Rio das PedRas a Toolbox for Community improvement

Rio das Pedras A Toolbox for Community Improvement

Alexander Altskan, Rebecca Book, Hannah Fleisher, Jessica George, Laura Groves, Chang Liu, Da’Quallon Smith, Xiaotan Sun Graduate School of Architecture, Planning and Preservation, Columbia University, Spring 2014

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We Would like to thank: Our advisors: Alejandro de Castro, Marcela Tovar-Restrepo, and teaching assistant Anne Krassner. Our host in Rio de Janeiro, Studio-X: Director Pedro Rivera, Coordinator Raul Correa Smith and all the invited lecturers and project reviewers who made our stay in Rio informative, including Kartik Chandran, Lais Coehlo, Marina Correia,Washington Fajardo, Sérgio Guimarães Ferreira, Elizabeth Franca, Rainer Hehl, Gina Lovasi, Andrew Rundle, Mario Moscatelli, Antonio Edmilson Martins Rodrigues, Jaílson Souza e Silva, and Antonio Verissimo

O que mais me chamou a atenção, na Areinha , no Areal, como no Pinheiro, foi a água suja saída dos esgotos e o mau cheiro que isso provoca.

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É meu segundo trabalho no Brasil, antes de Rio das Pedras. Fiz parte de uma pesquisa sobre arquitetura de favela em São Paulo. É bem diferente do Rio.

RIO, 27 DE MARÇO DE 2014

RIO DAS PEDRAS ENTRA PARA D A UNIVERSIDADE DE COLUMBIA

uran Colu Rio d impo Rio, – Professores e alunos Columbia retornam pa entusiasmado o profe diretor do Studio X Rio

DURANTE 12 DIAS, NOSSA COMUNIDADE FOI VIRADA DE CABEÇA PARA BAIXO POR ALUNOS E PROFESSO

TROCANDO IDEIA COM OS ALUNOS

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Our studio collaborators: the 2014 class of Sustainable Emergency Architecture from the Universitat Internacional de Catalunya, and their director Carmen Mendoza Arroyo; our fellow architecture and real estate studios visiting from the Graduate School of Architecture, Planning and Preservation, Columbia University; and, the architecture students from the Pontifical Catholic University of Rio de Janeiro, who joined us in our exploration of Rio de Janeiro and field work in Rio das Pedras. Our community guides: the staff from A Voz de Rio das Pedras (the local newspaper) including Irineu and Juliana; Cláudia Franco Corrêa from the Nucleo de Cidadania de Rio das Pedras; and, representatives of the Residents Association including Fabricio, Jorge, Roberto and Douglas, who showed us around their home.

Concordo com o pr de se viver num lu se misturam na ág

SOB O SOL ESCALDANTE DO AREAL E AREINHA E VENDO RIO DAS PEDRAS DO ALTO DO PINHEIRO

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ão logo desembarcaram no Aeroporto Internacional Galeão-Tom Jobim, na manhã do domingo, 16 de março, os dois grupos, de Nova York e Barcelona, já puderam sentir que iriam enfrentar mais um dia de sol brilhando a mil e de calor com sensação térmica acima de 40 graus. Ainda mais em Rio das Pedras, e ainda mais em Areal e Areinha, primeiro ponto da visita à Cidade Maravilhosa. Mas já estavam preparados e garrafas de água, com ou sem gás, protetor solar, boinas, bonés e chapéus de todos os tipos, além, é claro, de celulares, máquinas fotográficas, tablets (maioria), blocos de anotações, faziam parte dos equipamentos guardados em mochilas, bolsas e sacolas. Os modelos eram diferenciados até mesmo porque o grupo era uma verdadeira "Torre de Babel", desde americanos, espanhóis, até chineses e outras tribos europeias e asiáticas. Percorrida a primeira etapa da programação, entrando em algumas ruelas da favela, nas quais o que mais chamava a atenção do grupo era o

genheiro e chegou à Estrada Velha de Jacarepaguá, onde lhes foi mostrada a maior e mais concorrida casa de shows e espetáculos da comunidade, o Castelo das Pedras. Fôlego retomado, caminhando em direção ao "bairro" mais alto da comunidade, e de uma qualidade de vida um pouco acima do lado do Areal, da Areinha e da favelinha do Pantanal, nem todo o grupo se sentiu seguro para subir os mais de 30 degraus da escadaria que começa no pé da Rua do Acre e leva até o ponto mais alto da Barreirinha, uma enorme pedra, da qual se tem uma vista total e deslumbrante de Rio das Pedras, algo como a vista do Rio de quem sobe o Corcovado. E o primeiro domingo do grupo na nossa comunidade se encerrou com um almoço num dos melhores restaurantes da comunidade, o “2001”, onde não faltou e foi o prato preferido da maioria a famosa feijoada. Antes de voltar já bem tarde para a Praça Tiradentes, onde o grupo ficou hospedado (hotel Íbis), ainda deu para uma breve passada pela feira nordestina que

Os alunos e professores das universidades de Columbia e da Catalunha, que tiveram fôlego para subir os 30 degraus da Rua do Acre no alto do Pinheiro, sob um sol de 40 graus, puderam observar uma vista ampla e generosa da nossa comunidade

epois de n munidade, feira, na qu do encontr do grupo d nismo da Universidade de nos do ensino médio do C O encontro foi interme dores do Núcleo de Cidad e os temas mais discutid melhorar a qualidade de vi áreas de lazer, comércio e visitantes mostraram aos dras os desenhos e esboç fizeram para a criação de u Rio das Pedras, onde seria des comerciais e esportiv ainda com áreas de recreaç tudo e piscinas. Os alunos que gostariam de ver o cen com áreas de convívio soc padas com Wi-Fi para dem ternet. Sugeriram ainda a quadras de futebol e pista Os estudantes de Co ainda a importância de de arquitetônico que ameniz espaços bem ventilados acesso e circulação. Levan tão ecológica, sugerindo energias renováveis para centro, como, por exempl Todo o encontro foi ma ção e alegria, e pela oportu tão cheio de fé e esperanç futuro bem melhor para a como não podia deixar d piscar incessante das fotos sos jovens e de colegas da ram do encontro 25 alun estudantes americanos e 1 lavam inglês e português nicação.

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[INDEX]

i

Rio das Pedras A Toolbox for Community Improvement

I. Executive Summary

A Toolbox for Community Improvement

Rio das Pedras

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ii. Mission Statement This work is intended to assert a re-framing Rio das Pedras, and the favelas of Rio de Janeiro, as legitimate, integral, and positive elements of the entire city’s fabric and vitality. We will advance this goal by providing a toolbox of proposals that capitalize on the assets and ameliorate some problems that face the community of Rio das Pedras. We will discuss the feasibility and benefits of several possible means of intervention in Rio das Pedras, by estimating the impacts each will have on the short and long term physical stability, social equality, and economic vitality of the neighborhood, and recommend means of implementation of each intervention on these bases. This toolbox and assessment of proposals will serve two functions: (1) to prioritize intervention goals in the neighborhood as put forth by its community members and suggestions from Studio initiatives, and (2) to act as a guidance tool to analyze proposals and work put forth by community members, the Rio das Pedras Initiative, stakeholders, and key actors, to create a long-term, informed dialogue about the direction of the community.

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introduction

Previous page:The view of Rio das Pedras from the northeast corner of the community. Condos and the wealthy neighborhood of Barra da Tijuca can be seen in the background. Source: Rebecca Book

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In our role as planners, we believe it is our responsibility to understand these complexities, and provide a comprehensive assessment of how methods of self-reliance and collaboration could provide the most positive developments for the community. We have cultivated this approach to reflect our client’s request to study and innovate ideas for improvement in this community. Rio das Pedras is one of the largest favelas, or informal settlements, in Rio de Janeiro, Brazil. Located in the city’s expansive West Zone, the low to middle income community has grown rapidly since the 1970s. Flanked by a lagoon to its south, a dense park to its east, large hills to its north, and soft marshland to its west, the community quickly reached these geographic boundaries and vertically densified, resulting in a compact building typology of 3-5 story, multi-use structures.The community of Rio das Pedras plays a prominent economic and social role in this part of the city - particularly for the surrounding and more recently established Typical building constructions and a dense, irregular urban farbric. Source: Hannah Fleisher, March 16th 2014, Rio das Pedras

Rio das Pedras

There is no simple way to describe Rio das Pedras. Certain characteristics of the community may fit neatly into well-established conceptual understandings of informal communities, yet many aspects breach the boundaries that such classifications imply. Rio das Pedras exists in a stage of development where it is able to continue meaningful selfadvancement, but also could maximize some of its assets by collaborating with outside entities, both public and private.

A Toolbox for Community Improvement

1.1 Site

A Toolbox for Community Improvement

ZONA NORTE

Brazil

Guanabara Bay

Bolivia Rio de Janeiro Paruguay

an

Rio das Pedras

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ic O Atlant

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Uruguay

CENTRO

Olympic Development Sites Project Site Forest Mangroves Beach

ZONA OESTE Rio das Pedras

Urban Area W etlands

ZONA SUL 0

1

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Miles

Barra da Tiju ca

All data downloaded from IGBE.br.gov

tic Ocean Atlan

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Rio das Pedras has a strong economic base largely made up of small-scale service and retail businesses concentrated on central streets in the community, and serves as a hub of market activity for many residents in the region (Corrêa 2012: 122-137).3 Rio das Pedras enjoys relative stability when compared to many other favelas in the city, and most notably does not suffer from the same security issues as many of its counterparts Busy streets and active businesses constitute much of the community. Source: Hannah Fleisher March 16th 2014, Rio das Pedras (Corrêa 2012: 171-173). However, Rio das Pedras still faces considerable obstacles that Pedras - given its relative stability, and strengths challenge its quality of life, including inadequate to leverage on, but also shared problems - can 1 Washington Fajardo (Mayor of Rio de Janeiro’s Advisor on Urban Affairs), Skype conversation with Laura Groves, housing, insufficient basic services, improper be seen as a testing ground for long-term urban sewage and sanitation, informal land tenureship, upgrading policies and interventions in Rio de Alejandro de Castro Mazarro and Marcela Tovar Repoor accessibility, and spatial wealth disparities Janeiro.4 strepo, March 7, 2014. 2 Raul Correa-Smith (coordinator, Studio-X Rio), inwithin the community. formal conversation with authors, Columbia University, New York, NY, March 6, 2014. 3 Local researcher Cláudia Franco Corrêa has been enumerating local businesses and their function within the regional economy for several years, and believe this community is a destination space for those living outside it.

Since such challenges are shared by many favelas and informal communities within the city, and throughout Brazil, policies and proposals in this report can hopefully be translated to assist other favela communities. In many ways, Rio das

4 Pedro Rivera (director, Studio-X Rio), multiple informal conversations with authors, Rio de Janeiro, Brazil, March 15-27, 2014.

Rio das Pedras

A Toolbox for Community Improvement

Jacarepaguá and Itanhangá regions. It is also located in close proximity to the affluent Barra da Tijuca region, the center of which lies immediately south of the Lagoa da Tijuca where many residents of Rio das Pedras work. The Olympic Center being developed in Barra da Tijuca - the primary site for the Rio 2016 Olympic Games - is located 10 kilometers west of Rio das Pedras, positioning the neighborhood in a region of lucrative investment for the city.1 As further development occurs in the Barra da Tijuca region, its impacts need to be taken into consideration when gauging Rio das Pedras’ future growth.2

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Rio das Pedras

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1.2.The Client Responding to the complexities observed in Rio das Pedras, Rio de Janeiro’s Mayoral Advisor on Urban Issues, Washington Fajardo, has requested Studio-X Rio to study this community and put forth proposals for improving the community. Studio-X Rio, in turn, organized the “Rio das Pedras Initiative”: a symposium of urban planning, architecture and real estate studios, with consultation with environmental engineering and public health experts from Columbia University to study the assets and problems in the neighborhood.

urban transformations of the city, the country and Latin America,” (Studio-X Rio, 2014). Since its opening in March 2011, Studio-X Rio has hosted multiple studios, workshops, and events focused on urban issues in Rio de Janeiro and Brazil, while maintaining a dialogue with the Rio de Janeiro Municipal government to inform responsible planning in the city.

The client expects exploration and proposalformulation for Rio das Pedras to have temporal continuity over the course of several years. Thus, the main expectation and desire of the client for this particular planning studio As such, the primary client for this studio is is to lay down an academic foundation to Studio-X in Rio de Janeiro, Brazil - the director interpret the site, and proposals for community of which is Pedro Rivera. Pedro has worked improvement that may be built upon for future closely with Washington Fajardo in the past on work in Rio das Pedras.5 Hence, as a think-tank architectural projects for the city, a connection for urban environments, the manner in which which helps link the ideas created at Studio-X Studio-X has framed the problem statement to policy makers and practitioners in the field. and guidelines for this studio has given great latitude in the formation of proposals. In this Studio-X Rio is a collaborative cultural and sense, we recognize that although Studio-X is academic laboratory space hosted and funded not a direct stakeholder in the progression of by Columbia’s Graduate School of Architecture, Rio das Pedras, it is a capable agent of change Planning, and Preservation, the Rio de Janeiro within Rio de Janeiro with an expressed interest Municipal Government, and the EBX Group in the success of this community. (an infrastructure, energy and real estate conglomerate based in Brazil). The space “brings together professionals, academics, decision makers, students, and the general public to confront our most pressing urban challenges” with a special interest in seeing how “cross-cultural, cross-disciplinary, and cross-continental exchanges can affect and inform each other when facing the ongoing 5 Pedro Rivera, informal conversation with authors.

1.3 The Rio das Pedras Initiative The “Rio das Pedras Initiative” is intended to span several years, and encompass many studio practicums, such that in time many new concepts and alternatives to current government approaches to community improvement are developed that could apply to not only Rio das Pedras, but other informal settlements of Brazil. This studio was conducted alongside other Columbia GSAPP studios as aforementioned, and in direct collaboration with Emergency Sustainable Architecture students from the Universitat Internacional de Catalunya, as well as other academic actors from Rio de Janeiro and abroad. Efforts from these groups constituted the first phase of this initiative. The work completed in this initial phase of the Rio das Pedras Initiative has helped to identify three key realms of possible development in Rio das Pedras, to be further developed during a workshop in Summer 20146 (“Rio das Pedras, 2014”). These realms are: i. Water management and sanitation ii. Economic development iii. Population growth management The development of water management and sanitation proposals will focus on the formulation of design guidelines and a wastewater resource recapture facility as suggested by Dr. Kartik Chandran (Earth and Environmental Engineering, Columbia 6 ibid

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EBX Group

Architecture

Real Estate

Disaster Management

STUDIO-X Engineering

Public Health

THE RIO DAS PEDRAS INITIATIVE

Rio das Pedras

Columbia GSAPP

A Toolbox for Community Improvement

Urban Planning

Municipality of Rio de Janeiro

A Toolbox for Community Improvement

Rio das Pedras

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University). Economic development will focus on small business preservation, job creation and protection, investigation of potential for new income-generating activities, and the creation of a market with production spaces. In examining population growth management, avenues for potential horizontal growth, establishment of design standardization, and methodology for handling densification shall be explored.

Public Health (consulting by professor Gina Schellenbaum Lovasi)

Collaborators thus far have included: •

Columbia GSAPP Studios

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Architecture: Design Guidelines (advised by professor Hilary Mary Sample-Meredith)

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Architecture: Marketplace, Production, and Leisure Space (advised by professors Keith Kaseman and Raul Correa-Smith)

The outputs of this summer workshop will then • Real Estate: Development Spaces (advised lay the foundation for a subsequent studios, by professor Vishaan Chakrabarti) such that proposals may be refined over time. In this way, the Rio das Pedras Initiative will • Columbia University School of Engineering function as a collaborative endeavor crossing and Applied Science (consulting by professor several disciplines with the opportunity for Kartik Chandran) advancement over time. • Columbia University Mailman School of

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International University of Catalonia: International Cooperation Sustainable Emergency Architecture (advised by director Carmen Mendoza Arroyo)

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Pontifical Catholic University of Rio de Janeiro architecture students: André Danemberg, Gabrieli Rocha, Raphael Madeira

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Núcleo da Cidadania (Center of Citizenship) of Rio das Pedras (lead by Cláudia Franco Corrêa and Irineu Carvalho de Oliveira Soares).

Researchers participate in a workshop with collaborators from the International University of Catalonia to brainstorm new solutions for Rio das Pedras. Source: Studio X Rio Flikr account.

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in Portuguese, and our teaching assistant is a native speaker. To help with this language barrier during site visits, language instruction was undertaken by six of the researchers to familiarize themselves with the basics of the Brazilian Portuguese lexicon. These sessions were held once a week for two hours each for a total of seven weeks. One student; however, instead took a more advanced Portuguese language course held by Columbia University. Only two students were unable to attend any form of language enhancement related to Portuguese. Additionally, two researchers took a course offered at Columbia University focused on Brazil’s political, social, and economic development. Official Brazilian census data was collected online from the Instituto Brasileiro de Geografia e Estatística (IBGE) and utilized to analyze demographic characteristics of the target area and its surroundings. These findings were analyzed using software such as ArcGIS and Microsoft Excel. Researchers took extreme caution in interpreting this data due to discrepancies and concerns regarding the census data collection process in Favelas and informal settlements, where accurate enumeration is difficult to achieve. Therefore while the information provides a description, it is held that the results have potential inaccuracies. To maximize productivity during the site visit, an agenda was created in order to manage tasks and interviews. Sites and individuals that were deemed critical for interviews and observations were compiled by two of the

Rio das Pedras

and water contamination, lack of adequate and sustainable transport and connectivity with the In this study researchers were guided by two urban center, and income generation and local adjunct professors from the Graduate School labor market conditions were reviewed. Case of Architecture, Planning and Preservation, studies of prior favela development initiatives with the support of a second-year MS Urban (e.g. Favela-Barrio) were studied for knowledge Planning teaching assistant. The instructors of their successes and shortcomings. Additional lectured on various planning techniques case studies on cities that had previously and instruments that they felt would assist hosted the World Cup and Olympic games researchers in their fieldwork. The study relied were reviewed to understand prior outcomes on qualitative research that included site visits, of mega-events planning. Researchers also interviews, natural observations, and reflection spoke with multiple stakeholder who were on field notes. The approach chosen for the willing to come during course hours held from study was based upon the time constraints and 9:00am- 1:00pm on Thursdays weekly or via researcher’s limited access to the physical site. Skype, between January and March 2014. During a two week trip to Rio de Janeiro, Brazil, extensive field research was performed within Focus groups were created to divide the work the physical study area. Broadly, this study amongst researchers. Each group consisted consisted of three phases: the pre-site visit, site of two researchers who were responsible visit, and post site visit. for providing two research presentation. The findings were packaged into 15 minute visual Pre-Site Visit: Background and oral presentations, which were presented Research during weekly meeting times to our advisors and fellow researchers. Four contextual Initial meetings were spent reviewing our topics included: neighborhood inclusive client’s request and what was expected for the upgrading in Rio de Janeiro; international conclusion of the study. Subsequently, six weeks examples of neighborhood inclusive upgrading; were devoted to data collection and analysis of mega events in Rio de Janeiro; international the planning strategies that had previously been examples of mega events. Four topics regarding implemented in Rio de Janeiro. Particular focus dynamics and demographics in Rio de Janeiro was given to studying the impact of development included: security; accessibility, mobility and for the Olympic Games sites that are in close transportation; water management and proximity to the study area of Rio das Pedras, flooding; and, labor markets and economic and a neighboring site in the community of Anil potentials. that is designated to be developed for a public housing development through the Federal All researchers possessed proficiency in English, Minha Casa, Minha Vida (MCMV) program. but limited or no proficiency in Portuguese. Various studies focusing on impacts of flooding Our advisors possessed basic proficiency

A Toolbox for Community Improvement

1.4 Methodology

A Toolbox for Community Improvement

Rio das Pedras

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researchers. These researchers then formatted the desired visits according to available time provided in a schedule of events from the client and site visit host, Studio-X. Site Visit: Field Work Workshop’ in Rio de Janeiro

&

The researchers, teaching assistant, and the advisors traveled to Rio de Janeiro, Brazil on March 14, 2014 and stayed until March 29, 2014. While in Rio de Janeiro, researchers acquainted themselves with fellow researchers of from Columbia University, the Universitat Internacional de Catalunya, in which prior research undertaken for the project was presented. Subsequently, several visits were made to Rio das Pedras throughout the the first week of the visit. In each site visit researchers were aided by both stakeholders who work in the community and are conducting research in the area as well as students from a local private university who were researching the area.These students, instructors, and the teaching assistant assisted in translation between researchers, stakeholders guiding the researchers through the site, and community members. During the tours researchers conducted several interviews with stakeholders and residents to gather different perspectives of the community. This information was written in research journals held by each researcher. Researchers also took photographs of site characteristics. The information gathered during site visits was analyzed in workshops held at Studio-X Rio. Focus groups were formed with researchers from this project as well as the Universitat Informal conversations with residents helped researchers develop a clear picture of the community. Source: Rebecca Book, March 16th 2014, Rio das Pedras

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Constraints and Extensions

Following the trip, researchers synthesized their data and insights. Pre-visit work and fieldnotes from the trip were consolidated to create individual presentations of findings deemed to be most important. Each researcher delivered these presentations to fellow researchers, advisors and the teaching assistant to create a collective understanding and interpretation of the site.These interpretations and analyses were later used to modify the group’s perspective and presentation of the project material, which was delivered to several faculty Urban Planning faculty members from Columbia University for review and feedback, informing the final presentation of this report.

