Informal sustainability as a resilience intervention : a look at sustainable initiative in the favelas of Rio and their propensity to stimulate social transformation

1

Informal sustainability as a

resilience intervention:

A look at sustainable initiatives in the favelas of

Rio and their propensity to stimulate social

transformation.

MSc Thesis

International Development Studies

Graduate School of Social Sciences University of Amsterdam

June 26th, 2019

By Daisy Longden

12284416

Daisy.longden@student.uva.nl

Word count: 24948

Supervisor:

Kees Koonings

Second Reader:

ABSTRACT

This thesis looks at if and how sustainability is being utilised in the context of the favelas of Rio to create transformational social change. There is both a micro and a macro significance to this subject: locally, social and environmental fragilities have persistently impacted the quality of life for residents of urban informality in Rio. Globally, the socio-ecological sustainability of cities is increasingly becoming a prerogative. Here sustainability is referred to as a state of socio-ecological stability which preserves resources for the future while not jeopardising the quality of life for the present. When discussing transformative capacity, this research refers to a form of resilience that manifests in actors, resulting in actions that challenge existing institutions or systems. This is largely based on the presumption that for informal communities, such as the favelas, that are often characterised by neglect and exclusion, this type of systemic shift is both needed and desired by residents. Utilising mixed methods, this thesis relies predominantly on in-depth interviews and survey data to firstly look at why sustainability is seen as an applicable practice in the favelas. Next, it interrogates the varying understandings and utilisations of sustainability, to then enable an assessment of the concept’s impact. My findings indicate a scalar understanding of transformation is necessary, suggesting that by looking at the intentions and impacts on actors at different levels, the mainstream conceptualisation of transformation as a wide-scale systemic shift should be altered. Throughout, scrutinising the ability of sustainability to nurture the necessary levels of social capital to challenge social norms, ultimately judging that while this is evident, there are crucial structural and social limitations present. Concluding that sustainability is being utilised in the favelas to create

transformational change but that this is limited and reliant on a scalar understanding of transformation.

3 Acknowledgements

This thesis was made possible due to help of Catalytic Communities (CatComm), whose support in the field and help providing contacts in the target communities was vital. Furthermore, the project leaders in all communities visited, Morro dos Prazeres and Cidade de Deus especially, were fundamental to the completion of this thesis and were extremely generous with their time and assistance, so I thank them greatly. Furthermore, a big thanks to my local supervisor Camila Moraes for her help once in the field and my second reader, Carolina Maurity Frossard for taking the time to read and assess this thesis. Finally, a special thanks to my supervisor, Kees Koonings for all his advice, encouragement and support along the way.

TABLE OF CONTENTS

Abstract………2

Acknowledgements……….3

Table of contents……….……….4

List of figures and tables……….……… 6

List of abbreviations………7 1. Introduction……….8 1.1. Problem Statement……….………..8 1.2. Knowledge gap……… 9 1.3. Research questions………..10 1.4. Thesis Overview………..11 2. Theoretical Framework…………..………..11 2.1. Urban Informality……….11 2.2. Resilience………14 2.3. Favela Sustainability………..16

3. Research location and context………20

3.1. Brazil………20

3.2. Urban Informality………21

3.3. Research Communities………22

3.3.1. Morro dos Prazeres (MDP)………22

3.3.2. Cidade de Deus (CDD)………..23

3.4. Conceptual Scheme………24

4. Methodology……….………..24

4.1. Epistemology………. 24

4.2. Unit of analysis and actors ………25

4.2.1. Community residents ………25

4.2.2. Community initiatives ……….25

4.2.3. CatComm………26

4.3. Data collection methods………26

4.3.1. Interviews ………26 4.3.2. Survey……….27 4.3.3. Observations ……… 27 4.3.4. Discourse analysis………27 4.4. Sampling………28 4.5. Data Analysis……….28

4.6. Methodological reflection and limitations ……….29

4.6.1. Qualitative ……….29

4.6.2. Quantitative………31

4.7. Ethical reflection……….32

5. Neglect and vulnerability: Conditions for informal sustainability………35

5.1. Physical……….37

5

5.3. Social. ………..………..43

5.3.1. Grassroots networks……….……….44

5.3.2. Resilient structures……….………47

5.3.3. Violence and insecurity……….50

5.4. Concluding remarks……… 51

6. Agents and agency: Utilisations and resilience outcomes………52

6.1. Understandings of favela sustainability………52

6.2. Sustainability and favela life: practicalities of the practice……….57

6.3. Creating commonality: Networks for new social capital………..64

6.4. Hope-Sustainability Nexus……….66

6.5. Discursive shift………..67

6.6. Limitations………69

6.7. Concluding remarks………72

7. Conclusion 7.1. Discussion and Main Findings………73

7.2. Policy Recommendations……… 76

7.3. Recommendation for future research……… 77

8. References………..78

9. Appendix………84

9.1. Operationalisation……….…84

LIST OF FIGURES

Fig 3.1: View from the access road into Morro dos Prazeres (Source: Author) Fig 3.2: Street view in Cidade de Deus (Source: Author)

Fig 3.4: Conceptual scheme (Source: Author’s elaboration)

Fig 5.1: Map of Rio de Janeiro displaying geographic locations of all favelas and as well primary research locations (red) and secondary research locations (yellow) (Source: CatComm + Author edit)

Fig 5.2: Satellite image of Morro dos Prazeres with the main state Comlurb collection points marked (Source: Googlemaps + author edit)

Fig 5.3: Flyer for “Waste Policies and Challenges” (Source: Raízes de Movimento) Fig 5.4: Flyer for “2nd _{Reunião Comunitária de Moradores” (Source: Comunitária de} Moradores)

LIST OF T

Table 5.1. Survey results representing the extent infrastructure was viewed as a key challenge (Source: Author’s Survey, 2019)

Table 5.2. Survey results representing the extent sanitation was viewed as a key challenge (Source: Author’s Survey, 2019)

Table 5.3. Survey results representing the extent education was viewed as a key challenge (Source: Author’s Survey, 2019)

Table 5.4. Survey results representing the extent public security was viewed as a key challenge (Source: Author’s Survey, 2019)

Table.5.5. Reports of Helicopter Fire in Rio Favelas 2019 (Source: FogoCruzado, RioOnWatch)

Table 6.1: Survey results: The extent to which respondents perceive the impact of sustainable initiatives on their Sense of Community (Source: Author’s survey 2019) Table 6.2: Survey results: The extent to which respondents perceive the impact of sustainable initiatives on their Future Prospects (Source: Author’s survey 2019) Table 6.3: Survey results: The extent to which respondents perceive the impact of sustainable initiatives on their Environmental Action (Source: Author’s survey 2019) Table 6.4: Survey results: The extent to which respondents perceive the impact of sustainable initiatives on their Personal Change (Source: Author’s survey 2019) Table 6.5: Survey results: The extent to which respondents perceive changes in the indicators for Adaptive Capacity (Source: Author’s survey 2019)

Table 6.6: The extent to which respondents perceive changes in the indicators for Transformative Capacity (Source: Author’s survey 2019)

7

L

IST OF ABBREVIATIONS

CatComm – Catalytic Communities CDD – Cidade de Deus

MDP – Morro dos Prazeres

SDGs – Sustainable Development Goals

1. I

1.1.

