Masterarbeit, 2023
87 Seiten, Note: A
Geowissenschaften / Geographie - Bevölkerungsgeographie, Stadt- u. Raumplanung
List of Acronyms
List of tables
List of Figures
List of Appendixes
Abstract
CHAPTER ONE
1. Introduction
1.1. Background of the study
1.2. Statement of the Problem
1.3. Research Questions
1.4. OBJECTIVES OF THE STUDY
1.4.1. General Objective
1.4.2. Specific Objectives
1.5. Significance of the Study
1.6. Scope of the Study..
1.7. Limitations of the Study....
CHAPTER TWO
2.1 Related literature Review
2.1. 1 Theoretical Review of Literature
2.1.1.1.4. The Concept of environment and its Definition
2.2. Empirical Review of Literature
2.2.1. Global and Local Common Approaches and Experiences on the Response to IS
2.2.1.2. The program of low-cost housing
2.2.1.3.The sites and services scheme
2.2.2. International Experiences on Responses to the Informal Settlement: Success and Failure
2.2.2.2. Armenia: Legalization of IS
2.2.3. CAUSES OF IS
2.2.4. Informal Settlement versus the Environment
2.3. Research Gap
2.4. Conceptual Framework
CHAPTER THREE
3.1. Description of Study Area
3.1.1. Historical Background of Dessie City
3.2. Research Paradigm, Approach and Design
3.2.1. Research Paradigm
3.2.3 Research Design
3.3. Types and Sources of Data
3.3.1. Types of Data
3.3.2. Data sources
3.4. Sampling Design
3.4.1. Population and sampling frame
3.4.2 Sampling Unit
3.4.3 Sample Size Determination
3.4.4. Sampling Techniques and procedures
3.5. Data Collection Instruments
3.6. Validity and Reliability
3.7. Method of Data Analysis
3.8. Ethical issues in the research
CHAPTER FOUR
4.1 Findings and discussions 36.
4.1.1 Demographic characteristics of respondents
4.1.2 Driving components of IS expansion
4.1.2. 1 Land concerned component
4.1.2.2 House related component.
4.1.2.3 Administrative component
4.1.2.4 Social component
4.1.2.5 Political and legislative component
4.3 Environmental degradation caused by IS
4.3.1 The environmental impact of IS on forest
4.3.2 The environmental impact of IS on air
4.3.3 Land pollution
4.4 Infrastructural assessment
4.4.1 Toilet availability
4.4.2 Access to tap water
4.4.3 Electrification
4.4.4 Solid waste disposal methods
4.4.5 Sewerage system
4.4.6. Road types in IS
CHAPTER FIVE
5.1 Summary of findings
5.2 Conclusion
5.3 Recommendations
Lists of References
Appendix 1: Questionnaire Household head Respondents
APPENDIX 2: Environmental Degradation and Infrastructural Availability
APPENDIX 3: Interview Questions for Key Informants of community elders
First and foremost my Father, Lord my creator. Thank You God for giving me strength, hope, faith and such a wonderful support system. Next I would like to thank my advisor Mr. Abreham Kassa for his continues advice, guidance, and for the patience which have greatly contributed to the completion of this research in success.
I am grateful to my mother Serkalem and my sisters, Asni and Elshaday for their unwavering financial, material and moral supports in the all study program. I extend my gratitude also to the prospective Dr. Mulugeta for his professional and moral support and for all persons who have supported me along the way. Finally, despite the advice provided by may advisor I remain responsible for any errors and omissions which may unintentionally remain in this thesis.
This dissertation is dedicated to my parents. My father Feleke Dawud, he has sacrificed a lot to raise and educate his children with God fearing conduct. It is through your prayers that I was able to achieve this. Your kindness, bold and heroic characters are sources of strength, I learned from you.
IS.Informal Settlement
UNECE.United Nation Economic Commission for Europe
MUDHC...Ministry of Urban Development and Housing Construction
DM..Dessie Municipality
WB...World Bank
SPSSStatistical Package for Social Science
PCA..Principal Component Analysis
NGO...Non Governmental Organization
NRGA..National Regional Government of Amhara
Table 2.1 Land price comparison in expropriation and informal land market in Ethiopia
Tabel 3.1 Sample size distribution to the sub-cities
Table 4.1 Demographic characteristics of the respondents
Table 4.3.1 The environmental impact of IS on forest
Table 4.3.2 The environmental impact of IS on air.
Table 4.3.3 Table showing rubbish disposal practice
Table 4.4.1 Availability of toilet
Table 4.4.2 Access to tap water
Table 4.4.3 Electric power service availability
Table 4.4.4 Solid waste disposal
Table 4.4.5 Availability of drainage system..
Table 4.4.6 Table showing road types in IS.
Figure 2.1: A conceptual framework of IS drivers and environmental effects
Figure 3.1 Location of Dessie city in Amhara region..
Figure 3.2 Map of Dessie City.
Figure 4.1 Percentage amount of variance explained for IS expansion
Figure 4.2 Number of retained components depicted by Scree plot
Appendix 1: Questionnaire of house hold respondents
Appendix 2: Environmental Degradation And Infrastructural Availability
APPENDIX 3: Interview Questions for Key Informants of community elders
Appendix 4: Cheek List for Field Observation
Appendix 5: Sample sites of IS
Appendix 6: Availability and conditions of infrastructures..