The most pressing constraints for the researchers were distance, time and language barriers, which were mostly due to the research site being internationally located. The distance between the researchers and their study site only allowed limited physical interaction. Primary data collection was restricted to a two-week window with the exception of stakeholders and other individuals who were able to visit the researchers in New York City or communicate via Skype. During the site visit, researchers were constrained by the language barrier between themselves and the majority of stakeholders, community members and people encountered in Rio de Janeiro. This likely affected data collection due to the fact the researchers often required assistance from advisors and others to translate interview, data and documents. Additionally, a major constraint was the access to census data, which several stakeholders advised was inaccurate due to problems and inconsistencies in enumerating informal communities such as Rio das Pedras. This constraint could have been over been overcome with the use of surveys; however, the two-week visitation period did not allow sufficient time to create and conduct a survey.

During a meeting with a Portuguese speaking local official from a social housing program (far right), language barriers made communication difficult. Source: Studio X Rio Flikr account.

Rio das Pedras

Post Visit: Analysis

A Toolbox for Community Improvement

Internacional de Catalunya. In these workshop researchers attempted to assess the assets of the community, the scale of potential limitations in the neighborhood, the potential of improvement to various assets in the neighborhood. This information was enhanced by various lectures from local scholars and stakeholders organized by Studio-X Rio during the first week of our visit. The information gathered from site visits and lectures were then used to formulate visual interpretations through graphing, 3D modelling and sketching, of what the researchers had gathered. After finalizing the interpretations into oral and visual presentations, proposals were presented to the client and stakeholders for feedback.

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Context

Previous page: Ipanema beach at sunset draws a diverse group of Cariocas. Source: Jessica George, Rio de Janeiro, March 16 2014.

A Toolbox for Community Improvement

Rio das Pedras

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2.1. The ‘Olympic Plan’: politics and economy of Rio de Janeiro The city of Rio de Janeiro is currently cultivating a role on the world stage as an international destination for entertainment and tourism. The upcoming 2016 Olympics are a good illustration of this economic developmentdriven politics occurring in the city, expressed by Mayor Eduardo Paes’ statement that “Rio’s plan is the Olympic Plan, and the Olympic Plan is Rio’s.”1 In Brazil, municipalities possess a high level of autonomy from national and regional governments, and are obliged to direct their own economic policies and investment strategies, which the city has done in part by pursuing such investment related mega events (Gaffney 2010). Coordination to capture such opportunities and prepare for an event like the 2016 Olympics, or the upcoming 2014 World Cup, thus requires immense levels of fiscal and administrative organization of urban, political, economic, and social infrastructures. The impacts this event will have on Rio de Janeiro as a city have been playing out on the ground for several years, defined by massive infrastructure spending and social programming to prepare the city for such an event. 1 Quote from mayor Eduardo Paes shown in a video presented by Rio 2016 President Carlos Nuzman to the International Correspondent’s Association in November of 2011, (in Portuguese) as referenced by Christopher Gaffney in “Between Discourse and Reality: The Un-Sustainability of Mega-Event Planning” Sustainability (Niteroi, RJ, Brasil: Universidade Federal Fluminense, September 16, 2013.)

Households for Relocation

Main Olympic Site

Rio das Pedras

Areas for D rainage, sew age and solid wa ste managem ent

The municipality’s plan for physical and social interventions, in preparation for the Rio 2016 Summer Olympics are expansive. Source: “Plano de Legado Urbano e Ambiental”, rio.rj.gov.br

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Rio das Pedras had minimal contact with

these Olympic projects, and appears to have experienced few of the positive externalities that can occur in the economy from such investment. The fact that these areas of infrastructure investments for the upcoming Olympics do not necessarily correlate with this community, nor with neighbourhoods experiencing infrastructure deficits in general, speaks to a history of neglect towards areas of informal development. In this sense, one of the most contentious issues in Rio de Janeiro - that of how to manage informality in the favela - has been magnified in all its facets as a result of the Olympic Games preparation. Both background research and fieldwork revealed conditions of inequality between favela communities and Rio de Janeiro as a whole, as well as within Rio das Pedras itself, and the development patterns from the Olympic preparations runs the risk of continuing to solidify such dynamics. Favela Background 2.2. Planning for ‘both cities’: citizenship and inclusivity in favelas Most would define a favela as a Brazilian slum or shantytown. A finite scope of understanding has been placed on these communities by categorizing them with all informal settlements in developing countries. According to the Pereira Passos Institute (IPP), an urban planning agency for the municipality of Rio de Janeiro that deals with mapping and statistics, favela is defined as:

Protests were ignited by a public transit fee hike, spurring public conversation about priorities in government spending leading up to the Olympics. Source:businessinsider.com.au/brazil-protest-pictures-photos-2013

“an area predominantly used for housing, characterized by the occupation of land by the

Rio das Pedras

The decision to stimulate the local economy in this way is, however, controversial. In the last year, many demonstrations and protests have been organized in Rio de Janeiro related to social and structural changes occurring, systemic from the preparation for the Olympics.While a controversial transit fare hike was vehemently

protested, there has also been large resistance and upset over the “pacification programs” placed in the favelas of the city, as an effort to eradicate violence and crime to prepare for an influx of tourists. The merits of deciding to funnel money into such activities for megaevent preparation, instead of further directing investments to poverty reduction or improving service deficits - especially in regions not relevant to the upcoming mega events and thus not targeted for infrastructure development have been widely questioned.

A Toolbox for Community Improvement

The estimated US$240 billion budget for the Olympics is being used for the construction of stadiums, bus lines, hotels, visa and tariff waivers, tax exemption status, increased policing, and urban redevelopment projects (“Financing”, Seven Pillars Institute).

low income population, scarceness of urban infrastructure and public services, pathways that are narrow and with irregular alignment, lots of irregular shape and size, and unlicensed constructions, that do not conform with the legal patterns.” (Prefeitura do Rio de Janeiro, in Cavallieri, 2009: 5).

municipal system of taxes, distribution of city services, postal delivery, and even law enforcement” (Meade 2010: 123). Meade’s description characterizes the favela as a selfsustaining community, and that beyond this fact the functions and makeup of no two favelas are the same.

Teresa A. Meade, author of A Brief History of Brazil (2010), states that “a favela is technically a residential area that stands outside the

Although favelas are found in several cities in Brazil, the city of Rio de Janeiro has the largest concentration of them. The city is home to

Brazil

Rio de Janeiro Paruguay

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Uruguay

Favelas 0

1

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Rio das Pedras

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25% of the Brazilian favela population (Perlman, 2010: 52), and it is estimated that 25% of the city’s population itself lives in these settings (“Favela Population”, The Rio Times). Favelas have seen significant growth, especially in relation to the rest of the population, and have become difficult to ignore (COHRE Americas Programme, 2003: 8). The favela can no longer be seen as a problem to be solved, and has become an integral part of the city. Rio

Guanabara Bay

Bolivia

an

A Toolbox for Community Improvement

Rio das Pedras

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tic Ocean Atlan

15

1970’s

1984

have basic sanitary services, didn’t have a police presence, and didn’t even appear on maps. In the Brazilian public imagination, it was a place that didn’t technically exist, populated by people whose role in society could, unfortunately, be compared to untouchables. (Cardoso 2006: 4849). As the favela population in the city rapidly grew and diversified, this imaginary vision was pushed into reality, though not with positive consequences for favela residents. Many efforts were made to reform favelas, and up until 1982 most ‘intervention’ took the form of favela clearance and demolition, mainly in the downtown area of Rio de Janeiro. The city began infrastructural interventions and physical treatment of these areas in 1983 and social and urban integration programs in 1993 (Coli 2013).

1990

Rio das Pedras grew significantly over three decades, during the same period as the most significant favela growth in Rio de Janeiro. Source: Pedro Rivera, Studio X Rio

Rio das Pedras

While favelas have existed in Rio de Janeiro for over 100 years, their most precipitous period of growth occurred during the 1960’s - 1970’s. As the country rapidly industrialized under a dictatorial regime, urbanization rates nearly The informal settlements of Rio de Janeiro doubled. Citizens across the country migrated were established by freed slaves in the late to the cities for work, and favelas offered a 1800’s, and the word favela itself is the name of cheap means of settlement. These settlements a tree found in the northeastern Brazilian state were predicated on illegal occupation of of Bahia, where soldiers travelled from to the (usually) unserviced land, a legacy the city city in the late 1890’s to receive their wages. is still working to correct. Former Brazilian These soldiers settled on the city’s hillsides by President Fernando Henrique Cardoso (1995the other informal communities - which they 2003) recalls favela’s before this significant named after the tree of their homeland - and transformation: waited to be paid. The government never paid them, and the soldiers never left; thus, the first Back in the 1950s...to be black was to be poor favela was created - and the area is still known in Brazil.This could be summed up in one word: as Morro da Favela to this day (Perlman, 2010: favela. The favela was really much more than a 24-25)(Rio on Watch 2012). shantytown or a very poor neighborhood back then, it was a cluster of homes that didn’t

A Toolbox for Community Improvement

de Janeiro is at a point where it can help define what that legitimate role will look like and what this means for citizenship and inclusivity these residents.

A Toolbox for Community Improvement

Rio das Pedras

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Programs These social and urban integration programs were catalyzed in the 1990’s with the creation of a National Housing Policy and inclusion of individual rights provisions in the 1988 Constitution (COHRE Americas Programme, 2003: 7-9). These policy changes were part of a larger move from authoritarian rule to decentralized federalism, which included the devolution of administrative powers to municipalities (Selcher 1989: 178) discussed previously. Such policy changes instigated a slow movement towards participatory, community specific planning and awareness of the critical need to address insufficient housing for the lowincome population. The following descriptions of government-led programs that have been, or are currently being, implemented in Rio de Janeiro reveal the city’s efforts towards favelacity integration. These programs also illuminate the existing capacities, resources, knowledge bases and services the city has to assist in favela improvement, and some limitations surrounding their implementation. Some of these programs can, and should, be strategically leveraged to make improvements in Rio das Pedras (to be discussed subsequently). Favela Bairro: established in 1994, FavelaBairro was a physical upgrading and social enhancement program for favelas in Rio that functioned until 2005, and was implemented in Rio das Pedras (Perlman 2010: 275-276). Architect Jorge Mario Jáurequi designed several intervention plans for the program, including one for this community (Jorge Mario Jáuregui The Favela-Bairro urban upgrading plan for designed for Rio das Pedras by Architect Jorge Mario Jáurequi. Architects, “Urban Upgrading”). Though the Source: Jorge Mario Jáurequi Architects, “Rio das Pedras”, Plan, http://www.jauregui.arq.br/favelas_urbanupgrading.html

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Bolsa Familia: this federal conditional cash transfer program was established in 2003 and provides families that live below the poverty line with small cash subsidies contingent upon the enrollment of their children in school, and the maintenance of vaccines and health care standards (Lindert et al 2007: 6). This program has greatly improved access to education and healthcare services in informal communities, and arguable improved the quality of life for the poor through all of Brazil, and reflects the rights-based concepts of citizenship established in the 1988 Constitution.

Police Pacifying Units (UPP): To help combat its violent reputation in preparation for the 2016 Olympics, the Rio de Janeiro state government began this policing initiative in 2008. Aiming to reclaim favelas that had been under drug-trafficker control, the ongoing operation consists of two phases: a heavily militarized invasion of a favela, followed by an installation of freshly trained “pacification” police units whose goal is to reestablish trust and legitimacy with favela residents in order to

ensure long-term stability. Since its inception, many of the city’s most visible favelas have been successfully occupied. These ‘pacified’ favelas have demonstrated a decrease in violent crime, but opponents of the program claim that the drug-traffickers simply go on to seize other, non-‘pacified’ favelas (Maresch July 5 2011). Rio das Pedras has not been subject to the UPP initiative, due to the absence of drug-trafficking in the neighborhood and its overall lower level of violent crime. Minha Casa, Minha Vida: this federal affordable housing program started building new constructions on vacant land in 2009 (Novacich May 17 2011).The program is currently designing a new development in Anil, a community only 1.5 km north of Rio das Pedras. The residents of Rio das Pedras whom live in areas at risk

Programa de Aceleracao do Crescimento (PAC): an initiative beginning in 2007 to upgrade the 2 Washington Fajardo (Mayor of Rio de Janeiro’s Advisor on Urban Affairs), Skype conversation with Laura Groves, Alejandro de Castro Mazarro and Marcela Tovar Restrepo, March 7, 2014.

UPP troops ‘Pacifying’ Favela do Metrô, January 8th, 2014. Source: Francisco Chaves, “Confusion at Favela do Metro”, Photo, http://rioonwatch.org/?p=12978

Rio das Pedras

Empresa Bacana: initiated in 1996, this program works to “minimize the bureaucracy needed to formalize local businesses” in favelas by assisting in registration and organization of small businesses (Minas, “Atuação”). The Mayor’s Special Advisor on Urban Issues, Washington Fajardo, suggested we look into this program, which has yet to reach Rio das Pedras but it has the potential to play a major role in defining and promoting the local small business ecology in the community.2

public realm of the city of Rio de Janeiro, this program aims to stimulate public and private investment in infrastructure projects (Osborn April 2 2013).These projects have tended to be delayed or unfinished, though it is possible that PAC could make infrastructure improvements in Rio das Pedras in the future.

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intervention efforts of Favela-Bairro brought formally constructed housing and roads to Rio das Pedras, the plan was not fully implemented in part due to its poor building terrain (FavelaBairro Project, 2003: 43).

A Toolbox for Community Improvement

Rio das Pedras

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of floods may receive priority status for these units3, potentially relieving some of the impacts of flooding in the community. Morar Carioca: Mayor Eduardo Paes initiated Morar Carioca in 2010, working with the same tenets of physical upgrading and social programming from the Favela-Bairro program and being promoted as a part of the Olympic Plan for Rio de Janeiro (Osborn April 2 2013). Through this initiative, the Mayor aims to upgrade every favela in the city by 2020, including Rio das Pedras during its final phase (Municipal Olympic Company). The program forwards a vision of upgrading more than the the tools needed for implementation, and it remains to be seen how this program would meet the community’s needs effectively. A concept of the community’s needs and coordination of priorities would be best established before the program reaches the community, so it can be used most effectively.

forms of housing to vulnerable populations (Prefeitura do Rio de Janeiro, July 22 2012).

also what benefits the favela can offer to the city.

These programs indicate a shift towards improving favelas through social and urban integration. Favelas are no longer something that can be ignored, and although intentions in these programs have been good, it appears that the favelas are still seen, in part, for what they are lacking. It is important to recognize needs in a community, but it is also crucial to examine the assets it has. What is critical to integrating a favela into the city is discovering what role it holds in the city. This means considering not just what benefits the city can offer a favela, but

Further improvements to these areas will require the city to serve informal settlements in the same way as it does in areas of formal development while maintaining flexibility in development standards and policies that reflect each type of community. Thus there would be an implicit acknowledgement of the fact that both informal and formal areas of the city constitute two legitimate types of urban fabrics that have different development histories and therefore should not be held to the same standards that manage their growth. If the city

Bairro Carioca: the most recent social program in the city, established in 2012, is also promoted as part of the Olympic Plan for Rio (“Bairro Carioca”). This program creates developments to house those displaced by floods or that reside in at-risk areas (Governo do Rio de Janeiro 2012). Only one site has been built thus far, but this program has relevance for the future of the flood prone residents in Rio das Pedras, and may in time lessen social inequality in the city Rio de Janeiro by providing more secure 3 Coelho, Lais (Minha Casa Minha Vida program representative). “Minha Casa Minha Vida - Ambev Factory Site.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 18, 2014.

Soccer field constructed through the Favela Bairro program. Source: Rebecca Book, March 16th 2014, Rio das Pedras

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Rio das Pedras

Rio das Pedras has been no stranger to municipal exclusion. Aside from an incomplete upgrading attempt in the 1990’s through the city-wide Favela-Bairro project, Rio das Pedras has grown in relative isolation from the standards of the formalized City. Despite its isolation, or perhaps because of it, today Rio das Pedras is a self-sufficient community that is flourishing. Integration between this informal settlement and the city may not just benefit the community but the city as well.

A Toolbox for Community Improvement

truly wants to successfully integrate favelas into the urban fabric, it will first need to know and respect their development history and open its eyes to their benefits, not just their setbacks.

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Rio das Pedras

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2.3. Life in Rio das Pedras: (dis) connectivity within the city fabric

and viewed as an extension of Rio’s South Zone, (home to historically wealthy neighborhoods such as Copacabana and Ipanema), while the Northern half is considerably poorer and viewed as an extension of Rio’s historically working-class North Zone.

population

Given its informal status, population estimates of Rio das Pedras unsurprisingly range quite Location significantly. The 2010 Brazilian Census placed the population at approximately 63,500 (IBGE, Rio das Pedras is located on the eastern fringes 2010), while the Resident’s Association claims of the West Zone of Rio de Janeiro, a large Rio das Pedras is essentially sandwiched a much larger number of residents, estimating area taking up nearly half of the city. Physically, between these two halves, in proximity the population at 140,000.4 For the purposes the West Zone varies from areas of rapidly to Barra da Tijuca and surrounded by the of this study we have chosen to use the advancing urban sprawl to large tracts of wealthier parts of Itanhanga and Jacarepagua, intermediate estimate of 80,000 provided by protected parks and forest, with lagoons and but not incorporated into these areas and of a the head of the Center of Citizenship in Rio das mountain ranges traversing it as well. Socially, completely different demographic makeup. Pedras (Núcleo), Cláudia Franco Corrêa, citing the West Zone can also be divided into two that governmental counts are neither accurate distinct halves: the Southern half, comprised mainly of Barra da Tijuca, is generally wealthy 4 Santos & Moreth, informal conversation Land Types in Zona Oeste

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community boundaries The borders that hem in the community of Rio das Pedras are defined by both the physical constraints described, and land control imposed by the private ownership of the land it sits on and around. While the residents of Rio das Pedras settled the neighbourhood through land occupation, Brazilian and local municipal law has strong squatters rights that have slowly granted occupants various use rights and other forms of protection that prevent their eviction, but also do not grant them ownership. A large push towards granting these rights came with the implementation of the Favela-Bairro program described previously, and since this

Unlike many of the favelas in Rio de Janeiro, Rio das Pedras does not cling to the side of one of the city’s numerous morros, or hills, and largely sits on a stretch of low-lying flat marshy land near the Lagoa da Tijuca lagoon that separates Jacarepagua from Barra da Tijuca. Older more established parts of the neighborhood are located further inland, while newer and generally poorer sections lie closer to the water. Only one small area in the northeastern portion of the neighborhood is located on inclined terrain. 6 Site observations and informal conversations with resiThese spatial distinctions, coupled with historic dents, Rio das Pedras, Rio de Janeiro, March 16, 2014. and economic ones, contribute to social divisions within Rio das Pedras.

program was implemented in Rio das Pedras, it is inferred that many residents possess these use rights (Pamuk & Cavallieri, 1998: 457). However, there are also tracts of land within and surrounding the community that are privately owned - namely by a local business man, Ronald Levisohn - that have remained occupied in seemingly uncontested forms for several years, implying some completeness between the various parties involved. Given that property in Rio das Pedras isn’t part of the formal market, tenureship and ownership is overseen and verified by the Resident’s Association; they keep a record of property transactions in the neighborhood and settle real estate disputes between residents (Corrêa 2012: 71). Likewise, the Resident’s Association tries to enforce the boundaries of the community in terms of controlling sprawl and growth. Preventing the occupation of

Each of these terrains pose their own challenges to the community. The low-lying areas of Rio das Pedras are highly prone to flooding, and do so almost annually. Due to its marshy characteristics, the land is largely made up of soft soil, resulting in a slow, but steady, sinking of the structures built on it, posing a risk to the structural integrity of the homes and other buildings in the community.The inclined portion of Rio das Pedras, sits on a steep hillside next 5 Corrêa, Cláudia Franco. “Favelas and Development.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 18, 2014.

