The Informal City [1st ed.] 0312122098, 9780312122096

Citation preview

Also by Michel

S.

Laguerre

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

The Informal City

A FR O - C A R I BBEA N FO L K M ED IC IN E: T h e R e p r o d u c t i o n a n d P r a c ti c e o f H e a l i n g A M E R I C A N O D Y S S EY : H a i ti a n s i n N e w Y o r k C i t y TH E C O M P L ET E H A ITIA N A :

Michel S. Laguerre

A Bi b l i o g r a p h i c G u i d e to th e Sc h o l a r l y L i te r atu r e , 1 9 0 0 - 1 9 8 0 ( 2 v o l s ) ET U D ES SU R LE V O D O U H A IT IEN

Professor of Social

Anthropology

University of California at Berkeley

T H E M IL IT A R Y A N D SO C I ET Y IN H A IT I U R B A N L I FE I N T H E C A R I B B E A N : A St u d y o f a H a i t i a n U r b a n C o m m u n i t y * U R B A N P O V E R T Y IN T H E C A R I B B E A N : Fr e n c h M a r t i n i q u e as a So c i al L a b o r a t o r y * V O O D O O A N D PO L IT IC S IN H A ITI VOODOO * Also published

H ER IT A G E by St.

Martin's

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

St. Martin's Press

New York

© M ichel S. Laguerre 1994 A ll rights reserv ed . Fo r info rmatio n, w rite: Scho larly and Reference Div isio n, St. M artin's Press, Inc., 175 Fifth A v enue, N ew Yo rk, N.Y. 10010 First published in the United States o f A merica in 1994 Printed in Great Britain ISBN 0-312-12209^ 8 Library o f Co ng ress Catalo g ing -in-Publicatio n Data Laguerre, M ichel S. The info rmal city / Michel S. Laguerre. p. cm. Includ es biblio grap hical references and ind ex. ISBN 0- 312- 12209- 8 1. So cio lo gy, Urban— Califo rnia— San Francisco Metro p o litan A rea. 2. So cio lo gy, Urban— Califo rnia— O akland Metro p o litan A rea. 3. City and to w n life— Califo rnia— San Francisco Metro p o litan A rea. 4. City and to w n life— Califo rnia— O akland Metro p o litan A rea. 5. Info rmal secto r (Eco no mics)— Califo rnia— San Francisco Metro p o litan A rea. 6. Info rmal secto r (Eco no mics)— Califo rnia— O akland M etro p o litan A rea. I. Title. H N 80.S4L34 1994 307.76 ' 09794 ' 6—d c20 94- 16010 CIP

Fo r m y n e p h e w s M i c h a e l a n d St e v e

Contents zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPON xi

iHttotltution

Th e Inf o rm al C i ty A p p ro ac h

1

Inf o rm ality as a w a y o f life, as a sec to r an d as a sy ste m

8

Th e lim its o f f o rm al i ty

9

Th e so c ial c o n stru c ti o n o f in f o rm ality

11

Stru c tu ral o rig in s o f in f o rm ality

12

Th e g e n e alo g ic al o rd e r o f in f o rm ality

15

' R a w ' v e rsu s ' c o o k e d ' i n f o rm al i ty

18

T h e p e rip he rality o f the i n f o rm al sy ste m

19

Inf o rm ality a n d u rb an p rac tic e s

22

T h e m e an i n g s o f in f o rm al u rb an p rac tic es

23

T h e lo g ic o f th e in f o rm al c ity ap p ro ac h

24

In f o rm al Sp ac e

27

T h e so c ial p ro d u c ti o n o f i n f o rm al sp ac e

28

Ti m e , sp ac e a n d inf o rm ality

31

G e o g rap h y o f th e in f o rm al s p ac e

32

Inf o rm al sp ac e an d the e th n ic m i n o ri ty n e i g h b o rh o o d

36

T h e m u l ti d i m e n si o n al g e o m e try o f the u rb an sp ac e

36

T h e ' b lu rring o f g e n re s '

38

In f o rm atio n al sp ac e an d i n f o rm al i ty

39

Inf o rm ality in th e f o rm al p l an n i n g p ro c ess

40

Inf o rm al sp ac e as a so c io - p o litic al p h e n o m e n o n

42

M ak i n g so c ial s p ac e fo r i n f o rm al p rac tic e

42

1 n f o rm al sp ac e as su b ju g ate d s p ac e Th e In f o rm al Ec o n o m y

43 47

A n inf o rm al g ard e n e r

52

Inf o rm al m e c h an i c s

57

Inf o rm al c arp e n te rs

60 vii

v iii zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Contents

Contents

ix

Street v e n d o rs

63

C o re an d p e ri p h e ry

136

V isib le f i rm s an d inv isib le lab o re rs

66

C risis an d c h a n g e

137

V isib le lab o re rs an d inv isib le f irm s

67

C o d e sw i tc h i n g

137

Fo rm al b u s i n e s s an d i n f o rm al m e rc h an d i s e

68

T h e re g u l ato ry c ap ac ity o f th e i n f o rm al se c to r

69

T h e i n f o rm al e c o n o m y o f th e in f o rm al c ity

71

T h e Inf o rm al A r e n a o f In te r- Eth n ic Re latio n s Po w e r an d i n f o rm al i ty

139 139

D issec ting th e m ai n s tre am s y s te m an d m i n o ri ty 4

In f o rm al i ty an d U rb an Po litic s

75

Law s o f ' si m i l ari ty ' an d ' av o i d an c e '

142

T h e e thnic f ac to r

81

Law s o f ' s p o n s o rs h i p ' an d ' c re d it tran sf e r'

144

Fo rm al f ac ad e an d i n f o rm al p rac tic e

145

Fo rm al ru le a n d in f o rm al p rac tic e

147

Inf o rm al ru le a n d f o rm al p rac tic e

148

f o rm al s y s te m

84

In f o rm al p arap o litic al an d f o rm al v o l u n tary asso c iatio n s

87

M in o rity v e rs u s m ajo rity

148

In f o rm al l e ad e rs

88

Territo rial se g re g atio n o r e th n i c e n c lav e s

150

M o d e s o f re latio ns w ith th e f o rm al

91

Inf o rm al p rac ti c e s as a w a y o f e m p o w e r i n g m in o rity p e o p l e

150

T h e m a y o r ' s o f f ic e an d i n f o rm al o rg an i z ati o n s

92

T h e i n f o rm al i ty o f u rb an p o litic s

95

U n c o n sc i o u s an d c o n sc io u s id entity

151

T h e p o litic s o f in f o rm ality

96

Th e th e o ry o f f o rm al / i n f o rm al inter- ethnic relatio ns

152

Fo rm al l e ad e rsh i p an d i n f o rm al i ty

97

Th e p ro c e ssu ality o f i n f o rm al p o litic al p rac ti c e s

6

140

77

In f o rm al p arap o litic al o rg an i z ati o n s an d th e

5

su b sy ste m s

In f o rm al p arap o litic al o rg an i z ati o n s

In f o rm al i ty Interstitiality an d th e M o d e r n Fi rm

100

157

103

Inf o rm al / f o rm al relatio ns

159

Th e re p ro d u c ti o n o f h e g e m o n y

161

In f o rm ality an d hiring p ro c e d u re s

106 108

In f o rm al c o m m u n i c ati o n

109

In f o rm al l e ad e rs an d the c l i q u e sy ste m

116

In f o rm ality a n d g e n d e r an d e th n i c d i sc ri m i n ati o n

118

Th e g r a m m a r o f the interstitiality o f i n f o rm al i ty

119 123

In f o rm al m e d i c al p rac tic e s

125

Th e i n f o rm al ref erral s y s te m

127

Illnesses, self - c are an d h o u se h o l d - h e al e rs

128

W o m e n as i n f o rm al he alth c are p ro v id e rs

130

Su p p o rt s y s te m

131

T h e e x p an s i o n o f the i n f o rm al sy ste m

134

T h e stru c tu ri n g o f the i n f o rm al sy ste m as s u p p o rt sy ste m

157

Th e m u l ti v o c al i ty o f i n f o rm al i ty

In f o rm al l e arn i n g and trai n i n g

In f o rm al i ty an d U rb an M e d i c al Prac tic es

C o n c l u si o n

135

irinrs

163 171

Introduction In o b s e rv i n g e v e ry d ay lif e in the A m e r i c a n city , o n e s o o n realiz es the c o m p l e x i ty o f h u m a n b e h av i o r a n d the ease w i th w h i c h p e o p le m o v e f ro m f o rm al to in f o rm al p rac tic e s. T h e f o rm al w o rl d o f f ac ad e, l an g u ag e g a m e s an d the p u b l i c sp he re h i d e s a se c o n d w o rld o f su b tleties, n u an c e s an d ru se . Th at this h i d d e n d im e n sio n is p e rv asi v e th ro u g h o u t the institu tio ns o f u r b a n A m e ri c a is b o th

p ro b l e m ati c

and

insp iratio nal.

It im p lie s

th at the

c ity

d w e l l e r is c o n stan tly c ro ssin g o v e r f ield s and d o m a i n s o f ac tio n as a w a y o f b e tte r p o si ti o n i n g the self in so ciety . It in d ic ate s also that

f o rm al

ac tiv ities

h av e

i n f o rm al

asp ec ts

th at

m u st

be

d e c o d e d , d e c o n stru c te d an d an al y z e d in o rd e r that w e c an c o m e to g ri p s w i th an u n d e rs tan d i n g o f th e u rb an p ro c e ss. T h e i n f o rm al are n a p ro v id e s a h i d d e n sp ac e w h e r e o ne c an stan d to re ad the c ity as a so c ial l ab o rato ry o f e v e r y d ay p rac tic e. Th e i n te n t o f this b o o k is to id entif y , d e sc rib e an d e x p lain the g ram m ati c al , sy n tac tic al an d m o rp h o l o g i c al ru les a n d stru c tu res o f th at in f o rm al re ality as they are insc rib e d , b u t h i d d e n , in the textu al m a p o f the A m e r i c an city . It is the c ity o f b e h i n d - th e sc e n e s m an e u v e rs , an i n f o rm al e th o s that e v e ry o n e s e e m s to p artic ip ate in, al th o u g h it is u su ally u n s p o k e n b e c au s e o f the h ig h ly se nsitiv e n atu re ( p e rso n al , s o m e ti m e s u n e th ic al o r p e rh ap s illeg al) o f th e ac tiv ities c arrie d o u t th e re that s h ap e the f o rm al o u tc o m e . T h e o rig inality o f th is b o o k an d th e the o ry it p ro p o s e s d o e s n o t lie in th e re c o g n itio n o f th e e x iste nc e o f th e i n f o rm al se c to r - sinc e there are alread y n u m e r o u s e ssay s o n the i n f o rm al e c o n o m y b u t rath e r in c o n c e p tu al i z i n g

a ran g e

o f i n f o rm al

-

p rac tic es

b e y o n d the e c o n o m i c re alm , an d in s h o w i n g the stru c tu ral an d relatio nal links a m o n g th e m an d w i th th e f o rm al s y s te m . It f o rc es us to th e o riz e ab o u t th e ' g ray are a' o f so c ial life, a n d in the p ro c ess to s h o w its i m p o rtan c e an d re le v an c e to th e f ab ric o f the f o rm al sy ste m an d th e m u ltip le w a y s it insinu ate s itself in th e d e m o c rati c p ro jec t o f th e W est. T h e e x iste nc e o f th e se in f o rm al p rac tic e s is p arad o x i c al in the se n se that they m a k e p o ssib le the

Introduction xii zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Introduction

xiii

s m o o th f u n c tio n in g o f th e f o rm al u r b a n sy ste m y et at tim e s s e rv e

I | in< isco , and O a k l a n d resid ents c o m m u te d aily to w o rk o r

as a h i n d ran c e to th e ac h i e v e m e n t o f e th n i c and g e n d e r e q u ality

i n , izyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA H I sc ho o l in Berkeley . This c o n stan t p o p u l ati o n

zyxwvutsrqponmlkjihgfedcbaZYXW

mo v ement

nlo tlm l the Bay A re a f o r w o rk , sc h o o l , c hu rc h, h o sp i tal o r enter-

in th e p lu ralist e n v i ro n m e n t o f th e A m e r i c a n city.

in n i , alo ng w i th th e u se o f th e te le p h o n e , f ax a n d c o m p u te r

V ari o u s se g m e n ts o f the p o p u l ati o n re ad the te x t o f i n f o rm al

i.

p rac ti c e s d ifferently . T h e k i n d o f r e a d i n g o n e ind u lg e s in se e m s to

I

b e re late d to the p o s i ti o n o f th e o b s e r v e r in so c iety . O n e m a y

. 1. 1 . 1 . -.1

s p e ak th e n o f i n f o rm al p rac tic e s as f o rm i n g a s y s te m o f sig -

11

nif ic atio n. Fo r the p e r s o n in se arc h o f e m p l o y m e n t, th e i n f o rm al

i l » l.i i )',«T zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Bay A re a rath e r than o n an y o f its sp ec if ic entities.

ilo rm al c o m m u n i c ati o n ac ro ss th e to w n b o u n d ari e s , h as

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA . i n inf o rm al m e tro p o l i tan id e ntity to the l o c al n e ig h b o r1 o i ( o w n id entity . T h u s w e c an c o n c e n trate o u r atte ntio n o n

are n a ( rathe r than l ac k o f e x p e ri e n c e o r c o m p e te n c e ) is m o r e

• I i.i| >icr 1 p re se nts a n u m b e r o f m o d e l s o f inf o rm ality , d isc u ss-

o f te n th an n o t the v illain that p re v e n ts h i m f ro m b e i n g h ire d . Fo r

ni)., I In.' streng ths a n d p o sitiv e f e atu re s o f s o m e a n d the w e ak -

e m p l o y e e s at the w o r k p l a c e , it is th r o u g h the i n f o rm al are na that

i i i • -• .l'< • i.Mionalization a n d analy sis o f th e c o n c e p t o f th e in f o rm al

ac h i e v e

u p w ard

m o b ility

f aste r

than

o th e rs.

Fo r

th e

b u s i n e s s m an , the i n f o rm al are n a is h i s p artic ip atio n in the o l d -

• H\

b o y n e tw o r k that is th e sp ri n g b o ard to su c c e ss in h i s v e n tu re . Fo r

Hi. H - I o f o ur d i sc u ssi o n is p ro v i d e d as w e lo o k at it a s ' a p o le o f

A c o n c e p tu aliz atio n o f the i n f o rm al sp h e re th at w ill g u i d e

th e h o m e o w n e r , it is the h i ri n g o f i n f o rm al p ro f e ssio n als that

.i

l o w e rs h i s o v e rh e ad c o sts. Fo r th e sec retary , it is p artic ip atio n in

i . |' i i I.I I d istinc tio ns b e tw e e n ' r a w ' an d ' c o o k e d ' in f o rm ality n o t

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA u m ' rathe r th an as p art o f a d u alist stru c tu re . So m e c o n -

11111 111111

an i n f o rm al g ro u p th at l o w e rs th e l e v e l o f p sy c h o l o g i c al stress at

i >n l \

th e w o rk p l ac e . Fo r th o s e i n v o l v e d f u ll ti m e in the i n f o rm al e c o n -

• • I'll-•! i-s as p art o f th e f o rm al u rb an p ro c e ss. Th e th e o ry p ro v id e s

o u t g o i n g th ro u g h th e u s u al b u re au c rati c red tap e.

• i In i m c n e u ti c al a n d stru c tu ral w a y o f e x p l ai n i n g th e i n f o rm al

In f o rm al p rac tic e s are tied to f o r m a l p rac tic e s in m a n y d if f erent w a y s . So m e ti m e s th e y are c e n tral a n d o th e r tim es interstitial o r p e ri p h e ral to the f o r m a l sy ste m . C h a n g i n g c o n d i ti o n s in th e f o rm al d o m ai n m a y af f ec t th e i n f o r m a l d o m ain , f o r e x am p l e in te rm s o f e x p an si o n o r c o nstric tio n. In o rd e r to c o n stru c t the c ase o f th e i n f o rm al c ity , I h av e i d e n ti f i e d a n u m b e r o f to p ic s f o r an al y si s. T h e San Fran c i s c o - O ak l an d M e tro p o l i tan A rea w a s selec ted as the site o f the stu d y . T h e area c o n s ti tu te s an in f o rm al m e tro p o l i s, al th o u g h f o rm ally it is a c o lle c tio n o f l arg e r and sm al l e r to w n s. It

.ho w the in f lu e n c e o f h e g e m o n i c p rac tic es o n th e in f o rm al

p i i . i i . c s as b e in g i n c l u d e d in th e f o rm al o u tc o m e o f f o rm al | . i i . l u e s. 1

li.ip ter 2 p r e s e n ts a d i s c u s s i o n o f th e p r o d u c ti o n an d g e o -

o f inf o rm al sp ac e in the Sa n Franc isc o Ba y A rea. It is . 11 r u e d that f o rm al sp ac e is s o m e ti m e s i n f o rm al i z e d f o r the p u rI " • . H I c arry ing o u t i n f o rm al ac tiv ities. Th e saf e ty - v alv e f u nc tio n • II nI su b ju g ate d statu s o f i n f o rm al sp ac e is d i sc u sse d . T h e Inf o rm al c ity n e e d s a sp ati al i n f ras tru c tu re f o r th e e x p re s s i o n " i Inf o rm al p rac tic e s a n d i n f o rm al sp ac e p ro v i d e s ju s t this k i n d " I m p p o rt. c.i . i | ' l n

is an id e al i n f o rm al m e tro p o l i s f o r o u r stu d y n o t s i m p l y b e c au s e

I In - inf o rm al e c o n o m y in the Bay A re a is d i sc u sse d in C h ap te r

o f th e h i g h le v e l o f i n f o rm al p rac ti c e s c arried o n ( s o m e o f th e se

I 1111 •. e c o n o m y is f o u n d n o t o n l y a m o n g the l o w e r c lass an d th e

c an b e f o u n d e l s e w h e r e ) , b u t b e c a u s e th e p h y sic al b o u n d ari e s

nig rants, b u t also ac ro ss the b o ard , an d takes v ari o u s sh ap e s -

w i th i n th e reg io n are th e m s e l v e s i n f o r m a l an d b e c au s e the p o p u -

I I " i 11 lhe inf o rm al c arp e nte r, g ard e n e r o r m e c h an i c w h o g ets p ai d

latio n m o v e s f re e ly ac ro ss the t o w n b o rd e rs. Fo r e x am p l e , San

uiulo r the tab le to th e f reelanc e e d i to r u sin g a c o m p u te r at h o m e . I . I w o rk statio n f o r u n re g u l ate d w o r k to b e E- m ai l e d to a f o rm al Inin l 'his re g u lato ry f u nc tio n o f the i n f o rm al e c o n o m y is hig hlig hted he re .

Fran c i s c o re sid e n ts c ro s s the Bay Br i d g e ev ery d ay to w o rk in O a k l a n d o r Be rk e l e y a n d th e re f o re p artic ip ate in i n f o rm al p rac tic es o n b o th si d e s o f the Ba y Be r k e l e y resid ents w o r k in San

x iv

Introduction zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

C h a p te r 4 stresses the ro le o f i n f o rm al i ty in th e c o n d u c t o f c ity p o litic s. Fo c u sin g o n m u n i c i p al p o litic s, i n f o rm al p rac tic e s are stu d i e d at the n e i g h b o rh o o d lev el, in the ad m i n i strati v e stru c tu re o f a Ba y A rea c ity in te rm s o f the re latio ns b e tw e e n th e m a y o r ' s o f f ic e a n d state a n d f ed eral au th o ritie s. Th e c h ap te r u n v e ils th e m e c h a n i s m s that su stain the p ro c e ssu ality o f i n f o rm al p o litic al p rac ti c e s an d su g g e sts that to u n d e rs tan d u rb an p o litic s o n e m u s t p a y attentio n to b o th its f o rm al an d i n f o rm al asp e c ts. In C h ap te r 5, the w a y in w h i c h in f o rm ality i n si n u ate s itself in the ap p aratu s o f the f o rm al f irm is stu d ie d . In f o rm al i ty is f o u n d in h i ri n g an d train in g p rac tic es, in c o m m u n i c ati o n sy ste m s, an d in th e e v e ry d ay m an ag e ri al o p e rati o n o f all f irm s. It is lo c ated in

Introduction zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA X V

d e an f ac e in the f o rm al f aç ad e o f so c iety . Pe rh ap s m o r e f u n d a-

m entally , w h i l e i n f o rm al i ty is an o p e n av e n u e w h e r e i n d i v i d -zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQP N . zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA i l s c an take c are o f their p e rso n al a n d g ro u p n e e d s an d sp e e d up s u c h p ro c e sse s w i th o u t b e c o m i n g e n tan g le d in b u re au c ratic red tap e , it n e v e rth e l e ss u n d e rm i n e s the p rinc ip le o f f airne ss an d eq u ality as it he lp s p o sitio n s o m e in d iv id u als c o m p e ti ti v e l y in the f o rm al sy ste m w h i l e at the s a m e ti m e d e n y i n g o th e rs ac c ess to the s a m e so u rc e s o f p riv ileg e ( inf o rm al g ro u p , inf o rm al m m u n i c ati o n , o l d - b o y n e tw o rk ) . Th e b o o k is n o t an e th n o g rap h y o f u rb an p rac tic e s in the San r.incisco Bay A re a b u t rather an atte m p t at th e o riz in g

so m e

nsp ects o f e v e ry d ay lif e in this m u lti- e th n ic m e tro p o l i s. To this

the interstitiality o f th e m o d e rn f irm , an d so , to u n d e rs tan d its

id, w e c o n c e p tu aliz e th e issu e o f th e in f o rm al s p h e re o r arena as

b e h av i o r, the g r a m m a r o f the interstitiality o f i n f o rm al i ty

ke y to u n d e rs tan d i n g th e o p e ratio n o f v ario u s s e g m e n ts o f the

is

d i sc u sse d .

rm al sy ste m .

In f o rm al i ty as a su p p o rt s y s te m is d isc u sse d in C h ap te r 6.

A n u m b e r o f p e o p l e h av e h e l p e d m e in the p re p arati o n o f this

H e al th c are p rac tic e s a m o n g the Ba y A re a p o p u l ati o n are f o u n d

o o k. A m o n g th e m , i n f o rm an ts ( s o m e o f th e m are i n f o rm al p ro -

to c o m p ri s e a f o rm al a n d an i n f o rm al d i m e n si o n . So m e illnesses

ssio n als an d o the rs are no t) in the Sa n Franc isc o Bay A re a p ro -

are c u r e d at h o m e w i th o u t the h e l p o f a d o c to r o r h o sp ital. H e re

id ed m e w ith b o th i n f o rm ati o n an d their inte rp re tatio n o f the

the re latio n s o f i n f o rm al he alth c are w ith f o rm al m e d i c al p rac -

f o rm al arena in the e v e ry d ay life o f their n e i g h b o rh o o d s an d

tic es o r th e f o rm al h e al th sy ste m are an al y z e d . Su c h c are p lay s a

rm al o f f ic es. I w an t to ac k n o w l e d g e their c o n tri b u ti o n to this

m ajo r ro le in the s e n s e that it p re v e n ts the f o rm al sy ste m f ro m

o llec tiv e e nd e av o r. Fo r o b v io u s re aso n s, n am e s o f in f o rm an ts

b e i n g c l o g g e d w i th m i n o r o r u n n e c e s s ary tre atm e n t p ro c e d u re s

nd th e institu tio ns to w h i c h s o m e o f th e m b e l o n g are w i th h e l d . I

an d p ro v i d e s an alte rnativ e an d c o m p l e m e n tar y av e n u e to th e p atie n t. In C h ap te r 7, th e ro le o f i n f o rm al i ty in s h ap i n g

w e a d e b t o f g rati tu d e

to Ed

Bl ak e l y

an d th e

U n iv e rsity -

O ak l an d M e tro p o l i tan Fo ru m . T w o g rants aw ard e d m e b y the inter- ethnic

C o m m i t t e e o n R e s e a r c h o f th e U n i v e r s i t y o f C a l i f o r n i a

at

re latio n s is d i sc u sse d . Th e i n f o rm al are n a is a b a c k alley w h e r e

Be rk e l e y an d a sab b ati c al leav e m a d e the c o m p l e ti o n o f this

the d i sc o u rse ab o u t th e ' o th e r' is h e l d . It is w h e r e p e o p l e test,

researc h p o ssib le.

c o n te st o r reinf o rc e their v ie w s o f th e ' o th e r' . Inte r- e thnic rela-

C h ap te rs o f the b o o k w e re p re v i o u sl y read at f ac u l ty se m in ars

tio ns are p lay e d o u t at tw o lev els, f o rm al an d i n f o rm al , an d th e

t the U n i v e rsi ty o f M an i to b a ( A n th ro p o l o g y D e p ar tm e n t an d

i n f o rm al arena y ie ld s c lu e s fo r u n d e rs tan d i n g th e p e rf o rm an c e o f

ho o l

f ac e - to - f ac e in te rac tio n in the f o rm al are na.

uébec

T h e c o n c lu sio n take s u p the i m p o rtan t issu e o f the m u ltiv o c ality o f i n f o rm al i ty as it fulfills d i v e rse ro les an d c o n stitu te s a

o f A rc h ite c tu re (Institu t

é p arte m e n t

d es

an d

N ati o n al Etu d e s

Urb an de

la

Plan n in g ) , U n i v e rsi té Re c h e rc h e

Sc ie ntif iq u e

U rb ai n e s) , Univ e rsité

A n th ro p o l o g y D e p artm e n t) , Bo sto n U n iv e rsity

de

du et

M o n tré al

( A n th ro p o l o g y

s y s te m o f sig nif ic atio n. V ario u s stru c tu ral p o si ti o n s o f the rela-

e p artm e n t) , U n i v e rsi ty o f C alif o rn ia at Be rke le y

tio ns b e tw e e n f o rm al i ty an d i n f o rm al i ty are p re se n te d . Th e b o o k

e p artm e n t an d Institu te o f G o v e rn m e n tal Stu d ie s) a n d H arv ard

e n d s w i th an o p e n q u e stio n: in a d e m o c rati c state w h at, u lti-

n i v e rsi ty ( A n th ro p o l o g y D e p artm e n t) . O n e c h ap te r w as p re-

m ately , is the ro le o f inf o rm ality ? It p ro v i d e s s o m e w i th an are n a

n te d at the an n u al m e e ti n g s o f th e A m e ri c an A n th ro p o l o g i c al

w h e r e th e y c an re h e arse their d irty tric ks w h i l e th e y p resent a

so c iatio n he ld in D e c e m b e r 1992 in San Fran c isc o .

( G e o g rap h y

Introduction x v i zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Three

c h ap te rs

of

the

bo o k

w e re

p re v i o u s l y

1

p u b l i sh e d

se p arate l y : C h ap te r 1 as "The Stru c tu ri n g o f In f o rm al U rb an Prac tic e s' , W o rk i n g Pa p e r s N o . 3 - 9 2 , Sé rie ' R e c h e rc h e ' , M o n tré al , C a n a d a : Institu t N ati o n al d e la Re c h e rc h e Sc i e n ti f i q u e , Institu t d ' U r b an i s m e d e l' U n iv e rsité d e M o n tré al , D é p a r te m e n t d ' Etu d e s U r b a i n e s et To u ristiq u e s d e l ' U n i v e rsi té d u Q u é b e c à M o n tré al an d Sc h o o l o f U r b a n Pl an n i n g o f M c G i l l Univ e rsity , 1992; C h a p -

The Informal City A pproach

ter 3 ap p e are d as "The In f o rm al Ec o n o m y in th e San Fran c i sc o Bay A re a' , W o rk i n g Pap e r 594, Be rk e l e y : Institu te o f U rb an a n d R e g i o n al D e v e l o p m e n t, U n iv e rsity o f C alif o rnia, 1993; C h ap te r 4 w a s p u b l i sh e d as ' In f o rm ality a n d U rb an Po litic s in O ak l an d ' , W o r k i n g Pap e r 9 3 - 7 , Be rke le y : In stitu te o f G o v e r n m e n ta l Stu d i e s, U n i v e rs i ty o f C al i f o rn i a, 1993. A n ab ri d g e d v e rs i o n o f C h ap te r 4 also ap p e are d u n d e r the title ' In f o rm al Po litic s h a s an Eth n i c Fl av o r in the Bay A re a' , in Pu b l i c A f f airs Re p o rt v o l . 34, n o . 3, 1993.

In re ad in g the so c io lo g ic al literatu re o n the c o n sti tu ti o n o f so c iety, o n e m u s t n o tic e th at the m ajo ri ty o f so c ial sc ie ntists h av e c o n Btantly e m p h as i z e d u n v e ilin g a n d e x p lain in g th e stru c tu re o f l o rm al so ciety . Th i s v i e w o f th in g s is p art o f the l e g ac y o f m o d e r nity, w h i c h e n v i si o n e d e m an c i p ati o n th ro u g h re aso n d u rin g the En l i g h te n m e n t p e ri o d . Th is W e ste rn v i e w stre sse s th at p ro g re ss c an b e ac h ie v e d m a i n l y thro u g h a ratio nal o rd e ri n g o f so ciety .

W h i l e p re p ari n g th is b o o k I s p e n t a m o n th in re si d e n c e at th e

A l th o u g h o n e c an learn a g reat d e al f ro m stu d ie s o f the f o rm al

In stitu te o f U rb an Stu d i e s o f th e U n i v e rsi ty o f W i n n i p e g , a s u m -

institu tio ns o f so c iety , f ailu re to f o c u s o n i n f o rm al p rac tic e s h as

m e r in re sid e nc e at th e D e p artm e n t o f U rb an Pl an n i n g at M c G i l l

b e e n a m ajo r h i n d ran c e to o u r u n d e rs tan d i n g o f th e o p e ratio n,

Univ e rsity , an d

a y e ar in th e A n th ro p o l o g y

D e p ar tm e n t

at

H a r v a r d Univ ersity . I w an t to th an k p artic u larly M a r i o C arv al h o ,

ram if ic atio ns an d e lastic c o n to u rs o f e v e ry d ay lif e. A s H e n ry ( 1 9 8 1 : 1 ) n o te s:

Je an n e W o lf e, H y m i e Ru b e n ste i n , D i c k W alker, D e i rd re M e i n te l , Fri e d n e r W i ttm an , Ja m e s W atso n , Sal l y Falk M o o r e an d M i c h ae l H e rz f e l d f o r their c o m m e n ts . T h e f inal o u tc o m e o f the b o o k w o u l d n o t h av e b e e n the s a m e w i th o u t the h e l p f u l sc ru tiny o f th e se sc h o lars an d th e au d i e n c e s - in c lu d in g th e stu d e n ts at Be rk e l e y ( m o st n o tab l y Th e re sa W e b ste r an d Fran c i sc o San tam ari n a) w h o to o k m y s e m i n a r o n In f o rm al Sy ste m s - b e f o re w h i c h th e d raf ts w e re p re se n te d .

W h a t is m issin g f ro m p re v io u s ac c o u n ts is the im p lic it an d h i d d e n c o n trib u tio n o f in f o rm al institu tio ns ... w e n e e d to k n o w h o w the se i n f o rm al institu tio ns o p e rate , an d al so h o w

th e y

re late to their f o rm al c o u n te rp arts ... A l th o u g h i n f o rm al institu ti o n s and p rac ti c e s are, an d h a v e al w ay s b e e n , share d an d e x p e c te d b y p e o p l e w h o are i n v o l v e d in f o rm al institu tio ns,

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA th e y rarely f e atu re in

so c io lo g ic al,

eco no m ic

or

p o litic al

ac c o u n ts an d th e o risin g . I a m p ro p o si n g an alternativ e a n d c o m p l e m e n tar y ap p ro ac h , that o f stu d y i n g so c ie ty - an d f o r th at m atte r th e A m e r i c an c ity f ro m the ang le o f i n f o rm al p rac tic e s. Th e strate g y that I p u rsu e h e re is ' to d e m arc ate the i n f o rm al se c to r as a d istinc t analy tic al an d e m p i ri c al c ate g o ry ' ( Pap o la, 1981: 13) . In this ratio nale, I d o no t s tu d y in f o rm ality f ro m the stan d p o i n t o f th e f o rm al sy ste m , b u t i n ste ad u n d e rs tan d the f o rm al s y s te m f ro m th e stan d p o i n t o f inf o rm ality . In d o i n g so , I re c o g n i z e b o th the c entrality

an d

2 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

City

3

Approach

p e ri p h e ral i ty o f i n f o rm al p rac tic e s a n d institu tio ns in ±ie m a k e -

l y s te m is in a state o f c o m p e ti ti o n , thereb y attrac ti n g in d iv id u al

u p , so c ial o rg an i z ati o n an d s m o o th f u n c ti o n i n g o f th e A m e r i c an

ac to rs f ro m th e f o r m al sy ste m to its c am p w ith th e p o ssib ility o f

c ity at th e e n d o f th e tw e n tie th c e n tu ry .

i ii it ran kin g th e f o r m a l sy ste m alto g ether. This stru c tu re o f c o m -

It is m y v i e w th at in f o rm ality p e rm e ate s e v e ry asp e c t o f th e

p etitio n lead s to th e b e lie f that th e su c c e ss o f o n e m e a n s n e c e ss-

f u n c ti o n i n g o f so c ie ty . It is a v ast re al m - a m u l ti p l i c i ty o f n i c h e s

arily the f ailu re o f th e o ther. Th is v i e w o f in f o rm ality as f o rm i n g a

1

-

th e

p .irallel sy ste m f u rth e r lead s to th e n o ti o n o f v e rtic al in f o rm ality

ad v e n t o f an i m p o s e d f o rm al s y s te m o r w i th i n th e n o o k s a n d

w h e r e h u m a n b e i n g s p lac e th e m s e l v e s , e i th e r p rio r to

( w h e re b y the i n f o rm al sy ste m c an p o tentially h o l d th e sam e k i n d

c ran n i e s o f the f o rm al so c ietal s y s te m . Th e y d o s o in o rd e r to d e al

Oi stre ng th as th e f o rm al s y s te m ) an d h o ri z o n tal

e f f e c tiv e ly w i th th e ro u ti n e issu e s o f e v e ry d ay lif e. In f o rm al i ty is

( w h e re b y the i n f o rm al sy ste m is w e a k e r than the f o rm al s y s te m ) .

inf o rm ality

u n d e rs to o d h e re as a reality n o t to tally se p arate d f ro m the f o rm al

A s a se p arate reality it c an b e e i th e r v isib le o r h i d d e n - as an

s y s te m , b u t rathe r l i n ke d to an d s h ap e d b y it. In f o rm al i ty is a

e x am p l e , c o n sid e r th e u n d e rg ro u n d e c o n o m y .

stru c tu re o f ac tio n th at c o n tain s b o th h arm o n i o u s

( ad ap tati o n )

a n d c o n trad i c to ry ( resistanc e) re latio n sh ip s. It is a site o f p o w e r in re latio n to e x te rn al d isc ip lin ary a n d c o ntro l p o w e r.

zyxwvutsrqponmlkjihgfedcbaZYX

T h o s e w h o e x to l the d u alist n atu re o f th e u r b a n

eco no my

d iv id e it into tw o s y s te m s : u p p e r a n d lo w e r c irc u its, trad itio nal an d m o d e rn , f ac to ry an d no n- f ac to ry , c ap italist a n d su b siste n c e .

In th is v e in o n e m a y arg u e that i n f o rm al i ty 'is a p o i n t o f resist-

Th e y u se the o rg an i z ati o n o f p ro d u c ti o n as a m a jo r c riterio n f o r

an c e n o t so m u c h ag ai n st a c e rtain c lass o r g r o u p b u t ag ain st

this d istinc tio n ( M ittar, 1988: 1 2 - 1 3 ) . In his s tu d y o f the i n f o rm al

f o rm s o f p o w e r w h i c h d e n y the i n d i v i d u al i ty o f th e su b jec t. It is a

sec to r, H art ( 1973) w a s am o n g th e first so c ial sc ie ntists to o b se rv e

site o f stru g g le o v e r c o m p e te n c i e s , k n o w l e d g e s a n d p ri v i l e g e s'

I hat m a n y i n c o m e - g e n e rati n g ac tiv ities take p l ac e in th e i n f o rm al sec to r. H e p ro p o se d that to u n d e rs tan d the m e c h a n i s m s o f u n e m p l o y m e n t in u rb an A f ri c a, a f o c u s o n inf o rm al i n c o m e o p p o rtu n i ties w o u l d b e in o rd e r.

( M atth e w s , 1 9 8 8 : 1 9 ) . Its m e an i n g s c an b e c o n stru c te d in te rm s o f b o th its g e n e al o g y a n d its relatio ns to the c o n te x tu al c o n d itio n o f the f o rm al sy ste m . In f o rm al i ty h as b e e n v ario u sly c o n c e p tu al i z e d b y so c ial sc ie n-

Fo r H ard i n g an d Je n k i n s ( 1989: 51) , ' in f o rm ality an d f o rm ality

tists, d e p e n d i n g o n w h e th e r it is c o n c e i v e d o f as a se p arate reality

... s h o u l d b e re g ard e d as re p re se n tin g the p o le s o f a c o n ti n u u m ' .

o r as p art o f f o rm ality . It is w o r th p re se n tin g a n d

C le arly in f o rm ality is p o stu late d h e re as b e in g p art o f the w h o l e ;

an al y z i n g

b rie f ly m o d e l s o f i n f o rm al i ty that h a v e b e e n c o n s tru c te d in th e

theref o re it is b e l i e v e d to b e l i n ke d to the f o rm al sy ste m . Th i s

e x tan t so c io lo g ic al a n d an th ro p o l o g i c al literatu re. So m e o f th e se

linkag e is ef f ec ted n o t th ro u g h th e c o re o f b o th p o l e s , b u t rathe r

c an b e se e n as c o m p l e m e n ta r y in a u n if ie d th e o ry o f inf o rm ality .

th ro u g h their p e ri p h e ri e s. Th e p e ri p h e ri e s b e c o m e th e n the p o i n t

Le t u s n o w start d e c o n stru c ti n g in a su c c inc t m a n n e r their b asi c

o f m e e ti n g an d d e p artu re o f b o th p o l e s. It h as b e e n e m p iric ally

c o n te n t.

su b stan tiate d an d arg u e d b y Pap o l a ( 1981: 112) that ' the c o n -

T h e i n f o rm al s y s te m is s o m e ti m e s c o n c e i v e d o f as an alter-

tinu ity o f v ariab le s a n d s u b m e rg i n g o f o n e se c to r i n to an o th e r at

n ati v e sy ste m . Th i s im p lie s that it is a se p arate reality . A s Fitz -

the m arg i n c an n o t b e ru le d o u t' . Th i s c o rro b o rate s an e arlie r

p atri c k ( 1 9 8 8 : 1 7 9 ) p u ts it, it is se e n as ' e sse ntially alte rn ativ e a n d

o b se rv atio n m a d e b y D alto n ( 1959: 222) in h is s tu d y o f f o rm al

re sistant to f o rm al s y s te m s an d , u su ally , as o p e rati n g in d i m i n u -

o rg an iz atio n s. H e n o te d that ' e x c l u si v e relianc e o n this c o u p l e t

tio n o f th e m ' . C ritic iz in g the lite ratu re o n i n f o rm al o rg an i z ati o n s,

ig no res the w h o l e c o n f u s e d m i d d l e g ro u n d w h e r e th e re are " m i x -

C arl s o n ( 1958: 367) n o te s that ' it c re ate s a m e n tal i m ag e o f tw o

tu re s " an d w h e re n e w f o rm al a n d i n f o rm al ac tio n s are o b sc u re ly

se p arate an d d istinc t o rg an i z ati o n s in p u rp o si v e o rg an iz atio n s. It

initiated .. . w h e n u s e d as the c o u n te r p o le o f a c o u p l e t there is d if -

sets u p m e n tal c ate g o ri e s o f f o rm al an d i n f o rm al o rg an iz atio n

f ic u lty in say in g w h e r e the i n f o rm al e n d s and the f o rm al b e g i n s. '

an d i m p l i e s that all o b se rv ati o n s m u s t b e sif ted i n to o n e o r th e

O n e stresses h e re th e id e a that w h ate v e r d if f e re nc e s the f o rm al

o th e r c ate g o ry .' T h i s m o d e l p ro p o s e s the id ea th at th e i n f o rm al

an d i n f o rm al m a y h a v e in their c o re , the se d if f e re n c e s are likely

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSR

6 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City O n e o f the p r o b l e m s I c o n f ro n te d in e x p l ai n i n g the n atu re o f i n f o rm al i ty an d th e f u n c tio n in g o f i n f o rm al s y s te m s is d e f in in g this reality . W h a t is the i n f o rm al sy ste m ? H o w sh o u l d it b e d e f i n e d , so that w e c an stu d y its i n n e r w o rk i n g an d relatio ns to th e f o rm al sy ste m ? A

f o rm al

s i d e r a ti o n

d e f i n i ti o n

of

i n f o r m a l i ty

m ust

ta k e

a l arg e n u m b e r o f v ari ab l e s . T h e s e

i n to

co n-

includ e:

i ts

The Informal

Hi H I -

( 1990: 405)

ju d i c i o u sl y

City

n o te s

7

Approach

that ' s o m e

ac tiv ities

are

n o rm al b e c au se th e re d o n o t ex ist ru les that w o u l d f o rm aliz e i n ; o ther ac tiv ities are in f o rm al, p rec isely b e c au s e there are M il.s

inv o lv ed .' I d e f i n e i n f o rm al i ty as a s tru c tu re o f ac ti o n . T h i s m i n i m u m d e f in itio n

im p lies

th e

e x i s te n c e

o f : a p l ac e

(ho me,

stre e t,

o r i g i n , e i th e r as p r e c e d i n g th e f o r m a l s y s te m o r as g r o w i n g

b u si n e ss) w h e r e th e ac ti o n is c a r r i e d o u t; ac to rs , w h o s e ac ti o n

f r o m it; its re l ati o n to th e f o r m a l s y s te m ; th e p ar ti c i p ati o n o f its

Can b e e i th e r f o r m a l o r i n f o r m a l ; a f o r m a l s y s te m th at i n l o rm al i z e s th e i n f o r m a l s y s te m ; a n d an i m p l i c i t o r e x p l i c i t ih- ntio nality th at h a s a sp e c i f i c g o a l ( re l ax i n g , e v a d i n g tax , o l i ti c al e n d s ) .

a c to r s

in

th e

f o rm al

s y s te m ;

ti m e

an d

sp ac e

f ac to rs ;

th e

m e a n i n g s o f e v e r y d a y p rac ti c e s ; a n d the s tr u c tu r a l l o c ati o n o f inf o rm al

p rac ti c e s

in re l ati o n

to

o th e r p r ac ti c e s . D o e s

th e

i n f o r m a l sh are c h arac te ri s ti c s w i t h th e f o r m a l s y s te m ? T h e s e are c ri te ri a th at m a y

p r o v i d e c l u e s f o r a d e f i n i ti o n o f

th e

i n f o r m a l s y s te m .

O n e m u s t also re c o g n i z e that th e re are d e g re e s o f inf o rm ality . Ih e se ran g e f ro m v e ry in f o rm al to alm o st f o rm al . In a m u ltih n i c u rb an e n v i ro n m e n t, o n e id e ntif ie s lev els o f in f o rm ality in

In f o rm al i ty re f e rs to the b e h av i o u r o f ac to rs.

latio n to the f o rm al i ty o f the m ai n s tre am a n d o f the m i n o ri ty

It re f e rs to p ro c e d u re s, o r the o u tc o m e s o f p ro c e sse s, w h e th e r th e

i m m u n i t i e s . I a m re f e rring h e re to p rac tic es that are c o n sid e re d

W hat

is informal?

ac to rs are f o rm al o r in f o rm al. O f te n f o rm al in stitu tio n s are l i n ke d

i l o rm al b y

m i n o ri ty

stan d ard s.

H e re

ag ain,

th e

d e g re e

of

to e ac h o the r th ro u g h in d iv id u als w h o s e b e h av i o u rs c o nstitu te

inf o rm ality c an b e d e f in e d b y in te rn al o r e x te rn al c riteria. T h e

an i n f o rm al c o o rd i n ati n g m e c h a n i s m . A n e x am p l e is the l i n k ag e

d e g re e o f an ac ti o n ' s in f o rm ality c an b e m e as u re d in te rm s o f its

o f v ari o u s tran sp o rt sy ste m s in th e San Fran c i sc o - O ak l an d M e t-

c lo seness o r d i stan c e f ro m the f o rm al sy ste m , as inte rp re te d b y

ro p o l i tan A re a. G r o s s ( 1964: 59) d e n i e s the i n f o rm al ac to r an y

Ilu- k n o w i n g su b je c t. Th e c lo ser it is to the f o rm al sy ste m the

c o n s c i o u s n e s s o f h i s o r h e r ac tio n . H e no tes that ' th e d if f e re nc e

m o re f o rm al it is; th e m o re d istant, the m o re i n f o rm al it is. C l o se -

b e tw e e n f o rm al a n d i n f o rm al o rg an i z ati o n s is th at w h i l e

ness

th e

f o rm e r is a sy ste m o f c o n sc io u sly c o o rd i n ate d ac tiv itie s, the latter

an d d istanc e are n o t to b e u n d e rs to o d in g e o g rap h i c al te rm s,

but rath e r in a stru c tu ral an d h e rm e n e u ti c al se n se . T h e d e g re e o f

is u n c o n s c i o u s , in d e f in ite , an d rath e r stru c tu re le ss.' D al to n take s

' c l o se n e ss' m ay b e o n e w a y to c o m p a r e the b e h av i o r an d p o sitio n

an o p p o s i te v ie w , w h i c h is in m y ju d g m e n t m o r e ac c u rate . H e

ol in f o rm al o rg an i z ati o n s vis-a-vis

n o te s that ' f o r o u r a i m o f stre ssin g th e ties b e tw e e n f o rm al an d

( 1981: 6) p u ts it ' rath e r than d if f erentiate b e tw e e n i n f o rm al insti-

i n f o rm al

we

need

to

c o n sid e r

m o re

than

w hat

su p p lie s

a

th e f o rm al s y s te m . A s H e n r y

tu tio ns o n the b asi s o f the kin d s o f ru les w h i c h g o v e r n the tran s-

p o te n ti a l f o r jo i n t ac ti v i ty ; w e m u s t talk o f th e ac ti v i ty itse lf .

ac tio n s

T h i s larg e ly c o n sc i o u s ac tio n is w h a t w e p ri m ari l y m e an

b e tw e e n th e m ac c o rd i n g to the d e g re e to w h i c h th e y are in te g ral

by

" i n f o r m a l " ' ( D alto n, 1959: 223) . T h e in f o rm ality o f an y g iv e n b e h av i o r c an b e i m p u te d in tw o

zyxwvutsrqponmlkjihgfedcbaZYXW

that either m a k e c o n d itio n s o r e v e n p ro h ib it th e ac tiv ities

an d

re latio n sh ip s

w i th i n

th e m ,

we

c an

d isting u ish

to , o r an alte rn ativ e to , o fficial institu tio ns, an d al so ac c o rd in g to their statu s.'

w a y s , either th ro u g h the in te n tio n ality o f the ac to r, o r th ro u g h

In f o rm al i ty s h o w s itself in d if f e re nt d o m ai n s. W h e r e v e r there

the e x te rn al c o n stru c ti o n o f ' i n f o rm al i ty ' b y th e au d i e n c e . In

is a d e n si ty o f f o rm ality , there is also a p o te ntial f o r inf o rm ality .

o th e r w o rd s , o n e m a y d e c id e to d i s p l ay an i n f o rm al b e h av i o r o r

To b e in f o rm al is h u m a n . O n e m a y g o a bit f u rth e r an d say that

o n e ' s b e h av i o r c an b e d e f in e d as i n f o rm al b y o th e rs. T h e f o rm al

b e h i n d e v e ry f o rm al o rg an iz atio n th e re is an i n f o rm al institu tio n.

le g al sy ste m is, iro nic ally , w h at al l o w s u s in s o m e instanc e s to

Th e m u l ti p l e re latio n s b e tw e e n th e f o rm al a n d th e in f o rm al are,

d i sti n g u i sh b e tw e e n the f o rm al a n d the in f o rm al. In that v e in,

h o w e v e r, y et to b e sp e lle d o u t.

zyxwvutsrqponmlkjihgfedcbaZYXW

The Informal

8 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City I N FO R M A L I T Y A S A W A Y O F LIFE, A S A SEC T O R A N D A S A

p o sitio ns an d

City

9

Approach

d if f erenc es o f p rac tic e s w i th i n the

i n f o rm al

i re n a, b u t also stre sse s the stru c tu ral links b e tw e e n the i n f o rm al

SY ST EM

•nd f o rm al s y s te m s . W h i l e the i n f o rm al s y s te m is lin ke d to th e A n an aly sis o f i n f o rm al u rb an p rac tic e s c o n f ro n ts u s w ith th e n e e d to stu d y th e e v e r y d a y life o f th o se u rb an i te s to c o n tri b u te to a g e n e ral th e o ry o f p rac tic e. H u m a n life is re c o g n i z e d as h av i n g b o th a f o rm al a n d an i n f o rm al sid e. A t th e i n d i v i d u al lev el, i n f o rm al i ty is u n d e rs to o d h e re as a w a y o f life. A t the p e rso n al le v e l, it is a ref lec tio n o f h u m a n f re e d o m , an i m p l i c i t o r e x p lic it c h o i c e that an i n d i v i d u al ac to r m a k e s to lo c ate h i m s e l f o r h e rse l f in a retreat p o sitio n vis-á-vis

I. » rmal, it is n o t e v i d e n t that all th e sec to rs o f th e i n f o rm al s y s te m

•re d irec tly l i n ke d to e ac h o ther. So m e ti m e s th e y are so l i n ke d ind irectly , th ro u g h th e m e d i ati o n o f the f o rm al sy ste m . A ll th e in f o rm al p rac tic e s an d institu tio ns are seen as f o rm i n g a s y s te m because

they

display

the common

identity

of subjugated

T h e y o c c u p y a d if f erent stru c tu ral p o sitio n vis-a-vis

practices.

the f o rm al

I iractices o f the f o rm al sy ste m .

the f o rm al ap p aratu s o f so c iety . T h e

c au s e s f o r su c h a retreat are m u l ti p l e . Th e y i n c l u d e th e n e c e ssity to m e e t a p e rso n al n e e d , to e x p e ri e n c e a d if f erent reality , to c h al -

T H E LIM ITS O F FO R M A L I T Y

l e n g e th e f o rm al s y s te m o r s i m p l y to exp ress o n e ' s so c ializ atio n W e h a v e le arn e d f ro m the so c i o l o g y o f e v e ry d ay lif e that so c ial

a n d o n e ' s ro u tine o f e v e ry d ay lif e. A t the g ro u p le v e l, in f o rm ality re sp o n d s to th e d e sire o f i n d i -

e x iste n c e is n o t m a d e u p o f o n l y f o rm al p rac tic e s. Fu rth e rm o re ,

v i d u al s to b an d to g e th e r to ac c o m p l i s h stated g o al s w i th o u t f o r-

e v e n the se are i n f l u e n c e d b y i n f o rm al p rac tic e s. T h e ratio nal so c i-

m al restric tio ns. It su stain s the g r o u p sp irit o f so lid arity . It p l ay s a

ety that the m o d e rn i s ts h av e atte m p te d to c o n stru c t h as n o t b e e n

c ataly tic ro le in m e e ti n g the e x p e c tati o n s o f th e m e m b e r s o f th e

,ible to f o rm aliz e all o f its institu tio ns ( C o o k et al., 1990) . Ev e n th e

g ro u p . It allo w s m u c h flexibility

f o r th e c o m p o si ti o n , d e c o m p o s i -

A t the institu tio nal lev el, i n f o rm al i ty f o rm s th e lif e b lo o d

of

f o rm al o rg an iz atio n s. It p ro tec ts i n d i v i d u al in te re sts, p ro v i d e s a n alte rn ativ e e x p e ri e n c e to m a n a g e m e n t an d staf f , restric ts

th e

c o n tro l o f p o w e r- h o l d e rs, u p g rad e s the in f lu e n c e o f su b alte rn staf f ( inf o rm al l e ad e rs) an d g l u e s the c o rp o rati o n to g ether. In o th e r w o rd s , i n f o rm al i ty help s s h a p e e v e ry d ay p rac ti c e s an d th e

b e tw e e n

First, the leg al s y s te m d o e s n o t c o v e r e v e ry h u m a n

ac tiv ity .

Se c o n d , leg al n o r m s d o no t n e c e ssari l y c o in c id e w i th so c ial o n e s ( Ro se , 1983: 12) . M a n y so c ial p rac tic e s are c o v e re d u n d e r so c ial n o r m s an d n o t le g al o n e s. T h e y c o nstitu te p arts o f the re al m o r n i c h e s w h e re i n f o rm al i ty

flourishes.

T h e m ai n p r o b l e m w e c o n f ro n t in o u r an aly sis is to e x p lain the m i n u ti ae o f the d istin c tio n b e tw e e n o n the o n e h a n d the d o m a i n

c o n to u rs o f the f o rm al sy ste m . In f o rm ality is al so se e n b y s o m e re se arc he rs as a sec to r: e c o n o m i sts an d h e al th c are p ro f e ssio n als u se the p h ras e

leg al sy ste m h a s lim its o n its ab ility to d i sti n g u i sh

f o rm al an d i n f o rm al p rac tic es. T h i s is so fo r at le ast tw o re aso n s.

tio n a n d re c o m p o si ti o n o f the g ro u p .

' i n f o rm al

o f p rac tic e w h i c h h as histo ric ally d if f erentiated th ro u g h l e g i slatio n an d o the r m e a n s a f o rm al s y s te m that is s u p p o s e d to b e th e

s e c to r ' o f the e c o n o m y o r o f h e al th c are. A s a sec to r, it is u n d e r-

b e d ro c k o n w h i c h so c iety f u n c ti o n s and th e i n f o rm al

sto o d as sh arin g c o m m o n al i ti e s w i th , and s h ap i n g the o rg an -

w h i c h is v i e w e d as o c c u p y i n g a su b o rd in ate p o si ti o n , an d o n th e

iz atio n o f a sp ec if ic f ield , ac tiv ity o r d o m ai n in so c iety . It is se e n

o th e r h a n d the ' d o m a i n o f o b je c tiv e reality ' w h i c h is m ad e u p o f

as an e x te n sio n o p p o s i te o r c o m p l e m e n tar y to a ' f o rm al ' sec to r.

m u l ti p l e sec to rs th at are i n te rtw i n e d an d f e e d e ac h o ther. Fr o m

T h e n o tio n o f in f o rm ality as a sy ste m i m p l i e s the id ea that i n f o rm al p rac tic e s are linked - in their i n d i v i d u al , g ro u p an d

s y s te m

this p o in t o f v ie w , all sec to rs c o n tri b u te in their o w n w ay to the o v e ral l m ak e - u p o f so c iety .

and

Interesting ly , in f o rm ality is c ru c i al to the f o rm al o rg an i z ati o n

sh are a su b ju g ate d statu s in te rm s o f their re latio n s to the f o rm al

o f m o d e r n so c iety . Fo r e x am p l e , o n e sees lim its to f o rm ality in th e

sy ste m . Th e u se o f th e c o n c e p t ' s y s te m ' re c o g n iz e s th e h i e rarc h y

o rg an iz atio n o f th e m o d e r n in d u strial f irm . In f o rm al i ty p o p s u p

institu tio nal d i m e n s i o n s -

to v ari o u s d o m ai n s in so c iety

zyxwvutsrqponmlkjihgfedcbaZYX

10 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

City

11

Approach

e v e n in th e se le c tio n a n d re c ru i tm e n t p ro c e ss o f n e w e m p l o y e e s .

Ex am i n ati o n o f c ertain f o rm s o f so c ial ac tio n rev eals w i th i n

Pe o p l e are n o t re c ru i te d o n the b as i s o f f o rm al tests an d c rite ria

tliem m a n y i n f o rm al asp e c ts. T h e fac t that th e se are s u b s u m e d

al o n e - the se are o n l y p art o f the p ro c e s s . In f o rm al m e a n s are al so

und er

u s e d to c o m p l e te it. Th e s e i n f o rm al m e an s s p ri n g o u t o f th e

u n i m p o rtan t o r n o n - e x iste n t. It is si m p l y a f ac t th at w e see so c ial

e x p e c tati o n o f the rec ru iter w h o is aw are o f th e e x iste n c e

ac tio n as b e i n g d ri v e n b y its f o rm al asp ec ts.

of

i n f o rm al o rg an i z ati o n s in the c o rp o rati o n an d m u s t asse ss th e ab ility o f the n e w c o m e r to m e e t th e e x p e c tati o n s o f b o th th e f o r m al an d i n f o rm al se c to rs in the f irm . In o the r w o r d s , rec ru iters u se n o t o n l y f o rm al selec tio n p ro c e d u re s , b u t al s o w h at D al to n ( 1 9 5 9 : 1 9 8 ) o n c e c alle d ' in f o rm al s tan d ard s o f f itn e ss' .

the

f o rm al

asp ec ts

Th i s issu e o f f o rm ality

d o es

no t

su b su m ing

im p ly

that

i n f o rm al i ty

they

in its

are

own

e x p re ssio n p o i n ts to the h i d d e n n atu re o f i n f o rm al i ty in th e o v e rall p ac k ag i n g o f f o rm ality . Th i s p ac k ag i n g l e ad s o n l y to a p artial u n d e rstan d i n g o f so c ial ac tio n to th e extent that it b lu rs the inf lu e n c e o f the i n f o rm al asp ec ts in th e o u tc o m e .

Th i s u se o f i n f o rm al stan d ard s in d ic ate s that f o r m a l stan d ard s

A c entral p r o b l e m that n e e d s to b e so lv ed is h o w w e ac c o u n t

are l i m i te d in w h a t th e y c an d o to h e l p ac h ie v e th e state d g o als o f

fo r th e c o n tri b u ti o n o f in f o rm ality in o u r f o rm al d isc o u rse ab o u t

th e f irm . Fo rm al s tan d ard s m u s t b e b ac k e d u p b y i n f o rm al s tan d -

the city . Pe rh ap s w e sh o u ld b e g i n to p ay m o r e atte ntio n to th e

ard s. O n e c an p u s h th e arg u m e n t f u rth e r b y statin g that f o rm al

m u l ti p l e w ay s i n f o rm al i ty i n si n u ate s itself i n to f o rm al s y s te m s .

o rg an i z ati o n s are n o t ru n e x c l u si v e l y o n the b as i s o f f o rm ality .

Th i s w ill n o t s o l v e o u r p ro b l e m c o m p le te ly , b u t it w ill c o n tri b u te

Si n c e th e y f u n c tio n o n the b asis o f b o th f o rm ality a n d i n f o rm al i ty

to a b e tte r u n d e rs tan d i n g o f the city . W e m u s t u s e no t o n l y th e

o n e w o u l d n atu ral l y e x p e c t re c ru i tm e n t to b e re g u l ate d th ro u g h

f o rm al ang le to u n d e rs tan d inf o rm ality , b u t also the i n f o rm al

f o rm al an d i n f o rm al m e a n s as w e l l . T h e f o rm al te st o r i n te rv i e w

an g l e to u n d e rs tan d f o rm ality .

relies o n o b jec tiv e

c riteria su c h

as p ro f e ssio n al

c o m p e te n c e ,

i n c l u d i n g w o r k e x p e ri e n c e . It ref ers to the te c h n ic al asp e c t o f th e w o rk . T h e i n f o rm al test is su b je c tiv e an d refers to h u m a n q u al i ty an d

to the ab ility o f the i n d i v i d u al

to m e r g e

w i th

e x istin g

i n f o rm al o rg an i z ati o n s, to se rv e as a b u f f er o r a c o u n te rf o rc e to i n f o rm al c liq u es, a n d to b e ab le to f u nc tio n as a p ro d u c ti v e e le m e n t in the f irm . T h e n e e d f o r s u c h skills m a y v ar y f ro m o n e situ atio n to an o th e r a n d these i n f o rm al skills c an n o t b e m e as u r e d e x c l u si v e l y th ro u g h f o rm al tests. T h e lim its o f f o rm al i ty b e c o m e

T H E SO C I A L C O N ST R U C T I O N O F I N FO R M A L I T Y In f o rm ality is so c i al l y c o n stru c te d , as is f o rm ality . In f o rm ality is a p atte rn o f b e h av i o r that the f o rm al sy ste m d e f i n e s as b e i n g s o m e w h at d if f erent f r o m its o w n w a y s . Th e f o rm al sy ste m h as th e p o w e r to d ef ine th e are na o f i n f o rm al i ty b e c au s e it c an d e lim it its own b o u n d ari e s. T h e in f o rm al s y s te m also m a y s e e m to p ro d u c e

to

its o w n d e f initio n o f itself as b e i n g d if f erent f ro m the f o rm al

e x p l ai n th e g e n e al o g y o f so c ial ac tio n , w h i c h is o f te n a m i x o f

ap p are n t w h e n

w e try

sec to r. In fact, th o u g h , the i n f o rm al sy ste m d o e s n o t p ro d u c e a

b o th f o rm ality an d inf o rm ality . T h e in f o rm al as p e c ts o f so c ial

d ef initio n o f inf o rm ality . It e ith e r ac c e p ts o r resists th e ru les o f th e

ac tio n are s e l d o m tak e n into c o n si d e rati o n w h e n w e stu d y th e

f o rm al sy ste m . It ad ap ts itself to th e m .

h i sto ry o f u rb an institu tio ns. T h e y are the ' g ray are as ' an d are c o n s i d e re d rathe r i m p al p ab l e . Th i s h as c reated a m ajo r p ro b l e m in u r b a n h isto rio g rap h y , b e c au se ( 1) it is n o t a l w a y s p o ssib le to trac e the i n f o rm al asp e c ts o f so c ial ac tio n, (2) th e resu lt o f so c ial ac tio n is a g lo b al p ro d u c t c o n si sti n g o f the e l e m e n ts o f b o th f o rm al i ty an d in f o rm ality , an d (3) so c ial ac tio n is u n d e rs to o d as if i n f o rm al i ty d id n o t m atte r m u c h .

In f o rm ality is n o t a p ro p e rty inhe re nt in th e i n f o rm al s y s te m b e c au s e the s a m e institu tio n c an b e d e c lare d le g al o r illeg al, f o rm al o r i n f o rm al . In f o rm ality is a social

c o n stru c tio n . Th i s is

w h y the c h an g i n g le g al d e f initio n o f f o rm ality l e ad s n e c e ssari l y to th e shif ting b o u n d ari e s o f inf o rm ality . In f o rm al i ty is a m atte r o f c o n v e n ti o n ( see also H e rz f e l d , 1988) . So m e ti m e s its b o u n d ari e s are f ix e d b y law , w h i c h c an c h a n g e o v e r tim e.

