Transcript Kein Folientitel

UPA Package 3, Module 1
URBANIZATION AND THE POOR:
PERSPECTIVES FROM THE THIRD
WORLD
3.1.2 Urbanization and the Poor: Perspectives from the Third World
1
Urbanization in the Third World (TW)
•
Defining and subclassifying the Third World
•
General characteristics of TW countries
•
TW urbanization experience compared with that of
western countries
•
Stages of TW urbanization
– pre-colonial period
– colonial era
– post-colonial times
3.1.2 Urbanization and the Poor: Perspectives from the Third World
2
Socio-Spatial Structuring of the TW
City and its Impact on the Poor
•
Rural-urban migration and the fragmentation of the
built environment
•
The dual economy and the fragmentation of the
labor market
•
The shared space
3.1.2 Urbanization and the Poor: Perspectives from the Third World
3
Approaches to Urban Planning and
Management in TW Countries
•
The experience with the use of western models
•
Toward more radical and innovative approaches
– socialist TW approaches
– UN Habitat-led initiatives
3.1.2 Urbanization and the Poor: Perspectives from the Third World
4
Residential Options of the Poor in TW
Cities
•
Self-help schemes
– the multi-step transition model
– the shared space model
•
Government programs
– urban renewal and slum upgrading
– sites and services provision
– tenure improvement schemes
3.1.2 Urbanization and the Poor: Perspectives from the Third World
5
Defining the Third World
“Third World” is defined by elimination:
•
First World - industrialized countries of Western Europe,
North America and the Pacific (OECD-member countries).
•
Second World - industrialized
formerly
planned economies of Eastern Europe.
•
Third World - all the rest of the countries in Latin
America and the Carribean, Africa, Middle East, and all
of Asia except Japan. Other exceptions: Israel (ME)
and South Africa (Africa).
3.1.2 Urbanization and the Poor: Perspectives from the Third World
centrally
6
By geographical configuration:
North - First and Second Worlds: Advanced,
modern, developed, industrialized, rich.
South - Third World: Backward, traditional,
underdeveloped or developing or less
developed, poor.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
7
Classification of TW Countries (World Bank,
1988)
• Low income economies - less than $500 per capita
annually
• Middle income economies - between $500 and $6,000
per capita
• Lower middle income - less than $2,200 per capita
• Upper middle income - Asian tigers (Israel, Hongkong,
Singapore)
• High income countries - OECD countries with income
per capita of over $6,000
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Recent Sub-categoarization of TW
Countries
•
Advanced developing countries (ADC) or newly
industrializing countries (NIC) - Brazil, Argentina,
Singapore, Taiwan, Hongkong and South Korea.
•
Petroleum exporting countries (PEC) - a disparate
group of 36 nations with super-rich nations like Kuwait
and Libya at the top and poor countries like Nigeria
and Indonesia at the bottom
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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•
Middle-income countries (MIC) - 45 other TW countries
including Malaysia, Philippines and Thailand.
•
“Fourth World” - remaining 35 countries accounting for
35% of TW population but only 3% of gross global
product (GGP) and 5% of TW exports. Their per capita
income is insufficient to provide for a minimum level of
welfare.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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General Characteristics of TW
Countries
Development Indicators
 Annual population growth rate
(%)
 Share of gross global product
(%)
 World export earnings (% share)
 World expenditures in education
(% share)
 Literacy rate (%)
 Per capita expenditure on
education ($)
 Public health expenditures
(% share)
North
South
0.7
2.2
79.0
21.0
75.0
84.0
25.0
16.0
99.0
52.0
286
18
91.0
9.0
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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General Characteristics of TW
Countries
Development Indicators
 Average life expectancy
 Infant mortality
 Population without access
to safe water (%)
 Population without adequate
housing (%)
North
South
16 years lower
5 times higher
<50
50
Source: Atlas of the Third World, 1983.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Socialist Third World
122 countries comprise the Third World
About one-fourth of these belong to the socialist TW classified
into four categories:
Group I - members of CMEA or Comecon, e.g. Vietnam
and Cuba
Group II - well-established communist of socialist states
outside of Comecon, e.g. China
Group III - self-proclaimed hard-line socialist states closely
aligned with USSR, e.g. PDR, Yemen
Group IV - marginal states with one-party governments,
e.g. Algeria, Nicaragua, Guyana
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Characteristics of the Socialist TW
•
Effective one-party rule
•
High and increasing degree of state ownership of
industry and agriculture
•
Tendency
economy
•
Establishment of comprehensive planning structure
•
A development path that does not rely on the dynamics
of private capital ownership and entrepreneurship
•
Generally slow rate of urban growth
towards
centralized
command
3.1.2 Urbanization and the Poor: Perspectives from the Third World
of
the
14
TW and Western Urbanization
Experience compared
Third World
Western
 Driven by mainly
demographic forces
 Driven by dynamic economic
and industrial forces
 Industrialization lags
behind urbanization
and migrants find
marginal employment
in cities