Condos overlooking Rio das Pedras were condemed after they began sinking. Source: Laura Groves, March 17th, 2014

Rio das Pedras

geographic characteristics

to a cliff, but also suffers from flooding due to large amounts of runoff that come down the side of the cliff.6

A Toolbox for Community Improvement

nor trustworthy sources (Corrêa 2012: 24).5 It must also be noted that each institution may also have its own interests attached to the population estimates it presents, be they exaggerating the population to boost their authority or underestimating it to diminish a constituency that is difficult to serve.

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Rio das Pedras

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land outside Rio das Pedras’ current borders is strictly enforced both by those property owners as well as the Resident’s Association, who benefit from cooperation with these stakeholders by further legitimizing their local authority. An example of this is the case of the vacated high rise condominium buildings that are immediately adjacent to Rio das Pedras. When their developer abandoned the project in the 1990’s after the buildings began to sink into the soft-soil and were declared unsafe for habitation7, squatters began to settle in the abandoned structures, only to be quickly and forcefully evicted by the authorities. These squatters then settled on the eastern side of the Rio das Pedras river/canal to form what has become Areal II; while subsequent attempts at occupation have been prevented by the Resident’s Association and militia, in the interest of avoiding future conflicts with landowners and the authorities. (Roberto, Rio de Janeiro, March 16, 2014).8 Security and Authority Rio das Pedras’ unique character among Rio de Janeiro’s favelas is in part due to its uncommonly homogenous formation. In the 1970s, its first settlers were almost entirely migrants from the Northeast of Brazil, Nordestinos, coming to work on construction projects in Barra 7 Roberto (community member, and guide, and Resident’s Association affiliate), multiple informal conversations with author, Rio de Janeiro, Brazil, March 16-19, 2014. 8 Roberto, informal conversations.

Beto ‘Bomba’, former president of the Rio das Pedras Residents’ Association was arrested illegal weapon possession and money laundering, only to be released a few months later for lack of evidence. Source: Michael Jerome Wolff, “Beto “Bomba” was arrested”, photo, http://photowolff.tumblr.com/post/17947566949

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This strength was critically exhibited with the violent expulsion of drug dealers and other criminals in 1978 by an organized group of residents who were not tolerant of their presence. This act also catalyzed the subsequent formation of Rio de Janeiro’s first milicia, or militia. This particular militia that has maintained an at times a fully visible, and at other times clandestine, rule of law in the community. Although many positive elements of Rio das This organization has, in any case, effectively Pedras’ stability and order can be partially prevented Rio das Pedras from experiencing attributed to the presence of the militia and the the drug-trafficking and police violence that has plagued other favela communities in the city for years (Wolff, February 11, 2012). The militia is by no means an ideal enforcer of the law in Rio das Pedras, its practices have led to violence and discord at time - but nonetheless has an established legitimacy in the community and keeps the levels of crime in Rio das Pedras relatively low (Corrêa 2012: 11). The Resident’s Association was formed around the same time as the militia and it appears that the two entities are considered closely linked, though our research cannot confirm and explicate their relationship further than this. Recently militias begun to take more control of favelas throughout the city of Rio de Janeiro, prompting tohe government to responded and arrested a number of suspected militia members, among them former Rio das

Resident’s Association, it must also be noted that no other community groups are present in the neighborhood. The Resident’s Association has a monopoly on all community outreach work in Rio das Pedras and its authority and actions go virtually unchecked, considerably disenfranchising the residents in the process.9 Economy Rio das Pedras has stable and vibrant economic base. A recent economic census of the neighborhood, conducted by the Núcleo, counted some 4,000 business establishments within the borders of Rio das Pedras. 10 This 9 Site observations and informal conversations with residents, Rio das Pedras, Rio de Janeiro, March 16, 2014. 10 Corrêa, lecture.

Restaurant owner in Rio das Pedras. Source: Hannah Fleisher, Rio das Pedras, March 16th, 2014

Rio das Pedras

Pedras Resident Association president Jorge “Beto Bomba” Alberto Moreth in 2012 (Wolff, February 20, 2012). ‘Beto’ was released months later due to lack of evidence surrounding his indictment, but resigned as president of the Resident’s Association nonetheless - though he still maintains a positions of “support” for the Association. Many believe ‘Beto’ still runs has significant influence on the operations of the Association, and was indeed actively present during a meeting and interview with the current Resident’s Associaiton president Fabricio Jose dos Santos.

A Toolbox for Community Improvement

da Tijuca. This shared cultural background instigated a very tight knit and connected community. As new residents came to Rio das Pedras, they have had to assimilate into this strong social environment.

A Toolbox for Community Improvement

Rio das Pedras

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diverse collection of businesses exist in both formal and informal categories, ranging from construction supply stores to private medical clinics to electronic stores and bicycle repair shops. Representatives of the formal business group include a large supermarket, pharmacies, and even a recently opened Subway franchise, all along Avenida Engenheiro Souza Filho, the main road passing through Rio das Pedras. An overwhelming majority of businesses along the main roads are clothing stores and botequimes, small eateries, taking up much of the groundlevel real-estate in neighborhood. 1112 Similar to the local real estate market, the Resident’s Association also regulates the Goods for sale along Avenida Engenheiro Souza Filho. Source: Hannah Fleisher, March 16th, 2014, Rio das Pedras properties being used for business purposes, collecting a 20% monthly tax from business owners as both rent on the retail space and in return for the general security. These methods have created a large local business ecology that attracts customers from all over the region.13 Services such as electricity and water are generally provided at a flat rate and for the most part are also regulated by the Resident’s Association. Having a business located in Rio das Pedras, or most informal communties, means that being subject to muncipal taxation is much less likely. For this reason, it appears that the vast majority of business owners seldom object to the fees and commisions placed on 11 Site observations and informal conversations with residents 12 During a guided visit to the site, Studio-X director Pedro Rivera kindly referred to these areas as the “5th Avenue” of Rio das Pedras (March 16th, 2014). 13 Santos & Moreth, informal conversation

Retail makes up a large portion of the local economy. Source: Hannah Fleisher, March 16th, 2014, Rio das Pedras

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The active economy of Rio das Pedras may be a contributing factor to the upward mobility experienced by some of its residents. For example, the owner of the Estudio13 salon explained how she came to Rio das Pedras to set up her business only a couple years ago, but has already made significant gains in her personal mobility. Her salon was full during our visit, with customers claiming they had travelled from neighboring communities to use her services, and she said she has made enough money to pay for some of her son’s college education, something most favela residents cannot afford.17 However, despite the generally successful economic situation of Rio das Pedras, informal business owners are also in a riskier position than many of their counterparts in the formal sector since they cannot obtain forms of insurance. Furthermore given the susceptibility of Rio das Pedras to flooding, damages and significant losses are quite frequent and their

According to Cláudia Franco Corrêa, the rental market in Rio das Pedras is highly competitive. Sales contracts are made but can only be initiated through knowing someone who already lives there. Transaction disputes often arise, and the Residents’ Association is called upon to ameliorate the situation. The Association also strongly encourages residents to register and contract through them in order be sure that they are entering a fair agreement

14 ibid 15 For example, when the owner of an electronics refused to hand over the agreed upon amount in January of 2012, their store was subsequently broken into and destroyed. (Wolff, February 11, 2012). 16 Site observations and informal conversations with residents 17 Site observations and informal conversations with residents, Rio das Pedras, March 18 2014..

18 Corrêa, lecture.

with the rightful landlord. There have been cases when people would sell the same room to three people, and unless the leasees contracted through the Residents’ Association, the contract cannot be reclaimed. In this way, the Association has created authenticity through a channel of local power in a market that is booming (Corrêa 2012: 188-200). Sewage and Sanitation A major challenge to the quality of life in Rio das Pedras is the inadequate sewage system in the neighborhood, especially in areas bordering the canal. The 2010 Census shows that 70% of households in the community are connected to piped sewage (IBGE, 2010), however these pipes connect to neither the formal sewage system nor any kind of treatment, simply

Rio das Pedras

impact undermines the success that local business owners could achieve. A large portion of resident also work outside Rio das Pedras, helping bring outside capital to the community but also demonstrating that the community is in no way fully self-sufficient economically despite its diversity.18

A Toolbox for Community Improvement

them by the Residents Association.1415 Rio das Pedras also hosts a large market every Sunday and it’s status as an economic hub of the region was underlined by local youth explaining that they almost exclusively shop in Rio das Pedras because it provides “just about everything one needs”.16

A Toolbox for Community Improvement

Rio das Pedras

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emptying out into the Rio das Pedras river where is is assumed that septic connections and “ditch” classificatiolns end up as well. These poor sanitary conditions pose a serious threat to health in the neighborhood and aggravate the problems caused by flooding when it occurs. Although recent paving interventions carried out CEHAB (Rio’s municipal housing and sanitation agency) in Areal I and Areal II (the areas closest to the Lagoa) have covered what used to be open ditches, they have only solved part of the problem. The pipes

they installed are not connected to a central collection facility, and instead empty into the river.19 Thus, despite this formal intervention, sewage remains untreated and the condition of the severely contaminated river continues to worsen. A few hundred feet downstream, the river flows into the Lagoa da Tijuca, further polluting the reigonal water bodies, impacting other communties, and limiting the functions of what could be a valuable asset for the 19 Irineu Soares (Nucleo de Cidadania de Rio das Pedras), multiple informal conversations with author, Rio de Janeiro, March 16-19, 2014.

community.20 20 Studio-X director Pedro Rivera emphasized on multiple occasions the possibilities for water transportation and other uses of the river and lagoa, however our research indicates that until these bodies are thoroughly cleaned and pollution stops being contributed to them - which would require concerted efforts from all communties in the region, and specifically Barra da Tijuca (whom also pumps untreated sewage into the water bodies), such proposals are not feasible (Pedro Rivera, multiple informal conversations, March 15-27 2014)(Cecelia Herzog (president, INVERDE Institute for Research on Green Infrastructure and Urban Ecology). Skype conversation with authors, February 20, 2014).

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Only one major road - Avenida Engenheiro Souza Filho - provides access to Rio das Pedras. Avenue Engenheiro runs north-south connecting the Linha Amarela highway just north of the community of Jacarepagua to Avenida Armando Lombardi in eastern Barra da Tijuca. Most of it is no more than four lanes wide, making traffic jams common.23 There are plentiful bus routes running through Rio das 23 Site observations and informal conversations with residents, March 16-18 2014

Pedras, but they often find themselves stuck in the traffic and what should be twenty minute commute typically takes over an hour (Micael, Rio de Janeiro, March 16, 2014).24 Until recently, the local militia operated a system of minibuses which catered specifically to the needs of the residents. Even after the municipality took over the minibus service and formalized it, in most cases changing their routes, the drivers still return to Rio das Pedras 24 Irineu Soares, multiple informal conversations with authors.

Left: The mixed used fabric of Rio das P. Center: Bikes are a popular mode of transit within Rio das Pedras. Right: mini-buses have recently been formalized and assigned to routes which are not profitable, but continue to serve to Rio das Pedras illegally. Source: Hannah Fleisher, March 16th, 2014

Rio das Pedras

21 Santos & Moreth, informal conversation 22 Raul Correa-Smith (coordinator, Studio-X Rio), informal conversation with authors, Columbia University, New York, NY, March 6, 2014.

Transportation

A Toolbox for Community Improvement

The Resident’s Association views addressing the sewage challenges as the top priority for urban planning interventions,21 and researchers point out that unlike many hillside favelas, “the issue in Rio das Pedras is not getting the water in, but getting it out” - creating a unique challenge not just got the community but relavent munipal agencies as well.22

A Toolbox for Community Improvement

Rio das Pedras

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and run the same routes they did before, because they achieve a much higher usage in and out of Rio das Pedras than they would along their enforced routes (Rivera, Rio de Janeiro, March 16, 2014).25 Peraps symbolic of the diversity and informality in Rio das Pedras as a whole, a signifcant amount of road sharing was observed in the community. Pedestrians, bicycles, motorcycles, and cars select routes that best fit their vehicle dimensions, resulting in a high transportational activity. Although such congested use may be viewed as hazardous, local experts point out that due to the substandard and unpaved quality of the majority of roads in Rio das Pedras, most cars have to travel fairly slowly and so the risk of accidents is actually low.26 Likewise, these circumstances also hinder the ease of access in much of the community and certain areas are thus underserved by services which rely on larger modes of transportation. A very small minority of residents, largely maids and handymen, commute by personal boats across the Lagoa da Tijuca to work in the upscale condominiums of Barra da Tijuca’s “Peninsula” complex facing Rio das Pedras.27 Some thoughts have been given to expanding this connection, increasing water-based transportation out of Rio das Pedras, but the immense cost of dredging the polluted Lagoa, that fact that a crossing bridge over the water 25 Pedro Rivera, informal conversation with authors, March 16th 2014 26 Correa-Smith, multiple informal conversations with auhors, March 18, 2014 27 Irineu Soares, multiple informal conversations.

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Spatial Inequalities The realities of the local geography and service provision in Rio das Pedras feed into the spatial and economic inequality present in the community. The older and more established areas of the northern section of the neighborhood, such as Centro, demonstrate higher property values and higher incomes than more recent occupations to the south, such as Areal I, Areal II, and Areinha (IBGE, 2010).29 This pattern of north-south spatial inequalities reflect in the levels of service provision discussed previously as well. The poorer, southern areas have a far lower rate of sufficient sewage service than than their wealthier neighbors to the north. Likewise, although Rio das Pedras is relatively safe compared to other favelas in the city, residents point out that the most criminally active, and in fact dangerous section of the neighborhood, runs along the main canal in the southern Areal sections of the community (Micael, Rio de Janeiro, March 16, 2014). Additionally, the majority of businesses and public services are also clustered in the older northern section of Rio das Pedras.30

28 Pedro Rivera, multiple informal conversations. 29 Site observations and informal conversations with residents, March 16-18 2014 30 Corrêa, informal conversations with authors; Site observations and informal conversations with residents, March 16-18 2014

Varying income levels in the different neighborhoods of Rio das Pedras. Source: Irineu Soares, Núcleo de Cidadania

Rio das Pedras

A Toolbox for Community Improvement

body is planned anyways28, will likely keep these plans from coming to fruition.

A Toolbox for Community Improvement

Rio das Pedras

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2.4 Stakeholders and key actors: perspectives on the community

this information, as much of it is informal and somewhat speculative, and reflect highly subjective interpretations of the community and its needs.

records for 35 years.1

Source: Alexander Altskan, Rio das Pedras, March 17 2014.

2 ibid.

The Residents’ Association estimates the population of Rio das Pedras as 136,000 Essential to identifying assets, problems, residents.2 They have attempted to limit the potentials, and challenges in Rio das Pedras The Residents’ Association growth of the community by controlling was identifying and conversing with different where people build new structures, but this parties of interest in the community, which The Residents’ Association is the body that has proved difficult in such a large community. was carried out during site visits and fieldwork. verifies the informal contracts which compose They monitor all new construction in Rio das These interest groups, inside and outside the real estate market of Rio das Pedras, Pedras, such as dictating how many floors each of the community, are the key stakeholders among other activites. Buyers and sellers must building has, and report this information to the and actors involved in instigating any type of approach the Resident’s Association, who then Prefeitura. They essentially act as an informal change in Rio das Pedras, and have provided plays the role of notary, verifying and tracking sub-government, regulating the community significant amounts of the knowledge we have the transfer of exclusive ownership and use and providing a center for residents of Rio das used to carry out this project - particularly the rights. They claim to have maintained these Pedras to access social services. community description just provided. “Just because we have been able to build The Residents’ Association is also a mediator up the community ourselves does not In order to create a more nuanced between the Prefeitura and the residents. mean that we do not need outside help understanding of the information we have Before intervening in Rio das Pedras, the now.” collected and what may have structurally Prefeitura must first consult them before informed these perspectives, we have separated taking any action, especially on matters such stakeholders and informants into two broad as housing demolition. The Association then categories: primary and secondary. Primary decides whether or not the Prefeitura should stakeholders are those who are both direct be allowed to go forward with this project, influencers of, and are directly impacted by, based on whether or not they think it will best change in the community. These include the serve the residents’ needs. The Association’s Resident’s Association, business owners and virtual monopoly on authority in Rio das Pedras other residents of Rio das Pedras. Secondary creates a solid political structure for actions to stakeholders are those who can directly follow, but it prevents other social organizations impact change but are more indirectly affected from working in the neighborhood and hinders by potential changes. This group includes the development of a democratic processes in governmental and public agencies, as well the community.The president and actors within as private landowners, all of whom are not the organization are appointed and not elected, residents of Rio das Pedras. The following is an 1 Fabricio Jose dos Santos and Jorge Alberto Moreth in depth explanation of our main informants, (president and advisor, Rio das Pedras Resident’s Associaand their key impressions of the community. tion), informal conversation with authors, Rio de Janeiro, We believe it is important to disaggregate Fabricio José dos Santos, president of the Residents Association. Brazil, March 17, 2014.

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several times to request that the pump be repaired, but have yet to receive any assistance.8 They have made repeated calls, complaints, and sent pictures, but feel that no one at the Prefeitura cares about their problems. In light of this situation, they view sewage and waste water management as the most pressing issue facing the community today.9

One of the main challenges facing the Residents’ Association today is the rapid growth and densification of Rio das Pedras, to the extent that where a residence that used to house one 8 ibid. 9 ibid. family now may be found with four or five. This growth has put strain on the service networks the Association operates - most critically, the sewage and sanitation networks. The president expressed concerns that the amount of runoff In addition to their governing duties, they also and household waste flowing into the lagoon offer special programs for the community. was causing its water level to rise, which will be Through a R$5 monthly membership fee they compounded by increasingly frequent annual collect from residents, they have been able floods.7 to offer classes and activities for local youth, including ballet, Capoeira and Jiu Jitsu, and As a measure to combat this situation, they also a job bank to assist residents in finding installed a pump to help control water levels in employment.4 They have also designed an the marshy lowland areas of the neighborhood. informal system to cope with the flooding Recently however, this pump broke, and the that affects much of the community. The Praca water began encroaching on the community. (Plaza) of the Resident’s Association serves as The Association does not have the resources to a relief point whenever the area experiences fix the pump and has contacted the municipality flooding. People who are unable to stay in 5 The first alarm signals residents to ‘pay attention;’ the their homes can come stay in the offices of second warns that there is an emergency and that the the Association, and they work with the Red Defensa Civil is coming; and the third means that the Cross and military to provide disaster relief. community is in dire straights.The system is designed to They have installed an alarm as a preventative avoid false alarms. ibid. measure to warn residents about impending 6 A sign for a “Punto de Apoio para Chuvas Fortes” (“Relief Point for Strong Rains”) was also observed at flooding, and the president claims that this the Residents’ Association, with the Rio Prefeitura logo system must be working very well, because no on it; but the Resident’s Association claims that no one one has yet to come to the relief point that has had to use it as of yet. Observation, Rio de Janeiro, 3 ibid. 4 ibid.

Brazil, March 17, 2014. 7 ibid.

Rio das Pedras

The Residents’ Association is vocally proud of their home, and feels that Rio das Pedras is a special place that has succeeded despite the absence of government resources, in large part due to their own efforts.The president Fabricio Jose dos Santos, and his advisor Jorge Alberto Moreth, expressed in an informal interview that they believe Rio das Pedras “has the best Resident’s Association in all of Rio de Janeiro, or even all of Latin America!”3

the Association established three years ago.56 The president expressed to us that though the community has become secure and organized, they still need outside assistance to improve certain problems they face.

A Toolbox for Community Improvement

and it is unclear how this processed is carried out, but it does not appear that residents have influence on who works for the organization.

A Toolbox for Community Improvement

Rio das Pedras

32

Cláudia Franco Corrêa and Irineu Soares O Projeto do Núcleo de Cidadania de Rio das Pedras Cláudia and Irineu run the Núcleo de Cidadania de Rio das Pedras (Citizenship Center of Rio das Pedras), a privately funded office with the goal of providing conflict resolution services and legal advice to the residents of Rio das Pedras. They also run a local newspaper, A Voz “If there is any favela in Rio de Janeiro that has the potential for urbanization, it’s Rio das Pedras.”