P

“Stop killing us”1 _{is the slogan currently being utilised in protest} movements in Rio de Janeiro to demonstrate against increased state violence (Arnhold, 2019). In 2017, Brazil saw its homicide rate hit an all-time high, with the reported death toll reaching 63,880 (Embury Dennis, 2018), and in the first three months of 2019 the figure for the number of homicides as a result of police operations increased by 18% (Guardian, 2019). These figures suggest a trend towards increasing social tension and fragility, with Murray commenting that dramatic increases in homicide rates often follows rising inequality and increasing urban unrest (Murray, 2013, p.471). This is also indicative of a failure of the state to tackle the deep-seated causes of the prevalent social challenges in Rio (Muggah, 2014, p.351). Pinheiro argues that this is due to a continuation of race and class-based policies (Pinheiro, 2002), which can be seen in 2018 and 2019 though policies aimed at control through repression. This is evidenced by the decision to enforce military intervention in the favelas at the start of 2018 (Mazui, Caram &Castilhos, 2018) and is further exemplified in the rhetoric of President Bolsonaro and the Governor of Rio, Wilson Witzel, who have verbally condoned lethal violence by police against those suspected of being involved in criminal activities (France24, 2019), comments that are indirectly targeted at favela residents. The perpetuation of policies that exacerbate social unrest, indicates a need to drastically change how favelas and their residents are perceived by the state and the formal city. Without this paradigm shift, the favelas of Rio may continue to be viewed first and foremost through the lens of violence and crime, as opposed to the structural conditions that perpetuate these phenomena and as a result, interventions will continue to fail these citizens. This socio-political climate is crucial to understand both the causes and outcomes of sustainability in the favelas.

Another fundamental element to this thesis is the growth of informal urbanism. In 2007 the world became more urban than agrarian and this trend has only advanced since (Keivani, 2009). This is now paired with the recognition that cities are both a leading consumer of resources and producer of waste. Wu

9 discusses the dualistic nature of cities. Arguing that they are “centres of socio-cultural transformations, engines of economic growth, and cradles of innovation and knowledge production”, providing low capita costs for services and better access to education, jobs, healthcare and social services. However, that they are innately unsustainable. Commenting that “if the creation of cities is one of the most remarkable human achievements to date, developing sustainable cities may well be the grandest challenge to humans ahead.” (Wu, 2010, p.2). This increasing focus on urban sustainability also necessitates a need to focus on the city in its entirety. In 2013 it was estimated that 25% of the world live in informal settlements (UN-Habitat, 2013), the informal global population is thus a key faction that has the propensity to help exacerbate or relieve the current global environmental crisis. Thus here, we have a dual socio-ecological problem statement.

1.2.

K

G

This focus on the informal however, is a relatively new consideration. With the formal city historically being considered the site of innovation and progress (Roy, 2011). Because of this, the concept of informal urban sustainability has only recently begun to be applied in development programs in these areas. Here, we find a knowledge gap, whereby in Rio, there has been little assessment of these

programmes, and furthermore, these assessments have yet to be extended to consider the social implications and the impact these sustainability interventions may have on the resilience of the actors involved. Resilience will be discussed here as a crucial form of social capital enabling the ability to withstand or challenge existing social and structural norms in Rio. This thesis will therefore look to

contribute to the debate surrounding the social construction of urban space (Jazeel, 2009), and more specifically the divergent ways of conceiving informal urban space (Roy, 2011). Looking at how sustainability is being applied in the context of the favelas and to question whether these utilisations are able to challenge the social, physical and institutional markers of difference in Rio to advance the adaptive and transformative capacity of the actors involved. On a macro level the relevance here refers to the ability to transform both how urban informality is perceived and incorporated into society.

The key concepts here will be urban informality, resilience and favela sustainability, looking here at how these concepts are not only interrelated but exist

in a cyclical, mutually reinforcing relationship. Whereby informality, which relates to the exclusion and institutional abandonment felt in the favelas, has bred

mechanisms to cope with, and in some instances transform urban realities (Roy, 2011). These mechanisms are judged here as forms of social resilience which are now manifesting in sustainable initiatives. However, subsequently sustainability builds on the very forms of resilience that have made sustainable action possible, which in turn strengthen the position, authority and positive meaning attached to informality in this context.

The organisation Catalytic Communities (CatComm), will be a focus throughout this thesis due to their leading role in the promotion of sustainability in the favelas of Rio de Janeiro. A primary function of their work is to strengthen grassroots sustainability initiatives and to encourage a discourse whereby the favelas are seen as a positive part of the urban future. This is manifested in their ‘Sustainable Favela Network’, the relevance of which means CatComm will be a crucial voice in this debate.

1.3.

R

This thesis will look at the physical, structural and social context in which the favelas of Rio exist and subsequently assess if and how sustainability is being applied to increase the ability of communities and individuals to adapt to their situation or engage in transformative mechanisms for wider social change in Rio. To do this I formulate the following central research problems:

How is ecological sustainability being understood and utilised by the different actors involved in favela development in Rio de Janeiro and how does this interact with different forms of social resilience?

- How does the institutional and environmental context within which the favelas exist impact their social, physical and structural composition?

- How is the concept of sustainability understood by community residents, local initiatives and CatComm?

- What are the different utilisations of sustainability in the favelas by the actors on each level?

- How do these utilisations interact with different forms of resilience and what does this mean for the relationship between sustainability, resilience and informality?

11

1.4.

T

O

The next section will set out a theoretical understanding of these terms, beginning to explore their relevance in this context and how they are

interconnected. This thesis will then conceptualise this connection to identify the relationships that were evidenced during the research period and which are applicable for assessment here. Next, I will discuss how the necessary data has been collected and reflecting on this process, discuss my own positionality as well as other limitations that were encountered. Finally, presenting my empirical data and assessing this in relation to my research questions, concluding this with a discussion of the limitations. Finally discussing the key findings of this research and finishing with some considerations of where further research would be possible.