12 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

City

13

Approach

Inf o rm ality , b e c au s e o f its re latio n s to f o rm ality , d o e s n o t h a v e

the i n f o rm al s y s te m o rig inate d b e f o re the f o rm al sy ste m . Be f o re

a n y f ix e d stru c tu re - its stru c tu re shif ts an d m a y v ary ac c o rd i n g

the ad v e n t o f w ri ti n g an d the f o rm al state, th e re existed institu -

to

th e

siz e

of

th e

in f o rm al

institu tio n

(number

of

p eo p le

tio ns w h i c h to d ay w e ref er to as i n f o rm al . W i th th e c reatio n o f th e

i n v o l v e d ) , its d u rati o n ( p erio d d u ri n g w h i c h it f u n c ti o n s) , its

natio n- state , s o m e

l o c ati o n ( the sp ac e it o c c u p ie s) a n d its stru c tu ral p o sitio n ( in a

iz atio ns w e re c o - o p te d an d f o rm al i z e d . In this lin e o f arg u m e n t,

sp e c if ic f o rm al o rg an i z ati o n o r in so c ie ty at larg e ) .

the i n f o rm al e x i ste d w h e n th e f o rm al sy ste m b e g a n to b e stru c -

T h e so c ial c o n stru c ti o n o f i n f o rm al i ty d o e s n o t rest si m p l y o n th e n o ti o n o f leg ality . A n i n f o rm al institu tio n o r p rac tic e c an b e

asp ec ts

o f th e se e x isting

i n f o rm al

o rg an -

tu re d , an d so th e f o rm al sy ste m c o n tai n s an i n f o rm al c o nte nt that h as b e e n f o rm al i z e d .

le g al, n o t leg al, ille g al o r c rim in al. A n i n f o rm al o rg an i z ati o n c an

In th e sam e w a y that i n f o rm al i ty h as histo ric ally p re c e d e d f o r-

b e p e rf e c tly leg al, like the c liq u e in a f o rm al o rg an i z ati o n . Se l l i n g

m ality , in e v e ry d ay life in f o rm ality f re q u e ntly p re c e d e s f o rm ality .

a f e w f ru its f ro m o n e ' s g ard e n m a y n o t b e le g al, b u t it is n o t

W e te n d n atu rally to b e i n f o rm al a n d w e u se o u r f o rm al c l o ak to

ille g al in the se n se that there is n o le g al p ro v isio n th at p re v e n ts u s

interac t w i th o th e rs an d to tran sac t f o rm al b u s i n e s s m atte rs. To

f ro m so d o in g , th o u g h that b e h av i o r m a y b e c o m e c ri m i n al if w e

p u t it in an o th e r w ay , o n e m a y s ay that ' i n f o rm al o rg an iz atio n

d o n o t p ay tax o n this sp ec if ic e arn i n g . Th e re is n o e m p i ri c al b asi s

g iv e s rise to f o rm al o rg an i z ati o n s' ( Barnard , 1958: 123) . Be c au s e

d ef initio n o f inf o rm ality . In f o rm al i ty c an b e

i n f o rm al p rac tic e s o f ten p re c e d e f o rm al p rac tic e s, they g iv e u s

f o r a n essentialist

c l u e s c o n c e rn i n g th e f o rm s f o rm al p rac tic es w o u l d take as a

c o n stru c te d o n ly in relatio n to f o rm ality . W ithin the inf o rm al sy stem there are d eg rees o f info rm ality . A sy ste m c an b e inf o rm al no t o nly in relatio n to the f o rm al sy stem b u t also in relatio n to ano the r inf o rm al sy stem . A d istinc tio n m u st b e

resu lt o f the f o rm al i z ati o n o f i n f o rm al p rac tic es. The

in f o rm al

s y s te m

also

e m e rg e s b e c au s e

o f the

su p e r-

i m p o si ti o n o f th e f o rm al sy ste m . D u ri n g the c o l o n i al era, the c o l-

m a d e b e tw e e n the inf o rm al sy ste m w ithin the m ai n stre am c u ltu re

o nists i m p o s e d

an d that w ithin a su b c u ltu re. A b e h av i o r c an b e c o nsid ered inf o rm al

m a k i n g the n ati v e s ' leg al sy ste m ' in f o rm al' . A c c o rd i n g to W alle r-

b y b o th the f o rm al an d the inf o rm al sy stem s, falling then into the

ste in ( 1 9 7 6 : 5 8 ) th e su p e ri m p o si ti o n o f the c ap italist m o d e o f p ro -

d o m ai n o f sub-informality.

This p h e n o m e n o n o f su b - inf o rm ality is

o n the n ativ e s

a new

le g al sy ste m ,

th e re b y

d u c ti o n h as c au s e d th e trad itio nal m o d e o f p ro d u c ti o n - b e c au s e

also a so cial c o nstru c tio n o f reality as it o w e s its existenc e to its

o f its n e w l y c re ate d link w i th th e f o rm al c o l o n i al sy ste m -

relatio n to the ac c e p te d p ractices o f the f o rm al sy stem .

f u n c tio n as an i n f o rm al sy ste m .

to

T h e i n f o rm al s y s te m c an also b e se e n as an ad ap tati o n to the f o rm al i sm that is s u p e ri m p o s e d . H ard i n g an d Je n k i n s ( 1989: 15) o b se rv e that ' h i sto ry m a y b e v i e w e d as the p ro g re ssi v e e n c ro ac h -

ST R U C T U R A L O R IG IN S O F I N FO R M A L I T Y

m e n t o f f o rm ality u p o n w i d e n i n g areas o f so c ial life, as a c o n Th e re m u s t b e a p o i n t at w h i c h b o th f o rm ality a n d i n f o rm al i ty

seq u enc e

e m e rg e . This w e re f e r to as the stru c tu ral ro o ts o r o rig ins o f

so p h istic ate d i n f o rm ati o n te c hno lo g y , o n the o n e h an d , an d th e

inf o rm ality . It c o n si sts o f three p ro c e sse s: a b e g i n n i n g , a se p ar-

in c re asin g p o w e r a n d b u re au c ratiz atio n o f the state , o n the o ther.'

atio n an d a re latio n. Th e b e g i n n i n g ref ers m o r e p re c ise ly to th e

of

lite rac y

an d

th e

intro d u c tio n

T h e c o lo nial e x p e ri m e n t c o n v e rte d

of

ev er

m o re

n ati v e institu tio ns

i n to

i n s ti tu ti o n s w h o s e e x i s te n c e

w as

b i rth o f the s y s te m , the se p aratio n to d if f erent d o m a i n s in th e

i n f o r m a l o n e s , s u b ju g a te d

s a m e to tal s y s te m an d the re latio n im p lie s that f o rm al i ty

n o w tie d to th e f o r m a l i n s ti tu ti o n s o f th e c o l o n y , an d l ate r th e

and

i n f o rm al i ty f e e d e ac h o ther an d s h a p e e ac h o th e r ' s b o u n d ari e s . Stru c tu rally s p e ak i n g i n f o rm al i ty c o m e s ab o u t in three d if -

s tate . H e re w e s e e th e i d e a th at an i n f o r m a l i n sti tu ti o n

is

d e f i n e d as su c h , n o t b y the n ati v e s, b u t b y the c o n q u e ri n g p o w e r.

f e re n t w ay s : as a histo ric al p re c e d e n t, as a leg al s u p e ri m p o s i ti o n

In f o rm ality

a n d as a f u n c tio n al ad ap tatio n. Fr o m the p e rsp e c ti v e o f histo ry ,

m arg in aliz atio n .

e m e r g e s he re th ro u g h

an ac t o f ag g re ssio n

and

14 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City Fr o m a le g al stan d p o i n t, i n f o rm al i ty is d e f i n e d b y law . T h e

The Informal

City

Approach

15

l y s te m . To th e e x te n t th at th e i n f o r m a l s y s t e m p r o v i d e s s o l u -

state ap p aratu s p ro v i d e s a le g al f ram e w o rk w i th i n w h i c h i n d i -

tio ns to u n m e t n e e d s , it p a r a d o x i c a l l y a l l o w s p arti c i p an ts th e

v i d u al s an d in stitu tio n s c an o p e rate . Sinc e th e state c an n o t p r o -

o p p o rtu n i ty to c o n ti n u e to f u n c ti o n in the f o r m al sy ste m .

v i d e a leg al f r a m e w o r k f o r e v e r y asp ec t o f h u m a n b e h av io r, it

O n e m u s t m a k e a d istinc tio n h e re b e tw e e n p e rm an e n t a n d

b e c o m e s o b v i o u s that there is m u c h ro o m f o r th e f lo u rishing o f

sp o rad ic f ailu res o f the f o rm al sy ste m . In h i s stu d y o f the Sa n Franc isc o Bay A re a transp o rt sy ste m , C h i s h o l m ( 1989: 32) h as

i n f o rm al p rac tic e s. Fu n c tio n alists s e e the i n f o rm al sy ste m as an o u tg ro w th o r p r o -

o b se rv e d that ' in f o rm alitie s m a y also b e d e v e l o p e d b e c au s e o f

d u c ti o n o f th e f o rm al sy ste m . Fo r D av i e s ( 1978: 20) , ' d e c i si o n -

" e p i s o d i c " f ailu re s o f f o rm al o rg an iz atio n s that interf ere w i th th e

th e

I u -rfo rm anc e o f i m p o rtan t e n d s ... in f o rm al c h an n e l s , w h i c h te n d

b o u n d ari e s o f th e i n f o rm al sec to r. O f f ic ial attitu d e s an d l e g i s-

to c u t th ro u g h lay e rs o f au th o ri ty an d p ro v i d e d irec t c o n tac t

latio n are c ru c ial in d e te rm i n i n g th e n atu re o f i n f o rm al ac tiv itie s.'

b e tw e e n re le v an t p artie s, are o f te n ef f ec tiv e re m e d i e s . '

m aking

an d p o lic ie s related

to th e f o rm al se c to r d e f ine

th e

Sinc e the f o rm al sy ste m c an h e l p g e ne rate in f o rm ality th ro u g h

i n f o rm al s y s te m to e m e rg e . D r u g traf f ic king is a g o o d e x a m p l e .

M s failu re to satisf y all the n e e d s o f the u rb an c itiz enry , it is like ly

Si n c e it is n o t al l o w e d o n the o p e n m arke t, it g o e s u n d e rg ro u n d .

I hat the b irth o f i n f o rm al p rac ti c e s in the A m e r i c an c ity sc e n e c an -

T h e state' s p o lic ie s o f e x c l u si o n c an b e a su re w a y f o r

Fo r Fre n c h e c o n o m i s t A l f r e d Sa u v y ( 1984: 2 1 3 ) , it w a s

th e

no t b e re le g ate d so le ly to the c o l o n i al p e rio d . T h ro u g h the h i sto ry

s i m u l tan e o u s p ro g re s s o f i n d u s try an d so c ial leg islatio n that l e d

o f the A m e r i c an

to m arg i n al an d i n f o rm al e c o n o m i c p rac tic es.

e m e rg e d in re s p o n s e to p ro c e sse s that o c c u rre d in the f o rm al

city , n e w

ty p e s o f i n f o rm al p rac tic e s

hav e

Th e re are n o w av ailab le se v e ral stu d ies arg u i n g an d s h o w i n g

sy ste m . Th u s, Sa u v y ( 1984: 213) h as id entif ied o n e asp ec t o f th e

th at th e f o rm al s y s te m g iv e s b i rth to the i n f o rm al sy ste m . A s Bo e r

b irth o f the i n f o rm al e c o n o m i c sy ste m w i th th e s i m u l tan e o u s

( 1990: 406) p u ts it, ' f o rm al i z ati o n e n g e n d e rs

i n f o rm al i z ati o n ' .

p ro g re ss o f b o th so c ial le g islatio n an d i n d u stry c o u p l e d

w i th

o rg an i z ati o n

p re ssu re c o m i n g f ro m o rg an i z e d lab o r. A l so , C aste lls an d Po rte s

theo ry , c o n c l u d e s in the s a m e v e i n in n o ti n g th at ' f o rm al o rg an -

( 1989: 27) h av e l i n k e d its e x p an s i o n w ith the p ro c e ss o f e c o n o m i c

iz atio n s, o n c e e stab lish e d , in th e ir tu rn also

restru c tu ring o f th e 1970s.

Barn ard

( 1958: 123) , in his inf lu e ntial s tu d y o n

c reate

i n f o rm al

o rg an i z ati o n s.' Fo r a n u m b e r o f re se arc he rs, th e e x iste nc e o f th e i n f o rm al s y s te m c an n o t b e e x p l ai n e d o u tsid e that o f the f o rm al T H E G EN EA L O G I C A L O R D ER O F I N FO R M A L I T Y

s y s te m . T h e e x i ste n c e o f the f o rm al sy ste m is a n e c e s s ary re q u i re m e n t f o r the e x i ste n c e o f the i n f o rm al sy ste m . Fr o m this p e rsp e c ti v e , the i n f o rm al sy ste m e m e rg e s f ro m th e

T h e analy sis o f th e g e n e al o g y o f in f o rm al u r b a n p rac tic es tak e s

inf lexib ility o f th e f o rm al sy ste m . To the e x te n t th at o n e is u n a b l e

u s f ro m the q u e sti o n o f their o rig ins to th at o f their h i sto ry

to o p e rate an institu tio n ac c o rd i n g to the ru l e s o f the f o r m a l

th ro u g h tim e . W e te nd to th i n k o f the o rig ins as b e f o re the ad v e n t

s y s te m , o n e f in d s o n e se lf lo c ate d in the i n f o rm al sy ste m . In o th e r

o f w e ste rn f o rm ality , o r as p ro d u c e d b y it. T h e c o lo n iz atio n o f

w o r d s , an y th i n g th at c an n o t b e d o n e w ith in th e rig id stru c tu re o f

nativ e institu tio ns ac c o u n ts f o r th e f o rm er, w h i l e th e inab ility o f

th e f o rm al s y s te m is likely to f all in to the re al m o f the i n f o rm al

the f o rm al s y s te m to re g u late e v e ry asp ec t o f life e x p lains th e

s y s te m .

latter.

T h e i n f o rm al s y s te m e m e rg e s to fill a n e e d b e c au s e o f a f ailu re

W e ste rn f o rm al i ty w as the id e o lo g ic al ap p aratu s that s u s tai n e d

o f th e f o rm al sy ste m . It h e l p s s m o o th the f u n c ti o n i n g o f th e

c o lo n iz atio n a n d is o n e f o rm o f e x p e ri m e n tati o n in the o rd e ri n g

f o rm al sy ste m . Its e x iste nc e re sts o n the inab ility o f the f o rm al

o f so c ie ty f ro m th e Eu ro p e an v i e w p o i n t. It is b asic ally a w a y o f

s y s te m to m e e t e v e ry o n e ' s e x p e c tati o n s. T h e n e e d is c re ate d in

u n i f y i n g the w o r l d th ro u g h a s y s te m o f lo g ic th at w e ste rn ratio n -

th e f o rm al s y s te m , its f u lf illm e nt is ac h i e v e d in the i n f o rm al

ality c an u n d e rs tan d an d o f c o u rse m an i p u l ate . In the U n i te d

zyxwvutsrqponmlkjihgfedcbaZY

16 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City State s, the e stab l i sh m e n t o f th e f o rm al s y s te m h as led to th e p ro d u c ti o n o f m i n o ri ty c o m m u n i ti e s . Th e i n f o rm al i z ati o n o f m i n o rity institu tio ns h a s a d if f erent p o litic al m e a n i n g than that f o u n d am o ng

the

m ai n s tre am e rs .

In

the

m i n o ri ty

c o m m u n i ti e s ,

i n f o rm al i ty w a s p ro d u c e d th ro u g h an act of aggression

a n d th e

f o rc e d su b ju g ati o n o f the p e o p l e . In the m a i n s tr e a m c o m m u n i ty , f o rm al i ty c a m e ab o u t as th e re su lt o f the victory traditions.

T h u s , the i n f o rm al i z ati o n

of reason

p ro c e ss c o n si ste d

in

The Informal

City

Approach

17

l l H h e d , an d ( 3) th e g e n e al o g y o f th e relatio ns b e tw e e n the f o rm al a n d i n f o r m a l s y s t e m . O n e m a y re f e r to t h e f irst as formative o i constitutive g e n e alo g y , to th e se c o n d as developmental o r evolutionary g e n e alo g y , an d to th e third as associative or relational p ne alo g y .

Constitutive

genealogy

c o n c e n trate s o n th e v ari o u s u n i ts, the

over

relatio ns b e tw e e n th e m an d th e b e h av i o ral , s y m b o l i c an d id e o -

th e

lo g ical c o n te n t

of

the

i n f o rm al

sy ste m .

It d e c o n stru c ts

the

i m p o si ti o n an d u p g rad i n g o f th e ratio nal w e s te rn f o rm al s y s te m

m f o rm al s y s te m as a w ay o f u n v e i l i n g the m u l ti p l e p atte rn s that

a n d th e d o w n g r a d i n g o f f o lk a n d m i n o ri ty w a y s .

may lead to its re c o nstitu tio n.

Th e re are tw o ty p e s o f h isto ric al c o n tin u ity i n v o l v e d h e r e in o u r analy sis o f th e g e n e al o g y o f inf o rm ality . T h e e v o l u ti o n o f

Developmental

genealogy

c o n c e n trate s o n th e tran sm u tati o n o f

the inf o rm al s y s te m . Th is i n c l u d e s the h i sto ry o f h i d d e n stru c -

i n f o rm al i ty that p re c e d e s f o rm al i ty takes v ari o u s sh ap e s. T h e

tures that re ap p e ar in the m a k e - u p o f th e i n f o rm al sy ste m . It

i n f o rm al s y s te m re m ai n s a site o f c o u n te r p o w e r an d f u n c ti o n s

analy se s the b e h av i o r o f b o th i n f o rm al s y s te m s c o - o p te d b y th e

w i th i n the f r a m e w o r k o f the f o r m a l sy ste m a n d is s h ap e d b y it.

f o rm al sy ste m , an d f o lk in stitu tio n s like e th n o - m e d i c i n e th at c o n -

T h e i n f o rm al s y s te m m ay b e c o - o p te d b y the f o rm al s y s te m a n d

tinu e to s u rv i v e

b e u n d e r its c o n tro l. It m a y e i th e r c o alesc e o r m ai n tai n its i d e n -

inf o rm al m a y b e f o rm e d to re s p o n d to a sp e c if ic p ro b le m . O n c e

sid e b y

si d e w ith the f o rm al sy ste m .

The

tity . H o w e v e r, th e in f o rm al s y s te m c an ad o p t a retreat p o si ti o n

the p ro b l e m is so l v e d o r d i m i n i s h e d , the i n f o rm al sy ste m m a y

u n til the ti m e c o m e s w h e n its p rac tic e s c an b e re v italiz e d a n d

m o v e to a late n t state to b e ac tiv ate d later f o r the s a m e o r a

re su rf ac e u n d e r b e tte r c i rc u m stan c e s.

sim ilar p u rp o s e . A s C h i s h o l m ( 1989: 67) o b se rv e s, w h e n

Th e g e n e al o g y o f su b ju g ate d p rac tic e s h as a d if f erent d y n a m i c b e c au s e o f the inf lu e nc e f ro m th e d o m i n an t se c to r that it m u s t

' the

f o rm al c h an n e l w o r k s w e l l e n o u g h ... the i n f o rm al c h an n e l stay s m o stly d o rm an t. It is n o t u s u al l y n e e d e d b u t re m ai n s av ailab le .'

ad ju st to . T h e i n f o rm al sy ste m m u s t ad ju st its w a y s to c o n strai n ts

So m e i n f o rm al p rac tic e s re m ai n d o rm an t af te r a f o rm al s y s te m

g e n e rate d b y th e f o rm al s y s te m f o r its su rv i v al , ad ap tati o n a n d

h as b e e n e stab l i sh e d - d o rm an t, no t e l i m i n ate d , b e c au s e th e y

e x p an si o n . I ag re e w ith D av i e s ( 1978: 2 0 - 1 ) w h e n h e n o te s th at

re ap p e ar c y c lic ally in the interstic es o f the f o rm al sy ste m . Th e ir

' th e i n f o rm al se c to r is b o th d e p e n d e n t o n a n d p e ri p h e ral to th e

e x p re ssio n s c o n ti n u e to take th e s am e sh ap e an d h av e the sam e

f o rm al sec to r. It d e v e l o p s in sp i te o f re stric tio ns b u t th e e x te n t

m e an i n g s. W h e n th e f o rm al s y s te m g o e s th ro u g h a c risis, it m a y

a n d n atu re o f th at d e v e l o p m e n t are in v ariab ly su b jec t to th o s e

b e u nab le to c o n tai n the m in their h id d e n n i c h e s . H e n c e i n f o rm al

re stric tio ns.'

p rac tic es s o m e ti m e s re ap p e ar at the m o m e n t w h e n the f o rm al

T h e g e n e al o g y o f inf o rm ality w h e n it is p r o d u c e d b y f o rm al i ty

sy ste m is in a state o f c risis. Fo u c au l t ( 1980: 6) sp e aks o f i n f o rm al

te n d s to e v o l v e ac c o rd in g to p e o p l e ' s n e e d s a n d the f o rm al c ir-

p rac tic es ' w h i c h p re d ate th e se ttin g u p o f a ju d ic ial s y s te m an d

c u m s tan c e that g i v e it b irth. Fo r e x am p l e , th e re are i n f o rm al p r ac -

w h i c h are re g u l arl y rev iv ed in p o p u l ar u p ri si n g s' . Th e g e n e al o g y

tic e s that are i n stan tan e o u s o r h a v e a o n e - p u rp o s e o rie n tatio n .

o f the se p rac ti c e s h as f o u r m a i n f eatu res: ( 1) their ap p e aran c e is

W h e n the g o al is m e t, the i n f o rm al sy ste m m a y c e ase to s u rv i v e .

c y c lic al; (2) th e y d e p e n d o n th e b re ak d o w n o f the f o rm al s y s te m ;

T h e s e are i n f o rm al p rac tic es th at either c o al e sc e w ith the f o r m a l

( 3) they re m ai n in a state o f d o r m an c y in b e tw e e n c rises in th e

s y s te m o r g i v e b i rth to o ther f o r m s .

f o rm al sy ste m ; an d (4) their g e n e al o g y is p re tty m u c h tied u p

T h e g e n e al o g y o f inf o rm ality m u s t b e u n d e r s to o d in th re e d if -

w i th that o f th e f o rm al sy ste m .

f e re n t w ay s : ( 1) th e g e n e al o g y o f the f o rm ati o n o f the i n f o rm al

Th e g e n e al o g y o f the i n f o rm al sy ste m c an n o t b e u n d e rs to o d

sy ste m , (2) th e g e n e al o g y o f th e in f o rm al s y s te m o n c e it is e stab -

o u tsi d e the f r am e w o r k o f th e g e n e al o g y o f the f o rm al s y s te m

zyxwvutsrqponmlkjihgfedcbaZYX

The Informal City 18 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

The Informal

City

Approach

19

b e c a u s e th e latter c o n stan tly p ro d u c e s , i n f l u e n c e s o r al l o w s th e

by an d fo r a s m o o th f u n c ti o n i n g o f the f o rm al sy ste m . In the

re c o g n i ti o n o f th e e x iste nc e o f n e w in f o rm alitie s. Be c au se th e i r

m o d e rn f irm , it ref ers to i n f o rm al g ath e rin g w h e r e the d re ss c o d e

g e n e al o g i c al d e v e l o p m e n t is l i n k e d to that o f th e f o rm al s y s te m ,

Is d o w n ' a n d p e o p l e are c alle d to b e h av e inf o rm ally . Th is c o o k e d

w e re f e r to this as associative

genealogy.

It is th e g e n e al o g y o f th e

re l ati o n sh i p s b e tw e e n the f o rm al an d i n f o rm al s y s te m .

inf o rm ality is m e a n t to b re ak d o w n c lass, e th n i c an d

g end er

b arriers an d to tran sf o rm th e m e m b e r s o f th e c o rp o rati o n i n to the

Fu rth e rm o re , th e in f o rm al s y s te m serv es as a re se rv o ir attrac t-

m e m b e rs o f an i n f o rm al f am ily .

i n g f o rm al p rac ti c e s that h av e b e e n m arg i n al i z e d an d i n f o rm al -

Inf o rm ality is c o o k e d to b e tte r serv e the interests o f th e c o r-

i z e d . Th e y re m ai n in this n i c h e u n til b etter c i rc u m stan c e s al l o w

p o ratio n, to al l o w the m e m b e r s to k n o w e ac h o th e r b etter, to ro o t

th o s e i n f o rm al i z e d f o rm al p rac ti c e s to d e - i n f o rm al i z e th e m s e l v e s

the g ro u p i n f o rm al l y in the c o rp o ratio n , to iro n o u t d if f ic u lties

a n d re g ain their p o sitio n in the f o rm al sy ste m .

c re ate d in th e f o rm al sy ste m a n d to e x p re ss th e h u m a n si d e o f the

T h e g e n e al o g y o f inf o rm al p rac ti c e s m a y v ary ac c o rd i n g

to

th e i r statu s in a g i v e n sy stem . T h e y m a y b e re je c te d , p e rs e c u te d ,

c o rp o ratio n. Be c au s e it is c o o k e d b y the f o rm al sy ste m , o n e m a y say it c o n stitu te s a f o rm al i z e d f o rm o f inf o rm ality .

m a d e illeg al o r n e u tral i z e d b y th e f o rm al ap p aratu s o f so c iety . T h e v ariatio n w i l l b e the resu lt o f the d if f e re n c e s in the w a y in w h i c h they are tie d to the f o rm al sy ste m . A sso c i ati v e g e n e al o g y ad d re s s e s the issu e o f th e

T H E P ER IP H ER A L IT Y O F T H E I N FO R M A L SY ST EM re latio n al

i m p e rati v e n o t o n l y as related to th e inf lu e nc e th at o n e e x e rts o n

A sy ste m c an n o t b e p e ri p h e ral in itself. Pe rip h e rality is n o t a

th e o ther, b u t also th e trajec to ry f ro m i n f o rm al to f o rm al an d v i c e

m atte r o f e s s e n c e , b u t rath e r o f e x i s te n c e , th at is o f re l ati o n -

v e rs a. C o n c re te situ atio ns an d th e i r d e c o n stru c ti o n s p ro v i d e th e

s h i p . So m e t h i n g c an b e p e r i p h e r a l o n l y in re l ati o n to a c o r e o r

f ie ld o f stu d y w h e r e o n e c an an al y z e the re l ati o n s o f o n e to th e

c e n tral sy ste m . T h e fact that a sy ste m is f o r m a l d o e s n o t m e a n

o th e r, the i m p l i c ati o n s o f o n e i n the o ther, the p ro d u c ti o n o f o n e

that it is a c e n tral sy ste m . Th e re are f o rm al sy ste m s that are

b y th e o ther, an d th e failu re o r th e su c c ess o f o n e to re p ro d u c e th e

p e rip h e ral in relatio n to o th e r f o rm al s y s te m s . T h e f ac t that a

o th e r.

sy ste m is i n f o rm al m e an s n e c e ssarily that it is p e rip h e ral. Yet, it c an b e c e n tral in relatio n to o th e r satellite o r p e ri p h e ral s y s te m s . O n e m a y w o n d e r w h y the i n f o rm al s y s te m is a p e ri p h e ral o n e . ' R A W V ER SU S ' C O O K ED ' I N FO R M A L I T Y

It is so o n l y w h e n w e lo o k at its relatio nship w i th f o rm al institu -

M u c h o f w h a t h as b e e n said so f ar c o n c e rn s th e b e h av i o r o f ' r a w '

c lo se r to the f o rm al sy ste m . O n e m a y c o n c l u d e that the f o rm al

in f o rm ality , a f o rm o f i n f o rm al i ty that is n o t p u rp o se f u l l y c re ate d

sy ste m p e ri p h e ral i z e s the i n f o rm al sy ste m so that it m a y a c c o m -

tio ns th ro u g h w h i c h it c an b e f u rther p e ri p h e ral i z e d o r c o m e

b y th e f o rm al institu tio nal s y s te m . W ithin the f irm , raw i n f o rm al -

p lish the f o l l o w i n g three th i n g s: (1) it m a y e x p an d its b asi s o f

ity i m p l i e s b o th d isc rim in atio n a n d secrecy . In th e f o rm al f irm , it

o p e ratio n as a w a y o f re d u c i n g the sp h e re o f ac tiv ity o f th e

is a n arena in w h i c h a sm all g r o u p o r a c liq u e c an p artic ip ate a n d

i n f o rm al s y s te m ; ( 2) it m ay d o m i n ate the i n f o rm al sy ste m so as to

i n a se n se d i sc ri m i n ate ag ain st o th e r p e o p l e w h o are n o t i n v i te d

b e ab le to c o n tro l its arena w i th a v ie w to m a k i n g it d e p e n d e n t o n

to jo i n in. Be c a u s e o the rs are b arre d f ro m b e c o m i n g p art o f th e

the f o rm al s y s te m ; an d (3) it m a y triv ializ e an d n e u tral i z e th e

g r o u p , it te n d s to b e sec retiv e, in the sense th at o n l y the m e m b e r s

i n f o rm al s y s te m in o rd er to e l i m i n ate it.

are p ri v y to the c o n te n t o f th e in f o rm atio n e x c h an g e d

am o ng

th e m . In c o ntrast, ' c o o k e d ' i n f o rm al i ty is p u rp o se f u l , p l an n e d

T h e i n f o rm al s y s te m is p e ri p h e ral b e c au s e o f th e e x iste n c e o f a c e n te r in the f o rm al sy stem . T h e inf o rm al is ju d g e d ac c o rd i n g to

and

the m ai n s tre am v alu e s an d b e h av i o rs o f th o se attac he d to th e

o p e n to a l arg e r g ro u p . It is c o o k e d in the s e n s e that it is c re ate d

c enter. Th e c e n te r sets the stan d ard s. Th e f arth e r aw ay a s y s te m is

20 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

City

21

Approach

f ro m the stan d ard s o f the c e n te r the m o re p e ri p h e ral it is. T h e

o f th e i n f o rm al sy ste m . It is also w h at m a k e s p o ssib le its c o n tro l

i n f o rm al s y s te m is e v alu ate d , ap p re c i ate d o r sti g m ati z e d ac c o rd -

b y the f o rm al s y s te m .

i n g to the lo g ic o f th e m ai n s tre am f o rm al sy ste m .

W h a t is th e stru c tu re o f th e p e rip he rality

T h e i n f o rm al s y s te m is p e ri p h e ral b y re aso n o f its stru c tu ral

o f the

i n f o rm al

sy ste m ? Be c au s e the i n f o rm al s y s te m is p e ri p h e ral , it c o m p ri s e s

lo c atio n in re latio n to the f o rm al sy ste m . T h e p e o p l e w h o p artic i-

b o th a c o re a n d a p erip hery . W e m u st the n stu d y the i n f o rm al

p ate in the i n f o rm al sy ste m b e h a v e ac c o rd in g to the ru le o f th e

sy ste m b o th in its internal m a k e - u p an d its e x te rn al linkag e .

sy ste m . Pe ri p h e ral i ty m u st b e u n d e rs to o d in stru c tu ral te rm s a n d

T h e c o re o f th e in f o rm al s y s te m is ab le to e x p an d itself b y c o n -

n o t si m p l y in te rm s o f g e o g rap h i c sp ac e . Stru c tu rally sp e ak i n g , it

stric ting the p e rip h e ry . Th e c o re m ain tain s itself b e c au se it is th e

is n o t lo c ate d at the c o re o f th e f o rm al sy ste m .

inc arnatio n o f p o w e r an d th e m ai n s tre am stan d ard s. Th e p e ri p h -

T h e i n f o rm al s y s te m is p e ri p h e ral b e c au se th e f o rm al s y s te m assi g n s it su c h a statu s. Th e p e ri p h e ral i ty o f its i n f o rm al i ty c o m e s

e ry c an also e x p a n d itself at th e e x p e n se o f th e c o re. Bo th c an e x p an d their b o u n d ari e s th ro u g h c o - o p tatio n a n d inv asio n.

ab o u t b e c au se it is re c o g niz e d a n d lab e le d as s u c h b y the f o rm al

Pe rip h e ry m a y b e d i sc u sse d in relatio n to b o th the c e n tral

s y s te m o r s i m p l y b e c au s e it is re je c te d b y the f o r m a l sy ste m . It is

m ai n s tre am s y s te m an d th e c o re o f the i n f o rm al sy ste m . T h e

p e ri p h e ral n o t n e c e ssari l y b e c au s e there is s o m e th i n g i n h e re n t in

p e rip h e ry o f th e in f o rm al s y s te m is c lo se r to the c o re o f th e

it that is f alse, i m m o r a l o r c ri m i n al , b u t si m p l y b e c au s e it f ails to

i n f o rm al s y s t e m th an to th e c o re o f th e m a i n s t r e a m

g e t a f o rm al re c o g n itio n f ro m th e f o rm al sy ste m .

The

T h e i n f o rm al s y s te m is p e ri p h e ral b e c au se o f th e kin d s o f ac tiv ities in w h i c h p e o p l e are i n v o l v e d . A ll h u m a n ac tiv ities are b y

s y s te m .

c o re in th e inf o rm al s y s te m h as a statu s sim ilar to

p e ri p h e ry in th e m ai n s tre am sy ste m vis-a-vis

th e

the c e nte r in the

m ai n s tre am s y s te m . Bo th are p e rip h e ral to th e m ai n s tre am c o re .

d e f initio n h u m a n s o they c an n o t b e in f o rm al b e c au s e they are n o t

Th e re latio n sh ip b e tw e e n th e c enter an d th e p e rip h e ry in the

h u m a n . Th e s e are h u m a n ac tiv ities that are n o t c o n si d e re d f o rm al

f o rm al sy ste m d o e s no t o p e rate ne c e ssarily in the sam e w a y as

b y the f o rm al s y s te m an d this f ac to r te n d s to reinf o rc e

th e i r

that b e tw e e n th e c e nte r an d th e p e rip h e ry in th e inf o rm al sy ste m .

i n f o rm al c harac te r. Th e y m a y b e c o m e illeg al w h i c h m e an s th at to

In a m u l ti - e th n i c u rb an e n v i ro n m e n t, o n e w o u l d e x p e c t

su rv i v e the ac to rs m u s t g o u n d e rg ro u n d o r u se illeg al m e an s .

c e n te r an d p e ri p h e ry in a m i n o ri ty c o m m u n i ty to b e i n f l u e n c e d

T h e i n f o rm al s y s te m is p e ri p h e ral b e c au se o f th e ratio nale u s e d that m a y b e d if f e re nt f ro m that u s e d in the m ai n s tre am f o r m a l s y s te m . It c an b e b o th the re aso n f o r the rejec tio n o f the i n f o rm al

th e

an d sh ap e d b y a su b - c u ltu ral o rientatio n th at m a y b e d if f erent f ro m the d o m i n a n t m ai n s tre am c u ltu re. By d e c o n stru c ti n g

the re latio n s b e tw e e n

the c o re a n d

th e

s y s te m an d the re aso n fo r its stab ility - b e c au s e it f o llo w s its o w n

p erip hery , o n e u n m as k s a set o f relatio nship s. Th e s e in c lu d e : th e

lo g ic .

relatio n o f th e f o rm al sy ste m to the i n f o rm al in the m ai n s tre am ;

T h e i n f o rm al s y s te m is p e ri p h e ral b e c au se o f the in te n tio n ality

the relatio n o f th e c o re o f th e i n f o rm al s y s te m to the p e ri p h e ry in

o f the ac to rs. A l th o u g h they m a y p artic ip ate f u ll tim e in th e

the in f o rm al sy ste m ; an d

f o rm al sy ste m , th e y m a y also p artic ip ate in th e i n f o rm al s y s te m .

i n f o rm al sy ste m .

th e relatio ns o f th e f o rm al to

the

Th e y , th e m se l v e s, m ak e a d istinc tio n an d ad ju st their b e h av i o rs

Th e i n f o rm al sy ste m in its relatio n to th e f o rm al sy ste m m a y

as th e y m o v e f r o m the f o rm al to the i n f o rm al sy ste m . Th i s is a

ac h i e v e a c e rtain lev el o f stab ility o r ro u tiniz atio n. In this k i n d o f

su b je c tiv e c rite rio n they u se to id e ntif y the p e ri p h e ral c h arac te r

e n v i ro n m e n t, to tal c o - o p tatio n o f the i n f o rm al b y the

o f the i n f o rm al sy ste m . T h e ac to rs re c o g n iz e that their ac ti o n

s y s te m c o u l d le ad to to tal integ ratio n. To tal c o - o p tatio n o f the

b e l o n g s to a d o m a i n d if f erent f ro m that o f the f o rm al sy ste m . T h e i n f o rm al s y s te m is p e ri p h e ral b e c au se its ac to rs m a y b e

f o rm al

f o rm al b y th e i n f o rm al s y s te m c o u l d lead to a c o m p l e te re v e rsal o f so c ietal w a y s b e c au se th e i n f o rm al w o u l d n e c e ssarily b e c o m e

p o w e rl e s s a n d in n o p o sitio n to f o rc e the f o rm al re c o g n itio n o f

the f o rm al. Partial c o - o p tatio n b y the i n f o rm al sy ste m is likely to

th e i n f o rm al s y s te m . This lac k o f p o w e r is w h a t d e f in e s the statu s

le ad to p o l ari z ati o n b e c au s e o f the stre n g th e n i n g o f the i n f o rm al

22zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City s y s te m . Partial c o - o p tatio n b y th e f o rm al s y s te m n e c e ssari l y l e ad s to m o r e in te g ratio n .

The Informal

City

23

Approach

c an n o t u n d e rs tan d w h at su stai n s p u b lic life o r p u b lic b u r e au c rac ies if th e i n f o rm al life o f its ag e nts is left u n to u c h e d . T h e c e n tral i ty o f i n f o rm al i ty re m ai n s in th e f ac t that s o m e o f its as p e c ts p r e d a t e f o r m a l i ty a n d s o m e o t h e r s are p r o d u c e d b y f o rm ality . In an y c ase, th e f o rm al s y s te m d e p e n d s o n it, is

I N FO R M A L I T Y A N D U R BA N P R A C T IC ES

shap e d b y it, an d attem p ts to transf o rm it and p o ssib ly to c o lo niz e it. A s p arad o x i c al it m a y so u n d , th e i n f o rm al s y s te m is also c e n tral .

D e C e rte au ( 1984) sees i n f o rm al i ty in e v e ry d ay life as it i n si n u -

T h e c entrality o f in f o rm ality b e c o m e s m an i f e st w h e n the s o c i e tal

ate s itself th ro u g h ru se an d tac tic s into the f o rm al sy stem .

s y s te m is stu d i e d f ro m the an g l e o f inf o rm ality . Th e e m p h a s i s

T h e i n f o rm al life, to the e x te n t that it p ro v i d e s a lay o u t f o r the

a n d f o c u s o n the i n f o rm al an g l e is p riv ile g e d h e r e so as to b e tte r

e x p re ssio n o f f re e d o m an d p ro d u c e s a su b te rran e an f o rm

u n d e rs tan d

socialite

so c ial

ac tio n in its e v e ry d ay

p rac ti c e s

( se e

al so

of

th ro u g h a m an i f e stati o n o f h u m an so lid arity , is c e n tral to

Bo u rd i e u , 1990) . T h e so c io lo g y o f e v e ry d ay lif e p ro v i d e s th e tw o

th e p ro d u c ti o n o f the f o rm al sy ste m ( M af f eso li, 1989) . It is th e

n e c e s s ary to o ls n e e d e d to ac h i e v e this e n d .

lo c u s w h e re e v e ry d ay life m an i f e sts itself, w h e r e so lu tio n s are

T h e f o c u s o n e v e ry d ay life al l o w s u s a d if f e re nt p e rs p e c ti v e t h a n th a t o f p r i v a t e s p h e r e v e r s u s p u b l i c l i f e o n e f i n d s s o

so u g h t to r e m e d y

f ailu res in the f o rm al sy ste m , an d

w here

resistanc e is g al v an i z e d .

v i g o r o u s l y d e b ate d in the f e m i n i st literatu re ( N i c h o l so n , 1990;

It is a f o rm o f p o w e r to th e extent that k n o w l e d g e is sh are d ,

R o s al d o , 1974; a n d M o o re , 1988) . It is n o t e m p i ri c al l y s o u n d to

a n d b ac k- alle y strateg ies are d e v e l o p e d . It p ro v i d e s an alte rnat-

l o c ate the i n f o rm al e x c lu siv e ly in the d o m a i n o f p ri v ate lif e.

iv e p e rc e p tio n o f so ciety . W i th i n the o v e rarc h i n g arm o f f o rm al

W h i l e o n e d o e s n o t d e n y its e x i ste n c e there, o r th e i m p o rtan c e o f

so c iety , the i n d i v i d u al p u lls b a c k to reg ain h i s o r h e r f re e d o m , to

p ri v ate life as th e are n a w h e re th e in f o rm al is c o n s o l i d ate d a n d

c re ate a free sp ac e , to stre n g th e n his o r h e r p o sitio n, to u n d e r-

w h e r e th e strate g ie s f o r i n f o rm al ac tio n are o f te n p l o tte d

m i n e riv als, to c o n so lid ate h is o r h e r b asis, to ac q u ire k n o w l e d g e .

o ut

b e f o re an i n f o rm al b e h av i o r c an b e i m p l e m e n te d in the p u b l i c

T h e i m p o rtan c e , h e n c e the c entrality , o f i n f o rm al i ty ste m s f ro m

lif e, the i n f o rm al h a s alw ay s b e e n w e l l aliv e in th e p u b lic s p h e r e .

th e f ac t that p u b l i c life is s h a p e d b y it, it g r o w s in the n o o k s an d

In th e p re v i o u s sec tio n, w e h a v e d isc u sse d h o w f ro m the s ta n d -

c ran n ie s o f p u b l i c b u re au c rac y , an d it stan d s as an arena that is

p o i n t o f the f o rm al sy ste m th e i n f o rm al s y s te m is se e n as p e ri -

u s e d an d e x p l o i te d b y the f o rm al sy ste m b u t c an n o t b e to tally

p h e r a l an d se c o n d ary . In this se c ti o n w e w ill d i sc u ss h o w , in a

c o l o n i z e d b y it.

b o tto m - u p ap p ro ac h to the city , th e in f o rm al s y s te m m u s t al s o b e v i e w e d as p l ay i n g a c entral ro le . It is so b e c au s e the

f o rm al

s y s te m o p e rate s o n th e b asis o f b o th f o rm al an d i n f o rm al ru l e s.

T H E M EA N I N G S O F I N FO R M A L U R B A N P R A C T IC ES

T h e c entrality o f in f o rm ality s te m s f ro m th e e m p i ri c al o b s e r v ati o n that it is l o c ate d f o re m o st in the in d iv id u al ac to r, w h o is th e

A n e x e g e sis o f i n f o rm al u rb an p rac tic es re c o g n i z e s the d iv e rsity

h u m a n ag e n t in w h o m w e f ind a m i x tu re o f i n f o rm al an d f o r m a l

an d h e te ro g e n e i ty o f su c h ac ts. Th e i r c o m m o n al i ty resid es in the

b e h av i o r an d p rac tic e s. Ev e n w h e n w e are s tu d y i n g the b e h a v i o r

f ac t they o c c u p y , if no t a su b ju g ate d p o sitio n, at least o n e that is

o f a sp ec if ic stru c tu re o r o rg an iz atio n , w e c an n o t af f o rd to d i s-

n o t u n d e r th e d irec t su rv e illan c e o f the f o rm al sy stem . Th e re are

m i s s the c o n tro l o f th e h u m a n ag e n t.

tw o b asic l o c ati o n s fo r the p e rf o rm an c e o f i n f o rm al u rb an p rac -

T h e i n f o rm al is c entral b e c au s e it is the l o c u s o f p ri v ate lif e.

tic es: the i n d i v i d u al , an d the g ro u p o r the institu tio n.

H e r e the i n d i v i d u al re c o u p s his o r h e r stre n g th s, p lo ts o u t stra-

Po s tm o d e rn th in kin g c e le b rate s the re tu rn o f the su b jec t. Th e

te g i e s an d re g ai n s h is o r he r f re e d o m aw ay f ro m th e c o n strai n ts

su b jec t is h e re at the v e ry h e art o f o u r d istinc tio n, in the se n se

o f p u b l i c life, w h e th e r g e n e rate d b y g o v e rn m e n t o r b u si n e ss. O n e

that he o r s h e d e c id e s o r n o t to e n g ag e in inf o rm al p rac tic e s.

24 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

City

25

Approach

U rb an i n f o rm al i ty is the e x p re ssi o n o f the f r e e d o m o f the su b je c t.

the o c c u rre n c e o f in f o rm al p rac tic e s h as al w ay s b e e n

Th i s m e an s f re e d o m f ro m th e c o nstraints o f f o rm al institu tio nal

.imp ly b e c au s e w e p artic ip ate in th e m , e v e n th o u g h w e te n d to

lif e, b u t also f re e d o m as a k i n d o f m anif e st d e sti n y w h e re th e self

i (insid er th e m u n i m p o rtan t. A f te r all, p o sitiv ist thinkers su c h as

kno w n

af f irm s itself. T h e y e arn in g f o r h u m a n f re e d o m c an n o t b e c o n -

Karl M arx , M a x W e b e r a n d Em i l e D u r k h e i m h av e n o t m a d e

tro lled o r c o n tai n e d b y the re g u latio n s o r c o n v e n ti o n s o f f o rm al

inf o rm ality th e c e n te r o f th e ir intellec tu al p re o c c u p ati o n .

so c iety . In f o rm al p rac tic es p ro v i d e a c o rrid o r f o r th e p ro te c ti o n o f th e self ag ain st re g u lato ry stru c tu re s.

O u r ap p ro ac h is to q u e stio n the p o sitiv ist th in kin g ab o u t h ie rarchy . In this trad itio n, the h ie rarc h ic al an d f o rm al is c o n si d e re d

In f o rm al u r b a n p rac tic es al so m e an that th e h i d d e n stru c tu re

m o re i m p o rtan t th an the i n f o rm al . Th e y are n o t se e n as inter-

th e y p ro v i d e is a resilient b u t f u n d am e n tal asp e c t o f the m a k e - u p

d e p e n d e n t s y s te m s w h i c h sh are a c o m m o n reality an d f e e d e ac h

o f so c iety . T h e s e p rac tic es are m a d e p o ssib le w i th i n a w e b o f re la-

o th e r' s e x iste n c e .

tio n sh ip s. T h r o u g h this w e c an id entif y th e relatio nal as the s e c o n d c h arac te ristic o f i n f o rm al u rb an p rac tic e s. This as p e c t is e x p re sse d th ro u g h h u m a n so lid arity in te rm s, f o r e x am p l e , o f g if t a n d e x c h an g e in g e ne ral. Th is c harac teristic is p ro b ab l y th e m o r e v isib le an d b e tte r k n o w n , p e rh ap s b e c au se o f th e w o rk s o f M a r c e l M a u s s o n the n o ti o n o f g ift, b u t also b e c au se in e v e ry d ay lif e w e c an p i n p o i n t i n stan c e s w h e re p e o p l e help e ac h o th e r in i n f o rm al w ay s.

O u r ap p ro ac h re c o g n iz e s th e i m p o rtan c e o f in f o rm al p rac ti c e s as p ro v i d i n g a b al an c e to f o rm al p rac tic e s. It is a ' b o tto m - u p ' ap p ro ac h in th e se n se that it m ag n if ie s o r m a k e s v isib le i n f o rm al reality so as to s h o w its d ialec tic al re latio n s w ith th e f o rm al sy ste m . It stre sse s that its e x i ste n c e m u st b e ac k n o w l e d g e d if w e are to c o m p r e h e n d the so c ie tal sy ste m an d m a k e u se f u l u r b a n p o lic ies. Be c au se i n f o rm al i ty is th e o th e r sid e o f f o rm ality , it is c o n -

In f o rm al u rb an p rac tic es f inally m e an that th e h i d d e n stru c tu re

si d e re d to b e o n e i n s tan c e o f a m e c h a n i s m o f p o w e r. It is u s e d

th e y p ro v i d e is also o n e o f resistanc e, b o th p assi v e an d ac ti v e .

b y the f o rm al s y s te m to stre n g th e n its p o w e r. It is u se d b y th e

W h i c h e v e r w ay , su c h a stru c tu re o f resistanc e m u s t b e s e e n as

inf o rm al s y s te m in the s a m e w a y as w e ll to inf iltrate o r c h al l e n g e

b e i n g either an ti - f o rm al s y s te m o r c o m p l e m e n tary to th e f o rm al

f o rm al p o w e r.

sy ste m . T h e i d e a o f re sistanc e im p lies the re c o g n itio n o f th e resilienc y o f c u l tu ral trad itio ns that c an n o t e asily b e b r u s h e d asid e b y the f o rm al sy ste m .

Th e i n f o rm al c ity is se e n as o m n i p re se n t in th e n o o k s an d c ran nies o f the city . It is f o u n d in in f o rm aliz atio n o f u rb an sp ac e , th e in f o rm al e c o n o m y , in f o rm al p o lic y in ju d ic ial sy ste m s, th e c l i q u e sy ste m

in th e m o d e r n f irm an d i n f o rm al c o m m u n i c ati o n

in

p u b lic b u re au c rac i e s. A n d , it is f o u n d , o f c o u rse , in n e i g h b o rT H E L O G I C O F T H E ' I N FO R M A L C IT Y ' A P P R O A C H

h o o d s an d f am i l y p rac tic es. In a sense, it is a v ib rant city . A n

O u r arg u m e n t is that there e x ists an i n f o rm al c ity lo c ate d ju s t

sy ste m is a n e c e s s ary step to w ar d u n d e rs tan d i n g u rb an p ro c e ss.

analy sis o f its p aram e te rs, its o p e ratio n an d relatio n to the f o rm al b e n e ath an d in th e interstic es o f the f o rm al city . T h e m e ta p h o r is

M y interest in atte m p ti n g to c o n c e p tu al i z e the stru c tu re o f

n o t g e o g rap h i c al , b u t rather stru c tu ral an d h e rm e n e u ti c al . T h i s is

in f o rm ality c o m e s f ro m a g e n e ral o b se rv ati o n o f the A m e r i c a n

th e c ity w h e r e m an e u v e rs that c an n o t b e d o n e p u b lic ly , leg ally ,

c ity sc e n e . Pu t v e ry sim p ly , it is m y v ie w th at i n f o rm al p rac ti c e s -

ethic ally o r o th e rw i s e are p e rf o rm e d . This is th e resilient c u l tu ral

w h i c h are b y n o m e an s triv ial - c o nstitu te a n i m p o rtan t f ac to r in

are n a that s u p p o rts , o r s o m e ti m e s o b stru c ts, b u t is al w ay s in

th e sh ap i n g o f e v e ry d ay life at the p e rso n al , g ro u p an d institu -

interac tio n w i th th e f o rm al sy ste m . W h y is it i m p o rtan t to s tu d y o r p ay atte n tio n to the i n f o rm al

tio nal lev els. In fac t, these i n f o rm al p rac tic e s sh ap e , su stain, s u p p o rt, u n d e r m i n e an d i n f l u e n c e in m a n y d i f f e re n t w a y s th e f lo w

si d e o f the city , sin c e in m a n y c ases these stru c tu re s are h i d d e n ?

o f p ro c e sse s a n d ac tiv ities o f th e f o rm al s y s te m o f so c iety . W i th -

Th e re are se v e ral re aso ns. A t th e o u tset, o n e m a y ad v an c e th at

o u t th e m , th e f o rm al s y s te m w o u l d n o t b e ab le to

f u n c tio n

26 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

2

sm o o th ly . T h e y c o nstitu te an in te g ral p art o f its o p e ratio n . T h e i n f o rm al c ity is se e n then as th e hidden

dimension

o f th e f o r m a l

c ity . In this l i g h t, I a m p r o p o s i n g th at th e s t u d y o f i n f o r m a l i ty be

u se d as an alternativ e a n d c o m p l e m e n tar y

ro u te f o r

Informal Space

th e

u n d e rs tan d i n g o f th e f o rm al ap p aratu s o f th e A m e r i c a n city .

O n the A m e r i c a n u rb an sc e n e - in c lu d in g th e San Fran c i sc o Bay N o tes 1.

2. 3.

A re a - e v e r y d a y life c o n tai n s b o th a f o rm al an d i n f o rm al d i m e n sio n. Su c h i n f o rm al p rac tic e s are n o t triv ial, b u t rather c o n stitu te The info rmal aspect o f so cietal life remains co nstant. There is, ho w an e sse ntial f ac to r that h e l p s sh ap e the stru c tu re o f th e f o rm al ever, a v ariability in the manifestatio n o f the p heno meno n. It can be ho useho ld , w o rkp lace o r so cial-functio n based . so c ietal s y s te m . To f u rthe r g ro u n d e m p i ri c al l y o u r th e o ry o f the Fo r a critical review o f the literature o n the so cio lo g y o f ev ery d ay c entrality o f th e relatio ns b e tw e e n i n f o rm al i ty an d f o rm al i ty in life, see Co m eau (1987). the o rg an i z ati o n o f the m o d e r n A m e ri c an city , let u s atte m p t to This p heno meno n has also its po litical and so cial ramificatio ns. If analy z e th e an c h o ri n g o f i n f o rm al p rac tic e s in the o rg an i z ati o n o f the info rmals d o no t p ay taxes, it is argued that the city and the u rb an sp ac e . T h e i n f o rm al c ity n e e d s an i n f o rm al territo rial inf rastate m ay no t hav e the necessary reso urces to p ro v id e basic services to the lo cal urban co mmunity. Furthermo re, info rmals are stru c tu re to an c h o r its i n f o rm al p rac tic es in th e o rg an i z ati o n o f seen as ind iv id ualists w ho d o no t co ntribute to the co mmo n g o o d , the u rb an s p ac e . Su c h i n f o rm al sp ac e e x ists, an d p ro v i d e s a b asis but rather w o rk fo r their p erso nal gain. zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA f o r the c arry i n g o u t o f th e se kin d s o f ac tio n . In f o rm al i ty d o e s n o t o c c u r in a v a c u u m . T h e sp ac e w h e r e the i n f o rm al p rac ti c e s take p l ac e is o f ten a f o rm al sp ac e that h a s b e e n i n f o rm al i z e d . T h e m u ltip lic ity an d v ari e ty o f i n f o rm al

sp ac e s

c an n o t b e i g n o re d if w e w a n t to u n d e rstan d th e ro le o f i n f o rm al ity in the A m e r i c a n city . It b e c o m e s a c e n tral issu e h e re , an d theref o re th e o b jec t o f o u r stu d y , b e c au se o f its relatio ns to b o th the f o rm al s p ac e an d i n f o rm al p rac tic es. It is n o t si m p l y w h a t w e d o that g i v e s an i n f o rm al c o n te n t to th e f o rm al sp ac e , b u t also stru c tu ral

b o u n d ari e s

and

c o nstraints

g e n e rate d

w i th i n

the

f o rm al s y s te m . Prev io u sly , th e c o n c e p t o f i n f o rm al sp ac e h as b e e n u s e d m ai n l y in the f ield o f p ro x e m i c stu d i e s an d ref ers to th e sp atial d istan c e s in d iv id u als m ai n tai n in e n c o u n te r in te rac tio n s w ith o th e rs. H all ( 1966: 105) , w h o i n tro d u c e d th e c o n c e p t o f i n f o rm al s p ac e in the an th ro p o l o g i c al literatu re, d i d so to id e n tif y this sp ec if ic c ate g o ry o f sp atial e x p e ri e n c e . In h i s v ie w , sp ac e b e c o m e s i n f o rm al o r is c reated as s u c h ' b e c au se it is u n state d , n o t b e c au s e it l ac k s f o rm o r h as n o i m p o rtan c e ...

In f o rm al sp atial p atte rn s h av e d istinc t

b o u n d s , a n d su c h d e e p , if u n v o i c e d , sig n if ic an c e that th e y f o rm an e sse ntial p art o f the c u l tu re ' ( H all, 1 9 6 6 : 1 0 5 ) . This lo o se d ef ini27

28 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informal

29

Space

tio n o f i n f o rm al sp ac e im p lie s th at it is a so c ial c o n stru c tio n an d

m u st se e k p e rm i ssi o n in o rd e r leg ally to tran sf o rm u n o c c u p i e d

th e p re se n c e o f at least tw o in d iv id u als a n d th e d istanc e s m a i n -

into o c c u p i e d l an d , ac c o rd i n g to law s set b y the f o rm al sy ste m .

qua

Th e i n f o rm al sp ac e is m o r e e lu siv e . So m e ti m e s , as u n re g u l ate d

In this c o n te x t, the n o ti o n o f in f o rm al s p ac e is i n te rc h an g e -

sp ac e, it m a y n o t b e u n d e r the d irec t c o n tro l o f c ity g o v e rn m e n t.

tai n e d b e tw e e n th e m in in te rac tin g w ith e ac h o th e r are a sine non.

ab le w ith that o f p e rso n al sp ac e . O th e r re se arc h e rs h av e e x te n d e d

It c an either p re c e d e the e stab l i sh m e n t o f f o rm al sp ac e o r b e p ro -

th e n o ti o n o f i n f o rm al sp ac e to in c lu d e o r c o v e r the i n te rac ti o n s

d u c e d b y f o rm al sp ac e o r th e f o rm al u se o f sp ac e .

o f in d iv id u als w i th the p h y si c al e n v i ro n m e n t o f b u i l d i n g s. Si tto n

Prio r to th e f o rm al u se o f th e u rb an sp ac e , there is an i n f o rm al

( 1980: 6 5 - 8 2 ) , f o r e x am p l e , h as arg u e d that there is a h i d d e n

u se o f that sp ac e . Th ro u g h th e e stab l i sh m e n t o f c ity c o d e s , the

d i m e n s i o n in th e interac tio n o f th e A m e ri c an stu d e n t p o p u l ati o n

f o rm al s y s te m sl o w l y i n v ad e s the i n f o rm al sp ac e an d b ri n g s it

w i th p u b lic s c h o o l stru c tu res a n d d isc u sse s th e n e g ativ e i m p a c t

into the o rb it o f the f o rm al b y tran sf o rm i n g it into f o rm al sp ac e ,

o f the se stru c tu re s o n s tu d e n t b ehav io r. H e c o n c l u d e s

th at,

w ith the p u r p o s e o f c o n tro llin g it. Th e c ity g o v e rn m e n t is al w ay s

b e c au s e o f its i m p e rs o n al c harac te r, the p u b l i c sc h o o l' s sp ati al

d e v ising f o rm al ru les so as to re d u c e the e x te n t o f i n f o rm al sp ac e .

arran g e m e n t n e g ati v e l y i n f l u e n c e s the le v e l o f interac tio n a m o n g

In f o rm al s p ac e is also a p ro d u c t o f the f o rm al u se o f the u rb an

te ac h e rs, ad m i n i strato rs an d stu d e n ts. In a se n se , h e is c h al l e n g -

sp ac e. Be c au s e the f o rm al s y s te m is u n ab l e to m e e t the e x p e c ta-

i n g arc hitec ts to b u ild p u b lic stru c tu re s that m e e t b o th the f o r m al

tio ns o f e v e ry m e m b e r o f th e c ity c o m m u n i ty , in d iv id u als f eel it

a n d i n f o r m a l n e e d s o f th e u s e r s ( se e al s o So m m e r , 1 9 8 3 ; El l i s

n e c e ssary to tran sf o rm f o rm al sp ac e into i n f o rm al sp ac e to c o n-

e t a t , 1985) .

d u c t their i n f o rm al ac tiv ities. In f o rm al s p ac e d e v e l o p s in this

A l th o u g h th e e n c o u n te r is i m p o rtan t in th e p ro d u c ti o n

of

i n f o rm al o r p e rs o n al sp ac e , o u r ai m w ill n o t b e to d isc u ss sp ati al d istan c e s a m o n g in d iv id u als lo c ally o r c ro ss- c u ltu rally th e w a y

instanc e w i th i n the f o rm al sp atial sy ste m . It is an o u tg ro w th o f that sy ste m . Th e re are a n u m b e r o f w a y s that sp e c if ic sp atial u nits h av e

H al l d id , o r s e l f - m an ag e m e n t sty les, p ro c e d u re s an d tac tic s f o l-

b e e n i n f o rm al i z e d in th e San Fran c i sc o - O ak l an d

l o w i n g the p ath o f the d ram atu rg i c al an aly se s o f Erv i n g G o f f m a n

area. H o w e v e r, the p ro c e ss o f in f o rm aliz atio n o f this u rb an lan d -

M e tro p o l i tan

( 1959, 1961) . Rath e r, in this c hap ter, w e an al y z e the re latio n s

sc ap e is v e ry d if f erent f ro m that o f the ty p ic al third - w o rld city . In

b e tw e e n f o rm al a n d i n f o rm al sp ac e , the p ro d u c ti o n o f i n f o rm al

b o th sites, o n e w i tn e sse s th e tran sf o rm atio n o f the u rb an l an d -

sp ac e , the c h a n g i n g sp atial id e n tity o f th e w o rk p l ac e a n d

sc ap e into i n f o rm al sp atial u nits, m an i f e ste d m o st striking ly in

th e

g e o g rap h y o f u r b a n inf o rm ality . Sp ac e is a f lexib le e n tity -

a

th e i n f o rm al ap p ro p riatio n o f p arc els o f u rb an lan d fo r settle-

so c io - p o litic al p ro d u c ti o n - th at c an b e i n f o rm al i z e d , an d , in th e

m e n t. Th i s is the m o st v isib le an d sp e c tac u l ar f o rm o f sp atial

San Fran c isc o Bay A rea, it c le arly serv es as an in f rastru c tu ral

in f o rm aliz atio n in the th ird w o rl d . T h e l an d is ap p ro p ri ate d slo w ly b y sq u atte rs w h o o c c u p y u n u s e d o r v ac an t lo ts. Th e

b asi s fo r the p e rf o rm an c e o f i n f o rm al p rac tic e s.

sq u atters i n v ad e the l an d , b u i l d their s h ac k s , an d tran sf o rm the area into an i n f o rm al se ttl e m e n t u ntil su c h ti m e as it is e ith e r b u llT H E SO C I A L P R O D U C T I O N O F I N FO R M A L SPA C E

d o z e d o r i n c o rp o rate d in to th e f o rm al c ity sy ste m . In the c as e o f the th i rd - w o rl d sq u atte r se ttle m e n ts, th e lan d

T h e u rb an l an d s c ap e in the San Franc isc o Ba y A re a (as in m a n y

that w as v ac an t is n o w o c c u p i e d an d h as b e c o m e i n f o rm al i z e d as

o th e r re g io n s) is d iv id e d i n to f o rm al sp ac e a n d i n f o rm al s p ac e

a sp atial e n ti ty o r h as g o n e th ro u g h a p ro c e ss o f in f o rm aliz atio n .

w h e re d aily ac tiv ities an d p rac ti c e s are c arri e d o u t. T h e f o rm al

Th e p ro c e ss o f ap p ro p ri ati o n is itself i n f o rm al in the se n se th at n o

sp ac e is re g u l ate d an d falls i m m e d i ate l y u n d e r the ju risd ic tio n o f

o fficially re c o g n i z e d o w n e rs h i p o f p ap e r is sig n e d . T h e p ro p e rty

It c o n -

is si m p l y tak e n o r b o u g h t f r o m ano the r sq u atter. Ev e n w h e n the

f o rm s to c ity l aw s . This is w h y d e v e l o p e rs a n d o the r i n d i v i d u al s

area h as al re ad y b e e n o c c u p i e d , in f o rm ality c o n ti n u e s to c re e p in,

v ario u s ag e n c i e s o f the state o r the lo c al g o v e rn m e n t.

