Resilient Urbanism

resilient urbanism the right to self-develop in an over-populated mumbai

Š 2015 All rights reserved.

This is a text document written for a senior thesis research and analysis study at the Hammons School of Architecture at Drury University.

Information from this document will be used to formulate a thesis studio project in the spring of 2015.

Written under the direction of Dr. Saundra Weddle.

Olivia Snell Drury University Architecture + Art History Springfield, MO 65806 618.581.4719 Book Cover: Fig. 1.1 Dharavi

resilient urbanism The right to self-develop in an over-populated Mumbai

Olivia Snell // MARCH 590 // Fall 2015

table of contents

06 15

introduction

thesis statement

50 59

research summary

71

project framework

program description

89 92

conclusion

background

process of urbanization

chronic poverty poverty in india slum formation slums of mumbai the tower of david the informal economy the dharavi model

case studies

the tool-house

the empower shack

site selection

bibliography

research bibliography

image credits

5

“

a primitive people is not a backward people; indeed, it may possess a genius for invention or action that leaves the achievements of civilized peoples far behind.

- Claude Gustave Lévi-Strauss

”

introduction

thesis statement

As informal settlements are increasing throughout India, the social and economic organizational structures presented by each slum are also advancing. The result is a sophisticated slum culture in unsophisticated urban circumstances. While transitional zones to city life, these settlements must be recognized as their own micro-metropolises, distinctly separate from the formal settlements they border.

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purpose The common urban approach recommends these settlements be redeveloped or demolished to provide for expansions of the mother city. Such is the situation in Dharavi, one of Asia’s largest slums located outside of Mumbai, the overpopulated financial capital of India.

This thesis argues, however, that Dharavi should be considered a “model village” rather than an informal settlement. Dharavi represents resilience, durability, and self-sufficiency, all of which is evident in its successful informal economy.

As presented by Dharavi, informal settlements possess the right to “self-develop,” or develop within themselves. It is this method of development that is most successful, rather than outside plans for development or demolishment.

1 reflect the economic industries of the settlement, 2 strengthen the sense of community and hierarchical slum organization, while 3 building ties to a global economy and 4 creating identity.

The thesis proposal suggests that the kit be applied to Worli Koliwada, an ancient fishing village and informal settlement located outside of Mumbai along the coast of Mahim Bay. Understanding that architecture alone cannot alleviate poverty, the thesis seeks to improve conditions within informal settlements by practicing the live/work economic model that Dharavi has created for itself.

Resilient Urbanism // introduction

Understanding its longevity and complicated nature, Dharavi presents a kit of parts that can transform the economy of other slums within the context of Mumbai.

In order to be successful, this kit should:

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Fig. 1.2 Dharavi Night View

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background

urbanization The process of urbanization is defined by the movement to cities, the transition from agriculture to urbanbased occupations, and the evolution of the traditional villager in the modern city.

Urbanism, on the other hand, is concerned with urban living and its effect on time, space, spending, and people. Urbanism affects immigrants to the city through any or all of these factors influenced by the city.

Once in the city, these individuals begin to strive for efficient technology, complex organization, improved communication, and various social and political systems. This process has been occurring for millennia, as the city has always attracted villagers despite the fact that it often throws them into the depths of urban poverty.

Unprecedented population growth and a lack of resources to accommodate said growth (especially in developing nations) have resulted in the increase of migration from the already overpopulated rural regions into urban centers.

The study of this trend has created two theories: urbanization and urbanism.

Though often mistaken for synonyms, these terms define two ways in which the city dweller experiences the effects of modernization. In this context, urbanization may be defined in two ways: 1 the change from agriculture to industrial work, or 2 the change from rural to urban residence.1

This cityward migration is often the result of the ‘push’ and the ‘pull’ pressures presented by economic motivation. As a result, the phenomenon of conurbation has emerged, characterized by the unprecedented growth of satellite towns and rural communities within the context of city centers

Resilient Urbanism // background

Fig. 1.3 Mumbai Urbanization

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Additionally, division of labor and specialized occupations affects both the social and economic life within urban areas. These divisions cause alternations in social cohesion and, as a result, lead to a disappearance of homogeneous culture.

Urbanization also affects social order and classes. In contemporary Western society, these divisions tend to be classified on three axes: power as achieved through wealth, status as achieved through birth, and prestige as achieved through intellectual and professional pursuits.

In conclusion, an increase of unstable urbanization leads to an increase of slum-like settlements. Villagers migrating to cities often struggle under the effects of urbanism and the pressures to leave their traditional values behind in exchange for modernization.

Being over-populated in the first place, the cities that witness this migration typically lack the necessary resources to accommodate this growth, especially when the cities are located in developing nations that are still struggling to modernize. The result is increases of overpopulation, poverty, and informal settlements within city centers or their peripheries.2 Fig. 1.4 Migration to Mumbai

Resilient Urbanism // background

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chronic poverty Typically, the trend within poverty research is to focus on the elite’s perceptions of poverty or the attitudes of the poor. Both of these approaches present dilemmas, however. The elites are seen as the ones understanding the policies themselves, but studies that question the poor seem to explore causes of poverty and not attitudes the poor hold towards poverty.

Armanda Barrientos and Daniel Neff’s study “Attitudes to Chronic Poverty in the Global Village” challenges these approaches by exploring cross-country comparative studies on attitudes to poverty in various countries.

The regions included in the study (those making up the “global village”) consist of countries in Western Europe, Central Asia, Sub-Saharan Africa, South Asia, North America, East Asia, and South America.

Survey participants were asked if they believe the poor can escape poverty, and were also questioned on the distinction between transient and chronic poverty.

The common perception was that opportunities to escape poverty are limited, and as a consequence, chronic poverty is the norm.

