2.1. POVERTY, INEQUALITY and SLUMS in RIO de JANEIRO 2.1.1. Poverty and Inequality in Rio de Janeiro 2.1.2. Informal Settlements in Rio de Janeiro

Women – widows in particular – , children, unemployed youths and disabled people have all been identified as the most vulnerable amongst the poor, as have female-headed households and certain ethnic and religious groups. Source: UN Habitat 2006/7

2.1. POVERTY, INEQUALITY AND SLUMS

Poverty is a terminology used to indicate the situation of not having enough possessions, food or income to satisfy one's basic needs to linger on. People in poverty are lack of choices and opportunities. They cannot fully participate in society due to some deficiencies. It is a violation of human dignity, according to United Nations. While according to Work Bank, poverty is "deprivation in well-being, and comprises many dimensions. It includes low incomes and the inability to acquire the basic goods and services necessary for survival with dignity. Poverty also encompasses low levels of health and education, poor access to clean water and sanitation, inadequate physical security, lack of voice and insufficient capacity and opportunity to better one's life".

The World Bank research observer Martin Ravallion indicates in his article How Long Will It Take to Lift One Billion People Out of Poverty? that 1.2 billion people lived in poverty in 2012, using a poverty line $1.25 a day. In addition, it would take 100 years to bring those 1.2 billion people to poverty line. (Hickel) UNICEF estimates half the world's children (or 1.1 billion) live in poverty. In October 2015, World Bank readjusted the poverty line as $ 1.90 a day. The reason of poverty does not have to be caused by lack of income all the time. Although most of the countries consider poverty related to economic conditions mostly, there are also other aspects of poverty. Their poverty might be derived from the lack of enough, lasting and safe aids which can help them through though times. Also condition of being poor might arise from living with too many people under the same roof, which leads unhealthy, insecure and low quality environments. Also deprivation of access to clean water, adequate sanitation, health care or education causes for one being in the condition of poverty. Social aspects of poverty is significant to be considered as well: It might be derived from also because if people are not protected by laws and regulations concerning civil and political, as well as economic, social and cultural rights, discrimination and environmental health. UN Habitat described the different dimensions of urban poverty as follows: • Low income: consisting of those who are unable to participate in labour markets and lack other means of support, and those whose wage income is so low that they are below a nominal poverty line; • Low human capital: low education and poor health are the components of ‘capability poverty’ used in the UNDP HDI. Health shocks, in particular, can lead to chronic poverty; • Low social capital: this involves a shortage of

networks to protect households from shock; weak patronage on the labour market; labelling and exclusion. This particularly applies to minority groups; • Low financial capital: lack of productive assets that might be used to generate income or avoid paying major costs (for example, a house, a farm or a business).

In order to measure poverty, most countries generally use the systems based on income level. Although it can change locally (since the reasons and types of poverty are different everywhere in the world) commonly 2 types of poverty is used to indicate the level and type of poverty. Absolute poverty contains people who cannot even afford to have a "minimum basket" of goods which are determined to indicate the poverty line. Minimum basket of goods sometimes can include only food and water for minimum nutrition, although it should include also clothing, shelter, transportation and education as a part of basic needs. Relative poverty contains people below some threshold, which is usually a percentage of average income of locals. As a result, it is possible to say that while relative poverty depends on the life standarts of the other people in the community, absolute poverty indicates the people who are poor of poor regardless of the situation of other people in the community they live in. While contemporary cities created poverty, meanwhile they also created wealth, as well as included and excluded. (Horns, 2002). In April 1998, there was an UN conference in New York and it was pointed out that although the Cold War period is over, the inequality in the world continues to grow day by day. "The gap between the richest 20% of the world and the poorest 20% has doubled the past 10 years. Further, 358 billioners controls the assest equivalent to the assets of the poorest 45% of the world's population."(Horns, 2002). Due to the rapid developments in trade, telecommunication and technology sectors especially in 1990s, the distances were reduced in the world and people could expand their networks. They could do business without a necessity of being physically together, which allows the companies and enterpreneurs drum up their funds. As a result, the people who already are or have a higher chance to be in better conditions economically started to earn even more money, while unqualified people had more difficulties in finding job opportunities in the world which is evolving in a more robotic and technological era. Therefore, their conditions of being poor were reinforced by these factors. The globalization kept enhancing the inequality and insecurity, social injustice and poverty.