1

30 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City in the c re ati o n o f alley s, f o r e x am p l e , a n d in the su rv i v al o f i n f o rm al arc h ite c tu re e x p re sse d in the s q u atte rs ' h o u s e s . W h a t m a k e s the are a an in f o rm al e n tity is the so c ial u se o f the l an d that d o e s n o t f all u n d e r the re g u lato ry

m e c hanism s

o f th e

c ity

g o v e rn m e n t. to

su c h

31

Space

In f o r m al i z ati o n o f u r b a n s p a c e c an al s o b e se e n in te r m s o f b o th s u p p l y a n d d e m a n d . So f ar w e h a v e l o o k e d at th e p r o c e s s f ro m th e s u p p l y sid e , as i n th e c ase o f th o s e w h o tr a n s f o r m a f o rm al s p a c e i n to an i n f o r m a l o n e as a w a y o f d i s p l a y i n g th e i r m e r c h a n d i s e o r c o n d u c ti n g th e i r b u s i n e s s e s . W h e n s e e n f ro m

Th i s f o r m o f i n f o r m a l i z a ti o n o f th e u r b a n s p a c e d o e s n o t g o on

Informal

a

d e g re e

of

m ag n i tu d e

and

v i si b i l i ty

in

the d e m a n d s i d e , th e s p a c e c a n b e i n f o r m a l i z e d b y i n d i v i d u al s

th e

w h o are l o o k i n g f o r s u p p l i e r s . Th is is th e c as e o f th e p e r s o n

A m e r i c a n c ity . T h e i n f o r m al i z ati o n o f th e u r b a n s p ac e is m o r e

w h o ask s a n i n f o r m a l m e c h a n i c to w o r k o r re p ai r h i s c ar in

su b tl e a n d m a y n o t h a v e a p e r m a n e n t c h arac te r. N e v e r th e l e s s ,

f ro nt o f h i s h o u s e , th e r e b y tr a n s f o r m i n g

in th e San Fran c i s c o Bay A re a, p u b l i c s p ac e is still i n f o r m al i z e d

i n f o rm al g a r a g e .

th e s p ac e i n to

an

in s e v e ral d i f f e re n t w a y s f o r d i f f e re n t p u r p o s e s . Pe o p l e

i n f o rm al i z e

p ub lic

an d

p riv ate

p lac e s

to

co nd uct

i n f o rm al b u s i n e s s o r so c ial transac tio ns, o r s i m p l y to m e e t b as i c h u m a n n e e d s . Th i s is the c ase o f the i n d i v i d u al m e rc h an t in O a k l an d w h o tran s f o rm s his p o rti c o into a m ark e tp l ac e , d i s p l ay i n g h is m e rc h an d i s e , attrac ting a c lie nte le , an d e n g ag i n g in i n f o rm al e c o n o m i c tran sac tio n s. It is an i n f o rm al m a r k e t b e c au s e

th e

o w n e r b y p as s e s z o n i n g l aw s a n d u se s h is o w n p ro p e rty as an i n f o rm al m a r k e t site. Th e c o n v e rs i o n o f th e f o rm al sp ac e i n to an i n f o rm al e n ti ty c an o c c u r n o t o n l y o u tsid e th e h o u se , b u t in sid e the h o u s e as w e l l . In this latter c ase , a p o rti o n o f the h o u s e m a y b e u se d as an i n f o rm al s h o p .

T IM E, SPA C E A N D IN FO R M A L IT Y Th e tim e f ac to r is an i m p o rtan t e l e m e n t in u n d e rs tan d i n g h o w in f o rm al s p ac e is p ro d u c e d an d o rg an iz e d in relatio n to f o rm al sp ac e. In f o rm al sp ac e is the resu lt o f f o rm al sp ac e b e i n g u s e d fo r in f o rm al p u rp o s e s . In f o rm al sp ac e c an h a v e a p e rm an e n t, transitio nal o r re c u rre n t c harac ter. A lo c ale c an b e f o rm aliz e d q u asip e rm an e n tl y u ntil su c h a ti m e as it is i n c o rp o rate d in to

the

f o rm al sp ac e . T h e sq u atte r se ttle m e nt in th e th ird - w o rld c ity is a g o o d e x am p l e o f this ty p e . In the U n ite d State s, the ju n k y ard f u l-

Th e street v e n d o r c o n v e rts th e area w h e re h e o p e rate s h i s b u s i n e ss into an i n f o rm al sp ac e . W h e th e r it is th e d ru g d e al e r w h o

fills a si m i l ar ro le. It is an inf o rm al m ark e tp l ac e w h e r e

o ne

ac q u ire s s e c o n d h an d p arts f o r o n e ' s o w n c ar o r to rep air s o m e -

stan d s in a c o rn e r o f an O a k l a n d street, th e se lle r o f sto le n g o o d s

o n e e lse ' s car. In f o rm al m e c h an i c s s o m e ti m e s u se it in this w a y

w h o stan d s in f ro nt o f a sto re o n M ark e t Stre e t in San Fran c i sc o ,

instead o f g o i n g to an au to p arts an d ac c e sso rie s sto re in the

o r an u n l i c e n se d street v e n d o r w h o o p e rate s in fro nt o f a p u b l i c

f o rm al e c o n o m y .

sc h o o l in Be rke le y , they all sh are the s a m e c h arac te ristic s in re g ard to th e u s e o f p u b lic sp ac e . Th e y c o n v e rt it into s o m e th i n g i n f o rm al -

th at is, an i n f o rm al

site w h e r e

i n f o rm al

m arke t

tran sac tio n s are c arried o u t.

In f o r m a l s p a c e c an b e a tran si ti o n al s p ac e . A r o o m

in a

h o u s e m a y b e u s e d as a s h o p u n til the o w n e r is ab l e to m o v e th e o p e r a ti o n to th e f o r m al se c to r. It b e c o m e s a re c u rre n t s p ac e w h e n a p u b l i c s p ac e s u c h as p art o f an o f f ic e is u s e d o n a n d o f f

Pu b l i c s p a c e is i n f o r m a l i z e d al so w h e n it is tr a n s f o r m e d i n to

as an i n f o r m a l sp ac e . T h e w ate r - c o o l e r is a trad i ti o n al l o c u s o f

a s l e e p i n g si te b y i n f o rm al ac to r s . H o m e l e s s p e o p l e are s e e n to

g o ssi p in f o r m a l o r g an i z ati o n s ; the p l ac e is s p o r ad i c al l y tran s -

c o n g r e g a te a n d sl e e p in p u b l i c p ar k s , o r in f ro n t o f p u b l i c

f o r m e d i n to a n i n f o rm al l o c ati o n to a l l o w i n f o rm ati o n to f l o w

b u i l d i n g s o r p r i v ate l y o w n e d sto re s. T h e y tr a n s f o r m o r c o n -

th r o u g h th e g r ap e v i n e . Su c h u se m a y b e c y c l i c al w h e n

v e rt th e se s p a c e s i n to i n f o r m a l o n e s . T h e si te s are u s e d

s p ac e is i n f o r m a l i z e d at a g i v e n ti m e o n a w e e k l y , m o n t h l y o r

fo r

th e

p u r p o s e s d i f f e re n t f ro m th at as s i g n e d to t h e m b y th e f o r m a l

y e arl y b a s i s . It m a y b e i n c i d e n tal w h e n th e s p ac e is u s e d f o r a

s o c i e tal s y s t e m .

o n e - o f f i n f o r m a l e v e n t.

32 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informal

33

Space

e n g ag e in p rac ti c e s c o n si d e re d inf o rm al b y f o rm al stan d ard s. Th e

G EO G R A P H Y O F T H E I N FO R M A L SPA C E

inf o rm al e c o n o m y is v e ry stro n g here, as th e resid ents tran sac t T h e g e o g rap h y o f th e i n f o rm al s p ac e c an b e d e sc ri b e d in te rm s o f

b u sine ss o u tsi d e the re g u l ato ry n o rm s an d ru le s o f th e f o rm al

th e n ic h e s w h e r e i n f o rm al ac tiv ities take p l ac e ( W h y te , 1980) . T h e

c ity g o v e rn m e n t. Th e se d istric ts also p ro v i d e a sp atial n i c h e f o r

p ro d u c ti o n o f th e se i n f o rm al lo c atio n s is re late d to the k i n d s o f

tho se w h o ru n an d w o r k in sw e atsh o p s w h i c h are e x te n si o n s o r

i n f o rm al ac tiv ity that the p e o p l e are e n g ag e d in. Pu b lic p l ac e s

b ranc he s o f o p e n m an u f ac tu ri n g b u sin e sse s lo c ate d in th e f o rm al

like g arag e statio n s ( inf o rm al m e c h an i c s ) , p u b l i c street, ( street

sp ac e o f the city . A p o rtio n o f th e w o rk o ste n si b l y p ro d u c e d in the

v e n d o rs) a n d stre e t c o rne rs ( d ru g d ealers) are i n f o rm al i z e d , as

o p e n sh o p

are p riv ate h o m e s w h e n p o litic ian s h o ld i n f o rm al p o litic al m e e t-

in f o rm al s p ac e su stains the f ac ad e o f the f o rm al o p e ratio n. H e re

is ac tu ally

d o n e in the s w e ats h o p . Th is k i n d

of

i n g s in c o n sti tu e n ts' h o u se s o r w h e n an i n f o rm al e n tre p re n e u r

w e see a c o n trast b e tw e e n the o p e n sh o p a n d the c lo se d s h o p . In

tran sf o rm s a r o o m in the h o m e in to a s w e ats h o p . G o ssi p e rs a n d

the latter, all the ac tiv ities, f o rm al o r i n f o rm al , are c arrie d o u t in

c l i q u e s c reate i n f o rm al sp atial n i c h e s in f o rm al o rg an i z ati o n s.

the sh o p an d n o t in its in v isib le b ran c h e s.

O th e rs i n f o rm al i z e the p u b l i c sp ac e , n o t f o r the p u rp o s e

of

Th e

sec o nd ,

m o re

d i sp e rse d

m ajo r

are a

w h e re

s p ac e

is

e n g ag i n g in tran sac tio n s w i th o th e r p e o p l e , b u t to take c are o f

i n f o rm al i z e d is p u b lic p lac e s an d streets, a n d the third is th e res-

th e ir o w n n e e d s , as is the c ase o f the h o m e l e s s w h o u se the p a r k

id ential h o m e , w h i c h se rv e s s o m e ti m e s as a w o rk p l ac e f o r h o u s e -

f o r sle e p in g at n i g h t. In e v e ry city , there are n i c h e s o f c o n v e rte d

ke e p e rs, g ard e n e rs an d

s p ac e that b e c o m e inf o rm al. Sp ati al in f o rm ality c an b e c h arac te r-

se rv e in th e ir o w n w ay as p l ac e s w h e re i n f o rm al p rac tic e s are c ar-

i z e d b y w a y o f th e inte ntio nality o r p e rso n al n e e d s o f th e ac to r,

rie d o u t. Th i s is w hy , w h e n w e lo o k at the city , w e f ind th at the

o th e r w o rke rs. T h e s e v ario u s

niches

w i th the i n d i v i d u al o f ten aw are o f his o r h e r u n c o n v e n ti o n al

s a m e p lac e s are u s e d f o r d if f e re nt p u rp o se s an d the e x p re ssi o n o f

ac tio n . Sp atial in f o rm ality o c c u rs also b y w a y o f a tran sac ti o n

in f o rm ality as a w a y o f lif e h a s ind e e d a territo rial b asi s o f s u p -

w h e re b y ac to rs f ro m b o th si d e s e x p e c t to g ai n s o m e th i n g f r o m

p o rt. Th e d e ato m i z ati o n o f the u rb an s p ac e l e ad s n e c e ssari l y to

th e interac tio n. Sp atial i n f o rm al i ty is also p r o d u c e d b y w a y o f

the d iv isio n b e tw e e n f o rm al an d in f o rm al sp ac e .

p o litic iz atio n w h e r e b y h i g h e r g o al s are an ti c i p ate d f o r th e b e n e f i t o f the c o m m u n i ty .

W h e n w e stu d y the c ity f ro m the an g l e s o f f o rm al i ty inf o rm ality , w e u n d e rs tan d

In a stu d y o f th e in f o rm al e c o n o m y in N e w Y o rk City , i n f o rm al -

that the u rb an l an d sc ap e is

arid also

d i v i d e d in to a f ro nt re g io n an d a b ac k re g i o n ( G o f f m an , 1963,

iz atio n o f sp ac e h as b e e n d e sc ri b e d in te rm s o f th e sp atial l o c a-

1972; G i d d e n s , 1984: 1 2 2 - 6 ) . T h e fro nt re g i o n is the lo c u s o f th e

tio n o f i n f o rm al e c o n o m i c ac tiv ities. Th e s e i n f o rm al

l o c ati o n s

f o rm al se c to r a n d is the c e n te r o f f o rm ality o r the m ai n s tre am

c a m e ab o u t b e c au s e o f the ' c o n c e n tratio n o f i n f o rm al ac tiv ities in

c u ltu re. T h e b a c k re g io n is id entif ied w i th th e p e ri p h e ry a n d is

... in are as u n d e rg o i n g resid ential a n d

the lo c u s o f th e i n f o rm al se c to r o r the c e n te r o f inf o rm ality . Th e

c o m m e rc i al g entrif ic atio n ... [ an d ] the c o n c e n trati o n o f m a n u f a c -

f ro nt re g io n o c c u p i e s th e c e n te r sp ac e a n d the b ac k re g i o n the

i m m i g ran t c o m m u n i ti e s

tu ri n g an d i n d u stri al serv ic es in c ertain are as that e m e rg e as a

p e rip h e ral sp ac e . Th e f ro nt re g io n u ses th e c e nte r o f p o w e r to

n e w ty p e o f m an u f ac tu ri n g d istric t o r se rv ic e m ark e t' ( Sasse n -

c o ntro l, c o e rc e , c o ntain an d d isc ip line th e b a c k reg io n. T h e b a c k

K o o b , 1989: 7 0 - 2 ) .

re g io n in tu rn u se s o r d e v e l o p s an i n f o rm al s y s te m o f p rac ti c e s to

Th e g e o g rap h y o f the i n f o rm al sp ac e in th e San Fran c i s c o -

c i rc u m v e n t c o n tro l b y the f ro nt reg io n.

O ak l an d M e tro p o l i tan A re a h as its l o w an d h i g h d e nsitie s o f

Be tw e e n th e f ro nt re g io n an d the b ac k re g i o n stand s the m i d d l e

o p e ratio n . Th e re are three m ajo r areas w h e re i n f o rm al s p ac e c an

re g io n w h e r e b ro k e rs, m i d d l e m e n an d in te rm e d iarie s tran slate

e asi l y b e id e n tif ie d in the city . O n e is entire i m m i g ran t e n c l av e s ,

f ro nt re g io n p o lic ie s fo r th e b a c k reg io n a n d relate b ac k - re g i o n

like the C h i n ato w n s an d the Sa n Fran c isc o M i s s i o n D istric t w i th

d e m a n d s to f ro nt- re g io n d e c i si o n - m ak e rs. Th i s m i d d l e re g io n ,

its H isp an ic p o p u l ati o n . In th e se p lac e s, p e o p l e f re e ly c o n ti n u e to

ac c o rd in g to M e y ro w i tz ( 1985: 271) , p ro d u c e s ' b e h av io r that lac ks

34 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City th e e x tre m e f o rm al i ty o f the f o rm e r f ro nt re g i o n b e h av i o r a n d al so lac ks th e e x tre m e i n f o rm al i ty o f trad i ti o n al b ac k

re g i o n

b e h av i o r.' T h e n o ti o n o f sp ac e is linke d to th at o f the i d e n ti ty o f th e so c ial sy ste m . T h e f ro nt re g i o n is the d o m a i n o f the c e n te r, th e b a c k re g io n the d o m ai n o f th e p e ri p h e ry a n d th e m i d d l e re g i o n is th e d o m ai n o f th e b ro ke rs o r th e p o litic al l e ad e rs.

Informal

35

Space

b e c o m e s o b je c tiv e ly f o rm al i z e d ac c o rd in g to th e o fficial p u r p o s e f o r w h i c h it is ap p ro p ri ate d an d u se d . T h e h o u s e ' s f o rm al e ntity is as a h o m e . Th e h o m e is itself s u b d i v i d e d into a f ro n t an d a b a c k reg io n. Th e f ro nt re g i o n is the m o s t f o rm al area o f th e h o u s e w h e r e v isito rs are w e l c o m e d . Th e b a c k re g io n ( b ac k ro o m , b as e m e n t, y ard s)

T h e c ity c an b e d e c o n stru c te d in te rm s o f th e se three lo c alitie s

is the m o s t i n f o rm al p art o f th e h o u se . A s ap p lie d to th e h o m e ,

o f inf o rm ality . T h e fro nt re g i o n h as its i n f o rm al n ic h e s in its

the n o ti o n o f f o rm al an d i n f o rm al sp ac e m a y n o t b e c u t an d

m i d s t, i n f o rm al i ty

d ried . T h e h o m e is a f lu id d o m a i n w h e re f o rm ality an d i n f o rm al -

w ith in th e f o rm al sec to r. In f o rm ality

also

arise s in its p e rip h e ry , that is th e b ac k re g io n. To lin k the f ro n t to th e b ac k re g io n , a third stru c tu re , o n e o f m e d i ati o n , is d e v e l o p e d in the m i d d l e re g io n , w h i c h in tu rn p ro d u c e s its o w n inf o rm ality .

ity c o e x ist si d e b y sid e. U rb an s p ac e c an b e l o n g to s o m e o n e , a c o rp o rati o n o r th e state. It b e c o m e s i n f o rm al i z e d w h e n it is u s e d f o r in f o rm al ac tiv ities.

Fro nt re g i o n a n d b ac k re g io n c o rre sp o n d to sp e c if ic d o m a i n s o f

O n e u su al l y d o e s n o t th i n k o f a h o m e as b e i n g s o m e th i n g f o rm al

p o w e r. Th e f ro n t re g io n u se s its n e tw o r k o f o f f ic es an d ag e n c i e s

e x c e p t in m atte rs relating to p ro p e rty rig h ts. H o w e v e r, in e v e ry -

to re g u late the b ac k - re g i o n p e o p l e an d the l an d th e y o c c u p y . D i s -

d ay life, th e c o n d u c t o f o u r lif e is o f ten in f o rm al, re l ax e d an d

tric ts an d lo c al n e i g h b o rh o o d s m a y elec t i n d i v i d u al s to re p re se n t

p riv ate . It is th e d isp lay o f o u r natu ral an d u n m a s k e d self.

th e m in the f ro n t reg io n, b u t th e p o lic ies o f th e c ity are n o t b a c k re g i o n p o lic ie s ( e v e n th o u g h th e y m ay h a v e th e sam e i n p u t in th e ir f o rm ati o n ) , b u t th e y are i n d e e d f ro n t- re g io n p o lic ies th at b ac k - re g i o n p e o p l e m u s t c o n f o r m to in their u se o f th e l an d . T h e s e re p re se n tativ e s m a y h a v e o n e leg in th e f ro nt re g io n a n d th e o the r in the b a c k reg io n in o rd e r to sell f ro nt- re g io n p o lic ie s to b ac k - re g i o n re si d e n ts. O n e se e s h e re h o w th e i n f o rm al i z ati o n o f th e u rb an s p ac e p ro v i d e s an inf rastru c tu ral b asi s o f s u p p o rt f o r th e f o rm al p o litic al stru c tu re in its in f o rm al m an i f e stati o n .

A l th o u g h th e h o m e is a w o r k p l a c e f o r all o f u s , w e te n d n o t to l o o k at it th at w a y f o r th e s i m p l e re aso n th at w e s e l d o m g e t p ai d fo r thing s d o n e fo r the fam ily . The m o n e y retu rn fo r h o m e ac tiv ities is n o t i m m e d i a te o r e v e n e x p e c te d . W e are m o r e a w a r e that it is a f o r m a l w o r k p l ac e w h e n w e u s e th e h o m e to

co nd uct

f o rm al b u s i n e s s e s , th e k i n d o f w o r k w e m i g h t d o in an o f f ic e, f o r e x a m p l e . W e f o rm al i z e an d i n f o rm al i z e o u r re s i d e n c e in te rm s o f z o n i n g . W o rk p l ac e an d l i v i n g r o o m ( f o rm al ) , v e rs u s th e rest o f th e h o u s e ( i n f o rm al ) . O n e r o o m b e c o m e s o u r o f f ic e,

Ev e n w i th i n th e p e ri p h e ry itself, o r b ac k re g io n , w e f ind that

th at is o u r f ac to ry . Th i s is w h e r e w e p r o d u c e w o r k to b e so l d to

th e sp ac e is f u rth e r d iv id e d i n to f ro nt an d b a c k reg io ns. Fo r m a l

o th e rs, w h i l e in the o th e r r o o m s w e m a y d o w o r k f o r th e rest o f

e n te rp ri se s th e re m a y h av e a f ro nt an d a b a c k reg io n. T h e f ro n t

th e f am ily .

re g i o n is u s e d

f o r f o rm al b u s i n e s s an d

th e b ac k re g i o n

fo r

i n f o r m a l ac ti v i ti e s like , f o r e x a m p l e , th e n u m b e r s g a m e . T h e f ro n t re g i o n p r o v i d e s a c o v e r f o r th e o p e r a ti o n o f ac ti v i ti e s in th e b a c k re g io n. T h e b ac k re g i o n in a re stau ran t, w h e re o n e m a y p artic ip ate in th e n u m b e r s g a m e , attrac ts i n d i v i d u al s w h o m a y b e p ro sp e c ti v e c lie nts f o r th e f ro nt reg io n w h e r e the l e g i ti m ate b u si n e ss - s e rv i n g f o o d - is in f u ll sw in g .

W h a t is f o r u s a h o m e c an also b e a w o r k p l a c e f o r o th e rs . O n e m a y s p e ak o f th e d u al v o c ati o n o f the h o m e as b o th a f o rm al p l ac e - a h o m e - an d an i n f o rm al p lac e - a w o r k p l ac e . T h e p o o r f ro m th e i n n e r c ity see th e u p p e r- c l ass h o m e as a w o r k p l a c e , th at is a f ac to ry . Th i s is a p l ac e w h e re th e y c an w o r k a n d e arn an i n c o m e . It is n o t a p l ac e w h e r e th e y liv e , re st o r eat. T h e y c o m e th e re to w o r k as g ard e n e rs , m ai d s o r i n f o r m a l p ro f e ssi o n al s. In

In o u r an al y si s o f the in f o rm aliz atio n o f u r b a n sp ac e , w e m u s t

their o w n w ay , th e y i n f o rm al i z e th e se f o r m a l u n its o f th e u rb an

tu rn to the ro le o f the h o m e in that p ro c e ss. W e said e arlie r th at

l an d s c ap e . O n e m a y say th at th e h o m e , stre e t, p u b l i c b u i l d i n g

s p ac e is a f lexib le entity that c an b e f o rm al i z e d o r i n f o rm al i z e d .

o r p l ac e e a c h h as p o te n ti al l y a d o u b l e id entity , f o r m a l

Sp ac e that is d e l i m i te d al o n g f o rm al lines, su c h as a h o u s e ,

i n f o rm al .

an d

36 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City I N FO R M A L SPA C E A N D T H E ET H N IC M I N O R I T Y N EI G H BO R H O O D

Informal

37

Space

units as h av i n g a m u ltid im e n sio n al g e o m e try - in c o ntrast to the u su al thre e - d im e nsio nal

Eu c lid ian

g e o m e try

-

w h ic h

c an

be

u nd e rsto o d in term s o f their c h an g in g id entity , the e x p an si o n o f It s e e m s at first th at o n e o f th e c harac teristic f e atu re s o f the e th n i c

p ro d u c tio n an d the internatio naliz atio n o f in f o rm al p rac tic es.

m i n o ri ty n e i g h b o r h o o d is th e w i d e s p re ad e x i ste n c e o f i n f o rm al

T i m e - s p a c e c o m p re ssi o n al l o w s u s to id e ntif y the te m p o ral

p rac tic e s. To a c e rtain extent, in f o rm ality g i v e s a d istinc t p e rs o n -

d istrib u tio n o f in f o rm ality in an y g iv en s p ac e . A sing le s p ac e c an

ality to the e th n i c n e i g h b o rh o o d in c o ntrast to th e f o rm ality o f th e

b e f o rm al at 8:00 a.m ., b e c o m e in f o rm al at 9:00, to b e f o rm al i z e d

m ai n s tre am u r b a n c o m m u n i ty .

ag ain at 10:00 a.m . Th e c h an g i n g id entity o f the f o rm al sp ac e an d

T h e e th n ic m i n o ri ty n e i g h b o r h o o d m a y b e d e f in e d as a l o c u s w h e r e a c o m m u n i t y m an u f ac tu re s its o w n i n f o rm al s y s te m to

its tran sf o rm atio n into an i n f o rm al sp ac e is larg e ly d e p e n d e n t o n inf o rm al p rac ti c e s c arried o u t in su c h a p l ac e .

s e rv e as the o rg an i z ati o n al ru le s o f its ad ap tati o n . Th is s y s te m

A n o th e r e x am p l e is th at o f linking th e f o rm al id e ntity o f the

lin ks the p e o p l e to g ether, c re ate s a su b c u l tu re o f i n f o rm al i ty in

sp ac e to o f f ic ial p rac tic es that p ro d u c e inf o rm ality . Fo rm al o ffice

inte rac tio ns w i th the f o rm al s y s te m o f m ai n s tre am so c iety , p ar-

sp ac e is i n f o rm al i z e d o n d ay s w h e n the o f f ic e h o ld e r d o e s n o t

tic ip ates in i n f o rm al w ay s in th e f o rm al so c ial sy ste m , i n f o rm al -

e x p e c t to in te rac t w ith th e p u b l i c : the d re ss c o d e is d o w n , the

iz e s c ertain asp e c ts o f f o rm al o rg an iz atio n , a n d strid es th ro u g h

o ffice is u s e d as if it w e re a h o m e sp ac e to d i m i n i sh stress a n d to

ro u tin iz atio n to w ard s the le g itim iz atio n o f th e i n f o rm al s y s te m .

allo w a re c o v e ry o f the self. O n e d ay th e o f f ic e sp ac e is f o rm al ,

I d e f ine th e e th n i c m i n o ri ty e n c l av e as a l o c u s w h e re p rac ti c e s

an d the n e x t it is inf o rm al. Su c h u se re v e als the lim its o f f o rm al

lab e lle d b y th e f o rm al sec to r as ' i n f o rm al ' are p ro d u c e d to h a n d l e

arc hitec tu re a n d its inab ility to m o d e l p l ac e in te rm s o f b o th the

th e re si d e n ts' relatio ns w i th th e m ai n s tre am so c ial an d f o rm al

f o rm al an d th e in f o rm al p re o c c u p ati o n s o f th e in d iv id u al su b jec t.

sy ste m . T h e so c i al c o n stru c tio n o f the id entity o f the e th n ic n e i g h -

In a se n se , f o rm al arc h ite c tu re is c o e rc i v e , d isc ip lin ary

b o rh o o d as a sp ati al entity e v o l v e s an d artic u late s itself w i th th e

restric tiv e. It f o rc e s the i n d i v i d u al to ad ap t to the f o rm al stru c tu re

an d

an d , if th e n e e d arises, to in f o rm aliz e it. It is n o n - d u al i st in the

m ai n s tre am s y s te m . It is n o t s i m p l y b y f o rm al m e a n s that u rb an lan d is ap p ro p ri ate d . Re al e state ag e nts p l ay a k e y ro le in th e d istrib u tio n p ro c e s s

se n se

that it d o e s n o t

p ro v i d e

tw o

stru c tu re s,

f o rm al

an d

in f o rm al, that an in d iv id u al c o u ld u se at w ill. It is p art o f the

o f u rb an l an d . T h e y h av e their o w n f o rm al a n d i n f o rm al w a y s o f

p ro jec t o f ratio n al so c iety th at arc hitec tu re sh o u l d d isc ip lin e the

d o i n g b u si n e ss. In f o rm al strate g ie s o f ten in f lu e n c e f o rm al o u t-

b o d y to b e h a v e f o rm ally in a f o rm al sp ac e .

c o m e . W h e n a re al estate ag e n t c h o o se s to s h o w a h o u s e in a

Th e m u l ti d i m e n si o n al i ty o f the u rb an s p ac e is also m an i f e st in

b l ac k n e i g h b o r h o o d to a b l ac k c lient, h e o r sh e is o f ten m a k i n g an

the e x p an s i o n o f p ro d u c ti o n . W e f ind in San Fran c isc o a C h i n e s e

i n f o rm al as s e s s m e n t o f the f o rm al n e e d s o f th e c lient. Th e p ro c e s s

re p ai rm an w h o u se s an o f f ic e sp ac e that is o p e n to the p u b l i c an d

o f ac q u isitio n o f u rb an l an d is itself p artly i n f o rm al i z e d .

leg al. It is w h e r e h e tran sac ts b u si n e ss w i th his c lie nts.

He

rec eiv es th e re ite m s to b e f ix e d and re tu rn s th e m to th e o w n e r o n c e re p aire d . Th e rep air w o r k is n o t d o n e in this o f f ic e, b u t T H E M U L T I D I M EN SI O N A L G EO M ET R Y O F T H E U R B A N

rathe r in a b ac k- re g i o n w o r k s h o p lo c ate d in an o th e r h o u s e in the

SPA C E

city . Th is w o r k s h o p is illeg al: it o p e rate s w i th o u t a p e rm i t, is c lo se d to th e p u b lic an d is lo c ate d in a p ri v ate h o m e . It is an

W e c an n o t stu d y u rb an sp atial u nits as if th e y w e re either f o rm al

in f o rm al o p e rati o n that f e e d s the f o rm al p rac tic e s o f the f ro nt

o r inf o rm al. Fo r Sac k (1980: 7) , ' sp ac e m e an s the sp ac e o f the p h y s -

o ffice. W e se e h e re a c lear u s e o f the f o rm al se c to r to i n f o rm al i z e

ic al w o rld , an d g e o m e try is the l an g u ag e in w h i c h it is d e sc ri b e d .'

the b ac k re g io n , w h i c h in re tu rn su p p o rts the o p e ratio n o f the

W h e n v i e w e d f ro m the p ersp ec tiv e o f tim e, w e te n d to see sp atial

f o rm al sec to r.

Informal

38 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City Th e third f ac to r that c o n tri b u te s to th e i n f o rm al i z ati o n o f th e

39

Space

m e an s a n d al l o w s u s an o p p o rtu n i ty to re tu rn to th e h o m e as a

l an d s c ap e is th e in te rn atio n aliz atio n o f i n f o rm al p rac tic e s. Th i s is

f o rm al w o r k statio n. C o n c u rre n tly , the f o rm al c entral w o rk p l ac e

d o n e th ro u g h w h a t I c all i n f o rm al d i p l o m ac y an d o the rs re f e r to

m a y b e c o m e p artly i n f o rm al i z e d in that it is n o w u s e d b y th e se

as p ar ad i p l o m ac y o r m i c ro d i p l o m ac y ( D u c h ac e k , 1984; So l d ato s ,

h o m e w o r k e r s as a p lac e to g e t in v o lv e d in i n f o rm al ac tiv ities.

1990) . By i n f o rm al d i p l o m ac y I m e a n to i n d i c ate the ab ility o f th e

To e x p l ai n this re v o lu tio n ary trend in th e w o rk p l ac e , Sc hif f

c ity o r g ro u p s in the c ity to d e v e l o p an d e stab lish their o w n f o r-

( 1983: 23) h a s c o i n e d th e w o r d ' f lex ip lac e' . Fo r h i m , ' f lex ip lac e

e i g n p o lic ie s a n d d i p l o m ati c relatio ns w i th a f o reig n c o u n try .

inv o lv es g i v i n g p e o p le g re ate r o p tio ns o n w h e re th e y

T h e s e re latio n s h av e b e e n c arrie d o u t in th e p ast o n l y o n a

in c lu d in g p o ssib ilities to w o r k at h o m e p art o r all o f th e ti m e ' .

n ati o n al le v e l, b y ap p o i n te d d i p l o m ats an d th ro u g h o f f ic ial c h an -

Th at f lexib ility o f m o v i n g o n e ' s w o rk p l ac e f ro m the f o rm al o ffice

w o rk ,

n e ls. Th is is th e ro le o f the am b assad o r, th e sp e c ial e n v o y o f the

to the h o m e h as c au se d th e b lu rrin g o f g e n re s an d th e p artial

p re si d e n t o r a d e l e g ati o n f ro m th e g o v e rn m e n t. Su c h d i p l o m a c y

m e s h i n g o f i n f o rm al w i th f o rm al sp ac e.

In f o rm al

Th e re are n o w m a n y f i rm s w h o u se d th e f lexip lac e strate g y in

d i p l o m ac y is n o w c arried o u t b y c ities, a n d c an u n d e r m i n e o r

the San Fran c i s c o Bay area to l o w e r their o v e rh e ad c o sts, to take

h an d l e s o f f ic ial b u si n e ss b e tw e e n tw o g o v e rn m e n ts .

stre n g th e n th e n atio n al ef f o rt. T h e c ity o f Be rke le y , f o r e x a m p l e ,

ad v an tag e s o f an av ailab le p o o l o f sp ec ialist lab o re rs, an d thu s to

h a d ad o p te d a c ity in N i c arag u a an d h e l p e d th e San d i n i stas in

g et ah e ad o f their c o m p e ti to rs. M a n y w o rk e rs p re f e r this ty p e o f

m a n y d if f e re nt w a y s w h i l e th e U n i te d State s g o v e r n m e n t w a s

arran g e m e n t b e c au s e o f th e ir d islike o f o f f ic e w o r k an d as a w ay

h e l p i n g th e C o n tras. C h u rc h e s in Berkeley , O ak l an d a n d

San

o f m e e ti n g th e ir o w n p sy c h o l o g i c al n e e d s ( see also Lo z an o , 1985) .

Fran c i sc o p ro v i d e san c tu arie s to N i c arag u an , G u ate m al an

and

Sal v ad o re an re f u g e e s ag ain st o f f ic ial p o lic y that c o n si d e rs th e m illeg al aliens a n d w an ts to e x p e l th e m f ro m th e c o u ntry . T h r o u g h

I N FO R M A T I O N A L SPA C E A N D I N FO R M A L I T Y

u s i n g the c h u rc h as a h o m e , th e re f u g e e s h a v e c o n tri b u te d to th e i n f o rm al i z ati o n o f the u rb an s p ac e in a w a y an al o g o u s to th e p rac tic e o f th i rd - w o rl d

re f u g e e s f ro m ru ral areas w h o

W ith the ad v e n t o f h i g h tec hno lo g y , w e f in d a d if f erent f o rm o f

build

insinu atio n o f in f o rm ality i n to the sp atial d o m ai n . In f o rm ati o n

sq u atte r se ttl e m e n ts o n the p h y s i c al m arg i n s o f th e p ri m ate c itie s.

te c h n o l o g y h a s le d to a c ru m b l i n g o f sp atial b o u n d ari e s a n d sp atial c o n stru c tio n s as it i n si n u ate s itself into th e f o rm al sp ac e , b u t it also c ro sse s th e b o u n d ari e s o f the f o rm al c ity an d f o r th at m at-

T H E ' BL U R R I N G O F G EN R ES'

ter o f th e state itself. T h e s e i n f o rm ati o n al o r c o m m u n i c ati o n s sp ac e s, w h i c h c an n o t b e d ire c tly re g u late d b y the state b e c au s e o f

T h e ad v e n t o f i n f o rm ati o n te c h n o l o g y m a k e s p o ssi b l e th e i n f o rm -

their m u l ti p l e sh ap e s an d f o rm s (the state m ay , h o w e v e r, try to

aliz atio n o f th e w o rk p l ac e a n d th e f o rm al i z ati o n o f the h o m e . It is

in te rv e n e if th e re is an y ind ic atio n o f p o te n tial c ri m i n al b e h av -

n o l o n g e r n e c e s s ary fo r s o m e ty p e s o f w o r k to b e d o n e b y f u ll-

io r) , are in f ac t i n f o rm al i z e d sp ac e s. Fo r e x am p l e , the te l e p h o n e

ti m e e m p l o y e e s an d in a w o rk p l ac e . Su c h c l asse s o f w o r k e r s are

an d c o m p u te r are u se d to m ai n tai n an d stre n g th e n i n f o rm al c o n-

n o w ab le to stay at h o m e p ro d u c i n g w o r k o n their c o m p u te r s f o r

tac ts insid e an d o u tsid e th e city. Th e f ac e- to - f ac e

in te rac tio n

T h e y are ab l e to

n e e d e d f o r u r b a n relatio nal in f o rm al p rac ti c e s b e f o re th e ad v e n t

re c e iv e at h o m e th e w o rk to b e d o n e , c o m p l e te the jo b a n d re tu rn

o f i n f o rm ati o n te c h n o l o g y is n o lo ng er so essential. Su c h in te rac -

th e f inishe d p ro d u c t - all w i th o u t h av i n g to l e av e h o m e .

tio ns n o w g o o n th ro u g h th e m e c h an i s m s o f w h at C aste l l s c alls

f o rm al f irm s in the San Fran c i s c o Bay A r e a .

2

T h e shif t f ro m the h o m e f ro n t to a c e n tral o f f ic e o r m an u f ac tu r-

the ' sp ac e o f f l o w s' .

i n g p l an t is o f re c e n t o rig in a n d d ate s b a c k to the b e g i n n i n g o f the

Th e se n e w i n f o rm al sp atial f o rm s are th e lo c u s o f a h i d d e n

i n d u stri al re v o lu tio n . In f o rm ati o n te c h n o l o g y p ro v i d e s u s th e

p o w er. T h e y are re p ro d u c e d an d ad m i n i ste re d th ro u g h i n f o rm al

The Informal City 40 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

m e a n s , a n d b e c au s e they are to tally

by

f o rm al

fluid

p o w e r, th e y

an d c an n o t b e

h av e

th e

c o n tro l l e d

p o te ntial

e i th e r

to

stre n g th e n o r u n d e rm i n e th e re g u lato ry m e c h an i s m s o f f o rm al p o w e r. Be h i n d the c o m p u te rs , g ro u p s re late d th ro u g h i n f o rm al n e tw o rk s o f c o m m u n i c ati o n h o l d p o w e r a n d inf lu e nc e the f o rm al flow o f th e f o rm al sy ste m .

Informal

41

Space

the f o rm al sec to r. G e n e rati v e p l an n i n g , in c o ntrast, is i n f o rm atio n - b ase d w i th lo c al k n o w l e d g e an d f e e d b ac k an d b e l o n g s to the d o m ai n o f th e in f o rm al sec to r. Se e i n g f o rm al i ty an d i n f o rm al i ty as p art o f a c o n ti n u u m rather than tw o se p arate entities o r tw o d if f erent sec to rs, I p ro p o s e that in the U S c i ty sy ste m th e re are tw o f ac es o f the s am e c o i n o f c ity

In f o rm ati o n te c h n o lo g y in se rts the ' s p ac e o f

flows'

i n to th e

p lan n in g . In this p e rsp e c ti v e , re g u lato ry p l an n i n g is also b ase d

' s p a c e o f p l a c e s ' . C aste l l s ( 1 9 8 9 : 6) n o te s th at ' th e e m e r g e n c e o f

p artly o n

a sp ac e o f

d ep end

flows w h i c h d o m i n ate s the histo ric ally

c o n s tru c te d

in f o rm ality

as th e p ro c e ss a n d

the o u tc o m e

m ay

o n i n f o rm al n e g o ti ati o n s b e tw e e n p o l i c y - m ak e rs

an d

s p ac e o f p l ac e s, as the lo g ic o f d o m i n an t o rg an iz atio n s d e tac h e s

lo c al re si d e n ts. Th e p u b l i c f ac ad e m a y b e f o rm al b u t th e p ro c e ss

itself f ro m th e so c ial c o n strain ts o f c u ltu ral id entities a n d lo c al

that l e ad s to it m a y b e f rau g h t w ith inf o rm ality .

so c ieties th ro u g h the p o w e rf u l m e d i u m

o f i n f o rm ati o n

te c h-

no lo g y .' Th i s sp ac e o f f lo w s integ rates the i n f o rm al c ity i n to th e f o rm ality o f th e g lo b al p ro c e ss an d c o nte x t.

G e n e rati v e p l an n i n g is n o t n e c e ssarily inf o rm al. In d i v i d u al lo c al re si d e n ts o r g ro u p s s o m e ti m e s m a n a g e to i m p o se th e ir o w n ag e n d a in sp ec if ic areas o f c ity d e v e l o p m e n t o v e r the ag e n d a o f the c ity g o v e rn m e n t. T h e ac tiv ists o f Pe o p l e ' s Park in Be rke l e y h av e f o u g h t to m ai n tai n th e p ark o v e r th e c ity an d U n i v e rsi ty

I N FO R M A L I T Y IN T H E FO R M A L P L A N N I N G P R O C ESS

o b je c tio ns. T h e y h av e u s e d an i n f o rm al n e tw o rk i n g to se t a statu s quo

T h e f o rm al c ity - p lan n in g p ro c e ss in the trad itio n o f p o si ti v i st

ag e n d a

f o r the p ark .

In San Fran c i sc o , re sid e n ts

h av e

d irec ted th e c ity to red irec t b u s ro u tes in th e ir n e i g h b o rh o o d s .

th in kin g h as b e e n u n d e rs to o d as a to p - d o w n ap p ro ac h p r o d u c -

U rb an p l an n i n g h as b e c o m e p art o f a p o litic al p ro c e ss w h e re

in g a sp atial o rd e r as o n e m o r e f o rm o f so c ial c o n tro l o f th e state .

b o th f o rm al i ty an d i n f o rm al i ty interf ac e to p ro d u c e a n e g o ti ate d ,

U r b a n p l an n e rs m an d ate d b y th e state o r th e lo c al g o v e r n m e n t

d esirab le

are c alled to d e v e l o p b l u e p ri n ts f ro m their f o rm al b u re au c rati c

ap p ro ac h f r o m c o n c e p ti o n to i m p l e m e n tati o n e v e n if it take s a

stan d p o i n ts

f o r later i m p l e m e n tati o n . T h e o u tc o m e ,

o u tc o m e . In f o rm al i ty

is at w o r k

in th e

to p - d o w n

w h e th e r

b ac k seat. In f o rm al i ty is m o r e v isib le in th e g e ne rativ e p l an n i n g

streets o r b u i l d i n g s o r an y o th e r ty p e o f b u i l t e n v i ro n m e n t, is

p ro c e ss o r b o tto m - u p ap p ro ac h , w h e re f o rm al i ty m a y n o t b e the

s u p p o s e d to ref lec t the v isio n o f the u rb an p l an n e rs.

d riv ing f o rc e f o r its su c c e ss.

This f o rm o f re g u lato ry p l an n i n g is b as e d o n p o w e r a n d p ro -

Th e o u tc o m e o f u rb an p l an n i n g ref lec ts the i n f o rm al i ty an d

d u c e s the f o rm al u rb an sp ac e f o r the e x p re ssi o n o f f o rm al b e h a v -

f o rm ality o f the p ro c e ss a n d p ro v id e s a site o r m u l ti p l e sites

io rs. Th e re is th e n an ad e q u ati o n b e tw e e n f o rm al stru c tu re a n d

w h e re i n d i v i d u al s c an e x p re ss their i n f o rm al b e h av i o rs.

f o rm al b e h av i o r. Th is e m p h as i s o n f o rm ality h as o b s c u re d th e

f o rm al p l an n i n g p ro c e ss c an n o t e sc ap e in f o rm ality e ith e r in the

ro le

d e sig n a n d i m p l e m e n tati o n o f b lu e p rin ts o r in its o u tc o m e . O n e

of

i n f o rm al i ty

in

th e

p l an n i n g

p ro c e s s ,

al th o u g h

th e

e x p re ssi o n o f in f o rm ality h as b e e n o b se rv e d w i th i n the stru c tu re o r c o n te x t o f the b u ilt- u p e n v i ro n m e n t.

Th e

m ay say th at the f o rm al o u tc o m e is a p ro d u c e r o f inf o rm ality . Bu reau c ratic p lanning is reg u lato ry p lanning : it is external and

H o w e v e r, in f o rm ality h as really al w ay s b e e n p art o f th e p l an -

state- im p o sed w ith related ap p licatio n in the city. In c o ntrast, info r-

n i n g p ro c e ss in its trip le m an if e statio n : the d e s i g n o f b l u e p ri n ts ,

m al p lan n in g is ind iv id u al an d c o m m u n ity - b ase d in that the think-

th e i m p l e m e n tati o n o f p o lic ie s an d the liv e d e x p e ri e n c e o f the

ing and the ap p lic atio n e v o lv e d are c o ntro lled b y the lo cals. In cities

u rb an re sid e n ts. It is U z z e l l ' s ( 1990: 114) v i e w that there are tw o

w he re resid ents liv e in areas that are u n d e r z o ning reg u latio ns, the

k i n d s o f p l an n i n g : g e n e rativ e an d re g u lativ e . Re g u lativ e p l an -

p eo p le h av e less ro o m to e n g ag e in m assiv e inf o rm al p lanning than

n i n g is b as e d o n p o w e r, is c o e rc i v e an d b e l o n g s to the d o m a i n o f

in areas i n v ad e d b y sq u atters. In the San Franc isc o m etro p o litan

Informal

42 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City c o m m u nity , inf o rm al p lanning tend s to c o nc entrate in the h o m e an d the o ffice ( rem o d eling , fo r e x am p l e ) w h e re ind iv id u als m a y b y p ass c ity reg u latio ns. It is inf o rm al p lanning b e c au se it is no t reg u lated b y the state ap p ro v e d b u reau c ratic sy stem .

43

Space

tu re. T h e d e v e l o p m e n t o f i n f o rm al n i c h e s su stains the e x p re ssio n o f i n f o rm al p rac tic e s. T h e m u ltip lic ity o f the se f o rm al n i c h e s is m ad e p o ssi b l e b y ac to rs w h o ap p ro p ri ate the sp ac e an d transf o rm it f o r that p u rp o se . In f o rm al so c ial sp ac e c an b e c re ate d in h o m e s , p u b l i c p lac es an d p u b l i c b u ild in g s. Be i n g in f o rm al at h o m e is an ac c e p tab le

I N FO R M A L SP A C E A S A SO C IO - P O L IT IC A L P H E N O M E N O N Bec au se it is so m u c h linked to f o rm al sp ac e, inf o rm al sp ac e is n o t o n l y a so c ial c o n stru c tio n , b u t also a p o litic al

p heno meno n.

Fo u c au lt ( 1980: 150) sp eaks in this reg ard o f the 'p o litics o f s p ac e ' to su g g est that ' anc ho rag e in a sp ac e is an ec o no m ic o - p o litic al f o rm ' . Inf o rm al sp ac e h as a p o litical m e an i n g p rec isely b ec au se it o c c u p ies a su b ju g ated stru c tu ral p o sitio n vis-a-vis f o rm al sp ac e .

Tav e rn s an d c af es, w h i l e f o rm al p lac e s, te nd to b e p l ac e s that are i n f o rm al i z e d b y th o se w h o f re q u e n t th e m . H e re is a f o rm al p lac e th at c alls f o r o r in v ite s i n f o rm al b e hav io r. Fo r m al sp ac e d o e s n o t n e c e ssarily le ad to f o rm al b e h av i o r; it c an also f o ster i n f o rm al b e h av i o r that in tu rn tran s f o rm s it into a n i n f o rm al sp ac e.

3

Th e i n f o rm al sp ac e p ro v i d e s an inf rastru c tu re f o r the l e arn i n g , u s e an d tran sm i ssi o n o f i n f o rm al k n o w l e d g e . It p ro v i d e s a f ram e w o rk , a te rrain f o r the e x p re ssi o n o f su c h k n o w l e d g e . It is the lo c u s w h e r e o n e learns the m e c h a n i s m s f o r o n e ' s so c ializ atio n in th e w o rl d o f i n f o rm al p rac tic e s, o f b e h i n d - th e - sc e n e

strate g ie s

an d o f d if f e re n c e s in s e l f - m an ag e m e n t sty le b e tw e e n f o rm al an d i n f o rm al b e h av i o rs . In f o rm al s p ac e allo w s o n e to d efy , ad ju st to o r re inf o rc e th e f o rm al s y s te m o f p o w e r. In d i v i d u al s w h o resist the e n tre n c h m e n t o f the f o rm al s y s te m take o v e r i n f o rm al s p ac e f o r the e x p re s s i o n o f a ' d issid e n t su b c u l tu re ' ( Sc o tt, 1990: 108) . Th i s f o rm o f s u b ju g ate d i n f o rm al sp ac e al l o w s f o r a b o tto m - u p ap p ro ac h to lo c ate o n e se lf vis-a-vis

p rac tic e b y w h i c h o n e c an reaf f irm th e self f ro m an y e ntre nc hm e n t b y th e f o rm al s y s te m .

state p o w e r.

Pu b lic sp ac e c an also b e tran sf o rm e d in to in f o rm al s p ac e w itho u t state

inte rf e re nc e .

In

San

Fran c i sc o ,

H i sp an i c

resid ents

d o u b l e - p ark o n D o l o re s Street an d ar o u n d s o m e c h u rc h e s as an i n f o rm al w a y to re ap p ro p riate the f o rm al street. Po lic e d o n o t interf ere w i th this p rac tic e an d d o n o t g i v e o u t tic kets w h e n this is d o n e o n Su n d ay m o r n i n g s o r W e d n e s d ay e v e n in g s. T h e f o rm al ap p aratu s to lerates the i n f o rm al w ay , an d city ru le s are thu s b y p as s e d b y the i n f o rm al sec to r. Th e i n f o rm al h e re is a m e a n s to ac h ie v e a f o rm al g o al: atte n d i n g c h u rc h . W h e n the f o rm al is to o rig id , the i n f o rm al m a k e s sp ac e fo r itself. Th e in f o rm al p ro v i d e s a so lu tio n to the f o rm al. O n e sees h e re that a lac k o f artic u latio n b e tw e e n c ity re g u latio n s an d the re q u i re m e n ts o f o th e r institu tio ns in an y so c iety c an b e o v e rc o m e b y the m e d i ati n g ro le o f sp atial inf o rm ality .

In f o rm al s p ac e c an also w o r k to w ard an ad ju stm e n t o f p e o p l e to the p o w e r stru c tu re o f so c iety . It b e c o m e s th e n a saf e ty v al v e f o r the stre n g th e n i n g o f th e f o rm al sy ste m . To the e x te n t that in d iv id u als c an c reate i n f o rm al sp ac e to so l v e their p ro b l e m s , th e y c an retu rn to the f o rm al sy ste m , w h i c h re m ai n s u n c h al l e n g e d , to c o n ti n u e th e ir jo u rne y .

I N FO R M A L SPA C E A S SU BJU G A T ED SPA C E Ju st as w e u n d e rstan d th e in f o rm al se c to r as a p o l e o f a c o nti n u u m , w e h av e p ro p o s e d th ro u g h o u t this c h ap te r that in f o rm al sp ac e re q u ire s the e x i ste n c e o f f o rm al sp ac e . In this se n se , w e

M A K I N G SO C IA L SPA C E FO R I N FO R M A L P R A C T IC E Pe o p l e

ro u ti n e l y

m ake

so c ial

sp ac e

fo r

i n f o rm al

p rac tic e s.

In f o rm al s p ac e is o f ten c re ate d insid e f o rm al sp ac e f o r this v e n -

m a y s ay th at i n f o rm al sp ac e is also ' p o lariz e d s p a c e ' ( Santo s, 1979) , i m p l y i n g its su b ju g ate d statu s vis-a-vis

f o rm al s p ac e .

Th e p u r p o s e o f the c re ati o n o f i n f o rm al sp ac e b y su b o rd i n ate g ro u p s is to d istanc e th e m se l v e s f ro m th e d o m i n an t g ro u p , to

44 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informal

45

Space

c o m m u n i c ate a m o n g th e m se l v e s an d to resist th e i n f ri n g e m e n t o f

' the c re atio n o f a sec u re site f o r the h i d d e n transc rip t m i g h t, h o w -

th e d o m i n an t se c to r o n their liv es. In f o rm al s p ac e b e c o m e s th an

ev er, n o t re q u ire any p h y s i c al d istanc e f ro m the d o m i n an t so lo ng

oppositional

space

in that it p ro v i d e s a n i c h e to c arry o u t o p p o s i -

as ling u istic c o d e s, d iale c ts, an d g estu res ... [are] d e p l o y e d . '

tio nal p o litic s a n d a b ase f o r resistanc e. Sc o tt ( 1990: 118) n o te s that:

In f o rm al sp ac e h as its o w n c harac teristic s an d its m u l ti p l e ro le c an b e d e b u n k e d . It is a site w h e re so c ie ty c an b e c ritic iz e d , an o rg an i z ati o n al site f o r re sistanc e , a site f o r the re c ru i tm e n t and

T h e su b o rd i n ate g ro u p m u s t c arv e o u t f o r itself so c ial s p ac e s

so c ializ atio n o f o thers, a site that p ro v i d e s an alte rnativ e to the

in su late d f ro m c o ntro l an d su rv e illan c e f r o m ab o v e . If w e are

f o rm al site, a site fo r th e ' tran sm issio n o f p o p u l ar c u ltu re ... an d a

to u n d e rs tan d the p ro c e ss b y w h i c h re sistan c e is d e v e l o p e d

site o f an ti h e g e m o n i c d i s c o u rs e ' (Sco tt, 1 9 9 0 : 1 2 1 - 2 ) .

an d c o d if ie d , th e analy sis o f th e c reatio n o f th e se o f f stag e so c i al sp ac e s b e c o m e s a v ital task. O n l y b y sp e c i f y i n g h o w

If th e f o rm al

sp ac e

is the realm

o f heg em o nic

p rac tic e s,

su c h

i n f o rm al s p ac e is the re al m o f su b ju g ate d p rac tic e s. In this sense,

so c ial s p ac e s are m a d e a n d d e f e n d e d is it p o ssib le to m o v e

o n e m a y s p e a k o f a d i al e c ti c o f te n s i o n b e tw e e n b o th e n d s .

f ro m th e i n d i v i d u al resisting su b je c t ... to th e so c ializ atio n o f

Su b ju g ate d

resistant p rac tic e s an d d i sc o u rse s.

v e rsio n w h e r e o n e g ath e rs to resist f o rm al p o w e r a n d

sp ac e h as th e d o u b l e c harac teristic o f b o th

su b saf ety

v alv e as it allo w s d issid ents a nic he to e sc ap e f ro m the o v erc o ntro l A n i n d i v i d u al ' s m o v e m e n t f ro m f o rm al to i n f o rm al s p ac e is n o t al w ay s w i l l e d : there m a y b e a le v e l o f

o f f o rm al p o w e r.

u nc o nsc io u sness

i n v o l v e d , o r stru c tu ral c o n strai n ts f ro m so c iety . Se p arati n g th o se w h o re m ai n in th e f o rm al s p ac e f ro m th o se w h o o c c u p y

an

i n f o rm al s p ac e m a y n o t al w ay s b e th e b e st w a y o f an al y z i n g the p ro c e ss sin c e th e s am e i n d i v i d u al c an d o b o th . W h at is n e w in this p e rsp e c ti v e is the re c o g n itio n that th o se restric ted to

an

i n f o rm al s p ac e are ab le to c o m m u n i c ate , o rie n t an d p o lic e th e m -

N o tes 1. 2.

se lv e s. I te n d to ag re e w ith Sc o tt ( 1990: 118) w h e n h e state s that ' as d o m ai n s o f p o w e r re latio n s in their o w n rig ht,

[ i n f o rm al

sp ac e s] se rv e to d isc ip line as w e l l as to f o rm u l ate p atte rn s o f re sistan c e .' It is i m p o rtan t to n o te th e e x i ste n c e o f ' a c o n ti n u u m o f so c ial sites ran g e d

ac c o rd i n g

to

ho w

h e av i l y

or

lig htly

th e y

are

p atro lle d b y d o m i n an t e lite s' ( Sc o tt, 1 9 9 0 : 1 2 0 ) . It is tru e th at th e re are sites w h e r e th e in f o rm als are h arasse d an d o the rs n o t. W h i l e th e f o rm e r m a y b e f o rc ed to f o rm al i z e their v e n tu re s, th e latter are m o re like ly to c o n ti n u e to su rv i v e as i n f o rm al s. Th i s is the c ase w ith street v e n d o rs. G e o g rap h i c al d istanc e m a y n o t b e n e c e ssary to se p arate f o rm al f ro m i n f o rm al sp ac e . In f o rm al sp ac e m a y b e lo c ate d interstitially in f o rm al s p ac e as lo ng as th e i n f o rm al s are ab le to c o m m u n i c a te a m o n g th e m s e l v e s an d to h i d e the c o n te n t o f their c o m m u n i c a tio n f ro m th e v i e w s o f their c o u n te rp arts. Fo r Sc o tt ( 1990: 120) ,

3.

Fo r analyses o n the repro d uctio n o f fo rmal space, see Lefebvre (1974), Go ttd iener (1988). On the relatio ns o f 'teleco mmuting ' and the 'electro nic co ttag e' to the w o rkp lace, see N illes (1976) and Toffler (1980). To und erstand the w ay gend er is a significant v ariable in the d eco d ing and d eco nstructio n o f fo rmal and info rmal sp ace, see, for examp le, Spain (1992), McDo w ell (1983), Masso n (1984), Wekerle et al. (1980), Z elinsky et al. (1982) and M ackenz ie (1987).

3

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIH

The Informal Economy Th e e c o n o m i c life o f the i n f o rm al c ity is su staine d b y th e f o rm al an d i n f o rm al asp e c ts o f th e u rb an e c o n o m y . It is so b e c au s e the tw o sid e s o f the u rb an e c o n o m y are i n te rtw i n e d . To u n d e rstan d the b e h av i o r o f the i n f o rm al e c o n o m y , it is less i m p o rtan t to lo o k at the o u tc o m e as H art ( 1973) d id w h e n h e sp o k e o f it as an ' i n c o m e g e n e rati n g o p p o rtu n i ty ' , o r as a s o u n d b asis f o r e ng ineering d e v e l o p m e n t p o lic ie s as D e So to ( 1990) d o e s. It is i m p o rtant to f o c u s o n the p ro c e ss o f its c o n stitu tio n an d its re latio n s to the f o rm al asp e c t o f the u rb an e c o n o m y Th e i n f o rm al u rb an e c o n o m y c o v e rs a w i d e rang e o f e c o n o m i c ac tiv ities. So m e are lab e le d b y the state as illeg al e c o n o m i c transac tio ns, s u c h as the ' n u m b e r s g a m e ' an d d ru g traf f ic king . O th e rs

per se are illeg al b u t are i n f o rm al , n o t b e c au s e th e ac tiv itieszyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLK

b e c au se th o s e w h o are c arry i n g th e m o u t, su c h as u n d o c u m e n te d aliens, c h ild lab o r an d u n l i c e n se d p ro f e ssio n als, are n o t ab le to d o so leg ally , o r b e c au s e e ar n i n g s are n o t re p o rte d to th e state f o r tax p u r p o s e s ( A rc h am b au l t an d G re f f e , 1984: 6) . O n e m u s t also ad d w h a t Sm i th an d W i e d - N e b b e l i n g ( 1986: 2) ref er to as ' the n o n - m ark e t p ro d u c ti v e ac tiv ities o f h o u s e h o l d s an d

v o l u n tary

o rg an i z ati o n s' . So m e are e n g ag e d in th e in f o rm al e c o n o m y as their p e r m an e n t o r e x c l u si v e so u rc e o f e arn i n g h ard c u rre n c i e s, o th e rs as a m o o n lig hting p rac tic e . Still o th e rs are sq u are l y lo c ate d

i n si d e

the

f o rm al s y s te m b u t o p e n u p interstic es in it s o as to c arry o u t their i n f o rm al p rac tic e s, su c h as insid er trad i n g ( Sm ith, 1990; C lark, 1988) . Fr o m a p ro c e ssu al stan d p o i n t the i n te rm i n g l i n g o f b o th sid es o f the u r b a n e c o n o m y b e c o m e s m o re o b v i o u s . Th e i n f o rm al an d 1

f o rm al e c o n o m i c p ro c e ss s e l d o m c o n tai n s e x c lu siv e ly o n e o r the o ther, b u t rath e r it is a f lexib le m i x o f b o th . Pro d u c ti o n m a y b e initiated in the i n f o rm al se c to r an d the f inal p ro d u c t so l d in the f o rm al, o r v i c e v e rsa. Su c h is the situ atio n in the i n f o rm al sw e at47

48 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

49

Economy

s h o p ind u stry . It c an b e initiated in the f o rm al , as a f ro nt b u si n e ss,

This p e rsp e c ti v e h ad l e d s o m e to the e rro n e o u s c o n c l u si o n that

c arrie d o u t in the b ac k - s tag e area ( i n f o rm al p ro d u c ti o n )

the i n f o rm al sec to r is th e resu lt o f ru ral - u rb an m i g rati o n (Van

an d

re tu rn e d b a c k to the f o rm al f o r the e x c h an g e to take p l ac e .

D ijk, 1986) .

So m e w h e r e in the p ro d u c ti o n , d istrib u tio n, m ark e ti n g o r tran s-

Th e i n f o rm al e c o n o m y is o f ten p ro p o s e d as a v i ab l e d e v e l o p -

ac tio n p ro c e sse s, it is like ly th at s o m e f o r m s o f i n f o rm al i ty w ill

m e n t alte rn ativ e to the f o rm al secto r, w h i c h is se e n as b e i n g c ru -

c re e p in. T h e issu e m a y b e ju st to id e ntif y w h e r e it e x ists a n d h o w

c if ied b y a m o ri b u n d , c o m p l i c ate d an d elitist b u re au c rac y . In

it relates to the f o rm al si d e . A n e x c l u si v e f o c u s o n e i th e r the

c o ntrast, th e in f o rm al is v i e w e d as a d y n a m i c , e v e rg ro w i n g sec to r

f o rm al o r th e in f o rm al c an n o t e x p lain f u lly the p ro c e ss. T h e k e y

that c o u l d b e c o m e e v e r m o r e p ro g re ssiv e in a d e re g u l ate d env ir-

to o u r u n d e rs tan d i n g o f th e m e s h i n g o f b o th still re m ai n s in th e

o n m e n t. D e So to ' s El Otro Sendero

re latio n sh ip b e tw e e n th e m sin c e th e y b e l o n g to the s a m e u rb an

w ell th e p o sitiv e v ie w o f this g ro u p o f re se arc he rs a n d p ro p o se s

( Th e O th e r Path ) s u m m ari z e s

e c o n o m y . It is the re latio n sh ip that f e e d s, c o n strain s a n d re g u -

the i n f o rm al e c o n o m y ro u te as a w a y o u t o f u n d e rd e v e l o p m e n t

lates. It p ro v i d e s a g ro u n d f o r the e x p an s i o n o r the c o n stri c ti o n o f

in Pe ru in p artic u lar, a n d in the third w o r l d in g e ne ral.

o n e o r th e o the r.