Claudia Franco Corrêa, Director of Núcleo. Source: Studio X Rio Flikr account

do Rio das Pedras, which Cláudia claims has a circulation of 20,000 copies every two weeks, which she believes shows a strong community aptitude for engagement and communication.10

the Resident’s Association to resolve property disputes in the neighborhood, and is highly aware of the physical threats that face the community.14 While guiding on a walk through the community, he noted that “unintentional Cláudia is the head of Núcleo and grew up in basements have formed as a result of [buildings Madureira, a working class neighborhood in the sinking into the soft soil]... people have started Zona Norte of Rio de Janeiro. She began working to build above ground, knowing that the in Rio das Pedras as a lawyer several years ago, buildings will one day sink.”15 dealing with claims to property entitlement and has since become extremely invested in Their efforts to promote formalization have working towards transforming Rio das Pedras been critically supported by a major funder: into a formally recognized neighborhood of Rio Ronald Levinsohn. Levinsohn is a private de Janeiro.11 She believes that Rio das Pedras property owner who possesses many of the is a desirable place to live, asserting “Rio das businesses in Rio das Pedras as well as some Pedras is a city that has pulse… that doesn’t of the land that the original settlement was sleep… that has life,” continuing that “if there built on (though no maps or official data to is any favela in Rio de Janeiro that has the indicate where, and exactly how much, of the potential for urbanization, it’s Rio das Pedras.”12 land in the community this means).16 Levinsohn In 20-30 years, she sees Rio das Pedras ceasing has involvement with several other major to be labeled a favela and becoming known as a organizations in the city, such as the Fundacao bairro (neighborhood). de Amparo a Pesquisa do Estado do Rio de Janeiro (FAPERJ) and a private university Her partner, Irineu Soares is also a lawyer named UniverCidade, which runs the ‘Núcleo’ that has been working in Rio das Pedras for facilities in Rio das Pedras as a research lab. His several years, focusing on conflict resolution influence in the city in large, and it is unclear within the community and providing legal what kind of direction he has over the actions assistance to residents.13 He works closely with of activities of Núcleo. 10 Cláudia Franco Corrêa (director, O Projeto do Núcleo de Cidadania de Rio das Pedras), multiple informal conversations with authors, Rio de Janeiro, Brazil, March 15-27, 2014. 11 She describes this as a linear process of obtaining zip codes to formally accessing municipal water and electricity service. Corrêa, Cláudia Franco. “Favelas and Development.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 18, 2014. 12 ibid 13 Irineu Soares (Núcleo de Cidadania de Rio das Pe-

dras), multiple informal conversations with author, Rio de Janeiro, March 16-19, 2014. 14 Irineu Soares, multiple informal conversations with authors. 15 ibid 16 As reported in the New York Times in 1991, Levinsohn was characterized by the then Governor of Rio de Janeiro as a ‘slum lord’, and it appears he owns the land surrounding several condemned condominium buildings on the east side of the community (James Brooke, March 10 1991).

33

17 Corrêa, Cláudia Franco. “Favelas and Development.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 18, 2014. 18 ibid 19 ibid

Despite the vibrant local economy, which Cláudia views as a large asset for Rio das Pedras, she identified several challenges which prevent the community from achieving her vision of becoming a fully integrated and formalized neighborhood. She first points out that a large portion of the population is illiterate and from the North East, for whom it is socially very difficult to assimilate and integrate in Rio de Janeiro.20 Additionally, many residents are unregistered citizens, and therefore cannot vote or attend school. Despite a number of campaigns to get people registered, participation in these activities is so limited that some residents are only issued 20 Corrêa, Cláudia Franco. “Favelas and Development.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 18, 2014.

birth certificates when they die.21 Similar to the Resident’s Association, Cláudia also expressed concerns about the over-densification of Rio das Pedras and fears that the current system of service provision will soon be overloaded.22

21 ibid. 22 Conversation at Núcleo, Rio de Janeiro, Brazil, Monday March 17th, 2014.

Rio das Pedras

The Núcleo recently completed its own enumeration of businesses and institutions in Rio das Pedras, believing that there is great levels of inaccuracy in government censuses and surveys in favela communities. They believe that the survey has provides more accurate, and much more detailed, data on these subjects. Based on their work, Núcleo believe there are approximately 4,000 businesses in Rio das Pedras, and that 74% of these business owners live within the community themselves,18 suggesting a strong local market and a selfsufficiency of both demand and labor. Their surveys also suggest that an estimated 80% of the properties in Rio das Pedras are being rented,19 which may indicate a fluid real estate

market but also reveals a potential vulnerability of many of its residents who do not have secure forms of tenure (which is particularly problematic is damage to their property occurs during flooding).This dynamic is further complicated by the local municipal codes, which mandates that favela residents can only maintain exclusive use rights on plots of land which are their primary places of residence or employment (Fernandes 2002), placing owners that rent out their property in a weak position if their ownership was to ever be questioned by the formal authorities. Our vocabulary for describing real estate transactions does not map on to the Brazilian discussion of tenureship rights, and that it why it is important to establish exactly what ‘renting’ means in this context. Cláudia and Irineu’s work is key to this process.

A Toolbox for Community Improvement

According to the Brazilian Constitution, housing is a civic right. Cláudia places a high value on gaining legal land tenure statuses for residents, and views this as a fundamental part of realizing full citizenship rights. Cláudia asserted that ‘citizenship’ has a much broader meaning in Brazil than it does in the United States, encompassing issues ranging from the provision of services and the right to the city as well as human rights. However, she fears that in Rio de Janeiro individuals must “purchase their citizenship rights” (though she did not fully elaborate what this transaction entails), and that such barriers to rights are widening the inequalities between the formal and informal city.17

A Toolbox for Community Improvement

Rio das Pedras

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Community Member in Rio das Pedras Gabriele Rocha Gabriele Rocha grew up in Rio das Pedras, and most of her family lives there. She recently received a scholarship to attend the Pontifical Catholic University of Rio de Janeiro and study architecture, and hopes to design a thesis project which will benefit the community where she lives.23 23 Rocha, Gabriele, multiple informal conversations with author, Rio de Janeiro, Brazil, March 16-21, 2014.

“It takes me 2 hours to get to class!”

She plans to move out of Rio das Pedras some day to be closer to work, as it currently takes her an hour on average to travel to her school in Zona Sul by public transport, and up to two hours in heavy traffic.24 Her desires may not represent the average community member, however, as she speculated her her mother would never consider leaving the community. Their family has strong roots there and enjoys the tight knit community, their proximity to businesses, and the lower cost of living. Gabi also feels very safe in Rio das Pedras, explaining that she would never walk alone in Centro after dark but feels safe strolling around Rio das Pedras at all hours, crediting its intense and constant street level activity.

over the streets that she says occasionally electrocute people during rain storms. There is also a lack of cultural activities, something she hopes will be considered in future interventions. Gabi has a strong connection to Rio das Pedras, and expresses a concern about the other architecture students who “are destroying our city to build a city that is not ours” when they thoughtlessly encourage the demolition of the existing city.27

Gabi does not think the formalization of Rio das Pedras would be beneficial to the entire community, because it could become too expensive for the poorer residents.25 While she recognizes the benefits this would bring in terms of more reliable service provision26, she is afraid it would end up displacing vulnerable residents. She believes the main challenge facing Rio das Pedras is its high density and insufficient formal service provision - expressing that it seems like every day there is another house and with it more people trying to use the same amount of resources. This creates secondary problems with electricity, as the illegal wire hookups (connecting individual residences in each building to power lines), or ‘gatos’ as they are known, form a thick canopy of wires

Gaby Rocha. Source: Personal facebook page

24 ibid. 25 ibid. 26 Currently, Gabi only has to pay for electricity and water, but the service for both can be unreliable. ibid.

27 Rocha, Gabriele, Personal Conversation, Studio X, Rio de Janeiro, Brazil, March 21, 2014.

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Although not all of the students in the workshop lived in Rio das Pedras, a majority of them called it home,28 and the fact that many of them commuted to Rio das Pedras from neighboring areas further demonstrated its status as a regional hub. The students portrayed Rio das Pedras in a positive light, explaining how most of their shopping was done in the community,29 how it was usually the place they met up and hung out with friends, and that there were 28 Students from CAIC, multiple informal conversations with authors, Rio de Janeiro, Brazil, March 19, 2014. 29 One female student cited that Rio das Pedras was a particularly reliable place to find clothing that matched current trends and pointed out that even if stores in Barra or Centro had wider varieties, the prices in Rio das Pedras were much lower. ibid.

Most eye-opening however, was the students’ 30 When asked to list these activities however, the students provided few examples, mentioning only soccer and the arcade games available at some cafes. ibid. 31 In response to an architecture student’s mention of bringing cable cars and swimming pools into Rio das Pedras, one male student reacted very critically, exclaiming that if the architecture student wanted to make them something useful, they should create them a bike lane. ibid

access to the internet and mobile social media. During the workshop, one of the more common topics of conversation between Columbia and CAIC students was the exchange of Facebook profiles, emails, and Instagram accounts.32 Similarly surprising was the large number of CAIC students that possessed modern “smartphones” with readily accessible and reliable internet service.33 Their connection to outside media and relative savvy with its applications provide considerable room for potential in involving and empowering these students in larger planning initiatives. 32 Many of the CAIC students were especially enthusiastic about having their photos taken by the many workshop photographers present and wanted to receive them via email and Facebook. 33 Although conclusions cannot be drawn about the economic status of the students, at least visually, there was a substantial amount of material wealth.

CAIC students during a Columbia Architecture Studio workshop. Source: Alexander Alktskan, Rio das Pedras, March 18 2014.

Rio das Pedras

As in the case of many favelas, Rio das Pedras has a sizable youth population.Although contact with this demographic during the fieldwork was limited outside of brief interactions on the street during site visits, a workshop with local students at the CAIC Euclides da Cunha educational center in Rio das Pedras proved particularly informative. Organized in conjunction with the Keith Kaseman and Raul Correa-Smith GSAPP architecture studio, the workshop revolved around having early high school level CAIC students critique and give feedback on the architecture students’ plans for mixed production and recreational spaces in the community. The students’ comments provided insight into their daily lives, desires, and needs.

a number of activities in the neighborhood available to them after school.30 During the critiquing, certain students shed additional light on the high usage of bicycles in Rio das Pedras, pointing out that bicycling was often a much more reliable mode of transportation in and outside the neighborhood, especially during times of high congestion, and identified another physical asset available to them in the area - a set of waterfalls in Jacarepagua that they use for swimming.31

A Toolbox for Community Improvement

Centro de Atendimento Integral a Criança e o Adolescente Students

A Toolbox for Community Improvement

Rio das Pedras

36

far the more vocal and conversational of the two guides and consequently is the source for most of our notes.

He provided many details on his transportation habits in and outside of Rio das Pedras. He Roberto and Douglas were two of the Studio’s disclosed that he typically leaves the community local guides during the fieldwork in Rio das a couple times a week to drive to neighboring Pedras. Although their official titles and exact Roberto was born and raised in Rio das Pedras, favelas in Jacarepagua and Itanhanga, such as roles in community life were never fully but his family moved there from Fortaleza, the Tijuquinha and Muzema, which he described as explained, it was stated that they worked with capital city of the Northeastern state of Ceará. “satellite favelas” of Rio das Pedras.37 When he Irineu Soares to help resolve conflicts and were He lives in Rio das Pedras with his wife, who travels to other parts of Rio de Janeiro, it is associated with the Residents’ Association.34 is also from the community, and his two-year mostly to Centro which he reaches by public However, after multiple days under their escort, old daughter. He never elaborated on what he transportation, citing the difficulty and cost of it became apparent that they had very deep ties did for a living other than helping Irineu Soares parking in that area.38 When asked about his in Rio das Pedras and carried an authoritative mitigate disputes in the community, but based shopping habits, he reiterated the sentiments rapport with its residents. These circumstances on the fact that he owned a car and a horse,36 of the students at CAIC that essentially any were both very helpful in gaining access and was able to spend multiple days showing us product or service he ever needed he could to community members and also provided around his neighborhood, we believe he is fairly find in Rio das Pedras.39 invaluable insight into the informal governance well-off by favela standards. He also explained several nuances of the real structure of Rio das Pedras.35 Roberto was by 34 Raul Correa-Smith (coordinator, Studio-X Rio), mul36 Roberto, multiple informal conversations with author, estate market in Rio das Pedras. Concerning tiple informal conversations with authors, Rio de Janeiro, Rio de Janeiro, Brazil, March 16-19, 2014. the idea of formalization, he believes that Roberto and Douglas

Brazil, March 15-27, 2014. 35 Roberto and Douglas were greeted by an overwhelming majority of people in the neighborhood no matter what section of it we were in. Observation, Rio de Janeiro, Brazil, March 17, 2014.

About half of the neighborhood wants to be districted as part of the City, particularly the property owners that stand to make a bigger profit.

37 Both of these favelas are less than five kilometers down the road from Rio das Pedras. ibid. 38 ibid. 39 ibid.

There is a problem of overcrowding in Rio das Pedras, “some people get bunk beds and live four to a room.”

Our community guides, Douglas and Roberto Source: Alexander Altskan, Rio das Pedras, March 18 2014

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Concerning his views on challenges and desires for Rio das Pedras, Roberto was generally positive, pointing out the bustling economy of the neighborhood and the close-knit culture of the community, and that he has been able to create what appears to be a comfortable life in this neighborhood. He also reiterated the Residents’ Association’s concerns over sewage service and waste management, citing that it struck him as the most clear shortcoming of Rio das Pedras45 and that addressing it would significantly improve the most lives in the community.

When asked about how the community coped with flooding, he said that there was no real strategy for emergency relief system set in place, and that most residents had to help one another neighbor-to-neighbor in the wake of disasters - a somewhat contradictory claim to that of the Residents’ Association’s.42 He also disclosed that when residents lose their homes or livelihood due to natural disasters, the Residents’ Association have carried out charity drives or collected donations for victims in the immediate aftermath, although it is up to these individuals to rebuild their homes to help them rebuild their homes or rehouse them, no otherwise.43 He did point out a few preventative action has been implemented and the families continue 40 ibid. 41 ibid. 42 ibid. 43 He pointed out the case of an entire block of houses in the Centro part of Rio das Pedras that collapsed about seven years ago, leaving multiple families homeless. The Resident’s Association did not have the funds to help these people and although the Prefeitura promised

to live in crude temporary housing on the outskirts of Rio das Pedras. ibid. 44 These flood gates varied from strategically placed boards of wood on the inside of doors to heavy-duty ramps made of steel and outfitted with rubber sides that could hold back standing water up to a meter high. Observation, Rio de Janeiro, Brazil, March 17, 2014. 45 Roberto, multiple informal conversations with author, Rio de Janeiro, Brazil, March 16-19, 2014.

Rio das Pedras

measures present in the community, namely the Association-operated alarm system, the water pump, and a variety of self-made flood gates on the doors of buildings near the river.44

A Toolbox for Community Improvement

about half of the neighborhood desires to be districted as part of the city, particularly the property owners who could make highers returns on their investments with the change in legality.40 The renters were less in favor of such a move because it would result in higher prices for space and services, which is common for residents as they do not have enough income to purchase property rights. He also claimed that the average rent in the neighborhood was already fairly high: R$400/month for a queen bed studio, which many residents struggle to afford leading to creative uses of space - using bunk beds and sharing rooms with up to four people.41

A Toolbox for Community Improvement

Rio das Pedras

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Studio-X Rio

architecture firm traversing the boundaries of architecture and art, through which he has Pedro Rivera worked closely with Fajardo. (RUA Arquitetos, 2014). Their award-winning projects include Studio-X Rio has taken on the Rio das Pedras the Olympic Golf Course for Rio 2016, as well Initiative at the request of Washington Fajardo as the Rio de Janeiro section of 2014-2015 as aforementioned, however, both the director, exhibition Uneven Growth: Tactical Urbanisms Pedro Rivera, and the coordinator, Raul Correa- for Expanding Megacities at the Museum of Smith have unique views on the capacities and Modern Art in New York (RUA Arquitetos, potentials of the community. 2014).

era” of development.48

Pedro highlighted three areas of focus for proposals for Rio das Pedras: sanitation and water management; local and regional economy; and, population growth management for both Rio das Pedras and the surrounding region. Addressing each of these areas through a regional approach would aid in integrating the community into the fabric of the city as a whole. He also spoke of the need to avoid Apart from being the director of Studio-X Rio, Pedro spoke of many possible realms for physical temporary or interim solutions to problems in Pedro Rivera is a professor at the Pontifical interventions to be implemented in Rio das the community, due to the municipality’s history Catholic University of Rio de Janeiro and a Pedras, and believes strongly that the physical, of neglecting the final stages of intervention founding head of RUA Arquitetos, a Rio-based social, and economic connectivity between the community, the surrounding region, and the rest 48 ibid “Investing in favelas means investing in the of the city needs to be improved. He suggested future of Rio de Janeiro.” that these goals may be realized by thinking of ways to leverage Olympic investments to benefit the community, emphatically asserting during a lecture at Studio-X Rio, “investing in favelas means investing in the future of Rio de Janeiro.”46 Pedro believes that at present, the municipality is planning the city for an international audience, but should be carefully considering the needs of its constituents and the pivotal role that favelas could have in shaping the future of Rio de Janeiro.47 He asserts that there must be a change in attitude, moving beyond social programming to pay a “historical debt” to the favelas toward viewing favelas as the future in what he calls a “post-Favela Bairro

Source: Studio X Rio Flikr account

46 Pedro Rivera, multiple informal conversations. 47 In this vein, Rivera stated, “we are not the ones who will decide what happens next in the city, much larger plans are at play and bigger ideas show the priority of the city,” ibid.

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Raul is a professor of architecture at the Pontifical Catholic University of Rio de Janeiro as well an adjunct assistant professor at GSAPP in addition to his role as the coordinator of Studio-X Rio . He also founded ‘Faíscas’ which is an initiative that seeks to examine the intersection of art and architecture through public engagement (CAU PUC-Rio, 2014). Prior to this, he was a practicing architect for several years with Studio Daniel Libeskind, a firm based out of New York (Studio Daniel Libeskind, 2013).

“...juxtaposing potentiality and vibrancy... articulates that there is [both] good and bad in this community.”

Raul emphasized the strengths and existing capacities of Rio das Pedras, namely highlighting that the strong systems of internal organization allow for the opportunity for the community to set their own priorities. As such, he believes the city must conceive of new, more collaborative ways in which communities like Rio das Pedras must be administered in such a manner that both the favela and the city have something to gain. He believes that to this point, favelas have been viewed as vulnerable communities, and that this implies the necessity for outside intervention and, “connotes a type of decision making for other people.”50 There is opportunity to put forth effective proposals for Rio das Pedras if one “...juxtapose(s) potentiality and vibrancy 49 ibid 50 Raul Correa-Smith (coordinator, Studio-X Rio), informal conversation with authors, Columbia University, New York, NY, March 6, 2014.

Source: Studio-X Rio flickr account

Rio das Pedras

raul correa-smith

A Toolbox for Community Improvement

projects and allowing such solutions to become permanent.49

A Toolbox for Community Improvement

Rio das Pedras

40

to articulate that there is good and bad in this community.”51

51 ibid

The biggest challenge in addressing the problems facing Rio das Pedras and other informal communities is “To continuously improve then informally built environment but still control informal growth” and exerting additional municipal control in the favelas.

Source: Studio X Rio Flikr account

Washington Fajardo,The Mayor of Rio de Janeiro’s Advisor on Urban Issues

Rio das Pedras began after examining the rapid growth and strong internal organization of the community. He believes that given its location near the rapidly expanding Barra da Tijuca Washington Fajardo acts at the Mayor of Rio region and Olympic development sites, that Rio de Janeiro’s Advisor on Urban Issues, and das Pedras is in a unique position to receive expressed that there is municipal interest in positive externalities from these projects and investigating the conditions of Rio das Pedras, may catch some of the international attention as it is the largest favela in the Barra da Tijuca coming to this area in the form of investments. In sub-prefeitura, the fast growing region in Rio particular, Washington mentioned the impacts de Janeiro.52 When giving a lecture on the nearby investment could have on the already planning challenges facing Rio de Janeiro at strong real estate market. Overall, his interest Studio-X Rio (entitled Rio de Janeiro in the Eye in the area is still anecdotal, and didn’t disclose of the Hurricane) he stated “...it is important any formal plans the municipality has for the to understand the development history of the area. His interest in the community, however, formal and informal areas of the city and to was the catalyst for the Rio das Pedras Initiative, consider that two different planning approaches and it was Washington Fajardo who brought may be necessary in addressing needs for each the idea of creating this collaborative think tank of these areas,” continuing with the question: together to study the community. Ultimately, it “there are two cities fighting with each other in seems that he believes the work done for the different ways ...How do we incorporate both Initiative could not only inform future projects cities into development sites?”53 in the community, but also serve of a reference for successful community practices that could The biggest challenge that Washington sees in be used in other favelas in the city.55 addressing the problems facing Rio das Pedras and other informal communities is how to continuously improve the informally built environment but still control informal growth, acknoledging the perceived need for “additional municipal control in the favelas.”54 His interest in 52 Washington Fajardo (Mayor of Rio de Janeiro’s Advisor on Urban Affairs), Skype conversation with Laura Groves, Alejandro de Castro Mazarro and Marcela Tovar Restrepo, March 7, 2014. 53 Fajardo, Washington. “Rio in the Eye of the Hurricane.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 17, 2014. 54 Fajardo, lecture.