At the end of 20th century, a general mood of pes-

INFORMATION BOX The list of the constituents of Urban Poverty by United Nations Global Report on Human Settle- ments: "The Challenge of Slums", 2003 The Constituents of Urban Poverty

1. Inadequate income (and thus inadequate consumption of necessities including food, safe and sufficient water; problems of indebtedness, which significantly reducing income available for necessities).

2. Inadequate, unstable or risky asset base (non-material and material including educational attainment and housing) for individuals, households or communities.

3. Inadequate shelter (typically poor quality, overcrowded and insecure).

4. Inadequate provision of ‘public’ infrastructure (eg piped water, sanitation, drainage, roads, footpaths) which increases the health burden and often the work burden.

5. Inadequate provision for basic services such as day care/schools/vocational training, health care, emergency services, public transport, communications, law enforcement.

6. Limited or no safety net to ensure basic consumption can be maintained when income falls; also to ensure access to shelter and health care when these can no longer be paid for.

7. Inadequate protection of poorer groups’ rights through the operation of the law, including laws and regulations regarding civil and political rights, occupational health and safety, pollution control, environmental health, protection from violence and other crimes, protection from discrimination and exploitation.

8. Voicelessness and powerlessness within political systems and bureaucratic structures, leading to little or no possibility of receiving entitlements; of organizing, making demands and getting a fair response; or of receiving support for developing their own initiatives.Also, no means of ensuring accountability from aid agencies, NGOs, public agencies and private utilities or being able to participate in the definition and implementation of their urban poverty programmes.

simism occured and sustainability threatened (UN Habitat 2006/7). United Nations indicates a couple of main issues as the reasons such as increase of globalization, rapid urbanization and population growth under conditions of economic stagnation, improved access of the ‘local’ to the ‘global’ and, lastly and leadingly, the retreat of the state from its protective and supportive roles. As a result, people tried to find their own solutions for poverty, starting to look for a shelter as a basic element to survive and it causes the creation of slums due to the lack of social and affordable housing. In order to deal with slum problems, it is necessary to understand first what the term slum corresponds.

In the International Encyclopedia of Human Geography, a slum is defined as a residential area with substandard housing that is poorly serviced and/ or overcrowded and therefore unhealthy, unsafe and socially undesirable (Harris R., 2009). While the term can be used for a single dwelling, it is generally used to refer larger urban areas. The term slum household is defined by UN - Habitat as a group of individuals living under the same roof in an urban area who lack of durable housing of a permanent nature that protects against extreme climate conditions, sufficient living space (not more than 3 people sharing the same room), easy access to safe water in

Income Inequality

Lack of Economic Growth In-Migration

Poverty

Lack of Affordable Housing

Slum Formation

Figure 2.1. Inequality, poverty and slum formation. Source: United Nations

sufficient amounts at an affordable price, access to adequate sanitation in the form of a private or public toilet shared by a reasonable number of people and lastly security of tenure that prevents forced evictions. One or more of the mentioned features above determines if that settlement is considered as slum or not. The level of deprivation of slums depends on how many of the five conditions that define slums are prevalent within a slum household (UN-Habitat

358 billioners in the world controls the assest equivalent to the assets of the poorest 45% of the world's population.

924 million people lived in slums in the world, which is equal to 31.6% of global urban population, according to an estimation from 2001. 2006/7). Slums stand as a visual reflection of urban poverty in developing world. Slums can be grouped into 2 categories according to United Nations:

Slums of Hope: ‘progressing’ settlements, which are characterized by new, normally self-built structures, usually illegal (eg squatters) that are in, or have recently been through, a process of development, consolidation and improvement;

Slums of Despair: ‘declining’ neighbourhoods, in which environmental conditions and domestic services are undergoing a process of degeneration.