A n o th e r tre n d o f re se arc h c arried o u t in the u n d e rg ro u n d ec o n-

In the p as t tw o d e c ad e s, w e h av e w i tn e s s e d a p ro lif e ratio n o f

o m y in th e U n ite d State s, G re at Britain an d G e r m a n y is a c o n-

c lassif ic atio ns o r ty p o lo g ie s in the stu d y o f the i n f o rm al u rb an

c e n tratio n n o t o n its c o n trib u tio n to so c iety , b u t o n its n e g ativ e

e c o n o m y . T h e s e ty p o lo g ie s are c o n stru c te d to s h o w th e w i d e -

sid e. H e re th e in f o rm al e c o n o m y is se e n as the v illain that u n d e r-

sp re ad n atu re o f these p rac ti c e s ( H enry , 1981) , to s h o w th at th e y

m i n e s th e g ro w th o f th e f o rm al e c o n o m y an d p ro sp e ri ty

are n o t c o n f i n e d to the p o o r a n d i m m i g ran t c o m m u n i ti e s ( Po rte s

so c iety ( Tanz i, 1982) . It is se e n in this lig ht at least f o r three rea-

of

et al., 1989) a n d to s h o w th at th e y are f o u n d b o th in th e f o rm al

so ns: ( 1) b e c au s e it c o m p e te s w ith the f o rm al e c o n o m y in term s

an d i n f o rm al e c o n o m y ( Fe rm an et al., 1987) . Th e c atal o g u i n g o f

o f c lie nte le an d p ro d u c ti o n o f g o o d s; ( 2) b e c au s e the ac to rs d o n o t

the se p rac ti c e s, w h e n th e y are ac c o m p an i e d w i th e th n o g rap h i c

p ay tax e s o n these tran sac tio n s; an d ( 3) b e c au s e it is th e d o m ai n

d e sc rip tio n s, sh e d s m u c h lig ht o n the p ro c e ss o f their c o n sti-

w h e re

tu tio n. A s f ar as ty p o l o g y g o e s , it c o u ld b e h e l p f u l also to ac c o u n t

Sh an k l an d , 1980) . Fo r th o s e w h o h o l d this v iew , the u ltim ate

f o r e c o n o m i c ac tiv ities that are n o t i m p re g n ate d b y an y i n f o rm al

so lu tio n w o u l d b e to e l i m i n ate this se c to r alto g e the r b y w a y o f

p ro c e ss, if s u c h exist.

re g u l ati o n .

c ri m i n al

e l e m e n ts

exc el ( H ard i n g

an d

Je n k i n s ,

1989;

3

Th o se w h o stu d y the i n f o rm al sid e o f th e u rb an e c o n o m y f ro m

In b e tw e e n these tw o o p p o si te tre n d s, there is a larg e array o f

the p e rsp e c ti v e o f the f o rm al sy ste m te n d to b e inte re ste d in p o l -

researc h p e rsp e c tiv e s. M o s t n o tab le is th e w o rk o f th o se w h o

ic y issu e s ( Se th u ram an , 1981) . It is b y n o ac c i d e n t that th e b u l k o f

f o c u s o n th e rec ip ro c ity a n d self - help asp e c ts o f th e se i n f o rm al

stu d ies o n th e i n f o rm al e c o n o m y is d o n e o n

u n d e rd e v e l o p e d

e c o n o m i e s . Ev e n b e f o re th e te rm i n f o rm al e c o n o m y w a s c o in e d ,

c o u n trie s. T h e y are atte m p ts to re so lv e th e p ro b l e m o f u rb an

there w e r e alre ad y n u m e r o u s stu d ies o n m u tu al ai d , b arte r an d

p o v e rty a n d u n e m p l o y m e n t b y f o c u sin g o n the su rv i v al stra-

the so c ial e x c h an g e asp e c ts o f n e i g h b o rh o o d e c o n o m i e s ( M au ss,

te g i e s o f th e p o o r an d th e i r s e l f - e m p l o y m e n t tac tic s ( T u r n h a m

1954; D av i s , 1973) . T h e s e stu d ie s are d ire c tly inte re ste d in u n d e r-

e t a l , 1990) .

stan d in g a n d e x p l ai n i n g e c o n o m i c so lid arity a m o n g in d iv id u als

Th e l o c ati o n an d id entif ic atio n o f th e i n f o rm al sec to r h a s b e e n an i m p o rtan t g o al o f p o l i c y d e v e l o p e rs.

2

In the o v e r w h e l m i n g

in the s a m e n e i g h b o rh o o d o r am o n g th o se w h o b e l o n g to the s am e e th n i c g ro u p .

m ajo rity o f stu d i e s, it is th is p o lic y asp e c t that c o n sti tu te s the

So m e so c ial sc ientists atte m p t to d if f erentiate the v ari o u s f o rm s

an g l e th ro u g h w h i c h th e i n f o rm al e c o n o m y is d e f in e d a n d an a-

the i n f o rm al e c o n o m y tak e s, an d to se p arate it f ro m th e f o rm al

l y z e d . T h e d isc u ssio n h as b e e n c o n n e c te d w ith

e c o n o m y . Ro se ( 1983: 5) d istin g u ish e s the ' o f f ic ial' f ro m

d ev elo p m ent

b e c au s e o f th e v isib ility o f th e p h e n o m e n o n in th i rd - w o rl d c ities.

the

' u n o f f ic ial' an d ' d o m e s ti c ' e c o n o m i e s. H e c o n sid e rs th e se to b e

The Informal City 50 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

The Informal

51

Economy

' three an aly tic ally d istinc tiv e e c o n o m i e s ' . O th e rs arg u e th at the

g e n e r ati v e c ap ac i ty to re g u l ate th e f o r m a l s y s te m . It is in f o r-

i n f o rm al e c o n o m y is f ar f ro m b e i n g m o n o l i th i c an d p re f e r to

m al r e g u l ati o n th at o n e m a y d i s ti n g u i s h f ro m f o r m a l re g u l a-

Th e

tio n. O n e p r e s u p p o s e s th at i n f o r m a l a n d f o rm al ac to r s are

i n f o rm al e c o n o m y is c h arac te ri z e d as c o m p ri s i n g the f o l l o w i n g :

e n g a g e d i n th e s a m e f ie ld o f ac tiv ity , a n d th at e a c h h as th e

p re - o r n o n - i n d u stri al e c o n o m i e s . T h e h o u s e h o l d e c o n o m y , the

c ap ac i ty o f e x p a n d i n g its are n a at th e e x p e n s e o f th e o th e r. T h e

id e ntif y th e d istin g u ish in g

f eatu res o f its v ario u s ty p e s.

n e i g h b o r h o o d o r m u tu al - ai d e c o n o m y , th e alte rnativ e o r c o u n te r-

i n f o rm al a p p e a r s to b e a n are n a f o r th e e x p re s s i o n o f re p re s s e d

c u ltu re e c o n o m y , sm all e n te rp ri se an d th e b l ac k , u n d e r g r o u n d o r

h u m a n f r e e d o m a n d a re ac ti o n ag ai n s t th e o v e r r e a c h i n g arm

h i d d e n e c o n o m y ( Ro ss an d U sh e r, 1986: 3 1 - 3 ) .

o f f o r m al i z ati o n .

Still o th e rs s h o w that th e i n f o rm al e c o n o m y d o e s n o t b e l o n g e x c l u s i v e l y o r is to b e f o u n d o n l y in th e so - c al l e d

' i n f o r m al

Th e re g u l ato ry c h arac te r o f the i n f o rm al sy ste m is th e p ro c e ss b y w h i c h it e x p an d s itself b y c reating n e w f o rm s an d e n c ro ac h i n g

These

o n the f o rm al sy ste m ' s are n a. It re g u late s th e f o rm al s y s te m in the

re se arc h e rs p r o v i d e d e s c ri p ti o n s o f e c o n o m i c ac tiv itie s in l arg e

se n se that it h as the c ap ac i ty to e x p an d a n d shift its b o u n d ari e s at

s e c to r' , b u t is l o c ate d

as w e l l in th e

f o r m a l se c to r.

f o rm al o r s m a l l s e m i - a u to n o m o u s e n te rp ri s e s su c h as c o n s tr u c -

the e x p e n s e o f the f o rm al sy ste m . C o n stan tl y the i n f o rm al ec o n-

tio n, p u b l i c tran sp o rtati o n , g a r m e n t m an u f ac tu r i n g , e l e c tro n i c s ,

o m y is e n c ro ac h i n g o n th e p re se rv e d d o m a i n o f the f o rm al ec o n-

that

o m i c sec to r, f o rc ing the f o rm al e c o n o m y to c o n c e n trate o n law f u l

i n f o rm al ac tiv itie s are p art o f th e f u n c ti o n i n g o f the o p e r a ti o n o f

ac tiv ities a n d m o re e x p e n s i v e p ro d u c ts an d lab o r se rv ic e s. It

au to re p ai r a n d f u rn i tu re - m ak i n g . Th e i r w o r k i n d i c ate s th e f o rm al Bo g o tá,

s y s te m , w h e th e r

Co lumbia

( Be n to n ,

in N e w 1986,

Y o rk

1990;

or

the re b y re d u c e s the d o m a i n o f p rac tic e o f the f o rm al e c o n o m i c

1989;

secto r. T h i s is ac c o m p l i s h e d b y a m u l ti tu d e o f p ro f e ssio n als w h o

City , M a d r i d

Sa s s e n - K o o b ,

p ro v i d e c h e ap p ro d u c ts a n d serv ic es, a n d also b y l e g i ti m ate an d

Lán z e tta d e Par d o , 1989) . W ithin th e b o u n d ari e s o f th e A m e ri c an city , there are c o u n tl e s s

f o rm al b u si n e sse s w h i c h p artly f o llo w th e in f o rm al ro u te to sav e

n u m b e r s o f tran sac tio n s that take p lac e in th e i n f o rm al e c o n o m y

mo ney

( Jo ne s, 1988) . A lread y , in th e p re v io u s c h ap te r, w e h av e s e e n the

h o m e s h o p s o r s w e ats h o p s .

i m p ac t o f th e in f o rm al e c o n o m y o n u rb an sp ac e . It is o n e f ac to r

th ro u g h h irin g i n f o rm al o r e x te n d i n g o p e rati o n s

into

A l s o re g u l ato ry is th e p ro c e ss b y w h i c h the i n f o rm al sy ste m

that l e ad s to th e in f o rm atiz atio n o f th e u r b a n sp ac e . In this c h ap -

p re ssu riz e s th e f o rm al s y s te m to ad ju st itself to a fait

ter, the f o c u s is o n the d e c o n stru c ti o n o f th e v ario u s w a y s in

This is d o n e either b y i n c l u si o n o r e x c l u si o n . A d ju s tm e n t is said

w h i c h the re latio n s b e tw e e n the f o rm al a n d the i n f o rm al e c o n -

to b e i n c l u si v e w h e n th e f o rm al sy ste m o p e n s its b o rd e r to c o - o p t

o m y are artic u late d . Th e g e n e rativ e m e c h a n i s m s b y w h i c h the

o r g i v e f o rm al statu s to the inf o rm al s y s te m . It b e c o m e s e x c lu s-

i n f o rm al si d e o f the u rb an e c o n o m y re g u l ate s the f o rm al asp e c t

iv e w h e n th e in f o rm al s y s te m is seen as u n d e si rab l e a n d rejec ted

w ill b e e x p o u n d e d . Bo th b o u n d ari e s an d b o u n d a r y m ai n te n an c e c an b e e n f o rc e d in f rin g in g

on

the d o m ai n

4

as illeg al o r is s i m p l y

b y b o th the f o rm al an d th e in f o rm al sec to r. O n e is c o n stan tl y o f the o ther. Ex am p l e s

to lerated b y

th e f o rm al s y s te m .

Th e

i n f o rm al s y s te m is th e re b y f o rc ing th e f o rm al to q u e s ti o n an d ad ju st th e e d g e o f its b o u n d ary .

th e

T h e r e g u l a to r y p h e n o m e n o n is e x p r e s s e d th r o u g h th e p h e -

i n f o rm al e c o n o m y are d r a w n to e x p lain th e p ro c e ss. It is o b v i o u s

n o m e n a o f b o u n d a r y e x p a n s i o n , c o n s tri c ti o n o r m a i n t e n a n c e .

that the i n f o rm al sy ste m is re g u late d b y th e f o rm al s y s te m sinc e

T h e p r e s e n c e o f th e i n f o r m a l s y s te m p r e s s u r i z e s th e f o r m al

f o rm al l aw s are d e v e l o p e d

f o rm al

s y s te m to re d e f i n e i tse l f in te rm s o f af f i rm i n g its p r e s e n t, p re -

sy ste m . Bu t w h a t is n o t o b v i o u s is th e f ac t that the i n f o rm al

v i o u s o r n e w b o u n d a r i e s . C as e s o f i n f o r m a l e c o n o m i c ac tiv -

an d

i m p l e m e n te d

f ro m

accompli.

b y th e

s y s te m re g u l ate s the f o rm al s y s te m as w e ll. W h e n o n e s p e a k s o f th e i n f o rm al s y s t e m as a r e g u l a to r y s y s te m , w h a t d o e s o n e m e a n ? It m e a n s th at th e i n f o r m a l h a s a

ities in

th e

San

Fr a n c i s c o - O a k l a n d

M e tr o p o l i tan

A rea

are

s e l e c te d a n d a n a l y z e d to s h o w th e r e g u l a to r y f u n c ti o n o f th e i n f o r m a l se c to r.

52 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City A N I N FO R M A L G A R D EN ER

The Informal

53

Economy

Th e i n f o rm al g ard e n e r w a s a g e n e ral i se n o t a sp ec ialist. A f ter b u y i n g th e s e c o n d h an d tru c k, h e later re p lac e d it w i th a b ig g e r

T h e re latio n sh ip b e tw e e n th e i n f o rm al a n d the f o rm al se c to rs are

tru c k that h a d an au to m ati c d ev ic e to m a k e it e asie r to d u m p

h e re stu d i e d th ro u g h the p ri s m o f a g ard e n e r, an i n f o rm al p ro f e s-

g arb ag e . H e also o w n e d a l aw n m o v e r an d an ed g er, p l u s o ther

si o n al w h o sells his lab o r a n d serv ic es to th e f o rm al sec to r. Th i s is

o rd in ary to o ls. H e d i d m ai n l y law n jo b s f o r re g u lar c lie n ts and

th e sto ry o f a M e x i c an - A m e ri c an m a n w h o starts w o r k i n g in the

c h arg e d a m o n th l y f ee o f ab o u t $50 f o r a n av e rag e y ard . Fo r o c c a-

f o rm al se c to r f o r a salary an d then d e c i d e s

sio nal c lie nts, he c h arg e d ac c o rd in g to the siz e an d th e le ng th o f

to m o v e to

the

i n f o rm al se c to r so that h e c an b e o n h is o w n , an d also b e c au s e h e d i d n o t like h is f o rm e r c o o k i n g jo b in San Fran c i sc o .

T h e m o n e y h e m a d e f ro m w o rk i n g at the re stau ran t in the

H is f o rm al jo b c o n siste d o f c o o k i n g at a re stau ran t in th e b u sin e s s d istric t. Th i s w as a f u ll- tim e jo b , w i th n o p o ssib ility

tim e it m i g h t take to f inish th e jo b .

fo r

ad v an c e m e n t, an d h e h e l d it f o r ab o u t ten y e ars. W h i l e at th e jo b ,

f o rm al se c to r w as i n v e s te d in a tru c k to w o r k in the i n f o rm al secto r. A n d the m o n e y h e m a d e in the i n f o rm al sec to r h e u se d to f eed th e f o rm al secto r, b y p ay i n g his m o n th l y rent.

h e m ai n tai n e d an i n f o rm al o p e ratio n o f g ard e n i n g f o r a f e w

A s an i n f o rm al g ard e n e r, his c lientele c am e f ro m th e f o rm al

c lients. Si n c e h e w as at w o r k f o r m o st o f th e w e e k , h e e n d e d u p

secto r. H e started b y w o r k i n g his w a y th ro u g h the n e i g h b o rh o o d

d o i n g h is g ard e n i n g jo b s at w e e k e n d s . Be c au s e o f h e al th p ro b -

w ith o l d e r f o lks. Th e re w a s n o t a lo t o f m o n e y i n v o l v e d , b u t it

l e m s, h e re d u c e d his tim e at th e re stau ran t w h i l e a u g m e n ti n g his

w as p rac ti c al b e c au se th e y liv ed nearb y . H e d id this k i n d o f jo b at

h o u rs o n i n f o rm al jo b s. Fr o m a f u ll- tim e jo b at the re stau ran t, h e

w e e k e n d s w h i l e h e w a s still w o rk i n g f o r th e restau rant.

m o v e d to p art- tim e . Th i s g av e h i m e n o u g h tim e to p e rf e c t his

W h e n h e b e c am e a f u ll- tim e g ard e ne r, h e w as less an d less

g ard e n i n g skills, b u ild u p a c lientele th ro u g h his c o n tac ts at the

interested in d o in g n e i g h b o rh o o d jo b s. H e c o u ld g et m o r e m o n e y

re stau rant, a n d p u rc h ase a tru c k. Finally , h e d e c i d e d to l e av e the

w o rk i n g o u tsi d e the c o m m u n i ty . In ad d i ti o n to the c o n tac ts he

re stau ran t jo b alto g e the r a n d d e d ic ate h i m s e l f to g ard e n i n g as an

m a d e w h i l e at the re stau ran t, h e starte d ad v e rtising

i n f o rm al p ro f e ssio n al. H e h a d le arne d o f th e p o ssib ility o f d e v e l -

w o rd o f m o u th . Th is c o n stitu te d his informal

o p i n g h is o w n in f o rm al b u si n e ss f ro m a w h i te g ard e n e r in the

publicity.

and

th ro u g h

main form

of

n e i g h b o rh o o d , an d f ro m i n f o rm ái s w h o h a d b e e n h ire d o n o c c a-

H o w e v e r, h e is n o w ab l e to g et c lie nts f ro m a w h i te g ard ener,

sio n to w a s h d ish e s in the re stau ran t w h o d i d g ard e n i n g o n their

w h o w o r k s f o r a firm in the f o rm al sec to r. Sh e is a l i c e n se d g ar-

o w n . In this sp ec if ic i n stan c e , the f o rm al jo b w as u s e d as a

d ener, w h o w o rk s a n d f u n c tio n s m o s tl y in the f o rm al

ste p p i n g sto n e to land a jo b in the i n f o rm al sy ste m .

th ro u g h h e r jo b at an institu tio n o f h i g h e r e d u c atio n . Sh e also has

sec to r

W e h av e h e re tw o p atte rn s o f inf o rm ality . O n the o n e h an d ,

a n u m b e r o f ste ad y c lie n ts in the hills o f San Le an d ro an d San

there is an in d iv id u al w h o p artic ip ate s in b o th the f o rm al an d

Fran c i sc o , b u t sinc e sh e o n l y d o e s p ru n i n g , p lan tin g an d w ate r-

i n f o rm al se c to rs to a u g m e n t his salary . H e is a c o o k in the f o rm al

ing sh e re f e rs c lients to h i m fo r l a w n m o w i n g o r d e b ris- h au lin g .

sec to r, an d a g ard e n e r in th e in f o rm al. Th i s m e an s also th at h e

O n e m a y s ay that th ro u g h an informal

h as d i v i d e d h is tim e into th at sp e nt in the f o rm al se c to r a n d that

g et jo b s a n d e nlarg e his c lientele in the i n f o rm al sec to r.

sp e n t in th e in f o rm al. O n th e o the r h an d , w e see that f o rm al b u sin e sse s like re stau ran ts d i v i d e their ac tiv ities into th o se

network,

h e h as b e e n ab le to

H e b u i l d s u p his c lie nte le b y w a y o f w o r d o f m o u th . H e g o es

p er-

ab o u t d o i n g w o rk f o r a f am ily , an d the n e i g h b o rs m a y h i re h i m to

f o rm e d b y f o rm ái s an d th o se p e rf o rm e d b y in f o rm áis. T h i s latter

d o the s a m e . A jo b w e l l d o n e is in itself a f o rm o f p u b lic ity . So m e -

strateg y is u s e d , o f c o u rse , to l o w e r c o sts. In the re stau ran t, the

tim es th e y d o no t see h i m o n the jo b , b u t o n c e the jo b is c o m -

f o rm al ac tiv ity o f d i s h w as h i n g is h an d l e d b y in f o rm áis. A f o rm al

p le te d , n e i g h b o rs m a y ask the f am ily f o r his te l e p h o n e n u m b e r.

b u sin e ss m a y n o t o p e rate to tally w ith th e u s e o f f o rm al lab o r. Th e

This i m p l i e s that h e is a p ro f e ssio nal w o r k e r an d his rates are fair

in f o rm al ap p e ars he re as an enclave

in th e f o rm al sec to r.

an d ac c e p tab l e . So m e ti m e s the n e i g h b o rs inq u ire; at o th e r tim es,

54 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

55

Economy

it is the c lie n t w h o i n f o rm s th e n e i g h b o rs ab o u t his av ailab ility . In

the e c o n o m y . Th ro u g h th e inf o rm al train in g there is an

this se n se , th e c lient f ro m the f o rm al se c to r c an b e c o m e

transmission

of knowledge

next.

in f o rm al

informal

advertising

an

agent.

C lie n ts also c o m e to h i m b y w a y o f ref errals. A n o th e r g ard e n e r

Th i s

and

skills

training

is

informal

f ro m o n e g e n e rati o n to the f u n d am e n tal

to

th e

so c ial

re p ro d u c ti o n o f inf o rm ality .

w h o sp e c ializ e s in sp ec if ic jo b s c alls o n h i m w h e n e v e r h e d o e s

In th e d o m ai n o f p u rc h asi n g , o n e se e s h o w th e i n f o rm al is

n o t w an t to d o a jo b , like h au l i n g g arb ag e to the d u m p site. So m e -

i n te rtw i n e d w ith th e f o rm al . Th e g ard e n e r b u y s p l an ts, to o ls,

tim e s a g ard e n e r f riend tu rn s a jo b d o w n an d asks the c lient to

se e d s a n d b o o k s f ro m th e f o rm al se c to r f o r h im se lf o r the c lients.

c all h i m , e i th e r b e c au se the d e sire d rate is to o lo w , o r b e c au s e h e

So m e ti m e s a c lient asks h i m to p lant so m e th i n g . H e e ith e r b u y s it

is to o b u s y a n d this is n o t th e kin d o f jo b h e u su ally take s.

f ro m the sto re o r takes it f ro m his o w n informal

H e u se s o th e r m e an s to ad v e rtise inf o rm ally . So m e ti m e s h e ju st

nursery

that h e h as

d e v e l o p e d at h o m e . Fo r e x am p l e , h e h a s so ld to c lie nts trees that

le av e s a leaf let in f ro nt o f p e o p l e ' s d o o r in a g iv e n n e i g h b o rh o o d .

he h as p l an te d in h is o w n b ac k y ard . A s an informal

H e h as p ai n te d o n his tru c k the w o rd s ' g ard e n i n g an d h au l i n g ' ,

earns e x tra m o n e y b y e n g ag i n g in th e se in f o rm al e c o n o m i c trans-

p lu s his te l e p h o n e n u m b e r. O n still o th e r o c c asio n s, h e p re p are s

ac tio ns. A l l the m o n e y h e m ak e s, h e s p e n d s o n re n t o r to b u y

p o ste rs w h i c h h e stap le s to te l e p h o n e p o l e s h o p i n g

w h ate v e r h e n e e d s f ro m th e f o rm al sec to r.

p o te n ti al

c lients w ill lo c ate h i m that w ay .

producer,

he

Th e i n f o rm al g ard e n e r also su b c o n trac ts to take c are o f o v er-

O v e r th e y e ars, the g ard e n e r h as d e v e l o p e d

m o re

c lients

f lo w o f w o rk . O n c e h e fills his w o rk sc h e d u l e f o r th e w e e k , h e

th ro u g h v ari o u s m e an s o f p u b lic ity , all lo c ate d sq u are l y in the

m ay take o n ad d itio n al c lients. H e b e c o m e s the n th e m an ag e r o f

i n f o rm al sec to r. Th u s, to th e f o rm al p u b l i c i ty o f the f o rm al se c to r

an itinerant

c o rre sp o n d s the i n f o rm al p u b lic ity o f th e i n f o rm al sec to r. O f

p e o p l e to d o extra jo b s . W h i l e h e c h arg e s $40 p e r m o n th fo r a

or informal

firm

in the se n se that h e hire s o n e o r m o re

c o u rse , th e f o rm al sec to r also u ses i n f o rm al p u b lic ity f o r its o w n

sm all y ard , h e p ay s o n l y $ 8 p e r h o u r to h is e m p l o y e e an d e x p e c ts

e n d s.

h i m to d o the jo b in n o m o re than tw o h o u rs, as s u m i n g that h e

So m e c lie n ts are reg u lar. T h e g ard e n e r w o r k s fo r th e m o n c e o r

sp e n d s o n e h o u r e v e ry o th e r w e e k o n th e jo b . A s an

informal

tw ic e a m o n th , o r they c all o n h i m tw o to three ti m e s a y ear.

manager,

O th e rs are o n a o ne- o f f b asi s; f o r e x am p l e , w h e n there is g rass to

the v e ry least, h e w i l l c h e c k o u t the resu lt b e f o re h e p ay s his

h e m ay su p e rv i se if h e is d o i n g an o th e r n e arb y y ard . A t

c u t o r h au l to the d u m p , h e is g iv e n an o p p o rtu n i ty to d o th e jo b .

i n f o rm al w o rke r. In this w a y h e m ai n tai n s c o ntro l o v e r th e o u t-

To sav e g as , the g ard e n e r o p e rate s o n th e b asis o f h is o w n su b -

p u t, m a k e s extra m o n e y , e nlarg e s b o th h i s c lientele a n d p ro f it an d

je c tiv e g e o g rap h i c al d i v i si o n s o f the city . Th i s is n o t f o rm al g e o -

p o ssib ly h is list o f e m p l o y e e s . So m e ti m e s th e y are n o t e m p l o y e d

g rap hy , b u t rath e r an informal

geography

that h e m ap s in h i s m i n d

to w o r k in d e p e n d e n tly , b u t o n ly as h e l p e rs. This d e c i si o n is m ad e

to c o rre s p o n d to his n e e d s an d w o rk sc h e d u l e . O n th e f o rm al

o n the k i n d o f w o r k to b e d o n e , th e av ailab ility o f th e

o b jec tiv e g e o g rap h y , h e i m p o s e s his o w n . H i s g e o g rap h i c al d iv i-

entrepreneur

informal

an d h is le v e l o f tru st in th e e m p l o y e e . T h e trans-

sio n s o r n e i g h b o rh o o d s c o rre sp o n d to w o rk p l ac e s f o r h i m . A ll

ac tio ns b e tw e e n the e n tre p re n e u r an d th e w o rk e r are p ai d in c ash

Be rke le y jo b s are d o n e in o n e d ay , th e San Le an d ro jo b s in

b ase d o n an informal

an o th e r d ay a n d the O ak l an d H ills jo b s o n y e t an o th e r d ay . Th e w o r k p l a c e is also a train in g g ro u n d f o r informal

verbal

contract.

W h i l e th e inf o rm al e n tre p re n e u r m a y g iv e an inf late d e stim ate

apprentices.

in te rm s o f the n u m b e r s o f h o u rs n e e d e d to c o m p l e te the jo b , the

So m e ti m e s th e g ard ener b rin g s a so n o r a h e l p e r to the jo b . H e g ets

e m p l o y e e c an n o t d o th e sam e to the e n tre p re n e u r si n c e the latter

training this w a y an d in th e p ro c e ss b u i l d s u p a c lie nte le o f his

h as m u c h e x p e ri e n c e b e h i n d h im . T h e e n tre p re n e u r c h arg e s a flat

o w n . A f te r a f e w m o n th s , th e ap p re ntic e m a y g o o n his o w n . H e

fee w h i l e h e p ay s h is e m p l o y e e o n an h o u rl y b asis. T h e in f o rm al

w h e n e v e r h e is u n ab l e

e n tre p re n e u r is n o w m a k i n g m o n e y in tw o d istinc t w a y s : in the

le ad s to the in f o rm al se c to r o f

w o rk h e d o e s an d the w o r k he hire s o the r p e o p l e to d o . This

m ay , h o w e v e r, retu rn to his informal to f ind w o rk . Th i s informal

training

teacher

56 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City e n tre p re n e u ri al p rac tic e is s o m e ti m e s c y c lic al. So m e ti m e s

the

The Informal

57

Economy

e x p e n se s p ai d fo r b y the f o rm al se c to r b e c au se the h o m e o w n e r

i n f o rm al d o e s n o t h av e e n o u g h w o r k to u n l o ad p art o f it o n to

w as i n su re d . H e re is a c ase o f the i n f o rm al taking ad v an tag e o f

s o m e o n e e l se ' s sh o u l d e rs.

the f o rm al sec to r, o r the f o rm al sec to r re sc u i n g s o m e o n e f ro m the

Th e w o r k e r h ire d b y th e i n f o rm al e n tre p re n e u r m a y b e si m p l y

inf o rm al.

a p e rso n in training , a s o n o r an ac q u ai n tan c e . W e f i n d illeg al

In the p ro c e ss o f d o i n g th e in f o rm al jo b in the i n f o rm al ec o n-

aliens h i ri n g o the r aliens o f th e s a m e e th n i c g ro u p to w o r k that

o m ic sec to r, the g ard e n e r/ h au l i e r also e n te rs the f o rm al m arke t.

w ay . H o w e v e r, it is also c o m m o n to f ind a p e rm an e n t re si d e n t o r

H e c h arg e s $20 fo r a d u m p , an d p art o f this m o n e y is u s e d to p ay

c itiz en e x p l o i ti n g alien l ab o r this w ay . W h i l e the p e r s o n is in

the d u m p site w h i c h is re g u l ate d b y th e f o rm al sec to r. Th e re is an

training h e m a y no t g et m u c h in te rm s o f c ash f ro m the e n tre p re -

i n te rm i n g l i n g he re b e tw e e n the i n f o rm al statu s o f h i s p rac tic e

neu r, b u t h e is g etting a s m al l w a g e a n d s o m e ti m e s f re e shelter.

and h is tran sac tio n s in th e f o rm al s y s te m . This is an in f o rm al

Th e se ap p re n ti c e s m a y d e v e l o p their o w n c lientele an d m o v e o u t

p rac tic e that o p e rate s si m u l tan e o u sl y in th e f o rm al a n d in f o rm al

o n their o w n . O th e r i n f o rm al s m a y b e h i re d ju st to h e l p w i th c er-

sec to rs.

tain k i n d s o f w o r k b u t d o n o t w i sh to b e c o m e e n g ag e d in g ard e n in g as a p e r m a n e n t w a y o f m a k i n g a liv ing . O th e rs are g ard e n e rs w h o sp e c ializ e in a sp ec if ic f o rm o f w o r k a n d d o n o t h a v e e n o u g h

I N FO R M A L M EC H A N I C S

c lients to k e e p th e m b u sy . W h e n e v e r th e y h av e s o m e f re e tim e , they m a y ag re e to w o r k f o r an o th e r g ard e n e r f o r less m o n e y than th e y w o u l d m a k e if it w a s their o w n c lient. Th e informal

itinerant

firm

The e n try o f in f o rm al m e c h an i c into th e p ro f e ssio n is ac h i e v e d in tw o m a jo r w a y s . M e c h a n i c a l re p ai r is l e arn e d e i th e r in the

f u n c tio n s like an y f o rm al f irm . Th e

i n f o r m a l s e c to r o r in th e f o rm al se c to r. W h e n th e sk i l l s are

e n tre p re n e u r is e x p e c te d to h av e skills that w ill allo w th e o p e ra-

ac q u i re d

tio n to b e su c c e ssf u l. H e is a m an ag e r, an ac c o u n tan t, a w o rk e r

th r o u g h p l a y i n g w i th c a r s o r f ro m a f a m i l y m e m b e r , f ri e n d o r

i n f o rm al l y ,

o f te n

th e

p erso n

l e arn s

by

him self

an d a d e c isio n - m ake r. So m e ti m e s a w i f e p l ay s the ro le o f sec re-

a c q u a i n ta n c e .

tary , g e ttin g m e ssag e s, w o r k i n g o u t sc h e d u l e s an d f ix ing p ric e s.

In o n e in stan c e , w e f o u n d an i n d i v i d u al w h o h ad l e arn e d these

A t tim e s s h e d o e s the w o r k o f m an ag e r a n d ac c o u n tan t as w e ll.

skills f ro m h is f ather a n d th e n f o u n d w o r k in the f o rm al sec to r. In

Th e h o m e b e c o m e s the n the h e ad q u arte rs o f the f irm , th e site

fact, the th re e A f ri c an - A m e ri c an m e c h an i c s w e i n te rv i e w e d all

w h e re ad m i n i strati v e ac tiv ities take p l ac e . Th is c o rro b o rate s an

w o rk in th e f o rm al sec to r. Fo r th e m their w o r k as a m e c h an i c is

earlier f i n d i n g b y Silv er ( 1989: 118) w h o n o te s that ' m a n y h av e

no t the b as i c so u rc e o f th e ir i n c o m e . It is su p p l e m e n tary , e x c e p t

jo b s that take th e m to a v arie ty o f w o rk p l ac e s , le av in g ad m i n i s -

w h e n th e y d o no t h av e a jo b in the f o rm al sec to r.

trativ e ac tiv ities to b e p e rf o rm e d in th e h o m e . ' O n e m u s t se e

Tw o o f th e se three l e arn e d their skills in the i n f o rm al sec to r

i n f o rm al g ard e n e rs as f i rm s c o m p e ti n g a m o n g th e m s e l v e s f o r

an d w e r e ab le to g et jo b s in the f o rm al sec to r as m e c h a n i c s in a

c lients an d f o r their h e g e m o n i c p rac tic e s in c o n tro llin g n e i g h -

g arag e . Th e i r f ather w a s a k i n d o f jac k o f all trad e s a n d th e y w e n t

b o rh o o d y ard s.

w ith h i m w h e n e v e r h e w a s aske d to re p air s o m e o n e ' s car. Th e

Th e in te rac tio n b e tw e e n th e f o rm al an d the i n f o rm al is c arrie d

p e o p le in th e n e i g h b o rh o o d k n e w that th e y f ixed c ars an d they

o u t at v ari o u s lev els. T w o e x am p l e s w ill su f f ic e h e re . T h e g ar-

d id the jo b either in their o w n d riv e w ay , th e c lient' s d ri v e w ay o r

d e n e r h u rts h i m se l f th ro u g h an ac c id e n t w h i l e w o rk i n g in s o m e -

w h e re v e r th e y c o u l d f in d a sp o t.

o n e ' s y ard . T h e h o m e o w n e r c alls his i n su ran c e c o m p an y , w h i c h

In o n e c ase , a c lient re p o rts that s h e d ro v e h e r c ar to the

p ay s $90 to a p h y sic ian f o r h is tre atm e n t as this kin d o f ac c i d e n t

m e c h an i c ' s h o u se , b r o u g h t the p arts a n d h e p ro v i d e d th e lab o u r.

is c o v e re d

the

H e d id n o t c h arg e an y th i n g b e c au se h e r b o y f ri e n d w o r k e d f o r the

ac c i d e n t

' ju n k y a r d ' an d c o u l d g e t p arts c h e ap e r f o r h im . T h e ju n k y ard is

by

the h o m e o w n e r ' s

i n su ran c e

p o lic y . H e r e

in f o rm al, w h i l e d o in g an i n f o rm al jo b , h as h ad his

58 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City f o r the i n f o rm al m e c h an i c w h at G ran d A u to , an au to p arts sto re, is fo r the f o rm al m e c h an i c , that is a p l ac e to ac q u ire p arts.

The Informal

59

Economy

rep lace a n e n g i n e c o sts b e tw e e n $175 a n d $225, to tu n e it u p c o sts $20. Th i s is e v id e n tly p o c k e t m o ne y , a n d n o tax is p a i d o n this

W o r k i n g f o r a g a r a g e , a n o th e r i n f o r m a l m e c h a n i c w i l l also

transac tio n as it is n o t re p o rte d to th e Inte rnal R e v e n u e Serv ic e.

d o w o r k o n th e si d e . A s a f o rm al e m p l o y e e in the g arag e h e

The m o n e y is also s o m e ti m e s u se d to p a y rent an d u tilities. This

d e p e n d s o n c o n d itio n s i m p o s e d b y th e b o s s . W h e n h e is at h o m e ,

m an e sti m ate s that w h e n h e is n o t e m p l o y e d in the f o rm al sec to r

h o w e v e r, h e w o rk s f o r h i m se l f . H e f ixes n e i g h b o rs ' c ars w ith

he m a k e s ap p ro x i m ate l y $200 p e r w e e k .

m i n o r tro u b l e s , al th o u g h o w n e r s w i th c ar s th at re q u i re ac c e ss to s p e c i al to o l s are re f e rre d to g a r a g e s in th e f o r m a l se c to r. So m e ti m e s h e rents sp e c i al to o ls f ro m

the f o rm al se c to r

or

b o rro w s th e m f ro m an o th e r in f o rm al. T h e ju n k y ard al so p lay s a sig nif ic ant ro le in the ac q u isitio n o f p arts. It is b asi c al l y informal

market

w h e re a m e c h an i c c an c o m e an d b u y

an

c h e ap l y

p arts that are still u sab le f ro m ju n k e d c ars. Th is is a re c y c l i n g p ro c ess w h e r e b y the se p arts are u se d to rev italiz e o the r c ars. In this e x am p l e , w e are ab le to id e n tif y n o t o n l y th e informal an d the informal the informal

garage

professional

(i.e. the p lac e w h e r e h e fixes c ars) b u t also

store o r the ju n k y ard . Th e i n f o rm al sto re f u n c ti o n s o n

u rb an l an d ru n b y an informal

shopkeeper.

C ar s that c an n o t b e f ixed

easily are d u m p e d there. Parts f ro m th e se c ars are so l d b y the s h o p k e e p e r f o r a n o m i n al f e e . father, to o k o v e r his f ath e r' s c lients w h e n the o ld m a n d i e d an d w o r k s as an

i n f o rm al m e c h an i c , h e p re f e rs to w o r k in the f o rm al se c to r as a m atte r o f taste an d reliab ility o f i n c o m e . W o rk i n g p art ti m e f o r a w are h o u s e in San L e an d ro three d ay s a w e e k , fo r the re m ai n i n g p art o f the w e e k he w o rk s in the i n f o rm al sec to r.

w ith w o r k an d n e w c lie nts. Th e o u tm i g rati o n o f c lients h as led to an e x te n si o n o f his w o r k to o the r n e i g h b o rh o o d s in O a k l a n d and n e arb y c itie s. H e is al so p art o f a n e tw o r k o f i n f o rm al m e c h an i c s. H e say s h e interac ts w i th f o u r o th e r m e c h an i c s, w h o ref er p e o p l e to h i m , help h i m w i th ad v ic e o r l e n d h i m to o ls. H e also b u y s p arts f ro m them . W h e n they h av e to o m u c h w o r k f o r a w e e k , th e y ask h i m to d o s o m e o f it. W h a te v e r m o n e y h e m a k e s , h e k e e p s , al th o u g h he d o e s n o t al w ay s re c e i v e c ash f o r h is labo r. So m e ti m e s it is

h o u se . So m e ti m e s h e b ri n g s the c ar to h is o w n h o u s e . H i s f ro nt y ard , o r th e y ard o r d r i v e w ay o f his c lient, is u se d as an

stu d e n t n e i g h b o r an d th e stu d e n t c u ts th e g rass in his y ard . Th e m e c h an i c al skills h e le arne d in the in f o rm al se c to r w e re v ery u se f u l in his se arc h f o r e m p l o y m e n t in the f o rm al sec to r. H e l an d e d a jo b as a c ar- ste re o installer in a p lac e that sp e c ializ e s in this k i n d o f w o rk, th o u g h he c o n ti n u e s to fix the c ars o f his n e i g h b o rs. W h e n h e w o r k s full ti m e in th e f o rm al sec to r, h e w o rk s as a m e c h an i c at th e w e e k e n d . H e is k n o w n in th e n e ig h -

A s an i n f o rm al m e c h an i c , h e w o rk s b asic ally at th e c lient' s

garage

fro m the n e i g h b o rh o o d a n d o u tly ing are as. H e rec alls th at f o rm e r c lients w h o h ad m o v e d to R i c h m o n d c o n ti n u e to p ro v i d e h i m

sim p ly p art o f an e x c h an g e o f se rv ic e s. H e fixes th e c ar o f a

A n o th e r i n f o rm al m e c h an i c , w h o l e arn e d his skills f ro m h is d e v e l o p e d h i s o w n c lientele. A l th o u g h h e n o w

C lie n te le c o m e m ai n l y b y w o rd o f m o u th . So m e ti m e s p e o p l e fo r w h o m h e h as w o r k e d se n d c lients to h i m c o m i n g b asic ally

informal

to fix th e car. So m e ti m e s h e e v e n d ri v e s the c ar to th e ju n k

y ard w h e r e h e c an try d if f erent p arts u n til h e f ind s s o m e th i n g that fits. T h e r e are tw o ju n k y ard s that h e g o e s to - o n e in W est O ak l an d a n d the o ther in H a y w a r d - a n d b u y s p arts th e re to sav e m o ney . H e c h arg e s his c lients o n th e b asis o f h is e stim ate o f l ab o r tim e an d the c o st o f w h ate v e r h e m a y b u y c h e ap l y f ro m th e ju n k y ard is p asse d o n . H o w e v e r, th e c lient m a y d e c i d e to p u r c h as e the p arts h i m se l f , w h i l e p ay i n g the m e c h an i c o n ly f o r lab o r. To

b o rh o o d an d p e o p le c o n stan tl y call o n h i m . Th e c o n trac t is m a d e o rally an d h e o n l y takes c ash. If th e re is a d i sag re e m e n t,

he

tries

to

g et

the

c lie n t' s

f am i l y

m em b ers

i n v o l v e d . If the p ro b l e m c an n o t b e s o l v e d at this le v e l, h e m a y leav e w i th the u n d e rs tan d i n g that h e w ill no t w o r k f o r this p artic u lar c lient ag ain. So m e ti m e s he take s a c lie nt' s c ar to a f o rm al g arag e so h e c an u se the sp e c i al to o ls th e re . Th e g arag e c h arg e s h i m $15, so e v e n the g arag e o w n e r in th e f o rm al se c to r is g etting s o m e m o n e y f ro m th e w o r k the i n f o rm al d o e s in the i n f o rm al sec to r. A p o rtio n o f th e f o rm al g arag e i n f o rm al

m e c h an i c

s p ac e is i n f o rm al i z e d

e stab lish e s

an

e n c l av e

at ti m e s as to

c arry

o ut

the his

60 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City i n f o rm al m e c h an i c ' s w o rk . Th is s h o w s th e elastic ity a n d th e b if u n c tio n ality o f f o rm al u r b a n sp ac e .

The Informal

Economy

61

W h e n h e started , h e h a d no t at that p o in t in ti m e ad v e rtise d h i m se l f as a p ainte r in th e n e i g h b o rh o o d , th o u g h h e f elt h e c o u ld

H e re ag ai n w e f ind the i n f o rm al se c to r is tied to the f o r m a l se c -

h an d l e th e jo b su c c essf u lly . The jo b laste d ab o u t th re e m o n th s

to r at v ari o u s lev els. T h e c lient f ro m th e f o rm al se c to r re q u e sts

an d p e o p l e in the n e i g h b o rh o o d g o t to k n o w h i m as a p ainter,

lab o r f ro m th e in f o rm al. M o n e y is take n f ro m c irc u latio n in the

askin g as th e y p asse d b y if they c o u l d b o rro w a b ru s h f ro m him ,

f o rm al s e c to r in e x c h a n g e f o r se rv i c e s in the i n f o r m a l ,

an d

a lad d er, o r sp are c an o f p aint. T h e y al re ad y re c o g n i z e d his d o g

m o n e y th at is m a d e in th e i n f o rm al se c to r is in v e ste d in th e b an k -

an d c ar b e c au s e h e h a d m o v e d to the n e i g h b o rh o o d f o u r m o n th s

in g s y s te m o f the f o rm al . Tran sac tio n s m a d e in the

earlier. H e b e c am e a p art o f the c o m m u n i ty , re c o g n i z e d n o t o nly

i n f o rm al

sec to r f o r l ab o r are c arrie d o u t in the g arag e sq u are ly l o c ate d in

as a re si d e n t in the n e i g h b o rh o o d b u t also as a w o rk e r ju st b y his

the f o rm al se c to r w h i l e p arts are ac q u i re d in the f o rm al se c to r to

p re se n c e a n d w as e v e n ask e d if h e c o u l d d o d if f erent kin d s o f

c o m p l e te

jo b s. H e n o tic e d , h o w e v e r, that th e re w as n o t a lo t o f m o n e y

w o rk

d o ne

in

the in f o rm al.

Skills l e arn e d

in

the

i n f o rm al se c to r are u s e d in th e f o rm al, an d skills l e arn e d in the

aro u n d a n d p e o p l e w e r e su rp rise d at th e am o u n t h e e x p e c te d p e r

f o rm al se c to r are u s e d in the i n f o rm al to e arn e x tra d o llars.

ho u r. H e h a d w o rk e d p re v io u sly f o r u p p e r- m i d d l e - c l ass h o m e -

Pe o p l e w h o h av e w o r k e d f u ll tim e in th e f o rm al se c to r f all b ac k

o w n e rs in M ari n c o u n ty a n d Be rke l e y b u t to e x p e c t th o se rates

o n i n f o rm al jo b s w h e n th e y b e c o m e u n e m p l o y e d .

n o w w o u l d h av e b e e n p ro f e ssio n al su i c i d e . H e n o te s that: O n c e I w a s in the are a w o rk i n g an d v isib le , then p e o p l e w o u l d

I N FO R M A L C A R P EN T ER S

c o m e to m e . Th e re are c ertain q u e sti o n s w h e n y o u are intere ste d in e m p l o y i n g s o m e b o d y y o u ask. Th e n y o u c o m e f ro m

In f o rm al c arp e n te rs te n d to w o rk in m o s t are as o f c o n stru c tio n .

d if f e re n t ang les. C a n y o u d o this w o r k ? D o y o u h a v e ti m e to d o

W ithin th e c o n stru c tio n ind u stry , s o m e are jac k s o f all trad e s. O n e

the w o r k ? H o w m u c h d o y o u c h arg e if I w e re to e m p l o y y o u ?

A n g l o - A m e r i c an i n f o rm al c arp e n te r w h o also w o rk e d as a c arp e t

M o s t o f th e p e o p l e in th e area ask h o w m u c h d o y o u c h arg e . A t

lay er to ld m e that h e h a d le arne d h is skills f ro m h is b ro th e r- in -

first, I d i d n o t g et w o r k f ro m the lo c als e x c e p t rai se d e y e b ro w s.

l aw in En g l a n d w h e n h e w a s 14 y e ars o l d , th o u g h h e h a d c o m e

H a v i n g liv ed an d m a d e f riend s aro u n d , I started d ro p p i n g m y

o v e r to A m e r i c a as a m u si c i an . W h e n h e re ac h e d the Sa n Fran -

p ri c e s n o t si m p l y in o rd e r to g e t w o rk , b u t also b e c au se I

c isc o Bay A re a, h e starte d b y d o in g p ai n ti n g jo b s, f o r e x a m p l e the

b asi c al l y w an t to w o r k w ith in this c o m m u n i ty .

interio r o f a b u i l d i n g that h o u s e d a v o l u n tary o rg an i z ati o n . O n e

I n e v e r ad v e rtise d in the n e w sp ap e r, o n elec tric p o sts, c h u rc h

o f the re as o n s that h e w a s o f f ered the jo b , an d o n e o f th e c o n -

b u l l e ti n b o ard s. I g et th e c lients b e c au s e the p e o p l e k n o w m e .

d itio ns o f th e c o ntrac t, w a s that h e e m p l o y e d

W o rd o f m o u th trav e ls. I su b c o n trac t an d w o r k w i th v ario u s

lo c al A f ric an -

A m e r i c an p e o p l e . H e c o m p l ai n e d : 'It w a s n o t v e ry su c c e ssf u l f o r

p e o p l e w h o h av e e x tra w o rk ( c o n stru c tio n c o m p an i e s an d b o th

m e b e c au s e I d id n o t k n o w an y b l ac k p e o p l e . Th e re are a lo t o f

f o rm al an d i n f o rm al p ro f e ssio n als) . T h e y c all m e u p . I d o n ' t

b l ac k f o lks w h o c o m e ar o u n d here. T h e y c o n stan tly p as s b y an d

h av e a lic enc e. T h e f o rm al p ro f e ssio n al h as a lic e n c e an d hires

let it b e k n o w n that th e y are lo o kin g f o r w o rk . Fo r th e te n b l ac k s I

m e as an u n l i c e n se d p e rso n . H e su p e rv i se s m y w o r k if I a m

h ire d , th e w o r k d o n e w a s n o t v e ry e n c o u rag i n g . T h at' s a s y m p -

w ith h i m o r I d o it al o n e . C o n trac to rs d o n o t tell y o u h o w m u c h

to m o f the are a.'

th e y are g etting f o r th e jo b . Th e y s i m p l y o ffer y o u a fixed p e r

H o w d i d h e g et h is c lie n ts? H e w as f irst h i re d b y a f o r m al c o ntrac to r w h o h ad m e t h i m at an informal d in n e r th at th e informal the f o l l o w i n g w e e k .

contract

dinner

h o u r f e e an d th e y tell y o u h o w l u c k y y o u are.

party. It w a s at that

w as stru c k an d c o n c l u d e d d u ri n g

T h e c o n trac t is stru c k b y w o rd o f m o u th . A g o o d c lie n t w ill tell f rie n d s ab o u t the i n f o rm al p ro f e ssio n al an d this k i n d o f

informal

The Informal

62 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

63

Economy

h e l p s e n larg e the c lientele o f th e in f o rm al. T h e p ro d u c t

So m e ti m e s an i n f o rm al is u se d to re sc u e a f o rm al o p eratio n, f o r

itself is a f o rm o f ad v e rti se m e n t. Th e n e i g h b o r o r f rie n d w h o sees

e x a m p l e a jo b fo r w h i c h a c o ntrac to r h as b e e n p ai d b u t h as left

publicity

g o o d w o r k m a y w an t to h i re the i n f o rm al p ro f e ssio n al w h o d id it.

u n f i n i sh e d an d n o t w e l l d o n e . A n i n f o rm al m ay b e h ire d to c o m -

Lan d l o rd s m a y let th e su p e ri n te n d e n t o f a b u i l d i n g d o ro u tine

p lete th e jo b , c o stin g the o w n e r less th an if it w e r e to b e c o m -

m ai n te n an c e w o rk. If the su p e ri n te n d e n t c an n o t d o it p erso nally ,

p l e te d b y the f o rm al c o ntrac to r. T h e inf o rm al m a y h av e m o re

h e m a y h i re an i n f o rm al th ro u g h his n e tw o rk . Re n tal p ro p e rty

skills a n d b e m o re re liab le than th e c arp e n te r f ro m the f o rm al

w ith a re sid e nt su p e ri n te n d e n t is o n e area w h e re

p lum bing ,

m aso n ry , c arp e n try an d elec tric w o rk is o f ten d o n e b y i n f o rm al s. Fo rm al i ty is also i n te rtw i n e d w ith in f o rm ality in th e p u rc h ase o f m ate ri al s. Th e f o rm it m a y take d e p e n d s o n w h at th e o w n e r

sec to r b u t has to w o r k in this w a y b e c au s e he h ap p e n s to b e an u n d o c u m e n te d i m m i g ran t. T h e informal

network

is the k e y to u n d e rstan d i n g the rec ru it-

m e n t p ro c e ss, the f i n d i n g o f o c c asi o n al jo b s an d th e sharing o f

k n o w s ab o u t the jo b a n d o n the c re d e n tials o f the i n f o rm al . So m e

k n o w l e d g e am o n g p e e rs. Re c ru i tm e n t is o f ten p r o m o te d b y w ay

c lients p re f e r to g iv e m o n e y to the i n f o rm al so h e c an b u y the

o f f ri e n d sh i p an d ap p re n tic e sh ip . In f o rm al s p ro v i d e jo b s to o ther

m ate ri al , s o m e m a y d e c i d e to a c c o m p a n y the i n f o rm al to the

i n f o rm al s w h e n th e y h a v e to o m u c h w o r k to c o m p l e te in a g iv e n

sto re, o r m a y later re v i e w the rec eip ts. Le f to v e r m ate ri al f ro m

w e e k , p assin g jo b s to s o m e o n e else in their n e tw o rk . A t o ther

an o th e r jo b c an also b e u se d . In this c ase , the w o rk e r m a y m ak e

ti m e s, a generalist

the c lient p a y f o r the m ate ri al h e b ri n g s to the site. So m e ti m e s the

elec tric ian. The i n f o rm al also g iv e s jo b s to f o rm als. H e m a y c all

informal

m ay c all o n a specialist

like an

informal,

i n f o rm al g o e s to a w are h o u s e in Em e ry v i l l e o r Be rk e l e y to sc av -

o n a sp ec ialist in th e f o rm al sec to r to d o a jo b , to o v e rse e the

e n g e f o r g o o d p iec es o f w o o d , in this w a y l o w e ri n g th e c o st o f

e x e c u ti o n o f a jo b o r to insp ec t the jo b o nc e it is d o n e . The re are

o v e rh e ad th at the w ar e h o u s e o w n e r w o u l d h av e to p ay f o r w aste

also p ro f e ssio n als w h o are aw are o f th e existenc e o f the

re m o v al . T h e i n f o rm al m a y f ind that c o m p an i e s

network

tran sp o rti n g

informal

an d w h o m a y c all o n i n f o rm al s fo r sm all jo b s , hire th e m

g lass are also g o o d f o r sc av e n g in g . T h e s e c o m p an i e s th ro w o u t

f o r sp e c if ic jo b s in o rd e r to lo w e r o v e rh e ad c o sts, o r si m p l y d irec t

the w o o d in their d u m p s te rs an d are g l ad to see p e o p l e taking it

th e m to c lients. T h e w o r k o f the i n f o rm al c arp e n te r is n o t c arrie d o u t ex c lu s-

aw ay . Su c h le f to v e r m ate ri al is also a so u rc e o f i n c o m e f o r th e inf o r-

iv ely in an y sp ec if ic n e i g h b o rh o o d . Rath e r this ty p e o f in f o rm al is

m al as h e c an sell it to th e c lient f o r w h o m h e is w o r k i n g . H o w -

h ire d b o th insid e a n d o u tsid e the n e i g h b o rh o o d . M o re o v e r, there i n f o rm al s o n e m u s t d istin g u ish f ro m

ev er, th e w o o d is s e l d o m re ad y to b e tran sp o rte d to the w o r k site

are lower-class

an d n ails o f te n h av e to b e re m o v e d . M o re o v e r, the i n f o rm al m u s t

i n f o rm al s. M a n y d o n o t o w n a tru c k, a c ar o r e v e n th e to o ls they

inv e st ti m e in transp o rt.

n e e d , b u t are hired b y m id d le - c lass in f o rm als as h e l p e rs. H e n c e a

Th e am b i g u i ty o f the so c ial statu s o f the i n f o rm al is c lear to

stratification

system

middle-class

is b u ilt into the i n f o rm al sec to r itself.

b o th th e f o rm al c lient an d the i n f o rm al p ro f e ssio nal. T h e f o rm e r h as little p ro f e ssio n al re sp e c t fo r the latter, an d fo r the latter, there ST R EET V EN D O R S

is a g re at risk o f n o t g e ttin g p aid . W h e n this h a p p e n s , f o rm al w a y s o f re d re ss c an n o t b e u se d b e c au s e the ac tiv ity m a y

be

c o n si d e re d illeg al b y th e f o rm al secto r. T h e inf o rm al f i n d s h im se lf

T h r o u g h o u t the San Fran c i sc o - O ak l an d M e tro p o l i tan A re a w e

in a si m i l ar d i l e m m a w h e n he hires an o th e r i n f o rm al f o r h e lp . If

f ind m a n y street v e n d o rs selling o n e f o rm o f p ro d u c t o r ano ther.

this i n f o rm al d o e s n o t d o a g o o d jo b o r steals to o ls, th e re is n o

So m e ti m e s they stan d in a sp ec if ic p lac e like a street c o rner.

w a y this p ro b l e m c an b e so lv e d th ro u g h the c o u rts. In this

O th e rs are itinerant, c h an g i n g lo c atio n s d e p e n d i n g o n the tim e o f

situ atio n th e c h an n e l s o f the informal u se d .

judicial

system

h a v e to b e

d ay o r the d ay o f th e w e e k , o r s i m p l y c an v assi n g f ro m d o o r to d o o r.

In

the

p re v i o u s

sec tio ns,

we

e m p h as i z e d

inf o rm al

64 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City p ro f e ssi o n al s

w ho

sell

their se rv ic e s

an d

i n f o rm al

ac tiv ities

c lo se ly l i n k e d to the f o r m a l secto r. It is al so i m p o rtan t to an al y z e the i n te rp l ay b e tw e e n f o rm ality an d in f o rm ality a m o n g

street

an d o p e n - ai r v e n d o rs.

The Informal

65

Economy

tu re c o r r e s p o n d s a n i n f o rm al c o m m u n i c a t i o n s y s t e m

w i th i n

th is e th n i c m i n o r i ty c u l tu re . Fo o d

v end ing

al so

sho w s h o w

th e in f o rm al re g u late s

the

f o rm al . M a n y p e o p l e b u y their l u n c h e s f ro m v e n d o rs . This p u ts

U n l i c e n s e d street v e n d o rs are less v isib le in the A m e r i c a n c ity

p re ssu re s o n lo c al re stau ran ts to l o w e r p ric es. In s o m e instanc e s,

than th e y are in the third w o r l d b e c au s e th e y are m o re like ly to b e

the v e n d o r o c c u p i e s a sp ec if ic n i c h e selling an e x o ti c o r e thnic

p e n al i z e d b y the state (Tinker, 1987) . In th e San Fran c i s c o Bay

m i n o ri ty f o o d . A t o th e r tim es, h e c o m p e te s d ire c tly w ith th e

A re a, stre e t v e n d o rs sell a v ariety o f i te m s f ro m h a n d m a d e g ift

f o rm al re stau rant b y se lling the s a m e i te m s c he ap e r.

m ate rials to c o o k e d f o o d . Th e i r i n f o rm al a n d itinerant b u si n e sse s attrac t c l i e n ts f ro m e v e ry sp e c tru m o f the lo c al p o p u l ati o n , as w e l l as f u rth e r af ield .

In th e m a i n s t r e a m c o m m u n i t y d o o r - to - d o o r c a n v a s s i n g c arri e d

o ut by

sc ho o l- ag e

y o u n g s te r s

selling

c and ie s,

is fo r

e x a m p l e . In the O a k l a n d C a m b o d i a n c o m m u n i ty , it is c arri e d

Th e s e g if t m aterials are m a d e in h o m e s h o p s an d s w e ats h o p s

o ut by

w o men

w ho

se ll m o s tl y je w e l ry . Iti n e r an t

re taile rs

f o r the stre e t o p e ratio n . N o t all h o m e s h o p s are b a c k w a r d - o r

d ev elo p

f o rw ard - l i n k e d to a f o rm al f irm . So m e f o l l o w the i n f o rm al ro u te

w e e k e n d s th e y v i s i t th e h o m e s o f c o m p a tr i o ts to se ll th e i r

an d sell in informal

street

markets.

a n e t w o r k o f c lie n ts, a n d

in the e v e n i n g s an d

on

p r o d u c e to p r o s p e c ti v e b u y e r s . So m e t i m e s th e s e p r o d u c ts are

It is in te re stin g to n o te that n o e th n i c g ro u p h as an y m o n o p o l y o v e r this f o rm o f trad e . A n g l o s, A si an s,

h a n d m a d e , s o m e t i m e s n o t.

A f ri c an - A m e ri c an s ,

Fl e a m ark e ts an d g arag e sales are o th e r ty p es o f i n f o rm al e c o n -

N ati v e A m e r i c a n s a n d L ati n o s e q u al l y p arti c i p ate in it b o th as

o m i c ac tiv ities c ity re sid e n ts e n g ag e in. Bo th se rv e as a p lac e f o r

b u y e r s a n d v e n d o r s . L a ti n o stre e t v e n d o r s c an b e s e e n se l l i n g

the re c y c lin g o f still u sab l e b u t u n n e e d e d

T- sh irts

m ark e t, w e find b o th lic e nse d an d u n l i c e n se d v e n d o rs , h o m e an d

and

s w e ats h i rts

to

to u ri s ts

at U n i o n

Sq u a r e

and

i te m s. In the flea

Fi s h e r m a n ' s W h a r f in Sa n Fran c i s c o . In a s tu d y o f th e M e x i -

f ac to ry - m ad e

c an - A m e ric an c o m m u n i ty

H o w e v e r , ac c o rd i n g to Lo z an o ( 1983: 351) , ' b e c au s e they

in East L o s A n g e l e s , it h a s

been

i te m s, a n d n e w

and

s e c o n d h an d

m e rc h an d i se . are

f o u n d th at stre e t v e n d i n g is a w i d e s p r e a d i n f o r m a l e c o n o m i c

m o re like ly to start o u t selling their o w n p o sse ssi o n s an d o the r

( f lie s) ,

u s e d g o o d s , they m o r e o f ten b e c o m e sp e c ializ e d as ju n k d e ale rs' .

ac tiv ity . A m o n g th e m o s t c o m m o n ty p e s are los moscos

d ay l a b o r e r s w h o s ta n d in a sp e c if ic are a w ai ti n g to se l l th e ir

Sh e h as f u rther f o u n d that ' p e rso n al b e l o n g i n g s m a y b e p u t u p

l ab o r to a n i n f o r m a l e m p l o y e r, a n d th e mariachis

( M e x ic an

f o r sale an d an i te m that is d i sp l ay e d f o r sale m a y b e u se d at

m u s i c i a n s ) w h o s h o w u p w i th th e i r m u s i c a l i n s tr u m e n ts an d

h o m e d u ri n g the w e e k ' ( Lo z an o , 1983: 352) . Fl e a m ark e ts an d

w ai t o n a sp e c i f i c stre e t c o rn e r to b e h i r e d f o r a p a r t y o r b y a

street v e n d i n g are s e c o n d ary m ark e ts that attrac t p e o p l e in se arc h

b ar, as w e l l as th e ' c arri e rs ' , the ' a s p h a l t v e n d o r s ' , th e ' p u s h -

o f b arg ai n s . Th e y s e rv e as an e x te n si o n to f o rm al sto re s o r f o rm al

c art v e n d o r s ' , the ' te n t v e n d o r s ' , th e ' w e e k e n d v e n d o r s ' , the

se c to r f i rm s. Th e latte r f e e d th e m w i th their u n s o l d m e rc h an d i s e

' au to v e n d o r s ' a n d th e ' R o a c h C o a c h e s ' ( larg e f o o d

an d

tru c k s)

( Ro jas, 1 9 9 1 : 5 2 - 4 ) . T h i s e l ab o rate c l assi f i c ati o n w a s d e v e l o p e d to s h o w th e d i s tri b u ti o n a n d s p e c i al i z ati o n o f M e x i c a n - A m e r i c an stre e t v e n d o r s in Ea s t Lo s A n g e l e s . R o jas ( 1991: 5 2 - 4 ) f u rth e r

arg u e s

that

th e s e

s p e c i al i z ati o n s ,

w hich

m ay

n o ti c e d b y th e l arg e r p u b l i c , c o n s ti tu te a c i rc u i t o f

no t

be

inf o rm al

c o m m u n i c a t i o n b e t w e e n th e v e n d o r s a n d p r o s p e c ti v e L ati n o b u y e r s . To th e i n f o rm al c o m m u n i c a t i o n in th e m a i n s t r e a m c u l -

th e y

p ro v i d e

in

retu rn an

o u tle t fo r th e se

hard - to - se ll

p ro d u c ts . W h i l e the flea m a r k e t is a w e e k e n d ev ent, the g arag e sale is m o r e like ly to b e a se aso n al o r an n u al affair. Bo th allo w

the

v e n d o r an o p p o rtu n i ty to m ak e e x tra d o llars. T h e s e ac tiv ities take i te m s p u rc h as e d in the f o rm al se c to r an d resell th e m in the i n f o rm al secto r. Th i s m o n e y is ag ai n u s e d fo r tran sac ti o n s in the f o rm al sec to r.