55 Fajardo, lecture.

3

Assessment

Previous page: Many Residents dispose of their trash by burning it. This area by the Lagoon serves as an informal landfill, with a view of the wealthy condominiums of Barra da Tijuca in the background. Source: Rebecca Book, March 16th 2014, Rio das Pedras

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In order to carry out this assessment, the assets in the community, their problems and potentials, and the challenges facing Rio das Pedras were identified in a multitude of dimensions. The premise of this methodology is to leverage potentials within and without the community to capitalize on existing assets, while minimizing the impacts of current problems and being mindful of barriers to success. Subsequently, this diagnosis may be used to determine the suitability and feasibility of proposed interventions.

Rio das Pedras

In working towards the goal of making Rio das Pedras an integrated part of Rio de Janeiro, it is crucial to closely analyze its environment in a structured manner to guide the formulation of proposals for interventions.As aforementioned, this community exists in realms of both formality and informality - making accurate examination of its economy, society, and infrastructure provision especially difficult. The cities of Brazil are projected to have sustained growth for the next several decades (Instituto Brasileiro de Geografia e Estatística, 2013), and per the Harris-Todaro model, this implies the growth of the favela in urban areas of the nation will match this projection (Harris & Todaro, 1970). Thus, this investigation of Rio das Pedras is warranted on multiple accounts. Firstly, to address the problems and maximize the potentials of the community as they stand today. Secondly, to try and redress disagreement regarding conceptions of the favela and its place in the city’s urban fabric (Dymski, 2011).Thirdly, to assert the need for equitable and mutually beneficial growth patterns and development in both formal and informal areas of Rio de Janeiro.

A Toolbox for Community Improvement

3.The Assessment

A Toolbox for Community Improvement

44

R IO

DAS

P EDRAS

Asset: Open space in the Parque Nacional da Tijuca

Asset: Businesses along Avenida das Engenheiro Souza Filho

Asset: Famous Castelo das Pedras Nightclub

Potential: Problem: Employment in Flood-prone marsh- Barra da land Tijuca

Problem: Pollution in Lagoa da Tijuca

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These assets covers a breadth of categories. Built homes are a primary means of investment for the people of Rio das Pedras, and these structures are constantly being built, rebuilt, and renovated to meet the needs of a given household.1 In many cases, these homes are also sources of continuous income when used as rental properties, or large capital gains if their use rights are sold. Businesses are another physical asset prevalent in Rio das Pedras. There are approximately 4,000 businesses in the community, 1500 of which are formally registered,2 constituting a large segment of income generation in the community.

3 Site observations, Rio das Pedras, Rio de Janeiro, Brazil, March 17, 2014

considered. Rio das Pedras contains a mixtures of formal and informal service provision. The main roads have been paved by the city, but do not have formally recognized street names. Water and electricity are siphoned from municipal and private formal distribution networks to individual households. Sewage disposal is highly irregular, with limited sewage service provided by the municipality. It is important to note, however, that even formally provided sewage service does not lead to sewage treatment, which has resulted in severe pollution of nearby water bodies as most waste

Material goods, vehicles, and machinery are another category of physical assets that residents of Rio das Pedras invest in significantly. While acquiring these items are often necessary to run a household or business, they also may indicate patterns of excess consumption as a means to compensate for a lack of rights associated with 1 Rivera, lecture. 2 Corrêa, lecture.

Informally constructed housing in Rio das Perdras is often of very high quality. 3/16/2014 Source: Carla Betancourt March 16th 2014, Rio das Pedras

Rio das Pedras

full citizenship and legal tenure status (de Souza e Silva, 2014). For example, the most precarious Rio das Pedras is a neighborhood with a housing in Rio das Pedras can be found in the multitude of assets, many of which have been Areal neighborhood in which residents were discussed in the preceding characterizations supposed to be relocated to more physically of the community provided in this report. For stable areas. It has been seven years since many the purposes of this diagnosis, these resources of them have begun occupying the land, and have been classified in five primary categories: as a result of uncertainty of occupancy, many physical assets, land assets, income assets, residents have purchased washing machines in savings and credit based assets, and community lieu of investing in homes.3 and social assets. Infrastructure is the final class of physical asset Physical assets:

A Toolbox for Community Improvement

3.1. Assets

A Toolbox for Community Improvement

Rio das Pedras

46

Social asset: community square

The Plaza of the Residents’ Association. Source: Hannah Fleisher, March 16th 2014, Rio das Pedras

Physical asset: private recycling center

Physical asset: Open air cafe

Physical asset: Sushi restaurant

Physical asset: Residences

Social asset: Public-use soccer field

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Land assets:

Accumulation of these assets are limited due to lack of access to formal banking services. Lack of proof of address and formal employment streams are limiting factors to accessing such services.9 The Itaú bank in Brazil has provided limited access to loans for low-income entrepreneurs in the informal or “shadow” economy through the Business Call to Action (BCtA) program which is backed by the United Nations Development Programme (UNDP, 2014). In general however, access to loans and credit is based on social networks through informal “trust credit” - informal and unrecorded lending through personal relationships.10 A DJ spins music in the plaza of the Residents’ Association on sunday Afternoons. Source: Rebecca Book March 16th 2014, Rio das Pedras

revenue to rent acquired from leasing use rights or built apartments.7 Residents of Rio das Pedras are also employed in a variety of sectors and degrees of formality, but primarily Income assets: service, hospitality, and domestic jobs within the community and in neighboring regions such These assets can have many forms and must as Barra da Tijuca. The community also fosters be characterized in a variety of dimensions. development of the original skillset of migrants There is quite a diversity of income sources from the Northeast of Brazil to Rio das Pedras and streams of employment ranging from in construction, through learning by doing in formal municipal employment to small business the community. It is projected that a significant portion of the population is employed in 4 Raul Correa-Smith, informal conversations. construction-related sectors outside of Rio das 5 Fabricio Jose dos Santos and Jorge Alberto Moreth (president and advisor, Rio das Pedras Resident’s Associa- Pedras.8 tion), informal conversation with authors, Rio de Janeiro, Brazil, March 17, 2014. Corrêa, lecture. 6 Corrêa, lecture.

credit-based

7 ibid 8 ibid

Community and social capital assets: A strong sense of community is one of the greatest assets of Rio das Pedras, demonstrated by the use of informal trust based loans, for example. The level of organization of the community is also an asset, despite issues inherent to the role of the Resident’s Association. In many ways, the Resident’s Association may be seen as a barrier to democracy for the inhabitants of Rio das Pedras, but simultaneously, the organization is recognized for providing services and a decent standard of living to this community when the municipality has failed to do so (Franco Corrêa, 2012). Besides these relationships and networks, community-held public spaces 9 ibid 10 ibid

Rio das Pedras

This category of assets are considered separately, as most residents of Rio das Pedras do not formally “own” title to the land that their homes and businesses are built upon. Exclusive use rights to build upon land are initially issued by the municipal government to those who can prove a claim to occupation of at least five years, and are subsequently bought and sold in a real estate market system (Pamuk & Cavallieri, 1998)(Scruggs & Acoca-Pidolle, 2013). Thus these use rights represent unique assets, and these transfers are carefully documented by the Resident’s Association.56 The net worth of the “land assets” of the residents of Rio das Pedras are measured through the value of the transactions recorded and tracked by the Resident’s Association (Amarante, 2012). In this sense, the necessity to establish paralegal land use rights has led to the empowerment of the Resident’s Association as a parastatal entity.

and

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Savings assets:

is directed into them.4

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Tension between (in) formality: Siphoning electricity from municipal grid

Rio das Pedras

Poor services: Sewage directly piped into ‘Rio das Pedras’ river Poor services: Unpaved roads

Physical vulnerability: Informally built houses sink in soft marshland

Physical vulnerability: Low-lying land prone to flooding

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3.2. Problems

Access to assets and services: This problem primarily refers to the inequitable access to services and overall deficits. Disparity of access may be examined by comparing Rio das Pedras to formal areas of the city, but also within the community itself. This inequality is a function of spatial location and income, as those located in the poorest, most low- 1 Raul Correa-Smith (coordinator, Studio-X Rio), multilying, and flood-prone areas of Rio das Pedras ple informal conversations with authors, Rio de Janeiro, Brazil, March 15-27, 2014.

Rio das Pedras

receive the least service provision and live in homes of precarious conditions (IBGE, Analysis of the five asset categories through 2010). On the other hand, these clear biases fieldwork and secondary research has revealed can also be attributed to positioning within threats to these assets, which we group into social networks, particularly with respect to three common, cross-cutting problems: (1) the Resident’s Association1. The extent of the physical vulnerability, (2) access to assets and influence of each of these factors to inequality services, (3) externalities due to tensions is ambiguous, but it is apparent that the dynamic between formalities and informalities. between spatial and social factors lends to a Understanding these problems, and grouping self-exacerbating cycle. in such a way, allows our analysis to identify overlapping issues in the community and the Tension between formality places where intervention and attention could and informality: create the most widespread benefits. The friction between the governance of the Resident’s Association and formal municipal Physical vulnerability: government impedes upon advancement These problems threaten physical, land, and and development of assets by complicating income assets while limiting opportunity for transactions required for property sales and savings. Flooding and water management business registration, among others (Corrêa issues in particular have been prevalent in 2012). Furthermore, it is unclear what success the past several years, limiting progress and individual initiatives for mobilizing change and development by necessitating rehabilitation of progress might have under the current power homes and businesses. Residents are forced structures. to use limited savings, and often borrow funds from family members and neighbors to rebuild on an annual basis (Corrêa 2012).

A Toolbox for Community Improvement

and buildings are important community assets, which are limited in Rio das Pedras. Finally, the individuals comprising Rio das Pedras are assets themselves. Each member of the community carries unique knowledge and skills, collectively representing a zone of entrepreneurship (de Soto, 2000) and a labor reserve for the city with a capacity for learning-by doing. In fact, the percentage of favela residents in Rio de Janeiro who work exceed that of the residents of the formally recognized city (Abramo, 2009). Therefore, Rio das Pedras is home to tremendous human capital that may be captured, given the appropriate tools.

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Community-led interventions:

This group represents potential improvements to the community that could most feasibly be carried out by the community itself, due to the scale of the proposals and the intimate knowledge of the community required to carry them out. These initiatives would empower the residents, those who know Rio das Pedras best, such as creating standards and formal considerations such as building guidelines, water management practices, street-use regulation, and programming of public spaces. Another area of opportunity for community-led initiatives is community-based education and skill-building wherein capacity may be built in a breadth of fields. First, flood risk mitigation and disaster management training workshops would have immediate benefits in preventing losses to assets. Another area of interest in which some initiatives are already underway would be financial literacy and entrepreneurship since small-business ownership is so prevalent. Bestpractices for maximizing returns on investments could be disseminated while allowing for idea exchange within the community. Technical and vocational training workshops would allow for better management of infrastructure within Rio das Pedras while capitalizing on existing construction skillsets and preparing individuals for skilled labor employment opportunities in other areas of the city. In both entrepreneurship

and technical aspects, existing knowledge stock could be capitalized upon, leveraging expertise which has been cultivated over the years (Beereport, 2004). Furthermore, building awareness of existing social programs would aid residents of Rio das Pedras navigate and maximize use of the complex portfolio of options available at the federal, state, and municipal level for household assistance, training opportunities, and neighborhood upgrading. In this sense, community-based education provides an opportunity to build technical and entrepreneurial capacity and public awareness. Broadly speaking, this approach aims to mobilize change through standardization and education at the community level and use this as a means of building a case for Rio das Pedras to be recognized as a legitimate and productive neighborhood, thereby incentivizing external formal investment for larger-scale interventions. Over time, both publicly and privately led investments would facilitate the expansion of formal infrastructure, land use designations, municipal services, financial services, and training or certification programs with community input.

Rio das Pedras

In order to position Rio das Pedras for the possibility of formal recognition and integration within the city of Rio de Janeiro, problematic areas of the community must be ameliorated and the potential of assets must be maximized. After an analysis of the assets and problems in the community, and collection and analysis of interventions to address these problems, potential interventions were grouped into three areas of action, differentiated by the key actors required for their implementation. This approach has been taken to acknowledge the wide variety of stakeholders, actors and interest groups involved in the community of Rio das Pedras, and the various capacities and motivations they can bring to various projects. These three groups are: (1) community-led initiatives; (2) collaborative initiatives; and, (3) government-led initiatives. The specific proposals (including examples of similar interventions used elsewhere and concepts for implementation) associated with each group will be overviewed in the “Tools” section of this report. In this section, we will first discuss the function, concept and overall impact each set of proposals can have on the community.

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3.3. Potentials

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Coordination between Rio das Pedras and its economic, social, and spatial surroundings presents another area of potential for improvement for this community. Building these networks would lend to the goal of integrating Rio das Pedras into the urban fabric of Rio de Janeiro as a whole. Community upgrading thus far in Brazil has taken a largely top-down approach through a series of projects and programs at varying levels of government. These efforts, such as Favela Bairro, are often prescriptive in defining infrastructure outcomes, leaving little room for community definition of needs or input. These programs have included some participatory approaches, but tend to bring strong agendas to the communities they are implemented in. A fully participatory approach to upgrading would allow for more tailored solutions for a community like Rio das Pedras while including all of the necessary actors with capacity and power to ensure successful implementation. Working off of educational and capacity building activities just proposed, Rio das Pedras could prepare for the process of using government programs and both solicit and direct the outcomes of such interventions more effectively.

There is also potential to strengthen economic ties between Rio das Pedras and the rest of the city in terms of production, consumption, and employment. The community can build upon existing areas of economic activity, such as the construction material sales, by reaching to outside markets to become a point of production and distribution (Gomes, 2006). Conversely, Rio das Pedras represents a market with significant purchasing power that may be harnessed by outside vendors in a mutually beneficial manner. One such option is the utilization of micro-distribution networks to open up the market of this informal settlement while providing potential employment opportunities to residents. Collaborative initiatives also require careful consideration of the potential impacts of intervention that may not be apparent to outside parties. For example, tailored risk assessment is a critical tool for identifying the most vulnerable groups within the community. Such a model must represent community perceptions of exposure to danger in socioeconomic terms in addition to more traditional scientific models focusing on physical risk that would be carried out by parties from outside the community, such as government agencies, private investors looking to build in the area, or researchers.

The Rio das Pedras Initiative itself is a unique forum through which these synergies may be built out. In one regard, Studio-X may be viewed as an incubator for proposals for Rio das Pedras emerging from a breadth of academic disciplines. However, Studio-X is strategically placed to has the opportunity to strengthen ties between academia and Rio das Pedras, the municipality, and private actors with the power to realize change in the community to progress ideas to reality.

Rio das Pedras

Collaborative initiatives:

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The proposals set forth for Rio das Pedras have the common goal of working towards a paradigm shift in how the community is viewed. In other words, moving from the perception that this informal neighborhood is a separate entity towards viewing Rio das Pedras as being a critical element of Rio de Janeiro’s vitality. Any formalization of Rio das Pedras, in terms of its relationship to the municipality, must be taken on through institutional reform as well as through the normalization of the physical and economic environments of the neighborhood by introducing a process of adhering to formally established standards or models. Taking on formalization from these two fronts will inherently result in breaking down barriers between the residents of Rio das Pedras and the rest of the city. Institutionally, there must be a shift in the approach taken to favela upgrading and integration. As a precursor to implementation of any such initiatives, a case by case assessment of neighborhoods must be taken on to determine potential negative consequences to vulnerable groups and also to maximize benefits of any intervention. In this vein, options for interventions themselves should allow for greater flexibility and and customization as appropriate, a departure from current practice in Brazil.

With this established institutional capacity, take community desires into account, while upgrading schemes will be poised to ensure ensuring that the most at-risk groups are equitable favela-city integration. In a physical prioritized. sense, the introduction of formal water, sanitation, and utility infrastructure is a crucial step towards lessening the disparities between formal and informal neighborhoods. Improved transportation infrastructure and transit provision will also aid in integrating Rio das Pedras with the urban fabric of the city through improved accessibility and connectivity. The rights assigned to those living in informal communities, in terms of access to civic activities, must also be revisited to reduce inequality of opportunity. Initiatives in each of these areas must, however, take community desires into account, while ensuring that the most at-risk groups are prioritized. With this established institutional capacity, upgrading schemes will be poised to ensure equitable favela-city integration. In a physical sense, the introduction of formal water, sanitation, and utility infrastructure is a crucial step towards lessening the disparities between formal and informal neighborhoods. Improved transportation infrastructure and transit provision will also aid in integrating Rio das Pedras with the urban fabric of the city through improved accessibility and connectivity. Initiatives in each of these areas must, however,

Rio das Pedras

Government-Led Initiatives:

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3.4. Challenges These initiatives will undoubtedly have obstacles that are heavily dependent on the dynamics of different stakeholder groups. Responsibility and accountability for funding and administration of each of these endeavors would be an area of contention. Resolutions would depend heavily on what the primary objective of stakeholder groups in positions of power are, and what their particular interest in the advancement of Rio das Pedras is. These objectives could range from risk mitigation to potential maximization to formalization. Another area of challenge would be designation of who should be empowered to set standards and enforce them. The Resident’s Association is sufficiently organized to do so, but this may lead to the heightening of inequality and barriers to democracy. On the opposite end of the spectrum, an inclusive community movement may not have the means to start up and maintain these initiatives. The key to overcoming these hindrances is incentivizing participation from and collaboration across multiple stakeholder groups

Residents

Local Authorities: Resident’s Association Local experts: Núcleo International Advocates: Studio-X

Fostering collaborative relationships which utilize the skills and resources of all stakeholders and encourage participation from residents is one of the biggest challenges in implementing our plan. Source: Rebecca Book March 16th 2014, Rio das Pedras

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Our intention is not to synthesize these perspectives and interests into a singular narrative but rather critically reflect on them in order to create a measured and varied set of recommendations and interventions. These recommendations and interventions will be presented in the next section as the “Tools” for community improvement, and are designed to address a variety of concerns, perspectives and needs in the neighborhood within the context of social progress and recognition of Rio das Pedras for its strengths.

These connections have brought about collaborations in both realms of analysis and proposal building, with input from many experts on the intricacies of the community itself, and development of the built environment in Rio das Pedras, Rio de Janeiro and abroad. The exploratory nature of the Rio das Pedras Initiative also provided a rich environment to critically reflect on fundamental questions of how proposals for the community may address issues of marginal citizenship, advancement of informal communities and the future of Rio de Janeiro as a whole. In this sense, our client Studio-X Rio has fulfilled the role of facilitator and mediator in conceptualizing potential improvement and development of the vibrant community of Rio das Pedras.

Rio das Pedras

We realize that our client, being Studio-X Rio, does not have a direct stake in the on-goings and future of Rio das Pedras. The effects of interventions implemented in this community, or the impacts of neglecting to do so, does not affect the livelihood of Studio-X Rio as a group. However, their large effort to organize and effect change in Rio das Pedras has the potential to be quite fruitful. The resources they possess, and the efforts being consolidated through the Rio das Pedras Initiative provides two unique opportunities for shaping community improvement. Firstly, the ability to reconcile the many perspectives on, and visions for, the community as presented in the preceding sections of this report. Secondly, this reconciliation can be directed in a manner that will find synergies between visions and maximize benefits to the most vulnerable groups within the community.

Working through the lens curated by the Rio das Pedras Initiative, via Studio-X Rio, allows for the unique opportunity to connect with a multitude of stakeholders, experts and interests groups associated with the community. Additionally, Studio-X Rio also works closely with the Columbia University Global Center in Rio de Janeiro, which facilitates ongoing research collaboration between the university and the state of Rio de Janeiro, as reflected in recent partnership agreement signed between the Rio de Janeiro State Funding Agency (FAPERJ) and the Global Center (Columbia University, 2014).

