Successful slum upgrading projects must acknowledge the causes of informality. This thesis examines existing literature and a case study of Portelinha, an informal subdivision in Rio de Janeiro’s North Zone. The literature stresses the use of participatory processes to determine community needs. However, due to resource constraints, the participatory research process is substituted by a case study method that analyzes data collected using a variety of methods including site visits and a socioeconomic survey.
Site visits, interviews, socioeconomic survey, and satellite images all contribute to the case study of Portelinha. The site visits provide qualitative data about the housing stock and community dynamics in Portelinha. Information gathered from interviews gives a professional perspective on favela upgrading projects. The socioeconomic survey contains information about the lives of the residents in Portelinha. And the satellite images show spatial dynamics of the area.
This thesis draws on the author’s experience in Portelinha and the literature review to build a framework for slum upgrading. Specific recommendations are also submitted regarding the best course of action for planning in Portelinha. The researcher finds that the morphology of Portelinha is rapidly changing, so that open space needs to be preserved. The surrounding area lacks adequate green space and tree canopy, though the rights-of-way provide enough space to plant street trees. Within Portelinha, there are numerous safety hazards that could be improved with minimal investment.
Slum-upgrading policies should address three aspects of informality: regulatory, physical, and sociopolitical. Regulatory issues include legalization of land tenure security and minimum requirements for building safety codes. Physical issues address slowing growth and improving access to open space and landscaping. And the sociopolitical dimension requires that slum residents be empowered to participate in upgrading projects. By employing this three-level approach, development workers can improve the housing situation for low-income residents of developing nations.