The Informal City 66 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

V ISIBL E FIR M S A N D IN V ISIBLE L A BO R ER S In the p re v i o u s se c tio ns, th e e m p h as i s h as b e e n

p l ac e d

on

The Informal

Economy

67

d re d s o f g arm e n t i n d u stry s w e ats h o p s f ro m w h i c h , it h as b e e n e s ti m ate d , al m o st h al f th e e m p l o y e e s take w o r k h o m e to e v ad e u n i o n ru les. (Silv er, 1989: 111)

i n f o rm al i ty in the i n f o rm al secto r. W e n o w tu rn o u r atte n ti o n to i n f o rm al i ty w i th i n the f o rm al secto r. It is o u r v i e w that th e f o rm al

In h e r researc h o n th e in f o rm al e c o n o m y in the San Fran c isc o

by

Bay A re a, Lo z an o ( 1989: 5) has f o u n d that ' these in d iv id u als are

al l o w i n g th e i n f o rm al e c o n o m y to f lo u rish in its inte rstic e s o r b y

n o t d ri v e n b y p o v e rty a n d u n e m p l o y m e n t, b u t rath e r b y tensio ns

sec to r

f u n c ti o n s

also

on

th e b asis

of

inf o rm ality ,

e i th e r

e x te n d i n g its f o rm al p rac ti c e s w ithin o r w i th o u t th e g e o g rap h i c al

o n th e s h o p an d o f f ic e f lo o r.' Th is is a k i n d o f re b u ttal o f th e g e n-

b o u n d ari e s o f the f irm .

e raliz atio n that o n e f i n d s in m o st o f th e literatu re o n th e inf o rm al

In San Fran c isc o , w e f in d sev eral A s i an - A m e ri c an s h o p s that sp e c ializ e

in

the

rep air

of

telev isio ns

an d

o th e r

e c o n o m y am o n g th e p o o r in the third w o rl d . Fo r e x am p l e :

e le c tro n ic

p ro d u c ts. T h e s e f u nc tio n as f ro nt b u si n e sse s so that b o th f o rm al

Ba n k m an ag e rs w h o s e tec hnic al d o c u m e n tati o n req u ires c o n-

an d leg al p ro c e d u re s are c arrie d o ut in th e o p e n an d in th e sh o p .

stan t m ai n te n an c e

H o w e v e r, th e w o rk is ac tu ally d o n e b y i n f o rm al s in th e ir res-

f o r m e r e m p l o y e e s , n o w ' f re e l an c i n g ' as te c hnic al w rite rs in

arran g e f o r m an u al s to b e u p d ate d

by

id enc es insid e o r o u tsid e the city , and o n c e the w o r k is c o m p l e te d ,

th e ir liv ing ro o m s . T h e jo b that p ro v e s to o d e m an d i n g to c o m -

the p ro d u c t is re tu rne d to th e fro nt b u s i n e s s . Th i s is w h y w e c all

p l e te w i th o u t h i ri n g e x tra e m p l o y e e s is c he e rf u lly ac c e p te d b y

su b -

the o w n e r o f the se c re tarial ag enc y , a n d then se n t o u t to o n e o f

c o n trac te d w o r k in the s h a d o w o f the f o rm al se c to r o f th e e c o n -

h e r f ri e n d s w h o h as a w o rd p ro c e sso r at h o m e . Ev e n c o m p an i e s

these

l ab o re rs

' in v isib le ' b e c au s e

th e y

c arry

o u t th e ir

o m y . T h e f ro nt b u si n e ss c o u l d p ro b ab l y n o t su rv i v e

w i th o u t

that p ro v i d e so p h i sti c ate d se rv ic e s s u c h as c o m p u te r p ro g ram m i n g an d so f tw are d e v e l o p m e n t k e e p at h an d in the Ro l o d e x a

th e m . W e also f in d f ro n t- d o o r b u si n e sse s th at se rv e to c o v e r u p b ac k d o o r b u si n e sse s. A d i n i n g p l ac e w ill s o m e ti m e s se rv e b o th as a f o rm ally ap p r o v e d re stau ran t an d as a v e n u e f o r th e n u m b e r s

listing o f ' c o n su l tan ts' , c le v e r h ac k e rs w h o c an b e d e p e n d e d u p o n to g et the p r o g r a m w ritten, e v e n if it m e a n s stay in g u p f o r d a y s at their h o m e te rm inal ( Lo z an o 1989: 5) .

g am e w h e r e p lay e rs c o m e to p u rc h ase th e ir n u m b e r s a n d re c e iv e their w i n n i n g s . Th e e x i ste n c e o f the lo tte ry attrac ts c lie n ts to the re stau rant, a n d the m o n e y m a d e in th e rac ke t b u s i n e s s is u s e d to h e l p p a y f o r th e re stau rant o p e ratio n. W e also f ind f irm s in w h i c h s o m e p ro d u c ti o n is c arri e d o n in s w e ats h o p s . Th e s e are h o m e ind u strie s m a k i n g g arm e n ts o r fixing c lo th in g . Su c h s w e ats h o p f irm s are h i re d b y f o rm al f i rm s sp e -

So m e ti m e s , the se o p e rati o n s are o ne - o f f af f airs, s o m e ti m e s th e y are m o re p e rm an e n t. C o m p u te r w o r k o r te le v isio n rep airs c arrie d o u t in a s w e ats h o p f ashio n m a k e u p a f lo u rish in g i n d u stry in th e San Fran c i s c o Bay A re a. T h e h ig h - te c h i n d u stry h as h e l p e d i n f o rm al e c o n o m i c p rac tic e s m u s h r o o m in the f o rm al eco no my .

c ific ally to p ro v i d e the se k i n d s o f se rv ic e s w h i c h are p r o v i d e d b y p e o p l e f ro m d iv e rse e th n ic an d c lass b ac k g r o u n d s . Silv e r ( 1989) , w ho

h as

an al y z e d

the

US

c e n su s,

f ind s

a

lin k

b e tw e e n

V ISIBLE L A BO R ER S A N D IN V ISIBLE FIR M S

su b c o n trac ti n g c h ain s an d th e g ro w th in illeg al h o m e w o r k . Sh e f u rthe r n o te s that: T h o u s an d s o f H i sp an i c a n d A si an h o m e w o r k e r s stu f f c irc u it b o ard s in Silic o n V alley an d are p ai d o ff th e b o o k s . Su b c o n trac to rs in San Fran c i sc o ' s C h i n a to w n h a v e set u p

hun-

Th e f o r m a l f irm is al so a p lac e w h e re i n f o rm al w o r k is c arried o u t that is not f o r the b e n e f i t o f the f irm . Th e f o rm al o p e ratio n is e x p l o i te d b y w o rke rs f o r their o w n b enef it to au g m e n t their i n c o m e s . Th is k i n d o f w o r k u se s tw o d if f erent asse ts f ro m the f o rm al f irm .

68 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City Th e first f o rm this p rac tic e takes is d o i n g w o r k in th e i n f o rm al sec to r at th e p l ac e o f e m p l o y m e n t. T h e p ai d ti m e that is s u p p o s e d

The Informal

69

Economy

u c ts c o m e f ro m the f o rm al sec to r an d o the rs f ro m the inf o rm al. Bo th o f th e m c an b e so l d sid e b y sid e in the f o rm al s h o p .

to b e f o r c arry i n g o u t th e f irm ' s w o r k is u s e d to d o w o r k o n the

Th e c lient w h o b u y s p ro d u c ts f ro m a sto re is n o t likely to b e ab le

sid e. W e f in d in d iv id u als w h o are e m p l o y e d i n a f o rm al f irm

to d isting u ish their o rig ins so w e f ind that inf o rm als w h o are

b ri n g i n g to the o ffice th e ir o w n e d i ti n g an d tran sl ati o n w o rk .

u n ab le to h av e their o w n sho p s f o r v ario u s re aso ns p lac e their

Th e se i n f o rm al jo b s are c arri e d o u t o n p ai d ti m e .

in f o rm al m e rc h an d ise in f o rm al sh o p s. W e h av e e n c o u n te re d this

A se c o n d w ay w o rke rs u s e the f irm ' s assets is b y u si n g its to o ls.

p rac tic e in San Fran c isc o ' s C h i n ato w n . Th e inf o rm al p ro d u c e r lets

This is c learly the situ atio n o f a sec retary w h o u se s c o m p a n y p ap er,

the s h o p o w n e r sell the ite m s, and share s w ith h i m o r h e r the p ro fit,

ty p ew riter, d e sk an d sp ac e to ty p e a c lient' s d issertatio n. In this

an arran g e m e n t o f ten m a d e b e tw e e n f am ily m e m b e rs an d friend s.

e x am p le , sh e f u nc tio ns in b o th the f o rm al an d i n f o rm al sec to r at

Th e f o rm al sho p thu s p ro v id e s a n ic h e so that p ro d u c ts f ro m the

the w o r k site. Th e o f f ic e p ro v id e s h e r a c h an c e to e n g a g e in the

in f o rm al sec to r c an b e so l d in the o p e n f o rm al- sec to r m arke t.

inf o rm al e c o n o m y . W h i l e the lab o rers are v isib le, the in f o rm al f irm s fo r w h i c h this w o r k is c arried o u t o n the sid e are n o t. C u ff, w h o h as c arried o u t field re se arc h in San Fran c isc o an d

T H E R EG U L A T O R Y C A P A C IT Y O F T H E I N FO R M A L SEC T O R

e lse w he re in the natio n, h as f o u n d in f o rm al e c o n o m i c p rac tic e s to b e ram p an t in arc hitec tu ral firm s. O n e area that h as p artic u larly

Th e v e ry e x iste nc e o f th e in f o rm al se c to r p o ints to a series o f

c au g h t h e r interest is that o f m o o n lig h tin g . H e re w e f ind that arc hi-

re g u l ato ry c o n s e q u e n c e s vis-d-vis

tects w h o are hired to d o w o rk fo r th e f o rm al se c to r are also

e asy to e n te r the i n f o rm al secto r, it c an e x p an d , re c ru iting p e o p l e

the f o rm al secto r. Be c au se it is

e n g ag e d in in f o rm al e c o n o m i c p rac tic es, u si n g their af f iliatio n w ith

f ro m b o th the f o rm al a n d in f o rm al se c to rs. Fo r e x am p l e , p ro -

the f o rm al f irm to estab lish leg itim ac y a n d the f o rm al w o r k site to

d u c e rs m a y c o m e f ro m th e i n f o rm al se c to r w h i l e b u y e rs c o m e

c o m p le te w o r k c o ntrac ted in the in f o rm al arena. Sh e n o te s that:

f ro m th e f o rm al se c to r o r v ic e v e rsa. A n o v e rf lo w o f ac tiv ities in the i n f o rm al sec to r c an le ad to an e x p an s i o n o f the f o rm al sec to r

Yo u ng , re c e n tly g rad u ate d arc h i te c t- e m p l o y e e s se arc h f o r an d

sinc e ' i n f o rm al i sts' w h o h av e ac c u m u l ate d e n o u g h m o n e y an d

ac c e p t m o o n l i g h ti n g jo b s - i n d e p e n d e n t d e si g n p ro je c ts c o m -

skills c an o p t to f u n c ti o n in b o th th e f o rm al an d i n f o rm al sec to rs.

p le te d o u tsi d e the o f f ic e - n o t o n ly to m a k e e x tra m o n e y b u t

T h e y c an also sw itc h alto g e the r to the f o rm al se c to r. O n e reaso n

also to b e ab le to m a k e their o w n d e c i si o n s.

M o o n l i g h ti n g

w h y p e o p l e d o n o t e n te r the f o rm al e c o n o m i c se c to r as entrep re-

ke e p s ' b u s i n e s s ' at th e o f f ic e an d p ro v i d e s an o u tle t f o r d e sig n .

n e u rs is b e c au se th e y d o n o t h av e e n o u g h c ap ital. In this m i x e d

5

So m e ti m e s it is a f o rm o f e c o n o m i c s ab o tag e , as w h e n arc hitec t-

arran g e m e n t, the i n f o rm al sec to r e x p an d s the d o m ai n o f the

e m p l o y e e s ac c e p t jo b s f ro m the s a m e m a r k e t that th e ir o ffice

f o rm al se c to r b y p ro v i d i n g su f f ic ient c ap ital to al l o w inf o rm als to

g o e s af ter. Th e y are th e n in e sse n c e c o m p e ti n g f o r w o r k w ith

e n te r a n d

their o w n e m p l o y e rs . Fi rm s c an also b e h e l d liab le f o r p ro b -

m ai n tai n f o rm al se c to r ac tiv ities b y d e c re asin g o v e rh e ad c o sts.

l e m s th at o c c u r in their e m p l o y e e s ' o u tsi d e p ro je c ts. Fo r these re aso n s m o o n l i g h ti n g is d o n e c land e stine ly . ( C u f f , 1991: 51) .

e n larg e

th e

f o rm al se c to r p o p u latio n ,

h e lp in g

T h e i n f o rm al se c to r m a y also h e l p inc rease h o u s e h o l d

to

co n-

s u m p ti o n in the f o rm al sec to r. A ll th e n e w p ro d u c ts c re ate d f ind a m ark e t o r b u y e rs in th e f o rm al sec to r. In c re ase d

ho u seho ld

i n c o m e is u se d n o t o n l y to b u y p ro d u c ts f ro m the f o rm al sec to r, F O R M A L BU SIN ESS A N D I N FO R M A L M ER C H A N D I SE

b u t al so f ro m the i n f o rm al secto r. H o w e v e r, the i n f o rm al sec to r

In the p ro d u c ts that are so l d , w e f ind y e t an o th e r f o rm o f th e m i x -

f o rm al sec to r. It thu s h a s the c ap ac ity o f either re d u c i n g o r enlarg -

tu re o f f o rm al i ty an d i n f o rm al i ty in th e f o rm al f irm . So m e p ro d -

ing th e c o n te n t o f h o u s e h o l d c o n s u m p ti o n in the f o rm al secto r.

s o m e ti m e s re d u c e s th e av ailab ility o f c ertain p ro d u c ts to th e

70

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Informal City The

772e

Informal

71

Economy

Sin c e th e g o o d s p r o d u c e d in the i n f o rm al sec to r are n o t f o r the

Th e i n f o rm al sec to r m a y b e the first to p ro v id e a so l u ti o n to a

e x c lu siv e u s e o f the i n f o rm al sec to r b u t are also f o r th e f o rm al

need felt in the c o m m u n i ty . Street f o o d v e n d i n g is a c as e in p o int.

secto r, this b rin g s a n e w re g u lato ry e l e m e n t into the p i c tu re , that

The f o rm al sec to r th e n c o m e s alo ng an d either rejec ts o r ac c ep ts

o f c o m p e ti ti o n . Th is c o m p e ti ti o n af f ec ts the f o rm al s y s te m in

the so lu tio n an d in te g rate s it into the f o rm al secto r. T h e inf o rm al

d if f erent w a y s an d at d if f e re nt lev els.

secto r th u s f o rc es the f o rm al sec to r to se t g u id elines a n d p o lic ies

O n e m an i f e stati o n o f c o m p e ti ti o n ari se s in te rm s o f th e g o o d s b e i n g c irc u late d in the m a r k e t w h i c h m a y b e d if f erent f ro m tho se av ailab le in the f o rm al se c to r o r the s a m e ty p e s o f g o o d s b u t c he ap e r. In either c ase , it d issu ad e s b u y e rs f ro m the f o rm al sec to r an d c o n s e q u e n tl y d e c re ase s the le v e l o f p ro fit th at c o u l d

be

e arn e d b y th e f o rm al sec to r.

c o n c e rn i n g street v e n d i n g , an d to e x p a n d its c o ntro l o f th e u rb an e c o no m y . Th e i n f o rm al se c to r also c o n trib u te s to the m ai n te n an c e

of

ethnic e n c l av e s b e c au s e it p ro d u c e s the e th n ic g o o d s c o n s u m e d in that e n c l av e . If it w e r e n o t fo r the se e th n ic g o o d s, th o s e in the ethnic e n c l av e w o u l d b e c o m e f u ll- tim e c o n s u m e rs in th e f o rm al

To the e x te n t that the i n f o rm al se c to r c an m ak e the s a m e kin d s

secto r.

o f g o o d s av ailab le to b u y e rs , the f o rm al sec to r is p u t u n d e r p re ssu re to ad ju st its p ric e s. If the f o rm al sec to r d e c i d e s to ig no re the i n f o rm al sec to r, the latter w ill c o n ti n u e to attrac t b u y e r s w h o

T H E I N FO R M A L E C O N O M Y O F T H E I N FO R M A L C IT Y

o th e rw i se w o u l d h a v e s tay e d w ithin th e f o rm al sec to r. M o re o v e r, w ith the e x i ste n c e o f an i n f o rm al sec to r, th e f o rm al sec to r m u s t c o m p e te f o r c lients, an d c o u l d lo se th e m to

the

i n f o rm al sec to r.

Th ro u g h o u t o u r an al y si s, the aim h as b e e n to c o n c e i v e , u nd e rstand a n d e x p lain the e c o n o m i c b asis o f th e in f o rm al city . In f o rm ality is f o u n d n o t o n l y in th e so - c alled i n f o rm al sec to r, b u t in the

O n the o th e r h an d , th e f o rm al se c to r m a y p r o d u c e inf erio r

f o rm al se c to r as w e ll. T h i s led u s o n to d istin g u ish an d s h o w the

g o o d s f o r l o w - b u d g e t c lie nts that c o m p e te w ith th o s e in the

e x iste nc e o f in f o rm ality in the u rb an e c o n o m i c p ro c e ss, an d its

i n f o rm al sec to r. In this c ase , c o m p e ti ti o n o c c u rs in a targ e te d

g e n e rativ e im p ac t o n th e f o rm al sid e o f th e e c o n o m y .

p o rtio n o f an alread y s e g m e n te d m ark e t.

Fro m a stru c tu ral stan d p o i n t, in f o rm ality is se e n in th e inter-

Th e i n f o rm al sec to r c an s o m e ti m e s e v e n f o rc e a sp e c if ic f irm to

stic es o f the f o rm al e c o n o m y , either as an e n c lav e o r as an exten-

m o v e o u t o f a n e i g h b o rh o o d , if n e w e th n i c resid ents m o v e in an d

sio n o f th e f o rm al e c o n o m y . Ev id ently , the w a y in w h i c h the

p re f e r to b u y f ro m their o w n in f o rm al m ark e ts .

in f o rm al is linked to th e f o rm al is f inely n u an c e d . T h e interstitial

O n e are a w h e re the i n f o rm al se c to r is in sh arp

c o m p e ti ti o n

nic he o c c u p i e d b y th e in f o rm al w i th i n the b o u n d ari e s o f the

w ith the f o rm al se c to r is in u nskille d lab o r. So m e u n sk i l l e d lab o r-

f o rm al e c o n o m y h e l p s s m o o th the f u nc tio ning o f th e

ers in the i n f o rm al se c to r are there p re c ise ly b e c au se i m m i g rati o n

e c o n o m y . Th at i n f o rm al f u nc tio n is p ro d u c e d b y the f o rm al fo r

law s p re v e n t th e m f ro m p artic ip atin g l e g al l y in the f o rm al e c o n -

f o rm al e n d s .

f o rm al

o m y . T h e y are h ire d to d o o d d jo b s like g ard e n i n g in p riv ate

T h e i n f o rm al e c o n o m y is seen as an e x te n sio n o f the f o rm al

h o m e s o r d i s h w as h i n g o r m ai n te n an c e w o r k in f o rm al b u si n e ss

e c o n o m y w h e n p arts o f th e p ro d u c tio n are c arried o u t in sw e at-

setting s. As

Lo z ano

sh o p s, f o r e x am p l e . A s an e x te nsio n, it c an b e re late d to the ( 1983: 359) n o te s, ' this

c o m p e ti ti o n

re su lts

in

f o rm al e c o n o m y th ro u g h a b ac k w ard o r f o rw ard l i n k ag e p ro c e ss.

inc re ase d p re ssu re o n th e state to e n f o rc e b u sin e ss o rd i n an c e s

This l i n k ag e c an b e d ire c t, that is w i th o u t m e d i ati o n , o r ind irec t

an d to d raf t ad d itio n al re g u lato ry le g islatio n.' Th e f o r m a l sec to r

th ro u g h a third ag enc y .

f o rc es th e state to re g u late th e b o u n d ari e s o f these e n c l av e ac tiv ities, b e c au s e ac tiv ities.

th e y e x p a n d

an d

o v e rf l o w

into

f o rm al

sec to r

T h e i n f o r m a l e c o n o m y e x ists also as an e n c l av e . In th e f o rm al f irm , th e re m a y b e i n d i v i d u al s w h o u s e the f ac ilitie s to c arry o ut

inf o rm al

eco no mic

ac tiv itie s.

Using

the

o ffice

w o rd -

72 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

Economy

73

p r o c e s s o r to ty p e te x ts f o r an o u ts i d e c lie n t is a c a s e in p o i n t. W e f i n d s i m i l ar e x a m p l e s in h o s p i tal s a n d a m o n g c o o k s in th e h o te l i n d u s try .

i n f o rm al ac tiv ities as if th e y w e re se p arate f ro m the f o rm al ; an d

Th e i n f o rm al e c o n o m y is also se e n as p e rip h e ral in th e se n se

th e m to b e u n d e rg ro u n d , illeg al a n d sm all in siz e . W h e n the

that it al l o w s the p o o r to g et b y in d if f ic u lt tim e s a n d o th e r c ity

p ro b l e m is p re se n te d like this, n o so lu tio n c an b e f o rth c o m i n g .

re sid e n ts

Th is h a s le d so f ar to a g re at d eal o f c o n f u si o n .

to

g et c h e ap e r serv ic es. T h e s e ac tiv ities

al l o w

the

i n d i v i d u al s to su rv iv e an d to f u n c tio n in th e f o rm al e c o n o m y .

o u tc o m e ( m o n e y is m a d e th ro u g h this ac tiv ity ) ; ( 2) th e y id entif y (3) th e y c o m p are th e m w ith m o re c o n v e n ti o n al o n e s an d f ind

To u n d e rs tan d th e u n i f i e d n atu re o f the u rb an e c o n o m y , o n e

H o w e v e r , it is p r o p e r to c o rre c t o n e c u rre n t f allac y . T h e g e n -

m u s t se e that the se c to ral e c o n o m i c ac tiv ities are p art o f a w h o l e ,

e ral v i e w th at g o o d s a n d s e rv i c e s p r o d u c e d in th e i n f o r m a l

an d are tied to o th e r se c to rs an d th e m ai n s tre am e c o n o m y . This

e c o n o m y are c h e a p e r th an si m i l ar o n e s in th e f o r m a l e c o n o m y

lin kag e w i th the f o rm al e c o n o m y b e c o m e s m o re o b v i o u s w h e n

is n o t a l w a y s tru e . T o u n d e r s ta n d th i s , o n e m u s t l o o k at f iv e

w e l o o k at it f ro m th e an g l e o f the i n d i v i d u al acto r. H i s in f o rm al

d i f f e re n t v ari ab l e s : ( 1) th e c o st f ac to r - th at is, th e c o s t o f th e

e c o n o m i c ac tiv ities are tied to th e f o rm al sec to r as g o o d s an d

i te m c o m p a r e d to th at o f a s i m i l ar i te m s o l d in th e

c lie nts m a y b e f ro m that secto r, an d m o n e y m a d e th ro u g h the se

f o rm al

s e c to r; ( 2) th e ac c e s s i b i l i ty f ac to r - c a n th e s a m e i te m b e f o u n d

ac tiv ities is u se d to p a y rent o r to b u y serv ic es an d g o o d s in th e

n e a r b y in th e f o r m al s e c to r? If n o t, to th e c o st o n e m u s t a d d

f o rm al sec to r, o r s i m p l y to inv est in th e f o rm al b a n k i n g sy ste m .

d i s ta n c e a n d ti m e e x p e n s e s ; ( 3) th e i m m e d i a c y f ac to r - th at i s,

In c o n s e q u e n c e , the i n f o rm al sid e o f the u rb an e c o n o m y is n o t

th e i te m m a y b e n e e d e d n o w a n d it m a y n o t b e p o s s i b l e to

a se p arate secto r. It is an i n te rd e p e n d e n t an d su b ju g ate d secto r,

w ai t f o r t o m o r r o w

f ro m w h i c h , th ro u g h a b o tto m - u p ap p ro ac h , w e m a y u n d e rstan d

w h e n the s to re s are o p e n ; ( 4) th e b e l i e f

f ac to r - th e p u r c h a s e r m a y b e l i e v e th at th e i te m is l e s s e x p e n s i v e e v e n if th at is not

th e c as e ; a n d ( 5) th e q u al i ty f ac to r

-

w h e t h e r th e i te m is h a n d m a d e o r f a c to r y m a d e . O n th e b asi s o f th e v a r i a b l e s m e n t i o n e d

ab o v e , w e m a y c o n c l u d e

th at th e

p ri c e m a y n o t n e c e s s ar i l y b e c o m p a r a b l e . The

stru c tu ral

an al y sts

w an t

to

m ai n tai n

the i n n e r w o rk i n g o f th e u rb an e c o n o m y . Th e s a m e in d iv id u al m a y c o n trib u te to , o r u se , b o th asp e c ts o f the e c o n o m y , an d s o m e ti m e s u se o n e to e n h an c e his c h an c e s in the o ther. Ev e r y d a y life u s u al l y d isp lay s b o th a f o rm al a n d

in f o rm al

c o m p o n e n t. W h e n w e d islo d g e the i n f o rm al p rac tic e s an d lo o k at d istinc tio n

th e m as a sy ste m , w e se e c learly that they are p art o f the f o rm al

b e tw e e n f o rm al an d i n f o rm al . Th e inte rp re tiv e o r h e rm e n e u ti c

th e

sy ste m . W e si m p l y l o o k at the to tal s y s te m f ro m th e an g l e o f the

6

an aly sts, o n the o th e r h a n d , see th e ag e n t as m o v i n g f ro m o n e

i n f o rm al in the s a m e w a y w e c o u ld s tu d y a f am ily f r o m the an g le

sid e to th e o ther. Fo r th e latter, it is d if f ic u lt to f ig u re o u t w h e re

o f th e c h ild re n o r th e d o m e sti c se rv an ts, rather th an that o f the

the f o rm al asp e c t e n d s a n d the i n f o rm al b e g i n s b e c au s e there is a

h u s b a n d o r the w i f e .

h u m a n ag e n t at the c e n te r linking b o th . W h e n w e b r i n g in the

T h e f o rm al an d i n f o rm al sid es o f th e u rb an e c o n o m y jo in e ac h

n o ti o n o f intentio nality , this c o m p l i c ate s m atte rs f u rthe r. Th e

o th e r in d if f erent w a y s . So m e ti m e s th e ir relatio ns are d o m i n an t,

ag e n t m a y u se the i n f o rm al m o d e f o r e x p e d i e n c y in o rd e r to take

interstitial, c entral o r p e rip h e ral d e p e n d i n g o n th e an g l e o f stu d y .

b u si n e ss.

T h e f ailu re to see th e se d if f erent k i n d s o f i n te rm i n g l i n g h as le d

Th e h u m a n su b jec t c an n o t b e i g n o re d in th e p ro c e ss. H e o r she is

s o m e to p o sit the i n f o rm al sec to r as a sep arate p h e n o m e n o n in a

ad v an tag e o f an o p p o rtu n i ty to stre n g th e n his formal the so u rc e o r ag e n t in th e m ak i n g o f th e u rb an e c o n o m y .

So m e se e the f o rm al an d i n f o rm al asp e c ts as a sin g le e c o n o m y

d u al so c ial sy ste m . Th i s c an n o t b e p ro v e n b y e m p i ri c al d ata. A naly tic ally , it stan d s as an i n te rd e p e n d e n t se c to r o r an inter-

an d rejec t the n o ti o n o f tw o e c o n o m i e s . Th e y c o n ti n u e to u se the

stitial p ro c e ss in a p lu ralist e c o n o m i c stru c tu re. It o w e s its exist-

d i sti n c ti o n b e c au s e th e y think it to b e , al th o u g h u nsatisf ac to ry ,

e n c e a n d su rv iv al to its linkag e to th e f o rm al sec to r. Th u s the

n e v e rth e l e ss nec essary . C o u c h e d in stru c tu ral te rm s, this p ro b l e m

i n f o rm al e c o n o m y p ro v i d e s a b asis o r f ield o f ac tio n f o r the ac to rs

c an n o t b e so l v e d f o r th re e re aso ns: ( 1) the se an aly sts f o c u s o n the

o f the i n f o rm al city .

7

The Informal City 74 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

N o tes 1.

4

The netw o rk of co ntacts established fo r the nurturing o f a market relatio nship o r business may surv iv e ev en after the lo ss o f o ne's business. The info rmal eco no my then is in the business o f p ro d ucing info rmal relatio ns w hich maintain their o w n auto no my. These info rmal relatio ns, because they p ro d uce and share kno w led g e, m ay be the lo cus that facilitates a re-entry into the fo rmal eco no my . The info rmal eco no my is seen in the p o licy realm as either a pro blem o r an o p p o rtunity. A s an o p p o rtunity, it can b e exp and ed and co -o p ted . It can also b e reco gnized legally as a p arallel structure. T h e d ai l y p o litic al ro u ti n e o f the c ity p ro v id e s u s w i th se v e ral A s a p ro blem to b e eliminated , the so lutio n p ro p o sed rests w ith n i c h e s w h e re w e c an p ro d u c ti v e l y u n d e rstan d a n d e x p lain the co rrecting the failure in the fo rmal system that p ro d uces the info rmal secto r and in the reso cializatio n o r the raising o f the level i n f o rm al sid e o f u r b a n p o litic s. T h e i n f o rm al city , in fact, is also o f co nscio usness o f the info rmais so that they can acquire the w ay s s u s tai n e d b y the i n f o rm al p o litic al sy ste m an d ad m in istrativ e o f the fo rmal system. p ro c e ss. U rb an p o litic s h as a v isib le an d f o rm al are n a re g u late d Sauv y (1984: 276) d iscusses the three alternatives the state has in b y th e f o rm al p o litic al sy ste m . It h a s also an i n f o rm al sid e w h i c h co nfro nting the info rmal secto r o f the eco no my : '(1) rép rimer, en s u rv i v e s in the inte rstic e s o f, o r se rv e s as an e x te n si o n to , the renfo rçant les co ntrô les et en aug mentant les p eines, (2) to lérer, en f o rm al sy ste m . Th i s is w h y w e n e e d to exp lain the m e c h an i s m s o f estimant que l'o p timum n'est p as d ép assé, d u mo ins p o ur certaines activités, (3) céd er, en réd uisant la charge fiscale'. its p ro d u c ti o n an d re latio n s w ith th e f o rm al sy ste m . Fo r A rchambault and Greffe (1984: 25) three types o f exp lanatio n Po litic al i n f o rm al i ty ref ers analy tic ally to tw o d istinc t realities. co ncerning the cause o f the gro w th o f the uno fficial ec o no m y hav e O n th e o n e h an d , o n e c an think o f an in f o rm al g ro u p that asse m been p ro v id ed . They refer to 'ajustement ind iv id uel', 'blo cag e d u b l e s o n the b asis o f c o m m o n g o als w i th a v i e w to b e tte ri n g their fo nctio nnement d es marchés' and 'rap p o rts de p ro d uctio n'. p l an s a n d p o ssib ly in f lu e n c in g th e c o u rse o f the f o rm al p o litic al Van Dijk (1986: 26) sees the info rmal secto r as 'transitio nal' in the sense that it serv es as a stepping sto ne to cap ture a jo b in the s y s te m o r c ity g o v e rn m e n t. O n th e o th e r h an d , it re f e rs to a p ro fo rmal secto r. c e d u re , a w ay o f d o i n g thing s, w h i c h m a y n o t f o l l o w a f o rm al Mittar (1988: 20- 1) p refers to id entify the info rmal secto r 'in terms b l u e p ri n t o r set o f f o r m a l ru les. o f the ho useho ld to w hic h the ind iv id ual b elo ng s' . H e w ent o n In m a p p i n g the g e o g rap h y o f i n f o rm al u rb an p o litic al p rac to id entify the ty p es o f ho useho ld he has fo und in his stud y : '(a) tho se belo nging to the fo rmal secto r, (b) tho se belo ng ing to the tic es, w e id entif y th re e n ic h e s that are i m p o rtan t f o r o u r analy sis: info rmal sector, and (c) tho se belo ng ing to the mixed categ o ry '. the i n f o rm al p o litic al p ro c e ss as an c h o re d th ro u g h th e ac tio ns o f Hard ing and Jenkins (1989: 51) reject 'the no tio n o f d ifferent eco ni n f o rm al lead ers at th e g rassro o ts c o m m u n i ty le v e l, th e in f o rm al o m ies [w hile] retaining a d istinctio n betw een fo rmality and p ro c e ss as p lay e d o u t w i th i n the c o n f i n e s o f the f o rm al sy ste m at info rmality w ith reference to p articular eco no mic activities in C i ty H al l , an d the u p w a r d an d th e d o w n w a r d re latio n s b e tw e e n sp ecific so cial situatio ns'. zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA the g rassro o ts an d th e m a y o r ' s o f f ic e o r b e tw e e n the m a y o r ' s

Informality and Urban Politics

2.

3.

4.

5.

6.

7.

o f f ic e a n d state an d f e d e ral lead ers. W h a t strikes an y p e rc e p tiv e o b s e rv e r o f the u rb an A m e ri c an s o c i a l l a n d s c a p e is t h e v a s t d e n s i t y o f p o l i t i c k i n g th at g o e s o n b e h i n d th e s c e n e . T h i s is n o t d o n e r a n d o m l y , b u t r a th e r c o n s i s te n tl y b o th in th e f o rm al p o litic al sy ste m a n d in the p arap o litic al sy ste m - e v e n in the latter o n e f ind s e v e n m o r e b e h i n d th e - sc e n e p o litic al m an e u v e r s a n d ac tiv ities. W h e n it is w e l l 75

The Informal City 76 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

e x p l ai n e d , this i n f o rm al p ro c ess c an o p e n the g ate to a b e tte r u n d e rs tan d i n g o f th e to tal sy ste m .

Informality

and Urban

Politics

77

H o w e v e r , o u r d e f in itio n o f the p arap o litic al stru c tu re is m o re i n c l u si v e than th o se p ro p o se d

by

D u rk h e i m

and

G re e r

an d

T h e i n f o rm al p o litic al sy ste m is n o t a d istinc t e n tity to tally se p -

O rl e an s ; it m u s t al so inc lu d e the i n f o rm al n e tw o r k an d m e an s

arate d f ro m the f o rm al sy ste m . Th i s d u al v i e w o f the p o litic al

u s e d b y the c ity g o v e rn m e n t, i n f o rm al p o litic al d isc o u rse an d

reality is n o t v alid . T h e i n f o rm al s y s te m is se e n h e r e ' n o t ju st as

id e o lo g y , an d the i n f o rm al ad m in istrativ e stru c tu re. Th e in f o rm al

i n stru m e n tal in th e c au s e o f an e x te n si v e f o rm al p o w e r b u t as

p arap o l i ti c al stru c tu re is n o t s i m p l y a m e d i ati n g m e c h an i s m , b u t

c o n sti tu te d b y an d w i th i n su c h p o w e r ' ( Fitz p atric k, 1988: 180) .

is al so the b ac k b o n e that is e v e r- p re se n t in the e v e ry d ay o p e ra-

T h e d if f e re n c e in this f o rm u l ati o n o f the issu e is th at w e see the

tio n o f the f o rm al p o litic al sy ste m . It is c entral to th e p ro d u c tio n

u rb an p o litic al s y s te m as in c lu d in g a d iv e rsity o f p o litic al sp ac e s

o f the u rb an p o litic al p ro c e ss.

' o p e rati n g si m u l tan e o u sl y o n d if f erent sc ales an d f ro m d if f erent in te rp re tiv e s tan d p o i n ts ' ( Santo s, 1987: 288) .

H e r e the i n f o rm al p arap o litic al s y s te m is se e n as a p ro c e ssu al s y s te m , a sy ste m in w h i c h m o ti o n an d c h an g e c o nstitu te an

D u r k h e i m ( 1960) w a s a m o n g th e f irst so c ial sc ie ntists w h o s aw the n e e d to e x p lain th e ro le o f v o l u n tary asso c iatio n s in so c iety ,

e sse n ti al e l e m e n t f o r its su rv iv al. Tw o

ty p es o f c h an g e

are

e n v i s i o n e d he re . O n e is internal in th e sense, f o r e x am p l e , that the

e sp e c ially in their re latio n s to the f o rm al state. H e se e s th e m f u l-

re p o si ti o n i n g o f o n e e l e m e n t c h an g e s the relatio ns o f that u nit to

f illing th re e m ajo r ro le s: ( 1) re straining the o v e rarc h i n g arm o f th e

o th e rs. Th e o the r is e x te rnal an d d e p e n d s o n re latio n s w ith the

f o r m a l state , ( 2) c o u n te r b a l a n c i n g th e p o w e r o f th e state , a n d

f o rm al p o litic al s y s te m . Bo u n d ari e s o f the i n f o rm al p arap o litic al

( 3) c o n stitu tin g an e sse n tial c o n d i ti o n f o r the lib eratio n, f re e d o m

s y s te m m a y shift b e c au s e o f c h an g e s in the b o u n d ari e s o f the

an d e m an c i p ati o n o f th e in d iv id u al. V o lu ntary asso c iatio n s are

f o rm al sy ste m . T h r o u g h this p ro c e ssu al analy tic al stan d p o in t, I

n o t m e c h a n i s m s c re ate d b y the state b u t b y g ro u p s o f in d iv id u als

w ill s h o w that b o th the f o rm al a n d inf o rm al asp e c ts c o nstitu te

to p ro te c t their inte re sts, c h an n e l th e ir v i e w s an d v al u e s, an d to

the to tality o f th e u rb an p o litic al reality . Th e se p aratio n o f the

i n f l u e n c e state p o lic ie s. D u rk h e i m g o e s so f ar as to im p ly the e x i ste n c e o f the se se c o n d ary g ro u p s as a sine

qua

in th e

non

p rac tic e o f d e m o c rac y .

w h o l e into the i n f o rm al an d f o rm al c o m p o n e n ts is a heu ristic d ev ice

to

b etter

an al y z e

the

m aking

an d

s h ap i n g

of

th e

p ro c e ssu al o u tc o m e .

Fo llo w ing the lead o f D u rkhe im , G re e r and O rle an s (1962) see f o rm al v o lu ntary o rg aniz atio ns as ' m ed iating o rg aniz atio ns' (see also M e rto n , 1961:112) . Th e y interp ret their effec tiv eness in term s o f

I N FO R M A L P A R A P O L IT IC A L O R G A N IZ A T IO N S

their ability 'to m o b iliz e the p o p u latio n in su c h a w a y as to limit the ad m inistrativ e state' (G reer and O rleans, 1962: 635) . Th e y refer to

T h e reality o f p arap o litic al o rg an iz atio n s h as l e d re se arc he rs to

th e m as ' p arap o litic al' b ec au se su c h institutio ns are no t d eriv ed

se e k th e n atu re o f th e ir o rig ins. So m e h av e b e c o m e m o re v isib le

f ro m state institutio ns, b u t rather are p ro d u c ed b y the lo cal neig h-

b e c a u s e the n e i g h b o rh o o d s in w h i c h they e m e r g e d h av e b e e n

b o rh o o d s. These m e d iating f o rm al v o lu ntary asso c iatio ns are se e n

a n n e x e d , c h an g i n g f ro m an i n d e p e n d e n t to w n in to o n e o f the

p rec isely as b eing p arap o litical in the sense that they allo w ' the

u r b a n n e i g h b o rh o o d s o f a m e g al o p o l i s. In su c h a situ atio n, ' o n c e

translatio n o f n o rm s , c o m m itm e n ts, an d interests, into

p o litical

the o f f ic ial institu tio ns o f lo c al g o v e rn m e n t h a v e b e e n

mo v ed

b ehav io r. Fo r the ind iv id u al citiz en, p o litical inf o rm atio n, influenc e,

d o w n to w n , w h at re m ai n s o f n e i g h b o rh o o d g o v e rn an c e is c hief ly

an d id entificatio n req uire such a su b - set o f o rg aniz atio ns in w h i c h

the i n f o rm al , d i sp e rse d , an d in te rm itte n t ac tiv ity o f p o litic al n o n -

h e m a y p artic ip ate' ( G reer and O rleans, 1962: 635) . W h at they say

p ro f e ssi o n al s' ( C re n so n , 1983: 11) . W h a t an n e x ati o n d o e s is to

ab o u t f o rm al v o lu ntary

r e m o v e the f o rm al p o litic al s y s te m to a d if f erent site, no t the

o rg aniz atio ns c an also

be

said

ab o u t

inf o rm al v o lu ntary o rg aniz atio ns. This lead s u s to refer to inf o rm al

p arap o litic al p l ay e rs, ev en th o u g h

v o lu ntary o rg aniz atio ns as info rm al p arap o litical o rg aniz atio ns.

m u s t ad ap t to th e n e w p o litic al reality .

the p arap o litic al

stru c tu re

The Informal City 78 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality

and Urban

Politics

79

T h e p arap o litic al o rg an i z ati o n s w h o s e internal stru c tu re w e are

c o n c e r n s an d n e e d s . H o w e v e r, th e i n f o rm al p o l i ti c al stru c tu re

ab o u t to an aly z e h a v e a d if f erent p o litic al o rig in. T h e y are p ro -

b e c a m e m o r e h e te r o g e n e o u s an d w e l l e stab l i sh e d as a p ro d u c t

d u c e d b y o r as a re ac tio n to the f o rm al sy ste m , c o m i n g in to b e i n g

o f th e c h an g i n g p o l i c i e s o f the c ity , w h i c h e v o l v e d f ro m its

b e c au s e p e o p l e w an t to p re se rv e o r i m p r o v e the q u al i ty o f life in

' R e d e v e l o p m e n t' , ' M o d e l C itie s' , a n d ' Ec o n o m i c D e v e l o p m e n t'

their n e i g h b o rh o o d s . In this se n se , th e y c an b e se e n as institu -

p l a n n i n g strate g ie s. In f o rm al l e ad e rs still liv ing p arti c i p ate d in

tio ns th at f o ster c o m m u n i ty v alu e s, th at so c ializ e p e o p l e in th e

all th e s e v ari o u s p h a s e s o f the e v o l u ti o n an d tran s f o rm ati o n o f

c u ltu re o f d e m o c rac y a n d that se rv e as m e d i ati n g in stitu tio n s visa-vis

th e f o rm al sy ste m , an d they p ro v i d e b o th a f o r u m th ro u g h

w hich

f o rm al

l e ad e rs

c an

c h al l e n g e

or

be

c h al l e n g e d

by

n e i g h b o r h o o d re sid e n ts an d a p l atf o rm f o r i n f o rm al l e ad e rs w h o se e k e l e c ti v e o ffic es.

the i n f o rm al p arap o l i ti c al stru c tu re in this p art o f th e city . T h e y hav e

w o rked

v ery

stro n g ly

in

th e

i n f o rm al

stru c tu re

to

i n f l u e n c e , l o b b y a n d h e l p red irec t th e d e c isio n s th at af f ec t W e st O akland . T h e p atte rn o f m i g rati o n an d re se ttle m e n t h as i n f l u e n c e d the

T h e n e i g h b o r h o o d p ro v i d e s an e x c e lle n t n i c h e f o r th e rise o f

c o m p o s i ti o n an d d y n a m i c o f the i n f o rm al g ro u p s in W est O ak -

i n f o rm al le ad e rs an d th e d e v e l o p m e n t o f in f o rm al o rg an i z ati o n s.

l an d

It is th e re that o n e c an f o l l o w w ith s o m e p re c isio n th e ap p e aran c e

A l a b a m a an d M i ssi ssi p p i c o n tin u e to m ain tain th e ir inf o rm al

an d d i s ap p e aran c e , as w e l l as the v ari o u s f o rm s a n d sh ap e s o f,

g ro u p ties w ithin th e inf o rm al n e i g h b o rh o o d g ro u p b e c au se o f

i n f o rm al o rg an iz atio n s.

( D anie ls,

1980) .

Th e

m i g ran ts

f ro m

Te x as,

Lo u isian a,

f ri e n d sh i p o r f am ily c o n n e c tio n s. Th i s c o m m o n b ac k g ro u n d h as

G ras s ro o t o rg an i z ati o n s b e g in as i n f o rm al o rg an i z ati o n s. Ev e n

b e e n a f o rc e to b ri n g p e o p l e to g e th e r an d also to b u i l d c o n se n su s

af te r th e y h av e f o rm al i z e d their ru le s a n d p ro c e d u re s, th e p e o p l e

th r o u g h the lead ers o f e ac h su b - g ro u p . W ithin th e i n f o rm al p ara-

m a y c o n ti n u e to u se i n f o rm al m e an s to ac h i e v e their state d g o als.

p o litic al stru c tu re, th e re is a g ro u p i n g b y states. Th i s c h arac -

T h e e x i ste n c e o f i n f o rm al o rg an i z ati o n s w ith in th e c i ty is a c o ro llary to a n d v ital to u rb an d e m o c rac y . Th ro u g h o u t th e histo ry o f

teristic

is,

h o w e v e r,

slo w ly

d eclining

w ith

th e

y o ung er

g e n e rati o n .

the A m e r i c a n city , th e re h as al w ay s b e e n a felt n e e d - w h e th e r in

Pl ac e o f o rig in th e n is a m ark e r in the c o m p o si ti o n o f the

a h o m o g e n e o u s w h i te p o p u l ati o n o r o n e w ith m u l ti p l e e th n ic

i n f o rm al g ro u p , h e l p i n g in n e tw o rk i n g . Pe o p l e w h o share the

g ro u p s - f o r re sid e nts to b an d to g e th e r in f o rm ally to inf lu e nc e

s a m e e x p e ri e n c e b a n d to g ether. Su c h g ro u p s are e as y to g alv a-

the c o u r s e o f c ity p o lic ie s an d p o litic s a n d to p re v e n t th e d e te rio -

n i z e b e c au s e the p e o p l e share a h o m o g e n e i ty o f m e an i n g s an d

ratio n

v iew s.

o f their n e i g h b o rh o o d s

( d e To c q u e v ille ,

1945:

114- 32;

To m e h , 1964) .

T h e N ati o n al A sso c i ati o n f o r th e A d v a n c e m e n t o f C o lo re d

T h e r e s i d e n ts o f W e s t O a k l a n d h a v e a l o n g h i s to r y o f p ar-

Pe o p l e ( N A A C P ) , al th o u g h a f o rm al o rg an iz atio n , also h as its

ti c i p ati n g in i n f o r m a l a n d g ras s ro o t o r g an i z ati o n s . Starti n g in

m e m b e r s that se rv e d o r jo ine d th e i n f o rm al o rg an iz atio n . Th e y

th e l ate 1930s , th e c i ty b e g a n to a d o p t a p r o g r e s s i v e p o l i c y o f

m a y h a v e jo int ac tiv ities, o r s o m e m e m b e r s m a y

c i ty i m p r o v e m e n t , th e o u tc o m e o f w h i c h w a s th e

e ith e r o n their o w n o r as re p re se ntativ e s o f the o rg an iz atio n .

c hang ing

f ac e o f th e o ld W e s t O a k l a n d n e i g h b o r h o o d . T h i s w a s w h e n

The

in f o rm al

n e tw o r k s

s o m e ti m e s

g iv e rise

to

p artic ip ate lo n g - te rm

r e s i d e n ts b a n d e d to g e th e r in w h a t th e y c al l e d th e W e s t O a k -

ac q u ai n tan c e s. Ev e n w h e n p e o p l e m o v e to the f o rm al,

l a n d P l a n n i n g C o u n c i l to try to i n f l u e n c e c i ty p o l i c i e s ( H ay e s ,

i n f o rm al ties c an b e re ac tiv ate d at an y tim e. N o t all the m e m b e r s

1 9 7 2 : 110) .

m a y c o n ti n u e to liv e in the sam e n e i g h b o rh o o d . T h o s e w h o m o v e

T h i s tre n d to w ar d

p arti c i p ati o n in n e i g h b o r h o o d

th o se

i n f o rm al

o u t still h av e in f lu e n c e there. T h e ' in f o rm al m a c h i n e ' su rv iv e s

p o l i ti c al o rg an i z ati o n s b e c a m e m u c h stro n g e r af te r W o rl d W ar

e v e n af te r the e m i g rati o n o f m e m b e r s to o the r n e i g h b o rh o o d s .

II as m o r e A f r i c an - A m e r i c an s c a m e to settle in O a k l a n d . T h e

W i th

w h i te c i ty c o u n c i l w a s little in c lin e d o r w i l l i n g to l i ste n to their

d e m o g r a p h i c c o n te n t o f the i n f o rm al secto r.

g entrif ic atio n

co mes

a

re c o m p o si ti o n

of

th e

in f o rm al

The Informal City 80 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

In th e m e tro p o l i s, m o r e than o n e i n f o rm al p o litic al

o rg an -

Informality

f o rm al

sec to r th e y

hav e

and Urban

l e arn e d

81

Politics

a number

of

lesso ns.

The

iz atio n exists. In f ac t, th e re are se v e ral . So m e ti m e s th e y are in

i n f o rm an ts h av e re ite rate d three p rin c ip le s f o r a su c c e ssf u l o u t-

c o m p e ti ti o n an d at o th e r tim es w o r k in c o llab o ratio n w i th e ac h

c o m e to their in te rac tio n s w ith th e f o rm al sec to r. T h e first is that

o ther. So m e i n d i v i d u al s b e l o n g to m o r e than o n e i n f o rm al p o lit-

th e y m u s t b e as w e l l v e rse d w ith th e su b jec t m atte r as the f o rm al

ic al o rg an iz atio n . In f o rm al p arap o litic al o rg an i z ati o n s are b y

stru c tu re , an d in m a n y c ases b e tte r v e rse d . T h e s e c o n d is that

d e f in itio n interest g ro u p s .

th e y m u s t b e c o n si ste n tl y assertiv e a n d ag g re ssiv e . ( H o w e v e r, it

Th e re is a c ertain e l e m e n t o f e lastic ity am o n g th e m e m b e r s h i p

is n o l o n g e r n e c e s s ary to b e d i sru p ti v e to attrac t the f o rm al

o f i n f o rm al g ro u p s. A t a c ertain ti m e o f th e y ear, w h e n there is an

s e c to r' s attentio n as w a s the c ase d u ri n g the d e c a d e o f the c iv il

e v e n t, m e m b e r s h i p m a y b e larg e. A t o th e r tim e s, a r o u n d an issu e ,

rig h ts m o v e m e n t. ) T h e third p ri n c i p l e is that i n f o rm al o rg an -

it m a y b e sm all. Ea c h le ad e r b ri n g s h i s o r he r o w n c o n sti tu e n c y

iz atio n s m u s t h a v e an ag e n d a an d a c lear id ea o f w h a t they w an t

w h e n th e i n f o rm al g ro u p o rg an iz e s a m e e ti n g ar o u n d a c o m m o n

to ac c o m p l i sh .

c au se . If a lead er l e av e s the i n f o rm al o rg an iz atio n , h e m a y take the c o n sti tu e n c y o u t o f th e c o alitio n as w e l l .

In f o rm al o rg an i z ati o n s are b y d e f initio n so ft o rg an iz atio n s in that th e y are ru n i n f o rm al l y b u t are f o rc ed to f o rm al i z e their

T h e i n f o rm al stru c tu re is no t ab so l u te l y i n f o rm al b u t in c lu d e s

stru c tu re s

te m p o rari l y

an d

c y c lic ally

so

as

to

d isc u ss

their

entities w i th f o rm al stru c tu res as w e l l . Su c h stru c tu re s as the

ag e n d as . The cyclical

W e st O a k l a n d D e v e l o p m e n t C o u n c i l , M o d e l C ity o rg an i z ati o n s

their structures

so that they can express

an d th e W e st O a k l a n d M e n tal H e al th Bo ard h av e f o rm al stru c -

their character.

Th is is w h y the i n f o rm al o rg an i z ati o n s h av e re g u -

meetings

allow

them

to formalize

and reinforce

temporarily

the informality

of

tu res b u t c am e in to b e i n g b e c au se o f p re ssu re s f r o m i n f o rm al

lar m e e ti n g s w ith re g u l ar ag e n d as a n d re g u lar i te m s to take in to

p arap o l i ti c al g ro u p s. T h e s e f o rm al stru c tu re s are l i n k e d to e ac h

ac c o u n t.

o th e r th ro u g h i n f o rm al n e tw o rk s o f re latio nship s. In f o rm al o rg an i z ati o n s w ith a g e n e ralist p u rp o s e te n d to g iv e b irth to w hich

i n f o rm al o rg an i z ati o n s w i th sp ec ialist p u rp o s e s ,

th e y

se rv e

as

an

i n f o rm al

c o o rd i n ati n g

fo r

T H E ET H N IC FA C T O R

m e c h an i s m .

A m o n g th e latter, w e f in d the Se n i o r C itiz e ns C o u n c i l , Pro g re ss-

It is im p o rtant to n o te that there are c ultural d ifferenc es in the w ay

iv e Se n i o r C itiz e n s, th e St Patric k' s C o u n c i l , the A c o r n Re v italiz a-

ethnic g ro u p s an d c o m m u n itie s e m p l o y inf o rm ality in their rela-

tio n

th e

tio ns w ith the f o rm al p o litical sy stem . C u ltu ral p rac tic es w ithin eth-

M c C l y m o n d s C o m m u n i t y Bo ard , th e O a k C e n te r N e i g h b o r h o o d

Co uncil,

the

M cCly m o nd s

A lum ni

A sso c i ati o n ,

nic c o m m u n itie s tend to carry o v e r into the relatio nship b e tw e e n

A sso c i ati o n an d th e C itiz e n Em e r g e n c y Relief T e am w h i c h w a s

g rassro o ts and p arap o litic al o rg aniz atio ns and the f o rm al sy stem o f

f o rm e d to d e al w i th th e f allo u t f ro m th e L o m a Prieta Earth q u ak e .

m u n ic ip al g o v e rnm e nt. Fo c u sing o n this asp ect o f political

A ll o f th e se asso c iatio n s h av e as th e ir g o al the i m p r o v e m e n t o f

help s clarify h o w inf o rm al ethnic lead ership d iffers.

life in W e s t O ak l an d . To ac hie v e th at g o al, th e y h o l d

informality

re g u lar

In th e A f ri c an - A m e ri c an c o m m u n i ty the c h u rc h is the c e n tral

m e e ti n g s o r m ai n tai n o n g o i n g in te rac tio n s w ith f o rm al stru c tu res

in stitu tio n that su stai n s in f o rm al p o litic al o rg an i z ati o n s ( H am i l -

su c h as th e O ak l an d R e d e v e l o p m e n t A g e nc y , th e O a k l a n d C i ty

to n,

C o u n c i l , th e O ak l an d Pl an n i n g A sso c i ati o n , the O a k l a n d Sc h o o l

A f ri c an - A m e ri c an s .

Bo ard a n d the Pe ralta C o m m u n i ty C o l l e g e Bo ard .

l i n ke d to e ac h o th e r -

i n f o rm al b as i s . Th e y are

an d s o m e ti m e s to the f o r m a l sec to r

the

c h u rc h

h as b e e n

It p ro v id e s a setting to

c o n tro lle d

by

d i sc u ss id eas, a

g r o u n d to o rg an iz e p ro te st, train in g f o r le ad e rship a n d a p o int o f

T h e s e c o m m u n i ty o rg an iz atio n s m a y h av e s o m e f o rm al stru c tu res, b u t th e y are ru n o n an ad hoc

1972) . H isto ric ally ,

-

th ro u g h i n f o rm al m e a n s , an d th ro u g h their in te rac tio n s w ith th e

c o n tac t b e tw e e n th e c o m m u n i ty a n d th e o u tsid e w o r l d , an d it c an trad e th e v o te s o f th e c o n g re g atio n f o r serv ic es to th e c o m m u n i ty . The

c h u rc h

is p art o f an d

p arap o litic al sy ste m .

c e n tral to

the

A f ri c an - A m e ri c an

The Informal City 82 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality

and Urban

83

Politics

A s i an - A m e ri c an p arap o litic al o rg an i z ati o n s h a v e a d if f erent

o ther, b a c k le ad e rs in the c o m m u n i ty w h o d o n o t n e c e ssarily

d y n a m i c b e c au s e o f th e h i sto ry o f i m m i g rati o n to th e Ba y A re a.

i n te rac t w i th th e re s t o f th e c ity . T h e f ro n t l e a d e r jo i n s r a n k s

A s i an - A m e ri c an s b e l o n g to n atio n al g ro u p s w ith d istin c t c u ltu ral

w i th

p rac tic e s, in c lu d in g d istinc t l an g u ag e s , an d th e y m ai n tai n

c o n stitu e n c ie s.

an

interest in lo c al p o litic s a n d the p o litic al situ atio n in th e ir h o m e c o u n trie s.

2

th e b ac k l e ad e rs to g et ac c e ss to o r v o te s f ro m

their

Th e re are s o m e i ssu e s that e n g ag e the interests o f o n e s e g m e n t o f th e A s i an - A m e ri c an p o p u l ati o n m o r e than o th e rs. Th is is w h y

A m o n g th e p o litic ally ac tiv e Bay A re a A s i an - A m e ri c an g ro u p s

v ari o u s A sian g ro u p s h av e d e v e l o p e d three strate g ie s to d e al

are th e C h i n e s e , Filip in o s, Lao tian s, C a m b o d i a n s , V i e tn am e s e ,

w ith i ssu e s c o n f ro n ti n g their re sp e c tiv e c o m m u n i ti e s . So m e ti m e s

Jap an e s e a n d Ko re an s. T h e C h i n e se are b y f ar the m o s t n u m e r o u s

th e y g o it alo ne. Fo r e x am p l e , the d ire c to r o f th e C N G takes h is

an d are th e m o s t v o c al a n d artic u late a m o n g the A s i an - A m e ri c an

c ase d ire c tly to the Eas t Bay Fo r u m o n Re f u g e e A f f airs w h e re h e

g ro u p s in

c an air th e c o n c e rn s o f th e C a m b o d i a n re f u g e e c o m m u n i ty . So m e -

O ak l an d . T h e y

h av e

th e ir o w n C h i n a to w n ,

ev en

th o u g h it h a s b e c o m e m o r e an d m o r e an ' A si ato w n ' , i n c l u d i n g

ti m e s a p artial allian c e is f o rm e d w i th o ther e th n ic g ro u p s. Th is

m a n y o th e r g ro u p s.

w as th e c ase w h e n Lao ti an s an d V i e tn am e s e in th e Eas t Bay V ietBe ac h ,

n a m e s e A sso c i ati o n a n d C am b o d i an s f o rm e d an allianc e to s u p -

C alif o rn ia, in the e arly 1970s, b e f o re th e K h m e r R o u g e b e g an

p o rt a lo sin g su p e rv iso rial c an d i d ate in San L e a n d r o in 1988. A t

C a m b o d i a n s , f o r e x a m p l e , started to arriv e in L o n g

their killin g sp ree. T h e s e i m m i g ran ts w e re m o stl y f o r m e r o ffi-

o th e r ti m e s, they f o rm a m u c h larg e r c o alitio n. Th i s w a s the c ase

c ials. A f te r V i e tn am

w h e n th e lead ers f ro m all the A s i an g ro u p s f o rm e d a c o alitio n to

p e asan ts

c am e .

Th e

i n v ad e d C a m b o d i a in 1979 m a n y O ak l an d

seg m ent

is

p o o re r

m o re

and

less

so p h i sti c ate d than th e L o n g Be ac h C a m b o d i a n p o p u l ati o n . In 1983, C a m b o d i a n s e stab lishe d in O ak l an d th e

h e l p El i h u H arris w i n elec tio n as M a y o r o f O ak l an d . T h e Lati n o c o m m u n i ty p resents still ano the r ty p e o f in f o rm al

Cambodian

p o litic al o rg an iz atio n . San Fran c i sc o ' s Latino M i s s i o n

D istric t,

Inc. ( C N G ) . C N G is le ss ac tiv e in lo c al O ak l an d

like th e A si an c o m m u n i ty , is m a d e u p o f se v e ral c u ltu ral seg -

p o litic s a n d m o re ac tiv e in C a m b o d i a n p o litic s. Th i s ref lec ts the

m e n ts , o rig in al C al i f o rn i o s as w e l l as o ld an d n e w i m m i g ran ts.

New

Generation

reality th at th e m ajo rity o f th e m are n o t A m e ri c an c itiz e n s. Fro m

U n l i k e A s i an s w h o m a y h av e d if f ic u lty c o m m u n i c ati n g a m o n g

p e asan t b ac k g ro u n d s , th e y w o rry that if th e y b e c o m e c itiz ens,

th e m s e l v e s if they d o n o t sp e ak En g l i sh , lac k o f En g l i s h is n o t a

th e y m i g h t lo se the p u b l i c aid th e y re c e i v e as re f u g e e s. Y o u n g e r

h a n d i c a p to Latin o c o o p e rati o n .

C a m b o d i a n s c o n n e c te d w i th C N G are m o r e ac tiv e p o litic ally . Th e i n f o rm al C a m b o d i a n p o litic al s y s te m is p art o f a n e tw o r k

T h e A s i an m o d e l , w h e r e re p re se ntativ e s o f e ac h g ro u p tend to re p re se n t the m e m b e r s h i p , is n o t f o u n d in the Lati n o c o m m u n i ty .

o f i n f o rm al A s i an - A m e ri c an p o litic al le ad e rs. T h e D i re c to r o f

Th e re is m o re f u sio n . T h e le ad e rsh ip stru c tu re o f th e i n f o rm al

C N G w a s at the c e n te r o f the p ro c e ss f o r three re aso n s: h is o ffice

p arap o litic al o rg an i z ati o n in the Lati n o c o m m u n i ty in San Fran -

w as h i g h l y v isib le a n d p e o p l e d e p e n d e d o n h i m f o r l e ad e rsh i p ;

c isc o is m a d e u p o f h e a d s o f f o rm al a n d v o l u n tary o rg an iz atio n s.

h e re p re se n te d the C a m b o d i a n s at th e East Bay A s i a n

Th e l e ad e rs o f the M i s s i o n Ec o n o m i c an d C u l tu ral A sso c iatio n

Lo c al

D e v e l o p m e n t C o rp o rati o n , a v o lu ntary , no n- p ro f it o rg an i z ati o n

( M EC A ) w h o o rg an i z e the an n u al c arn iv al, th e f e stiv al o f th e

p u s h i n g th e interests o f all A si an s; an d h e h a d c o n tac ts w i th satel-

A m e r i c a s an d the C i n c o d e M a y o f estiv ities, the M i s s i o n N e i g h -

lite i n f o rm al le ad e rs, in d iv id u als s u c h as c h u rc h l e ad e rs w h o

b o r h o o d C enter, W o m e n Initiativ es f o r Se l f - Em p l o y m e n t, m e m -

p ro v i d e l e ad e rsh i p to s e g m e n ts o f the p o p u l ati o n .