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3.5 Our client’s role in the future of Rio das Pedras

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3.6. Our vision for the future of Rio das Pedras

Although these efforts have, at their core, aimed to improve quality of life for favela residents and the city at large, they have also Our research and site assessments, interviews contributed to a conception of the favela as and conversations have revealed a multitude of a place separate from the formal city of Rio opinions on the state of Rio das Pedras, the de Janeiro. Furthermore, these efforts have favelas of Rio de Janeiro, and the function of been controversial and contentious - often informal settlements in general. Since favelas struggling to fully come to fruition, and igniting developed in Rio de Janeiro over 100 years ago, debate about underlying intentions. A critical alternating efforts have been made to eradicate, step in ameliorating these discrepancies is the upgrade and regularize them. At the moment, inclusion of such communities in their own favela improvement efforts are predicated on planning processes, which we advocate for physical upgrading, social programming, and unrelentingly. police-led ‘pacification’.

Channelizing the river and the construction of formal bridges could assist in the realization of our vision. Source: Rebecca Book

Given the scope of this project, however, we do not imagine that any ideas we propose in this report will not meet the same (deserved) scrutiny, and would thus like to make our intentions explicit. It is our belief that Rio das Pedras, and the favelas of Rio de Janeiro, must be conceived of as legitimate, indispensable, and positive components of the entire city’s fabric and vitality. This statement is not to deny the challenges they face, but rather, represent the ideological concept that must underlie all actions taken within these communities. We must not only conceive of ways to improve Rio das Pedras, but also the ways Rio das Pedras can improve the city too.

4

The ToolBox

Previous page: a shop selling construction materials in Rio das Pedras Source: Rebecca Book March 17th 2014, Rio das Pedras

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These tools do not have to each be used to make a positive impact, however, we will follow this section with our own recommendation about which we believe will address the most urgent issues facing the community, and will have the largest potential gain for the community and the region. While each of these interventions alone could contribute to improving the

Governm

Commu

Given the complexity of the political, social and economic systems surrounding and enveloping Rio das Pedras, as well as the history of intervention here and elsewhere in the city, we believe it imperative not to forward a concrete plan for the community, but rather a series of flexible recommendations that may guide future action taken by this community.

For each tool, the impacted assets and problems addressed will be outlined. Subsequently, potential avenues of improving some of these problems, while preserving and advancing assets will be proposed. Finally, the challenges facing implementation of these proposals will be addressed. Each tool will also be illustrated through applicable international case studies.

Collabo r

The separation of tools into three categories, as aforementioned, is based upon who the primary actors for initiation would be, recognizing for example, that many community-led interventions could benefit from government resources, and vice versa. Due to varying capacities of these stakeholder groups, each These interventions and actions, of course, category has a different time frame and budget require much coordination and cooperation, associated with it. Formally, these are: and rely on many stakeholders and actors in order to come to fruition. For these reasons, Community-led Interventions we have grouped our ‘tools’ into three relative categories: those to be initiated and informed Collaborative Initiatives by the community itself, those that will rely mostly on the municipality of Rio de Janeiro Led ive and administrators for initiation, and those that tyt i a n will rely on a combination of the two, as well as private investments.

Government-led Initiatives

Disaster Management

Small Business Preservation

Design Guidelines

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Community Upgrading

Flood Risk Assessment

Building Economic Networks

Sanitation Management

e

t-Led n e

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Physical Connectivity

Rio das Pedras

In order to respond to the problems and potentials facing the assets of this community, address the challenges inherent in implementing change, and reflect both our vision for the community and the goals of the Rio das Pedras Initiative, we have formulated a toolbox of eleven potential interventions and actions the community of Rio das Pedras can take.

quality of life of residents, they are designed to support each other and amplify the effects of other interventions in the area.

A Toolbox for Community Improvement

4 The ‘Toolbox’

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4.1 Community-led Interventions Community-led interventions are proposals that could be ignited by local actors with limited resources. Key actors include the Resident’s Association, Nucleo, and local religious institutions. In light of these institutions small scale and budget, community-led interventions are designed to strengthen the tight knit

SMALL BUISINESS TEMPORARY MARKET COMMUNITY BOARD WHITHIN 5 MINUTES WALK TO CB SMALL LOAN IMPLEMENTATION AREA IMPLEMEN

community that already exists and improve their meant to be a substitute to infrastructure or agency in working with governing institutions. services that governing bodies should provide, but rather, supplementary tools. Since primary Many of the community-led initiatives are actors are local and can avoid municipal meant to present interim solutions to issues of bureaucracy, this category of interventions has physical, economic, and social stability, enhanced a shorter time frame. by local knowledge, in light of government ineffectiveness in these areas. It should be noted that these proposals are not

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Offer resources to encourage and support entrepreneurship in Rio das Pedras. asseTs: Credit and income, social PRobleMs addRessed: Unequal access to assets & services, tension between formality and informality ChallenGes: Minimizing inequal access to flood relief resources. Managing resiliency measures internally, as municipal intervention could lead to relocation. budGeT: $$ TiMe fRaMe: Medium-term key aCToRs: Community members, Residents’ association, Business owners, Núcleo The market in Rio das Pedras is a source of income for local vendors. Source: Hannah Fleisher March 16th 2014, Rio das Pedras

Small business preservation is a mechanism aimed at supporting the existing and flourishing small businesses ecology in Rio das Pedras by improving the financial knowledge and literacy of business owners. Composed of vocational training and financial management workshops, this tool should enable unskilled workers to acquire marketable skills and educate business owners on better financial planning to develop a stronger foundation of credit and savings in the community, and thus greater security in investments.

Assets: Rio das Pedras is a vibrant community with residents participating in a diverse range of economic activities. In particular, small businesses are a driver of the local economy with four thousand merchants active within its borders, fifteen hundred of which are formally registered with the city1. Despite the already large number of establishments, there is still 1 This data is derived from an economic census conducted by Nucleo da Cidadania de Rio das Pedras, an NGO working within the community.

potential for growth and an improvement in efficiency. The businesses of Rio das Pedras supply goods and services to local residents as well as outsiders. The concentration of a diversity of goods and services, as well as competitive pricing2, attracts consumers from all around the region. Much of this diversity and cheaper 2 Common goods in Rio das Pedras are sold 50-60% cheaper than in formal areas of the city. Corrêa, Cláudia Franco. “Favelas and Development.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 18, 2014.

Rio das Pedras

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4.1.1 Small Business Preservation

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prices come as a result of the neighborhood’s informal status. The absence of zoning allows for liberal use of property; and vendors pay neither licensing nor taxes. In this sense, the circumstances of informality may be viewed as a product of capitalistic economic development (Dymski, 2011) and as an advantage Rio das Pedras provides. The history of a construction-industry workforce in Rio das Pedras also means there is a large pool of knowledge and vocational skills that can be utilized for educational programs. Problems: A major area of economic concern in Rio das Pedras is the security of capital, due to the physical vulnerability of many businesses, caused by frequent flooding, and the lack of financial safety nets.

upon their ability to operate with the same ease and convenience as their formal counterparts . Access to financial services such as banking and credit limit upward social mobility as well. Potentials: The economic sustainability of Rio das Pedras can be enhanced through community-based initiatives in the areas of physical asset preservation, financial literacy, and small business preservation. As such, this method can be viewed as a shift in the approach to favela intervention as previously taken on by the state, from focusing on the value of the physical to centering on the residents’ value gained from their own potentials (Dymski, 2011).

Community-based education is an effective way to ensure physical asset preservation despite the risk of flooding. Disaster preparedness The physical vulnerability of businesses in Rio and flood risk mitigation training workshops das Pedras undermines the stability of their would aid tremendously in preventing losses facilities and operation. Flooding can damage of home and business assets and savings during and destroy goods, and given that few owners flood events. Small business management and are able to obtain insurance, those that suffer financial literacy, or the knowledge of how to severe losses can literally be put out of business. manage personal finances, is another area of While even those that are not financially ruined opportunity for capacity building. As mentioned, by flooding damage, face obstacles and costs access to financial services is limited in Rio das involved with interruptions in operation and Pedras, but with increased financial planning, the cost of repairs. this disparity can be narrowed and more capital would remain in the community. The cost of dealing with flooding also inhibits the ability of business owners to accumulate Challenges: Both areas of education savings for further investment. This creates a and skill-building will inevitably have to dependence on immediate income and does overcome significant barriers. In particular, not set up the following generation for greater responsibility and accountability for the funding flexibility. Business owners also face issues and administration of such training workshops accessing municipal services which impede are of primary concern. It is important to

Vendors at the market sold mostly fresh produce and small personal items. Source: Hannah Fleisher, March 16th 2014, Rio das Pedras

ensure that appropriate subject-matter experts are involved in the development of such training to ensure that best-practices for disaster-preparedness and financial literacy are properly disseminated. Further, members of the community, particularly those most vulnerable to the impacts of flooding, should be incentivized to participate in this programming by highlighting that these processes will mitigate financial losses.

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Another approach taken in Indonesia focused on human-centered design workshops to reflect the values and context of particular communities. This level of customization makes community-based training effect for creating family budgets and managing business plans (HCD Connect, 2013).

Morrocan slums before the Cities Without Slums program. and a rendering of proposed social housing. Source: riadzany.blogspot.com

A training session on accounting in the informal sector in Java, Indonesia. Source: www.hcdconnect.org

Rio das Pedras

A postcard from Brazil’s school based financial education program, which reached over 26,000 students. Source: wbi.worldbank.org/

In Morocco, the World Bank facilitated credit education workshops to aid with a loan program to transition individuals living in informal settlements to formal homeownership while simultaneously working with private lenders to set up the necessary channels for lending (World Bank, 2013).

A Toolbox for Community Improvement

Logistics: In Rio das Pedras, there is also opportunity to take advantage of Brazil’s school-based financial education program which proved to change spending patterns in young adults to promote savings and discourage over-indebtedness. This program is a partnership between the Supervisory and Regulatory Committee of Financial Systems, Capital Markets, Private Insurance and Social Welfare, private sector, public sectors, and academia that was piloted in 2010. Lessons learned and best practices from this program may be utilized for community-based youth education (World Bank, 2013).

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4.1.2 Community based disaster management Provide safety procedures that ensure proper preparation and response to flooding. asseTs: physical, land, social PRobleMs addRessed: Physical vulnerability, unequal access to assets & service, lack of knowledge on emergency preparedness ChallenGes: Minimizing inequal access to flood relief resources. Managing resiliency measures internally, as municipal intervention could lead to relocation. budGeT: $$$$ TiMe fRaMe: Medium-term key aCToRs: Community members, Residents’ association, government programs Disaster management should be used to improve the resiliency of Rio das Pedras to flooding. Combining emergency procedures with disaster preparedness, as well as victim relief networks, this tool seeks to build upon instruments already present in the community to decrease the detrimental impacts of flooding in the neighborhood.

The exsisting flood alarm system in Rio das Pedras can be heard by only a small portion of the populationSource: Rebecca Book, March 16th 2014, Rio das Pedras

the Resident’s Association warn residents of increasing threat levels in the build up to a severe flood.

Residents and business owners that are able to afford it install metal floodgates with rubber sealing in the doorways and entrances of their properties. This keeps water out during flooding, protecting their assets, belongings, Assets: Rio das Pedras already has a number and saving them money long-term due to the of disaster management mechanisms in place, lowered cost of damages1. providing a foundation upon which this tool can build upon. Flood alarms operated by 1 Roberto, Rio de Janeiro, Brazil, March 17, 2014

The Resident’s Association also operates a crisis center for flood victims. According to them, the center provides temporary shelter and connects the victims with formal government relief services; however, in the three years of its existence, it has yet to be utilized by anyone. 2 Problems: Seasonal flooding threatens residents homes and businesses, often their largest investment. Due to the environmentally protected status of the flood prone areas of Rio das Pedras, as well as the municipalities 2 Santos and Moreth, Rio de Janeiro, March 17, 2014.

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Logistics: Minha Casa Minha Vida, a massive federal public housing program with a federal subsidy of R$72 billion3, includes a pilot program to fund initiatives and infrastructure

Potentials: Much can be learned from the responses of informal communities to 3 Rio Times Online, 2011 natural disasters. The perseverance of these households and neighborhoods in the face of annual natural disasters is admirable, and we recommend learning from and assisting the informal resiliency measures already in place. In many cases, the designs of these systems may be better situated to the specificities of the site. With additional funding, the benefits of these local innovations which have already proven successful in this area could be extended to a broader segment of the population.

investments put forth by the residents of the Favelas4. This could be an extremely useful boost to Rio das Pedras, allowing them to establish workshops to teach residents the most effective methods of flood proofing their homes with the available resources, as well as educating families on disaster preparedness and what to do once the flood alarm does sound.

4 Coelho, Lais. informal conversation with authors.

Flood preparation workshops would train residents how to flood-proof their properties and minimize their impact. Expanded systems of alarms would lower the damages experienced by the community as a whole. While a more structured relief system would help flood victims recover from their losses more effectively. Challenges: Due to the environmentally protected status of the flood prone areas of Rio das Pedras, as well as the municipality’s emphasis on social housing programs which would mandate resettlement, it is unlikely

Residents attempt to rescue valuables from their homes after a flood in Rio das Pedras. Source: R7 Noticias news report

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Proposed interventions identify the current coping and resilience mechanisms of the community and attempt to spread and enable them.

that Rio das Pedras will be able to rely on government funding for flooding mitigation efforts. Proposed interventions identify the current coping and resilience mechanisms of the community and attempt to spread and enable them.

A Toolbox for Community Improvement

emphasis on social housing programs which would mandate resettlement, it is unlikely that Rio das Pedras will be able to rely on government funding for flood mitigation efforts.

to be a priority and legislation, regulation and financial incentives are often insufficient to persuade them otherwise.

figure 3: The relationship between stormwater and other urban management sectors A Toolbox for Community Improvement

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SWITCH, Belo Horizante The SWITCH (Sustainable Water Management Improves Tomorrow’s Cities’ Health) initiative has established several successful methods of intervention. The organization functions primarily as a research initiative, however organizes workshops, lectures and discussions to engage relevant stakeholders and establish linkages between researcher, knowledge managers and research users through interdisciplinary bodies known as ‘learning alliances’ (Smits et al., 2007 ). Learning alliance members help define the research agenda, participate in the research itself and act as the main channel for dissemination of the locally relevant innovations in the water, sanitation and hygiene sector. This intensely collaborative organization was shown to improve the municipalities capacities to identify and respond to flooding risk in Belo Horizonte. The municipality’s main objective was developing a more effective and innovative urban storm drainage system. Interventions constructed by SWITCH included rainwater harvesting cisterns, infiltration trenches and wells, and constructed wetlands. Each intervention was constructed near a school or other community center, and coincided with a series of learning alliance activities to first learn the needs of the community, training activities, workshops, and lectures to educate residents and spread the innovation (Knauer et. al,2008).

roads and transport:

The construction of roads expands the area of impermeable paving causing an increase in surface runoff. Roads are also a source of stormwater pollutants such as oils, heavy metals and sediment.

Waste management: Urban waste can block drainage channels creating localised flooding. Pollutants from land-fill sites can also be dispersed through stormwater runoff.

economic development:

Housing:

Construction sites, quarrying and certain types of industry produce pollutants and high levels of sediment that are dispersed into receiving water bodies through stormwater runoff.

New residential developments create an increase in impermeable surfaces through roof area and paving. This alters the hydrological characteristics of the site resulting in larger volumes of rainfall runoff that need to be managed.

Parks and recreation:

The management of parks and gardens impact on stormwater quality through the diffusion of fertiliser and pesticides as well as sediment and organic matter.

The relationship between stormwater management and other aspects of the urban water cycle, when concieved of as a complete system. Source: Philip, Ralph, B. Anton, and P. van der Steen. “SWITCH training kit.” Integrated urban water management in the city of the future. Module 4: Sotrmwater Management (2011).

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Assets: Physical, land, social and community Problems Addressed: Flooding, water sanitation, sinking foundations Challenges: Establishing appropriate regulations; enforcing regulations, especially on rental housing; disseminating knowledge on building techniques Budget: $$ TimeFrame: Medium-Frame Key Actors: Residents, Association, Núcleo

Residents’

Rio das Pedras is currently growing without standard building guidelines. Due to frequent flooding and a problem of the sinking buildings phenomenon, and the informal arrangement of the service infrastructure, it is necessary to establish design guidelines for appropriate construction methods in the communities. To help with the implementation, we propose workshops to educate residents on these building techniques - the creation of a separate set of building codes and regulations for informal settlements which are realistic, enforceable, and reflective of community lifestyles and culture. In particular, they should reflect the special needs of the urban poor with respect to minimum plot size, incremental construction, and home-

of the settlement due to its size. Rio das Pedras has continued to expand into the marshland to the southwest, increasing the vulnerability to flooding. There are additional Assets:This intervention clearly addresses safety issues which could be addressed by the the physical vulnerability in the community. implementation of guidelines, for example, the Since many homes and business are currently sheer number of wires hanging over the street in danger of collapsing or sinking, which could has led to electrocution during rain. endanger the credit assets of residents as their homes are their only collateral2, such guidelines As favelas continue to densify, with many could mitigate the frequency of these events. buildings now five stories or over, the creation However, some physical and social assets and implementation of an achievable set of in Rio das Pedras which could be leveraged building guidelines will become even more assist in addressing this issue. For example, the important. Reconsidering the structure of construction-industry skills of many residents, service provision networks will be necessary its role as a hub for building materials, and to accommodate the growing population. the regulatory authority of the Resident’s Association could all assist in creating guidelines Potentials: Monitoring the construction to insure safe and healthy built environment for of additional housing units and encouraging the residents of Rio das Pedras. If construction a baseline standard of construction would guidelines are put in place, the residents would promote safer, stable, and healthy environment have ready access to many of the resources for residents. needed in their implementation. One way to encourage residents to comply with Problems: Flooding and sinking buildings these building codes is to focus on incentivizing create physical vulnerability, resulting in unstable adherence to guidelines rather than issuing and unhealthy living conditions for residents. punishment for failure to meet them.We advise The increasing density in Rio das Pedras was the municipal government to offer accesses to cited by several informants as a leading concern, microloans to households who were seeking as the unregulated increase in building height to make renovations to comply with the strains existing service provision networks and proposed regulations. Another way would be for the municipality to offer occupancy permits further exacerbates the sinking problem. to residents complying with these regulations. The unchecked growth of Rio das Pedras has Even if these documents did not grant official put a strain on the existing service provision land titles. Either case would encourage networks. The Residents’ Association has additional investment in housing units, most been unable to control the further expansion residents’ biggest asset, and stimulate the local informal real estate market. 1 Roy, 2005; Garau, 2005 2 Perlman, 2010

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Promoting a safe, stable, and healthy built environment.

based economic activities1 and provision of a micro-loan program to finance building upgrades, available to households most at risk.

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4.1.3 Design Guidelines

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DAS

P EDRAS

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Prior to these governmental inputs, these regulations must be established by a democratic process which incorporates the experience of all community members. Meetings should be arranged by either Nucleo or the Resident’s Association, and the guidelines could then be which individual residents have works and what doesn’t. This would residents, and regulations could disseminate the knowledge of residents to recent transplants.

on what empower serve to longtime

CHALLENGES: The biggest challenges will be determining who establishes and enforces this new set of regulations. The only viable authority is the Residents Association, however this raises questions of how much additional power we would like to grant in this informal authority. Offering incentives, such as issuing occupancy permits to the owners of informal buildings which are constructed to these standards, or making microloans available to underwrite the cost of upgrading buildings to comply would be a preferable option. However, considering the high percentage of rental units Establishing guidelines and assessing houses will the part of either the Residents Association or Nucleo. It does not seem that either organization possesses the organizational capacity to do this currently, and they would role.

Wire height minimum

Tall concrete foundations protect against

Standardized waste pipes

Valuables should be stored in higher alarm sounds

gates with rubber seals

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Residents learn earthquake safe building techniques at a similar Gol-UNPD Workshop in Delmas, Haiti. Source: http://blog.ted.com/2011/05/06/fellows-friday-with-peter-haas/

Bihar is an earthquake prone region in the north eastern region of India. In order to encourage disaster resistant building guidelines and increase the skill capacity necessary for high quality construction, the Gol-UNDP DRM program founded a workshop series to train masons in low income communities in Bihar. The six-day program brought together local masons and artisans, who demonstrated safe building techniques and utilized local materials, and educated residents involved in the construction of homes about the importance of proper building construction in promoting earthquake safety. At the end of the program, participants practiced their new skills by bulding a ‘Technology Demonstration Unit’, which was later used as a center to disseminate information on earthquake preparedness. The program has since trained 10,000 masons in the Uttar Pradesh province alone, raising awareness on the issue (UNDP, 2010). This highlights the importance of educating residents in disaster prone areas on preparedness: when a disaster hits, residents will necessarily be the first line of response, and training will make them effective advocates for their own safety.