The research has begun with a multitude of different research questions, answering them is the study objective. For the appearance of informal settlement and the people to engage in the construction of such settlements there are various reasons. Thus, the study primarily was aimed to explore the driving factors of informal settlement in Dessie city. Informal settlements lead to vulnerability of the occupied place to environmental degradations and deficit or absence of basic services is amongst its manifestations. Hence, the environmental degradation caused by these settlements and basic infrastructure availability in these settlement are the second and third objectives of the study. The research design employed was a mixed method research. In this method, so as to meet the objectives quantitative data was gathered through close ended questionnaire survey from informal settlers. For the second and third objectives in addition to the quantitative data qualitative data was also collected by structured interviews from key informants selected among the informal settlers and from the field observations.
A total of 95 households were sampled from the three sub-cities through multistage method involving quota and simple random sampling. These households were distributed equally between sub-cities in proportion with their total number of resident. As stated earlier 6 key informants were chosen purposively for interview.
The result of the study has implied no mono factor is a driver of the expansion of informal settlement in the city. Rather the continuums of factors in five dimensions of components have identified driving informal settlement expansion in the city, as a list of 18 possible causes of informal settlement expansion were developed on the essence of empirical and theoretical frameworks. Thus, PCA has revealed land related, house related, administrative, social, political and legislative component dimensions are the drivers of informal settlements in descending result of the total variance explained in each of the components. On the second research question deforestation, air pollution from the settlers’ energy consumption trend and land pollution as a result of improper waste disposal have distinguished as the major environmental degradation. In the third objective water, electric power, road, sewerage and toilet availability assessment were made and the result disclosed that these basic services are in absence and deficit.
The study has recommended improving land management system, enough land plot supply, condominium housing program and regularization of the existed IS.
Informal Settlement, Environment, Environmental Degradation, Basic Infrastructure
The emergence of informal settlement here after is abbreviated IS is associated with fast urbanization (Kyessi, 2011). Uncontrolled urbanization is causing problems like environmental degradation (Ali and Sulaiman, 2006). Settlement pattern of the world indicates that people who reside in IS have reached above fifty percent particularly in under developed nations cities as a result of population growth which is caused by natural increase and migration from rural to urban areas (UN-Habitat, 2015). IS is a global phenomenon because it exists both in the developed and developing countries (Kamalipour & Peimani, 2019). Globally, researches on IS highly are inclined to center on nations that are economically under developed. This tendency is neglecting its existence in the developed nations (Dust & Wegmann, 2017). However, IS has a substantial existence in developed countries. In Europe, there are more than 50 million people residing in IS in over 20 countries of the region with. Among the several intertwined important changes which are critically influencing the formation of IS are fast urbanization, rural-urban migration, natural calamities, war, poverty, lack of shelter and serviced land leads people’s influx to the destinations where opportunity and safety are better(ECE,2018,cited in Ruth,2020).
Vienna Declaration (2014) opined IS in the region is a primary concern. IS is because causing in the region a tremendous problem like environmental impact is the major one. Within it, erosion that occurs from unpaved roadways in IS areas with no drainage lines aggravates local water sources pollution by unsafe liquid waste disposal, and solid waste is accumulated along road sides (UNECE, 2018). Sometimes, IS may also cause an environmental hazards by construction in protected areas and natural reserves (e.g. archaeological sites, forests, coastlines). As example illegal individual constructions can be distinguished on the Greece coastal lines, Spain, Italy and in Croatia more. Such constructions in most cases on conserved high cultural or environmental values have been bulldozed (Pachic 2007, Panunzi 2007).
In developing countries perspective IS is a common practice and it is considered mainly as the outcome of the forcing shelter need of poor urbanite societies (Matamanda, 2019, cited in Endale T. 2022). Most of the people have to house themselves, because neither the market nor the public sector is offering affordable land or housing to cover their needs. Today over urbanization is making it increasingly difficult for urban inhabitants to find a secure place to live and to consolidate their settlements. Unlike the developed nations, countries of the developing world Asia, and particularly Latin America and Africa urbanization has occurred as a result of high natural population increase and massive rural urban migration (Akirso, 2021, cited in Endale T. 2022).
In the sustainability of nature and environment human activity has a big role. It is adversely that IS impacts the environment. It is because there is lack of infrastructures and basic municipal services; as a result their relationship with the environment is mostly negative. One factor of environmental degradation in the IS is poor waste management.
Solid waste management is an expensive process and is a difficult work to manage in under developed nations (Antwi, 2008). In this regard, there are a number of developing countries IS areas where examples can be drawn. For example, in the case of Jamaica the Montego Bey IS is in solid waste disposal problem, “garbage is supposed to be collected twice weekly on specific days in residential areas” (Ferguson, 1996:14). But, in fact “collection varies from twice weekly in formal sector residential neighbourhoods to never in some of the largest areas of informal sector communities”(Ibid). This problem is because of “the lack of road access to large areas of IS, a lack of cooperation by residents, density and inadequate finance”(Ferguson, 1996:14).
Some of the biggest ISs in the developing countries are located in Kenya (Mathare and Kibera), Brazil, Peru, Venezuela, India, and Jamaica (https://www.worldatlas.com). African nations are facing serious situation of IS, it is around 70% of the population that is living in IS (Baden and Masika. de Haan, 2017). The proceeding economic problem pushes an increasing migrants number to urban areas for the sake of job and better life, on urban pressure points like housing uneven greater strain is placed on and it has led to the expansion of IS in the urban environment (Peters, 2018).