 Involves gradual innovation
and interdependent
economic and social change
spanning more than a
century.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
15
TW and Western Urbanization
Experience compared
Third World
Western
 TW cities are more
healthful than their rural
hinterlands
 Early industrial cities were
death traps
 Death-control gains
achieved in 20 years
 Fall in mortality rates took
70-80 years
 Development is
government-led with
foreign economic and
technical assistance
 Development led by private
capital and entrepreneur
class
3.1.2 Urbanization and the Poor: Perspectives from the Third World
16
Phases of TW Urbanization
Pre-colonial TW Cities
•
Existed prior to European-based exploration and
discovery in the 15th century
•
Unique and indigenous, the city was a product of
local initiative to serve local needs utilizing the local
environment
•
Population density remained low
•
Simple and small, performed a few functions and
had little spatial differentiation
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Phases of TW Urbanization
Pre-colonial TW Cities (continued)
•
Economic activities oriented to subsistence needs
•
Technology was rudimentary
•
No long-distance trading due to self-sufficient economy
and underdeveloped transport networks
•
No distinct land use assignments; people of all social
classes lived and interacted together in relative small
space
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Colonial TW Cities
• Begun with the rise of mercantilism; reached maturity
with the Industrial Revolution
• A distinctive product of European colonialism
• Colonial urbanization involved dismantling of indigenous
technology and implanting European social and cultural
values
• TW city served as European colonial outpost
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Colonial TW Cities (continued)
•
TW city as commercial entreport: facilitated export of
primary products and import of manufactured goods
•
TW city also as industrial hub: for intermediate processing
of raw materials destined for the mother country
•
Industries developed in turn key fashion from Europe rather
than from within
•
TW city fostered continued dependence on the west for
technology and markets
•
Segregation policy imposed by the colonial order gave rise
to fragmented land use patterns
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Post-colonial TW Cities
•
Emerged after independence or during the post-World
War II period
•
Control passed on to local elites but colonial influence and
legacy lives on
•
Increase in population size due to influx of rural migrants
•
Increase in commercial and industrial land use due to
investments by multi-national corporations
•
Coexistence of traditionalism and modernism, wealth and
poverty, legal and illegal quarters.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Socio-spatial Structuring of the TW
City: Impact on the Poor
•
TW urbanization is often called “false urbanization”
because:
– it is driven by demographic forces
– unaccompanied by economic growth
•
Two demographic factors causing TW urbanization:
– high natural growth rate due to
– modest decline in birth rates
– steep decline in death rates
– Heavy migration from rural areas to urban centers
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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The Seasonal Flow
1a
Rural Crop
Zone 1
Rural Crop
Zone 2
1b
Rural
Family
Migrant
in Town
Return visit
for seasonal
agricultural needs
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Circular Migration
Rural
Family
Permanent return either through
dissatisfaction or upon acquiring
family responsibilities in village
or following retirement
Migrant
in Town
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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The Permanent Flows
Step or stage migration
Rural
Area
Small
Urban
(Time lag, maybe one
generation)
Small
Urban
Large
City
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Chain Migration
Rural
Area
Stays with
Relative
or Friend
in Town
Friend or Relative
of First Migrant
Migrant
Quarters
Develop in
Town
Migrant sets up
own dwelling
in town
Stays with
migrant now
established in
Town
Second
migrant sets
up own
dwelling in
Town
3.1.2 Urbanization and the Poor: Perspectives from the Third World
26
Causes of Rural-To-Urban Migration
“Push Factors”
• Very low rural incomes
• Wars and civil strifes
• Natural calamities
• Difficult access to land
• Labor redundancy due to farm mechanization
• Price of agricultural inputs
manipulated by traders
and
outputs
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Causes for Rural-To-Urban Migration
“Pull Factors”
• Huge urban-rural differentials
• Available better paying jobs in cities
• Better quality urban services and facilities
• Possibility of publicly subsidized goods and
services
• Lure of “bright lights”
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Social Consequences of Rural-ToUrban Migration
The Myths
• Louis Wirth’s destruction of “folk societies”
• Oscar Lewis’ “culture of poverty”
• Transitional settlements stereotyped as social
aberrations “cancers” that overwhelm an
otherwise healthy municipal body
3.1.2 Urbanization and the Poor: Perspectives from the Third World
29
Social Consequences of Rural-ToUrban Migration
The Realities
• Squatter settlements or transitional represent a solution
to the complex problem of urbanization and migration.
• Contrary to Wirth, rural-urban migrants are not
anonymous nor alienated; they maintain stronger
contacts with their rural folks than with their urban
neighbors.