An estimation from 2001 indicated that 924 million people lived in slums in the world, which is equal to 31.6% of global urban population (UN Habitat 2006/7). South Asia, especially India has the one third of the world’s slums with approximately 319 million dwellers (in 2001). Urban populations grew faster than the capacity of cities to support them; therefore, slums increased, particularly in South Asia. South Asia is followed by Eastern Asia and Latin America with 194 million and 128 million slum dwellers respectively (Fig. 2.2).

To sum up, it is possible to say that slums have always been existed in the history, just like its poor

54 M 41 M

187 M 319 M

128 M

194 M

South Asia

Eastern Asia Africa

Latin America Developed Regions

Western Asia

Figure 2.2. World distribution of slum dwellers (millions) by region, 2001. Source: United Nations

inhabitants. Their numbers have increased with the globalizing world as a result of inequal wealth and injustice among societies, lack of affordable housing and poverty. The basic characteristics of slums are lack of basic services, substandard housing or illegal and inadequate building structures, overcrowding and high density, unhealthy living conditions and hazardous locations, insecure tenure; irregular or informal settlements, poverty and social exclusion and minimized size of settlements (Table 2.1). Since the 1970s the preferred intervention has been slum upgrading. The discourse of slums has always been contested. (Harris R., 2009)

Table 2.1. Indicators and thresholds for defining slums Source: U.N. Global Report on Human Settlements: "The Challenge of Slums", 2003

Characteristic Indicator Definition

Access to water

Access to sanitation

Structural quality of housing

Overcrowding

Security of tenure Inadequate dringking water supply (adjusted MDG Indicator 30)

Inadequate sanitation (MDG Indicator 31)

a. Location

b. Permanency of structure

Overcrowding

Security of tenure (MDG Indicator 32) A settlement has an inadequate drinking water supply if less than 50% of households have an improved water supply: • household connection; • access to public stand pipe; • rainwater collection; with at least 20 litres/person/day available within an acceptable collection distance.

A settlement has an inadequate sanitation if less than 50% of households have an improved sanitation: • public sewer; • septic tank; • pour-flush latrine; • ventilated improved pit latrine. The excreta disposal system is considered adequate if it is private or shared by a maximum of two households. Proportion of households residing on or near a hazardous site.The following locations should be considered: • housing in geologically hazardous zones (landslide/earthquake and flood areas); • housing on or under garbage mountains; • housing around high-industrial pollution areas; • housing around other unprotected high-risk zones (eg railroads, airports, energy transmission lines). Proportion of households living in temporary and/or dilapidated structures.The following factors should be considered when placing a housing unit in these categories: • quality of construction (eg materials used for wall, floor and roof); • compliance with local building codes, standards and bylaws.

Proportion of households with more than two persons per room.The alternative is to set a minimum standard for floor area per person (eg 5 square metres). • Proportion of households with formal title deeds to both land and residence. • Proportion of households with formal title deeds to either one of land or residence. • Proportion of households with enforceable agreements or any document as a proof of a tenure arrangement. A slum is defined as a residential area with substandard housing that is poorly serviced and/or overcrowded and therefore unhealthy, unsafe and socially undesirable

The richest 10% of the Brazilians earning the 42.7% of the total income of the Brazil and the poorest 34% having less than 1.2% of the nations income. 2.1.1. Poverty and Inequality in Rio de Janeiro

Poverty and inequality is an important issue also in Brazil which affects the lives and the cities crucially. According to the news of The Rio Times, more than 50 million Brazilians live below the poverty line. Data reliesed by IBGE in December 2017 indicates that approximately 25% of the population live below the poverty line and have family incomes of R$ 387.07 per month, nearly US$ 5.50 a day.