1

Si n c e th e C a m b o d i a n g ro u p is sm al l , the strateg y h a s b e e n to f o rm allian c e s w ith o th e r A si an g ro u p s f o r f u n d i n g a n d to inf lu -

b e rs o f the C h a m b e r o f C o m m e r c e , p ro m i n e n t

b u sinessm en,

c h u rc h le ad e rs - all are p art o f a n e tw o r k that c an b e ac tiv ated to ad v an c e the interests o f th e c o m m u n i ty .

e n c e th e c o u rse o f lo c al an d m u n i c i p al p o litic s. T h e f ro n t lead er,

W h i l e m o d e s o f o rg an i z ati o n o f th e i n f o rm al l e ad e rsh i p - e sp e -

in this c as e th e d irec to r ju st m e n ti o n e d , re c o g n iz e s th at there are

c ially in te rm s o f its c o m p o si ti o n a n d th e p o sitio n o f th e le ad e rs

The Informal City 84 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

in th e c o m m u n i ty - d if f e r am o n g th e A f ri c an - A m e ri c an s , Latin o s an d A s i an s , the w a y th e y c o n n e c t w i th m u n i c i p al

au tho ritie s

v arie s less. Th e f o rm al p o w e r stru c tu re sees th e m as c o m p e ti n g interest g ro u p s .

Informality

and Urban

85

Politics

T h e m ajo r f ig u re in th e i n f o rm al sy ste m in W e st O ak l an d h as b e e n a se p tu ag e n ari an w h o h as b e e n an ac tiv e m e m b e r

an d

le ad e r o f g rassro o ts o rg an iz atio n s e v e r sinc e h e m i g rate d to O ak lan d in the 1940s. H e h as b e e n o n th e A d v i so ry Bo ard o f C o m -

3

m u n i ty D e v e l o p m e n t, the M a y o r ' s re p re se ntativ e o n the Se n i o r C i ti z e n s C o u n c il a n d C h ai rm an o f th e Bu d g e t C o m m i tte e f o r the I N FO R M A L P A R A P O L IT IC A L O R G A N I Z A T I O N S A N D

O a k l a n d Sc h o o l Bo ard . H e has b e e n p e rc e iv e d b y th e c o m m u n i ty

FO R M A L SY ST EM

an d

o u tsid e rs

as th e

u no f f ic ial

o r inf o rm al

m ay o r

of

W e st

O a k l a n d . In the e arl y 1990s, h e w a s also the c h ai r m an o f C ER T In a ty p i c al O a k l a n d Sc h o o l Bo a r d r a c e , o n e o f th e i n c u m b e n t

( C itiz e n Em e rg e n c y Re lie f Te am ) , th e n e w e s t an d p ro b ab l y m o s t

c a n d i d a te s w a s d e f e a te d an d r e p l a c e d b y a n e w c o m e r .

d y n a m i c o f the i n f o rm al o rg an iz atio n s in W est O ak l an d .

The

r e a s o n f o r th at d e f e a t w a s th e in ab ility , f ai l u re o r u n w i l l i n g n e s s o f th e i n c u m b e n t to d e al w i th th e P r o g r e s s i v e

T h e 1989 Lo rna Pri e ta Earth q u ak e w a s a c atastro p h e o f m ajo r

Se n i o r

i m p o rtan c e th ro u g h o u t the entire Bay A re a. In W e st O ak l an d , the

C i ti z e n s o n th e i s s u e o f a site f o r a Se n i o r C i ti z e n C e n te r, o n e

c o l l ap se o f the N i m i tz f re e w ay p ro v i d e d the i m a g e w ith the

o f th e o l d s c h o o l d o r m i to r i e s . T h e i n c u m b e n t is r e p o r te d

to

g re ate st v isu al i m p ac t an d the p o i n t w h e re m o s t p e o p l e d ie d .

h a v e s a i d th at h e tri e d a n d f ai l e d to o b tai n th e si te . T h e Pr o -

D a m a g e w as e x te n si v e th ro u g h o u t th e n e i g h b o rh o o d . O u t o f that

g r e s s i v e Se n i o r C i ti z e n s f o u n d th at r e s p o n s e to b e i n a d e q u a te

e v o l v e d a g ro u p w h o s e m e m b e r s h i p n u m b e rs f ro m 200 to 700,

a n d o r g a n i z e d a n e g a ti v e c a m p a i g n w h i c h l e d to h i s d e f e at.

w i th a h ar d c o re o f p ro b ab l y 150, a g ro u p that h as b e e n e x tre m e ly

T h i s is a c l e ar e x a m p l e w h e r e an i n f o r m a l o r g a n i z a ti o n targ e ts

su c c e ssf u l w ithin th e o ffic ial p o litic al sy ste m an d h a s d e v e l o p e d

a s p e c i f i c c a n d i d a te f o r e l e c ti v e o f f i c e a n d i n f l u e n c e s d i re c tl y

its o w n s u b - g o v e rn m e n t stru c tu re. Th i s su c c e ss w a s h e l p e d b y

th e e l e c ti o n o u tc o m e .

M a y o r Lio n e l W i l s o n w h o early o n w a s su p p o rti v e o f their c o n -

Th i s e x a m p l e also s h o w s h o w th e f o rm al sy ste m is sh ap e d b y the

i n f o rm al

sy ste m .

Elec to ral

c am p ai g n s

o rg an i z e d

by

the

c e rn s. T h e c ity m a n a g e r s h o w e d u p at o n e o f C ER T ' s m e e ti n g s an d

th e d istric t su p e rv i so r c a m e

o f th e f o rm al sy ste m , are he av ily i n f l u e n c e d b y i n f o rm al o rg an -

se v e ral c o n f ro n tatio n s w i th C al Tran s ( the C alif o rn ia D e p artm e n t

f o rm al

own

Transp o rtatio n

C o m m i tte e

C ER T

d ev elo p ed

iz atio n s. T h e i n f o rm al sy ste m s tan d s in b e tw e e n t w o

its

o n a re g u lar b asis.

f o rm al sy ste m , w h o s e o u tc o m e is i n te n d e d f o r the m a n a g e m e n t

w hich,

af ter

o f Tran sp o rtatio n ) , h as n o w b e e n i n v o l v e d in the ro u tin g o f th e n e w N i m i tz f reew ay . It h e lp e d d r a w th e o u tlines o f th e tw o alter-

p ro c e sse s. It h e lp s p r o d u c e the f o rm al o u tc o m e . T h e i n f o rm al s y s te m h as b e e n a w a y either to i n te g rate o r to

n ativ e ro u te s p ro p o s e d . It h as b e e n inf lu ential, f o rc in g the f o rm al

se g re g ate th e c o m m u n i ty . W h i l e o n e g ro u p m a y u se it to p ro p e l

s y s te m to b e n d its v i e w s an d d e m a n d i n g the p ro d u c ti o n o f a

f o rw ard its o w n e th n i c o r rac ial d e m a n d s o r p re se rv e its o w n tra-

n e g o ti ate d

d itio n s, in W e st O a k l a n d it h as rath e r se rv e d f o r th e i m p ro v e -

i n v i te d

m e n t o f w h o l e n e i g h b o rh o o d s . Th i s is w h y i n f o rm al p arap o litic al

C al Tran s an d the So u th e rn Pac if ic Railw ay .

o rg an i z ati o n s h av e b e e n ab le to ac c o m p l i s h so m u c h .

o f that c o m m i tte e h as

been

to in te rn al C alTrans m e e ti n g s an d in m e e ti n g s

o rd er. T h e c h ai rm an

w i th

A s e c o n d c o m m i tte e h as b e c o m e in v o lv e d in th e re d e v e l o p -

M a n y o f the p e o p l e in the i n f o rm al stru c tu re are sp re ad ac ro ss

ment

ef f o rt,

m aking

itself

the

v o ice

of

the

c itiz e n

in

the

the p o litic al sp e c tru m f ro m v e ry c o n se rv ati v e to v e ry lib eral. T h e

re d e v e l o p m e n t o f W e st O ak l an d . A third c o m m i tte e is in v o lv e d

th in g th at b ri n g s th e m to g e th e r is th e c o n c e rn f o r W e s t O ak l an d .

in e d u c ati o n an d th e p o litic al d i m e n s i o n o f the o rg an iz atio n , an d

Re c e n tly ,

th e y

h av e

beco me

e x tre m e l y

lib eral

in

te rm s

of

their ac c o m p l i s h m e n ts are rathe r im p re ssiv e . Ev e r y c o m m u n i ty

d e m a n d s f o r se rv ic e s, b u t no t a l w a y s ag re e ing o n th e se rv ic e s

f ro m V allejo to San Jo sé has, in f ac t, p asse d a re so lu tio n s u p -

that are n e e d e d .

p o rti n g

the c o m m u n i ty ' s

d em and

that the

f re e w ay

no t

be

86 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informality

and Urban

re c o n stru c te d o n C y p r e s s Street, a ro u te that e f f e c tiv e ly b ise c te d

the

the c o m m u n i ty . T h e c ity o f O a k l a n d h as p u t o n re c o rd three

liab ility is the lac k o f p ai d staff.

i n f o rm al

p o w er

stru c tu re,

87

Politics

h o w e v e r,

the

sing le

g reatest

m ajo r re so lu tio n s th at s u p p o rt this e f f o rt. The c o n g r e s s m a n an d

Th e re h as b e e n a p artial f o rm al i z ati o n o f C ER T in that the

the a s s e m b l y p e rs o n re p re se n tin g th e area b o th i n d i c ate d stro ng

g rants h a v e al l o w e d th e m to hire an e x e c u tiv e d ire c to r an d sec re-

s u p p o rt f o r the c o n c e rn s o f the re sid e n ts. T h e

o rg an iz atio n ,

tarial staff. Th e p h y s i c al o ffice w a s g i v e n b y the c h u rc h , an d the

d e sp i te its v o l u n te e r staff, h as m a d e itself a stro n g v o i c e fo r the

le ad e rs are all v o l u n te e rs. Th e g ran t w as o b v i o u sl y g iv e n to

n e i g h b o rh o o d .

C ER T b e c au s e W e st O ak l an d w a s so he av ily af f e c te d b y

T h e A f ri c an - A m e ri c an c h u rc h h as h a d an e n o r m o u s im p ac t in

the

e arth q u ak e an d th e m ag n i tu d e o f that effect is still v isib le. Th e

se v e ral w a y s o n the d ay - to - d ay o p e rati o n o f this i n f o rm al p ara-

d e g re e o f c itiz en i n v o l v e m e n t s h o w s the o fficial stru c tu re that

p o litic al o rg an iz atio n . T h e o ffice o f C ER T is in th e Be th l e h e m

this w o r k o f re c o n stru c tio n h as to b e c arried o u t.

Lu th e ran

C h u rc h , a n

in te g rate d

b u t p re d o m i n an tl y

A f ric an-

A m e r i c a n c h u rc h . T h e b o ard o f d ire c to rs o f C ER T h a s in its m e m b e rsh i p a n u m b e r o f p ro m i n e n t b l a c k p re ac h e rs, stro n g c h u rc h

I N FO R M A L P A R A P O L IT IC A L A N D FO R M A L V O L U N T A R Y

m e m b e r s . A c c o rd i n g to a k n o w l e d g e a b l e i n f o rm an t, if th e se p tu a

A SSO C IA T IO N S

g e n ari an m e n ti o n e d ab o v e is th e i n f o rm al m ay o r, an o th e r lay m e m b e r o f C ER T m u s t b e sin g le d o u t as the i n f o rm al p o litic al

Th re e ty p e s o f re latio n s c an b e e n v i si o n e d f ro m an institu tio nal

th e o re tic ian an d strate g ist f o r th e A f ri c an - A m e ri c an c hu rc h in

stan d p o i n t.

W e st O ak l an d .

Th e s e

re latio ns c an b e

d o m i n an t,

d ep end ent

or

i n te rd e p e n d e n t.

T h e c h u rc h h as p r o v i d e d the i n f o rm al sy ste m w i th t w o im p o rt-

T h e relatio n is d o m i n a n t w h e n th e in f o rm al c o - o p ts the f o rm al

ant so u rc e s o f su p p o rt. O n e is their m e m b e r s h i p : m e m b e r s o f th e

to jo i n its ac tiv ities w h i l e m ai n tai n i n g its v isio n, p ro c e d u re s an d

i n f o rm al s y s te m are re c ru ite d f ro m a m o n g the m e m b e r s h i p o f the

g o al s. T h e f o rm al v o l u n tary asso c iatio n jo ins f o rc e s w ith th e

c h u rc h , th o u g h n o t exc lu siv ely . A n o th e r is the s u p p o r t o f their

i n f o rm al g ro u p in an ac tio n that it h as n o t d e v e l o p e d b u t is

m i n i ste rs, b o th o f w h o m h av e s e rv e d to g iv e th e o rg an iz atio n

w i l l i n g to su p p o rt.

e v e n g re ate r l e g i ti m ac y in the e y e s o f th e f o rm al s y s te m . Fro m their p u l p i t, th e y h a v e also s u p p o rte d th e ef f o rts o f C ERT. So m e

The

Urb an

Le ag u e

h as

s o m e ti m e s

been

c o n n e c te d

to

an

i n f o rm al g ro u p p u t to g e th e r to so l v e a sp ec if ic issu e , f o r e x am p l e

o f th e Pro te stan t M i n i ste rs an d C ath o l i c p riests h a v e also p ro -

the installatio n o f a sto p lig ht at a p artic u lar c o rne r. A g ro u p o f

v i d e d i n v al u ab l e l e ad e rsh i p . O n e o f t h e m w as, in f ac t, a m e m b e r

p eo p le

o f th e M a y o r ' s Earth q u ak e Re lie f C o m m i tte e an d w a s ab le to

i n f o rm al lead ers. A s th e y d isc u ss th e m atte r a m o n g th e m se l v e s,

h e l p C ER T in g e ttin g g ran ts f ro m th e M a y o r ' s Ea r th q u a k e Relief

th e y m a y seek an d e nlist the h e lp o f th e U rb an Le ag u e in id e nt-

Fu n d .

if y in g th e p e o p l e to talk to at C i ty H al l o r, if the p o w e r stru c tu re

m ig ht c o m e

to g e th e r f o r su c h

a p u rp o s e , aid e d

by

Partial f o rm al i z ati o n o f the i n f o rm al stru c tu re h as c o m e ab o u t

is n o t re sp o n siv e to th e ir req u est, th e y m a y u se the U rb an Le ag u e

as a re su l t o f f o rm al f u n d i n g . In f o r m al o rg an i z ati o n s s o m e ti m e s

m o tto o r b an n e r to d o their p ic ke tin g . This is an e x am p l e o f th e

f o rm al i z e their ad m i n i strati v e stru c tu re fo r m o re e f f ic ie n c y an d

i n f o rm al g etting s u p p o rt f ro m a f o rm al o rg an i z ati o n to f ig ht

to b e ac c o u n tab l e to th e f o rm al s y s te m . A s u p e rv i s o r' s w if e w h o

ag ain st an o th e r f o rm al o rg an iz atio n to so lv e a p ro b l e m id entif ied

hap p e ne d

b y an i n f o rm al g ro u p .

to b e

th e

p re sid e n t

of

th e

g ro u p

N eig hb o rho o d

H o u s i n g w a s inf lu e ntial in g e ttin g C ER T a g ran t f r o m the San Fran c i sc o

Fo u n d ati o n .

O th e r

c h u rc h e s

h av e

p ro v id ed

T h e re latio nship o f th e in f o rm al to th e f o rm al v o l u n tary o rg an -

sm all

iz atio n b e c o m e s d e p e n d e n t w h e n th e latter se e ks an d enlists th e

a m o u n ts o f m o n e y a n d h av e let C ER T u s e their n a m e s f o r w h at-

h e l p o f the f o rm er. A v o l u n tary asso c iatio n m a y n o t h av e th e

e v e r g o o d w i l l this m i g h t b ri n g th e m i n te rm s o f f i n an c e s. W ithin

re so u rc e s to s h o w th at th e y ac tu ally h a v e m ass su p p o rt o n b e h al f

The Informal City 88 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality

and Urban

89

Politics

o f a sp e c if ic d e m a n d o r g ri e v an c e s o i n f o rm al l e ad e rs are o f ten

p e ti to rs an d in a strate g i c p o si ti o n to g rab a jo b in the f o rm al

c o n tac te d to b rin g th e g rassro o ts o u t f o r a p u b l i c s h o w o f su p -

se c to r? D o th e y s o l v e p ro b l e m s th at th e c ity c o u l d n o t so lv e ? D o

p o rt. In this c ase the c au s e is n o t d e v i s e d b y th e i n f o rm al , b u t

th e y c o n sti tu te a l ay e r linking th e n e i g h b o r h o o d p e o p l e to th e

th e y e n d o r s e it b e c au s e th e y see m u c h g o o d in it.

m a y o r ' s o ffice - th at is, i n ste ad o f g o i n g to see th e m a y o r w o u l d

T h e re latio n sh ip b e tw e e n the i n f o rm al s an d the f o r m a l v o lu n tary asso c iatio n s b e c o m e i n te rd e p e n d e n t w h e n b o th id e n tif y the

a c i ti z e n elec t to s e e th e m , b e l i e v i n g that th e y h a v e b e tte r ac c e ss to th e m a y o r ' s o f f i c e ?

s a m e p ro b l e m an d w o r k jo in tly o r se p arate l y w i th d if f e re nt strat-

It is o b v io u s th at th e n atu ral l e ad e r m a y n o t h a v e the s a m e

e g ie s, a n d i n f o rm e ac h o th e r ab o u t th e i r p ro g re ss, w i th the g o al

i n f l u e n c e o v e r p e o p l e o u tsid e his o r h e r n e i g h b o rh o o d . H is c o n -

o f ac h i e v i n g the s a m e e n d .

tac ts are lim ited to th e p e o p l e o f h i s n e i g h b o rh o o d an d to o th e r lo c al le ad e rs w i th w h o m h e m a y c o llab o rate o r b e i n c o m p e titio n . H is c o ntac t at C ity H al l m a y b e d irec tly w ith the m a y o r o r w ith an

I N FO R M A L L EA D ER S

inf lu e ntial p e rso n in that o ffice. T h e n e tw o rk o f c o ntac ts b o th h o ri z o n tal l y an d v e rtic ally is l i m i te d .

Be i n g a n i n f o rm al l e ad e r is a w a y o f ap p ro p ri ati n g p o w e r an d o f b e i n g inf lu ential in o n e ' s c o m m u n i ty . It g iv e s th e

T h e p o sitio n o f i n f o rm al le ad e r m a y lead to a jo b in the f o rm al

in d iv id u al

o r p u b l i c secto r. Be i n g an i n f o rm al le ad e r m a k e s th e p e rso n m o r e

ac c e ss to au tho rity . T h e i n te rm e d i ary ro le o f th e i n f o rm al le ad e r

v isib le , lead s to c o n tac ts w ith c ity o f f ic ials, an d re v e al s h o w m u c h

is p l ay e d o u t in three d if f erent w ay s : as a p o litic ian, as a b ro k e r o r

that in d iv id u al m a y b e n e e d e d b y the u rb an p o litic al estab lish-

m id d le m an,

m e n t. In f o rm al l e ad e rs h i p is e stab l i sh e d o v e r ti m e an d is b as e d

o r as an

ad m in istrato r.

Th e p o litic ian

p ro v i d e s

i n f o rm al le ad e rsh ip to th e c o m m u n i ty . T h e b ro k e r h e l p s C i ty H al l

o n a re latio nship o f tru st an d the k n o w l e d g e that th e n e i g h b o r-

u n d e rs tan d the n e e d s o f the c o m m u n i ty . Th e ad m i n i strato r se e ks

h o o d a n d C ity H al l g ath e r ab o u t th e lead er. T h e i n f o rm al le ad e r

fund s

and

d ev elo p s

p ro g ram s

th at

he

or

she

m ay

the n

is k n o w l e d g e ab l e

ab o u t the c o m m u n i ty

an d

c o m m and s

th e

s u p p o r t an d re sp e c t o f his f o llo w e rs.

ad m in iste r. In f o rm al lead ers m u s t b e seen as liaiso ns b e tw e e n th e c o m m u n -

So m e i n f o rm al l e ad e rs m ay d e c i d e n o t to take a f o rm al g o v e rn -

ity an d C i ty H all, as p ro v i d e rs o f i n si g h ts w h e n th e y are c alled o n

m e n t jo b b e c au se th e y realiz e h o w m u c h in f lu e n c e an d p o w e r

b y C i ty H al l , an d as sh ap e rs o f p o l i c y w h e n their o p i n i o n s are

th e y h a v e as i n f o rm al lead ers. T h e y h o l d their i n f l u e n c e b y v irtu e

s o u g h t b e f o re p o lic ie s are d e v e l o p e d

Th e

o f k n o w i n g a lo t o f p e o p l e , y o u n g a n d o ld . Th e f ac t that they are

m a y o r re c o g n i z e s the p o w e r o f th e se le ad e rs an d s e e k s their h e l p

n o t p a i d he lp s p ro je c t their i m ag e as p e o p le c ari n g f o r the g o o d

an d i m p l e m e n te d .

to p ro p ag an d i z e p ro je c ts o r g et v o te s in a c am p ai g n . T h e m a y o r

o f th e c o m m u n i ty . W h a t kind s o f inf lu enc e c an i n f o rm al le ad e rs

se e s th e m as e ac h f u lf illing d if f erent f u n c tio n s in th e c o m m u n i ty ,

e x e rt o n C ity H al l , si n c e th e y p e rf o rm a se lf - ap p o in te d le ad e rsh ip

an d in c allin g o n th e m re c o g n iz e s th e p o w e r o f e ac h o n e o f th e m .

ro le ? C a n c o - o p tati o n lead to th e in c o h e re n c e o f the i n f o rm al

Th e re latio n s b e tw e e n the m ay o r a n d the i n f o rm al l e ad e rs is a

o rg an i z ati o n ? In f o r m al lead ers w h o h av e b e e n c o - o p te d c an n o t

tw o - w ay m o v e m e n t: th e y c all o n e ac h o ther to ac h i e v e state d

d ro p their i n f o rm al ro le o v e rnig ht. Th i s is n o t a d e c i si o n they c an

g o als.

m a k e b y th e m se l v e s - the p e o p l e are also a f ac to r in c arry ing o u t

T h e c o n n e c ti o n s o f th e m a y o r ' s o f f ic e w i th i n f o r m a l l e ad e rs at

that d ec isio n. T h e y w ill c o n ti n u e to c all o n t h e m o n i n f o rm al

Th e s e re l ati o n s h i p s o f

g ro u p m atte rs an d p ro b l e m s . Th e o th e r f ac to r is th at the p o sitio ns

th e n e i g h b o r h o o d l e v e l are m u l ti p l e x .

4

i n f o rm al l e ad e rs to th e m a y o r ' s o f f ic e le ad u s to p o n d e r

a

th e y are g iv en m a y b e tied to their inf o rm al ro le in the c o m -

n u m b e r o f q u e s ti o n s . To w h o m are th e y c o n n e c te d b o t h in th e

m u n i ty as a c o n sti tu e n t b asis o f su p p o rt. In th at c ase , i n f o rm al

m a y o r ' s o f f ic e an d th e c o m m u n i ty ? A r e th e y ac ti n g to p r o m o te

ac c e ssib ility re m ai n s i m p o rtan t in the p e rf o rm an c e o f the n e w ,

their se lf - in te re sts, p l ac i n g

f o rm al jo b .

th e m s e l v e s

ah e ad

of

th e i r

co m-

The Informal City 90 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality

and Urban

91

Politics

e l e c ti o n b e c a u s e th e m a y o r th r e w h i s w e i g h t b e h i n d th e o th e r

In th e i n f o rm al p o litic al arena, p o w e r is b o th d i s p e rs e d

an d

h i e rarc h i z e d . In the n e i g h b o rh o o d , o n e m u s t d i sti n g u i sh

the

c a n d i d a te . T h e i n f o r m a l s e c to r d i d n o t h a v e ac c e ss to

th e

c e n te r- state i n f o rm al l e ad e rs an d th e satellite i n f o rm al le ad e rs.

m a jo r f i n an c i al r e s o u r c e s o f th e l arg e r f o r m a l s tru c tu re

and

W h i l e th e c e n te r- stag e rs p ro v i d e l e ad e rsh i p to the w h o l e area, the

c o u l d n o t m u s te r its p e o p l e p o w e r in a u n i f i e d w a y ag ai n st th e

satellites m a y d o so o n l y to their i n d i v i d u al b l o c ks. W e see h e re

i n c u m b e n t.

the h ie rarc h iz atio n o f th e le ad e rship a m o n g i n f o rm al l e ad e rs. Th e satellites ref er i n d i v i d u al s o r i n f o rm th e c e n te r- stag e rs

In th e m ay o ral c a m p a i g n o f 1990, the in f o rm al le ad e rs o f C ER T

ab o u t

w e r e n o t ab le o r w e r e u n w i l l i n g to c o n so lid ate their v o i c e s

n e i g h b o r h o o d p ro b l e m s to b e ad d re sse d , o r seek th e ad v i c e o f the

b e h i n d o n e c an d i d ate . In fact, th e m e m b e r s o f th e b o a r d o f d ire c -

c e n te r- stag e rs, o r l o b b y th e c e n te r- stag e rs to b ri n g th e p ro b l e m to

to rs su p p o rte d the i n c u m b e n t M a y o r Lio nel W i l so n . Th e c h air-

the atte n ti o n o f the o th e r su b - g ro u p s o r the g e n e ral assem b ly .

m a n su p p o rte d El i h u H arris, an d tw o o thers s u p p o rte d W i l so n

Th is c an also b e d o n e b y c o n tac tin g d ire c tly the o th e r i n f o rm al

Rile s. H arris w o n . So m e see this l ac k o f u n an i m i ty as a lac k o f

le ad e rs re p re se n tin g v ari o u s m i c ro - n e i g h b o rh o o d s.

u n i ty o f p u rp o se , b u t o thers se e it as a strate g y to av o id h av i n g

T h e i n f o rm al le ad e r c an also b e f o u n d in the p e rs o n o f a f o rm al

all th e i r e g g s in o n e b aske t.

o ffic ial w h o h as left a f o rm al jo b . T h e r e are c ases o f m e m b e r s o f c ity c o u n c i l s w h o lo se elec tio ns an d re tu rn to the n e i g h b o rh o o d . W h a t d o e s it take f o r su c h a p e rs o n to b e c o m e an

i n f o rm al

M O D ES O F R EL A T IO N S W I T H T H E F O R M A L

l e ad e r? If h e o r sh e w a s an in f o rm al le ad e r p rio r to l an d i n g the f o rm al jo b an d c o n ti n u e d to m ai n tai n c o n tac ts thereaf ter, the re-

Fr o m th e stan d p o i n t o f the i n f o rm al , relatio ns m a y so m e ti m e s b e

e n try w i l l n o t c au se an y p ro b le m . Pe o p l e w h o w e re n o t f o rm e rl y

e stab l i sh e d w i th th e f o rm al s y s te m b y m e an s o f c o - o p tatio n . C o -

i n f o rm al le ad e rs c an b e c o m e lead ers b e c au s e o f th e e x p e rti se they

o p tati o n c an b e s e e n as to tal o r p artial. It is to tal w h e n

are ab le to o ffer. To the e x te n t that s u c h f o rm al l e ad e rs ac c e p t the

i n f o rm al is g iv e n a jo b in the f o rm al sec to r o n a f u ll- tim e b asis so

an

ro le o f i n f o rm al l e ad e rs, th e y w ill b e re c o g n i z e d as s u c h b y th e

that h i s p ri m ary alle g ian c e is se e n to b e shif ting to th e f o rm al. It is

g ro u p .

p arti al

T h e i n f o rm al o rg an i z ati o n is s o m e ti m e s rife w i th

d iv isio n

w hen

th e

i n f o rm al

is b ro u g h t

to

th e

f o rm al

in

an

e m e r g e n c y o r ad v i s o ry c ap ac ity .

b e c au s e o f th e id e o lo g ic al o rie ntatio ns o r d if f erent p e rc e p ti o n s o f

T h e p artic ip atio n o f p e o p le in the f o rm al se c to r te n d s to ac t as a

the i n f o rm al lead ers. T h e issu es that tie th e g ro u p to g e th e r d o n o t

b aro m e te r o f the u n d e rs tan d i n g o f their i m p ac t o n the i n f o rm al

n e c e ssari l y i n c l u d e the w illin g n e ss to s u p p o rt an y o n e i n d i v i d u al

sec to r. Th e d e g re e to w h i c h a p e rs o n is c o m p e te n t in the f o rm al

i n f o rm al le ad e r f o r p u b l i c o ffice. O n e i n f o rm an t state d th at m a n y

se c to r ref lec ts h is o r h e r p e rf o rm an c e in the i n f o rm al . So m e o n e

p e o p l e like h i m as c h ai r m an o f the tran sp o rtatio n c o m m i tte e , b u t

w h o lac ks c o m p e te n c e in the f o rm al sec to r m a y l ac k c red ib ility in

s h o u l d h e b e c o m e a c an d i d ate f o r an elec tiv e o ffice i n th e f o rm al

the in f o rm al. T h e i n f o rm al se c to r relies g re atly o n v e rb al inter-

s y s te m th e y w o u l d p ro b ab l y o p p o se h i m b e c au se o f f e e lin g s an d

ac tio n an d the d e g re e to w h i c h a p e rs o n is ab le to artic u late an d

p e rso n al i ty c lash e s. H e b e lie v e s that p e o p l e are af raid o f h i m f o r

to e x p re ss h i m se l f w i th a c ertain v ig o r.

the s a m e re aso n s th e y like to h av e h i m av ailab le to f ig ht the ' o u tsi d e rs' .

T h e f o rm al se c to r selec ts ad v i s o rs f ro m th e in f o rm al.

The

f o rm al sec to r c alls o n th e m to h e l p w ith m atte rs c o n c e rn i n g th e

T h e s a m e q u al i ti e s th at m a k e p e o p l e i n to l e a d e r s in th e

i n f o rm al an d at th e sam e tim e th e in f o rm al ad v i so rs e n h an c e

i n f o r m a l s e c to r m a y m a k e it v e ry d i f f i c u l t to g e t t h e m ac c e p te d

th e ir statu s in the i n f o rm al setting . In this c ap ac ity , th e y help th e

as p ar t o f th e f o r m a l s e c to r in a n y th i n g o th e r th a n a n a d v i s o r y

i n f o rm al c o m m u n i ty g e t g rants an d c o m m u n i ty se rv ic e s an d e ase

c ap ac i ty . T h e n e i g h b o r h o o d d id r u n P a u l C o b b o n c e f o r c ity

the te n sio n that th e f o rm al se c to r m a y e x p e ri e n c e in d e aling w i th

c o u n c i l , b u t h e lo st to an o th e r c a n d i d a te in a h o tl y c o n te s te d

the i n f o rm al s.

The Informal City 92 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Th e ad v i s o r serv es as a p arad i p l o m at re p re se n tin g the interests

Informality

and Urban

93

Politics

in i n d u stry c an b e ap p l i e d he re as w e l l : "The m o s t p o w e rf u l

o f the i n f o rm ai s. Th e p e rs o n f ro m m e f o r m a l sec to r c alls o n su c h

ac to rs are th e i n c u m b e n ts si m u l tan e o u sl y h o l d i n g k e y p o sitio ns

e x p e rtise to h e l p so lv e p ro b l e m s . Th e ties m a d e h e re th ro u g h the

w ith in b o th w e b s o f f o rm al an d i n f o rm al relatio ns to

m i d d l e m an - ad v i s o r stre n g th e n the p o si ti o n o f the i n f o rm ai s .

o rg an i z ati o n p artic ip an ts.'

Th e id e a that the i n f o rm ai s are a p o l e o r the o the r si d e o f the

Fr o m

th e C ity H al l sid e , the e le c te d

o ffic ials se e

o the r

in f o rm al

f o rm al c an b e se e n in tw o w ay s . Sin c e m e m b e r s o f the i n f o rm al

o rg an i z ati o n s as se p arate g ro u p s w a g i n g tu rf w ars, c h al l e n g i n g

g ro u p m a y n o t b e the s a m e as tho se o f th e f o rm al , th e y are linke d

o r s u p p o rti n g their c an d i d ate s, b u t l ac k i n g in m a n a g e m e n t, p lans

to e ac h o th e r th ro u g h th e i n f o rm al l e ad e rs, o r the m e m b e r s o f the

an d an aw are n e s s o f l arg e r issu es. T h e y are se e n as f o r m i n g m a n y

f o rm al g r o u p m ay b e th e s a m e i n d i v i d u al s w h o p arti c i p ate in the

f ac tio ns th ro u g h o u t th e city .

in f o rm al. T h e y m ay b e f u ll- tim e p arti c i p an ts in the f o r m a l an d p art- tim e p artic ip an ts in th e in f o rm al. Th e n e i g h b o rh o o d i n f o rm al o rg an i z ati o n h as its o w n w a y o f p e n e trati n g

the f o rm al

p o litic al s y s te m .

T h e strate g y u se d b y C i ty H all to re d u c e their in f lu e n c e o r to c o n tro l th e m is to c re ate sp ec ial c itiz e n g ro u p s as a w a y

It d o e s so

th ro u g h

of

inf iltrating an d c re atin g a b alanc e to th e se o p p o si ti o n g ro u p s. In d i v i d u al s m a y b e c o - o p te d to se rv e as inte rlo c u to rs al o n g w ith

i n f o rm al - to - f o rm al c o n tac t b y su b m i tti n g an d p re se n ti n g issu e s;

o the rs f r o m o the r c o m p e ti n g g ro u p s. Th i s w a y th e y d o n o t rep re-

th ro u g h

sent a th re at to u nity a n d c an b ri n g f o rth issu e s that d e se rv e the

i n f o n n al - to - i n f o rm al

p o litic al p ro c e sse s

( kitc hen c ab i n e t) ; th ro u g h in f o rm al- to - in f o rm al

at C i ty

H all

ad m i n i strati v e

p ro c e sse s; a n d th ro u g h s i m u l tan e o u s m u l ti p l e attac ks in all three b ran c h e s.

atte n tio n o f the c ity as a w h o l e . C ity H al l re c o g n iz e s th at the i n f o rm al sy ste m is v e ry hard to m a n a g e . T h e c ity n e u tral i z e s tro u b l e m ak e rs a m o n g th e inf o rm al le ad e rs in three m ajo r w a y s : (1) b y h aras s m e n t - that is u nd erm i n i n g th e ir l e ad e rsh i p ; ( 2) b y i g n o ri n g th e m , o r ( 3) b y c reating

T H E M A Y O R ' S O FFIC E A N D I N FO R M A L O R G A N I Z A T I O N S

alte rn ativ e in f o rm al l e ad e rs. Th e strate g y h as also b e e n to c reate alte rn ativ e i n f o rm al g r o u p s that o n e c an c o ntro l, o r to infiltrate

Th e f o rm al sy ste m is aw ar e o f the e x i ste n c e o f the i n f o rm al p ro -

an d e n c ad re i n f o rm al g ro u p s w ith o n e ' s o w n p e o p l e . A s o ther

c ess: th e ac to rs are e n g a g e d in it f o r th e ir p o litic al su rv i v al an d

i n f o rm al le ad e rs are c re ate d , they are m a d e to p l ay ag ai n st e ac h

m ai n tai n c o llab o rativ e c o n tac ts w ith i n f o rm al p o litic al l e ad e rs as

o ther. Tro u b l e m ak e rs are ig no re d : their te l e p h o n e c alls are either

p art o f c ity g o v e rn an c e . A s tu te p o litic ians s o m e ti m e s c o m e f ro m

n o t re tu rn e d o r are o n l y re tu rne d o n e o r tw o d ay s later, an d they

the i n f o rm al sy ste m an d h av e b e e n e l e c te d to o ffice b e c au s e o f

are n o t in v ite d to p u b l i c so c ial af f airs.

their g rassro o ts c o n n e c ti o n s. O n c e in o f f ic e th e y c o n ti n u e

to

Fr o m th e c ity an g le , th e ru lers lo o k at the i n f o rm al at th e n e ig h -

m ai n tai n th e se links. In f ac t, elec tio n d o e s no t m e a n that they

b o rh o o d le v e l w ith a n e y e to c o - o p tati o n an d c o llab o ratio n , to

g iv e u p th e ir m e m b e r s h i p in tho se g ro u p s . Th e y c o n ti n u e to p lay

e n h an c i n g the p o si ti o n s o f allies an d d o w n g r ad i n g th e p o sitio ns

m ajo r ro le s, at tim e s c o n v i n c i n g the m e m b e r s h i p to s u p p o r t their

o f h o sti l e in f o rm al o rg an iz atio n s, a n d to a c o m b i n e d

p o lic ies. Fo r e x am p l e , th e y m a y n e e d th e g rassro o ts to s h o w u p

b as e d o n the i m p o rtan c e o f i n f o rm al o rg an i z ati o n s linked

fo r a sp e c i al m e e ti n g at C i ty H all to s u p p o rt a p ie c e o f leg islatio n

u n i o n s , their siz e, ag e , f rag ility a n d their o v erall i m p o rtan c e in

o r to p u t p re ssu re o n th e m a y o r an d c ity c o u nc il to f av o r a sp e -

the n e i g h b o rh o o d .

cific p o lic y . So m e ti m e s th e y si m p l y f e e d the g rassro o ts

strateg y to

w ith

Fr o m th e c ity sid e, tw o kind s o f i n f o rm al g ro u p s c an b e d is-

insid e i n f o rm ati o n n o t av ailab le to o th e r resid ents. O th e r p o li-

ti n g u i sh e d : the n e i g h b o rh o o d g ro u p s an d the c o rp o rate w o rl d .

tic ians w h o m i g h t h a v e b e e n ac tiv e in o n e g rassro o ts area m ay

T h e c o r p o r a te w o r l d is m a d e u p o f th e o l d - g u a r d

d e v e l o p c o rd ial re latio ns w ith o ther g rassro o ts areas o n c e they

men,

are e l e c te d . W h a t K n o k e ( 1990: 93) sai d ab o u t the l e ad e rsh i p ro le

e n tre n c h e d

b u siness-

l aw y e rs , p ro f e ssio n al p e o p l e a n d o ld f am ilie s w h o in

c ity

p o litic s.

Be h i n d

the

sc e n e s,

th e y

are

m ake

94 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City d e c i si o n s an d in f lu e n c e the p o l i c y - m ak i n g p ro c e s s an d

p o lic y

i m p l e m e n tati o n . T h e y c all c o u n c il m e m b e r s , s o m e ti m e s

Informality

and Urban

95

Politics

T h e f o rm al ad m i n i strati v e p ro c e ss c reates its o w n

in f o rm al

meet

ad m i n i strati v e stru c tu re . Th e b u re au c rati c p ro c e ss w i th its o w n

w i th th e m , an d b e c au s e o f their ab ility to p ro v i d e se rv ic e s to

rig id ity is an o b stac le to efficiency . It o p e rate s b o th f o rm al l y w i th

e le c te d o ffic ials ( su c h as raising m o n e y f o r an e l e c ti o n o r g iv in g

o u tsi d e rs

f in an c ial c o n trib u tio n s to a c am p ai g n ) their v o ic e s are h e ard .

b u re au c ratic p ro c e ss, i n f o rm al l e ad e rs w h o h av e c o n tac ts in the

T h e f o rm al se c to r e stab lishe s its o w n i n f o rm al ap p aratu s f o r

an d

i n f o rm al l y

w ith

insid e rs. To c u t th ro u g h

the

o ffice c an p e ne trate th e in f o rm al b u re au c rati c s y s te m to ac hiev e a

e f f ic ie n c y in h an d l i n g issu es, to s e rv e as links, o r to listen to

f o rm al o u tc o m e . So m e ti m e s the i n f o rm al g ro u p at th e n e ig h b o r-

i n f o rm al g ro u p s a n d b ri n g their d e m a n d s to th e atte n ti o n o f the

h o o d le v e l is ab le to ad ju st to the i n f o rm al p o litic al p ro c e ss at

m ay o r. Te l e p h o n e c o n v e rsati o n s p ri o r to a m e e ti n g p ro v i d e an

C ity H al l an d no t to its attend ant i n f o rm al ad m inistrativ e p ro c ess.

i n f o rm al w a y to g et v o te s an d s o l v e th e p ro b l e m o f sp lit v o te s. Th i s i n f o rm al p ro c e d u re is n e c e ssary f o r ef f ic ienc y b e c au s e m e e ting s c an n o t last l o n g e n o u g h to w o r k o u t all th e d e tails in a p ar-

T H E I N FO R M A L I T Y O F U R BA N P O L IT IC S

tic u lar m atte r. Th e i s s u e m a y b e w e l l d isc u sse d i n f o rm al l y ah e ad o f ti m e b e c au s e this c an n o t b e ac h i e v e d in a tw o - h o u r m e e tin g . T h e i n f o rm al p l ay e rs at C ity H al l are the f o r m a l e m p l o y e e s .

Th e i n f o rm al d i m e n s i o n is e v e r m o r e p resent in th e o rg an iz atio n o f u r b a n p o litic s at b o th the n e i g h b o rh o o d an d c ity g o v e rn m e n t

Th e s e are th e lo y alists w h o c o m p ri se th e kitc h e n c ab i n e t o f th e

le v e ls ( G u e st an d O ro p e s a, 1986) . T h at inf o rm ality is p art an d

m ay o r, p ro te c t h i m o r h e r an d p re p are p o lic ies. T h e c e n te r o f th e

p arc e l o f the f o rm al p o litic al s y s te m in the ru n n i n g o f the e v e ry -

ad m i n i strati v e p ro c e ss is id entif ied as the g an g ( ad m i n i strati v e

d ay af f airs o f the city , in the elec to ral p ro c ess, in th e p o l i c y env ir-

d e c i si o n s are m a d e b y the g an g ) ; p o litic al p o lic ies a n d p l an n i n g

o nment

rest w i th th e p o litic al c liq u e , b u t p o litic al d e c isio n s are m a d e b y

e l e c te d o fficials w i th th e ir c o n stitu e n c ie s.

the g an g . T h e i n f o rm al se c to r in the m a y o r ' s o f f ic e c o n sists o f h is staff. If

an d

i m p l e m e n tati o n ,

and

in the o v e rall

relatio n

of

U r b a n p o litic s is p l ay e d o u t o n tw o reg isters: th e f o rm al that is leg al, v isib le an d o f f ic ial, an d th e i n f o rm al that is h i d d e n an d

o n e c a n n o t see the m ay o r, o n e m a y b e ab le to se e m e m b e r s o f h is

s o m e ti m e s illeg al. Be c au s e o f th e to p - d o w n n atu re o f ad m i n -

o r h e r staff. Th e m a y o r m a y listen m o r e to o n e staf f m e m b e r than

istratio n, a v ast array o f h u m an ac tiv ities is n o t ac c o u n te d f o r

to an o th e r. Th e re is a h ie rarc h y b o th in the w a y th e m a y o r p e r-

al th o u g h th e y p l ay k e y ro les in th e c o n d u c t o f th e p o litic al life o f

c e i v e s th e n e i g h b o rh o o d - b as e d i n f o rm al g ro u p s a n d th e w a y h e

the city . Th e i n f o rm al reg ister g iv e s su stain e d lif e to the f o rm al

p e rc e i v e s the i n f o rm al s in his o f f ic e. In the n e i g h b o r h o o d , o n e ' s

s y s te m .

p o si ti o n d e p e n d s o n o n e ' s i m p o rtan c e an d lo y alty to th e m a y o r ' s

U r b a n p o litic s h as an in f o rm al d i m e n s i o n b e c au s e o f the w e b

o f f ic e. In the o ffice, it is b ase d o n f ri e n d sh i p , w h e th e r o n e k n o w s

o f i n f o rm al relatio ns th e elec ted o f f ic ials c arry w i th th e m . T h e

th e p l ay e rs , an d w h e th e r o n e c an p ro v i d e re liab le ad v ic e an d

n e tw o r k o f i n f o rm al relatio ns that th e y h av e p ri o r to c o m i n g to

lo y alty .

the c i ty o ffice an d th e i n f o rm al w a y s th e y h av e b e e n so c ializ ed to

T h e i n f o rm al g ro u p , w h i c h is i n f o rm al b y d e f initio n, is aske d to

d o th i n g s c an n o t b e d i sm i sse d o v e rn i g h t. In fac t, th e y m u s t re ly

p re se n t f o rm al d e m a n d s to b e d i sc u sse d f o rm ally . Bo th e n try a n d

o n s o m e o f th e m to su rv iv e in o f f ic e. Th e n o ti o n o f ' kitc he n

i n f l u e n c e c an b e i n f o rm al , u sing an in f o rm al ap p r o ac h to d e al

c ab i n e t' c ertainly i m p l i e s that e v e n w i th i n a f o rm al c ab in e t there

w i th th e f o rm al p o litic ian, their i n f o rm al o rg an i z ati o n an d the

m a y b e a c liq u e c l o se r to the b o s s w h o inf lu enc e th e d irec tio n o f

f o rm al b u re au c rac y w i th its i n f o rm al ap p aratu s. Th i s is w hy , f o r

u rb an p o litic s.

an al y ti c al re aso n s, it is p ro d u c ti v e to se p arate th e f o rm al p o litic al

T h e i n f o rm al are n a is the p lac e w h e r e p o litic al m an e u v e r s that

s y s te m f ro m the f o rm al b u re au c ratic sy ste m , al th o u g h in p rac tic e

c an n o t b e c arried o u t in the o p e n are ac c o m p l i sh e d . Inf o rm ality

th e y are i n te rtw i n e d a n d i n te rd e p e n d e n t.

p ro v i d e s a b ac k - u p

to sp e e d u p c u m b e r s o m e p ro c e d u re s, to

96 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City re d u c e th e tim e that c an n o t b e s av e d a n d to d o th i n g s that c an n o t

Informality

and Urban

97

Politics

te n n i s c o u rt. O n c e th is is ac c o m p l i s h e d in the i n f o rm al d o m ai n ,

n e c e ssari l y b e d o n e in th e o p e n b e c au s e d o ing th e m o p e n l y e ithe r

th e y c an c o m e b a c k to the C h a m b e r an d take th e v o te s. This is a

d e f e ats th e p u rp o se o r is illeg al.

c l e ar c ase o f the i n f o rm al re sc u in g th e f o rm al.

In f o rm al i ty an d f o rm al i ty are tw o sid es o f th e s a m e p o litic al

T h e i n f o rm al c an also b e se e n as a saf ety v al v e . W h e n e v e ry -

p ro c e ss an d reflect th e so c io lo g ic al reality o f e v e r y d a y life. In th e

th i n g e lse h as b e e n trie d , the i n f o rm al m ay b e s o u g h t as an u lti-

c o n d u c t o f u rb an af f airs, in f o rm ality c o m e s to th e re sc u e o f th e

m a te are n a. It al l o w s a d e c o n trac ti o n o f the f o rm al s y s te m b y w a y

f o r m a l s y s te m , w h i l e th e f o r m a l is u s e d to g i v e l e g i ti m a c y to

o f its e x p an si o n .

th e i n f o rm al . In o th e r w o rd s, th e f o rm al sy ste m a n d p ro c e ss o f

T h e i n f o rm al s y s te m p ro v id e s a b ac k- stag e re h e arsal. It is h e re

u rb an p o litic s c an n o t b e u n d e rs to o d f u lly w i th o u t p ay i n g atten-

th at c o m p ro m i s e s are m ad e , the p ro b l e m s o f th e f o rm al are c o n -

tio n to th e in f o rm ality that it c o n tain s an d that s h ap e s its c o nte nt.

te m p l ate d

an d

strate g ie s

fo r

c hang e

are

d ev elo p ed .

Th at

re h e arsal p red ic ts th e p o ssib ility f o r su c c e ss in th e f o rm al , v isib le o n - s tag e p e rf o rm an c e . T H E PO L IT IC S O F I N FO R M A L I T Y

T h e i n f o rm al al so p ro v i d e s a s y s te m o f c o m m u n i c ati o n to th e f o rm al . Su c h i n f o rm al c o m m u n i c ati o n g iv es ac c e ss to i n f o rm a-

T h e i n f o rm al p o litic al p ro c ess e x ists in e v e ry A m e r i c a n c ity f o r

tio n n o t o th e rw i se av ailab le an d is an in f o rm al s y s te m b e c au se o f

the s i m p l e reaso n th at d e m o c rac y al l o w s it, the i m p e rf e c ti o n o f

th e i n f o rm al ac q u isitio n , analy sis a n d c o n te n t o f th e in f o rm atio n .

th e f o rm al g o v e rn m e n tal sy ste m in v ite s it, n e i g h b o r h o o d resi-

Fe w lo c al an d c ity p o litic ians c o u l d su rv iv e w i th o u t b e i n g f e d

d e n ts w e l c o m e the o p p o rtu n i ty to m a k e their v o i c e s h e ard in an

ro u ti n e l y w ith this k i n d o f i n f o rm al inf o rm atio n.

ef f o rt to i m p ro v e l o c al c o n d itio n s, a n d c ity o f f ic ials ro u tin e ly u s e it to ac h i e v e a su c c e ssf u l o u tc o m e to their ac tiv ities.

In f o rm al i ty also al l o w s a ro u te to o p p o si n g a le ad e r o r th e o p e rati o n o f the f o rm al sy ste m . It is in this are n a that m u c h c o n -

T h e p o litic s o f i n f o rm al i ty c an b e c h arac te riz e d as p ro v i d i n g

sc i o u sn e ss raising a n d strateg ies o f p ro test are d e v e l o p e d . It p ro -

the f o rm al sy ste m w i th an arena o f ac tiv ities that it u se s an d is

v i d e s a f o ru m w h e r e tru e f eeling s c an b e u n v e i l e d , se c re c y c an b e

f o rc e d to reac t to . I h a v e in v e stig ate d six d o m ai n s w o rth e x am -

k e p t a n d an alte rn ativ e p o litic al m o ral i ty c an p re v ai l .

in in g : f o r f ac e - sav ing , f o r p ro b l e m - so l v i n g , as a saf e ty v alv e, as a

T h e p o litic s o f i n f o rm al i ty h as its o w n in te n tio n ality an d g o al:

b ac k - s tag e re he arsal, as an i n f o rm ati o n sy ste m a n d as a p l ate au

to e n h a n c e o n e ' s o w n statu s, to p re v e n t an o p p o n e n t' s asc e n sio n

o f re sistan c e .

o r to d e f e at an e n e m y , to sp e e d u p an ad m i n i strati v e ac tio n, to

T h e i n f o rm al is u s e d b y the f o r m a l in m atte rs o f f ac e - sav ing . A n i n d i v i d u al in a g i v e n situ atio n c an shif t f r o m

f o rm al

to

exp lo it

all

p o ssi b l e

so u rc e s

of

in f o rm atio n ,

to

ke e p

aliv e

i m p o rtan t c o n n e c ti o n s o r to ad v an c e a c o m m o n c au s e .

i n f o rm al as a w a y o f d if f u sing te n si o n an d g e ttin g sm o o th l y o u t o f a situ atio n that c o u l d b e e m b arrassi n g . It is b asi c al l y a su rv iv al d ev ice.

FO R M A L L EA D ER SH I P A N D I N FO R M A L I T Y

T h e i n f o rm al is al so an arena w h e r e p ro b l e m s initiate d in th e f o rm al d o m ai n m a y f ind their re so lu tio n . Th e i n f o rm al d o m ai n is

To stre n g th e n o u r arg u m e n t f o r th e ro le o f i n f o rm al p rac tic es in

ab le to re so lv e p ro b l e m s ef f ic iently b e c au s e illeg al, u n e th i c al an d

f o rm al p o litic al lif e, w e c an n o t re ly e x c lu siv e ly o n the relatio ns

o th e rw i s e sec ret d e al s c an b e d o n e there. O f te n th e U S C o n g re ss

b e tw e e n the g rassro o ts an d the m a y o r ' s o ffice in th e ir e x p re ssio n

is d i v i d e d o n an i ssu e , w h i c h m e a n s that the f o rm al sy ste m c an -

th r o u g h

n o t so l v e the issu e o r c o u ld d o so o n l y w ith m o r e tim e. A f te r

A n o th e r c ru c ial test is to s h o w th at e v e n th e re latio n s b e tw e e n

ad jo u rn i n g the se ssio n , the leg islato rs are ab le to m a k e i n f o rm al

c ity

d e al s w i th o n e an o th e r in the c o rri d o rs, in the c af e te ria o r o n th e

i n f o rm al p rac tic e s. O n e w o u l d e x p e c t that th e re latio n s b e tw e e n

the

i n f o rm al

o ffic ials a n d

state

p o litic al

an d

o r f e d e ral

ad m i n i strati v e

o fficials are

p ro c e ss.

m e d i ate d

by

The Informal City 98 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

these e ntitie s o u g h t to b e f o rm al . Th i s is n o t alw ay s th e c ase . T h e

Informality

and Urban

99

Politics

c ratic p ro c e ss an d th e d eliv ery o f g o o d s ( m o n e y ) , an d stre ng th-

f o rm al ap p aratu s c o m e s in m e re l y to ru b b e r s tam p w h a t w as

e n s h i s o r h e r p o si ti o n in the city , p ro v i d i n g an ad v an tag e o u s

alre ad y g ai n e d o r so l v e d in the i n f o rm al d o m ai n .

b r o k e r p o sitio n vis-a-vis

o ther c ities. A t the sam e ti m e , it p ro v i d e s

Th e m a y o r ' s w e b o f i n f o rm al re latio n s c o n n e c ts n o t o n l y w ith

a c o n sti tu e n c y f o r th e state o r f e d e ral elec ted o ffic ial o r su p p o rt

the lo c al u rb an e le c to rate b u t also w i th o ffic ials at th e state an d

f o r state o r f e d e ral p o lic ies. To th e e x te n t that e ac h o n e re c e iv e s

f e d e ral le v e ls. Th e latter are th e o n e s w h o h e lp the c i ty sec u re

s o m e th i n g in re tu rn, th e relatio ns m a y b e stab le o v e r tim e ( see

state

also Be c q u art- Le c l e rc q , 1978: 262) .

and

f ed eral

m o nies

fo r

th e

m ay o r' s

c o n stitu e n c ie s.

Be c q u art- Le c l e rc q ( 1978: 261) n o te s that ' to ac tiv ate s u c h p o w e r

In a f o rm al s y s te m th at is s u p p o s e d to b e ru n b y f o rm al ru l e s

re so u rc e s m ay o r s m u s t d e v e l o p a p e rs o n al re latio nship n e tw o rk

a n d p ro c e d u re s , th e i n f o rm al n e tw o r k ' p e rv e rts re l ati o n sh i p s

that o p e n s ro u tes fo r g ro p i n g their w a y th ro u g h the tan g l e d w e b

b e tw e e n

o f state ag e n c i e s an d f o r f ac ilitating re q u e sts that m a y b e b l o c k e d

d em and s,

in ad m i n i strati v e l ab y ri n th s.'

ru lers

and

ru le d , th w arts

hand ic ap s

( Be c q u art- Le c l e rc q ,

p arti c i p ati o n

c o lle c tiv e an d

1978: 280) . T h r o u g h

l e ad s

e x p re s s i o n to

of

f av o ri ti s m '

its p e rv e rs i o n ,

this

T h e e l e c te d m ay o r m a y h av e n o alte rn ativ e o the r th a n to u se

p rac ti c e l e ad s n e c e s s ari l y to n e p o ti s m b e c au s e it p o s i ti o n s s o m e

the se c o v e rt p ro c e sse s. T h e y are so m u c h e n tre n c h e d i n th e w ay

i n d i v i d u al s in a b e tte r p o sitio n th an o th e rs, it d i s c o u rag e s s o m e

that f o rm al p o litic s f u n c ti o n that it w o u l d b e d i s ad v an tag e o u s to

f r o m u s i n g th e f o r m a l p ro c e ss, an d d i sc ri m i n ate s ag ai n st th o se

a c ity if th e elec ted o f f ic ials w e re n o t to g et i n v o l v e d in th e m .

w ho

Be c q u art- Le c l e rc q ( 1978: 254) p u ts it ri g h tl y w h e n s h e n o te s that

s y s te m an d c an b l u r th e p o l i c y o f f airn e ss, l e ad i n g to an ap p o r-

d o . Th e s e p rac ti c e s h e l p

build

a hid d en

stratif ic atio n

' m u n i c i p al lead ers are th e re f o re c o n f ro n te d w ith this d i l e m m a:

ti o n m e n t o f state se rv i c e s o n a b as i s o th e r th an e q u al i ty an d

p lay a g a m e o f c o v e rt re latio n sh ip s o r h an d i c ap

co m-

c o n tri b u ti n g to th e re p ro d u c ti o n o f i n e q u al i ty in th e p ro c e ss o f

m u n i t y ' Sh e f u rther n o te s that, u n l i k e th e Fre n c h si tu ati o n w h e re

state allo c atio n o f re so u rc e s. T h e m a y o r is th e n to th e state

yo ur

i n f o rm al c o n tac ts w i th th e h i g h e r e c h e l o n s are the p r i m a r y lo c u s

o f f ic ial w h a t th e g rassro o ts l e ad e r is to the m a y o r - th at is, p art

o f i n f o rm al ac tiv ities, in th e A m e ri c an c as e the i n f o rm al relatio ns

o f a c i rc l e o f p ro te g e e s w o rk i n g f o r th e ir o w n b e n e f i ts an d th o se

te nd to b e m o re inte nse b e tw e e n th e m a y o r ' s o ffice a n d th e lo c al

o f th e i r c o n sti tu e n c i e s. Th o se m a y o r s w h o are ab le to e stab lish

c o m m u n i ty ( Be c q u art- Le c le rc q , 1 9 8 8 : 1 3 1 ) .

a n d m ai n tai n s u s tai n e d i n f o rm al re l ati o n sh i p s w i th state a n d

Th e i n f o rm al relatio ns h av e their o w n ritu als o p e rati n g u n d e r the s ta m p o f secrecy . Be c q u art- Le c l e rc q ( 1978: 262) , w h o stu d ie d the Fre n c h sy ste m o f n e tw o r k s lin kin g m ay o r s to p re f e c ts, h as id entif ied s o m e o f its c h arac te ristic s. It te n d s to b e ' f ac e to f ac e, an d p e rs o n al

th an th o s e w h o d o n o t. T h e s e in f o rm al relatio ns s h o w

th e su b tle w a y s

in f o rm ality

i n te rf ac e s an d inte rf e re s w ith f o rm al p rac tic e s, an d so inf lu enc es

ac ti v ate d b y te l e p h o n e c alls, p e rs o n al v isits,

th e m . T h e su c c ess o f the m ay o r in g etting th e m o n e y f ro m the

l u n c h e o n inv itatio n - n e v e r b y le tte rs' . Th e se are all m o d e s o f

state c an n o t b e e x p l ai n e d e x c lu siv e ly in f o rm al te rm s. O n e se e s

c o n tac t th at n u rtu re a n d reinf o rc e th e i n f o rm al i ty o f th e relatio n-

h e re

ship s. T h e s e p atte rns o f b e h av i o r tran s f o rm the f o rm al in to the

p ro d u c ti o n o f the f o rm al o u tc o m e . Inf o rm ality p ro v i d e s a p o lit-

i n f o rm al . T h e y h av e b e e n a tran sf o rm ati v e c harac te ristic . O n c e

ic al s p ac e in w h i c h at the sam e ti m e to d ero u te an d to rero u te the

the ritu al is ac c o m p l i s h e d , the re latio ns c an b e c o m e in f o rm al.

f o r m al p ro c e ss. ( D e ro u ti n g m e a n s g o in g o v e r a thresho ld

They

an al y z e

s e rv e

...

f e d e r al l e ad e rs are like ly to g ai n m o r e f o r th e ir c o m m u n i ti e s

as

a

med ium

fo r

th e

e x p re ssio n

of

in f o rm al

re latio n sh ip s. Th e s e i n f o rm al re latio n s m u s t b e se e n as an e x c h an g e m e c h an -

th e i n te rm i n g l i n g

an d

o f b o th

d isartic u late

an

in f o rm al an d

asp e c t

of

th e

f o rm al in

f o rm al

the

to

p ro c e ss.

R e ro u ti n g m e an s g o i n g b ac k o v e r the thresho ld an d retu rning to th e f o rm al w ith a f o rm aliz atio n o f the i n f o rm al c o ntent.) Th e

ism , o n e th at m ai n tai n s a b al an c e f av o rab l e to b o th p artie s. It

f o rm al p o litic al p ro c e ss is thu s f rau g h t w ith inf o rm ality . Be h i n d

g iv e s th e m a y o r ac c e ss to p o w e r re so u rc e s, sp e e d s u p th e b u re au -

th e f o rm al f ac ad e , th e re is a b e n i g n d isc o u rse an d p rac tic e o f

100zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informality

in e q u ality and d isc rim inatio n n u rtu re d b y th e w e b o f i n f o rm al p o litic al relatio nship s.

T H E P R O C E S S U A L I T Y O F I N FO R M A L P O L IT IC A L P R A C T IC ES T h r o u g h the d e c o d i n g o f i n f o rm al p o litic al p rac ti c e s, w e c an s e e

2.

p o litic al inf o rm ality as b e ing p ro c e s s u al an d al so m u l ti v o c al . Pr o c e ssu ality refers to its c o ntent, its b ac k w ar d an d f o rw ard l i n k ag e w i th the f o rm al se c to r an d its tran sf o rm ati o n .

3.

T h e inf o rm al s y s te m is p ro c e ssu al b e c au se it is c o n stan tly i n the m ak i n g an d re m akin g . Th i s p ro c e ss c an b e ac tiv ate d

fo r

v ari o u s reaso ns, a m o n g th e m b e i n g c h an g e s in g o al- o rie n tatio n , in th e ac to rs th e m se lv e s, in the c o n te n t o f the n e tw o r k o f re latio nsh i p s, in internal f o rc es ( internal tran sf o rm ati o n ) o r in e x te rn al f o rc e s ( g enerated b y a v ary in g a m o u n t o f e x te rn al c o n strain ts) . T h e inf o rm al s y s te m is also p ro c e ssu al in a m o r e lineal f ash i o n in te rm s o f its histo ric ity . It h as its b e g i n n i n g in e stab lish in g a h i d d e n ag e n d a o r i n a p e ri o d o f f o r m ati o n . T h i s c o r r e s p o n d s to th e sl i p p ag e f r o m f o rm al to i n f o r m al . It h a s a p e a k w h i c h c o rre s p o n d s to th e p e rio d s o f an aly sis, m a n e u v e r s , d eals a n d i n f o rm al d e c isio ns. Th e third p h as e is that o f re - e n te rin g o r th e f o rm aliz atio n o f th e in f o rm al o u tc o m e . Eac h o n e o f these p h as e s c o rre sp o n d s

to

m o m e n ts

of

i n v e rte d

i n f o rm al

to

f o rm al

relatio nship s. T h e inf o rm al is also p ro c e ssu al b e c au se it s h a p e s the f o rm al s y s te m . Pro c e ssu ality here m e a n s tw o th in g s: th e i n f o rm al is ad ju ste d to the w a y s o f the f o rm al , o r m a y b e o n its w a y beco m ing

f o rm al i z e d .