There are different colloquial names for such settlements in different countries: Favelas in Rio, Callampas in Chile, and Ranchos in Venezuela (Peattie and Haas, 1981 as cited in Jemal A. 2019). In Ethiopia “Yechereka bet” is the term wide commonly used to refer IS. It is forecasted that urban population of Ethiopia is to grow from 3.8% to 5.4% annually (MUDHC, 2021). With this fast growth rate the country is facing currently rapid urban expansion influence (Koroso et al., 2021), attached with IS in many Ethiopian cities whereby informal land market and open public land occupation on the outskirt for residential house construction are being taken to resolve the problem of housing (Akirso, 2021, cited in Endale T.,2022). As a result IS is expanding and it has become a remarkable urban landscape of most of the country's metropolis.
As Dessie is one of the Regio-metropolitan city the above feature of the county’s urban areas manifests it as well. According to DM the city population is increasing about 1.1% annually, (DM, 2008, cited in Endale T., 2022). With this growth rate the dwellers in the city are being challenged by housing problem and a substantial number of inhabitants have settled informally at deferent edge location of the city. Therefore, it calls for a research to stop its continuing expansion and eradicate it form the city land scape or at least to dwindle its extent meaningfully. To do so, driving factors of IS should be detected and the curative as well as protective strategies should base on the identified driving causes. Therefore, distinguishing the driving factors that triggers the expansion of IS and ensued environmental impacts as well as assessing infrastructural and basic service provision coverage are the purpose of this is study.
Here on the subtopic statement of the problem are challenges stated as a rationale to conduct a research on the title, Informal settlement Expansion Drivers and the Resulted Environmental Degradation in Dessie City.
On 2008, more than ½ of the world population has lived in urban (GRHS, 2009) and this number is expected to rise to 70 percent on 2050 (WHO, 2014). The projection is for the year between 2007 and 2025 and it regarded under developed regions. In developing regions the yearly population growth is expected 2.27%. Compared to 0.49% of the developed regions it is rapid. In addition to the natural population growth rural-urban migration has a great contribution for urban population increase. For the search of better opportunities and livelihoods through employment in different industries it is continuously that people are migrating to the cities. On the eyes of modernization theory, people are attracted by modernization to urban centers for employment in industries (Martinussen, 1997). However, it creates new IS areas and expands the already existed ones both in the number of inhabitants and areal volume that is occupied. It is because there is a bigger limitation on the number and growth of manufacturing industries and other types of investments in most of the developing countries. Therefore, their economy doesn’t create opportunities and lacks power to absorb all people who migrates to the cities in search of employment and better life. This situation couldn't enable them to lead the city life in a descent houses and it leads to the inevitable result of IS expansion. It leads for the conclusion that in developing countries but not necessarily in developed nations “as cities have expanded, so have the informally developed residential areas ” (Karam and Huchzermeyer , 2006:01).
Conflicting views are existed on whether IS are beneficial or harmful, whether they have any advantages or are a mere nuisance to the economic prosperity, political image and physical outlook as well as for the environment they occupied and neighborhoods. There are advocacies which supports the former idea, for the recognition and endorsement of informality in human settlements as a major contributor to the socio-cultural and economic development of a state. However, other critics dismiss the sector as an abnormality, a nuisance, a source of chaos and an obstacle to the healthy and sustainable development of a modern economy.
In light of their benefits, these settlements are not marginal actors in the real estate market. They play an important role and affecting greatly the housing demand and supply market (Dina M&Hanan G, 2017). Land and house in IS are in transaction without the role of real estate agencies, cadastral registration and government revenue duties and it contributes for affordable price of housing, albeit it cannot be mortgaged or used as collateral for business purposes (De Soto 2003). In this way IS accommodated more than a quarter of the world’s urban population (Marutlulle 2017; Hermanson 2016). Turok and Bore, strengthen the above arguments “informal settlements lift households out of rural poverty and on to a path to prosperity through affordable access to urban opportunities” (Turok and Bore, 2018). Turok Budlender, and Visagie also support the above arguments. “… Such settlements may foster human progress by linking rural-urban migrants to the services, contacts and livelihoods concentrated in cities” ( Turok Budlender, and Visagie 2017:24) .
The Liberal theory has also a positive view on IS like that of the modernization school of thought. It does not consider IS problematic but as basic for the development of the economy by providing working force for industries and the way for social development through optimizing living conditions for marginalized sections of a society ( Sheikhi, 2001; Sarrafi & Mohammadi 2005 in Veisi 2015; Amiri and Ghanbari 2016).
However, a number of opposing arguments are raised negatively that surpassed in several measurements the merit sides. Governments and urban authorities have currently been increasingly regarding IS as a constraint to attracting city investment (Jones 2017). They are an affront to the modernization orientation of developing countries' governments who desired properly planned and developed cities. It threatened property values of formally developed neighborhoods and commercial investments. They also have social, political, and environmental threats, such as causing physical disorders, un economical land utilization, encroachment in to good agricultural area, deforestation, hot-bed for politics, pollution from solid and liquid wastes, deficient basic services(water, education, sanitation, energy, road etc.). Further, it posed high political and economic cost for cities and governments when they address them using different intervention tools, particularly during legalization, resettlement and eviction. An effort to register IS, extend different services to these settlements and merge them to the legal settlement area of the city are extremely challenging. Therefore, it perpetuates tolerance on IS with the visible problems resulted.
It is argued by Satterthwaite, 2003 that in Africa, Latin America and Asia there are rapidly growing cities with high level of IS. Puissant and Weber, 2003, consolidates the statement that a substantial amount of urban growth is in IS pattern. Perlman,1976, also supported the fact that urbanization is not detached from IS. The influence of IS on urban centers is more explained by Mporetji, 2008, among other its impacts it is on service delivery its influence is being appeared that is exacerbating environmental degradation. It is also strengthened by Satterthwaite, 2003, that urban centers in under developed nations are manifested by deficit in availability and supply of service infrastructures like water, drainage system, garbage collection, water, electricity etc., that lead to environmental degradation. Hence IS reflects a situation of creating and enduring environmental harm.