Independent of the level of development in their own countries, respondents showed a consistent attitude to chronic poverty. The majority of respondents believed people are in poverty due to unfair treatment from society. In East Asia, however, approximately 67.5 percent of respondents attributed the primary cause of poverty to personal failings of the poor.

what are the five chronic poverty traps? social discrimination poor work opportunities

limited citizenship

insecurity & poor health

spatial disadvantage

Fig. 1.5 Chronic Poverty Traps

Fig. 1.6 Proportions of Chronic Poor in World Regions

The study also observed factors that commonly shape one’s attitude towards chronic poverty. Final outcomes reveal that individual characteristics appear to be less influential than epistemic or social factors.

It is a depressing reality to consider that the citizens most affected by poverty essentially hold the most pessimistic view about their situation.

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Resilient Urbanism // background

Results show that the more satisfied people are with their lives, the less likely it is that they will perceive poverty as chronic. In other words, those conventionally classified as upper class are less likely to see poverty as chronic, while those in the working class are more likely to see fewer chances to escape poverty.

Overall, “Attitudes to Chronic Poverty in the Global Village� supports the existence of chronic poverty. Most respondents, especially those who live in developing countries or lowincome classes, believe there is little chance of escaping their impoverished situations.3

odi report 2014 The ODI (Overseas Development Institute) published a report in 2014 that addressed the global state of chronic poverty.

The report defines chronic poverty as the experience of people who endure long-term poverty over extensive periods of their lives, practically living permanently below the poverty line and then passing the same status to their children.

Amongst the shocking statistics, the report shows that since the turn of the 21st century, descents into poverty have been nearly as widespread as escapes from poverty in many developing contexts.

This means up to 420 million people now live trapped in chronic poverty.

They and their children make up nearly half of the 900 million people who are still considered to be $1.25-a-day poor in 2015. The majority of these people live in vast rural areas of South East Asia and Sub-Saharan Africa.

In order to communicate the severity of the situation, the ODI created a series of infographics to display the statistics of their report.

They argue that three approaches must be taken: 1 address chronic poverty 2 prevent impoverishment 3 sustain poverty escapes The study also featured infographics that document a series of events that may temporarily alleviate poverty, such as gaining income and assets from informal industries.4 These examples illustrate that a portrait of the poor is never ‘black-andwhite,’ and neither are the complex systems in which they engage, live, and work.

Resilient Urbanism // background

Fig. 1.7-1.9 ODI Chronic Poverty Report 2014

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poverty in india The continents of Asia and Africa may be said to represent the heart of the underdeveloped world. Including Brazil, these regions are home to approximately 90 percent of the world’s informal settlements.

India specifically struggles with chronic poverty as well as over-population, with predictions that India will exceed China as the world’s most populous country by 2025.5 Comprised of more than 1.2 billion people compacted into an area one third the size of the United States, India has been in a constant – and often losing – race against hunger.6 In 2005 alone, one in three people in the world who survived on less than $1.25 a day lived in India – more than any other country in the world. These people accounted for approximately 40 percent of India’s total population.

After reanalyzing the traditional “$1.25 a day” principle that typically defines poverty, India’s official poverty line falls below the international line. India holds a lower average rate of poverty reduction than any other regions of the developing world.

According to Martin Ravallion in “A Global Perspective on Poverty in India,” the total number of people

living below $1.25 a day in India rose from 22 percent in 1981 to 33 percent in 2005.7 The data presented in Ravallion’s study does not suggest that India is a high inequality country. In fact the poorest 20 percent account for about 8 percent of total household consumption, whereas in high equality countries such as Brazil or South Africa, the poorest 20 percent account for 4 percent or less of total consumption.

However, there is evidence that the geographic growth patterns in India have not been particularly ‘pro-poor’, which increases the pressure of inequality in India.

Fig. 1.10 India’s Largest Urban Slum Populations

Resilient Urbanism // background

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The trouble with many of these countries – India, Brazil, and Africa – is not merely that economic growth lags. The trouble is that their social compositions remain depressingly unchanged despite the advancements of economic planning.

“The all-encompassing ignore and poverty of the rural regions, the unbridgeable gulf between the peasant and the urban elites, the resistive conservatism of the village elders, the unyielding traditionalism of family life – all these remain obdurately, maddeningly, disastrously unchanged.”8 Today it is clear that development, if it is to come at all, must come on many levels – political, social, intellectual, and psychological, as well as economic. The relative disadvantages facing social groups defined by caste and gender add to the potential losses of India’s long-term growth and halting of chronic poverty.

Redressing these often deep-rooted inequalities, while maintaining the economic growth that is needed for sustained poverty reduction, is the long-standing challenge facing all developing countries - especially India.

Fig. 1.11 Poverty in India

Resilient Urbanism // background

Fig. 1.12 Poverty in India

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slum formation Due to the processes of modernization and urbanization from rural to urban zones, new migrants to cities often find themselves immersed in chronic poverty, surrounded by the presence of slum settlements. These settlements are often characterized by overcrowded housing, lack of privacy, absence of civic amenities, high crime rate, illiteracy, mental disorders, divorce, unemployment, alcoholism, and political and social unrests. All of these situations contribute to personal and familial instability that erodes quality of life and perpetuates poverty.

Slums may be interpreted as divisions of the city in which housing is crowded, neglected, deteriorated, and, in most cases, obsolete. Even the United Nations’ definition of slums focuses upon the settlements’ housing conditions. It suggests that a slum is “a building, group of buildings, or area characterized by overcrowding, deterioration, unsanitary conditions or absence of facilities or amenities, which because of these conditions or any of them, endanger the health, safety or morals of its inhabitants or the community.”9 Other characteristic situations that define slums include available neighborhood facilities, poor sanitation and health, deviant behavior, a unique culture, apathy, high mobility, social isolation, and slum permanency.

