Learning from Informal Settlements in Iran Mahyar Aref Learning from Informal Settlements in Iran

Models, Policies, Processes, and Outcomes Mahyar Aref Department of Planning and Landscape Architecture University of Texas at Arlington Arlington, TX, USA

ISBN 978-3-319-78407-6 ISBN 978-3-319-78408-3 (eBook) https://doi.org/10.1007/978-3-319-78408-3

Library of Congress Control Number: 2018937864

© The Editor(s) (if applicable) and The Author(s) 2018 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifcally the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microflms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specifc statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affliations.

Cover photo: © Mahyar Aref

Printed on acid-free paper

This Palgrave Macmillan imprint is published by the registered company Springer International Publishing AG part of Springer Nature The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland Preface

The World Bank’s loan to the Iranian government in 2004 has stimu- lated a new policymaking discourse surrounding the enablement of informal settlement residents. Some view this loan as a new opportunity to revamp the previous ineffective policies that worked against the welfare of low-income people. Others, however, view it not as a fnancial impetus for welfare development per se, but as a new rhetoric that has enriched the conventional condescending and blaming the victim mentality of decision-makers toward low-income people. Notwithstanding these divergent views, the loan was granted for a period of fve years with the possibility of extension for seven more years. The Iranian government discontinued the second phase and, instead, decided to unilaterally pur- sue and capitalize on the outcomes achieved during its frst phase. Exploring the legacy of the World Bank’s enablement initiative in Iran, the following represents the four broad themes that emerged from the collected data on informal settlements. This legacy refects the challenges and prospects experienced during the community enabling and self-fulfllment initiative in the fve pilot cities of Sanandaj, Bandar Abbas, Tabriz, Zahedan, and Kermanshah:

1. Models: represent the lending practices and procedures of various global (The World Bank, the IMF, or UN-HABITAT) or national (urban renewal and reconstruction initiatives) institutions; 2. Policies: highlight the top-down or bottom-up strategies of enablement that stem from the abovementioned umbrella models;

v vi Preface

3. Processes: address gradual transformations from self-fulfllment, self-effcacy, or meaning to market enabling, community enabling, and political enabling to formalization, adaptation, or integration; and 4. Outcomes: illustrate the extent to which these models, policies, or processes were effective and successful in obtaining their set goals.

Despite the apparent implementation shortcomings of the World Bank’s initiative in Iran, important lessons emerge. These lessons, in their own rights, have important policy implications. Sanandaj exemplifes a strong case of community empowerment observed in road repair and street and infrastructure upgrading, while Kermanshah epitomizes institution building empowerment from participating in social activities initiated by different institutions, i.e., hospitals, vocational schools, or local mosques. Zahedan represents social/individual empowerment where women were elected as honorary mayors. Bandar Abbas also showcases physical empowerment through physical upgrading. Tabriz characterizes empowerment through infrastructure upgrading and honing interpersonal skills with an emphasis on producing local handicrafts. It is thus important for policymakers and urban management decision-makers not to discount these overarching potentialities in upgrading informal settlements. Although many public offcials still consider informal settlements as threats and liabilities to urbanization, the outcomes of the World Bank’s enablement loan to Iran have been eye-opening. So much so that the informal settlement question came up during the 2017 TV presidential debate series, where the six candidates devoted quite a bit of time convincing their opponents and constituen- cies that if elected, they have plans to deal with it. One candidate even tried to correct another candidate’s 11 million fgures to 16 million as the more accurate estimate of the total number of informal settlement population. Open debates on a highly sensitive public concern are a major accomplishment in a country where some government offcials still consider the whole empowerment effort futile and useless; a path that if followed only squanders public resources and encourages illegal behavior. Considering that such beliefs do not necessarily refect isolated incidents of outliers in response to informality and very much represent the common perception of many decision-makers across the country to the same issue, then a change of heart in the opposite direction PrEFACE vii is a major success. Policymakers, especially at the local level, ought to do everything in their power to build trust rather than display dismissive attitudes. On a different note, our hearts go to the victims and survivors of the recent earthquake in Iran. Dispatching aids to those who suffered and survived this devastating earthquake in Kermanshah (7.3 on Richter scale) was equally eye-opening in that spontaneous bottom-up informal efforts can have far-reaching positive consequences. The outpouring of emotions and rapid response exemplify the positive aspects of informality where quick adaptation to new situations could end up saving lives. As an effective coping mechanism, adaptation helps people to stabilize and normalize after natural calamities such as earthquakes strike. Adaptation along with formalization and integration emerged as the three big lessons from the Iranian informal settlements. While informal settlements’ residents constantly adapt, some may transition into formalization (or legalization) as the second and integration as the third and fnal phase (both physically as well as culturally and socially) of what I consider the “enablement process.” The latter two phases (formalization and integration) may or may not necessarily materialize in any given informal settlement for various reasons including red tape against their legalization or formalization and the social stigma and negative collective perceptions surrounding their integration into the rest of the city. Be that as it may, adaptation altogether has far-reaching consequences that go beyond informal settlements, encompassing other types of urban challenges fac- ing our cities from natural disasters to dealing with blighted areas, and even DIYs or different kinds of insurgent urbanisms.