Although it is in a lesser extent that IS is challenging the developed nations than developing countries a case study conducted in Romania indicated that it is harming the environment immensely. The study was done on four sites of Apuseni Nature Park and revealed that second home IS have negative consequences. The most significant environmental impacts identified were: improper waste management, extension of the built-up area in a uncontrolled way, extension of the access roads, noise and atmospheric pollution due to the use of cars to the proximity of the property, tourist activities performed, improvised tourist and non-tourist facilities, the size of the dwellings and traditional building materials, the deprivation of access of the local population and tourists to the lake's shore (Fântânele), urbanized landscape, etc(Ioana, Alexandra Ciupe1 & N. Ciangă’s, 2017).
Because of illegal land grape people residing in IS faces challenges in receiving services, thus impacting negatively the environment. The impact of unprecedented growth of IS on environment of cities in developing countries has become one of the greatest concerns in the 21st C. (Balaban, 2013 and Marzluff, 2008). Inadequacy of sanitation that pushes for pollution the informal settlers, for lighting the use of biomass and coal that causes atmospheric pollution through the greenhouse gas emission (Napier,2007). Rubbish disposal is one of the environmental concern for which occupants are blamed of. It is the factor for pollution of land, additionally “emerging and re-emerging infectious disease hazards” (Napier, 2007:15). It should be addressed, otherwise its impact on the ecology will disrupt peoples livelihood (Herero, 2008). Its impacting extent will also increase and causes an extra problem that contributes like climate change which is influencing now the glob without a border.
The increase of the amount of waste generation in under developed nations’ cities is resulting major problems on the environment (Cohen, 2006). As Ethiopia is one of the developing nations the problem characterizes most cities of the country, in the study area Dessie which is one of the regio-metropolitan cities of Ethiopia “Most of solid wastes that are generated in the town remain uncollected and simply dumped in open areas, road sides, river courses, gullies. According to the report made by SBPDD of Dessie town in 2010, the total solid waste generated in 2010 is estimated to be 32188 meter cubed. From this amount only 11569 meter cubed (36%) of solid wastes were collected and disposed but the remaining large proportion of the solid wastes (64%) were left uncollected. The disposal method that the town used is also open dumping type which widely practiced in many developing countries and has hazardous effect on health and the environment. Besides this, the town does not operate any waste recovery or recycling activity.”(Solomon C, 2011:4). Therefore, one can imagine that the above stated refuse management problem is very alarming for the city and it is expected to be worst in the IS areas of the city where infrastructure and access to services are in deficiency.
Generally, as discussed earlier IS has a consequence of pressing environmental degradation. IS continued geographically, economically, socially and politically disengaged from wider urban systems and excluded from urban opportunities and decision-making(UN-Habitat, 2015). This exclusion from the urban fabrics is an impediment for the overall growth and development of the cities and the nations as well which are striving to achieve growth and development. Therefore, it should be addressed urgently. According to a WB report (2007), addressing the problems of IS requires a better understanding of the driving forces contributing to their growth (WB, 2007). Hence, the study aimed to contribute for the solution through identifying the drivers of IS and the environmental degradations resulted from these settlements as well as assessing service and infrastructural availabilities to support a move towards countering the problems. As far as I know, an out-dated single unpublished research that is (Seid Endrie, 2009. Socio-Economic Impact of Informal Settlement: The Case of Dessie Town Kebele 08 and 10) is available that is conducted on IS on different topic. Therefore, there is a wide gap of recent studies on any dimension of IS in the city which is a residence of 650,000 people (www.google.com). Hence, the study is pertinent to narrow this gap with a contribution of knowledge on the study’s thematic area.
1. What are the driving factors of IS in Dessie town?
2. What are the environmental impacts resulted from IS in the city?
3. What infrastructural challenges are in the IS?
The general objective of this research was to come up with underlining drivers of IS and the resulted environmental degradation from the settlement as well as disclosing basic infrastructures in deficit.
1. To identify the main driving factors of IS expansion in Dessie city.
2. To distinguish the environmental degradations resulted from IS.
3. To assess availability of basic infrastructures in the IS.
The research is expected to be used as input for the city administration when they take curative and preventive measures on the IS and plan to address the housing demand of the city residents. It will be also useful for the region in amendment and formulation of policies related to environmental conservation, particularly forest conservation and cultivation. It will initiate and provoke to think about economical ways of land use in consideration of the natural vegetation in the city.
In Ethiopia, different studies have investigated the causes and consequences of IS, but still the issue is a problem on cities in different degree and it has a dynamic nature depending on spatial variations and other determinant situations. Therefore, the outcome of the study will uncover the major drivers that are contributing for the expansion of IS. It has significance on the finding of solutions for halting informal settlements, to use as input for plan amendment and formulation at city level concerning urban land use and administration. It will use as a reference for further studies at national and international level on similar topics. Further, it provides knowledge for the municipality of the city about the determinant factors of IS expansion as well as the consequences on the environment.
The study was geographically limited on Dessie town. Thematically its scope encompassed exploration of IS expansion driving factors, environmental degradation caused by IS and basic infrastructural availability. Periodically, the research data was collected since April 1-20, 2023.
Lack of interest of the informal settlers to participate in the research, who considered the data gathered might have a consequence of their eviction on later times and as a matter of privacy. But it was solved by assuring them that the research was purely academic and that the information they provided would not be used against them.
Financially the researcher was much challenged as the budget deficit faced on the time that was engaged in data collection.
