading efforts suggest that top-down policies in South Africa have not been successful to date. By contrast, participatory techniques, such as planning activism, can be used to enhance community empowerment and a sense of local ownership. This paper reveals that although the notion of ‘bottom-up’, participatory methods for community improvement is often discussed in international development discourses, the tools, processes and new knowledge needed to ensure a successful upgrade are under-utilised. Participation and collaboration can mean various things for informal housing upgrading and often the involvement of local communities is limited to providing feedback in already agreed development decisions from local authorities and construction companies. The paper concludes by suggesting directions for ‘co-producing’ knowledge with communities through participatory, action-research methods and integrating these insights into upgrading mechanisms and policies for housing and infrastructure provision. The cumulative impacts emerging from these approaches could aggregate into local, regional, and national environmental, social and economic benefits able to successfully transform urban areas and ensure self-reliance for local populations.