• Contrary to Juppenlatz, residents of transitional
settlements display remarkable vigor and ingenuity in
improving their living conditions.
• Contrary to Lewis, shanty town residents are upwardly
mobile, industrious, savers, and are often more
conservative than radical.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
30
Squatter settlements perform important functions
in the urbanization process
• They provide affordable housing to the lowest income
groups.
• They act as reception centers for new migrants assisting
them to adopt to urban life.
• They provide a wide variety of employment in marginal and
small-scale enterprises.
• They provide accommodation in close proximity to work
• Their social organization provides essential support in times
of extreme difficulties.
• They encourage and reward small-scale entrepreneurship in
the field of housing.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
31
Spatial Consequences of Rural-ToUrban Migration
Migration, coupled with segregationist policy, led to spatial
fragmentation of the colonial city. Evidences:
• the center or the colonial city core
• Planned districts of the pre- and post-colonial periods
• The historic city (often pre-industrial)
• Illegal settlements – built on illegally subdivided land
• Slums – both on inner cities and in the peripheries
3.1.2 Urbanization and the Poor: Perspectives from the Third World
32
Economic Impact of Rural-To-Urban
Migration
• Rapid migration leads to rapidly increasing labor force.
• The increased labor force cannot be absorbed in full productive
employment.
• Bulk of new manpower is absorbed by small-scale enterprise,
personal services and open unemployment.
•
•
•
•
•
Spurts of urban investment trigger more migration to the city.
Maintenance of a minimal “survival” economy.
Reinforcement of traditional subcultures in the city.
Rise of a coexistent dual economy: the formal and the informal.
Linkage between the formal and informal sectors characterizes
the economy of the TW city.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Characteristics of the Informal
Economy
•
Ease of entry
•
Reliance on indigenous resources
•
Family ownership of enterprises
•
Small scale of operation
•
Labor-intensive and adapted technology
•
Skills acquired outside formal school system
•
Unregulated and competitive markets
3.1.2 Urbanization and the Poor: Perspectives from the Third World
34
Characteristics of the Formal Economy
• Difficult entry
• Frequent reliance on overseas resources
• Corporate ownership
• Capital-intensive, often imported technology
• Formally acquired skills, often expatriate
• Protected markets (through tariffs, quotas and
licenses)
3.1.2
3.1.2 Urbanization
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35
Impacts of the Dual Economy on the
Poor
• Formal sector firms employ substantial number of casual
workers who are paid low wages, without fringe benefits,
unprotected by social security.
• Low wage labor produces low cost inputs for the formal
sector.
• Informal sector provides cheap goods and services for formal
sector workers.
• Informal sector subcontractors to formal sector firms hire
children and minors to work in sweatshops.
• Subcontractors to subcontractors do piece work in their own
homes at exploitatively low rates.
• Home work creates the “shared space”: activities for living
share space with activities for making a living.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
36
Factories in Domestic Premises Types
of Workshops (Sit, 1970)
Floor to
roof wall
Residence
Kitchen
Workshop
T
T
Workshop
Residence
Kitchen
1. Resident-workshop
2. Residence-cum-workshop
Residence
R1
W1 W2 R2
Workshop
R Residence
W Workshop
3. Residence-linked-workshop
4. Independent workshop
Source: Chadwick, 1987
3.1.2 Urbanization and the Poor: Perspectives from the Third World
37
Spatial Impact of Informal Sector
Activities
Source: Chadwick , 1987
3.1.2 Urbanization and the Poor: Perspectives from the Third World
38
TW Approaches to Urban Planning and
Management
Premised on the belief that Urban Primacy is undesirable,
planning sought to limit urban growth through
• Control of migration
• Positive urbanization and urban development policies
• Regional planning and development
• Urban planning at municipal level
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Measures to Control Migration
•
Residency permit system
•
Development of lagging regions
•
Integrated rural development
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Regional Planning Approaches
•
Regionalization with identified growth poles
for each region
•
Industrial location incentives
– infrastructure provision
– tax credits and holidays
3.1.2 Urbanization and the Poor: Perspectives from the Third World
41
Positive Urbanization Measures
•
National infrastructure development
•
Capital cities development
•
New towns/satellite towns development
•
Promotion of medium-size cities
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Municipal Level Urban Planning
•
Master plans for specific sectors and areas
•
Urban renewal or revitalization
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Socialist TW Urbanization Policy
•
Promotes a society that is neither urban nor rural
through
– decentralization and development of uninhabited
regions
– industrialization of the countryside using small-scale
technology
– distribution of equal levels of services and
knowledge
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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To convert consumer cities to producer cities, through
•
Reducing the size of the largest cities
•
Promoting self-sufficiency in the urban economy
•
Encouraging the growth of small and medium sized
towns; creation of new towns
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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To make cities self-sufficient in food
•
Expansion of the city boundary to incorporate a
productive rural hinterland
•
Greening of the suburbs by promoting household fruit
and vegetable gardens
•
Developing peri-urban agriculture and allocation of
urban labor to this region
3.1.2 Urbanization and the Poor: Perspectives from the Third World
47
Housing the Poor in the TW Cities
Rationale
• The great majority of poor people cannot afford to
purchase housing in the market at a quantity and
quality adequate to sustain a decent standard of
living.