2.1.1.1. 1 A Brief History of Informality In Urbanism Discourse
The realization of informal sector is usually goes-back to 1973 of the Hart’s distinction of the informal and formal economy according to the employment types. In 1970s ILO adopted the concept of informal sector to explain the small scale activities which at large are escaping enumeration, recognition, regulation or protection from the government (Moser, 1994). Normally it is accounting ½ on the contrary to the formal large scale, regulated, and modern sector. This dichotomy has had enduring influences, shaping subsequent conceptualizations. This is despite the fact that its application to a wide range of data and contexts has resulted in the inclusion of ‘heterogeneous sets of activities and people without an identifiable or analytically useful common characteristic’ within the informal sector (Ibid).
Regarding human settlement the origins of informality theory could be traced in Chicago School’s description of ‘Third World’ cities undergoing massive urbanization and high levels of rural urban migration in the 1950s and 1960s (AlSayyad, 2004). ‘Urban informal were a particular type of new city migrant, part of a transformative cycle within a rural-urban continuum. Their failure to become a part of this cycle condemned them to marginal status, on the edge of two cultures but members of neither (Abrams1964). They were often seen as passive members of a culture of poverty’. The main debate of 60’s and70’s was often characterized by ethnographic methods in Latin American ‘slum’ neighborhoods.
Regarding this, Perlman’s ‘The Myth of Marginality’ in 1976 especially was influential. She argued that marginality has served in Brazil and also across South America as a myth and a description for social reality (Perlman 1976). Researches that have been mentioned above took IS as their object of analysis, developing analysis mainly based on these geographies, however surpassing the physical boundaries of these settlements, looking at a number of different aspects.
2.1.1.1.2. Concept and Definition of I S
IS which is frequently a high reflection level for urbanization is a typical of poor economy against the backdrop of social and political shifts, is an interesting field studies as well as transnational organizations whose missions concern the issue.It represents areas where groups of housing units have been constructed on land that the occupants have no legal claim to, or occupy illegally; unplanned settlements and areas where housing is not in compliance with current planning and building regulations (unauthorized housing) (Glossary of Environment Statistics, United Nations, 1997,cited in Ioana, , Alexandra Ciupe , N. Ciangă, 2017), or are residential areas where: inhabitants have no security of tenure vis a vis the land or dwellings they inhabit, with modalities ranging from squatting to informal rental housing; the neighborhoods usually lack, or are cut off from, basic services and city infrastructure; the housing may not comply with current planning and building regulations, and is often situated in geographically and environmentally hazardous areas (UNECE, 2016: 21).
IS Policy Research Center of the University of Witwatersrand also jotted the following characteristics as a definition for informal settlement:
“1. Land use is unauthorized;
2. The settlement pattern is unauthorized or not approved often this involves a high residential density;
3. The construction is unauthorized and not to prescribed standards;
4. The occupation originates from a land invasion” (Fegue, 2007: 6).
However it lacks a single commonly agreed definition in many literatures. In light of this, (Fernandes, 2011:4, cited in Tofic, 2021) remarked that “the definition of informality is imprecise and multidimensional, covering physical, socio-economic, and legal aspects.” The difference could be attributed to the socioeconomic, politico-cultural, and geophysical variations of each study. However, within such literatures, there are common yardsticks for explaining it. Unauthorized settlements, insecure tenure, building permission absence, tenure insecurity, the settlement that disregard the land use plan, deficit on basic services delivery, poorly constructed houses, self-made shelters, official title deeds absence, and residential areas that are not on map. The researcher has chosen the definition of Vienna declaration on National Regional Policy and the South Eastern Europe Informal Settlements Program for its comprehensiveness and suitability for the situation in Dessie. IS is defined in this declaration as:“Human settlements, which for a variety of reasons do not meet requirements for legal recognition (and have been constructed without respecting formal procedures of legal ownership, transfer of ownership, as well as construction and urban planning regulations), exist in their respective countries and hamper economic development . there is significant regional diversity in terms of their manifestation, these settlements are mainly characterized by informal or insecure land tenure, inadequate access to basic services, both social and physical infrastructure and housing finance” (Vienna Declaration, 2004:1 cited in Daniel 2013 and Tsenkova, 2008).
2.1.1.1.3. Common Characteristics of Urban I S
Around the globe on the majority of IS across the world there is no big peculiarity in terms of characteristics. It is because they share similar features. IS fundamental characteristics can be categorized in geographic, socio-economic, legal, physical and political aspects. From a legal perspective, IS is built against property right law. In this concern, land can be private, government or communal and it is occupied through invasion or by illegal land market. Constructed houses in IS are not in line with urban housing plans and not meet standards .Hence, they are constructed contrary to the framework of regulation. Therefore they are with tenure insecurity (Tsenkova, 2008; Firew, 2010; Berhanu, 2015; Beka, 2016; Giri, 2018; Harris, 2017; Lemanski and Marx, 2015; Opoko, 2015; Elias,, 2015; Avis, 2016 and Ehebrecht , 2014, cited in Tofic, 2009).
From the Socio-economic dimension it is agreed in many literatures IS is a residence of the poorest urban population in developing countries and they are characterized by absence of ventilation, over-crowdedness, hygiene problem and other basic services like tap water, electricity, institutions of health and education, lack of employment opportunities and they are a pivot point for crime, prostitution and drug trafficking (Ibid).
In a geographical speech, IS is situated on the outskirt of urban centers or hazardous and sensitive topographies like coastal areas, hillsides, river and lake banks, water reservoirs, areas prone to landslides and flooding, protected forests, landfill and industrial waste disposal areas, which leads the settlers to various problems (Ibid).