These situations exist in several different slum housing typologies including shanties, cabins, huts, stalls, and roof-top sheds.

There are several hypotheses that attempt to explain the process of slum formation. One such hypothesis suggests that slums are formed largely due to changes in urban land-use patterns, while the second explains slum formation through housing shortages and maintenance.10 These slums are considered “urban villages” which function as the entrance zone to cities, where immigrants attempt to earn the urban attitude. In the second type of low-rent neighborhood, those who have not and likely will not succeed are more prevalent. This type of slum is considered an “urban jungle.”11 Charles J. Stokes’ model of slum formation describes two variables that potentially affect the growth of slums.

The first variable is the psychological attitude towards success through acculturation in the community. The second variable is a measure of the barriers to such acculturation.

Fig. 1.13 Sprawling Evolution of Dharavi

John R. Seeley, on the other hand, sees slum formation in terms of opportunities and necessities.

His model describes four types of slum dwellers: 1) the permanent necessitarians, 2) the permanent opportunists, 3) the temporary necessitarians, and 4) the temporary opportunists.

Slum formation in modernizing societies largely depends on the rate of cityward migration, as well as the rate of immigrants’ acculturation to the modern city. Due to the haphazard nature of immigrants suddenly transplanting themselves in slums, a serious problem arises.

These immigrants – whether permanent necessitarians or temporary opportunists – fail to make an adequate adjustment to urban life.

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Resilient Urbanism // background

The permanent necessitarians are the “indolent, the adjusted poor, and the social outcasts,” while the temporary necessitarians consist of the “respectable poor, the trapped.”

The permanent opportunists include fugitives, prostitutes, and the undefinable, and the temporary

opportunists are beginners, climbers, and entrepreneurs.12

slums of mumbai An Indian city that best represents the statistics of chronic poverty is Mumbai, India’s financial capital, as well as one of the most densely populated cities in the world. Mumbai is surrounded by at least six major slums, one of the most famous being Dharavi, which is often labeled Asia’s largest slum.

The existence of slums in Mumbai can be traced back to the 1970s.

Between 1971 and 1981, Mumbai experienced a growth of 43 percent, or 2.2 million people. By 1985, it was estimated that half of the 8.2 million population was residing on the street or in temporary modes of housing. For many migrant workers, Mumbai was idealized as “the final destination after a long journey,” providing a sanctuary for them after being driven from their homes by disaster, debt, or drought.13 Since its creation, Dharavi was a prime location for many refugees and immigrants to Mumbai. While it has since grown to house heavy trades and successful industries of the informal economy, in 1978, the average wage for a new immigrant in Dharavi was 459 rupees per month. 14 In today’s currency, 459 rupees totals approximately $6.91.

Fig. 1.14 Maps of Slum Context in Mumbai, India

Other slums of Mumbai finally began to surpass Dharavi in total population starting in 2011. These results lead to the astounding realization that a number of Asia’s largest informal settlements are all contained within the same city, the fifth largest in the world, in one of the most overpopulated countries in the world.15 In July of 2011, The Times of India published an article stating that Mumbai is home to at least four slums that are larger in either area or population than the notorious Dharavi, some being at least three times its size. Many of the smaller slums located in the suburbs of Mumbai have grown into larger contiguous slums. These settlements include the Kurla-Ghatkopar belt, the Mankhurd-Govandi belt, the Yogi and Yeoor hill slopes stretching from Bhandup to Mulund along the Sanjay Gandhi National Park (SGNP) on the east, and Dindoshi on the west.

Mumbai, springing up on hill slopes and mud flats.16 The inner city itself is now mostly free of slums except for those located on the fringes, such as Dharavi in the north, Antop Hill in the east, Geeta Nagar and Ambedkar Nagar in the south, and Worli Village in the west.

Census data from 2011 states that there are 3.1 crore (define this term better) (or 31 million) people in the island city and 9.3 crore (or 93 million) in the suburbs, with nearly 78 percent of the city’s population living in slums.17 In all, Mumbai’s slums occupy the fringes of the city at an unusually large scale, even when compared to other Indian metropolises, with similar economic and political constraints.18

Resilient Urbanism // background

While the foundations of many of these settlements have yet to be determined, the Mankhurd-Govandi sprawl located at the base of the Deonar dumping ground has become known as the new dumping ground for the urban poor. It is here that the city’s lowest human development index exists. Other such slums have followed the tradition of slum establishment in

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Fig. 1.15 Daily Routine in the Dharavi Slum

Resilient Urbanism // background

Fig. 1.16 The People of Dharavi

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evolution of dharavi Dharavi first began as a fishing village in the eighteenth century, later evolving to house a British fort, a working-class enclave, and then a slum. It existed as a sparsely populated village until the middle of the nineteenth century, with its primary inhabitants being the Koli people, a caste of fisherman.

The Kolis are believed to have lived on the west coast of India for tens of thousands of years, adding to the “fragile pre-modern permanence” of the area.”19 As Mumbai grew, Dharavi became its dumping ground. Located along the banks of the Mahim Creek, it was first an illegal garbage dump that held waste from the construction of nearby building sites. Rather than depositing the trash in the municipal landfill, Dharavi’s origins began on top of the garbage that was illegally dumped along the banks of the creek.

Eventually, Dharavi grew to become a human dumping ground as well. The number of migrant workers, refugees, and other unwanted populations in Mumbai increased and began to settle in Dharavi through waves of resettlements and slum clearance campaigns.

Mumbai’s industrial development of the twentieth-century directly affected

Dharavi’s growth. The textile industry expanded and spurred new economic activity within the inner city, while the heavy, more hazardous industries moved outward to the marshy lands of Dharavi. These industries included leather tanning, pottery firing, recycling, and the slaughterhouses.