2. T

The core of my theoretical approach is centred around the connection between the human actors and non-human factors that produce exclusionary mechanisms in the urban environment, and the capability of sustainability as an approach to impact these actors and produce social resilience. In this chapter I will discuss the key discussions and theories surrounding the concepts of urban informality, resilience and favela sustainability, beginning here to discuss the relationship between these three notions and their applicability to the context of the favelas in Rio de Janeiro, to later enable an analysis of my data.

2.1.

U

I

:

E

The late 1970s indicated a move away from income-based poverty alleviation models to more inclusive approach to development, stemming from Amartya Sen’s consideration of poverty in terms of relational capabilities (Sen, 1983). In many respects social inclusivity is an extension of this principle, that brings in concepts of citizenship and societal expectations (Atkinson and Swanstrom, 2012).

Atkinson and Swanstrom discuss that while poverty alleviation requires a re-distribution of wealth, tackling social exclusion necessitates a broader array of policies specified to the needs of certain groups. This complexity provides the rationalisation for why socially inclusive approaches to development are often contested and highly ambiguous (Atkinson and Swanstrom, 2012). Atkinson and Swanstrom focus on two broad approaches surrounding the term. The French approach, which acknowledges the importance of income distribution but “emphasizes the need to create social solidarity and to ensure that all individuals are integrated into and participate in a national social and moral order” (Atkinson and Swanstrom, 2012, p.9). This approach primarily considers social exclusion in terms of relational and dynamic forces that produce and breakdown social

integration. Going on to discuss Paugam’s notion of social exclusion, whereby ‘those categorized as poor are not defined by their own internal relationships but by the collective attitude that society adopts towards them’ (Atkinson and Swanstrom, 2012, p.9). This firstly validates the persistent obscurity surrounding the concept, as according to Paugam, the nature of social exclusion is dependent on the specific context. With regards to Rio de Janeiro, what Paugam terms to be ‘disabling poverty’ is the most suitable categorisation for favela communities. Here the increasing population existing outside of the formal labour market, lack of access to security, inadequate housing and infrastructure, and primarily the perception of these areas as a threat to the social order and are the defining features that permit their persistent exclusion from society (Paugam, 1996).

The second approach discussed by Atkinson and Swanstrom focuses on the notion of citizenship. Quoting Room here, they comment that a citizenship

approach focuses on categorising social exclusion by the extent to which groups ‘are denied access to the principal social and occupation milieu and to the welfare institutions that embody modern notions of social citizenship’ (Atkinson and Swanstrom, 2012, p.10). In relation to this, Bergham too conceives exclusion in relation to “the denial—or non-realisation—of citizenship rights” (Berghman 1995, 19). This view judges that the level of exclusion is intrinsically tied up in the relationships between groups and the institutions within which citizens’ rights are able to materialise.

This institutionalised neglect is discussed by Hickey and de Toit who then emphasise the need for a ‘new social contract’, if exclusionary societies are to be

13 committed to tackling the causal processes that lead to the perpetuation of poverty and what they term AISE (adverse incorporation and social exclusion). Arguing that it is not simply the exclusion of certain citizens from society that negatively impacts their outcomes, but their active inclusion in a way that is detrimental to their own rights and citizenship (Hickey and de Toit, 2013). This sentiment is shared by Perlman, who dismissed the appropriateness of the term marginalization to address favela communities in Rio, arguing instead that they are indeed included, however in a way that reaffirms their subjugated status in relation to ‘the city’ (Perlman, 1979).

Harvey considers the development of exclusionary processes in the urban context, discussing how through the formation of cities, we create an ideal citizen. Commenting that citizens have been made and re-made in this way, via processes of urban development, which are in their nature exclusionary (Harvey, 2003). Jazeel confirms this in his discussion of difference, whereby the identity and status of one group exists solely due to its dissonance with that of another. He goes on to argue that these differences are both conditioned and exacerbated by the spatiality and materiality of the city (Jazeel, 2009). This socio-spatial significance is in keeping with assemblage theory, whereby both the social and material entities must be

considered when assessing the production of urban inequalities (Brenner, 2011). However, Brenner notes that assemblage theory overlooks the significance of the political economy and capitalism in shaping and contesting urbanism. Therefore, in line with Harvey, the key point here is that urban assemblages are not random and instead reflect the power relations that have been instrumental in their creation. Power relations Brenner argues, are grounded in a capitalist political economy (Brenner, 2011: 230).

The result of this socio-spatial and politico-cultural fragmentation is evidenced in urban informality. Roy comments on the formation of the formal and informal, arguing that ‘The splintering of urbanism does not take place at the fissure between formality and informality but, rather, in fractal fashion, within the in-formalised production of space.’ (Roy, 2011: 233). Here, we see the consideration of both elements as existential parts of the urban condition and the relational nature of their existence. Roy’s understanding of urban informality also allows us to understand the conflict between the formal and the informal, commenting that urban informality is a ‘heuristic device that serves to deconstruct the very basis of

state legitimacy’ (Roy, 2011: 233). In this way we are able to view the informal as sites that have created their own legitimacy, outside of planned procedures and processes, but still part of the same system. Because of this, Roy comments that these areas may also be categorised as ‘grey spaces’ (Roy, 2011). Laguerre similarly suggests that the existence of the informal is conditioned by the formal, and also that the development of the formal has necessitated the presence, and to a large extent the subjugation, of the informal (Laguerre, 2016). The implication is therefore that the two must be considered as constitutive parts of a single system (Roy & AlSayyad, 2004).

The key element throughout recent debates relates to the relational context within which social exclusion exists, and the multiplicity of human and non-human components that stimulate exclusionary mechanisms. Therefore, it is necessary to look at how the different actors are understanding and utilising concepts and interventions that challenge these mechanisms, to then assess how these impact social resilience and the associated change they are able to affect. Throughout this thesis, Brenner’s argument will also be considered, therefore assessing the effect of sustainable interventions both in terms of their impact on the socio-spatiality of the target areas, as well as on the institutionalised practices of the city. For the purpose of this thesis, the term adverse incorporation to be the most accurate way to describe how favelas communities in Rio have been systematically incorporated into Rio society in a way that produces negative implications for their residents.

2.2.