IS is politically subjected to the manipulation of politics and it gets politicians attentions during a period of election for the sake of support from the settlers. physically, housing units mostly are constructed by poor quality materials (Tsenkova 2008; Firew 2010; Berhanu 2015; Beka 2016;Giri 2018;Harris 2017;Lemanski and Marx 2015;Opoko 2015; Elias 2015; Avis 2016 and Ehebrecht 2014, cited in Tofic 2009).
2.1.1.1.4. The Concept of Environment and its Definition
The concept of environment consisted both biotic and abiotic things. It is “the natural world, as a whole or in particular geographical area, especially as affected by human activity” (Benedetto S., 2013:112). IS expansion has influence over the environment as it affects the environment. Some of its impacts are observable on the environment in the form of loss of vegetation, soil erosion, improper rubbish disposal and pollution on air and land.
The environment is also “the physical, chemical, biological, social and economic conditions and factors that surround people and affect all living things” (Sowman and Urquhart, 1998: 8).
2.1.1.1.5. The Importance of Environment for Humans
For the existence of humans environment’s role is fundamental and decisive and we all are dependent on the natural environment to continue in existence. It is a primary source where we look to fulfill our basic necessities for life. Therefore, environmental protection concerns humans so that it is our duty to do activities friendly as we needs it as much as it needs us. “Clean air, water and, plants, and food supplies are essential for our personal health and wellbeing. The relationship between the environment and humanity is one of interdependence” (The University of Minnesota, 2013:18).
2.1.1.1.6. Environmental Degradation
Wikipedia explained environmental degradation as the deterioration of the environment that is manifested through the depletion of natural resources like quality of air, water and soil; the destruction of ecosystems; habitat destruction; the extinction of wildlife; and pollution. It is defined as any change or disturbance to the environment perceived to be deleterious or undesirable (https//en.wikipedia.org).
2.1.1.2. Review of Theories
For the theoretical literature review relevant theories are selected which contributes for the knowledge base of the case in the study (Sinclair, 2007). It presents a different theory that discloses why that under developed nations’ cities are manifested by IS and it also looks to environmental degradation. All these theories are developed since 1920s on ward.
2.1.1.2.1. The Chicago School Theory
This theory is first appeared in 1920s and 1930s. It was the first theory which was dealt with urbanization and population settlement pattern in urban centers. For the emergence of this theory Park et al. 1925; Wirth 1938 and Zorbaugh, 1929 have contributed. These scholars have described the settlement pattern of urban centers is associated with the socio-economic and racial variations. For valuable land in the urban centers there is a strong competition with in the groups. Therefore, urban neighborhoods that socially bordered with more or less similar ethno racial and socio economic identities and accompanied behaviors and mentalities are created by groups of such kinds.
This school of thought has faced challenges by critics like Castells (1968) and rejected and on the beginning of 1970s, its basic traces were swept away through the most influential approach of the Marxist (Ayelu, 2018).
2.1.1.2.2. Urban Theory of the Marxist
As discussed above the theory of Chicago school has been challenged by Castells and other scholars that flourished Marxist approaches development regarding informality of urbanism in the 1970s. Further, Lefebvre, 1970 and Harvey, 1973 also have a trace on Marxist urban theory development. Cities are like a stage for a dramatic scene in which classes play a computational character that focused on transaction of land, as a means of wealth stream to the upward and political claims of citizenship right from the lower class is accompanied to resources and land in the urban centers (Banks, 2020). Informal sector both in terms of shelter and labor were seen by Marxist academics as internal part of the dynamics of capitalist. Subsequently on the next decades, 3 divergent views have been emerged. For the dualist informality is placed in low-income households at marginal economic activities which is unique from capitalism of the contemporary periods; for the legalist informality is separated due to adverse bureaucracy from modern economy and within the framework of structuralism it is the subordinated unit of the economy units which is associated adversely to the regular business enterprises in the economy of the capitalist (Banks, 2020 & Ghasempour ,2015).
2.1.1.2.3. Poverty Culture Wise View
It was by Oscar Lewis presented first in 1959 and he argued that a poor people share to their children is their backwardness. It means that they endure their life situation of living in shantytowns and they challenges changes of progress on the social, economic and political their life aspects. According to him suburbanization is linked to poverty and the inhabitants are immigrants and they have almost the same background of culture and differ from dwellers of the urban ( Lewis 1982 cited in Amiri and Ghanbari, 2016).
Generally, it is the hegemonic Euro and ethno centric and a biased outlook and viewed traditional society as poor, irrational and rural like modernization theory. However, poverty should not be seen as a mere consequence of of culture that transmitted from generation to generation but it is resulted from basic entitlement deterrence (Sen, 1976).
2.1.1.2.4. Liberal Theory of Informality
It supposed that IS is caused by rural-urban migration and economic marginalization and these causes are linked with capitalist economic system. It is also reflected by Todaro “rural to urban migration as aggravating factors of urban unemployment that in fact, shift rural poverty to urban poverty with all its deprivations.” (Todaro, 1987:381). Hence, according to this theory IS is considered as the byproduct of urban poverty that caused by marginalization and massive rural to urban migration. It doesn’t understand IS and rural to urban migration as a problem but important for development of the economy which serves working labor force to the employers and the way to maximize living conditions for marginalized people. ( Sheikhi, 2001; Sarrafi & Mohammadi 2005 in Veisi 2015; Amiri and Ghanbari 2016).