Not only poverty, but also inequality among citizens in Brazil another problematic area. Brazil is one of the first countries which comes to minds when inequality between rich and poor is discussed. The richest 10% of Brazilians earning the 42.7% of the total income of Brazil and the poorest 34% having less than 1.2% of the nation's income. These numbers conspicuously prove that half of the total money of Brazil is controlled by only 10 percent of its population. Rio de Janeiro is one of the first cities which inequality among citizens concretely exists. This economic disparity shows itself not only in salaries but also in urban planning, public services and social issues. The gap among people creates social tension, fear and hatred which causes unwanted living environments and violence in the city. Poverty and health-based inequalities also attract the attention in Rio and aggravate in urban settings, which is possible to encounter with huge differences of living conditions among citizens. In the journal Cadernos de Saúde, urban health inequalities in Rio de Janeiro is analysied. This study generated an Urban Health Index (UHI) for the all neighbourhoods of Rio de Janeiro for the years 2002 and 2010 (Fig 2.3 and 2.4). This index involves 8 different indicators by using the data of mortalities as base: diabetes, ischaemic, heart disease, breast/cervical cancer, tuberculosis, HIV, homicides, traffic accidents and infant mortality. The results show that from 2002 to 2010, there is an improvement in the inequality and UHI values and slight increase in diabetes and tuberculosis inequality. However, the results demonstrated that, health of people in Rio de Janeiro continues to be unequally distrubuted (Rio on Watch). Bivariate correlation analyses at the neighborhood level revealed that the medical situation of the citizens are affiliated with their economic and social situations. Square meter price of an average apartment in any of the neighbourhood, as well as its distance to city center are directly proportional to the UHI. Moreover, singe indicators like diabetes, tuber culosis, homicide and infant morality display higher correlation and functions as the finest source of socio-environmental situations (Rio on Watch).

Urban Health Map of Rio de Janeiro by Administrative Regions 2002

0.00 - 0.77 0.77 - 0.81 0.81 - 0.84

Urban Health Map of Rio de Janeiro by Administrative Regions 2010 0.84 - 0.88 0.88 - 1.00

Fig. 2.3, 2.4 Urban health maps of Rio de Janeiro, 2002 and 2010. Source: RionOnWatch

75 years

It is the time Brazil needs to reach the current income equality level of United Kingdom, and needs 60 years to reach Spanish standarts. Among its neighbors, Brazil is 35 years behind Uruguay and 30 years behind Argentina.

2047

It is the year that Brazilian women would close the wage gap. Also Black Brazilians will earn the same as white Brazilians in 2089 with the current pace of improvement.

6vs 50

They are the numbers which indicate that 6 richest men have the same wealth as poorest 50% of the population; around 100 million people. The country's richest 5% have the same income as the remaining 95%

36 years

This is the number of the years for the 6 richest men of Brazil to finish their total wealth if they spend 1 million Brazilian reals every day (around $319,000). While 16 million Brazilians live below the poverty line.

Income Share Held by 20% the Most Wealthiest of Brazil

% of Population

68

66

64

62

60

58

56

1985 1990 1995 2000

Poverty Headcount Ratio at $1.90 a day (2011 PPP) % of Population

30

25

20

15

10

5

0

1985 1990 1995 2000 2005

2005 2010

2010 2015

2015 Figure 2.5. Income share held by 20% the most wealthiest of Brazil. Source: World Bank Data.

Figure 2.6. Poverty Headcount Ratio at $1.90 a day (2011 PPP) Source: World Bank Data.

“Here where I live there are only poor people, houses of nondurable materials, when it rains everything gets flooded. To get anywhere is difficult, and transport takes an important part of my working income ” (João Inacio, Invasions in the West Zone). 2.1.2. Informal Settlements in Rio de Janeiro

Effects of inequality is visible the most in the urban fabric. Slum areas form high percentage of the residentials for the low income families and they are located in direct proximity to high income residentials and regions. Like many slum areas in the world, also in Rio de Janeiro, the main reasons of the formation of slums caused by lack of affordable housing for poor population and also desire to be proximate to labour markets. There are several types of informal settlements in Rio, which can be listed under 4 titles:

a) Squatter Settlements (Favelas) : Favelas can be defined as highly consolidated invasions of public or private land with self-build developed by the poor on lands lacking infrastructure and without following any kind of plans. They exist in large numbers and are spread across the city. Recently around 1.4 million people live in the favelas in Rio de Janeiro. Favelas is the main focus point of this thesis, therefore it is going to be analysied deeply in the following chapters.