R

Marcuse argues that the relational status of informal communities has been instrumental in producing the ‘right to the city’ rhetoric. Commenting that this “demand comes from those directly in want, directly oppressed, those for whom even their most immediate needs are not fulfilled” (Marcuse, 2009, p.190). Recent scholars have argued that, in some communities, this intense subjugation to the city has been the instigator for creative and positive social change. One word attached to this positive social change is resilience, Koonings and Kruijt discuss this as being when “communities, networks, grassroots organisations, and public and non-governmental support structures mobilise to create alternative, non-violent spaces and practices in cities.” (Koonings and Kruijt, 2015: 8) Hernández et. al. discuss the

15 positive manifestations of resilience, suggesting that because of the systemic neglect experienced by informal communities, we see spaces within which forms of creativity and ingenuity are able to manifest (Hernández et al., 2010). Similarly, Roy discusses urban informality and its common characteristics which he notes as entrepreneurship, self-organisation and a “culture of make-do” (Roy, 2011: 227). Lutzoni also comments on this phenomenon, discussing various authors who note positive instances of urban design and entrepreneurship arising from the informal communities, noting that in these communities, the skills required to survive are far more developed than those in the city’s formal counterparts (Lutzoni, 2016: 5-6).

Continuing this line of reasoning, AlSayyad argues that informality should be viewed in a discourse of celebration (AlSayyad, 2004). This celebration discourse attempts to bring increased nuance to the way in which informality is understood and allows us to interrogate the ‘lack of’ rhetoric associated with these

neighbourhoods, bringing increased attention to the positive attributes of

communities, that have previously been stigmatized by this sense of lacking. Some scholars however argue that resilience and associated concepts should not be celebrated as tools for social transformation, and in fact are better explained as tools for neoliberal governmentality, in that this association takes responsibility away from the state and places it on the individual and their ability to adapt and thrive (Joseph, 2013). While critical theorists would suggest this to be the case, here resilience is to be considered a necessary life line in circumstances where the state has never been present in the form of a provider.

Often this capacity for resilience is categorised as the coping capacity of a social system (Turner et al. 2003), whereas Adger suggests adaptive capacity is more indicative of the flexibility required of resilient social systems (Adger, 2006). Taking this one step further Wilson et. al suggest the next level from adaptive resilience is the ability to create transformative change, which they argue necessitates ‘marked changes to logic system and function’ (Wilson et. al., 2013: 1), here transformation refers to the ability to interact with and alter prevailing systems of thought and power. Wilson identifies the crucial factors necessary to surpass adaptation and engage in transformative change to be, a deep dissatisfaction with the status quo, the ability of individuals or communities to envisage transformative change and an excess of indisposed social capital (Wilson et. al., 2013).

These more transformative implications of resilience also resonate with Holston, who suggests resilient mobilisations can create new, informal forms of citizenship, in spaces left empty by the state. Holston terms this ‘Insurgent citizenship’ and argues that these movements are able to create new forms of citizen power and social justice (Holston, 2009). Here, perpetual exclusion from the formal creates divergent systems of inclusion, therefore challenging the

institutionalised subjugation of informal communities to the superiority of the city by not only altering, but in a sense removing these communities from the status quo.

We see the manifestation of resilience in the numerous sustainable initiatives emerging in the favelas that have been mapped in CatComm’s

‘Sustainable Favela Network’. Here sustainability is being utilised to challenge both the material sources of urban exclusion and institutionalised barriers. CatComm, claim that:

‘in their evolution (responding to diverse life challenges arising from state negligence through individual action and local collective projects), favelas are not a problem at their core… Favelas represent an opportunity for sustainable development outside of traditional formal principles, based on the innumerable assets of the favelas themselves.’ (CatComm, 2017).

Ultimately here, we see this circular mechanism whereby the resilience created by the exclusionary nature of the city has nurtured collective action and ingenuity that is now looking to be utilised to increase social capital, as well as build environmental stability. The classification and specifications of resilience identified here will be utilised throughout this thesis, judging that here, adaptive capacity and transformative capacity are the two most relevant terms to address the forms of resilience being nurtured by sustainable interventions.

2.3.

F

S

Brundtland states that sustainability refers to a way of developing ‘that meets the needs of the present without compromising the ability of future generations to meet their own needs” (Brundtland, 1987). The literature

17 and more essential due to the increasing size of global urban populations, and their capacity for resource consumption and waste production (van der Heijden, 2017). Due to this relationship, whereby the city has long since been reliant on external natural resources, Alberti enters into the debate that “when applied to cities, sustainability implies that inhabitants’ needs be met without imposing

unsustainable demand on local and global resources” (Alberti, 1996: 383). The focus here is that legitimate urban sustainability cannot be achieved by simply increasing ecological reliance on other areas, for example exporting waste elsewhere. Furthermore, sustainability is increasingly discussed not simply in terms of

environmental preservation but as Briassoulis discusses, refers to the quest for ‘the simultaneous satisfaction of three objectives: environmental protection, economic efficiency, and social equity’ (Briassoulis, 1999: 213).The implication is therefore that for urban sustainability to occur in earnest, there must be transformative re-structuring of urban systems, including a review of the social and economic structures in place and the impact of environmentalism on these.

In order to achieve this, various scholars argue for the need for multi-scalar partnerships and increased meaningful participation of a range of actors (Ahern, 2011; De La Rocque and Zumpano, 2014). With La Rocque and Shelton-Zumpano arguing that bottom up participation is crucial for sustainability efforts to legitimately represent public interests (De La Rocque and Shelton-Zumpano, 2014). Ahern here argues that this form of participatory sustainability, can often been seen as a way to help ensure the adaptability of social infrastructures (Ahern, 2011), thus nurturing community resilience. Harrison discusses this concept and queries the integration of social and ecological resilience, arguing that, ‘social complexity solves social problems as it causes ecological problems and simplicity subjugates social needs to ecological conditions.’ (Harrison, 2003). This problematises the very rationale of favela sustainability, posing the social and ecological development in a conflicting relationship. Whereby at a point, trade-offs must be made, and either social needs for development or environmental needs for preservation will have to be prioritised. This theory however centres around the symbiotic relationship between social development and economic growth, while there is much literature to support this it is predominantly based on assessments of formal social and economic systems. Levy, while not disputing the positive relationship between economic and social progression, argues that the lack of equality between social programs for formal and informal urban populations means the social benefits of growth are not disseminated as far as urban informality (Levy, 2010 :289). The

result being both increasing inequality but also a detachment from the shackles placed on the formal city by their reliance on economic growth. Troy also argues against the restrictions placed on social development by environmental action, suggesting that the social and moral capital that is nurtured through ecological sustainability offsets any setbacks caused by the social impact of growth restrictions and advocates for the propensity for simultaneous social and ecological advances (Troy, 2013: 474).