2.1.1.2.5 The Theory of Modernization
Modernization in this theory is described as a magnetic attraction power that brings people to urban centers for the sake of job opportunities in employer industries which speeds up economic progress, creates opportunities for education and urbanization (Martinussen, 1997). It argues that economic growth is through urbanization by maximization of the product of modern sector in under developed nations. Classical economists note that industrialization has migrated people from rural to urban centers. However, cities in under developed nations are not able serving enough jobs for the urban residents that is increasing at fast (Olajide, 2010). Consequently, poverty coupled with housing problem caused IS formation.
Furthermore, migration of people from rural to the urban centers has expanded the built-up areas and grew concern for the environment. The huge part of these built up areas are in IS form with absence of conservation rules for the environment and they are deprived of access to basic services (Weber and Puissant, 2003).
2.1.1.2.6. Human Ecology Theory
It is about the ecology of human development and it helped to understand the reason that humans behave differently when they are at work and with their family. Several psychologists have fallen by the impact of this theory with respect of its analyzing manner about humans and their influence on the system of environment and other theorists are basing their work on it (Bronfenbrenner, 1994). According to this theory human development is under the influence of various systems of the environment. It was developed by the popular psychologist Bronfenbrenner and published in 1979 (Bronfenbrenner, 1994).
Humans influence over the environment is determined by many factors including their socio-economic status and their demand for house. Their immediate need of house results IS and in turn it causes environmental degradation. Bronfenbrenner investigated the interrelationships of humans with their surroundings and interactions regarding different levels of the ecology to comprehend hidden impacts the levels have over individually (Nhlapo, 2013). It considers environmental aspects beyond the situation that surrounded the subject immediately.
6 models of human development ecology are formulated in this theory. From the smallest to the biggest they are individual, microsystem (family), mesosystem (environment), exosystem(culture), macro system(social support), and chrono system (Bronfenbrenner, 1994). These models depicts the relationship humans have with the environment and what their social status states about the way they treats the environment.
The behavior of individuals in relation to their culture; socio-economic situation in light of their need for housing, house ownership, pattern of settlement, and quality have been taken in to account in the model (Saegert et al, 2003).
In response and management of IS policies, strategies, and approaches are different in terms of state, regime, time and started to change by the intervention of trans-national organization and the prescription of policy by UN and WB (Lemanski and Marx,2015; Jemal, 2019). Negligence, self-help policies, site and services, enabling policies and participatory upgrading approaches are measurements to address IS (Giri,2018). . On the other hand laissez faire, slum upgrading and security of tenure policies are presented in (Mensah, 2010 in Jemal, 2019). Eviction and demolition, low cost housing, aided self-help schemes are also measures as identified by (Fegue,2007). Generally, socio-economic, political and environmental issues have important influences on measures over IS. Below are some of the common approaches briefly discussed.
Eviction and demolition were the first kind of measure over IS around the globe and even now a days it is being applied in some countries like Ethiopia (Fegu, 2007). It can be classified in to soft and hard eviction and demolition. The hard scheme does’t have compensation for the evicted settlers because they are considered as criminals. The soft scheme is linked with a modest compensation package or resettlement plan frequently on the periphery areas. Both alternatives looks IS as a challenge. In the context of Ethiopia the former that is hard eviction and demolishing scheme is almost in all times was being used. In this regard the current demolishing campaign of settlements which are located to the adjacent of Jemo No.2 condominium site in the area where according to a recent demarcation is became integral part of Oromia regional state is a good example (Addis Zemen, 2015). Governments were justified the eviction and demolition scheme “on the grounds of improvement and beautification of the city, removal of centers of crime and health hazards, and more intensive and lucrative use of land in strategic locations.” (Berner 2001:295 cited in Billing, 2011) However, it has faced protest from a number of human right organizations and scholars for its side-effects like the cut of the settlers’ social fabrics (Ibid).
In Addis Ababa demolishing was used to resolve IS problem. By this in the past few years thousands of IS were demolished. Office for the revision of Addis Ababa master plan (ORAAMP, cited in Daniel,2006) indicated that 54% of the total 2000 hectares that was occupied by IS should be demolished and resettle. It was because the settlements were on important sites identified for the objective of business and industry zones, public land marks and green areas. But demolishing with no alternatives for the settlers had never been stopped IS expansion and it will never basically resolve the problem for future. Therefore, as best solution it needs to complement bulldozing by housing led intervention but demolishing alone aggravates the housing needs and scarcity and as a result the appearance of informal settlements on other new sites and the proliferation of the existing informal settlement areas.
It was launched to solve acute housing problem and to tackle IS in Africa, Asia and South America through the development of houses in low cost for the people who earns low income. The program has been scored some encouraging achievements on Singapore and Hong Kong but was not succeeded in African nations with the exception of few nations; Ivory cost, Senegal and Tanzania because of different bottlenecks like problem of finance, bureaucracy and corruption (Fegu, 2007).
Since its emergence in the 1970s up to 1990s it got promotion and WB was the main promoter. It was because IS has took place as permanent occurrence (UN 2003; Benton, 1994, in Giri 2018). It contained basically serviced land delivery to families relocated from IS to encourage them to construct better houses (Brakarz & Jaitman, 2013).
The approach had 4 main goals: These were residential building plots, public utilities, neighborhood facilities and contractual arrangements (Fegu, 2007)
It was influenced by the leftist ideology in Africa, and by Abrams and Turner works this strategy. ‘Pseudo’ the western housing standards of the middle-class, and environmental plan was protested by the leftist ideology in africa from 1970-80s. Further it has been advocated the local materials, products and traditional house making techniques (Fegu, 2007).