With industrial work rapidly expanding, Dharavi started to attract its own steady population of refugees and migrant workers. While Mumbai was already over-populated, Dharavi offered the promise of available land for squatting and illegal house construction. By the 1950s and 1960s, Dharavi’s industries and residential populations had grown considerably and the village became known internationally as a slum.20

Fig. 1.17 Welcome Signage at Dharavi

demolish or remodel the settlement, it still exists today, rightfully earning a new title: the durable slum.

Resilient Urbanism // background

Decades of suburban sprawl and municipal collection have placed Dharavi in the geographic center of Mumbai. This prime location and availability of access to city transit has produced great interest from developers, spurring the government to create several initiatives for a solution to the problem that is Dharavi.

These initiatives bring grandly ambitious schemes to transform the settlement, yet they are never initiated.

Regardless of the many attempts to

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the tower of david When the city does not adapt to its people, how will the people adapt to the city?

Though abandoned in 2014, it provided an example of failed capitalism, as well as a temporarily self-built and self-sustaining community.

Dharavi is both durable and resilient against attempts of settlement reform, but it is not the first example of an advanced slum.

The project also demonstrated the determination and innovation of its inhabitants, for as French anthropologist Claude Levi-Strauss once claimed: “A primitive people is not a backward people; indeed, it may possess a genius for invention or action that leaves the achievements of civilized peoples far behind.”22

Amidst the national banking crisis of Venezuela in the ‘90s, the construction of Caracas’ Tower of David - was halted after the death of its primary investor. As a result, the building remained unfinished with only 70 percent of its construction complete.

After being neglected for more than a decade, the Venezuelan president encouraged squatters to inhabit the 45-story structure. By 2007, its residents had taken over approximately 28 floors, even rigging electricity into the building and arranging an internal management system.

Due to its innovation, the Tower of David quickly became known as the world’s tallest “vertically organized favela.”21

Fig. 1.18 Tower of David Exterior View

Resilient Urbanism // background

Fig. 1.19 Tower of David Interior View

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Fig. 1.20 Tower of David Balcony View

Fig. 1.21 Tower of David Rooftop View

Resilient Urbanism // background

Fig. 1.22 Tower of David Building Elevation

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the shanty-scraper Following the example of the Tower David, a common architectural approach for shantytowns has become “shanty-scrapers,� but this is not an appropriate resolution. This is not the atmosphere for the informal economy of these settlements to thrive.

The problem with ideas related to the Tower of David is that the aspect of path and street is entirely lost. In many cases, the path through informal settlements is activated just as much as the spaces. As a result, the streets become more of a habitat than the houses themselves. The street grants each dwelling access to other homes in the settlement, linking it to the larger network and providing access to the market presented by the informal economy.

Without the street, residents no longer have an active market outside their front door. Vertical zoning cuts inhabitants off from one another with multi-level living arrangements, and as a result, forces them to communicate and commercialize in a new way. Instead, a more beneficial and naturally created ideal exists in Dharavi. Dharavi is home to a sensitive balance of the live/work concept, where two forms of models exist.

Resilient Urbanism // background

Fig. 1.23-1.25 EVOLO Skyscraper Competition Entries

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informal economy The unique industry that has developed within Dharavi consists of approximately 5,000 industrial units and at least 15,000 single-room factories. The settlement produces over $600 million in revenue each year, proving its status as an unexpected, yet extraordinary, industry.

This system is known as the informal economy, or what economists call “System D.” It is economic activity rarely recognized by governments, economists, or business leaders, yet exists at the heart of developing communities such as Dharavi.

Robert Neuwirth describes this system as “the ingenuity economy, the economy of improvisation and self-reliance, the do-it-yourself, or DIY economy.”23 It occurs off the grid, in jobs that aren’t officially registered or regulated, and often results in payments of cash excluding income tax.

It is estimated that today System D includes 1.8 billion people worldwide, and that by the year 2020, it will include two-thirds of all workers globally. If the total income generated from the informal economy was calculated into a single figure, it would represent the second largest nation in the world.24

Fig. 1.26 Dharavi Pottery

Resilient Urbanism // background

Fig. 1.27 Dharavi Recycling

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“With such sums it is foolish to think of what occurs in places such as Dharavi as outside the system. For the vast number of people around the world, it is the only system available,” as Neuwirth notes. He claims that it is impossible to understand the effects of development, growth, sustainability, and globalization without recognizing System D. This system surely proves its success within the context of Mumbai, where 65 percent of all Mumbaikar live their lives within System D. With evidence from the System D economy, governments should be encouraged to face the problems of slums internally. Instead of a “topdown” approach or forced contact with the formal marketplace, slums such as Dharavi should be recognized for their resilience, durability, and independent achievements. The solution is not to force slums to engage with the formal market, but instead to understand that the best representatives of slums are the dwellers themselves.

Rather than extensive removal and redevelopment, the best solution for settlements like Dharavi is to remove the bulldozer and encourage development from within.25

As Leo Hollis explains in his book Cities Are Good for You: The Genius of the Metropolis, “The slums do not need to be redeveloped in order to integrate the informal economy into the mainstream. Rather, the city needs to make itself more open to other ways of working and living. The ordinary city has much to learn from the slums about the urban future.” 26

Fig. 1.28 Regions of Chronic Poverty

Resilient Urbanism // background

Fig. 1.29 Regions of Prominent Shadow Economies

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dharavi industries Settlements such as Dharavi are the essential location for System D economics. They are places of transition, or “arrival cities,� that mark the movement from rural to urban zones.

family unit:

The informal economy accommodates the latest arrivals of refugees and immigrants. It is also the means through which the refugee gains an informal sense of economic stability and citizenship.27 In Dharavi, this economy is functioning in two models: the family unit and the extra-familial workshop. There are two simple criteria that differentiate them: family units are small with close family members acting as the workers, while extra-familial workshops are larger in size and employ workers or apprentices that are not family members.

extra-familial workshop:

The latter type typically develops from domestic units that gradually evolved into full yet small-scale workshops.