A Toolbox for Community Improvement

Mason training program: Bihar, India

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ATA: Apoio ao Trabalhador Autônomo: Rio de Janeiro, Brazil ATA, first implemented by the department of Labor of Rio de Janeiro, Brazil in 1998, selected and trained repair persons, painters, carpenters, and other self employed workers or owners of micro enterprises as well as giving them access to schooling, microcredit and technical assistance. At the end of the program, workers are given a certificate and listed in a public database. Consumers can then hire these previously informal workers through a government database (Urani, 1999 ). The program began in favelas which had been upgraded by the Favela Bairro program. Training and commercial outlets were constructed by the department of housing and then rented to community members. The program benefits both employees through providing training and credit, as well as consumers looking for skilled labor in their area.

The construction of tall, concrete foundations helps protect houses from flooding or sinking. Source: Rebecca Book

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Facilitating open and democratic communication.

There is a large amount of activity in Rio das Pedras, and it is important to make sure that important information and news are able to spread throughout the community. A equitable implementation of community message boards would vary the access that residents have to information, help organize community engagement, and assist in advertising floodpreparedness and skill-building workshops, and support options to residents.

Assets: The density of Rio das Pedras provides an interactive and social environment, while the shared cultural background of many of its residents has resulted in a wellconnected and stable community. While the public has, in theory, access to community related information, activities and events which contributes to community and social assets, site observation indicated abundant informal public advertising throughout spaces in the community, though these efforts did not appear organized or equally distributed throughout the community.

Existing notices are pinned around the neighborhood in a disorganized fashion. Source: Hannah Fleisher, March 16th 2014, Rio das Pedras

Informal advertisements mostly pertain to housing sale, services offered at local businesses, and community events. Source: Hannah Fleisher, March 16th 2014, Rio das Pedras

Assets: Social/community/human Problems Addressed: Builds community cohesion, lack of knowledge of existing resources Challenges: Organizing messages boards across all the neighborhoods of Rio das Pedras and keeping them up to date. Budget: $ TimeFrame: Short-term Key Actors: Residents, Business Owners, Local religious institutions, Residents’ Association According to Memarovic et al (2003), public displays and notice boards encourage people to participate in their community and surrounding environment by encouraging passive engagement (observation), active engagement (intellectual stimulus) and discovery (stimulation and novelty), provoking excitement in public spaces. These three ‘human needs in public spaces’ can be stimulated by providing a mix of topical interests and locally relevant information with some pieces of obscure information for novelty. In this sense, noticeboards can function as a community resource to enrich an environment, and with the advent of digital technologies, can be used to stimulate engagement and contain infinite forms of information and community

Rio das Pedras

resources (Memarovic et al., 2003).

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4.1.4 Community Notice Boards

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Problems: Much community organization is informal and there does not appear to be a centralized or organized means for contributory sharing of community related news and notices pertaining to events.1 There is an active local newspaper (A Voz de Rio das Pedras) in the community2, though this type media does not allow community members to directly contribute to content. The community has a “mobile megaphone” system, in which a car with a megaphone circulates the community and makes public announcements3, although this method is highly temporal and also isn’t openly contributory or participatory. Given these observaitons, it appears that information is not equally distributed or shared throughout the community, hindering engagement and limiting opportunity for residents to directly participate in or contribute to community decisions. Likewise, although disaster relief options exist, the residents are seldomly aware of them, likely due to poor vehicles for commication. Potentials: Instituting a community message board system in Rio das Pedras, with conscious and equally distributed locations and some form of content management could allow for information on other initiatives discussed 1 Site observations and informal conversations between residents and authors, Rio das Pedras, Rio de Janeiro, Brazil, March 16th 2014. 2 According to the newspaper’s editor-in-chief, Claudia Franco Correa, this weekly edition has a circulation of 20,000 copies every two weeks, which she believes shows a strong community aptitude for engagement and communication. 3 Site observations and informal conversations between residents and authors, Rio das Pedras, Rio de Janeiro, Brazil, March 16th 2014.

in this report to be communicated equitably throughout the community. If interventions are to be implemented by the community, equitable communication must be strived for, and would be more openly participatory and organized than the current public communications options available. This intervention could be particularly lucrative if paired with other tools such as community regulations, skill building activities and awareness campaigns. It could also help better distribute the aforementioned flood-preparedness workshops to the broader population. This would engage and inform more members of the community and create new nodes of social communication that could serve as relief points during flooding. Public notice boards could be deployed in a combination of ways: informally maintained and placed in public, open spaces; be periodically cleared and maintained by volunteers; and,

Potential designs for the proposed community notice boards. Source: Toronto Streetscape Manual. toronto.ca

placed in publically accessible facilities like corner stores and clinics. Logistically, the community message boards would perhaps be the cheapest of interventions with the least amount of obstacles, and thus may be easily funded by the Resident’s Association. Ideally their locations would be chosen through a participatory process, while the maintenance could be done by volunteers from the community. Challenges: Such a type of community resource needs to be respected for its function and maintained (i.e. only being used for public and community related content, free of solicitations and personal matter), and would require coordination with the Resident’s Association, A Voz and event organizers to be used to its full capacity.

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Rio das Pedras

A project based in Australia, known as Nnub represents a simple, digitized version of this principle: a flat-screen digital message board, mounted in local shops, libraries and schools, where users can upload notices, information and advertisements through an smartphone operated app. The content of the noticeboard is thus archivable and searchable, fully participatory and contributory. The ethos of this project are purported to be a commitment to access, democracy, community and future, achieved by creating an equitable and community oriented service (Brereton, “nnub”)

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‘Nnub’, Australia

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4.2 Collaborative Initiatives Collaborative Initiatives rely on building stronger ties between local actors,governmental agencies, NGOs, and private entities outside of Rio das Pedras. These may be initiated by any stakeholder group with interests in the advancement of Rio das Pedras.

This has two benefits: First, the community will be able to access both tangible and intangible resources of these outside actors. Second, building these collaborative relationships will in itself further neighborhood integration, one of our central goals.

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upgrading

Assets: Physical, assets, land community and social assets.

assets,

ProblEms Addressed: Providing security of tenure for residents of informal communities, democratic service provision Challenges: Maintaining infrastructure

Problems: Residents in Rio das Pedras do not explicitly own the land that their homes are built upon. While government investment

in urban upgrading, and the zoning of the favela as an ‘Zone of Special Interest’ (ZEIS) serves to grant residents some security of tenure, residents are still not treated as full citizens (Pamuk & Cavallieri, 1998: 457). As such, they have little say in what services are provided to their communities. Also, areas of Rio das Pedras are zoned as a protected environmental area, or have been determined by the government to have physical hazards due to flooding, both characteristics that disqualify these areas from government upgrading programs.1 This also has 1 Site observations and informal conversations between residents and authors, Rio das Pedras, Rio de Janeiro,

Budget: $$$ Timeframe: Long-term Key Actors: Residents, Government agencies, Residents’ Association, Núcleo This tool works to harness community cooperation. Empowering it as a single instrument would improve the way residents negotiate plans with outside stakeholder groups. This cohesion presents the community with a greater voice and authority during the decision making process and provides the opportunity for more effective and sustained interventions. Properly organizing local knowledge and needs will help steer proposals towards their interests. Assets: The residents of Rio das Pedras do not live in social and economic isolation from one another and the existing network of family relationships, businesses, and other

Past upgrading attempts were largely top down. The lack of community participation caused a deficit of local ownership of the project, and interventions were not well maintained.Source: Rebecca Book March 16th, 2014, Rio das Pedras

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Working with government agencies to install and maintain infrastructure networks within the favelas.

neighborhood ties is one of its strongest assets. The interrelience of many residents has already established the foundation for an organized community voice, while a plethora of local expertise provides it with validity. Likewise, since many residents work in similar industries and most live in the same close quarters, their personal concerns overlap with those of others, creating the beginnings for shared visions of improvement.

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4.2.1 Community models

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the indirect effect of discouraging residents from upgrading their homes, as they cannot be sure whether or not eviction is planned.

Rio das Pedras. Both the Residents’ Association and Núcleo have built a large body of knowledge regarding physical aspects of the area as well as community desires, and should be consulted by Potentials: Participation and community- government agencies to determine the most led priorities both ensure efficient service urgent needs of the community before plans delivery, through targeting needs that residents for physical interventions are made. Likewise identify, as well as empowering residents participation by the broader community is through interaction with government agencies. essential in ensuring that the needs of residents The presence of a highly organized internal are being met by planned interventions, rather structure further enables the success of these than continuing the long history of clientelism programs. The Resident’s Association already and vote buying. approves any government initiative planned for Brazil, March 16th 2014.

Community members gather in a communal space. Source: Rebecca Book March 16th, 2014, Rio das Pedras

Challenges: Encouraging participation of all levels of society will be difficult. Past experiences with participatory budgeting in Porto Alegre and Belo Horizonte show that the most at-risk members of society are often unable to participate in initiatives or unaware of the proceedings involved. Past initiatives, such as Favela Bairro, indicate that ensuring maintenance of the interventions is also a challenge. Promoting resident involvement and ownership of the project will likely help with this, encouraging local informal groups to maintain infrastructure on their own to the extent they are capable of.

A social assistance office provides residents access to municpal resources ans services, which could also act as a service point for upgrading programs provided by the municipality. Source: Unknown workshop participant, March 16th, 2014, Rio das Pedras

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Community

based

In Heliópolis, one of São Paulo’s largest favelas. Community leaders commsioned a Brazilian architect Ruy Ohtake to make a more beautiful Heliópolis. Ohtake approached this challenge by bringing color back to the streets of his neighborhood, painting the exteriors of all 276 houses inside. The intervention is tp bring back the vibrant colors of Brazil’s colonial past. He allowed local residents to choose from six colors ranging from bright yellows to deep purples, while he chose the hues for window and doorway trims. Through the process of painting, residents of Heliópolis gained a renewed sense of pride and dignity in their neighborhood (Lipps 2011).

Favela upgrading in Heliópolis. Source: By Ruy Ohtake in Heliópolis, São Paulo, Brazil, 2003–5

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This program explores the cultural characteristics that shape the local urban context. Organizing the informal sector and recognizing its role as a profitable activity may contribute to economic development. This can also improve the capacity of informal workers to meet their basic needs by increasing their incomes and strengthening their legal status. This could be achieved by raising government awareness, allowing better access to financing, and fostering the availability of information. Once identified, these factors could help inform the broader qualitative research framework and ultimately, the proposal for intervention. Since the early eighties, urban development and upgrading projects in Egypt have focused almost entirely on physical interventions based on the current physical conditions of the subject area. However, it has become clear in subsequent years that the sustainability of upgrading projects depends profoundly on the participation of the inhabitants (Zehner et al., 2010)

Heliópolis, Brazil

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Cairo, Egypt: Intervention

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4.2.2 Sanitation Management Completing the urban water cycle. Assets: Physical assets, unequal access to assets & services, tension between formality and informality ProblEms Addressed: Untreated sewage can spread disease and creates an unpleasant odor Challenges: Creating a partnership to fund the construction of a treatment plant, while insuring that the benefits of the facility accrue to community members.

water from the municipal system and pipes installed formally. Residents have tapped into this pipe illegally, and receive practically limitless free water from the city. They then store it within rooftop cisterns, which contain easily enough water for daily use, which is funneled to the vessel with electric pumps and cisterns. Some families use chlorine to sanitize the water for drinking and cleaning. The vast majority of residents have toilets and showers in their homes, as well as the necessary plumbing to remove grey and black water from their homes

(IGBE, 2010), though these connections to not link to treatment facilities.

A water cistern on a residential rooftop in Rio das Pedras. Source: Hannah Fleisher. March 16th, 2014

Electric pumps used to draw water into rooftop cisterns. Source: Hannah Fleisher. March 16th, 2014

The municipal government has put some efforts to address the waste water management issue, though not sufficient, there are some infrastructure improvements installed by Favela-Bairro and CEHAB. Problems: Overall, the community experiences an under provision of full sewage services, and was a concern of virtually all stakeholders, informants and community

Budget: $$$$ Timeframe: Long-term Key Actors: Residents, Government agencies, Mayors office, local politicians Addressing the issue of sanitation management requires providing a feasible and strategic plan for Rio das Pedras, given that this is their largest problem and highly multifaceted. Our approach aims to not only resolve this issue, but to propose an solution that can also provide economic benefits for the community through a waste water resource recapture facility. Assets: When looking at single households in Rio das Pedras, it appears that many families possess more basic infrastructure than most favela residents in Rio de Janeiro (see Appendix A). The community obtains the majority of its

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to separate the two, creating clean energy for the community which can then be sold back to the electricity grid for a profit. Thus what had previously been a challenge for the community becomes an asset. With the construction of a plant of a sufficient size, the possibility exists to important waste from nearby communities in Zona Oeste and create an industry and job center focused around clean energy and

Potentials: Providing a financially sustainable sanitation and flood mitigation solution in Rio das Pedras hinges on reimagining the water system as a complete, close looped cycle as opposed to a system of inputs and outputs. Researchers at SWITCH (see adjacent case study) disclosed that the largest problem in creating complete water management systems is that less thought is placed in how to get waste water out of a system than how to get fresh water in.2 Rio das Pedras provides a striking illustration of the shortcomings of this disconnect in the urban water cycle. 1 Fabricio Jose dos Santos and Jorge Alberto Moreth (president and advisor, Rio das Pedras Resident’s Association), informal conversation with authors, Rio de Janeiro, Brazil, March 17, 2014. 2 Jochen Eckart (project manager, ‘Water Sensitive Urban Design’, SWITCH), Skype conversation with authors, February 13, 2014.

Raw sewage is emptied into the polluted river that gives Rio das Pedras its name. Source: Rebecca Book. March 16th, 2014

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Our recommendations stem from the opinions and analysis of Kartik Chandran, a water systems engineer from Columbia University who was also working with the Rio das Pedras Initiative. In keeping with our earlier description of the urban water cycle as a closed loop phenomena, Kartik views greywater and blackwater not as waste, but as potential water for reuse, and with valuable fertilizers and fuels mixed in. Modern day waste recapture plants are able

A Toolbox for Community Improvement

members we spoke to during our fieldwork - the Residents Association cited it as their number one concern for their community.1 Because of the high population density in Rio das Pedras, the disconnected water management facilities do not have the capacity to provide service for all the residents. In the meantime, storm water drains and sewage drains are combined. Waste water is directed into the channel through the center of RdP, increasing risk of communicable diseases. The untreated water flowing into the Lagoa damages the natural environment and lowers its ability to absorb waste and instigates an overflowing of the polluted water into its banks.

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sanitation.3 Several sites were examined for the possible location of this plant, each one of which would have a different funding scheme. It was suggested that the most viable option, which would assure that financial gains from the plant would accrue to neighborhood residents, was to construct the plant on the nearby brownfield site of Anil - though there is a proposed social housing project slated for the site as well. The site contains stable ground for construction, greatly lowering the construction costs of the plant when compared to potential building on the marshland surrounding Rio das Pedras.

and piping, which would allow for the potential of constructing a road or path on top of them.

communication and cooperation between municipal government with investors and local stakeholders. In terms of the maintenance, Logistics: Initial funding would come from the Residents’ Association and local residents Cedae, the state water and sewage company, would be responsible for keeping the facility as well as Minha Casa Minha Vida, who are functional, and the investors will supervise the constructing a public housing development on process. Since the waste water facility requires the site, CEHAB, or private firms with interests some of the most advanced technologies, the in capturing profits from the plant. This is a cost for construction and management will be long-term program, which required massive relatively high as well as the financial benefits.

Challenges: Accepting Professor Chandran’s proposal as an ideal - if not aspirational - resolution to the water management issue, many large scale planning tasks would need to be undertaken to realize this project. As planners, our task is built upon his technical recommendations to ensure that the services and benefits such a waste recapture system could provide were equitably distributed. One major challenge would be promoting a connection between Rio das Pedras and Anil both in terms of infrastructure and mobility access for potential workers. The current connection between the two sites is weak and would benefit from road and transport improvments between the sites. The neighborhoods would also need to be physically connected through the installation of sewers 3 Chandran, Kartik. “Favelas and Environment.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 20, 2014.

Drainage pipes are emptied directly into the canal running through the community. Source: Laura Groves, March 16th, 2014.

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Wastewater

Various cities in Brazil have shown interest in applying anaerobic waste water treatment as a decentralized treatment system for ‘suburban’, poor, districts (Van Lier et. al., 1999). These systems rely on large digester ‘eggs’, similar to those which can be observed at Newton Creek wastewater treatment plant in Greenpoint to heat wastes and allow bacteria to digest organic compounds in the sludge to a less volatile mix. The products are carbon dioxide and methane, as well as a solid which makes an excellent fertilizer (NYC.gov, 2014). These techniques prove to be particularly viable in tropical and subtropical climates do to the high ambient temperature. Since then hundreds of anaerobic digesters have been constructed across Brazil, designed to serve anywhere from 5 to 1,000,000 residents. The city of Piracicaba, in Sao Paulo, provides a successful case study of the benefits of decentralization. The city partnered with the German Ministry for Education and Research to provide each small, self-contained neighborhood in the municipality. The innovative new anaerobic system effectively treats wastewater, removing organic substances in closed systems, recovering energy from methane and recycling of nutrients like phosphorus and nitrogen (Stenard, 2014). Anaerobic digester (above) , and plan of the waste treatment site (below). Source: Images: UC Davis, http://www.hdrinc.com/portfolio/renewable-energy-anaerobic-digester-feasibility-study

Rio das Pedras

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Decentralized Anaerobic treatment, Brazil

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4.2.3 building networks

Economic

Planning for future growth. Assets: Income, credit and community assets ProblEms Addressed: Integrating the local economy of Rio das Pedras with the larger market of Rio de Janeiro, while still protecting the existing small businesses Challenges: Building the appropriate ties with outside actors Budget: $$ Timeframe: Long-term

Assets: Rio das Pedras houses strong commercial activity, supplying commodities within and outside the community and providing many income streams for residents. It is estimated that more than half of the residential buildings have firstfloor commercial use.1 This vibrant economic environment generates diverse revenues and many opportunities for local small businesses. Problem: In looking at long-term economic sustainability in Rio das Pedras, income security of residents is an area of priority. Currently, small businesses are geared towards serving the needs of the local population. There is a lack of integration with the rest of the city in terms of being a point of 1

Corrêa, lecture.

production and distribution. Additionally, the local business ecosystem is not particularly diversified, supplying primarily construction material and commodities for household use. A lack of access to financial and vocational training resources are another area of concern. Potential: There are many opportunities for collaborative initiatives for economic sustainability in Rio das Pedras. Specifically, developing the community as a center of production, supply, and distribution would have benefits in strengthening ties regionally within the city. Many of the businesses in Rio das Pedras are geared toward construction materials and

Key Actors: Business owners, Government agencies, Mayors office, local business owners, Núcleo It was noted by almost all stakeholders, informants and community members we spoke to that Rio das Pedras has a strong local economy, and funcitons as a destination in the region for commerce and services. Given the growth in the region, Rio das Pedras could leverage this already sturdy asset into a means for productive growth, and offer means for businesses already establoished to expand and attain stronger forms of investment security. Furthermore, building a larger economic network can improve integration between the rest of the city and Rio das Pedras.

A resident delivers a refridgerator and oven to a customer in Rio das Pedras. Source: Rebecca Book. March 16th, 2014

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2 Corrêa, lecture.

Logistics: During the process, the municipal government could create policies to incentivize larger firms to develop supply networks with smaller firms as in the Santa Catarina case (see case study). Expanding opportunities for access to financial services would aid the residents of Rio das Pedras. By promoting collaboration between residents, government institutions, NGOs, and universities important local actors with capacity for this sort of training will be engaged. There are many learning programs existing within Brazil and Rio de Janeiro for entrepreneurs and small business ownership as well as for technical and vocational training. The residents of Rio das Pedras have opportunities to facilitate training sessions with available materials from SEBRAE, SENAI, and CEFET among other resources (Litto,

Many bike shops service Rio das Pedras. Source: Rebecca Book. March 16th, 2014

2002). This is a long-term plan that involves various stakeholders both in Rio das Pedras and citywide. It takes a long time to build and strengthen the connection between two parties. After the consumer-supplier relationship is established, the maintenance will be easier. Since competition exists, to get the market share, Rio das Pedras should start as early as possible.