b) Illegal Subdivisions (loteamentos irregulares) : Loteamentos are illegal subdivisions of land that lack infrastructure and do not comply with planning rules, but normally have some kind of urban physical order. It is one of the fastest-growing types of informal settlements in Rio (Perlman, 2010). They are considered irregular when have been submitted to the planning authorities but have not complied with the legal urban requirements, and clandestine when have not been submitted to the planning authority at all. They are generally located in the West Zone of the city, hiding behind the large buildings or grazin lands illegally.

c) Invasions (invasões) : These consist of irregular occupation of public or private land still in the process of consolidation. They are frequently located on riverbanks, swamps, hills or in residual public areas, such as under viaducts and along roads throughout Rio.

d) Cortiços: Social housing formed by one or more buildings located in a single plot or shared rooms in a single building. The rooms are rented or sub-leased without any contract or legal basis. The dwellers share the use of bathrooms, kitchen and laundry, and sometimes, electrical appliances. Houses lack proper ventilation and lighting, are frequently overcrowded and one room may house many people and accommodate different uses. Services are deficient and do not have adequate maintenance required for good working and security (Xavier, Magalhães). However,

the number of corticos reached very small part of the population or Rio.

e) Conjuntos: Technically, conjuntos does not technically belong to "informal settlements", due to the fact that they are offical residential complexes supplied by the government. However, they stand in a position between illegal settlements and formal city. Conjuntos are not included in the city grid, they are occupied by fairly low income families and they are not in the police protection area, they are called favelas and considered as one of the informal settlements (Perlman, 2010).

The people of Rio de Janeiro is called as "Cariocas" by Brazilians and they have also local terms to refer slums such as “Cortiço” and most commonly “Favela”. However, the word Favela gained a negative connotations that nowadays people have been using "Morro" means hill, or "Communade Popular" means popular community or shortly "Communade" (Perlman, 2010) . “Loteamento” is used to distinguish someone who lives in a settlement more regular than a favela; a broad term generally used to name illegal subdivisions. “Vilas periféricas” is a recent typology frequent in the periphery of the city that is constituted by a row of bedrooms sharing kitchen and laundry facilities and “Vila, Parque and Jardim” are the terms used recently to name old illegal subdivisions that have received public infrastructure and services (Xavier, Magalhães).

The official definition of the term "favela" , used for the first time by the IBGE in the 1950 census, states that a favela is a human conglomerate with the following requirements: - in terms of minimum dimensions, it must be a grouping made up of at least 51 housing units; in terms of the type of home, there must be a predominance of shabby shacks or huts with makeshift materials; - in terms of the legal condition of the occupied area, the constructions must be without permission and built on third party land or property of unknown ownership; - in terms of the provision of public services, there must be an absence or lack of a sanitary network, electricity, telephone, and water services; - in terms of urbanization, it must occupy a non-urbanized area, with a lack of roads and house numbers.

The definition dates back to 1950, and obviously favelas (especially the oldest ones) have changed and in many respects have improved. Basically, however, the official definition is always this, even if in recent

years the IBGE places more emphasis on the legal characteristics and on the size of the agglomeration, precisely because many favelas physically have changed. The result is that statistics would tend to reduce the size of the phenomenon, since all favelas formed by less than 51 houses are excluded from the count (Taschner, 2003).

Brazilian Institute of Geography and Statistics (IBGE) reveals decennial statistics in national level by conducting surveys about age, gender, education

level, infrastructure etc. Last research were completed in 2010 and results were published in December 2011. According to IBGE Census 2010 data, there are 763 informal settlements in Rio de Janeiro with 426 965 private housing units with population of 1 393 314 people. The data of Census 2020 are not completed yet, however, according to the prefeitura data updated in 2016, the number of favelas raised to 1019, as well as population living in favelas reached approximately 1.5 million.

Figure 2.7. Conjunto in Citade de Deus in Rio de Janeiro. Photo: Márcio Alves. Source: https://oglobo.globo.com Figure 2.8. Rocinha Favela in Rio de Janeiro.

Figure. 2.9 Alemao Favela in Rio de Janeiro