Arlington, USA Mahyar Aref Acknowledgements

The earlier version of this study (The Paradox of Empowerment) was prepared in collaboration with Neda Mohsenian-Rad, a research assistant at the School of Planning, University of Cincinnati. She was involved in the literature review, data collection, analysis, and fndings from September 2014 to May 2016. Special thanks go to the Redevelopment Organization in Iran, especially Mohammad Saeed Izadi, Deputy Minister for Roads and Urban Development Ministry, and Mona Erfanian Salim whose encouragements and supports have made this study possible. I am also grateful to Kyoomars Irandoust, Parviz Piran, Mozaffar Sarraf, Pooya Alaedini, Majid Rousta, Mojtaba Rafeian, Guiti Etemad, Hooshmand Alizadeh, Kamal Athari, Kasra Ashory, and many others without whose help this research would not have materialized.

Arlington, TX, USA January 2018

ix Contents

1 Introduction 1 References 8

2 Revisiting the “Informal Settlement” Phenomenon 9 2.1 A General Overview 9 2.2 The Formal–Informal Nexus 15 References 21

3 Informal Settlements and Urban Management in Iran 23 3.1 A Brief History 23 3.2 Informal Settlement Policies in Iran 26 3.3 The World Bank’s Loan and the Enablement Initiative in Iran 29 References 37

4 The World Bank and Slum Upgrading 39 4.1 Physical Upgrading Loans 39 4.2 The Enablement Initiative 42 References 50

5 Five Target Cities 53 5.1 Bandar Abbas 53 5.2 Kermanshah 55

xi xii Contents

5.3 Sanandaj 57 5.4 Zahedan 58 5.5 Tabriz 60 References 68

6 Enabling Informal Settlements 71 6.1 The People- vs. Place-Prosperity Distinction & Informality 71 6.2 Enabling Informal Settlement Through Formal Planning 75 References 79

7 Research Design, Data Collection, and Preliminary Clues 81 7.1 Introduction 81 7.2 Research Design 83 7.3 Data Collection and Analysis 93 7.4 Preliminary Clues from the Target Cities 105 7.5 Conceptualizing the Outcomes 107 References 113

8 “Enablement” in Target Cities 115 8.1 Introduction 115 8.2 Synthesis 116 8.3 Models, Policies/Processes, and Outcomes 121 References 148

9 Gleaning Some Lessons and Refections 151 9.1 Introduction 151 9.2 The Formal/Informal Nexus Revisited 158 9.3 Threats, Prospects, and Myths Surrounding Enablement 164 9.4 Postscript 177 References 181

References 183

Index 193 List of Figures

Fig. 5.1 The location of fve target cities on Iran’s map (Source Neda Mohsenian-Rad) 62 Fig. 5.2 a and b Views from Dareh Panjshir, Zahedan 63 Fig. 5.3 Tabriz (Courtesy Mozaffar Sarraf) 64 Fig. 5.4a Sanandaj 64 Fig. 5.4b Sanandaj (Source Courtesy: Mozaffar Sarraf) 65 Fig. 5.5a Bandar Abbas Nayband Shomali and Jonubi 65 Fig. 5.5b Bandar Abbas (Source Courtesy: Mozaffar Sarraf) 66 Fig. 5.5c Bandar Abbas (Source Courtesy: Mozaffar Sarraf) 66 Fig. 5.6a Kermanshah (Jafarabad) 67 Fig. 5.6b Kermanshah (Source Courtesy: Mozaffar Sarraf) 68

xiii List of Tables

Table 2.1 Strategies/policies adopted in response to informal settlements and their relationships to regulation vs. regularization (Source Author) 14 Table 7.1 The conceptual framework illustrating goals, standards, indexes, and scales of people- vs. place-based interventions in the Iranian informal settlements 98 Table 7.2 Comparing fve target cities for goals, standards, indexes, and scales of intervention (Source Consulting frms reports) 110 Table 8.1 Three emergent themes and their challenges 116 Table 9.1 Comparing and contrasting informal vs. formal planning processes 161 Table 9.2 ranking the accomplishment of the enablement goals 172 Table 9.3 Comparing top-down vs. bottom-up outcomes 173