Adger also reasons for the positive effect sustainability is able to play in terms of social resilience. Stating that if social resilience is defined by the ability of communities to withstand external shocks then ecological sustainability plays a complementary role by aiding in the removal of environmental variability. The implication being that ecological sustainability will have a more pervasive impact on social capital in communities where the ecological risk is higher (Adger, 2000: 361). As a defining feature of various favelas remains their occupation of more precarious land and often limited access to resources and infrastructure, the stability of ecological factors is innately more fundamental for these informal areas of the city. Furthermore, scholars such as Tidball and Krasny argue for that “community greening” has positive implications for “natural, human, social, financial, and physical capital”, suggesting ecological sustainability in the favelas may also interact with social challenges surrounding violence and the stabilisation of intra-community socio-ecological structures (Tidball and Kransy, 2007). Taylor et. al. support this view arguing that greener spaces within urban environments encourages healthier living and more positive social interactions (Taylor, Wiley and Sullivan, 1998).

Furthermore, the community action required to produce this type of environmental action and to produce favela sustainability necessitates extensive community engagement. As Zeldin discusses with regards to youth engagement in community organising, this form of productive incorporation into community structures can be a valuable violence reduction strategy, affirming these residents as contributing citizens as opposed to objects of concern (Zeldin, 2004). Here we see another way in which theories suggest sustainability, formulated and actioned on a community level, may serve to increase cohesion and provide increase personal investment in community development. However, while the general discourse surrounding the social implications of urban greening and the psychological impact of involvement in ecological action is generally positive,

19 Glebeek and Koonings argue that the impact of resilience building strategies are limited, commenting that “despite the conceptual potential and social appeal that such practices bring to the fore, for the time being, it is insufficient to counter the violence that has turned many Latin American cities into fractured spaces.” (Glebeek and Koonings, 2016: 8). Here “fractured space” refers to “the uneven distribution of objective and subjective qualities of urban life” (Glebeek and Koonings, 2016: 5), that can largely be characterised in Rio by the division of the ‘morro’2 _{and the ‘asfalto’, this judgement points towards the existence of crucial} structural limitations with regards to the impact of resilience interventions.

In addition to the community level benefits of ecological sustainability, Troy links the benefits to macro structures, suggesting that the increasing global focus on sustainability creates a discourse whereby sustainability in seen as both a moral and social asset (Troy, 2013). Considering this argument, and the consistent rhetoric framing the favelas primarily in the arena of violence and crime, the implication of a sustainable favela could be significant. Suggesting that the resulting accumulation of social and moral capital may in turn interact with some of

institutionalised barriers that revolve around the negative social constructs of the favelas.

The subjugated status of favelas therefore creates a dual purpose whereby sustainability does not simply pose ecological benefits, but also positions itself to increase social durability in the favelas by decreasing stress caused by

environmental vulnerabilities as well as the psycho-social benefits of creating greener communities (Adger & Kelly, 1999: 254). Furthermore, the propensity of programmes to manufacture social and moral capital, as considered by Troy, suggests such programmes may have an impact on the external perceptions of the favelas by engaging with institutionalised practices and building resilience in the form of transformational capacity. However, we also see indications that when placed in the context of Latin American cities, sustainability as a resilience

intervention may be limited in its capacity to interact with some social challenges.

2 _{‘Morro’ translates to ‘hill’ and is associated with favela communities,as}

traditionally these settlements occupied hillside regions. The ‘Asfalto’ translates to ‘concrete’, this is how formal parts of the city are referred to, placing them in contradiction to the ‘Morro’.

3. R

C

3.1.

B

Ultramari and Rezende liken the formation of Brazilian cities to ‘slow motion disasters’, whereby a long history of illegal land use, decades of

impoverishment and persistent urban violence has produced similar urbanization challenges to post-war societies (Ultramari and Rezende, 2007). Furthermore, drawing on Leite to suggest that this ‘state of war’ is consolidated by the continued ambiguity within which the large informal areas of these cities exist, ultimately due to the fact they are ‘considered incompatible with the social order’ (Leite, 2000).

The result of this is cities throughout Brazil that experience high levels of inequality and persistent urban fragmentation, fragmentation which can be seen most evidently in the dichotomy between the formal and the informal. As Perlman discusses this fracture between the formal and informal in Brazil is characterized less by a marginalisation and more by incorporation into a system that actively works against this lower stratum of society (Perlman, 1979).

The World Bank report on social exclusion in Brazil suggests an institutional approach, based on access to citizenship, commenting that ‘exclusion works through institutional procedural processes that limit the opportunities of certain groups to exercise their rights…based on built-in features of the functioning of those institutions.’ (Gacitúa Marió and Woolcock, 2008: 25). This report focuses on the structural conditions that result in the unequal distribution of rights and

opportunities in Brazil, however also comments on how sociocultural

marginalisation is used in this context to justify procedural exclusion (Gacitúa Marió and Woolcock, 2008: 25). Arguably causing a society whereby such exclusion becomes deeply engrained due to a system of mutual acceptance by both institutions and the formal city. We see evidence of this exclusionary sentiment in Balocco and Prostigo’s discursive analysis of Brazilian rap culture. The rap being discussed here is addressing exclusion as a sense of ‘othering’. While the Spanish rap analysed, identifies ‘the other’ as the state or the hegemonic power, Brazilian rap focuses on ‘the other’ as society as a whole (Balocco and Prostigo, 2009). Here, rap is seen as representative of the cultural subjectivity of urban space and this connection between ‘the other’ and Brazilian society displays how societal

21 structures on a grander scale are seen as the vehicle for this ‘othering’. There is a resonance therefore, between this bottom-up, cultural understanding of Brazilian society and the institutional assessment provided by the World Bank, both here pointing towards the exclusionary mechanisms which are engrained on a structural level throughout Brazilian society.

3.2.

U

JANEIRO

This research has been carried out in Rio de Janeiro. Over past decades Rio and its informal population has been rapidly expanding city, an informal population that is arguably the most stigmatized in the world (Costas, 2001). The role this stigmatization has played in the social, physical and institutional make-up of these areas means Rio serves as the prime location to assess how sustainability as an approach is able to interact with reactionary forms of social resilience.

In Rio de Janeiro close to 1.5 million people live in the favelas, which amounts to over 22% of the population (IBGE, 2010) and in many ways these informal communities serve as a spatial embodiment of the social divisions within the city. Their very inception was dependent on the inability of the state to provide housing, infrastructure and services to many of its citizens (Pearlman, 2010). These formative distinctions have continued to be pervasive in the stigmatization of these areas as sites of difference, perpetuating the image of the favelas as dangerous and poverty stricken (Lange, Sandholz & Nehren, 2018: 9). However, what is often less discussed are the day to day challenges faced by residents in favelas, which are focused on effective waste disposal, education, public security and health,

challenges that are pervasive in these areas due to the historic state neglect in these areas. The social result is communities that are far more self-reliant and that have formed grassroots networks in order to provide for the needs that would regularly be met by the state in formal areas of the city. The physical impact is limited access to services and infrastructure which means continuous challenges regarding waste and sanitation and for providing for the health and education needs of the entire community, problems intensified by shock events.