Rio das Pedras

The term “market linkage” usually refers to two aspects: a physical connection between the producer and the ultimate consumer, and business channels of financial transactions (Tracey-White, 2005). The creation of cooperatives for learning and technological knowledge transfer, as well as for business transactions would be beneficial. In this sense, small-scale producers in Rio das Pedras would be better placed to supply or subcontract to larger firms if acting collectively with pooled resources (Gomes, 2006). Conversely, microdistribution agreements would help supply the businesses within Rio das Pedras despite infrastructure limitations. Currently, the distribution networks with and to the favelas of Rio de Janeiro are relatively fragmented leaving largely untapped markets.

challenge: A major challenge in strengthening the long-term economic viability of Rio das Pedras is ensuring that the appropriate actors are involved in processes of economic integration from the outset. Ties must be built in the formal economy through both public and private entities for a holistic approach to economic development, with the former to ensure appropriate capacities are built up and with the latter to open up markets outside of Rio das Pedras. Through this process, it is critical to ensure that small, locally-owned businesses are preserved. Appropriate social protections for workers must also be put into place, a feature that is characteristically absent in informal economy.

A Toolbox for Community Improvement

already supply to individuals living outside the community.2 There is opportunity for this to be expanded to supplying raw materials and prefabricated subassemblies to largerscale entities. Other such subsectors of production could also be explored in line with the local expertise of Rio das Pedras. In order for employment opportunities to be developed and sustained in this regard, development of a variety of collaborative networks to facilitate joint action is critical to keep smaller-scale production viable and to ensure “market linkages,” as witnessed with urban fruit production in cities of Brazil (Gomes, 2006).

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Micro-distribution networks. Santa Catarina, Brazil In Santa Catarina, Brazil, a cluster of informal small and medium enterprise fruit producers were able to leverage their position in the food supply chain through the development of mutually beneficial networks. State and federal commits to support small-scale enterprises and policies were created to incentivize larger firms to develop supply networks with smaller firms. Additionally, the state established a link between government agricultural agencies and these firms to disseminate the latest innovations in small-scale production (Gomes, 2006). Micro-distribution creates an opportunity for large firms to access these markets while benefitting local businesses and generating employment. In the case of the Nestlé até Você program, the company recruited people in favelas with the skills and networks of selling comparable products to leverage existing capacities and transform them to micro-distribution channels. This not only facilitated Nestle’s access to the network of customers that existing candy salesman had developed, but also provided more secure employment for favela residents (Jenkins et al, 2008). Expansion of programs such as Itaú Unibanco’s initiative partnering with the Business Call to Action (BCtA) would lead to sustainable financing options. The BCtA is a program launched by the United Nations in 2008 which seeks to partner with companies to develop inclusive business models that can facilitate progress toward the Millennium Development Goals while being profitable for firms. Through this program, Itaú Unibanco provided micro-loans and opportunities to develop financial literacy to favela residents (BCtA, 2014). Regulatory reform and interest rates capped at 8% make these loans a viable option for small-scale business and home investment (IFC, 2012).

Itaú Unibanco. Source: Magazine, FinanceCEO

Source: Nestlé Até Você http://cabrunconteudos.com.br/ es/2013/11/13/nestle-ate-voce/

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Planning for future growth.

ProblEms vulnerability

Addressed:

physical

Challenges: creating trust between the community and assessment experts, protecting data collected

Problem: Rio das Pedras is located in a low-lying marsh region that suffers from annual flooding. The physical damage to homes and Budget: $$ businesses caused by this flooding places a significant economic burden on the community. Timeframe: medium-term When combined with the inadequate Key Actors: residents, municpal officials. housing construction and improper sewage provision, the polluted standing water poses a health hazard to residents. Local authorities expect the water levels and pollution in the Lagoa da Tijuca to continue rising, with flooding increasing in frequency and severity.2 This tool provides Rio das Pedras with a flood Furthermore, the increasing density of Rio das risk assessment. Taking into account physical Pedras may also lead to the greater impact of and social characteristics of its geography damages in the community. Thus, despite floodand population, it will allow investigators to proofing measures undertaken by residents, the determine the levels of vulnerability pertaining damage caused by flooding in Rio das Pedras to different members of the community. It will only get worse until it is formally addressed could then help guide the addressing of these by a collaborative initiative with experts on challenges, identifying what methods of flood measuring flooding impacts unifying with prevention and preparedness should be utilized, local knowledge of damage and impacts, and while also establishing the priority of these assessing the most urgent areas of vulnerability. interventions. 1 Site observations and informal conversations between Assets: Various areas of Rio das Pedras already have certain aforementioned flood

residents and authors, Rio de Janeiro, Brazil, March 16, 2014. 2 Santos and Moreth, informal conversation with authors, Rio de Janeiro, Brazil, March 17, 2014

While the government has resources to carry out such an assessment, there is sensitivity within informal communties surrounding such assessments, and they often rely on purely empirical data, and less on social perceptions of risk and vulnerability. Potential: Adopting measures to identify the severity of risk can assist in focusing the efforts of community based and municipal actions. The proper mapping of flood areas, the identification of the population they affect, and the quantifying of the impact they have on

The darkened patches on the outside of buildings indicates the levels flood water have risen to in the past. Source: Maria Pia Giraudo, Rio das Pedras, March 17 2014.

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Assets: Physical, income, credit and community assets

impact-minimizing elements in place.1 This indicates that residents themselves have identified areas of vulnerability and are implementing ways to prepare and cope with flooding.This local knowledge concerning flood impacts and mitigation techniques would prove very helpful for carrying out a risk assessment, while an organized community effort could provide the large amounts of data necessary for an effective survey.

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4.2.3 flood Risk Assessment

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these people’s lives would illustrate the true scope of this issue. This would help determine the method of interventions, their scale, and location, as well as set the groundwork for their successful implementation. Ideally, the flood risk assessment in Rio das Pedras would be the first step in ameliorating the negative impacts of flooding in the area.

would be a significant setback to an effective great spectrum of risk that exists. This risk flood risk assessment. assessment method should be framed in such a way that it becomes a tool for increasing the Likewise, there is a stigma in informal efficiency of other proposals described in this communities against having their community report as opposed to a political tool that can declared to be located in a flood risk zone. be used against the most vulnerable. In the past, the mapping of physical risks has been used mainly as the grounds for eviction (Kaiser, Janaury 8 2013), and this would prove The opaque nature of this process is worrying detrimental to the residents of Rio das Pedras. in itself. Through arming community members Great care should be taken in establishing with their own flood risk assessment methods, indicators which reflect the concerns of we would allow them to indicate where the the community, as well as recognizing the most vulnerable areas are. The researchers observed and various flood maps during their site visit; however, concerns were expressed directly to us that these maps do not reflect the impact of flood occurrences. With access to this knowledge, efforts to lower the impact of flooding increase preparedness, and increase the resiliency of one’s own home can be made. Challenge: Conducting a flood risk assessment in Rio das Pedras is not without its challenges. In many such assessments, indicators used to assess vulnerability typically rely on socioeconomic statistics provided through a census. In Brazil, past studies used data from the Brazilian Institute of Geography and Statistics (IGBE) to calculate population, income, density, and households; but in the informal context, especially in favelas, this information has proved to be less than adequate, with some scholars claiming that as few as 30% of households in Rio das Pedras are represented in the formal census.3 Not having access to reliable statistics 3 Cláudia Franco-Corrêa, multiple conversations with author, Rio de Janeiro, Brazil, March 16-20, 2014.

A resident of Rio das Pedras tries to clear a blocked drain during a flood. Source: Michael Jerome Wolff, “The sewage and drainage”, photo, http://photowolff.tumblr.com/post/17456711514/1-the-rio-das-pedras-stone-river-from-which

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Government-led interventions are generally large institutional and infrastructure investments run by state agencies. In the past, such initiatives have been implemented in Rio das Pedras neglected to use a fully participatory, community-based approach

for their formulation, and have thus missed opportunities to capitalize on insights of impacted groups. Community engagement is necessary to establish local ownership of the project. Previous projects have prioritized regularization at the expense of participation and they were largely unsuccessful at instigating the social changes necessary for integration and maintenance.

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4.3 Government-led Interventions

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4.3.1. Institutional reform

Government evaluation of the community

Creating a participatory approach to physical upgrading, affordable housing, local business formalizing & favela-city integration. Assets: Land, income, social Problems: Tension between formal & informal, lack of participatory planning andcoordination between government bodies. Challenges: fluctuation of political parties in power instilled bureaucratic nature of the Brazilian government. Budget: $$$$ TimeFrame: Long-term Key Actors: Mayors Office, Local Politicians, community members Assets: There are currently a wide breadth of initiatives and a deep commitment to taking on favela regularization being pursued at all levels of governance. These range from physical infrastructure upgrades and provision of social housing through Favela Bairro and Minha Casa Minha Vida to formalization of small and micro entrepreneurs through Empresa Bacana. Problems: Favela upgrading, integration, and regularization have been challenging goals historically in Brazil. Many of these issues arise from the history of the development of favelas and the negotiation of the tension between

Community informed assessment

Favela Bairro

Minha Casa Minha Vida

Maximize the synergy of government programs

Empresa Empresa Bacana Bacana Institute participatory planning

formal and informal through the evolution of ideologies on how to deal with these settlements. Fundamentally, these problems are a result of the ineffectiveness of applying uniform planning between formal and informal parts of Rio de Janeiro during this transitional time1. More innovative processes of organically regularizing favelas must be conceived of in order to maximize benefits to the city as a whole. 1 Fajardo, Washington. “Rio in the Eye of the Hurricane.” Lecture, Studio-X Rio, Rio de Janeiro, Brazil, March 17, 2014.

Morar Carioca

Potentials: In terms of institutional reform, there is much that can be done to streamline processes of regularization. A first critical step to any such attempt is to include provisions for a careful evaluation of the present state of any community in which intervention is being considered. Prioritizing such assessment will help to mitigate negative impacts of intervention to the most vulnerable groups within informal settlements, namely Rio das Pedras. Additionally, this will facilitate a process of prioritizing community desire through involvement of strategic partnerships, making the chance of intervention success

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establishment of the favelas as vital elements of the urban fabric. There is opportunity for a more facilitating and navigable policy environment to be fostered through vertical collaboration through all levels of governance, as well as horizontal collaboration across ministries (Cities Alliance, 2004).

Tiago Mohamed, deputy mayor of Barra and Jacarepaguá Source: A Voz de Rio das Pedras

Dilma Rousseff, President of Brazil. Source: blogs.estadao.com. br

Edaurdo Paes, Mayor of Rio de Janeiro Source: paginadozero. wordpress.com

Challenges: For institutional reform, there are unique challenges with respect to political will that are subject to change through fluctuations of parties in power. Additionally, to allow for the level of flexibility in programming that is suggested here, integrated institutional capacity must be developed. This would require a particularly concerted effort, due to the largely bureaucratic nature of Brazilian government.

Rio das Pedras

has been expedited resulting in an increase of regularization from 1,500 procedures per year This will also aid in streamlining government before the institution of the program to 10,000 usage of the portfolio of programs and per year2. Empresa Bacana is a federal program policies available to implement processes of that takes yet another avenue to regularization regularization for tailored, context-appropriate through the formalization of small and micro solutions. Favela Bairro primarily seeks to enterprises for provision of special credit transform informal settlements into more opportunities and taxation (Madeira da Silva regularized neighborhoods through the & Monte, 2012). Effectively taking a multiprovision of sewage and water service, road pronged, tailored approach will maximize infrastructure, construction of leisure facilities, the benefits to Rio das Pedras utilizing these and other physical means at the municipal level existing resources, among others. (Durand-Lasserve & Royston, 2002). Minha Casa, Minha Vida is a federal program, initially In order for meaningful progress to be made in put into place in order to address the housing the aforementioned areas, governance capacity deficit in Brazil and generate employment must be grown such that all levels of governance opportunities during the financial crisis (World continue to develop a normative stance in the Bank, 2010). As a secondary result however, 2 Forte, Jay. “Estimated 23 Percent of Rio Favela Homes the process of regularization of housing titles to be Legalized.” The Rio Times, December 31, 2013.

A Toolbox for Community Improvement

significantly higher (Cities Alliance, 2004).

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Examples: The development of the favela in Belo Horizonte occurred in a similar fashion to that in Rio de Janeiro. In the 1970s in Belo Horizonte, the rise of social movement and labor rights activism led to the rise of a large movement of favela dwellers. As a result, in 1979, the Programa de Desenvolvimento de Comunidades (Community Development Programme; PRODECOM) was created for both urbanization and regularization of favelas. The defining characteristic of this program was the “participative planning’ approach which elicited input from resident’s associations, religious organization, and other bodies representing the interests of favela residents. It was largely well-received by dwellers in informal settlements, yet it was also criticized as being a government instrument for propaganda expressing concern for social issues without sufficient capacity to make real progress in these areas. Subsequently, PRO-FAVELA was created ’armed with the necessary legal instruments for carrying out a massive program of legalizing clandestine favela’ (Fernandes,1993). PRO-FAVELA moved past previous ambiguity and established that its goal was to recognize resident’s legal rights to property. PRO-FAVELA included provisions for favela dwellers to be subjects of rights, recognized their tenure, and utilized technical tools such as zoning, road demarcation, and regulation of density. Yet, despite Belo Horizonte being home to some of the most advanced interventions in Brazil, and having developed legal and technical instruments for its disposal, the “problem of the favela” has only worsened of late. The grand failure of both PRODECOM and PRO-FAVELA was a lack of assurance and specification of the level of collective action prescribed for favela residents.

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Assets: Land, income, social Problems: Tension between formal & informal, lack of access to transit and employment opportunities

Potential: Essential to the process of favela-city integration is reconciling the selfsustaining internal governance of the favela with the formal governance of the city. By formally integrating Rio das Pedras with the Barra da Budget: $$$$ Tijuca region and ultimately the City of Rio de Janeiro at large from economically, physically, TimeFrame: Long-term and legitimately way, the isolated nature of the favela could be likely to be alleviated and spatial Key Actors: Mayors Office, Local inequality can be reduced. The participation Politicians, municipal service providers and support of the main players is key to The objective of urban policies for the favela guaranteeing effective commitment on the upgrading programs must be integral and part of the government. The influences the sustainable. For city’s integration, the equitability degree of engagement of the public players and contains the equal chances to develop in the is decisive for the political continuity of the community, including economic development, actions implemented. equality of employment, and equal access to the upgraded information. Challenge: This socio-political base is very important in order to assure support for Assets: Physical assets; Social assets; Income the proposals of the project or program, both assets. from society and the government. Moreover, such a type of tool needs the overseeing Problem: Currently, the public and system to make sure the equity of participation. residents have comparatively equal access to The involvement of the executive agency staff community related information through the particularly strengthens the possibility of Residents’ Association. However, they are lack building an institutional structure to support of knowledge about what is going on in the city the development of the process. Improving scale if they do not go out to study, work or Challenges: fluctuation of political parties in power instilled bureaucratic nature of the Brazilian government.

the city integration of the Rio das Pedras neighborhood is a critical task for ensuring that these growing urban centers become safe, equitable, and sustainable places to live.

Rio das Pedras

Realizing the ‘Right to the City’

have activities. In the meantime, information is not equally distributed or shared in the neighborhood, which limited opportunity for residents and businesses to find their clear direction in developing with the favela upgrading programs. In addition, the internal governance is mainly informal without the formal regulations and participation from the formal governance of the city.

A Toolbox for Community Improvement

4.3.2 Ensuring Equitable Favela - City Integration

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Participating Plan Program, São Paulo, Brazil This program is one of urban upgrading components of Guarapiranga Program, which is a large-scale reservoir program in the municipality of São Paulo, run by the municipality itself, ran from 1993 to 2000 totaled approximately $190 million, benefiting almost 200,000 people in squatter settlements and informal land subdivisions. The entry point for urban upgrading in the case of Guarapiranga was environmental sanitation (Imparato, 2003). Uncontrolled informal settlement development in the 1970s and 1980s was one of the key reasons for the deterioration of the quality of this reservoir which provides water for over 3 million people. The active involvement of the for profit private sector in the provision of most of the services required by the urban upgrading component enhanced the efficiency, timeliness, and flexibility of the project; it also created relevant capacity in a number of firms.The level of private sector participation and influence in the Guarapiranga upgrading project surpasses anything seen before in Brazil.

Interventions of Guarapiranga Program in São Paulo, Brazil. Source: affordablehousinginstitute.org

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Assets: income, social Problems: Tension between formal & informal, lack of access to transit and employment opportunities Challenges: The physical isolation of Rio das Pedras and distance from the center; traffic and congestion Budget: $$$$ TimeFrame: Long-term

Potentials:The expansion plans in place right now for the BRT and the Metrô leave Rio das Pedras at an advantageous spatial location directly between the last planned stops of each mass-transit system. This leaves Rio das Pedras in a strategic position to benefit from the expansion and to potentially benefit the city-wide connections in Rio de Janeiro. These

Key Actors: Mayors Office, Local Politicians, municipal service providers Assets: Rio das Pedras has economic and social assets that can enhance the vitality of this community and the rest of the city through transportation infrastructure projects that are currently underway in Rio de Janeiro in preparation for the 2016 Olympics. Problems: Physical integration for Rio das Pedras with the rest of the city and its ability to connect with municipal services will mostly come with infrastructure improvements, not just within but in terms of access to and from the community. Rio das Pedras is not only isolated socially, but its barriers also include geographic features and property lines. It

Busses in Rio das Pedras. Image Source: Rebecca Book

connections may be built out through two primary modes of transport. First, the institution of bike lanes and bike racks in strategic locations within Rio das Pedras and along the main roads leading out of it will not only unify Rio das Pedras itself, but also provide an environmentally viable option for connect with nearby areas of commerce, employment, and nodes of public transit. Through site observations and conversations with residents1, it became apparent that bike usage is prevalent in the community, despite the lack of appropriate infrastructure. Proper 1 Teenage students at the CAIC educational center in Rio das Pedras explained that often times, especially when the main road is congested, biking to nearby areas is already far faster than taking the bus.

Rio das Pedras

Ensuring access to employment and increasing the customer base for businesses in Rio das Pedras

is nestled between the Tijuca Mountains to the northeast and the Tijuca Lagoon to the southwest. The wetlands immediately to the southeast and northwest are undeveloped private properties. With only one primary, heavily congested road that passes through Rio das Pedras (Avenida Engenheiro Sousa Filho), it is important to ensure it is being utilized in an a way that will efficiently connect it with the city.

A Toolbox for Community Improvement

4.3.3 Physical connectivity

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implementation of designated bike lanes would enhance safety and encourage greater bike usage, especially because of issues of automobile congestion. Second, since travel times via public transport are poor in the area surrounding Rio das Pedras, the institution of an express bus connecting Rio das Pedras to the proposed station of the Rio Metro in Barra da Tijuca and the TransCarioca BRT line running through Jacarepagua. This express bus would only make select stops at important hubs along the twenty kilometer route between the Metro Stop and the BRT, avoiding the disorganized flagging down of busses that is currently the norm. This would significantly cut down on the time it takes to reach these important modes of transportation, cut down on traffic, and improve the community’s connection to greater Rio.

Challenges: Areas of barriers for this sort of integration is primarily government will for provision. There are large budgets allocated for large-scale transportation infrastructure related to Megaevents through PAC-2. Although the interventions proposed here are relatively low-cost, the social and economic value must be highlighted to elicit government support of these initiatives. It must be underlined that such physical integration creates new access to sources of income for the residents and helps foster a sense of community that goes beyond the boundaries of Rio das Pedras.

These means of physical integration will create new access to sources of income for the residents and help to foster a sense of community that goes beyond the boundaries of Rio das Pedras.

Bicycles are the main means of transportation within Rio das Pedras. Source: Rebecca Book

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A growing number of cities in Latin America, including Buenos Aires, Medellin, and Mexico City, implemented bike lanes and bike share systems years ago, and recently Rio de Janeiro opened up its first phase in Centro and Zona Sul. In each of these cases, usage of the lanes and bikes has rapidly grown since their inception; but they have also been concentrated in wealthier and tourist-frequented areas of the city. However, in Bogota, where the bike lanes either run alongside BRT lines or connect to them at multiple nodes throughout the city, poorer residents reap the benefits from the bike lanes as well. They ease the use of a reliable and cheap form of transportation, providing similar advantages to the BRT system (Duarte & Rojas, 2012).

TransMilenio bus system Source: colombiaexplorer.com

TransMilenio bus system Source: Gwen Kash thecityfix.com/blog

Rio das Pedras

A Toolbox for Community Improvement

In Bogotá, the TransMilenio was developed as a BRT solution taking lessons learned from the BRT in Curituba (Duarte & Rojas, 2012). Studies examining the effects of BRT connection in Bogota, Colombia have demonstrated that in the case of informal settlements, of which there are many on the outskirts of Bogota, proximity and access to the rapid bus transit system correlated significantly with an increase in employment opportunities, because jobs located within a hour commute increased three fold. Transportation also became a cheaper burden for residents of informal settlements when they lived in close proximity to a BRT stop, the cost for a single bus ride coming out to less than the combined price of multiple transfers during a commute (Cervero, 2005).

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Recommendations 5

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