• The inability to afford housing leads the poor to find
unconventional solutions including solutions that are
illegal in certain contexts
3.1.2 Urbanization and the Poor: Perspectives from the Third World
48
Features of TW Housing
•
Many people occupy land without due permit of the
owner or due process of subdivision.
•
TW housing is distinctive for the variety of building
materials used.
•
Renting and multiple occupancy are an important
aspect of accommodation for the poor.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
49
Structures of Sub-market for Housing
Criterion 1: Legality of land occupancy
• Legal occupants use land in accordance with existing laws on
property rights
• Illegal occupants do not have legal title and have violated
subdivision regulations
Criterion 2: Legality of physical characteristics of individual units
• Those that meet minimum government standards for building
material, lot size, floor area, etc.
• Those that have violated building regulations
Criterion 3: Status of Tenure
• Owners with unique or multiple occupancy
• Renters with unique or multiple occupancy
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Structure of Sub-market for Housing
Occupancy
of Land
LEGAL
ILLEGAL
A
Regular
Housing Market
C
Invasion
Housing Market
Physical
Characteristics
of Land
and Structure
LEGAL
Owners
ILLEGAL
Renters
B
Slum
Housing Market
Owners
Renters
D
Squatter
Housing Market
Source: Lim, 1987
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Summary of Housing Sub-markets
•
Box A - regular, formal housing market. Land and
units owned with title to both, and meets all legal
requirements and specifications.
•
Box B - slum housing. Units built on legally owned
or rented land but which do not meet minimum
standards for building.
•
Box C - invasion housing. Dwellers occupy land
illegally but units conform with physical standards.
Some invade land and rent it to tenants as though
they were the owners.
•
Box D - squatter housing. Housing violates both
legality of land occupancy and standards for physical
characteristics.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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An Example of a Multistep Transition in
a Housing Market
Renter
in
Invasion
Market
Street
Sleeper
Renter in
Squatter
Market
Owner
in
Invasion
Market
Owner in
Squatter
Market
Renter
in Slum
Market
Renter in
Regular
Market
Owner
in
Regular
Market
Owner
in
Slum
Market
Source: Lim, 1987
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Residential Options for the Poor
Left on their own, new migrants may follow the multi-step
transition model:
•
Start as a street sleeper
•
Move through different submarkets step by step until
becoming an owner of a regular housing unit
•
Moves between submarkets take considerable time
for most poor people
•
Some may not make it at all.
HENCE THE NEED FOR GOVERNMENT HOUSING
POLICIES
3.1.2 Urbanization and the Poor: Perspectives from the Third World
54
Early Publich Policies on Informal
Housing
•
Premised on negative attitudes and policies regarded
squatters as outlaws or treated them with benign neglect.
•
Demolition and clearance, sometimes with relocation.
•
Control of land prices and rents to make it affordable to the
poor.
•
Settling minimum building and subdivision standards to
discourage substandard, unsafe and unhealthy
construction.
•
Large-scale development restrictions, e.g. green belts, to
discourage further migration
•
Decentralization of the national population, also to lessen
migration to the cities.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Negative Impacts of Early Housing
Policies
• Price control and building standards. Increased housing
shortages and raised prices of regular housing units
• Demolition creates social and economic dislocation
• Development controls only transfer the problem to other
areas
• Population decentralization without employment
opportunities in rural areas is bound to fail.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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New Policies for Housing the Poor
•
Must be based on the acceptance and support of
the long-term reality of informal settlements as a
feature of TW urbanization.
•
Must acknowledge and emphasize the positive
contribution of the informal housing sector to the
local economy.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
57
New Policies for Governments (UN)
•
Make urban utilities and community services
available to slum and squatter areas according to
priorities set through involvement of stakeholders.
•
Give priority to security of tenure.
•
Stop slum and squatter area clearance as a waste of
people’s resource investment and a net destruction
of the living environment.
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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•
Support policies including
– squatter and slum upgrading
– self-help housing
– sites and services provision
– minimum physical standards substantially lowered
•
Increase public intervention in land acquisition and
development
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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Reduction of Public Intervention
(World Bank)
•
Policies must be based on consumer behavior in the
free market
•
Warns against policies such as
– unrealistic building and zoning regulations
– slum removal
– public housing
– unfocused systems of subsidy for shelter and
infrastructure
3.1.2 Urbanization and the Poor: Perspectives from the Third World
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