This social and physical context that is present in informal communities in Rio is now being discussed as the ideal setting for sustainable urban development to

take root. This approach is based on the assessment of the favela as sites of long-lasting collective action, places where many inhabitants walk, or cycle and low-level infrastructure is prevalent (CatComm, 2017: 6). There are currently 111 projects that are part of the Sustainable Favela Network, throughout the city of Rio de Janeiro (CatComm, 2017), that look to tackle social and infrastructural challenges relating to environmentalism by creating action on a community level.

3.3.

R

The acknowledgment of the spatial significance of sustainability

interventions (Adger, 2000), means this research focused on two primary research locations, Morro dos Prazeres (MDP) and Cidade de Deus (CDD). These were selected as both have ecological sustainability projects with a distinct social dimension and in both cases the projects have been running in excess of 4 years. Research was also conducted in five other favelas throughout the city, covering a diverse range of locations and demographics, these were: Babilônia, Chapéu Mangueira, Complexo do Alemão, Morro da Providência and Rocinha, Fig 3.1.

3.3.1. M

P

(MDP)

As the name would suggest, MDP resides on a ‘morro’ or hill, the houses here are densely packed together and the favela has two main access roads from which you can reach the peripheries of the favela, access to any internal points however, must be done by foot. Prazeres is located in the Santa Teresa

neighbourhood which occupies a position in the Centro area of the city between the North and South zones, Fig 3.1. The 2010 census suggested there are 2136 residents of Morro dos Prazeres (UPP Social, 2010). The favela was pacified in February 2011 however this relative peace was disrupted in 2015 when the pacification process began to collapse and MDP began experiencing increasing violence. The primary challenges indicated by community residents were education and public security. (Author’s survey, 2019).

23

3.3.2. C

D

(CDD)

CDD occupies a very different geographic location, located in in the West zone the favela is positioned on flat land (Fig. 3.2) and therefore access roads are present throughout the community, however the area is far more spatially segregated, with limited direct public transport links to the North and South Zones of the city, meaning travel here can take upwards of two hours. Amongst the first favelas to receive the UPP, CDD was pacified in February 2008, however similarly this pacification process has now collapsed and it is common to hear shots in CDD. Again, the primary challenges here were perceived to be education and public security (Author’s survey, 2019).

Fig 3.1 – View from the access road into Morro dos Prazeres (Source: Author)

3.4.

CONCEPTUAL

SCHEME

4. METHODOLOGY

This Chapter discusses the data collection methods and that were utilised in the field including limitations that were encountered and the subsequent alterations that were made, as well as the other methodological considerations which impacted this research.

4.1.

E

This thesis will rely predominantly on qualitative methods, this is largely due to my ontological and epistemological approach. Here considering the social Fig. 3.3. Conceptual Scheme

25 context in Rio de Janeiro through a constructivist lens, believing there are multiple realities at play, the formation of which are determined by subjective social constructs. This reliance on socially manufactured imaginaries means it is feasible for emerging societal expectations to affect how these perceptions are formed. This thesis for example, rests on the increasing pervasiveness of the environmental expectations. This leads me to the epistemological stance which here, relies on interpretivism. Prioritising perceptual understandings and individual experiences to comprehend how the various actors interpret and utilise the concept of the sustainable favela to either work within or challenge the dominant social dynamics. The outcomes here will be specific to the sample communities selected in Rio de Janeiro, however, the results may be useful for considering similar informal communities.

4.2.

U

The primary units of analysis here will be the residents of the research communities and the associated socio-ecological initiatives in each community. This decision is essential to gain the bottom up perspectives upon which the research questions rely and to understand value of sustainability interventions for those they are intended to help.

4.2.1. CO M M U N I T Y R E S I D E N T S

Starting at the most micro level, assessing how individual community members were interacting with ecological sustainability in the form of the initiatives in question. Access was gained to these residents primarily through community leaders and survey data was a principal method for gaining an insight into how residents felt environmentalism was impacting their lives.

4.2.2. CO M M U N I T Y I N I T I A T I V E S

The next actors will be the community initiatives, primary those in MDP and CDD but also those in Babilônia, Chapéu Mangueira, Complexo do Alemão, Morro da Providência and Rocinha. Here information was primarily gained from leaders of the initiatives and other members of staff.

4.2.3. CA TCO M M

CatComm has been selected as both a key voice in this debate and as a crucial actor in the development of informal communities in Rio de Janeiro due to their external position with strong community ties. CatComm utilise an asset-based development model, an outlook that can be seen in the role they play supporting and bringing visibility to the positive, sustainable attributes of the favelas and which manifests in their Sustainable Favela Network. This Network has mapped over 100 sustainable initiatives in favelas throughout Rio and brings them together in meetings and events to learn from each other and develop. Furthermore, acknowledging the restrictions placed on these communities by an often bias narrative, CatComm push for increased awareness surrounding the positive attributes and realities of favelas, evidenced primarily in the work of their dual language news site RioOnWatch.

The State has not being considered an actor at this time, as during the research period it was not seen to have any involvement in the sustainable

development of favela communities, this in indicated in the conceptual scheme and will be discussed as a limiting factor.

4.3.

M

With regards to my data collection methods, the involvement of social exclusion and resilience as leading concepts problematised the initial use of quantitative methods, as this required contextually specific knowledge of how to conceptualise these (Atkinson and Swanstrom, 2012: 14). Therefore, the use of quatitative measures was not enlisted until in the field, where a deeper understanding of the situation was obtained. I was initially planning on utilising extended case study method however restricted access to the communities once in the field meant that extensive ethnographic work was not possible. Because of this, semi-structured interviews and later questionnaires were enlisted are my primary methods.

4.3.1. IN T E R V I E W S

I conducted 12 interviews in total with other informal interviews and discussions providing further insight into the themes that were arising. These were

27 conducted with 1 representative from CatComm, 8 community organisers, 2

community activists and 1 academic. These were an essential element of my data collection and were used to understand how the different actors were giving meaning to and interacting with the concept of the sustainable favela as a result of their own experiences and worldview.

4.3.2. SU R V E Y

The negate the limited time allowed in the communities I created a survey based on the themes and areas of impact that had been brought to my attention through the interviews to date and conducted by myself. The primary aim of the survey was to gain the perspective of a variety of residents, with varying levels of involvement in community initiatives, to gain a fuller image of the impact of sustainability. The surveys were conducted in the two primary research locations, MDP and CDD and totalled 28 completed questionnaires.