Its

i n te rd e p e n d e n c e

w i th

the

to

f o rm al

s y s te m is the c o rn e rsto n e o f its p ro c essu ality .

N o tes 1.

There are v ario us sites o f p o w er w here the info rmal raw po litics is co o ked , practised and channelled into the arena w here the fo rmal po litical system can interface w ith it and so m etim es reco up it. W e hav e fo und that the Chinese, Filipino s, Lao tians, Cambo d ians and

4.

and Urban

Politics

101

Vietnamese hav e their o w n separate o rganizatio ns w here lo cal issues that affect their ethnic gro up s are d iscussed . They fo rm an A sian alliance fo r the p urp o se o f fund ing and po liticking, esp ecially in their interface w ith state and city agencies. Ho w ever, the ethnic p o liticians identify themselves no t as representing their specific ethnic gro up s, but rather the larger A sian co mmunity. The East Bay A sian Lo cal Dev elo p ment Co rp o ratio n pro vid es them w ith a fro nt regio n for the exp ressio n o f their p ublic d isco urse. The info rmal lead ership is subd iv id ed into fro nt region and back region lead ers. The back regio n lead ers jo in ranks w ith the fro nt lead ers fo r the purpo se o f making their v o ices heard and achiev ing their go als. Fo r a histo rical analysis o f the participatio n o f ethnic mino rities in the fo rm al p o litical sy stem in San Franc isc o , see W irt (1974: 240- 71) . O n A frican-A mericans' and Hisp anics' attempts to shap e the fo rmal po litical system in Oakland , see Hay es (1972) and Bro w ning et al. (1984). The relatio ns betw een grassro o ts lead ers and the may o r's o ffice are und ersto o d here in terms o f exchange theo ry (Lo mnitz, 1988; Blau, 1964) and p atro n-client relatio nships (Kno ke, 1990).

5

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIH

Informality, Interstitiality and the Modern Firm T h e f o rm al f irm is o n e arena w h e r e f o rm ality is s u p p o s e d to re ig n s u p r e m e b e c au s e it is o rg an i z e d ac c o rd in g to a rati o n al b l u e p ri n t to e n h an c e its e f f e c tiv e ne ss. T h e f o rm al o rg an i z ati o n al

c h art

id entif ies the p o si ti o n s to b e f illed b y e m p l o y e e s an d e stab lishe s the f o rm al ru le s f o r d isp u te re so lu tio n an d f o r c o n d u c ti n g d aily a n d ro u tine b u s i n e s s w ith in th e f irm . Yet it w o u l d b e w ro n g to b e l i e v e that an y o f th e f o rm al f i rm s in the San Fran c i s c o Bay A re a o p e rate s o n the b as i s o f f o rm al i ty alo ne. A s w e w ill see later, i n f o rm al i ty is al so p art o f the f o rm al o p e ratio n o f the m o d e r n f irm . Th e re is a trad itio n in the so c io lo g ic al lite ratu re that e x p l ai n s the e x iste nc e o f i n f o rm al p rac tic e s in the f irm in t w o w ay s : e ith e r as p re c e d i n g th e f o rm ati o n o f th e f o rm al f irm o r as b e i n g p ro d u c e d b y the f o r m a l firm . In reality , the se tw o e x p l an ati o n s c o m p l e m e n t e ac h o the r. T h e arg u m e n t f o r the p re c e d e n c e o f i n f o rm al o rg an i z ati o n s is e x p l ai n e d b y w a y o f lo c ating th e issu e in tw o stru c tu rally d if f e re nt p o sitio ns. Fo r Etz io ni ( 1970: 216) the p re p arati o n o f a b l u e p ri n t to set the g o al s an d o p e rati o n o f the o rg an i z ati o n is c e rtainly d r aw n u p b y a sm all g ro u p o f p e o p l e th ro u g h i n f o rm al in te rac tio n s an d it is th ro u g h tho se i n f o rm al p rac tic e s th at staff an d th e i r p o sitio ns in th e f irm are d i s c u s s e d an d o th e r p rac ti c al m atte rs are d e c id e d . Si m o n ( 1 9 6 6 : 1 4 8 ) p u s h e s the arg u m e n t e v e n f u rth e r b y lo c ating th e issu e n o t o n l y p ri o r to the p re p arati o n o f the b l u e p ri n t an d af te r it is ag re e d u p o n , b u t al so b e f o re the f irm starts to ru n sm o o th l y . H e ref ers to the ro le o f th e ' initial s h ak e - d o w n c ru ise ' to g i v e the first o p e rati o n al b o o s t to th e o rg an iz atio n . H e sees the f u lf illm ent o f th e relatio nal asp e c t as a n e c e ssary ste p f o r e ac h e m p l o y e e w h o jo i n s the f irm . T h e n e w c o m e r m u st d ev elo p

i n f o rm al relatio ns w i th the

p eo p le

b e f o re b e in g ac c e p te d f u lly b y th e g ro u p . In f o rm al o rg an i z ati o n 103

104 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City is s e e n as the e n g i n e f o r the e stab l i sh m e n t an d th e f u n c ti o n i n g o f

Informality,

The

f u n c tio n s

Interstitiality

o f in f o rm al

and the Modern

o rg an iz atio n s

in

105

Firm

f o rm al

o rg an -

the f o r m al f irm . Barn ard ( 1 9 5 8 : 1 2 0 ) , u s i n g a sim ilar lin e o f arg u -

i z ati o n s are sp e l l e d o u t in the re se arc h literatu re in te rm s o f m e e t-

m e n t, re m ark s that ' f o rm al o rg an i z ati o n s arise o u t o f i n f o rm al

i n g the n e e d s o f th re e d if f erent entities: to m e e t th e n e e d s o f th e

o rg an i z ati o n s. '

i n d i v i d u al p artic ip an t, o f the c l i q u e o r th e g ro u p , an d o f th e

In f o rm al i ty in th e f i rm is also se e n as a c o n s e q u e n c e o r a p ro -

f o r m al o rg an iz atio n . Barn ard ( 1958: 122) u n d e rl i n e s the ratio n ale

d u c ti o n o f f o rm ality . It is so b e c au s e f o rm ality h a s its o w n lim its

o f th e f u n c tio n al arg u m e n t b y m a k i n g a c ase f o r th e i m p o rtan c e

an d d o e s n o t c o v e r all asp e c ts o f th e o p e ratio n o f th e f irm an d

o f u n d e rs tan d i n g th e ro le o r i m p ac t o f i n f o rm al o rg an iz atio n s o n

also b e c au s e h u m a n b e i n g s al w ay s f ind w a y s to

f o r m al o rg an iz atio n s. H e sees their f u nc tio n as b e i n g ' th at o f

c i rc u m v e n t

i m p o s e d stru c tu res th at restrict th e ir f re e d o m o f ac tio n . In f o rm al -

c o m m u n i c ati o n

ity is p ro d u c e d b y f o rm al i ty to p re v e n t an y stal e m ate in the o p e r-

f o r m al o rg an i z ati o n s

atio n o f th e f o rm al f irm . In this lig ht, Barn ard ( 1958: 120) n o te s

p e rs o n al integ rity , o f self - resp ec t, o f i n d e p e n d e n t c h o ic e .' Su m -

that ' w h e n f o rm al o rg an i z ati o n s c o m e in to o p e rati o n , th e y c re ate

m ar i z i n g

an d re q u i re i n f o rm al o rg an iz atio n s' .

Ian n ac c o n e ( 1964: 223) stip u lates that they are e i th e r seen ' as p ri-

Jo h n s to n ( 1956: 25) arg u e s that it is th e inab ility o f the f irm to

...

that o f th e m ai n te n an c e o f c o h e si v e n e ss in ... [ and ] th e m ai n te n an c e o f the f e e ling o f

the e x te n s i v e

m ari l y su b v e rsi v e

...

m e e t th e n e e d s o f th e in d iv id u als that le ad s t h e m to c re ate

o rg an i z ati o n

i n f o rm al o rg an i z ati o n s. H e n o te s th at ' in f o rm al o rg an i z ati o n w i l l

o rg an i z ati o n m e m b e r s ' .

1

lite ratu re

on

i n f o rm al

o rg an iz atio n s,

as a h e al th y s u p p l e m e n t to the f o rm al

... o r as p ro v i d i n g f o r the p sy c h o l o g i c al w e l f are o f

arise in m a n y c ase s in o rd e r to c o m p e n s a te f o r th e d e f ic ie n c ie s in

O th e r re se arc h e rs p in p o in t rath e r the lim its th at f o rm al o rg an -

th e f o rm al o rg an i z ati o n .' Th e i n f o rm al o rg an iz atio n , f ar f ro m

i z ati o n s p u t o n th e p e rf o rm an c e o f in f o rm al o rg an iz atio n s. In this

im p ed ing

the f irm ,

ac tu ally

help s

it ac h ie v e

its g o als

an d

e v i d e n tl y h e lp s th e i n d i v i d u al s to satisf y their n e e d s .

to p - d o w n ap p ro ac h , D alto n ( 1959: 237) tend s to stress the restric ti o n s o f the f o rm al sy ste m o n i n f o rm al o rg an iz atio n s. H e n o te s

Ev e r s i n c e th e 1 9 2 0 s th e re h a s b e e n an i n te re s t i n s tu d y i n g

th at 'first, the f o rm al larg ely o rd e rs the d ire c tio n the i n f o rm al

v a r i o u s as p e c ts o f i n f o r m a l o r g a n i z a ti o n s in f o r m a l o r g an i z a-

tak e s. Se c o n d , it c o n se q u e n tl y sh ap e s the c h arac te r o f d e f e n se s

ti o n s . Ea r l y o n it w a s c l e ar th at th e re are an e n o r m o u s n u m b e r

c re ate d b y the i n f o rm al . A n d th ird ,

o f i n f o r m a l ac ti v i ti e s g o i n g o n w i t h i n the m o d e r n f irm . T h e s e

m i ty to its p re c e p ts . ' A l th o u g h o n e re c o g n iz e s th e n e e d f o r th e

s tu d i e s w e r e u n d e r t a k e n to s h o w

f o rm al sy ste m to re g u late the s p re ad o f i n f o rm al o rg an iz atio n s so

th e e x i s te n c e o f

o r g a n i z a t i o n s in f o r m a l o r g a n i z a t i o n s a n d th e

inf o rm al

... it re q u i re s o v ert c o n f o r-

f u n c ti o n i n g

th at th e y d o n o t b e c o m e to o c u m b e r s o m e f o r th e o p e ratio n o f th e

o f s p e c i f i c i n f o r m a l e n ti ti e s like th e g r a p e v i n e ( D a v i s , 1 9 5 3 ;

f o r m al o rg an iz atio n , it is an e x ag g e rati o n to b e l i e v e that ' th e

Su tto n a n d Po rte r, 1968) an d th e c l i q u e s y s te m ( Say l e s , 1 9 6 6 ) ,

f o r m al stru c tu re p e rf o rm s n o f u n c tio n u n l e ss it ac tu ally

th e

l i m i ts to the i n f o rm al relatio ns that are p e rm i tte d to d e v e l o p

re l ati o n s

b e tw e e n

f o rm al

and

inf o rm al

o r g a n i z a ti o n s

( Ba r n a r d , 1958) , a n d th e i m p o r ta n c e o f i n f o rm al o r g a n i z a ti o n s in th e r u n n i n g o f f o r m a l o r g a n i z a ti o n s ( R o e th l i s b e r g e r

and

D i c k s o n , 1947) . The

v ari o u s s tu d i e s o n i n f o rm al

sets

w i th i n it' ( Si m o n , 1 9 6 6 : 1 4 9 ) . T h a t in f o rm al o rg an i z ati o n s e x ist in f o rm al o rg an i z ati o n s is b e y o n d an y d o u b t an d th e re f o re is no t a p o i n t o f c o n tro v e rsy

o rg an i z ati o n s

c o u c h e d in the f u n c ti o n al m o d e o f an al y si s.

2

been

( Se lz nic k, 1964; Britan an d C o h e n , 1980) . W h a t is n o t so c l e ar is

Bl a u ( 1964: 271)

h av e

th e m u l ti p l e w a y s i n w h i c h the i n f o rm al o rg an i z ati o n is re late d to

te n d s to reinf o rc e th at trend b y c al l i n g f o r ' a f u n c ti o n al analy sis o f th e i n f o rm al o rg an i z ati o n w h i c h e x p lo re s the d istinc tiv e f u n c -

th e f o rm al o rg an i z ati o n an d the n atu re o f th e se re latio nship s. T h e g o al o f th is c h ap te r is to s h o w the w a y in w h i c h i n f o rm al

tio ns o f the i n f o rm al g ro u p stru c tu re in a b u re au c rac y ' . W h at is

o rg an i z ati o n s s e rv e as a f o u n d ati o n al b asis to f o rm al

s o u g h t h e re is a d e sc rip tio n o f th e c o n tri b u ti o n o f th e i n f o rm al

i z ati o n s. By stre ssi n g

o rg an i z ati o n to f o rm al o rg aniz atio n.

b e tw e e n the f o rm al an d i n f o rm al o rg an iz atio n s. W e w ill se e w h y

the interstitial asp e c ts o f the

o rg an -

re latio n s

The Informal City 106 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality,

Interstitiality

and the Modern

107

Firm

an d h o w ' b e n e ath th e f o rm al o rg an i z ati o n an d o b s c u re d in p art

c o n tac te d o n e m an ag e r w h o k n e w o u r ap p lic an t an d h e d i d

b y it, there lies a " r e a l " w o rl d c o n sistin g o f th e w a y thing s g e t

c o rro b o rate this p iec e o f g o ssi p . D e sp ite h is f o rm al an d o u t-

d o n e an d h o w p e o p l e tru ly b e h a v e in o rg an i z ati o n ' ( Ian n ac c o n e ,

stan d in g c re d e n tials, w e e n d e d u p h i ri n g an o th e r p e rs o n o n

1964: 223) . To ac c o m p l i s h that g o al , w e w ill s tu d y th e interstitial

the b asis o f that c o n f id e n tial p iec e o f i n f o rm ati o n g iv e n to u s

p o si ti o n o f i n f o rm al i ty in the m o d e r n f irm . A s th e u n d e rsi d e o f

o v e r the p h o n e . '

the f o rm al f irm , th e m an i f e stati o n o f in f o rm ality w i l l b e se e n as a p ro c e ss an d also as an e nc lav e . A s a n e n c lav e it d e v e l o p s a n i c h e

In th e h i ri n g p ro c e ss the interstic es o f the f o rm al p ro c e d u re c an

w i th i n th e f o rm al f irm , an d , as w e w ill se e , th e w a y it is c o n -

b e se e n to b e f illed w ith inf o rm ality . H i ri n g m e a n s three th in g s:

n e c te d to the f irm h a s ram if ic atio n s that c an h a v e an i m p ac t o n

searc h, re je c tio n an d selec tio n. A l th o u g h f o rm al no tic es are p u b -

th e f irm . A s a p ro c e s s , it fills the interstic es o f th e o p e rati o n o f th e

lish e d listing th e q u alif ic atio ns o f the p e rso n to b e hired o r g i v i n g a d e sc rip tio n o f th e jo b , th e re are in f o rm al w a y s to inv ite sp e c if ic

f o rm al f i n n .

p ro sp e c ti v e e m p l o y e e s to ap p ly . Th e se i n d i v i d u al s are id entif ied o n the b asis o f their c o n tac ts o r f rie nd ship s w i th c ertain p e rso n s. Th e s e b e h i n d - th e - sc e n e m a n e u v e r s are d isc rim inato ry , an d s o m e -

I N FO R M A L I T Y A N D H I R I N G P R O C E D U R E S

ti m e s illeg al if d o n e o p enly , b u t are al l o w e d to su rv iv e b e c au s e ' Last y ear, w e w e r e hiring s o m e o n e in the f irm . Th e re w e r e

th e y are d o n e c o v ertly . T h e y alre ad y inf lu e nc e the n atu re an d th e

q u i te a f e w g o o d c an d id ate s a r o u n d h e re an d f r o m o u t o f state .

c o n te n t o f th e n e x t step , the rejec tio n o f u n w a n te d c an d i d ate s.

W e re ad their ap p lic atio n s i n c l u d i n g their v i tae s an d state -

In f o rm ality ru le s c o m p l e te l y in the rejec tio n p ro c e ss, p artly

m e n t s o f interest. A n d w e d e c i d e d to inv ite s o m e o f th e m f o r

b e c au s e o f th e i n f o rm al b i as in the se arc h itself. So m e w i l l b e

a n i n te rv i e w so that w e c o u l d g et to k n o w th e m an d

th e y

rejec ted b e c au s e o f a lac k o f c o ntac ts. O th e rs w ill b e re je c te d

w o u l d h av e an o p p o rtu n i ty to v isit the p l ac e a n d m e e t w i th

b e c au s e it is p re s u m e d

s o m e o f u s. T h e selec tio n p ro c e ss w as c o m p l e x b e c au se th e y

i n f o rm al life o f the firm , i n c l u d i n g its c o n f lic tin g c liq u es. O th e rs

th at th e y w ill n o t fit w ell w i th

the

w e r e f o r the m o s t p art c o m p e te n t p e o p l e w i th a lo t o f e x p e ri -

w i l l b e re je c te d b e c au s e o f i n f o rm al c riteria - o f te n u n s p o k e n b u t

e n c e s an d stro n g letters o f re c o m m e n d ati o n . I w a s p artic u larly

n e v e rth e l e ss re al - su c h as ethnic ity , g e n d e r o r se x u al o rie ntatio n.

d r a w n to tw o o f th e ap p lic ants b e c au s e I k n o w th e p e o p l e w h o

T h e se le c tio n itself is f rau g h t w ith inf o rm ality . The c an d i d ate is

w ro te their le tte rs o f re c o m m e n d ati o n . Th e se are i n d i v i d u al s

s e l d o m se l e c te d o n the b asis o f c o m p e te n c e a n d e x p e rie n c e alo n e .

f o r w h o m I h a v e a lo t o f re sp e c t.

In f o rm al

i n q u i ri e s

are

m ad e

ab o u t h is

lif e

in g e n e ral

an d

' N o t all th e i n d i v i d u al s w h o ap p l i e d fo r th e jo b h a d d o n e s o

re sp o n se s are n o t c o n tain e d in the letters o f ref erenc e, b u t rath e r

b e c au s e th e y h a d h e ard that th e re w as a jo b o p e n i n g in o u r

are c o n v e y e d th ro u g h te l e p h o n e calls an d i n f o rm al talks w i th

f irm . A c tu al l y w e d i d c o ntac t s o m e p e o p l e a n d in v ite d th e m to

o th e r p e o p l e w h o m a y k n o w th e c an d id ate . Bu t o ften, th e re is a

ap p l y either b e c a u s e w e k n e w o f their w o r k o r b e c au s e f rie n d s

godfather

h a d su g g e ste d th at w e g o t in c o n tac t w ith th e m .

f rie n d o f a f ri e n d , b e c au se it is p re s u m e d th at the c an d i d ate w ill

"There w e re a c o u p l e o f i n c i d e n ts b e f o re w e m a d e the f inal

w h o is p u sh i n g th e c ase b e c au s e th e c an d i d ate is a

jo i n my little c l i q u e o r is like ly to su p p o rt my v i e w s, o r the c an -

d e c isio n . Fo r e x am p l e , three p e o p l e c alled to p ro v i d e u s w i th

d id ate g rad u ate d f ro m my a l m a m ate r o r b e l o n g s to the s a m e

b a c k g r o u n d i n f o rm ati o n o n sp e c if ic ap p lic an ts. M u c h o f it w a s

c h u rc h o r c l u b that I a m a m e m b e r o f. Th e s e in f o rm al c riteria

g o ssi p an d c o u l d n o t b e v e rif ie d easily . Th e re w a s a sp e c if ic

f u n d am e n tal l y inf lu e nc e the f o rm al c h arac te r a n d the o u tc o m e o f

i n d i v i d u al w e w e r e interested in hiring . H o w e v e r , s o m e o n e

th e hiring p ro c e s s in the m o d e r n firm .

i n f o rm e d u s th at sh e h ad h e ard that the ap p l i c an t h ad h a d a

Th e i n f o rm al c riteria c an e ith e r help to stre n g th e n o r w e a k e n

p ro b l e m w i th a w o m a n in the f i rm w h e re h e w a s w o rk i n g . W e

th e f o rm al c rite ria, an d th e re b y e n h an c e o r u n d e rm i n e th e ab ility

The Informal City 108 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality,

Interstitiality

and the Modern

109

Firm

o f an i n d i v i d u al to l a n d the jo b . T h e y are p art o f th e h irin g p ro -

tic e m u s t b e d i sti n g u i sh e d

c e ss a n d c an n o t b e d i sm i sse d as b e i n g n o n - e x i ste n t. In f ac t,

A k i n n a s o ( 1992: 82) no tes: ' p rac tic al k n o w l e d g e is n o t a sec ret

f ro m

sp ec ializ ed

kno w led g e.

Fo r

b e c au s e th e y p ro v i d e a c o nte x t in w h i c h to u n d e rs tan d the f o rm al

f o r m o f k n o w l e d g e b u t, rather, o n e that m e m b e r s o f a g i v e n

c riteria, th e y c an i n f l u e n c e the p ro c e ss so m u c h th at th e y c an shif t

s o c i e ty n o r m a l l y s h a r e e q u a l l y

th e d e c i si o n o n e w a y o r ano ther.

th e o th e r h an d , is n o rm al l y tran sm i tte d in institu tio ns th ro u g h

...

Sp e c i al i z e d k n o w l e d g e , o n

f o rm al le arn in g .' I N FO R M A L L EA R N I N G A N D T R A I N I N G I N FO R M A L C O M M U N I C A T I O N Fo r m al training is n o t su f f ic ient f o r su rv i v al in a f i rm . It p ro v i d e s i n f o rm ati o n o n the te c h n ic al an d p ro f e ssio n al asp e c ts o f the jo b ,

T n th is f i rm , m a n a g e m e n t d i d n o t w an t to g i v e h i m a p e r -

b u t in th e e v e ry d ay o p e ratio n o f th e f irm , e v e n s o m e o f th e se

m a n e n t p o s i ti o n a n d at th e s a m e ti m e d i d n o t w an t to f ire

te c h n i c al asp e c ts are l e arn e d th ro u g h the i n f o rm al ro u ti n e . Th i s is

h i m f o r m o n e t a r y an d l e g al r e as o n s . A s e c r e tar y w h o

so b e c au s e f o rm al train in g c o v e rs o n l y the e x p e c te d , n o t th e

ty p e d

a c o n f i d e n ti al

memo

starte d

sp re ad ing

the

had new s

a r o u n d . M a n a g e m e n t h a d m a d e a f inal d e c i s i o n ab o u t h i m ,

u n e x p e c te d . In f o rm al train in g is ro u tine ly d o n e o n the jo b . T h e i n f o rm ati o n a c l e rk o r se c re tary n e e d s m a y n o t b e av ailab le th ro u g h

th e

f o rm al c h an n e l s. Fo r e x am p l e , th e n e w e m p l o y e e w h o c o m e s in

b u t d i d n o t w a n t to m a k e it o f f ic ial. A g o s s i p e r i n f o r m e d him

ab o u t

th i s b a d

new s.

Kno w ing

th at

th e re

w as

no

s u p p o r t f r o m th e to p an d to p re v e n t m o r e d a m a g e to h i s

w a n ts to k n o w o r f in d o u t w h o is i m p o rtan t a n d w h o is no t, th e

r e p u tati o n f r o m th e n e g ati v e g o s s i p th at w a s g o i n g a r o u n d ,

p o w e r b e h i n d the s c e n e , as a w a y o f p lay in g a f air g a m e b o th in

h e le f t the f i r m . '

the f o rm al an d i n f o rm al sec to rs. T h e r e is i n f o rm al

trad itio nal

k n o w l e d g e o r a trad itio n o f i n f o rm al p rac tic es in e v e ry f irm th at

' A s e c re tary ty p e d an e v a l u a ti o n that w a s s u p p o s e d to b e

h e o r sh e m a y w a n t to g et ac q u ai n te d w ith : w h i c h p e o p l e d o n o t

c o n f i d e n ti al a b o u t a w h i te w o m a n w h o w a s d ati n g a b l a c k

g et al o n g , w h at c o n v e rsati o n is a n a th e m a b e c au s e o f p ast e x p e ri-

m a n . T h e s e c r e ta r y w a s all o v e r th e p l ac e te l l i n g p e o p l e th at

e n c e , th e w a y o f d o i n g thing s that ref lec ts the g ro u p c u ltu re. Th i s

th i s w o m a n w a s n o t g o i n g to b e p r o m o te d to p a r tn e r s h i p in

is p art o f th e i n f o rm al training that e n h an c e s a n e w e m p l o y e e ' s

th e f irm . Si n c e s h e h a d l e ar n e d th e b ad n e w s f r o m th e g r a p e -

ab ility to relate to b o th the f o rm al an d i n f o rm al asp e c ts o f th e

v i n e b e f o re s h e l e arn e d it f r o m th e b o s s , s h e g o t h e r s e l f re ad y

c o rp o rati o n . In f o rm al

tr a i n i n g

is a c h i e v e d

th r o u g h

th e a p p a r a t u s

of

i n f o r m a l learning . In f o rm al l e arn i n g is p art o f o n e ' s d aily life in

fo r

a c o n f r o n ta ti o n

w i th

him .

The

m anag er

w as

c a u g h t u n p r e p a r e d w h e n s h e c o n f ro n te d h i m . Sh e w a s ab l e to s av e h e r j o b . '

the f i rm an d d o e s n o t entail an y sp ec if ic re q u i re m e n ts . In this lig ht, o n e m a y ju stl y arg u e that ' In f o rm al l e arn i n g is e m b e d d e d

' A m an ag e r w a s d ati n g o n e o f th e f e m ale e m p l o y e e s . Sh e to ld a

in e v e r y d ay life, tak i n g p lac e c o n sc i o u sl y o r u n c o n sc io u sly . Fo r

f ri e n d o f m i n e th at I w as g o i n g to b e tran sf e rre d to an o th e r

su c h l e arn i n g to tak e p lac e , n o p re sc ri b e d setting , sc h e d u l e , to p i c ,

d e p artm e n t. W h e n that h a p p e n e d , I w as n o t e m o ti o n al l y d i s-

c e n tral i z e d

fo cus

and

institu tio nal

stru c tu res

are

n e c e s s ary '

( A k i n n as o , 1992: 78) . In f o rm al l e arn i n g is essential f o r su rv iv al a n d a su c c e ssf u l

tu rb e d b e c au s e I h a d le arn e d f ro m the g rap e v i n e the re aso n s f o r m y transf er. A c tu al l y th e f o rm al letter o f transf er d i d n o t sp e ll o u t the re aso n s fo r th e transf er. If it w e r e n o t f o r th e

c are e r in a f irm a n d it is the w a y in w h i c h p rac tic al k n o w l e d g e is

i n f o rm ati o n

ac q u i re d . Prac tic al k n o w l e d g e w h i c h e n lig h te n s e v e ry d ay p rac -

p ro b ab l y left th e f i rm .'

I l e arn e d

f ro m

th e g rap e v i n e ,

I w o uld

hav e

The Informal City 110 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

T w a s w o rk i n g as a teller in a b a n k . A t that ti m e th e p o lic y o f

Informality,

Interstitiality

and the Modern

m

Firm

Fo r Si m o n ( 1966) su c h i n f o rm al c o m m u n i c ati o n c o m e s ab o u t

th e b a n k w a s th at e m p l o y e e s c o u l d n o t d ate e ac h o ther. O n e

b e c au s e

c o u l d g o to l u n c h w i th a f rie nd , b u t n o d ati n g w a s al l o w e d o n

i z ati o n ' s g o als. T h e i n f o rm al c o m m u n i c a ti o n is u s e d as a w a y o f

th e p re m i se s. Y o u k n o w , there w a s this y o u n g a n d c h arm i n g

re af f irm in g th e se lf vis-à-vis

m a n w h o w a s in te re ste d in m e . W e d id n o t s h o w an y sig n o f

o rg an iz atio n . In f o rm al c o m m u n i c ati o n p ro v i d e s a c o r r i d o r w h e r e

i n d i v i d u al

g o als m a y

be

d if f erent f ro m

th e

o rg an -

the stru c tu ral c o n s trai n ts o f f o rm al

af f e c tio n f o r e ac h o th e r in p u b l i c . H o w e v e r, g o s s i p ab o u t o u r

the ac to rs c an p sy c h o l o g i c al l y d e tac h th e m se l v e s f r o m th e o rg an -

d isc re e t affair to o k o v e r an d f inally re ac h e d th e m a n a g e r o f th e

iz atio n, e x c h an g e i n f o rm ati o n a m o n g th e m s e l v e s , a n d ref lec t o n

b an k . M a n a g e m e n t ste p p e d in a n d transf e rre d o n e o f u s to

th e ir b e h av i o r an d g o als.

an o th e r b ran c h o f th e b an k . '

To u n d e rs tan d th e ro le o f i n f o rm al c o m m u n i c ati o n i n th e f i rm s c o m m u n i c ati o n s y s te m , it is i m p o rtan t to k e e p in m i n d

In th e e v e r y d a y o p e r a ti o n o f th e f i rm , th e re are t w o o v e r l a p -

th i n g s: the d ire c tio n o f c o m m u n i c ati o n ( Bl o c k e r a n d

three

Sc h au e r,

p i n g s y s te m s o f c o m m u n i c a t i o n . O n e is f o r m a l a n d u s e d a n d

1965) , the c o n te n t o f that c o m m u n i c ati o n , an d its n e g a ti v e o r p o s -

u n d e r s t o o d b y e v e r y o n e in th e f i rm . It is s u p p o s e d to b e th e

itiv e inf lu e nc e o n th e o p e ratio n o f th e f irm . C o m m u n i c a t i o n is a

m ain

of

k e y f ac to r in the ru n n i n g o f th e f i rm b e c au s e it l i n k s p e o p l e to

th e

e ac h o the r an d m e s s ag e s are g i v e n f o r the c o o rd i n ati o n o f th e

c hanne l

i n f o r m a ti o n

of

b o th

c o m m u n i c ati o n

fo r

v e rti c al l y

h o ri z o n tal l y

and

th e

tr a n s m i s s i o n am o ng

e m p l o y e e s o f th e c o rp o rati o n . H o w e v e r , it is n o t th e o n l y f o r m

o p e rati o n . H o w e v e r , f o rm al c o m m u n i c ati o n al o n e is in su f f ic ie n t

o f c o m m u n i c a t i o n av ai l ab l e to e m p l o y e e s . To th e f o r m a l o n e

to d o th e jo b . T h e r e is a h i d d e n d i m e n s i o n th at c o m p l e r

j i e n t s

com-

f o rm al c o m m u n i c ati o n - this is i n f o rm al c o m m u n i c a ti o n . So m e -

p l e m e n t s it, e x p l a i n s it, an d c o m e s to its re s c u e w h e n it f ails i n

ti m e s it reinf o rc es, c o n trad ic ts, c o m p l e m e n ts o r s i m p l y s h ap e s

its tr a n s m i s s i o n p r o c e s s .

th e c o n te n t o f f o rm al c o m m u n i c ati o n . Th e to tal c o m m u n i c a ti o n

m ay

a d d th e i n f o r m a l s y s te m

th at f e e d s th e f o r m a l ,

T h e i n f o rm al s y s te m c o n v e y s b o th i m p o rtan t a n d c asu al in f o rm ati o n . A n y i n f o rm ati o n that c an af f ec t the w e l l - b e i n g o r the jo b o f a n e m p l o y e e is ac c e p te d as i m p o rtan t. C as u al

i n f o rm ati o n

o f th e f irm c o m p ri s e s b o th the f o r m a l an d i n f o rm al as p e c ts . T h e f o rm al c o m m u n i c ati o n p atte rn d o e s n o t c ap tu re th e to tality o f m e ssag e s d i f f u se d w ith in th e o rg an iz atio n . T h e i n f o rm al

ref ers to c o m m u n i c ati o n o n the ro u ti n e o p e ratio n o f th e f irm th at

c o m m u n i c ati o n p atte rn is also i m p o rtan t in th at it p r o v i d e s a

k e e p s o n e ab reast o f w h a t is g o i n g o n .

p aralle l sy ste m o f d if f u sio n: it tak e s the i n f o rm ati o n f r o m th e

T h e i n f o rm al c o m m u n i c ati o n s y s te m in the f i rm is itself s u b -

f o rm al sec to r an d d istrib u te s it to th e i n f o rm al g ro u p , a n d it tak e s

d i v i d e d into tw o c ate g o rie s, o r h as tw o asp ec ts that are also o v e r-

i n f o rm ati o n f ro m th e inf o rm al a n d d istrib u te s it to th e f o rm al . In

l ap p i n g : i n f o rm al c o m m u n i c ati o n an d the g rap e v i n e . A l th o u g h

its ro le , it re p ro d u c e s the m ai n te n an c e o f the g ro u p . G o s s i p is th e

th e y are d if f erent f r o m the f o rm al c o m m u n i c ati o n sy ste m , th e y

m e c h a n i s m that m ai n tai n s the g r o u p , that p ro te c ts i n d i v i d u al s i n

are n e v e rth e l e ss n o t id entic al e v e n th o u g h th e y b e l o n g to th e

th e g ro u p , an d th at p ro v id e s i n f o rm ati o n th e i n d i v i d u al n e e d s

s a m e u n i v e rse .

f o r h i s ad ap tati o n to th e f irm .

W e f ind the se c ate g o ri e s in th e interstic es an d th e y are c e n tral

Th e re are m a n y th in g s that c an n o t b e said f o rm al l y b e c a u s e

to th e o p e ratio n o f th e firm . In d istin g u ish in g th e t w o asp ec ts o f

th e y w o u l d b e i n ap p ro p ri ate , o r c an n o t b e sai d to

th e i n f o rm al c o m m u n i c ati o n s y s te m , A l e x an d e r ( 1974: 89) n o te s

b e c a u s e they w o u l d b e seen as u n e th ic al. In f o rm al c o m m u n i c a -

ev ery o ne

that th e first is re late d to the p h y s i c al p ro x i m i ty o f w o rk e rs in th e

tio n p ro v i d e s an alternativ e ro u te f o r f ac e - to - f ac e , p e rs o n al re la-

s a m e f irm an d ' is d ire c te d to w ar d filling their w o rk - o ri e n te d

ti o n s. In this se n se , it c an n o t b e

i n f o rm ati o n n e e d s ' . Th i s is d if f erent f ro m the g rap e v i n e o r r u m o r

c o m m u n i c ati o n s y s te m .

w h i c h ' arise s f ro m th e d e e p - se ate d n e e d o f e ac h e m p l o y e e to k n o w w h a t is h a p p e n i n g in his e n v i ro n m e n t' .

su p e rse d e d

by

th e

f o rm al

Z e y - Fe rre ll ( 1979: 224) d istin g u ish e s tw o d i re c ti o n s in b u s i n e s s c o m m u n i c ati o n , th ro u g h the ' h o ri z o n tal ' an d ' v e rtic al n e tw o r k s ' .

The Informal City 112 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

T h e h o ri z o n tal n e tw o r k is ' b e tw e e n p e rso n s o n th e s am e le v e l in

Informality,

Interstitiality

and the Modern

Strateg ic re p l ac e m e n t e n ab l e s th e n e w m a n a g e r to f o rm a n e w

a g i v e n d e p artm e n t o r b e tw e e n d if f erent d e p artm e n ts ' . Th e v e r-

in f o rm al

tic al n e tw o r k w h i c h c o m p ri se s b o th u p w ard

stre n g th e n s h i s statu s. It p ro v i d e s h i m w i th a n e w

and

d o w nw ard

c o m m u n i c a ti o n is f o u n d ' b e tw e e n p e rso n s at d if f e re n t ran ks in

113

Firm

so c ial

c irc le,

w hich

re v o l v e s

ab o u t

h i m se l f

and

tw o - w a y

c o m m u n i c ati o n n e tw o rk ; o n th e o n e h an d , c arry in g u p n e w s

th e s a m e h ie rarc h ic al lev el an d b e tw e e n d if f e re n t h ie rarc h ic al

an d i n f o rm ati o n that the f o rm al c h an n e l s e x c l u d e ; o n the o th e r

l e v e l s' .

h an d , c arry in g d o w n the m e a n i n g o r ' sp irit' o f th e s u c c e s s o r' s

T h e g rap e v i n e is p a c k e d d i f f e re n tl y d e p e n d i n g o n the liste n -

p o lic ies an d o rd e rs.

i n g au d i e n c e . T h e c o m m u n i c a to r p as s e s o n i n f o r m ati o n to p r o te c t a n d

e n h a n c e h i s o r h e r i n te re sts. T h e m u l ti v o c al i ty

or

G o ssi p e rs also re p o rt to an d f e e d m an ag e m e n t. A s a so u rc e o f

d i f f e re n c e in th e c o n te n t o f th e g rap e v i n e m a y b e d u e to th e s e

in f o rm atio n , g o s s i p m a y in f lu e n c e an d h e l p

d i f f e re n t p a c k a g i n g s u n d e rtak e n b y the initiato r. T h e g o s s i p e r

s h ap e its f o rm al p o lic ies o r d e c i si o n s. Fo r Si m o n ( 1966) , ' T h e

p ro v id es

i n f o rm ati o n

tailo re d

to

the n e e d s

of

h is

or

m anag e m e nt

to

her

g rap e v i n e is v al u ab l e as a b aro m e te r o f " p u b l i c o p i n i o n " in th e

a u d i e n c e . T h e l i ste n e r m a y c h a n g e th e c o n te n t al s o , b u t this is a

o rg an iz atio n . If th e ad m i n i strato r listens to it, it ap p ri se s h i m o f

d i f f e re n t issu e .

the to p ic s that are su b jec ts o f interest to o rg an i z ati o n m e m b e r s ,

In a f irm , g o ssi p m a y n o t b e e x c lu siv e ly a f ac e - to - f ac e e n te r-

a n d their attitu d e s to w ard th e se to p i c s.'

p ri se . T h e te l e p h o n e is o f ten u s e d f o r that p u r p o s e b e c au s e it

M a n a g e m e n t u s e s inf o rm al c o m m u n i c ati o n as a trial b al l o o n to

tran s c e n d s sp atial b o u n d ari e s a n d e v e n al l o w s m o r e o p p o rtu n i -

p re p are p e o p l e ah e ad o f ti m e , to test p e o p l e ' s re ac tio ns, a n d to

ties. A se c re tary w h o is b u s y m a y n o t h av e ti m e to v isit a f ri e n d

g e t f e e d b ac k b e f o re a f o rm al d e c i si o n is taken. M a n a g e m e n t also

o n an o th e r floor, b u t thro u g h th e te le p h o n e sh e c an reac h th at

u se s it am o n g p e e rs to sp e e d u p p ro c e sse s. Issu e s are d i sc u sse d

p e r s o n w i th o u t l e av i n g h e r o f f ic e.

in f o rm ally o v e r th e te le p h o n e , at the te n n is c o u rt o r in

A t th e p o rt o f O ak l an d , a g o o d d e al o f i n f o rm al c o m m u n i c a -

th e

c af eteria to re ac h c o n s e n s u s p ri o r to f o rm al m e e ti n g s .

tio n g o e s o n. By te l e p h o n e , g o ssi p trav els f ro m th e p o rt to th e

G o ssi p is also u s e d b y m a n a g e m e n t as a w a y o f testing th e

m a i n o ffice in d o w n t o w n O ak l an d . So m e ti m e s s o m e o n e f ro m th e

g r o u n d b e f o re f irin g s o m e o n e . Su c h g o ssip e m an ate s f ro m h i g h e r

p o rt g o e s to the m a i n o ffice an d p as s e s o n n e w s , b e l i e v i n g that it

u p . So m e ti m e s th e c o nte nt o f g o ssi p g o e s aro u n d an d the p e rs o n

is n e w i n f o rm ati o n . H o w e v e r, a te l e p h o n e c all h a d p re c e d e d h i m

c o n c e rn e d is the last to kno w . In an y c ase , it o f te n p re p are s th e

a n d tu rn e d it in to o ld in f o rm atio n .

p e rs o n fo r th e f o rth c o m i n g b a d n e w s . A t the s a m e tim e , it g i v e s

G o s s i p e rs f e e d th e g ro u p w i th i n f o rm ati o n s u p p o s e d l y l i m i te d to m a n a g e m e n t, a n d alert p e o p l e to issu es u n d e r

m a n a g e m e n t e n o u g h tim e to e v al u ate the re ac tio n s o f the g ro u p

d isc u ssio n ,

a n d to p re p are th e f inal o rd er. If th e re ac tio ns are to o stro ng , m a n -

d e c i si o n s taken, o r ind iv id u als to b e fired o r h i re d . W h a t w a s to

ag e m e n t m a y b a c k o ff o r p re p are w a y s to c i rc u m v e n t f o re se e ab le

be

sec ret

is

re v e al e d

an d

m ay

c au se

e m b ar r as s m e n t

to

m a n a g e m e n t an d th e p e o p l e c o n c e rn e d .

p ro b l e m s . If th e re is n o n e g ati v e reac tio n, th e n m a n a g e m e n t c an p ro c e e d w ith th e f inal d ec isio n.

M a n a g e r s are n o t i m m u n e to g o ssi p . Th e y e n te r it h o riz o n tally

It is also u s e d b y e m p l o y e e s as a w e a p o n to retriev e i n f o rm a-

th ro u g h i n f o rm al c o m m u n i c ati o n w i th their p e e rs f o r v ari o u s

tio n f ro m m a n a g e m e n t. A f alse r u m o r is sp re ad a n d m a n a g e m e n t

re aso n s, w h e th e r to b e i n f o rm e d o f w h at o th e rs th i n k o r s i m p l y

c o m e s in to c larif y w ro n g ru m o rs . T h u s m a n a g e m e n t is f o rc e d to

as an

p ro v i d e i n f o rm ati o n that it w o u l d n o t o th e rw i se h av e p ro v i d e d .

effic ient p ro c e d u re

to

ac c o m p l i sh

th i n g s

in a

sp eed y

m an n e r. It is also u s e d to c h an n e l i n f o rm ati o n d o w n to

and

G o ssi p m a y s e rv e as a c o ro llary to f o rm al c o m m u n i c ati o n b y

re c e i v e f e e d b ac k f ro m su b o rd in ate s. So m e e v e n u s e the n e tw o r k

p ro v i d i n g ad d i ti o n al i n f o rm ati o n o r an e x e g e si s o f the ratio n ale

to c arv e a p o w e r n i c h e fo r th e m se l v e s. G o u l d n e r ( 1954: 92) n o te s

o r e v e n the in te rp re tatio n o f w h a t w as sai d . In an y c ase , it

that:

p ro v i d e s e x p l an ati o n that al l o w s o n e to m a k e b e tte r se n se o f th e

Informality,

The Informal City 114 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

f o rm al

c o m m u n i c ati o n .

Z e y - Fe rre l l

' i n f o rm al c o m m u n i c ati o n n e tw o rk s

and the Modern

115

Firm

th at

f e re n t so u rc e s, sh e is in a p o sitio n to asse ss o r e v alu ate that

m a y c larify , e lab o rate ,

k n o w l e d g e to p ro te c t a f ri e n d l y b o ss o r to d o w n g r a d e th e statu s

( 1979: ...

Interstitiality

234)

n o te s

a n d a d d n e w m e a n i n g s to o th e rw i s e c o n f u sin g o r u n i n f o rm ati v e

o f an o p p o n e n t. Sh e h as s o m e c o ntro l o v e r th e flow, c o n te n t an d

m e s s a g e s f ro m th e su p e ro rd in ate s. T h e y m ay p ro v i d e the n e c e s s -

d irec tio n o f this i n f o rm al i n f o rm ati o n .

ary ratio n ale fo r i m m i n e n t c h an g e s in the p o lic ies a n d p ro c e d u re s

M an ag e rs d e v i s e v ario u s w a y s to c reate n i c h e s fo r the e x p re s-

o f a n o rg an iz atio n .' T h e s u p p l e m e n tary ro le p l ay e d b y the g rap e -

sio n o f c o o k e d inf o rm ality . M y c laim is that in f o rm ality is s o u g h t

stre sse d .

i n s o m e c i rc u m stan c e s b y th e m an ag i n g staf f f o r the p u rp o s e s o f

In d e e d , D av i s ( 1953: 44) no tes th at ' o f ten f o rm al c o m m u n i c ati o n

b e tte r c o m m u n i c ati o n . To th e f o rm al lu n c h m e e ti n g o n e m a y c o n -

v ine

vis-á-vis

f o rm al c o m m u n i c ati o n

h as also

been

is s i m p l y u se d to c o n f i rm o r to e x p an d w h at h a s alread y b e e n

trast the i n f o rm al o nes. In f o rm al lu nc h m e e ti n g s are s o u g h t o r

c o m m u n i c a te d b y g rap e v i n e . '

o rg an i z e d f o r th e p u rp o se o f p ro v i d i n g i n f o rm ati o n , e x p l an ati o n

In an y f irm , th e re are i n d i v i d u al s w h o are c e n tral in the d if f u si o n an d c re atio n o f in f o rm al k n o w l e d g e . T h e y are the m o s t

ab o u t f o rm al c o m m u n i c ati o n , o r to re trie v e i n f o rm ati o n

that

c o u l d n o t b e se c u re d o th e rw i se .

k n o w l e d g e ab l e ab o u t the d aily ro u tin e s o f the f i rm . T h e y g o o u t

Th e se i n f o rm al m e e ti n g s p ro v i d e m a n a g e m e n t w ith a f e e d b ac k

o f th e ir w a y to s e e k n e w i n f o rm ati o n , p ro v i d e th e ir o w n inte r-

s y s te m an d a w a y o f u n d e rs tan d i n g c o n sti tu e n c y an d re p re se n ta-

p re tati o n o f this i n f o rm al i n f o rm ati o n , c o o k it, a n d se e k o u t p e o -

tio n an d o f e v al u ati n g the u n s e e n o r the h i d d e n d i m e n s i o n o f

p le

p e o p l e ' s b e h av i o r. Th e y al l o w m a n a g e m e n t to h e ar n e w i d e as o r

w i th w h o m

to

share this in f o rm atio n .

Th e i r c lients

su p e ro rd i n ate s w h o are in te re ste d in k n o w i n g w h at g o e s

are on

to b e re - e d u c ate d in w ay s o f d o i n g thing s m o r e efficiently .

a m o n g e m p l o y e e s , p e e rs w h o w a n t to b e i n f o r m e d ab o u t m a n -

Th e se i n f o rm al m e e ti n g s d e c re ase f ru stratio n in that th e y p ro -

a g e m e n t v i e w s, a n d su b o rd in ate s w h o reg ard s u c h i n f o rm ati o n

m o t e u n d e rs tan d i n g an d d i al o g u e . W h at is i n c o m p re h e n si b l e c an

as a f o rm o f p ro te c tio n . Su c h i n d i v i d u al s b e c o m e sp ec ialists in

b e c o m e u n d e rs to o d . Pe o p l e m a y inf lu enc e th e e x e c u tiv e , c au si n g

i n f o rm al k n o w l e d g e c o m m u n i c ati o n an d d if f u sio n, an d p e o p l e

m a n a g e m e n t to c h an g e their m i n d s if the i n f o rm ati o n is g i v e n in

tu rn to th e m fo r i n f o rm ati o n .

a n o n - th re ate n i n g w ay .

T h e s e sp ec ialists link to g e th e r all the f ac ets o f th e o p e ratio n .

Th e se i n f o rm al c o m m u n i c ati o n m e e ti n g s te n d also to so c ializ e

So m e p e o p l e d e ri v e a feeling o f p o w e r f ro m g ath e ri n g an d d if -

p e o p l e in th e c u l tu re o f the c o rp o ratio n . O n e p e rs o n m ay le ad th e

f u s i n g i n f o rm ati o n , so m ak i n g o th e rs d e p e n d e n t o n th e m . Th i s is

c o n v e rsati o n in a n area w h e r e o the r p e o p l e are n o t k n o w l e d g e -

e sp e c i al l y th e c ase o f tho se w h o

ab l e an d s o m e ti m e s n o t in te re ste d . Th e y f o ste r n o t o nly u p w a r d /

h av e ac c e ss to

c o n f id e n tial

i n f o rm ati o n an d w h o initiate th e g o ssi p . Fo r s o m e it is f e e d b ac k

d o w nw ard

i n f o rm ati o n that is p ro v i d e d w h i l e f o r o thers it is n e w i n f o rm a-

a m o n g p e e rs.

tio n o r an in te rp re tatio n o f s o m e th i n g that is al re ad y k n o w n . In

i n f o rm al

d i al o g u e

but

also

h o ri z o n tal

d i al o g u e

O n e m a n a g e r in San Fran c i s c o i n f o rm e d m e h o w

i n f o rm al

b o th c ase s, the r u m o r d if f u ser u s e s his p o sitio n as a so u rc e o f

c o m m u n i c ati o n a m o n g e m p l o y e e s led to a c h an g e in p o lic y .

p o w e r that c an b e m an i p u l ate d to e n h an c e h i s statu s. It is h i s

V ario u s e m p l o y e e s h ad d i s c u s s e d am o n g th e m s e l v e s the n e e d f o r

ab ility to c o ntro l this k n o w l e d g e , to d if f u se it o n h i s o w n te rm s to

a re tire m e nt p l an , an d this i n f o rm ati o n w as b ro u g h t b y s o m e o n e

th o s e h e selec ts, that c o nstitu tes h i s p o w e r an d m a k e s h i m s tan d

to m a n a g e m e n t. A t a sh are h o l d e rs m e e ti n g , th e issu e w as d is-

ap art f ro m o th e rs. In th e lo g ic o f this analy sis, o n e c an see the se c re tary in a f i rm as an i n f o rm al inte llig e nc e ag e n t. H av i n g ac c e ss to c o n f id e n tial

c u s s e d f o rm al l y an d a re so lu tio n to e stab lish a p l an w as p as s e d . Th i s is a c le ar e x am p l e o f i n f o rm al c o m m u n i c ati o n i n f l u e n c i n g th e f o rm al c o rp o rati o n .

k n o w l e d g e , she c an p ass o n i n f o rm ati o n to u p g r a d e the statu s o f

A m ajo r c harac te ristic o f i n f o rm al c o m m u n i c ati o n is that it is

o n e c o lle ag u e an d ref u se to s h are the s a m e w i th an o th e r to

v e rb al , trav els f ast f ro m m o u t h to m o u th , an d also has its p itf alls.

u n d e r m i n e his p o sitio n . H av i n g ac c e ss to k n o w l e d g e f ro m d if -

D av i s ( 1953: 44) f ind s it to b e ' hig hly se le c tiv e an d

d i sc ri m -

The Informal City 116 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality,

Interstitiality

and the Modern

117

Firm

i n ati n g ' . It sp re ad s ru m o r, h alf - tru th s an d is p ro n e to d e f o rm ati o n

Fo r Say le s ( 1966: 91) , the l e ad e r fulfills i m p o rtan t f u n c tio n s in

as it m a k e s its w a y f ro m the c o m m u n i c ato r th ro u g h the v ari o u s

h i s relatio ns w i th h is f o llo w e rs. Fo r e x am p l e , ' h e initiates ac tio n,

liste n e rs in the c h ai n . Th e se r u m o r s , d e p e n d i n g o n their c o n te n t,

h e f ac ilitates a c o n s e n s u s an d h e p ro v id e s a l i n k o r liaiso n w i th

the n e tw o r k c o v e re d an d the i n te n ti o n o f th o se w h o p ro p ag ate

th e o u tsid e w o r l d . '

th e m , c an d o a g o o d d e al o f h a r m an d lo w e r th e m o ral e o f c o -

an d

d e n si ty

o f i n f o rm al

c o m m u n i c ati o n .

and

th e

i n c l u d e the p ro te c ti o n o f the g ro u p . Ro e th l i sb e rg e r an d D i c k s o n

so m e

( 1947: 380) re f e r to in f o rm al l e ad e rs ' w h o to o k u p o n th e m se l v e s

T h e r e is also a ti m e f ac to r th at h e l p s u s to u n d e rs tan d i n te n si ty

W h e n there are v ario u s c l i q u e s v y ing f o r m e m b e r s h i p

p o w e r w ith in a n o rg an iz atio n , the ro le o f th e le ad e r m a y w e l l

w o rk e rs . Th e y c an th u s h av e a n e g ati v e im p ac t o n th e firm . At

p e ri o d s g o ssip ac tiv itie s are m o re in te n se th an at o th e rs: w h e n a

th e re sp o nsib ility o f seeing that the m e m b e r s o f a g ro u p c l u n g

c o m p a n y is n o t d o i n g w ell, w h e n th e p o ssib ility f o r a m e rg e r is

to g e th e r an d p ro te c te d th e m se l v e s f ro m re p re se n tativ e s o f o th e r

b e i n g d i sc u sse d , w h e n the c o m p a n y hires n e w e m p l o y e e s o r is

g r o u p s w ithin

ab o u t to fire o th e rs. Th e s e are c i rc u m stan c e s that te n d to f e e d th e

af f airs.'

th e c o m p an y

w ho

c o u ld

inte rf e re w ith

their

Be c au s e o f th e lev el o f e d u c ati o n an d i n d i v i d u al i sm o f the

c irc u latio n o f g o s s i p .

A m e r i c an w o rk e r, the i n f o rm al c liq u e sy ste m p ro v id e s a saf ety v al v e f o r i m p r o v i n g the f irm , f o r c ritic iz ing th e f irm , fo r stan d i n g u p f o r o n e ' s ri g h ts, f o r l e arn i n g ab o u t the o rg an iz atio n o f the f irm , f o r i n q u i ri n g ab o u t o th e rs ( intellig enc e g ath e ri n g ) , f o r p ro -

I N FO R M A L L EA D ER S A N D T H E C L IQ U E SY ST EM

te c tin g the f irm f ro m b an kru p tc y , f o r the m ai n te n an c e o f m o ral e ' Pe o p l e w e re w h i s p e ri n g ar o u n d say in g that Jo h n [no t his re al n a m e ] h as to o m a n y c o ld s. Fr o m the w o rd p ro c e s s i n g d e p artm e n t w h e re I w o r k e d I w e n t to the c o p y m a c h i n e area a n d e v e ry o n e w a s as k i n g the s a m e q u e stio n. D o y o u think th at Jo h n h as A ID S? It w as in th e e arl y 1980s a n d e v e ry o n e w a s af rai d o f b e i n g in the sam e r o o m w ith s o m e o n e w ith A ID S. A g r o u p o f u s tal k e d to Jo e [ no t h i s real n am e ] a n d aske d h i m to i n f o rm m a n a g e m e n t that w e are u p se t ab o u t Jo h n ' s p re se n c e in th e f irm . O n c e m a n a g e m e n t l e arn e d that Jo h n h ad A ID S, a p u b l i c h e alth p e r s o n w as i n v i te d to m e e t w i th u s an d Jo h n w a s p l ac e d o n d isab ility leav e. H e d i e d sho rtly thereaf ter.'

in th e f irm a n d f o r i m p ro v i n g

the e m p l o y e e ' s

p sy c h o l o g i c al

satisf ac tio n. T h e i n f o rm al l e ad e r is a f o c u s f o r c o nf lic t re so lu tio n w ith m a n ag e m e n t. So m e ti m e s the i n f o rm al lead er b ri n g s u p the issu e a n d th e e m p l o y e e s c o m e to su p p o rt h i m . So m e ti m e s the g ro u p h as a c o nf lic t w ith

m anag e m e nt

and

elec t an

i n f o rm al

le ad e r

to

re p re se n t th e m . A l th o u g h th e i n f o rm al l e ad e r is s u p p o s e d

to rep resent

the

inte re sts o f all th e w o rke rs in h i s c liq u e , s o m e ti m e s there is se g m e n tati o n b as e d o n g e n d e r a n d ethnicity . W i th i n the f irm , th e re m a y b e s u b g ro u p s w ith their o w n i n f o rm al le ad e rs b as e d

on

p e o p l e sh arin g th e s am e id e o lo g ic al, b u si n e ss o r p o litic al o rie ntatio n, g e n d e r o r ethnic ity .

T h e m o d e r n f irm relies o n b o th f o rm al an d i n f o rm al le ad e rs f o r its o p e ratio n . In f o rm al l e ad e rsh i p is f o u n d am o ng

the

e x e c u ti v e s,

m id d le

ran g e

at v ari o u s

m anag e m e nt

le v e ls

an d

th e

The

i n f o rm al

c liq u e

s y s te m

is i m p o rtan t

in the

d e c isio n -

m a k i n g p ro c e ss in the f irm . A t th e lev el o f m a n a g e m e n t, o n e c an ju d g e their i m p o rtan c e in tw o w a y s . Th e i n f o rm al c liq u e is o f te n

The

ab l e to reac h a c o n s e n s u s o n i ssu e s b e f o re atte n d i n g a m e e ti n g .

i n f o rm al lead er is th e p e rso n p e o p l e tu rn to f o r h e l p an d to asse ss

T h e y p re se nt th e i r p o ints m o r e clearly , are b e tte r p re p are d th an

e v e r y d a y lif e in th e f irm . Ju s t as th e re is u s u a l l y m o r e t h a n

o th e rs, p ro v i d e th e b est arg u m e n t, an d g et d ec isio ns

o n e c liq u e w i th i n an o rg an iz atio n , there m a y b e m o re than o n e

ac c o rd i n g

i n f o rm al lead er.

m an i p u l ate the re st o f the g ro u p .

em p lo y ees,

d ep end ing

o n th e siz e o f the c o rp o rati o n .

3

to

th e i r w ill. In

this

c ase, the

cliq ue

p as s e d

is ab le

to

118 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City So m e ti m e s an i s s u e is b ro u g h t in ad v e rte n tly to a m e e tin g . T h e c l i q u e h as n o t d i sc u sse d it b e f o re h an d an d , as e x p e c te d , n o c o n s e n s u s a n d n o d e c i si o n is re ac h e d . O n c e c o n s e n s u s is later s o u g h t a n d ac h i e v e d in th e i n f o rm al sec to r, the c liq u e is ab l e to re tu rn to th e f o rm al m e e ti n g ro o m f o r a f o r m a l d ec isio n.

Informality,

Interstitiality

and the Modern

Firm

119

w h o is no t i n v i te d to p lay te n n is c an n o t p ro v e that there is d isc rim in atio n , b u t in fac t there is an d the sc rip t is h i d d e n . Th i s e x p l ai n s the f re q u e n t f ru stratio n o f w o m e n a n d m in o rity m e m b e r s w h o are p art o f an e x e c u ti v e c o m m i tte e a n d w h o f ind th e m se l v e s alo ne w h e n v o ic ing an issu e . D e c isio n s are m ad e th ro u g h th e i n f o rm al c l i q u e o n Satu rd ay m o rn i n g o n th e tennis c o u rt o r in th e m e n ' s l o c ke r ro o m , an d th e y w e re n o t i n v i te d to atte n d - in

I N FO R M A L I T Y A N D G EN D ER A N D ET H N I C D ISC R IM IN A T IO N Th e m o d e rn firm p ro v id e s us w ith an arena w h e re w e c an stu d y an d analy z e h o w inf o rm ality p ro d u c es g end er an d e thnic d isc rim inatio n. Fo rm al p rac tic es are the re alm w here all the m e m b e rs are

f ac t, they w e re e x c l u d e d . Th i s ty p e o f d isc rim in atio n c o o k e d o u t o f i n f o rm al p rac tic e s w o u l d b e less d a m a g i n g if it d i d n o t h av e an y ef f ec ts o n i n d i v i d u al c areers. Ju st as in f o rm al p rac tic e s e n h an c e c are e r p ro m o ti o n s f o r tho se i n c l u d e d in the rig h t c irc les, th e y are a h an d i c ap o r

4

inv ited to p artic ip ate. These are o p e n p ractices that allo w the f lo w o f c o m m u n ic atio n , so cializ atio n an d the d aily o p eratio n o f the f irm to p ro c e e d . If these f o rm al p ractices are no t d isc rim inato ry b y d esig n, o n e m a y c o nc lu d e that ethnic an d g e nd e r d isc rim inatio n d o e s n o t exist in the firm . In fac t it m ay w e ll d o so , and the stu d y o f inf o rm ality p ro v id e s a ro u te b y w hic h w e m a y u nd erstand h o w its existenc e in the inf o rm al p rac tic es co lo rs o r sexu aliz es f o rm al p ractices. T h e h i ri n g o f m i n o ri ti e s an d w o m e n h e lp s alle v iate the p h y s ic al an d v isib le c harac teristic s o f d i sc ri m i n ati o n b u t d o e s n o t e l i m i n ate th e m . Th i s p o lic y m a y b r i n g ab o u t f o rm al h a r m o n y in th at a modus

vivendi

m a y b e re ac h e d in the f o rm al ap p aratu s, b u t

it also m a y c reate i n f o rm al d i sh arm o n y . In the f irm , th e f o rm al v isib le s y s te m is the p u b l i c arena w h e r e a d r a m a is u n f o l d e d . T h e p re se n tati o n o f the self in p u b l i c m a y o r m a y n o t c o in c id e w i th the p ri v ate self. If the m o ti v ati o n o f th e f i rm lies w ith in th e in f o rm al o rg an iz atio n , w e f in d that p e o p l e are o f te n e x c l u d e d f ro m p artic ip atin g in these in f lu e n tial i n f o rm al o rg an i z ati o n s o n th e b asis o f e th n ic ity o r g e nd e r. D e c i si o n s c o n c e rn i n g the o rie n tatio n o f the f i rm m a y b e m a d e th ro u g h the i n f o rm al c h an n e l b y in d iv id u al m a n a g e r s w h o p l a y

o b stac le to c are e r ad v an c e m e n t fo r tho se w h o

are e x c l u d e d .