Therefore, there is no clearly defined border between the two models, as family units eventually grow into becoming workshops and vice versa.

These two models support various types of industry, some of the most popular being waste recycling, pottery making, and leather tanning in Dharavi.28

Fig. 1.30 Dharavi Economic Models

It is often assumed that slum dwellers are invisible, having fallen out of mainstream society and living in a slum settlement as a means of last resort.

Yet Dharavi proves to be the opposite, existing as a brimming community of both industry and family life. As journalist Joseph Grima suggested, this “probably qualifies [Dharavi] as the most efficient and productive district in the city.�29 The annual income of Dharavi’s economy is estimated to be more than 650 million dollars. The exact number is fairly difficult to determine due to the informal nature of the industries there. However, it is indisputable that the slum is thriving with small-scale entrepreneurship and commerce, with products being developed and shipped across the globe.

Approximately 85 percent of Dharavi residents work within the settlement.

Acknowledging the history of its origins, migrants represent one of the largest slum populations. In order to accommodate the continuous migration to Mumbai, many one-room factories are constantly appearing in the already over-populated slum.

Outside of the workforce, the other draw presented by Dharavi (and other slums in Mumbai, for that matter) is the cheap rent prices. This especially appeals to startup businesses within the informal economy.

Apart from the traditional industries of leather tannery, pottery-making, and recycling, many small-scale businesses have developed in Dharavi, leading the settlement to become recognized as an incubator for entrepreneurship in Mumbai.30

In comparison to the Western plastic recycling rate, Dharavi holds an impressive 80 percent compared to the 23 percent Western rate. Just as the recycling industry feeds off and

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Resilient Urbanism // background

There are numerous levels production, from bakeries and leather tanneries, to the manufacturing of suitcases and pottery. The largest by far, however, is the recycling district, which proves to be the largest recycling industry in Mumbai.

into the greater city of Mumbai, all industries in Dharavi provide jobs for the continual migrants relocating to the inner city.

Fig. 1.31 Dharavi Recycling Industry

Fig. 1.32 Dharavi Textile Industry

Resilient Urbanism // background

Fig. 1.33 Dharavi Recycling Industry

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summary

Due to the never-ending processes of urbanization, people are constantly fleeing from their native rural areas in exchange for the lure of better jobs and opportunities presented by cities. However, these cities often fail to accommodate the large influx of new citizens. Instead, immigrants fall into the depths of poverty, residing in various informal settlements and settling into the stereotypical titles of migrant workers and social outcasts. The urban conditions are far from ideal in these settlements, yet the conditions do not prevent innovation. Establishing makeshift dwellings and live/work models, residents of informal settlements need to channel their self-sufficiency and resilience into developing their own source of economy in order to better survive in these conditions.

By establishing an informal economy, the settlement will thrive both economically and socially, providing a new sense of identity and community for the residents of the slum. After examining the achievements of Dharavi’s informal economy, one notices a very interesting live/work model existing in two forms: the family unit and the extra-familial workshop. Each version of the live/work concept is flexible and often evolves into the other over time.

This thesis seeks to examine the Dharavi informal economy model and replicate its fundamental qualities in other slums located in the context of Mumbai, specifically focusing on a settlement in Worli Koliwada. By extracting and replicating the Dharavi model, it is believed that conditions will improve within other informal settlements, which is crucial considering that for many of their residents, poverty is chronic and a permanent life status.

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_ endnotes 1. Vishwa Mohan Mishra, Communication and Modernization in Urban Slums (London: Bloomsbury Press, 2013), 5.

2. Ibid, 7.

3. Armanda Barrientos and Daniel Neff, “Attitudes to Chronic Poverty in the ‘Global Village,’” Social Indicators Research, Vol. 100, No. 1 (January 2011): 101-13.

4. http://www.odi.org/opinion/9307-infographics-chronicpoverty-report-2014 5. Irwin Isenberg, The Developing Nations: Poverty and Progress (New York: H.W. Wilson, 1969), 11.

6. http://www.ibtimes.com/5-biggest-slums-world-381338 7. Isenberg, The Developing Nations, 12.

8. Martin Ravallion, “A Global Perspective on Poverty in India,” Economic and Political Weekly, Vol. 43, No. 43 (Oct. 25 - 31, 2008): page #?

9. Isenberg, The Developing Nations, 13.

10. Mishra, Communication and Modernization, 7.

11. Ibid, 8.

12. Ibid, 10.

13. Ibid.

Resilient Urbanism // background

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14. Leo Hollis, Cities Are Good for You: The Genius of the Metropolis (London: Bloomsbury Press, 2013), 204.

Ibid.

15. http://www.ibtimes.com/5-biggest-slums-world-381338 16. http://ressex.blog.com/2011/07/06/nsbtd/ 17. http://timesofindia.indiatimes.com/india/ Dharavi-in-Mumbai-is-no-longer-Asias-largest-slum/ articleshow/9119450.cms?referral=PM 18. http://www.airoots.org/2008/11/why-mumbaipercentE2 percent80percent99s-slums-are-villages/ 19. Lisa Weinstein, The Durable Slum: Dharavi and the Right to Stay Put in Globalizing Mumbai (Minneapolis: University of Minnesota Press, 2014), 26.

20. http://www.npr.org/sections/thetwoway/2014/07/23/334613896/fall-of-the-tower-of-davidsquatters-leave-venezuelas-vertical-slum 21. Hollis, Cities Are Good for You, 210.

22. http://www.forbes.com/sites/ benzingainsights/2011/11/07/rise-of-the-shadoweconomy-second-largest-economy-in-the-world/ 23. Hollis, Cities Are Good for You, 221.

24. Ibid, 229-30.

Resilient Urbanism // background

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25. Ibid, 211.