4.3.3. OB S E R V A T I O N S

As discussed, ethnographic work was limited during this time due to challenges surrounding access at times of insecurity or at times where a gatekeeper was not available to meet me. However, the observations and informal discussions that were conducted proved invaluable for adding to my contextual understanding of the situation. This would be largely characterised as participant observation however the level of observation or participation varied at different instances. When watching the work of the sustainable initiatives or attending community conferences and events, my role became more that of an observer, as in these instances the aim was to witness the community processes as they existed,

uninhibited as much as possible by my presence. However, when partaking in walks or eco-tours through the favelas and spending time talking to locals in their homes or participating in meetings for CatComm and the Sustainable Favela Network, this role became far more participatory.

4.3.4. DI S C O U R S E A N A L Y S I S

Discourse remained a crucial element to this research as both an indicator of the perceptions attached to the favelas and as a causal factor contributing to their social construction, both within the communities themselves and in the wider city. Looking at discourse therefore, as both a marker for how communities viewed

their status in the city and how the city in turn viewed the favelas. This discursive analysis looked primarily on an individual level, at CatComm and in terms of the formal city, which is represented here by the mainstream media and the state. This analysis was conducted throughout my research period but also refers to a range of secondary documents consisting of media articles and statements of collective activity.

The use of these multiple data collection methods will be relied upon to help counteract the subjectivity of qualitative methods, triangulating the data and also providing multiple perspectives to further validify the results.

4.4.

S

In the initial instance purposive sampling was essential. This was utilised to select the appropriate research locations and initiatives that would be the most appropriate for this study. The specification for these initiatives was that there must be a focus on ecological activities, however that the motivations have a distinct social element. This involved looking towards initiatives were there was a strong education or community cohesion element. Furthermore, looking for a diversity in research location and favela demographic in be more inclusive with the data collection for a more comprehensive understanding across Rio. There was the conditionality that the projects must have been running for upwards of 4 years to ensure more meaningful data on their impact. Again, key informants were also selected using purposive sampling as this is considered the most effective way to ensure respondents are relevant to the research questions (Bryman, 2008: 458), this also helped gain the perspective of a range of actors. This entailed identifying the community organisers that had the greatest involvement in the initiatives selected. These organisers were able to provide the crucial information on the motivations for and the limitations and outcomes of their sustainable initiatives and

subsequently enabled the next phase of snowball sampling by helping to identify willing respondents for the completion of surveys and also to share contacts in other sustainable initiatives. These methods of sampling helped ensure that a bottom-up perspective was attainable and as comprehensive as possible.

29 In its inception this research took a largely exploratory approach. There has been very little research conducted on favela sustainability and even less so on this as a social intervention. For this reason, my research took an inductive tactic, meaning it was essential to begin interview transcriptions and thematic analysis whilst in the field, using basic open coding to do so (Boeije, 2010), and with this I was able to identify the best way to progress and the subsequent data collection that was required. In these initial phases, crucial developments were made that impacted the advancement of my research. In terms of community priorities this meant focusing in on waste and public security and therefore impact began to be assessed considering these crucial indicators. With respect to resilience, it became apparent a scalar assessment was necessary, therefore I progressed by looking at the different manifestations of resilience, occurring at the levels of different actors. Also, crucial limitations at both the micro and macro level began to arise that are reflected in the overall evaluation made in this thesis. This process of coding was continued until data saturation was reached, at which point no new themes were being identified and I was confident no new lines of enquiry would emerge.

The majority of the analysis however was conducted on return from the field, here axial coding was enlisted in order to provide a more in-depth look, not only at the themes, but at the interconnectedness and relational status of these themes (Boeije, 2010). I used Atlas.ti software to facilitate this coding and enable themes to be more readily observed. Next, putting this coding in the context of my research questions to enable these to be answered whilst accurately representing my data.

4.6.

M

L

Here Lincoln and Guba’s criteria for trustworthiness and Authenticity will be used to reflect on my qualitative data collection process (Bryman, 2008: 390). However, the incorporation of quantitative methods whilst in the field means Bryman’s specifications for reliability and validity will also be utilised for the collection of my survey data (Bryman, 2008: 290).

4.6.1. QU A L I T A T I V E

Credibility here asks if this research renders a valid account of the situation. This is always subject to the specific world view of each researcher however here the use of multiple methods, primarily qualitative interviews, surveys, discourse analysis and observations, provides increased credibility through the

ability to triangulate results. What was found was a high resonance between the data from these various sources, meaning this research was able to come to credible conclusions. This method of data collection also enabled any discrepancies to be investigated, which often further strengthened the explanatory power of the data. For example, often interviewees discussed initiatives extremely positively but at the same time issues surrounding engagement were being discussed. Survey results then described a strong relationship between the level of involvement of individuals and level of social benefits experienced. Helping to explain why some interviewees felt extremely strongly about the projects impact, while others, who had yet to receive the full positive social impacts, did not see reason to engage.

The contextual specificity of each favela limits the extent to which transferability is possible. The focus of this research were the two communities of MDP and CDD, and so the findings here can only be held true for these locations. However, I did also look more generally across Rio, visiting various other favelas and considering my observations in terms of urban informality more broadly. For example, the elements of this study that assess the strategic utilisations of

sustainability in the informal context may also be useful and worth pursuing in new contexts, when considering how sustainability can be advantageous beyond its practical applications. However, overall any generalisations are limited by the diversity and range of informal communities, both in Rio and on a wider scale. The observations regarding the specific manifestations of resilience and the associated limitations are particularly specified to each individual community initiatives.

Next dependability, when considering transparency and openness this research has been presented truthfully and all elements of the research process have been disclosed. In terms of problems encountered, access proved to be the biggest obstacle, which as well as limiting my time in the communities also meant concerns arose surrounding the completeness of the data. This refers to the fact that access was not permitted during any times where security was a concern, while a crucial measure, the worry was this would limit the extent to which the results represented a full picture of the context. This however was partly mediated by the increased range of methods used. My subjectivity also provided some cause for concern and I became aware my positionality was being affected by the close affiliation with CatComm and so a key consideration that developed was ensuring my research did not get overly influenced by their agenda. This relates intimately to confirmability, while in the field CatComm where a primary contact, however the use of my local supervisor and my UvA supervisor as auditors helped to ensure my subjectivity was not becoming an issue.

31 Moving on to authenticity, there are limited groups involved in the

sustainable development of favelas in Rio and here CatComm, and those involved in the community initiatives are the actors most intimately linked to the cause, and so a focus on these voices attempted to present a fair account. In terms of ontological authenticity, on a micro level it was the community members’ understanding of their milieu that fuelled my research, but on a macro level this research does provide a more nuanced story of the utilisations of favelas sustainability and its propensity for transformation and social inclusion. This research is based around the concept that innovative and advanced problem-solving mechanisms are already taking place in these communities, and so the concept of catalytic authenticity cannot necessarily be applied here, but this research may serve as fuel for these organisations and help with the key challenges surrounding awareness, visibility and the negative discourse surrounding these communities. The dissemination of this research as a series of popular articles on the dual language news site RioOnWatch will also aid in this by making the results far more accessible to wider audiences. Ultimately also taking steps to further the educative and tactical authenticity here, although the scope of this is unknown.