It is applied to any sector oriented intervention on the settlements that result in quantifiable improvement in the quality of life of the residents affected (Abbott, 2008). This means that there is a range of potential interventions that will play a significant role in determining the success of upgrading projects that seek to transform an illegal and sub standards environment through capital intensive intervention.
Upgrading with the active involvement of informal settlers and other stakeholders as a strategy has a continuum of improvement spheres which includes social, economic, physical and environmental improvements of the urban landscape. Similar to a scheme of sites and services, it has a multi-dimensional aims of environmental hazard mitigation, delivery of basic services (garbage management, water and sanitation, sewerage, road for vehicles and pedestrians and electrification), assuring tenure security, education and health care access improvement. For the program achievement active democratic participation at grassroots level, community based development and good governance are decisively vital (Fegu, 2007).
Despite its limitation thousands of parcels have been delivered for the city dwellers of Addis Ababa. As instance, starting from 1990 within 6years about forty thousand parcels provided to various uses and among it, it was a residential use that took the lion-share. For housing purpose up to 175 sq. m was given free of charge targeting low-income part of the city residents. Residential land use has gained a particular attention. From forty thousand parcels transferred for the users on the past six years housing cooperatives have received around 60% though there is still a wide deference gap in supply and demand (Daniel, 2006).
In 1992 the city government of Addis Ababa was issued a regulation “known as regulation No.1”. And it became in effect to regularize occupations held until the survey date of the title deed that is July, 1996. Researches on IS indicates that there is no efficient and equitable land use in IS. Therefore, assuring land tenure security through regularization can solve the problem (ORAAMP, 2001 cited in Daniel, 2006). Daniel suggested the following five basic procedures to be followed in land regularization process.
- Study the pattern of land development and utilization;
- Specify the minimum and maximum allowed land for housing;
- Select the best plot development option;
- Prepare detail plan;
- Act accordingly in collaboration with kebele, and the co De Soto H. (2000) De Soto H. (2000) mmunity. ” (Daniel,2006:37)
Furthermore, the influential planning intellectual man De Soto H. has suggested the grant of legal titles as a cure for cities with a problem of IS. Simultaneously it will enable the poor to create wealth.
In his idea property ownership right gives warranty for investments on land and encourages developmental activities which are necessary for economic growth (Fernandes, 2002).
The Gorica Roma settlement is located in Sarajevo with approximately 60 households who occupied a land parcel that is partially owned by a state-owned enterprise and the rest by the Municipality. Later on the 1996 war, families returned to Gorica after being displaced and they have reconstructed homes beside the eviction threat from the occupation that was proposed for parking was obvious. The Gorica residents association has brought many international organizations to their sides, including the Organization for Security and Co-operation in Europe, the Office of the United Nations High Commissioner for Human Rights and Office of the United Nations High Commissioner for Refugees, as well as donor organizations, to resolve permanently its housing situation. The association pressed its case with all competent municipal departments through meetings, letters and public protests. The process of regularization was started with re-zoning for residential uses, compensation of the State enterprise by the municipality and in 2002 transfer of ownership to Roma residents. The municipality was concerned of housing adequacy and from the donors assurance was sought for the provision of housing adequately. From the experience of Gorica lessons can be drawn that are useful for the coming regularization. The community’s persisted involvement in the effort to end their unsecured tenure has enabled them for the achievement of their IS regularization. of their settlement. In summary, the following are important points to be taken as a lesson from the Gorica Roma informal settlers’ community effort of securing tenure for the land they were inhibiting on. Partnerships are instrumental in overcoming the legal, political and financial challenges involved in regularizations. The Roma community of Gorica cultivated good working relationships with local government, civil society and international organizations.
- Regularizations require inventive solutions such as rezoning, compensation and reassurances for housing improvements and follow up investment.
- Partnerships are instrumental in overcoming the legal, financial and political challenges involved in regularization. The Gorica Roma community have been cultivated good working relationships with civil societies , local government and international organizations.
- Regularizations require long term commitment. It took 15 years from the first expropriations to the final step to fully secure the tenure of the residents of Gorica (OSCE, 2006 cited in UNECE, 2009).
A new legislation in Armenia has promoted informal settlers to appeal voluntarily for the State Real Property Cadaster Committee to get its recognition of the ownership rights over their property in return the settlers are required to be charged based on the amount of the area of their house surface or the occupied land parcel as described in the legislation. Their application for recognized tenure security will be answered if the property is not in conflict with urban development norms; limit the right of people and the property must be safe. Ownership right is recognized if the land has fulfilled cadastral requirements. In the law leasing is included for land/ property and the lease charge is determined. This encouragement of regularization has legalized about three hundred twenty thousand illegally built houses (UNECE, 2003 cited in UNECE, 2009).
The emergence of IS in Greece dates back to the 1950s. Causes of IS in Greece are revolved through the years and are complicated. To down the scale of expansion attempts have been made by applying procedures to subjugate IS to the city with concurrent improvements on urban planning and with tough penalties in parallel, or locally through extensions of the existing urban plan and resettlement in some cases. However, none of them have stopped new IS formation. Due to the lack of modern tools like national cadaster and special information infrastructure most of the projects have proven to be time-consuming and costly but some of them have been successful. Many upgrading and regularization projects have been carried out since 1982, as urban regeneration projects.
The Hellenic Chamber of Commerce has forecasted that 15% of the total population sheltered in IS. In IS of the “new generation” one or two stories on the area of 1,000–1,500 m2 plots of land are built. According to studies report 31,000 IS are developed per a year that equates a size of small town (Potsiou and Ioannidis 2006, Potsiou and Muller 2007, Potsiou and Dimitriadi 2008 cited in UNECE, 2009).
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