26. Marie-Caroline Saglio-Yatzimirsky, Dharavi: From Mega-Slum to Urban Paradigm (New Delhi: Tolstoy House, 2013) 173.

27. Ibid.

28. Ibid, 175.

29. http://www.domusweb.it/en/architecture/2012/02/13/ urbz-crowdsourcing-the-city.html 30. Informal as Praxis, 6.

Resilient Urbanism // background

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case studies

the tool-house How is the informal “shadow” economy of Dharavi supported by the built environment?

URBZ is a research-based practice that strives to promote user-generated cities. The practice has an office in Dharavi where it often hosts various community events and develops studies of existing conditions in the settlement.

After intensive research and study, URBZ believes that what is actually happening within the homes and workshops of Dharavi has become an essential, but much ignored, practice.

In 2012, URBZ developed a study that responds to the dominant architectural typology of Dharavi. Called the “tool-house,” this informal workshop prototype is a prime example of

Fig. 2.1 URBZ Tool-House Study

the live/work concept – a theme that demonstrates self-sufficiency and entrepreneurship. This model represents “the habitat of the artisan where work and residence co-exist amicably.” 31 The tool-house emerges when every wall, nook, and cranny becomes an extension of the tools used in the trade of its inhabitant. “When the furnace and the cooking hearth exchange roles and when sleeping competes with warehouse space. A cluster of tool-houses makes for a thriving workshop-neighborhood and its public spaces emerge as a dynamic byproduct of such an auto-organized habitat.” 32

Resilient Urbanism // case studies

Fig. 2.2 Tool-House Exploded Axon Diagram

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Fig. 2.3 Tool-House Collage Diagram

One of the most important characteristics of the Dharavi toolhouse model is how embedded it is within the environment.

Unlike the previous examples of the Tower of David and the “shantyscraper,” the street seamlessly flows in and out of the structure as various users come and go.

It also rarely exists alone, being linked to hundreds of other tool-houses in larger network. It is primarily shaped by its relationship with the neighborhood and the informal city, rather than by the user. The tool-house responds to the need for industry, evolving to take on various workshop roles to support

the growing needs of the informal economy.

In response to this relationship, the tool-house is ever changing and constantly evolving. (how?) It manages to mix and match “history and biography, form and function, needs and aspirations, to produce an unpredictable template for a constantly morphing urban fabric.” 33

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Fig. 2.4-2.7 Tool-House Elevations and Sections

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the empower shack How to build a modular live/work prototype to promote the resilience of informal settlements?

The 2013 Empower Shack project by Urban-Think Tank provides a great precedent of a program for this kit of parts.

The project aims to introduce an integrated approach to upgrading the housing typology within South Africa’s growing informal settlements.

By merging design innovation with community-driven spatial planning and livelihoods programming, the external design team recognizes the necessary involvement of the internal slum inhabitants.

Partnering with ETH Zürich University, a design-build team formed to both research and execute this design prototype in Khayelitsha, a township in Cape Town that is one of the largest in South Africa.

The Empower Shack responds to the housing crisis in South Africa, where nearly 2700 informal settlements house 15 percent of the country’s entire population. The crisis involves a shortage of over 2.5 million housing units, leaving approximately 7.5 million people locked out of the formal property market. 34

The project has three intersecting components: 1 The development and roll-out of a cost-effective, resilient, two-story housing prototype, featuring shared sanitation facilities.

2 The development of custom digital and microfinancing tools to support a participatory settlement upgrad- ing process.

3

A series of parallel pilot programs – including an income-generating solar model, urban agriculture, and a waste management enterprise – to expand local economic opportunities and ensure the long-term sustainability of the project. 35

Fig. 2.8 Empower Shack Spatial Relationships

Resilient Urbanism // case studies

Fig. 2.9 Empower Shack Construction Diagram

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Fig. 2.10 Empower Shack Expansion Models

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Fig. 2.11-2.12 Empower Shack Before/After Photographs

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_ endnotes 31. http://urbz.net/tool-house-urbz-office/ 32. Ibid.

33. http://urbz.net/localities/koliwadas-of-mumbai/ http://www.airoots.org/2008/05/another-koliwada/ 34. http://www.dezeen.com/2014/03/07/empower-shackurban-think-tank-housing-south-africa-slums/ 35. http://u-tt.arch.ethz.ch/publications/slum-labempower-shack/

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project framework

program description Considering the informal economy that successfully exists within Dharavi, the thesis proposes to study this model and apply pieces to form a kit of parts that can be applied elsewhere.

The proposed site to first execute this kit of parts is located in Worli Koliwada, or the Worli fishing village, located on the outskirts on Mumbai, just southwest of Dharavi.

Due to the informal nature of slums, spaces and their functions are considered multifunctional, interchangeable, and user-defined. In households, for example, each room serves as a living room, bedroom, and kitchen at various times throughout a single day. Streets, on the other hand, double as both market space and transportation. Thus, a flexible program is necessary in order to meet the informality of the settlement. 36 The program’s primary goal will be to promote the System D economy of informal settlements and strengthen the local community through a successful live/work prototype. The prototype itself will contain balanced qualities of a live/work unit, promoting spaces for economic activities, as well as social activities.

Seeking inspiration from the Dharavi family and extra-familial workshop models, the primary users will be family, tenants, apprentices, craftsmen, buyers, sellers, and community members.

The kit of parts will respond to the successful industries that currently exist in Dharavi, while also introducing elements of the fishing industry in Worli Koliwada. Social activities will also be implemented to further a sense of community within the model.

A brief demonstration of these activities, their programs, and possible spaces needed to accomodate them is diagrammed on the right:

Fig. 3.1 Comparison of Industries

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Variety of Program Users Diagram

75

site selection worli village Worli Koliwada has been selected as the site to implement this kit of parts for a stronger, more successful informal economy.