One final consideration here was the language barrier, I spent time learning Portuguese before entering the field and also once in Rio and so until I felt confident with this, I made sure to bring people to meetings who would be able to assist with translation if needed. However, in the later stages of my research this was less necessary, and any uncertainties were partly mitigated through the clarification of details by respondents and later by checking the interview

transcripts with the interviewees when possible and seeking help from an external translator. Whilst increasing the difficulty of the data collection process, I don’t feel this limitation had a bearing on my results.

4.6.2. QU A N T I T A T I V E

When my research then went on to look at how sustainability inventions impacted resilience, problems began to arise regarding how to translate this into interviews questions that would probe the relevant areas and so a survey was designed to put forward my operationalisation of these concepts in a more simplified version.

My operationalisation was judged for face validity by my supervisor and my NGO contacts in the field and was seen as to accurately encompass the key areas of relevance. However, I am aware that while rooted in my initial research, this is still subject to researcher bias and is ultimately a result of my subjective perception of

resilience and social transformation. In terms of concurrent validity, there were various criteria by which the respondents were known to differ, but as the question is regarding the impact of the community initiatives, the key criterion of note has been the type and extent of each individual’s involvement in the projects. In this way my research is able to identify the scope of the initiatives and the extent to which the benefits are disseminated through the community.

While the specific outcomes of resilience and it manifestations may vary as the context shifts, the areas of people’s lives which are affected, and the associated indicators remained fairly consistent and here revolved around access to citizenship and how people perceived their social relations within the city. Because of this there can be some guarantee of stability, however the elements which are prioritised by respondents will invariably change over time and so this creates a limitation when assessing the reliability here. All respondents scores were aggregated in exactly the same way to ensure internal reliability and being the only observer involved here, again consultation with NGO partners helped to maximise reliability in terms of how I interpreted my data, insuring some level of inter-observer consistency.

The alterations in my methodology attempted to account for the limitations I encountered and helped increase the validity of my results through further triangulation. Comparing survey results, observations and discourse analysis allowed me to further scrutinise the themes that had manifested in my interviews and via this process the patterns and crucially the limitations became increasingly apparent.

A challenge remained the specificity of the research locations. In Rio alone there are over 1000 informal settlements, the socio-political make-up of which range greatly and fluctuates constantly. However, the actions taken here ensured that this research was carried out to a sufficiently reliable and valid standard.

4.7.

E

R

In terms of matters concerning voluntary participation and informed consent, this research was conducted in a manner that adheres to ethical guidelines (Bryman, 2008: 694). All interviews were arranged with prior knowledge about the specific purposes of the data, both informing respondents about the primary use, being this masters research and a secondary use, an accessible adaptation in the form of online articles. This provided respondents with the chance to voice concerns if there were any parts of the interview or details that they did not want featured in

33 one or both of these end products. Also, prior to recording these interviews, verbal consent was always asked. A similar practise of transparency was utilised when administering the surveys, however this came in the form of a more standardised survey brief prior to the commencing the questioning. However, there will also be a blanket anonymisation of both the surveys and the interviews to ensure the use of this data does not cause any negative implications for the respondents.

One ethical dilemma frequently encountered is the extractive nature of the work. This was also something I struggled with at times, however this was partially negated by my work with the NGO, Catalytic Communities (CatComm) and the agreement to convert the final thesis into a series of 4 popular articles to be published both in English and Portuguese. The hope is that initiatives will be able to use the data and results to help grow and adapt their projects, whilst also aiding in the effort to change the discourse surrounding these informal communities.

Whilst not seemingly political organisations, the nature of the political climate in Rio means that all favela development initiatives are intimately entangled with political processes. Because of this, some respondents were hesitant to be named or to have certain parts of the interview recounted, wanting instead to remain as invisible to the state as possible. This comes from the common view in the favelas that being visible to the state rarely ends positively. However, on the other hand, all of these initiatives voiced that a major challenge was visibility. Therefore, one ethical consideration is voicing these stories in a way that brings the correct type of visibility and does not risk the security of any of the respondents. This ties into Bryman’s discussion of ensuring no harm is done (Bryman, 2008: 118), one way this has been done is to speak more generally about the more sensitive areas of the research and only use specific examples of the projects where security is not a consideration.

Once in the field the affiliation with a well-respected and trusted NGO, that works intimately with the favela communities, greatly facilitated the ability to build trust with community and project leaders, who then assisted with this in the wider community. Trust therefore was not an issue; however, a key consideration was then how to present this data to maintain this trust. Again, this point refers to Bryman who considers deception to be a key ethical violation (Bryman, 2008: 118).

The first step here therefore, was to ensure the data was transcribed accurately and represented the views given, and so where possible, the transcripts have been validated by the respondents. For many respondents however this has not been possible, here extra caution has been taken to accurately report the data.

These ethical considerations largely revolve around the balance between a researcher’s duty to provide an accurate representation of the situation and their duty to maintain the trust of their respondents and any parties involved. The main challenge here was balancing this to enable for both a truthful account and one that helps, as opposed to hinders, the target communities. This was largely achieved through transparency, both with respondents and with CatComm, ensuring all parties were comfortable with the aims and the methods used. This transparency was also key for my own safety, utilising my network in Rio to keep community organisers and CatComm updated on my plans.

E

Sustainability is the word of the moment in the language of development but it’s meanings can be diverse, and the term is sometimes considered void of substantive meaning. When the term was brought to the forefront in 1987 it was characterised by the need to maintain growth whilst not comprising the needs of future generations (Brundtland, 1987). The Sustainable Development Goals (SDGs), designed as sustainable guidelines for institutions at all levels, suggest a

comprehensive meaning, stating that the SDGs “recognize that ending poverty and other deprivations must go hand-in-hand with strategies that improve health and education, reduce inequality, and spur economic growth – all while tackling climate change and working to preserve our oceans and forests.” (SDGs, 2015). Here presenting sustainability as a social, ecological and economic imperative. But in its most basic sense sustainability is simply defined as ‘the ability to be maintained’.

The following chapters will explore the meaning of sustainability in the context of the favelas to the be able to look deeper at its applications and

outcomes, assessing both its practical and strategic implications and the subsequent outcomes for social resilience. The first chapter will provide a contextual

understanding of the research communities in order to be able to then understand the applicability of sustainability here. Next, looking at how the different actors