This site was partly selected for its similar foundations to Dharavi. Both settlements originated as fishing villages, yet Dharavi has further developed to provide industries that benefit the mother city of Mumbai, such as leather tanning, pottery making, and waste recycling. Worli, on the other hand, still exists as a traditional fishing village. 37 While still a traditional village, it appears that Worli Koliwada has since been divided into three distinct zones. Each zone caters to a specific combination of activities characterized by different building typologies. The two primary housing types are: 1 the colorful duplexes, home to the fishermen of the village, and 2 the makeshift, recyclable clad dwellings characteristic of most slum settlements. 38

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Fig. 3.2-3.3 Worli Fishing Industry

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housing typology a:

Fig. 3.4-3.6 Colorful Duplexes of Worli Village

housing typology b:

Resilient Urbanism // project framework

Fig. 3.7-3.9 Slum Dwellings of Worli Village

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site analysis While the main profession in Worli Village is fishing, other minority industries exist as well. Coconut selling and poultry are two of these secondary professions. Most families are considered “joint families,” with many relatives living in the same neighborhood. Boats are also shared per family.

There are four primary designations to describe a person’s role in the fishing industry: 1 Nakhawa: the one who controls the ‘sukhanu,’ or wheel, and guides the direction of a boat, 2 Dolkar: the one responsible for maintaining the nets in the sea to catch fish, 3 Tandel: the owner of the boat, and 4 Helkar: the one who physically assists in net transportation, pulling the net in from the sea, while also helping with other activies on the boat. 39

The following diagram notes various areas within Worli Village in realtion to the fishing industry. The main zones include the dhakka (docks), the fish drying yard, the net drying/boat mending yard, and the fish separation and sorting area. 40 Two main routes of transportation exist, each following the coastline of the narrow peninsula. The road to the west is named VB Worlikar Marg, whereas the road on the east is named Golfa Devi Temple Road.

VB Worlikar is perhaps the more popular route, with its ending destination being the historic Worli Fort. Golfa Devi, however, appears to be mainly used in realtion to the fishing industry. The diagram to the right suggests the linkage of these routes at the tip of the settlement, but such a route does not exist at this time. 41

Resilient Urbanism // project framework

Fig. 3.10 Analysis of Worli Fishing Industry Zones

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koliwada typology The Koli fisherman people were the earliest inhabitants of the archipelago now called Mumbai. With settlements over 400 years old, the Kolis first migrated as members of the Kul tribe from the mainland mass of Aparanta at the beginning of the Christian era, if not earlier.

Approximately 38 koliwadas still exist in the region, after battling periods of conflict and conquering by the Hindus in the 13th century, Muslims until the 16th century, colonization by first the Portuguese and then the British, and finally surviving the modern expansions of Mumbai.

significant monuments being a British fort that called the Worli Fort. While The original inhabitants included the nine Patil brothers (also the founders of the village), the village quickly realized it needed to gain more people in order for the settlemeent to survive.

Other non-Koli peoples migrated to the village, and today, make up the wide variety of Maharashtrian Hindus, Catholics, Muslims, Biharis, and Bhaiyyas who live together in the village. 44

The early influence of the Kolis is directly reflected in the name of Mumbai, as it was derived from the word “Mumbadevi,” the patron deity of the Kolis. The earliest settlements in Mumbai were called koliwadas, which were given their name after local trees and natural elements because the Kolis were considered nature- and tree-worshipers. 42 Today, koliwada purely means “village of the fishermen.” 43 The Worli Koliwada specifically has existed for over 500 years, with one of its

Fig. 3.11-3.12 Worli Koliwada Fishing Rituals

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Despite surviving different conquests and trials throughout Mumbai’s history, the modern day issue that Worli Koliwada faces is the percentage of foreign travelers living on – and thriving on – the ancient fishing village.

Nearly 75 percent of the village is made up of these travelers who clash and conflict with the true koli fishermen and their trade. “The Kolis have a deep sense of hatred towards these ‘boats that can look into the sea and catch the fish’ as a fisherman puts it.” 45 With the challenges presented by an increasing foreign interest in its fishing trade, it is evident that the fishing industry must be the primary target of the informal economy that is to be revived in Worli Koliwada.

While Dharavi’s economy focuses on a different array of industries that directly benefit Mumbai (e.g. pottery making, leather tanning, waste recycling), an ancient koliwada also exists within Dharavi. Both the status and successes of Dharavi’s koliwada and other thriving industries must be studied in order to effectively create an economic and architectural kit of parts to be applied to the fishing industry of Worli Koliwada. 46

dharavi koliwada:

Fig. 3.13 Sorting Fish in Dharavi

worli koliwada:

Fig. 3.14 Sorting Fish in Worli Village

Resilient Urbanism // project framework

Fig. 3.15 Worli Village Harbor

85

_ endnotes 36. Informal as Praxis, 73.

37. Srivastava, “Another Koliwada.”

38. Ibid.

39. Rujuta Thakurdesai, “Community Neighborhoods of Worli Koliwada,” University of Pune Dissertation, 13.

40. Ibid, 16.

41. Ibid, 21.

42. Srivastava, “Another Koliwada.”

43. Ibid.

44. Christian Wopperer, “Worli Koliwada.” The Flying Dutchman: Urbanism in Asia.

45. Ibid.

46. Srivastava, “Another Koliwada.”

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conclusion

PRÉCIS

In an attempt to improve the over-crowded, impoverished circumstances in slum settlements surrounding Mumbai, India, this thesis explores the concept of replicating the successful informal economy of Dharavi in outside settlements, such as Worli Koliwada. By analyzing the live/work models that exist within Dharavi, a similar approach will be applied to the varying industries of Worli Koliwada.

Previous approaches to improve informal settlements are typically unsuccessful due to outside influence and a lack of understanding of the true situation and conditions within the settlements. The only way to properly improve the lives of those living in these situations of poverty is to consult the residents themselves, and allow them the right to self-develop. As demonstrated by the durability of Dharavi and the resilience of the Tower of David, the residents of informal settlements are selfsufficient, independently functioning persons who are able to successfully innovate and commercialize when given the right means and opportunities.

This thesis seeks to provide those exact means for the people of Worli Koliwada by assisting in the strengthening of their ancient fishing industry. The fishing trade lies at the root of their history and culture. By reviving the industry, the sense of community and identity within the settlement will be strengthened, along with its durability and independence.

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Srivastava, Rahul and Matias Echanove. “Another Koliwada.” Airoots. May 18, 2008. Accessed November 2, 2015. http://www.airoots.org/2008/05/anotherkoliwada.

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image credits introduction Fig. 1.1

http://news.bbc.co.uk/2/shared/spl/hi/world/06/dharavi_slum/html/ dharavi_slum_intro.stm

Fig. 1.2

http://ngm.nationalgeographic.com/2007/05/dharavi-mumbai-slum/ jacobson-text

background Fig. 1.3

https://shettypratik.wordpress.com/2012/06/10/a-guide-to-groups-inmumbai-locals/

Fig. 1.4

http://www.nydailynews.com/news/overloaded-vehicles-world-gallery1.2329935?pmSlide=1.2329921

Fig. 1.5

http://www.chronicpovertynetwork.org/

Fig. 1.6

http://www.ruralpovertyportal.org/region

Fig. 1.7

http://www.chronicpovertynetwork.org/

Fig. 1.8

Ibid.

Fig. 1.9

Ibid.

Fig. 1.10

https://makanaka.wordpress.com/tag/slum/

Fig. 1.11

http://www.borgenmagazine.com/are-poverty-and-race-related/

Fig. 1.12

http://www.peopleindiafoundations.com/

Fig. 1.13

http://geofacts.ru/vitalij-raskalov-mumbai-urban-exploration/

Fig. 1.14

http://d-maps.com/pays.php?num_pay=84&lang=en

https://www.flickr.com/photos/13626255@N08/8458242100

Fig. 1.16

http://www.indiatimes.com/news/india/mumbai-to-get-the-world-s-firstslum-museum-dharavi-249124.html

Fig. 1.17

http://www.supportdharavi.org/chisiamoeng.html

Fig. 1.18

http://www.citylab.com/housing/2014/04/day-life-most-unusual-buildingcaracas/8780/

Fig. 1.19

Ibid.

Fig. 1.20

http://blogs.reuters.com/photographers-blog/2014/04/02/the-tower-ofdavid-venezuelas-vertical-slum/

Fig. 1.21

Ibid.

Fig. 1.22

Ibid.

Fig. 1.23

http://www.evolo.us/competition/

Fig. 1.24

http://inhabitat.com/tag/shanty-scraper/

Fig. 1.25

http://www.archdaily.com/772414/ga-designs-radical-shippingcontainer-skyscraper-for-mumbai-slum

Fig. 1.26

http://bethanyclarke.co.uk/editorial/stories/slums/

Fig. 1.27

Ibid.

Fig. 1.28

http://ourworldindata.org/data/food-agriculture/hunger-andundernourishment/

Fig. 1.29

http://www.imf.org/external/pubs/ft/fandd/2012/06/singh.htm

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Fig. 1.15

97

Fig. 1.30

http://www.flaticon.com/

Fig. 1.31

http://joelsames.com/photography/dharavi/

Fig. 1.32

http://www.privatephotoreview.com/2013/02/poisonous-business-theindian-leather-industry/

Fig. 1.33

http://www.thetimes.co.uk/tto/travel/destinations/india/article2502033

case studies Fig. 2.1

http://urbz.net/tool-house-urbz-office/

Fig. 2.2

https://www.flickr.com/photos/urbzoo/sets/72157629583142741

Fig. 2.3

http://www.airoots.org/2009/09/the-tool-house-expanded/

Fig. 2.4

https://www.flickr.com/photos/urbzoo/sets/72157629583142741

Fig. 2.5

Ibid.

Fig. 2.6

Ibid.

Fig. 2.7

Ibid.

Fig. 2.8

http://www.dezeen.com/2014/03/07/empower-shack-urban-think-tankhousing-south-africa-slums/

Fig. 2.9

Ibid.

Fig. 2.10

Ibid.

Fig. 2.11

http://u-tt.com/project/empower-shack/

Fig. 2.12

Ibid.

project framework www.oliviaksnell.squarespace.com/

Fig. 3.2

https://www.tumblr.com/search/dried%20fish

Fig. 3.3

http://www.worlikoliwada.com/Worli-Koliwada-Photos.php

Fig. 3.4

http://www.mumbaiblog.ca/?p=489

Fig. 3.5

Ibid.

Fig. 3.6

Ibid.

Fig. 3.7

http://scroll.in/article/769751/why-residents-of-a-mumbai-fishing-villagewant-development-but-not-slum-rehabilitation

Fig. 3.8

Ibid.

Fig. 3.9

http://www.pvpcoapune.org/vit/

Fig. 3.10

http://www.slideshare.net/guillemcv/worli-koliwada-13610203

Fig. 3.11

http://thisflyingdutchman.blogspot.com/2013/03/worli-koliwada.html

Fig. 3.12

http://www.worlikoliwada.com/Worli-History.php

Fig. 3.13

http://www.airoots.org/2008/11/why-mumbai%E2%80%99s-slums-arevillages/

Fig. 3.14

http://thisflyingdutchman.blogspot.com/2013/03/worli-koliwada.html

Fig. 3.15

Ibid.

99

Resilient Urbanism // conclusion

Fig. 3.1