K n o k e ( 1990: 103) , c o rro b o rati n g a p o int m a d e earlier b y K an te r ( 1977: 2 0 6 - 4 2 ) , n o te s : ...

h o w stru c tu re s o f i n f o rm al c o m m u n i c ati o n lim it w o m e n ' s

a n d m i n o ri ti e s' ac c ess to c ritic al i n f o rm ati o n an d e x p e ri e n c e s essential f o r c are e r d e v e l o p m e n t. O l d - b o y n e tw o rk s still f lo u rish in b u s i n e s s , g o v e rn m e n t,

an d

ac ad e m i c

o rg an iz atio n s,

g iv in g d if f e re ntial ad v an tag e s to the p ro te g e s o f e stab lish e d e x e c u tiv e s, b u re au c rats, an d p ro f esso rs in the sc ram b l e

fo r

p re f e rre d p o si ti o n s. Su c h p rac tic e s also s h o w th e lim its o f f o rm al re g u latio n an d leg islatio n. T h e y ad d re ss o n l y th e f o rm al asp e c ts o f so c iety , n o t th e in f o rm al o n e s . Le g islatio n c an f o rc e a f irm to hire w o m e n an d e th n i c m in o ritie s at the m an ag e ri al lev el, b u t c an n o t f o rc e m al e m an ag e rs to in v ite th e m to their inf o rm al g ath e ri n g w h e re th e y m a y talk i n f o rm al l y ab o u t f o rm al b u sin e ss m atte rs o r w h e r e th e y m a y e n g i n e e r i m p o rtan t d e c isio n s to b e ratif ied later in f o rm al b u s i n e s s m e e ti n g s .

te n n i s to g ether, w h o m e e t i n f o rm al l y fo r l u n c h o r w h o c all e ac h o th e r o n the te l e p h o n e to d isc u ss i n f o rm al l y f o rth c o m i n g f o rm al b u s i n e s s m atte rs. Th i s is the w a y intellig enc e is sh are d , p o lic ie s are d i sc u sse d an d d e c isio ns are m a d e . Th e f o rm al m e e tin g s are h e l d si m p l y to ru b b e r stam p w h a t w a s alread y d e c i d e d b y a f e w th ro u g h i n f o rm al m e a n s . A m e m b e r o f a m i n o ri ty o r a w o m a n

T H E G R A M M A R O F T H E IN T ER ST IT IA L IT Y O F IN FO R M A L IT Y T h e in f o rm al s y s te m is interstitial in that it is p art o f the f o rm al s y s te m . A n interstitial sy ste m m a y no t h av e a life o f its o w n . Its

120 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informality,

life d e p e n d s o n its i n te rd e p e n d e n c e w ith the f o rm al sy ste m , o n

N o tes

its in te rac tio n w i th th e f o rm al s y s te m , o n ac to rs w h o b e l o n g to

1.

the f o rm al sy ste m , a n d o n an o u tc o m e that m a y f ac ilitate o r h i n d e r an y ac tio n u n d e rtak e n in th e f o rm al sy ste m . A s an interstitial sy ste m , it sp rits a f o rm al p ro c e s s into tw o u nits, stan d s in b e tw e e n an d links o n e to the o the r. It is ab le to

2.

ac c o m p l i s h this b e c au s e it rec eiv es its i m p e tu s f ro m the f o rm er. It d e c o m p o s e s , d e c o n stru c ts u n b l o c k s an d p ro v i d e s th e m e an s to

3.

r e c o m p o s e the f o rm al sy ste m . A s a transitio nal p ro c e ss d e f i n e d b y its interstitial c harac te ristic s, it in f lu e n c e s the traje c to ry o f th e f o rm al sy ste m . A s an interstitial sy ste m , the i n f o rm al s y s te m

i n f o rm al i z e s

asp e c ts o f the f o rm al sy ste m b y i n d u c i n g f o rm al ac to rs to b e i n f o rm al in their b e h av i o r, to e n g ag e in in f o rm al ac tiv ities, to u se te m p o rari l y the f o rm al sp ac e inf o rm ally , o r to tran sf o rm

the

f o rm al sp ac e into an i n f o rm al sp ac e . A s an interstitial s y s te m it is ab s o rb e d b y the f o rm al sy ste m . T h u s ac tio n s take n b y the inf o rm al sy ste m are ab s o r b e d into th e f o rm al to allo w the f o rm al to p ro c e e d an d m o v e f o rw ard . Th e s e interstitial p rac tic e s b e c o m e p art o f the w o rk i n g o f the f o rm al s y s te m . A s an interstitial sy ste m , it d o e s n o t in te rv e n e in e ac h ste p take n b y the f o rm al sy ste m . H o w e v e r, the p o ssib ility is there to re c o n stitu te itself f o r o n e o r m o r e e v e n ts a n d to

d isin te g rate

te m p o rari l y u ntil a n e e d is felt f o r it to reap p ear. T h e sy ste m is c o n si d e re d to b e interstitial w h e n the ac to rs b e c o m e interstitial to c o n d u c t an activ ity , w h e n th e ac tiv ity o r e v e n t is interstitial, w h e n the o u tc o m e is interstitial, o r w h e n th e n e tw o r k is either interstitial o r m i x e d . T h e i n te rsti ti al i ty o f the i n f o r m a l s y s te m is th r o u g h

its m a i n

tran s i ti o n al .

The

f e atu re s as b e i n g i n te rsti ti al

sy ste m

c h a r a c te r i z e d

e sse n ti al , n e c e s s a r y is transitional

w hen

or it

a l l o w s th e f o r m al s y s te m to p a s s f r o m o n e state to an o th e r o r f ro m o n e si tu ati o n to an o th e r. It b e c o m e s essential

w h e n th i s

i n te rsti ti al i ty b e c o m e s a sine qua non in th e f u n c ti o n i n g o f th e f o r m a l s y s te m . It is necessary

w h e n it b e c o m e s th e b e s t a v e n u e

to s p e e d u p a p r o c e s s that al l o w s th e s m o o th o p e r a ti o n o f th e f o rm al s y s te m .

4.

Interstitiality

and the Modern

Firm

121

Jo hnsto n (1956; 6) has fo und that there exist three basic types o f info rmal o rganizatio n. He characterizes them as 'info rmal so cial o rganizatio n', 'info rmal subv ersiv e o rganizatio n' and 'info rmal sup p o rting o rganizatio n'. Merto n (1961:112), fo llo w ing the same Durkheimian p red icament, find s 'info rmal so cial structures as med iating betw een the ind ivid ual and large o rganizatio ns'. In the fo rmal firm, w e find a pro liferatio n o f micro sites o f info rmal p o w er (raw and co o ked ) alo ng v ertical and ho rizo ntal lines that at times und ermine, rearrange, influence o r reinfo rce the fo rmal site o f po w er. Kno ke (1990: 93) no tes that 'the info rmal co mmunicatio n relatio ns co ntinually generate and mo d ify the d istributio n o f legitimate autho rity am o ng perso ns and gro up s insid e o rganizatio ns'. To und erstand ho w info rmal co mmunicatio n am o ng the majo rity gro up affects the po sitio n o f the mino rity g ro up in the firm, see Fairhurst and Snav ely (1983).

6

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJ

Informality and Urban Medical Practices In the San Fran c i s c o - O ak l an d M e tro p o litan A re a, i n f o rm al m e d i c al p rac tic e s e x i st sid e b y si d e w i th the f o rm al m e d i c al s y s te m . In fac t, it is p o ssi b l e to m i s u n d e rs tan d the re latio n s o f the re sid e n ts to the f o rm al s y s te m o f m e d i c al c are if o n e d o e s n o t take i n to c o n sid e ratio n th e reality o f i n f o rm al he alth a n d m e d i c al p rac tic e s. In f o rm al m e d i c a l p rac tic es s h o w u p at the le v e l o f u n d e rs tan d i n g o f the c au se s o f illness (lay lo g ic ) , d i ag n o sti c s (the f o lk m e d i c al re al m to w h i c h th e illness b e l o n g s ) , the se arc h f o r an ap p ro p ri ate f o rm o f h e al i n g (self-c are, sp iritu al o r f o lk h e al i n g , the h o sp i tal o r p ri v ate c lin ic ) , a n d the i m p l e m e n tati o n o f th e re g i m e n ( the e x te n t to w h i c h th e p ati e n t f o llo w s th e re c o m m e n d ati o n o f the m e d i c al d o c to r to th e letter, ac c e p ts th e sp irit o f th e re c o m m e n d ati o n , o r else rejec ts it alto g e th e r) . T h e r e is an o th e r are n a w h e re i n f o rm al m e d i c al p rac ti c e s c o u ld b e stu d i e d he re - th at o f the h o sp i tal as a b u re au c rac y in te rm s o f i n f o rm al n e tw o rk i n g a m o n g staf f , the sp re ad o f g o s s i p , the reality o f inf o rm al c o m m u n i c ati o n an d th e c l i q u e sy ste m . Si n c e s o m e o f the se issu e s w e re d i sc u sse d in the c o n te x t o f th e m o d e m f irm , w e w ill n o t p u r s u e th e m v i g o ro u sl y h e re . Le t u s c o n c e n trate rath e r o n o the r asp e c ts o f the f o r m a l i n f o rm al re latio n s in m e d i c i n e so as to s h o w h o w i n f o rm al h e al th an d m e d i c al p rac ti c e s se rv e as a su p p o rt to th e f o rm al s y s te m . W i th o u t f o c u si n g o n the literatu re p e rtai n i n g to the w o r k i n g o f th e m o d e r n h o sp i tal sy ste m , it is fitting to re v ie w b rie f ly that asp e c t o f it th at serv es as b ac k g ro u n d

to th e issu e at h a n d .

In f o rm al p rac ti c e s are l o c ate d in v ario u s p o si ti o n s in th e h e al th c are sy ste m . T h e y are f o u n d a m o n g p atie n ts, at the staff l e v e l an d in the w o r k i n g o f the i n su ran c e p o lic y d e l i v e ry sy ste m . It h as b e e n a r g u e d th at i n f o r m a l p rac ti c e is a k e y e l e m e n t in th e s u c c e s s o f m e d i c a l d o c to r s b e c au s e it af f e c ts a s s i g n m e n t, re f e rral s a n d i n d i re c tl y th e si z e o f o n e ' s c l i e n te l e . H a l l ( 1946:

123

zyxwvutsrqponmlkjihgfedcbaZ

124 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informality

and Urban Medical

125

Practices

3 1 ) , w h o h a d e arl i e r i n te r v i e w e d a n u m b e r o f p h y s i c i a n s in

In o u r u n d e rs tan d i n g o f so c iety , so c ial sc ientists h a v e d e v e l-

N e w Y o rk, n o t e s , f o r e x a m p l e , th at ' th e al l o c ati o n o f p o s i ti o n s

o p e d theo retic al m o d e l s to u n d e rs tan d th e stru c tu re o f f o rm al

in th e i n s ti tu ti o n s , th e p a c e at w h i c h o n e r e c e i v e s p r o m o t i o n s ,

sy ste m s. Ev e n w h e n i n f o rm al sy ste m s c o m e in to the p ic tu re , they

th e e x te n t to w h i c h o n e h a s p ati e n ts re f e rre d to h i m , all h i n g e

te n d to b e s tu d i e d f ro m the stan d p o i n t o f th e f o rm al so c ial sy s-

o n th e w o r k i n g s o f th e i n f o r m a l o r g an i z ati o n ' . T h e r e ar e n o

te m s. In o th e r w o rd s , the lo g ic o f the f o rm al sy ste m s is u s e d to

c l e a r ru l e s th at g o v e r n th e s e tran s ac ti o n s . M u c h d e p e n d s o n

m a k e se n se o f th e i n f o rm al sy ste m s. I i n te n d to c o n ti n u e to

p a tr o n a g e a n d s p o n s o r s h i p . T h e y o u n g d o c to r w h o

beco mes

re v e rse th e strateg y . Th e f o c u s is n o t o n h o w f o rm al s y s te m s h e lp

th e p r o te g e o f a n o l d e r p h y s i c i a n o r a c l i q u e is in a m o r e

u s to u n d e rs tan d in f o rm al s y s te m s , b u t rath e r o n h o w i n f o rm al

a d v a n t a g e o u s p o s i ti o n f o r a d v a n c e m e n t a n d u p w a r d m o b i l i t y

p rac tic e s h e l p u s to u n d e rs tan d the f o rm al h e alth an d m e d i c al

th a n th o s e w h o d o n o t h a v e s u c h a b a c k - u p .

sy ste m . In f o rm al sy ste m s h a v e their o w n ratio nale, an d

To c o m p l e m e n t H all' s an aly sis, w h i c h i m p l i e s the e x i ste n c e o f a f rate rnity w h o m a y h o l d d o w n tho se its m e m b e r s fail to s u p -

co n-

stantly ad ju st to an d h e lp s h ap e the stru c tu re o f f o rm al s y s te m s . O f te n f o r m a l sy ste m s f u n c ti o n s m o o th l y

an d b e c o m e

p ro -

p o rt, Fre i d so n arg u e s - w i th o u t p re se n tin g d ata to s u p p o rt h i s

d u c tiv e b e c au s e

c l ai m - that ' th e re c an b e n u m e r o u s " f rate rn i ti e s " in a sing le c o m -

Fo rm al s y s te m s c an n o t e v e n b e fully u n d e rs to o d w i th o u t se e i n g

o f their inte rac tio ns w i th in f o rm al

sy ste m s.

m u n ity , an d th e re are c e rtai n l y n u m e ro u s " f rate rn i ti e s " in th e

their links w i th i n f o rm al sy ste m s, an d i n f o rm al sy ste m s th e m -

p ro f e ssi o n as a w h o l e ... T h e s e c o lle ag u e g r o u p s are b u ilt u p b y

se lv e s c an n o t b e stu d ie d as iso late d e n c l av e s. T h e y are c u ltu rally ,

th e m e c h a n i s m s o f p atro n ag e a n d b o y c o tt; a n d , b y the v e ry c o n -

sy m b o l i c al l y a n d stru c tu rally c o n n e c te d to f o rm al sy ste m s.

se q u e n c e s o f th e m e c h an i sm s th e m se lv e s, th e y m u s t b e f airly w e l l

In this c h ap te r, w e w ill e x am i n e o n e asp e c t o f the theo retic al

se g re g ate d f ro m e ac h o th e r ' ( Fre id so n , 1988: 194) . In his s p e c u l a-

p ro b l e m c o n c e rn i n g the lin ks o f the i n f o rm al sy ste m w i th the

tiv e arg u m e n t, Fre id so n se e s i n f o rm al p rac tic e as the b asis f o r th e

f o rm al s y s te m . A l th o u g h th e f o rm al sy ste m m i g h t b e stu d i e d as a

f o rm ati o n a n d sp lit o f f rate rnitie s o r the i n f o rm al c liq u e ( ' the o l d -

su p p o rt s y s te m to the i n f o rm al sy ste m , w e p re f e r to re v e rse the

b o y n e tw o r k ' ) , th e m e an s b y w h i c h p e o p l e are rec ru ited

strate g y o n c e m o r e b y l o o k i n g at h o w the i n f o rm al sy ste m c an b e

i n to

th e se g ro u p s, a n d the b asis f o r their su rv i v al an d re p ro d u c ti o n

a su p p o rt s y s te m . In so d o i n g , w e are n o t d e n y i n g the ' re lativ e

o v e r ti m e . A l th o u g h h i d d e n , th e se m e c h a n i s m s p ro v i d e c l u e s to

a u to n o m y ' o f th e f o rm al s y s te m ; rathe r th e in f o rm al

u n d e rs tan d i n g

se rv e s as a b a c k - u p o r s u p p o rt sy ste m to th e f o rm al sy ste m .

th e m ak e - u p , c o m p e ti ti o n a n d c o nf lic t

am o ng

s y s te m

th e se i n f o rm al m e d i c al c l i q u e s o r f raternities. T w o Bay A re a p h y sic ians w h o w e r e i n te rv i e w e d c o n f irm Fre i d s o n ' s o b se rv ati o n s th ro u g h th e ir o w n e x p e rie n c e s.

IN FO R M A L M ED I C A L P R A C T I C ES

T h e e x i ste n c e o f inf o rm al p rac tic e s is al so ac k n o w l e d g e d a n d tak e n in to c o n si d e rati o n in th e d eliv ery o f i n su ran c e p o l i c i e s.

'I al w ay s h a v e s o m e b asic m e d i c i n e s in th e h o u se . Last m o n th ,

G raham

( 1985: 47) n o te s th at ' p riv ate i n su ran c e is e x p re s s l y

m y d au g h te r w a s c o u g h i n g : I g av e h e r s o m e c o u g h m e d i c i n e ,

d e si g n e d f o r m e d i c al c are , n o t h e alth c are : it m e e ts the c o s ts o f

asp irin, h o t te as w ith h o n e y an d a lo t o f o r an g e ju ic e. Si n c e sh e

su rg ic al an d p h arm ac o l o g i c al rep air b u t n o t th e c o sts o f f u ll c o n -

d id re c o v e r af te r a f e w d ay s , I d id n o t h a v e to take h e r to the

v al e sc e n c e . ' In f o rm al h e al th c are p ro v i d e d at h o m e b y m e m b e r s

clinic'

o f the f am ily , w h i c h is i m p o rtan t fo r the to tal re c o v e ry o f th e p atie nt, is n o t c o v e re d b y i n su ran c e . O n e s e e s h e re the re latio n s

It is a g e n e ral o b se rv atio n that there are m a n y f o lk m e d i c al p rac -

o f the f o rm al m e d i c al s y s te m to the i n su ran c e i n d u stry

and

tic es w i th i n th e m i n o ri ty e th n i c c o m m u n i ti e s . It is o f ten sai d that

ind ire c tly th e re c o g nitio n o f th e in f o rm al se c to r as a s u p p o r t

th e m ai n re aso n w h y p e o p l e d o no t atte n d h o sp itals w h e n th e y

s y s te m to th e f o rm al secto r.

are sic k is p o v e rty . In fac t, this is o nly o n e a m o n g o th e r re aso n s. 1

126 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City A c ro ss th e b o a r d , ric h an d p o o r alike in th e San Fran c i sc o Bay

Informality

and Urban Medical

127

Practices

it c an n o t s o l v e are ref erred to the f o rm al s y s te m fo r their re so lu tio n. Fr o m th e p atie n t' s stan d p o i n t, f o rm al an d in f o rm al m e d i c al

A re a are i n v o l v e d in i n f o rm al m e d i c al p rac ti c e s. G e n e ral o p i n i o n asso c iate s th e f o rm al w i th the m a i n s tr e a m

sy ste m s are tw o p o les that c o m p l e m e n t e ac h o ther.

A n g l o p o p u l ati o n and the i n f o rm al w ith th e m in o ritie s. Th i s is n o t tru e: th e A n g l o s h av e th e i r o w n i n f o rm al p rac tic e s a n d the i n f o rm al c ate g o ry e m b rac e s all se g m e n ts o f th e p o p u latio n .

T H E I N FO R M A L R EFER R A L SY ST EM

So m e illne sse s b e l o n g e x c l u si v e l y to the d o m ai n o f f o l k p rac tic es. Illne sse s like susto

( f rig ht) am o n g M e x i c a n - A m e r i c a n s in

th e M i ssi o n D istric t are tre ate d o nly b y f o l k re m e d i e s .

2

Inter-

' W h e n I c a m e he re f ro m N e w Yo rk, I d i d n o t k n o w a lo t o f p e o p le. I h a d a he alth p ro b l e m an d I n e e d e d to see a d o c to r. I

ac tio n o f th e p atie n t w i th m o d e r n m e d i c i n e th ro u g h a m e d i c a l

talke d to tw o e m p l o y e e s at the w o rk p l ac e . O n e d id n o t like an y

d o c to r in p ri v ate p rac tic e o r th ro u g h the g e n e ral h o sp ital c o m e s

o f the d o c to rs she w a s se e i n g at the H M O . Th e o th e r to ld m e

ab o u t o n l y as an u ltim ate re c o u rse . In the g e n e ral p o p u l ati o n , p e o p l e d o n o t n e c e ssarily see a p h y -

ab o u t an o l d e r d o c to r w h o h as a v e ry g o o d re p u tatio n in to w n . Sh e said to m e if y o u w a n t m o re i n f o rm ati o n ab o u t h i m y o u

sic ian e v e ry ti m e th e y feel p ai n . H e re ag ai n th e y te nd to tak e c are

c an c all m y g irlf riend . I d id talk to h e r g irlf riend w h o

o f th e m s e l v e s an d if the p ai n c o n ti n u e s th e y m a y d e c id e to se e a

r e c o m m e n d e d h i m to m e . I w e n t to se e h i m an d h e h as b e e n

also

p h y sic ian . Fo r c o m m o n illn e sse s like c o l d s, p e o p l e d o n o t ro u -

m y d o c to r f o r the p ast te n y e ars.'

tinely see th e ir d o c to rs, b u t s i m p l y take c are o f th e m se l v e s. W h a t this am o u n ts to is that f o l k m e d i c al p rac ti c e s are w i d e s p r e ad

Fre id so n ( 1961) f o u n d th at p rio r to se e i n g a p hy sic ian o r to v isit-

ac ro ss th e v ari o u s so c ial c lasse s.

ing a h o sp i tal , the c lient m a y d e p e n d o n an e lab o rate i n f o rm al

To s h o w th e m ag n i tu d e o f in f o rm al m e d i c al p rac tic e s as p e rf o rm e d in p ri v ate h o m e s , Le v i n an d Id ler ( 1981: 64) id e n tif y :

ref erral s y s te m . This p re l i m i n ary p e ri o d c o v e rs the p rac tic e s o f i n f o rm al h e al th c are e x p e ri m e n tati o n a n d i n f o rm al ac q u isitio n o f kno w led g e.

... th e tw o m o s t f re q u e n t so u rc e s o f si c k n e ss an d d e ath in this

M any

h e al th

p ro b l e m s

are

so lv e d

at this

lev el

b e c au se p e rs o n al e x p e ri m e n tati o n h as b e e n su c c e ssf u l o r the

so c iety , th e u b i q u i to u s m i n o r illnesses a n d inju ries o f d ai l y life:

i n f o rm ati o n ac q u ire d th ro u g h the i n f o rm al n e tw o rk h as h e l p e d

c o m m o n c o l d s an d f lu , in d ig e stio n , skin c o n d itio n s, h o u s e h o l d

c u re the illne ss.

ac c id e n ts. T h e o ther m ajo r so u rc e o f m o rb i d i ty is c h ro n i c d is-

Fre id so n ( 1961) sp e aks o f the lay ref erral sy ste m in c o n trast to

e ase , w h i c h c an v ary in se v e ri ty f ro m h a y f e v e r to d i ab e te s to

the p ro f e ssi o n al ref erral sy ste m . In m y ju d g m e n t, it is m o r e ac c u -

c anc er. T h e s e tw o ty p e s c o n stitu te b y f ar th e g reatest p ro p o r-

rate to s p e a k o f the i n f o rm al ref erral s y s te m in the se n se that it

tio n o f d i se ase in m o st p e o p l e ' s liv es, a n d th e y are p re c ise ly th e

m a y i n c l u d e asp e c ts o r ac to rs f ro m the p ro f e ssio n al s y s te m . Fo r

d ise ase s w h i c h are c are d f o r, b e st an d m o s t o f ten, b y the f am ily .

Fre id so n ( 1961: 18) the lay ref erral s y s te m c an b e v e ry e lab o rate in that:

O n the o n e h a n d w e h av e a f o rm al s y s te m o f m e d i c al c are that d o e s n o t c o v e r all the h e al th p ro b l e m s o f th e city . O n th e o th e r

The p ro c e ss o f seeking he alth b eg an w ith p urely p erso nal, tent-

h an d , w e h a v e a n u m b e r o f h e al th p ro b l e m s that n e v e r re ac h the

ativ e self-d iag no sis that im p lied their self - ad m inistered

f o rm al m e d i c a l c are sy ste m . Th e s e p ro b l e m s are so lv e d th ro u g h

m ents. U p o n failure o f these first p resc rip tio ns, m e m b e rs o f the

the i n f o rm al sy ste m .

h o u se h o ld w e re c o nsu lted . A id in self-d iag no sis w as so m e tim e s

In a se n se o n e m ay say th at the in f o rm al s y s te m is an e x te n si o n

treat-

so u g ht f ro m lay m en o u tsid e the h o u se h o ld - friend s, neig hb o rs,

o f the f o rm al sy ste m b e c au s e it so lv es h e al th p ro b l e m s that m i g h t

relativ es, f ello w - w o rkers, a f o rm er nu rse , o r so m e o n e w ith the

o th e rw i se re ac h the f o rm al sy ste m , b u t in ad d itio n the p ro b l e m s

sam e tro u b le. Ind eed , w h e n exp lo ratio n o f d iag no sis w a s d raw n

The Informal City 128 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Informality

and Urban Medical

129

Practices

o u t an d no t sto p p e d early b y c essatio n o f s y m p to m s o r im m e d iate

e v e r m y m o th e r c o m e s to th e h o u s e if o n e o f m y c hild re n is

rec o u rse to a p hy sic ian, the p ro sp ec tiv e p atient referred him self ,

sic k, sh e al w ay s p re p are s s o m e th i n g f o r th e c hild : tea, v aso l i n e

o r w as referred , thro u g h a hie rarc hy o f c o nsu ltant p o sitio ns. T h e

if it is a c u t a n d so o n. Sh e u s e d to m a k e m y father, y o u n g e r

hierarc hy ran f ro m the intim ate and inf o rm al c o nf ines o f th e

b ro th e r an d tw o sisters d ri n k all kind s o f te as w h e n w e w e re

f am ily thro u g h su c c essiv ely less intim ate lay c o nsu ltants u ntil th e

liv ing in Lo u i si an a. I am n o t in to that k i n d o f stuff. Fro m tim e

p ro f essio nal w a s finally reac hed .

to tim e, I d o s i m p l e thing s f o r m y c hild ren w h e n they h av e , f o r e x am p l e , b a d c o l d s. '

In d ec o nstru c ting the lay referral sy stem , Freid so n ( 1961:146) id entifies ' the lay referral structure [ w hic h] is a n e tw o rk o f referrals in that

It is a tru ism to s ay that there are f o lk an d n o n - f o l k illnesses that

c o nsu ltants n o t o n ly d iag no se an d p resc rib e b u t also m ak e referrals'.

are c u re d o u tsi d e o f m ai n s tre am m e d i c i n e . Eac h in d iv id u al h as

Th e fo c u s o n the info rm al referral sy stem is im p o rtant as it h e lp s

h i s o w n list o f illnesses a n d

s y m p to m s

th at c an b e

tre ate d

to s h o w h o w the inf o rm al sy ste m is a su p p o rt sy ste m p ro v id ed in

th ro u g h se lf - c are o r w ith the h e l p o f lay p e o p l e . So m e ti m e s th e se

three w ay s. First, it keep s ind iv id u als fro m u sing the f o rm al sy ste m

lists are s h ap e d b y o n e ' s so c ializ atio n in an e th n i c g ro u p .

w h e n they c an so lv e their health p ro b le m s b y the m se lv e s and in this se n se p rev ents the f o rm al sy ste m f ro m b eing o v e rb u rd e ne d

by

Eac h e th n ic c o m m u n i ty h a s its he ale rs, th e m o st

3

common

a m o n g th e m b e i n g f am ily m e m b e r s like th e m o th e r w h o

h as

u nne c e ssary treatm ent p ro c ed u res. Sec o nd , it p ro v id e s a filter fo r the

l e arn e d the m e d i c a l k n o w l e d g e f ro m an o l d e r g e n e ratio n an d

transitio n to the f o rm al sy stem . W h e n the p ro b l e m reaches th e

w h o is ab le to u s e it to c u re m e m b e r s o f the f am ily . Self - c are is an

f o rm al sy stem , it is likely that s o m e inf o rm al m e d i c al p ractices h a v e

i n f o rm al w a y o f taking c are o f o n e ' s self an d h as n o c u ltu ral o r

b e e n u sed . Third , it allo w s the p atient to b e m o re recep tiv e to

c lass b o u n d ar y in that it is d o n e b y e v e ry o n e in so c iety .

m o d e m m e d ic ine b ec au se inf o rm al p ractices w e re help ful n o t in

W h a t the se sc atte re d m e d i c al p rac tic es d o is to reliev e th e f o r-

c u ring an illness, b u t in lead ing the p atient to m o d e r n m ed ic ine. In

m a l sy ste m f o r m th e b u rd e n o f a tre m e n d o u s n u m b e r o f h e al th

c o nse q u e nc e , m o d e m m ed ic ine c o nc entrates o n tho se illnesses that

p ro b l e m s that n e v e r s h o w u p at the ho sp ital. T h e i n f o rm al sy s-

f o lk p ractices c an n o t cure. Bec au se there is a b o d y o f illness that nev er reac hes the ho sp ital,

te m su p p o rts th e f o rm al b y s p ari n g it a n u m b e r o f c ases. T h e s e c ase s w ill n o t ap p e ar in th e statistic s o f th e f o rm al

s y s te m .

the stu d y o f health c are c anno t c o nc entrate exc lu siv ely o n the f o rm al

Be c au s e o f th e se in f o rm al p rac tic e s, the h o sp i tal s an d p h y si c i an s

sy ste m w hic h m a y n o t acco unt f o r info rm al p rac tic es. The f o c u s o n

c an c o n c e n trate o n m o re se v e re c ase s an d si c ke r p atients.

the info rm al referral sy stem allo w s u s an o p p o rtu nity to see w h at is h i d d e n b ehind the f o rm al sy ste m o f m ed ic al c are. A lth o u g h the f o c u s o n the lay referral sy stem h as help ed c larify asp ec ts o f m e d ic al p ractice, 'this c o nc ep t [ w as n o t intro d u c ed ] to u n d e rstan d the structure and o rg aniz atio n o f the info rm al he alth

In f o rm al p rac ti c e s are re p ro d u c e d o v e r ti m e th ro u g h the so c ializ atio n o f p e o p l e in to th e m , s o m e ti m e s e x te n d i n g the siz e o f the p o p u l ati o n w h i c h

u se s th e se p rac tic e s as th e i n f o rm ati o n

is

sh are d w ith o th e rs. Be c au se th e se in f o rm al p rac tic e s o f ten ac tu al l y c u re p e o p l e ,

serv ic e' ( G raham , 1985: 31). W e m u s t p ay attentio n as w ell to th e

th e y retu rn h e al th y p e o p l e to w o r k in th e f o rm al s y s te m

internal d y n am ic s o f info rm al m e d i c al p ractices.

so c iety . In a se n se , th e y ap p ro p ri ate the ro le o f th e ho sp ital. A t the

of

s a m e tim e , th e se in f o rm al p rac tic e s h e lp p r o d u c e a s e g m e n te d m a r k e t fo r h e al th c are. C o m p e ti ti o n o c c u rs in o n e area o f that IL L N ESSES, SEL F- C A R E A N D H O U SEH O L D - H EA L ER S

m ark e t. T h e i n f o rm al m e d i c al s y s te m

also p ro v i d e s an

alte rn ativ e

' M y m o th e r is th e o n e w h o c are s fo r u s w h e n w e are sic k. Sh e

a v e n u e f o r illn e sse s that c an n o t b e treated b y the f o rm al s y s te m

liv es n o t f ar f ro m here. Ev e n th o u g h I a m n o w m arri e d , w h e n -

o f m e d i c al c are . Th e n , the latter serv es o n l y as a last reso rt. T h e

130 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City i n f o rm al tre atm e n t al l o w s f o rm al p atie nts a p sy c h o l o g i c al relief

Informality

and Urban Medical

131

Practices

In p ro v i d i n g h o m e c are , w o m e n also se rv e as m e d i ato rs an d

se c u re

n e g o tiato rs l i n k i n g the d o m e s ti c to the p u b l i c sp he re . G r a h a m

o rth o d o x

b e tw e e n the f am i l y an d th e state, as the g o - b e tw e e n s l i n ki n g the

m e d i c i n e to b e p rac ti se d . It s u p p o rts the f o rm al s y s te m in t w o

i n f o rm al h e al th c are sy ste m w i th the f o rm al ap p aratu s o f the

w a y s . O n the o n e h an d , at th e b e g i n n i n g o f th e illness, f o l k

w e lf are state s.'

in th e k n o w l e d g e

that they h a v e tried e v e ry th i n g

to

( 1985: 26) w ri te s that ' their c ari n g ro le p lac e s th e m at the inte rf ac e

h e al th . Su c h tre atm e n t p ro v id e s an o p p o rtu n i ty

f o r less

re m e d i e s are tried a n d if no t su c c e ssf u l , the n e x t ste p is taken: th e

In this s a m e lig ht, Sh a r m a ( 1992: 63) s p e ak s o f ' the c u ltu ral

u se o f m o d e r n m e d i c i n e . O n the o th e r h an d , if m o d e r n m e d i c i n e

" m i c r o - c l i m a te "

c an n o t so lv e th e p ro b l e m , the n f o l k re m e d y is th e last reso rt.

in f o rm al h e al th c are p rac tic e s. Th u s it is i m p o rtan t to e x p lain

of

the

ho u seho ld '

in m atte rs

p e rtain in g

to

Th i s last reso rt strate g y s h o w s th e lim its o f f o rm al m e d i c i n e . In

h o w the h o u s e h o l d p ro v id e s a n ic h e f o r th e se in f o rm al p rac tic e s

this lig ht, o n e m a y say that f o lk m e d i c i n e re s c u e s the f o rm al

a n d the o rg an i z ati o n al m e c h an i s m s that su stain their su rv iv al

m e d i c al sy ste m w h e n there are m o r e than ju st p h y s i c al asp e c ts to

an d re p ro d u c ti o n .

h e al th c are. SU P P O R T SY ST EM W O M E N A S I N FO R M A L H EA L T H C A R E P R O V I D ER S W h e n w e s p e a k o f the i n f o rm al sy ste m as a su p p o rt s y s te m , w e W h e n w e i n tro d u c e the no tio n o f g e n d e r an d f o c u s o n the h o m e

i m p l y a c e rtain d e g re e o f d o m i n an c e an d hierarc hy , an d o f c o u rse

f ro nt, it b e c o m e s e v i d e n t an d e v e n c entral th at w o m e n p l ay a

th e e x iste nc e o f a f o rm al s y s te m . W e i m p l y a n o rm ati v e stan c e in

m a jo r ro le in this i n f o rm al are n a. H e al th c are is n o t o n l y p ro v i d e d

that the f o rm al is c entral an d th e inf o rm al is p e rip h e ral. W e i m p l y

at th e h o sp ital o r the p riv ate c linic , b u t also

that b y f o c u si n g , o n the i n f o rm al w e w ill u n d e rstan d w h a t k i n d

at h o m e .

This

i n f o rm al asp e c t c an b e b est s tu d i e d at the h o m e lev el. Th e d e c i -

o f c o n trib u tio n it o f f ers to th e m ai n te n an c e o f the f o rm al sy ste m .

si o n to se e k p ro f e ssi o n al h e lp is o f te n taken af te r th e h o m e trial

W e f inally i m p l y that the e x i ste n c e o f the i n f o rm al m a y d e p e n d in

a n d e x p e ri m e n ts h a d f ailed . T h e h o m e is an i n f o rm al lab o rato ry

p art o n the e x i ste n c e o f an d re latio nship w i th the f o rm al.

w h e r e f o lk re m e d i e s are tried , w h e r e i n f o rm al k n o w l e d g e

is

In stu d y i n g an in f o rm al s y s te m su c h as f o lk m e d i c al p rac tic e

Sh a r m a

a n d its re latio n to a f o rm al s y s te m su c h as m o d e r n m e d i c i n e , o n e

( 1992: 59) n o te s, ' stu d i e s o f lay h e al th p rac tic e s in Britain h a v e

m a y b e ab le to illu strate e m p iric ally the p ro c e ss that I h a v e in

s h are d

an d i n f o rm al the rap ie s are e x p e ri m e n te d . A s

s h o w n that w o m e n take m ajo r re sp o nsib ility f o r th e he alth c are

m i n d . Fo lk m e d i c i n e f u n c ti o n s as a b ac k - u p sy ste m in re g ard to

ad m i n i ste re d i n f o rm al l y th ro u g h th e h o u s e h o l d . ' In the v ari o u s

m o d e rn

e th n i c c o m m u n i ti e s in the San Fran c isc o

d if f erent th i n g s h e re .

Bay A re a, w e

hav e

f o u n d that the m o th e r p lay s a c e n tral ro le in th e e arly d i ag n o si s a n d tre atm e n t o f si c kn e ss in the o th e r m e m b e r s o f th e h o u s e h o l d .

m e d i c i n e , an d

by

First, it is a complementary

b ac k - u p system

s y s te m ,

we

m ean

three

in th at it is a s p e c i al i z e d

s y s te m th at i n te r v e n e s f o r sp e c i f i c h e al th p r o b l e m s th at f al l in

th e

its d o m a i n . T h e c o m p l e m e n t a r y ro le o f f o l k m e d i c a l p r ac ti c e s

i m p o rtan c e o f w o m e n in c arry i n g o u t m u c h o f this se rv ic e . It is

w h i c h s e r v e as a s u p p o r t s y s te m to th e f o r m a l s y s te m is m a n i -

T h e f o c u s o n h o m e he alth c are fo rc es u s to re c o g n iz e

th e w o m a n as w i f e a n d m o th e r w h o m o re o f te n th an no t c ares f o r

f est at v a r i o u s l e v e l s. A t th e tre atm e n t l e v e l , sic k p e o p l e u se

th e rest o f the f am ily . Th u s, it is ri g h t to say that ' i n f o rm al h e al th

f o l k r e m e d i e s to c u re th e i r ai l m e n t. T h o s e r e m e d i e s v a r y f r o m

c are h as re m ai n e d p art o f the d o m e s ti c e c o n o m y ' ( G rah am , 1985:

o n e e th n i c

25) .

b ac kg ro u nd s.

g ro u p

to

a n o th e r b e c a u s e

of

d if f e re n t

c u l tu r al

132 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City Se c o n d , it is a sustainable f o r m al sy ste m

so

system

that it c an

in that it h e l p s u n c l o g th e

o p e rate sm o o th l y , so

that

th e

Informality

and Urban Medical

133

Practices

Th e s m o o th f u n c ti o n i n g o f th e f o rm al s y s te m d e p e n d s o n th e e x iste nc e o f th e in f o rm al s y s te m . Th e f o rm al sy ste m m u s t b e

i n f o rm al s y s te m se rv e s as a d u m p i n g g r o u n d f o r the f o rm al

d e f in e d in te rm s o f its d if f e re n c e s f ro m the i n f o rm al sy ste m , that

s y s te m . By s e rv i n g as a saf e ty v alv e to th e p rac titio n e rs

is th e p aram e te rs o f its o b je c tiv e b o u n d ari e s. In its intentio nality ,

of

m o d e r n m e d i c i n e , it allev iates th e b u rd e n o f f o r m a l m e d i c i n e a n d

the f o rm al s y s te m d o e s n o t o p e rate w ith o u t its re c o g nitio n o f th e

in d ire c tly su stain s it.

e x iste nc e

Th i rd , it is a feeding

system

in that it p ro v i d e s re m e d i e s a n d

of

th e

in f o rm al

s y s te m ,

fo r so m e

of

the

re aso n s

p re v io u sly m e n ti o n e d .

te c h n i q u e s that are g ath e re d a n d u se d b y th e m o d e r n s y s te m ,

T h e u se rs o f th e f o rm al s y s te m also take ad v an tag e o f th e

th at is it tran sm i ts to the f o rm al s y s te m c u re s th at are f o rm al i z e d

i n f o rm al s y s te m . T h e y f u nc tio n in the f o rm al s y s te m to the e x te n t

i n to p h arm ac e u ti c al d ru g s, an d p ati e n ts fo r w h o m it h as n o c u re .

that this s y s te m c an h e lp th e m take c are o f all their n e e d s. H o w -

T h e r e is a c o n s tan t m o v e m e n t o f p e o p l e f ro m f o l k p rac tic e s to

e v e r, an y d e f ic ie n c y either p e rc e i v e d o r real in th e f o rm al s y s te m

f o rm al p rac tic e s.

m a y lead th e m to se e k so lac e in the in f o rm al sy ste m .

W h i l e m o d e r n m e d i c i n e c o n c e n tr ate s o n its o w n

r a ti o n a l

d o m a i n , f o l k m e d i c i n e fills th e c rac k s f o r c o m m o n a n d illnesses

fo r

w hich

m o d ern

m ed icine

has

no t

y et

T h e u se rs o f th e in f o rm al m e d i c al s y s te m also re c o g n iz e th e

fo lk

e x iste n c e o f th e f o rm al sy ste m an d u se it w h e n it is to their o w n

fo und

ad v an tag e . T h e y u n d e rstan d th at the i n f o rm al sy ste m also h as its

rem ed ies. W e ac k n o w l e d g e that the i n f o rm al sy ste m h as a m u c h m o r e

o w n b o u n d ari e s. Pro b l e m s that th e y c an n o t so lv e f ro m their p artic ip atio n in th e i n f o rm al s y s te m are b ro u g h t to the f o rm al sy s-

i m p o rtan t ro le in th e f u n c ti o n i n g o f so c iety th an h as b e e n re c o g -

te m to b e s o l v e d there. T h e y d e v e l o p c lassif ic ato ry th e m e s to

n i z e d b y so c ial sc ientists. It al l o w s the f o rm al s y s te m to o p e rate

d istin g u ish w h a t b e l o n g s to th e f o rm al sy ste m f ro m w h at b e l o n g s

in its o w n d o m a i n . It also al l o w s the f o rm al s y s te m to re tu rn to

to th e i n f o rm al sy ste m , an d it is f ro m that f ram e o f re f e re nc e th e y

th e i n f o rm al s y s te m thing s that th e f o rm al s y s te m c an n o t re so l v e

d e c i d e w h e n a n d h o w to m o v e f ro m o n e s y s te m to the o ther.

o r a c c o m m o d a te . Th e re are tw o p ro c e sse s h e re : o n e is the so l u -

T h e u se rs o f m o d e m m e d i c i n e h av e ac c e ss to an d u tiliz e the

tio n that the i n f o rm al sy ste m p ro v i d e s w h i c h c o u l d n o t b e p r o -

f o lk sy stem o f h e al th c are. T h e y are so c ializ ed in their o w n c u l-

v i d e d b y th e f o r m a l sy ste m . T h e se c o n d is th e re m o v al o f th e

tu re s to d i sti n g u i sh illnesses th at b e l o n g to th e d o m ai n o f m o d e r n

ac ti o n f ro m the f o rm al to the i n f o rm al sy ste m , th e re b y f re e ing th e

m e d i c i n e f ro m th o se that b e l o n g to the d o m a i n o f f o lk m e d i c i n e .

f o r m al sy ste m to c o n c e n trate o n th in g s that it c an d o o r d eliv er.

T h e y m a y f u rth e r d isting u ish illnesses in te rm s o f their n atu ral ,

Th i s saf ety v al v e f u n c tio n al l o w s u se rs o f th e f o rm al sy ste m an

sp iritu al an d m ag i c al o rig ins a n d selec t the m o d e s o f tre atm e n t

alte rn ativ e m e a n s : that o f u s i n g th e inf o rm al s y s te m fo r sp e c if ic

a n d the h e ale r as a f u nc tio n o f th o se c ate g o rie s.

e n d e av o rs .

T h e i n f o rm al sy ste m f u n c ti o n s s m o o th l y d e p e n d i n g o n

the

A s a su p p o rt sy ste m , the i n f o rm al m e d i c al s y s te m p e rf o rm s a

state o f the f o rm al sy ste m a n d th e c ap ac ity o f th e f o rm al s y s te m

se ri e s o f f u n c ti o n s p e rtain in g to the w e l l - b e i n g o f the f o rm al

to m e e t its o w n n e e d s . Th is m a y e x p lain w h y the b o u n d ari e s o f

s y s te m , the u se rs o f the f o rm al s y s te m , the u se rs o f the i n f o rm al

th e i n f o rm al s y s te m m a y e x p a n d o r c o n trac t. W h e n the f o rm al

s y s te m , a n d th e w e l l - b e i n g o f th e i n f o rm al s y s t e m . It is a s u p -

s y s te m is u n ab l e to ac c o m m o d ate its u se rs, the in f o rm al s y s te m

p o r t sy ste m in th at it sp are s th e f o rm al s y s te m c ertain tasks,

te n d s to e x p an d ; w h e n the f o rm al sy ste m e x p a n d s its b o u n d ari e s ,

al l o w i n g it to c o n ti n u e to se e k so lu tio ns f o r th e p ro b l e m s f o r

th e in f o rm al s y s te m ' s sp h e re o f ac tiv ity te n d s to b e re d u c e d .

w h i c h it c u rre n tl y h as n o so l u ti o n to o ffer. It also al l o w s th e

T h e e x p an s i o n o f the u se o f f o l k m e d i c i n e b y u se rs o f m o d e r n

f o rm al sy ste m th e p o ssib ility o f e ith e r i g n o ri n g o r p u s h i n g to th e

m e d i c i n e is re l ate d to the inab ility o f the latter to reac h o u t to o r

c u l tu ral m arg i n s o f so c iety c e rtain ite m s w h i c h m i g h t fall u n d e r

ac c o m m o d ate e v e ry o n e in a g i v e n c o m m u n i ty . W h e n

its d o m ai n .

m e d i c i n e is u n a b l e to c u re illnesses am o n g its c o n s u m e rs , th e se

m o d ern

134 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

Informality

and Urban Medical

135

Practices

in d iv id u als e n d u p e n l arg i n g the g ro u p o f f o lk m e d i c al u se rs.

ST R U C T U R I N G O F T H E I N FO R M A L SY ST EM A S SU P P O R T

T h e y reac h o u t o r reso rt to f o l k m e d i c i n e in se arc h o f ef f ic ient

SY ST EM

re m e d i e s. In c o ntrast, w h e n p rac titio n e rs o f m o d e r n m e d i c i n e m a k e an

Bec au se o f its statu s as a s u p p o rt sy stem , th e stru c tu ring o f the

ag g re ssiv e ef f o rt to m ak e th e m s e l v e s an d m o d e r n m e d i c i n e av ai l -

inf o rm al s y s te m p lac e s s o m e lim itatio ns o n its d e v e l o p m e n t an d

ab le to the c o m m u n i ty , as h a s h ap p e n e d in so c ialist C u b a , th e

internal o rg an iz atio n . It f u n c ti o n s m o stly as a re sp o n se to e v e n ts

sp h e re o f ac tiv ity o f fo lk m e d i c i n e is c u rtaile d . In o ther C ar i b b e an

o v e r w h i c h it h a s n o c o ntro l. Th e d e p e n d e n c e o f the i n f o rm al

island s, w h e r e b u d g e t c u ts h a v e f o rc ed h o sp i tal s to c l o se th e ir

sy ste m o n th e f o rm al s y s te m b e c o m e s a reality that it c an n o t

d o o rs, f o lk m e d i c i n e c o n ti n u e s to f lo u rish a n d h as e n l arg e d its

o v e rc o m e .

d o m ai n o f ac tio n . In the Bay A re a, f o lk m e d i c al p rac tic e s are u s e d

Fo r that re aso n , it h as n o h o l d o v e r th e ac to r- p artic ip ants.

e x te n si v e l y a m o n g u n d o c u m e n te d i m m i g ran ts w h o , b e c au s e o f

M an y are n o t f u ll- tim e p artic ip an ts in the i n f o rm al se c to r; th e y

their leg al statu s, are af raid to u se the f ac ilities o f the m o d e r n

si m p l y fall f ro m the f o rm al sec to r. Th e u se rs m a y e v e n m o v e to

ho sp ital.

the f o rm al se c to r d e p e n d i n g o n w h at this se c to r c an o ffer, its av ailab ility a n d th e w illin g n e ss o f the ac to rs. Th e

T H E EX P A N SIO N O F T H E I N FO R M A L SY ST EM

in te rn al

stru c tu rin g

an d

artic u latio n

of

the

i n f o rm al

sy ste m h as its o w n d y n am i c w h i c h is itself in f lu e n c e d b y the ab ility o f th e s y s te m to e x p an d o r red u c e itself. Ex p an si o n m a y

O n e o f the f u n c ti o n s o f the i n f o rm al s y s te m as a su p p o rt s y s te m

inc rease th e m u l ti v o c al i ty o f th e sy ste m w h i l e c o n trac tio n m a y

is its ab ility to e x p an d itself, takin g o v e r task s that n o r m al l y f all

d e c re ase its le v e l o f c o m p lex ity .

u n d e r the ae g is o f the f o rm al sy ste m . Th at e x p an s i o n is c a u s e d

A s a su p p o rt sy ste m , the i n f o rm al sy ste m reso lv es its in te rn al

an d c an b e e x p l ai n e d in a n u m b e r o f w ay s . It is n o t the re su lt o f

c risis o r c o n f lic t in tw o w ay s . O n e is si m p l y to ac hie v e s o m e f o rm

internal f o rc e s, b u t rather o f e x te rn al c i rc u m stan c e s.

o f modus

Th e sp here o f activ ity o f the info rm al sy ste m m ay b e re d u c e d

vivendi

w ith in its sp h e re o f in f lu e n c e . Th e o th e r is to

se rv e as an e x it m e c h an i s m to al l o w the su f f e re r to se e k a so l u ti o n

b ec au se o f d ec isio ns taken b y the f o rm al sec to r to red u c e c o n-

in the f o rm al sec to r. In su c h a c ase , instead o f se rv in g as a s u p p o rt

sc io u sly the siz e o f the inf o rm al secto r o r its sp h e re o f activ ity . T h e

sy ste m , it b e c o m e s a b u rd e n to the f o rm al sy ste m . Th is c o n sti-

reaso ns fo r su c h a m o v e m a y c o m e fro m a p erc ep tio n that the

tu tes the n e g ati v e asp ec t o f that f u nc tio nal c harac teristic o f the

inf o rm al sy ste m p lay s a neg ativ e ro le that m u s t b e curtailed , that it

in f o rm al s y s te m . O n e m a y say that it p ro v i d e s b o th an ' exit

im p ing es o n the f o rm al se c to r' s sp here o f activ ity , o r sim p ly as a

c h an n e l ' to so l v e p ro b l e m s e m e rg i n g w i th i n its d o m ai n o f ac tio n

result o f the e x p an sio n o f the sp he re o f activ ity o f the f o rm al sy ste m .

an d an ' e n tran c e c h an n e l ' to so lv e p ro b l e m s arising f ro m w i th i n

In c o n trast, a n e x p an si o n

o f the sp h e re o f ac tiv ity o f

th e

i n f o rm al s y s te m m a y c o m e ab o u t as the re su lt o f the re d u c ti o n o f th e sp h e re o f ac tiv ity o f the f o rm al sy ste m , u s e rs ' d e m a n d s , its ab ility to attrac t p artic ip ants o r th e l e g i ti m ac y fac to r.

the d o m ai n o f th e f o rm al sec to r. It is f u n c tio n ally i n d i sp e n sab l e to the f o rm al s y s te m . A s lo n g as f o l k m e d i c i n e p ro v i d e s an alte rn ativ e to m ai n s tre am m e d i c i n e u s e rs , it p lay s a p o sitiv e ro le. H o w e v e r, it also m a y b e

Th e i n f o rm al s y s te m su stain s the f o rm al s y s te m th ro u g h its tra-

se e n as a b u r d e n w h e n h e al th p ro b l e m s re m ai n to o l o n g w i th i n

jec to ry , its g r o w th an d c o n trac ti o n an d its ab ility to p ro v i d e a

the f o lk m e d i c i n e d o m ai n b e f o re they are b r o u g h t to the atte n tio n

b ac k - u p to th e u se rs o f the f o rm al sy ste m . Its stru c tu re v ari e s in

o f m ai n s tre am p rac titio ne rs. A sim p le h e al th p ro b l e m th at c o u l d

relatio n to th e b e h av i o r o f th e f o rm al s y s te m . This le ad s u s to

b e treated

lo o k at th e i m p ac t o f the statu s o f the i n f o rm al sy ste m as s u p p o r t

c u m s ta n c e s , b e c o m e a c o m p l e x m e d i c al p r o b l e m th at c a n b e

s y s te m o n th e f o rm al sy ste m .

lif e - th re ate n in g .

e asi l y b y m o d e r n

m ed icine

c an , u n d e r s u c h

cir-

136 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City Th e internal stm c tu ring o f the info rm al sy ste m m u st also b e seen

Informality

and Urban Medical

137

Practices

m o n o lith ic , b u t rather p ro v i d e s an array o f alternativ es to the

in term s o f p ro c essu al flo w . It c o nstantly ad ap ts itself to external

u sers o f th e f o rm al sy ste m , f o rm e d into a h i e rarc h y ac c o rd i n g to

realities w hile m am taining its internal ratio nale. It c o ntinu es to

the in te rn al lo g ic o f the i n f o rm al s y s te m . It rev eals that the

ev o lv e and to re-ad just itself. T h e p o sitiv e asp ec t o f its su p p o rt m a y

inf o rm al s y s te m is m a d e u p o f a series o f p o l e s that ac t as c e nte rs

d eriv e f ro m its structural linkag es w ith the f o rm al sy stem .

o u t o f w h i c h rad iate p e ri p h e ral entities e n m e s h e d in c o m p l e x n e tw o rk s o f re latio nship s.

C O R E A N D P ER IP H ER Y C RISIS A N D C H A N G E Li k e the f o r m al sy ste m , the i n f o rm al sy ste m is d i v i d e d in to a c o re a n d a p e rip h e ry . Th at s e g m e n tati o n affec ts th e i n f o rm al s y s te m in

A ll so c ial s y s te m s are su sc e p tib le to c risis a n d c h an g e ; n o n e c an

tw o m ajo r w a y s . O n e c o n c e rn s the relatio ns b e tw e e n th e c e n te r

b e c o n c e i v e d o f as static . Th i s is w h y th e relatio ns b e tw e e n the

a n d p e ri p h e ry in the f o rm al s y s te m an d th e c e n te r an d p e ri p h e ry

f o rm al an d th e i n f o rm al s y s te m m u st b e s e e n in te rm s o f p ro -

in the i n f o rm al sy ste m . T h e o th e r c o n c e rn s

c e ssu al f l o w s. H o w , th e n , d o e s the i n f o rm al sy ste m

c e n te r- p e ri p h e ry

relatio ns w i th i n the in f o rm al s y s te m .

h an d l e

internally o r e x te rn ally p ro p e l l e d c rises?

It s e e m s a p a r a d o x to say th at the in f o rm al s y s te m te n d s to d i s-

Th e f o rm al statu s o f th e i n f o rm al s y s te m is n o t n e c e ssarily

p l ay a h i g h e r le v e l o f f o rm al i z ati o n at its c o re than at its p e ri -

p e rm an e n t. O v e r tim e , ac to rs m a y m o v e to th e strict re al m o f the

p hery , b u t th at is in d e e d the c ase . Th e c o re te n d s to re p re se n t

f o rm al s y s te m . Th e y are n o t c o n f in e d to th e i n f o rm al sy ste m . Th e

w h at is c e ntral, i d e as to w h i c h the m ajo rity o f p rac titio ne rs s u b -

in f o rm al s y s te m is c o n stan tl y d e c o m p o s i n g an d

sc rib e , a stru c tu re o f ac tio n to w h i c h m o s t ad h e re . Th e p e ri p h e ry

itself, lo sin g o l d u se rs an d in c o rp o ratin g n e w o n e s. Th is is o n e o f

re c o m p o s i n g

ref ers to th e m arg i n al , m i n o ri ty p rac tic es a n d p rac tic e s th at are

the b asic te n e ts o f c h an g e a n d e v o lu tio n in th e i n f o rm al sy ste m .

s o m e w h a t d if f e re nt f ro m th o se in the c o re. H o w e v e r, the p ro c e s s

In ad d itio n, p art o f the i n f o rm al sy ste m m a y b e take n o v e r in toto

b y w h i c h the p e ri p h e ry m a y c o al e sc e into th e c e n te r is si m i l ar to

b y the f o rm al sy ste m . O n th e o ther h a n d , th e i n f o rm al s y s te m

w h a t c an b e o b s e rv e d in the f o r m a l sy ste m .

m a y also attain th e statu s o f a f o rm al s y s te m , w h i c h o c c u rs w h e n

Th e re latio n s b e tw e e n the c e n te r o f the f o rm al sy ste m a n d th e c e n te r o f th e i n f o rm al sy ste m d o n o t n e c e ssari l y re p re se nt h ar mo ny

of

interest. Th e y

re p re se n t d if f erent p rac tic e s

at

th e f o rm al s y s te m is p u s h e d to the m arg i n s a n d is re p lac e d b y the f o rm e r i n f o rm al sy ste m .

tw o

e x tre m e p o l e s, b u t are se e n b y u se rs as c o m p l e m e n tary . Pe ri p h e rie s in b o th s y s te m s m ay p re se n t a less an tag o n istic

o u tl o o k .

C O D E SW I T C H I N G

W h i l e the c e n te r in the i n f o rm al sy ste m u se s e ith e r the p e ri p h e ry o r the c e n te r o f th e f o rm al s y s te m in the s a m e w a y as the c e n te r

T h e su p p o rt s y s te m n o ti o n d o e s n o t i m p l y that the tw o s y s te m s

a n d the p e ri p h e ry o f the f o rm al sy ste m u se s the c e nte r o f th e

are sim ilar o r f o llo w the s a m e lo g ic - this is n o t the c ase . Fo r that

i n f o rm al s y s te m , it is o f ten th e c ase that th e p e ri p h e ry o f th e

m atter, it is n e c e ssary to p o i n t o u t that th e m o v e m e n t f ro m o n e

i n f o rm al s y s te m w ill first u se th e c enter o f th e i n f o rm al s y s te m

sy ste m to an o th e r im p lie s a p ro c e ss o f c o d e sw itc h in g , b y w h i c h

b e f o re m o v i n g to the f o rm al s y s te m .

w e m e a n h e r e the ab ility o f an in d iv id u al to m o v e f ro m a sy ste m

Th e c o re - p e ri p h e ry d istinc tio n is an i m p o rtan t o n e in th e s tu d y

that o p e rate s o n a g iv en se t o f ru les to an o th e r that o p e rate s o n a

o f th e i n f o rm al sy ste m as a su p p o rt sy ste m . It s h o w s th at th e

d if f erent set o f ru les. W e are n o t c o n c e rn e d w i th the o u tc o m e that

su p p o rt s y s te m is n o t an u n d if f e re n tiate d o n e , b u t rathe r h a s its

is s u p p o s e d to b e the s a m e in b o th situ atio n s, b u t rath e r w ith

o w n p o le s o f ac tio n. It also re v e als that th e i n f o rm al sy ste m is n o t

q u e sti o n s o f p ro c e d u re a n d ratio nale .

138 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

7

T h e c o d e s w i tc h i n g m e c h a n i s m inf ers n o t th e u n i q u e n e s s o f e ac h sy ste m , b u t rather th e f lexib ility o f i n d i v i d u al ac to rs to ad ap t to th e m . Th i s is o n e f o rm al stru c tu ral l i n k b e tw e e n b o th s y s te m s an d ac tu aliz e s the reality o f the i n f o rm al s y s te m as a s u p p o rt s y s te m to the f o rm al s y s te m .

The Informal Arena of Inter-Ethnic Relations

N o tes 1. 2. 3.

Fo r an elabo rate p resentatio n o f this argument, see Bullo ugh and M u c h o f th e so c io lo g ic al a n d an th ro p o lo g ic al literatu re o n interBullo ugh (1972). ethnic re latio n s te n d s to f o c u s o n the f o rm al asp ec ts o f th e interFo r an analysis o f fo lk co ncep ts o f illness and disease am o ng ac tio n b e c au s e o f the p re v al e n t assu m p ti o n in the w e ste rn w o rl d Mexican-A mericans, see Schreiber and H o m iak (1981). that so c ie ty is ru n f o rm ally . Inf o rm ality is u n d e rsto o d m o s tl y in Ho me treatment in the Chinese co mmunity in San Francisco is term s o f p e rs o n al p re f e re n c e an d i n d i v i d u al m o ti v ati o n , b u t n o t w id ely p ractised . On Chinese-A mericans' use o f the info rmal as a c o n s e q u e n c e o f stru c tu ral i m b al an c e resu lting f ro m the health care system, see, fo r examp le, Go uld -M artin and N g in (1981). zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA as y m m e try o f stru c tu ral re latio ns an d h e g e m o n i c p rac tic e s. 1

To re d re ss th is b i as in th e f o c u s o f re se arc h , this

c h ap te r

m a k e s an a tte m p t at d e l i n e ati n g the m e c h a n i s m s in th e i n f o rm al are n a th at m a y f o ste r o r h i n d e r h a r m o n i o u s f o rm al e th n i c relatio ns. W e p re s e n t the i n f o r m a l are na as a so u rc e o f h a r m o n y o r te n sio n f o r th e p u r p o s e o f th e arg u m e n t so as to s h o w th at its stu d y is c e n tral to an y u n d e r s tan d i n g o f th e w o r k i n g o f intere th n ic re l ati o n s w i th i n th e c o n f i n e s o f th e A m e r i c a n c ity . It is a h i d d e n re se rv o i r o r l ab o rato ry w h e re i d e as are te ste d ,

co n-

te ste d , re i n v i g o rate d o r a b a n d o n e d - i d e as that d i re c tl y af f ec t b e h av i o r in a n y i n te r- e th n i c in te rac tio n . T h e m a i n q u e s ti o n that is b e f o re u s a n d that w e w i l l try to a n s w e r is h o w e th n i c

p rac ti c e s ef f ec t, p o si ti v e l y

o r n e g ativ e ly ,

i n f o rm al

i n te r- e th n i c

re latio n s in th e f o rm al are n a.

P O W ER A N D I N FO R M A L I T Y Th e n o ti o n o f in f o rm ality is at the v e ry c e n te r o f the l o c u s o f the e n c o u n te r b e tw e e n the m ai n s tre am c u ltu re a n d the m i n o ri ty su b c u ltu re in th e i r f o rm al a n d i n f o rm al m an i f e stati o n s. A t th e c e nte r o f this in te rf ac e b e tw e e n f o rm ality an d in f o rm ality is a site o f p o w e r th at p ro v i d e s the ru l e s f o r the artic u latio n o f the d o m i n an t sy ste m w i th th e su b ju g ate d su b sy ste m . It is the n ac c u rate to say 139

The Informal City 140 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

The Informal

Arena

of Inter-Ethnic

141

Relations

th at i n f o rm al p rac ti c e s are c e n te re d aro u n d a n d sh ap e d b y th e

(to m etim es

te c h n o l o g y o f p o w e r.

m lo rm al b y th e m ai n s tre am sy ste m . Th e m ai n s tre am

It is m y c o n te n ti o n that th e d isju n c tio n b e tw e e n the m ai n -

f o rm al

m i n o ri ty

sy ste m s

co lo niz ed

or

d ubbed s y s te m

im ic tio ns o n th e b asis o f f o rm al p rac tic e s that are sh ap e d b y tw o

stre am - m ajo ri ty c u l tu ral p rac tic e s an d the m i n o ri ty su b c u l tu re is

d iv erg ent sets o f in f o rm al ru le s: tho se o f th e m ai n s tre am

re p ro d u c e d in th e m o d e m c ity b e c au s e o f a p o w e r c o nf lic t, th e

llio se o f the e th n i c m in o ritie s. W h a t w e c all i n f o rm al ru les in the

an d

m an i f e stati o n o f w h i c h w e sh all see later. P o w e r is the si n g l e

m ajo rity s y s te m are o f ten f o rm al ru les inte rnal to the sy ste m , b u t

m o s t i m p o rtan t v ari ab l e that d e f i n e s the lo c u s o f f o rm ality , n o t

w h ic h h av e b e e n p e ri p h e ral i z e d b y the m ajo ri ty sy ste m o n ratio -

n e c e ssari l y d e m o g r ap h i c siz e: th e re are c o u n tri e s w h e r e a s m al l

n.il g ro u n d s. W h a t w e c all i n f o rm al ru les in th e m in o rity s y s te m

e lite d o m i n ate a l arg e m ass, as in So u th A f ric a.

are external to th e m ajo rity s y s te m an d o c c u p y a site that is

2

P o w e r is the c rite rio n that d e f in e s w h at is f o rm al an d

d i s-

e x p lo ite d b y o r s o m e ti m e s u s e d ag ainst the f o rm al sy ste m .

ti n g u i sh e s it f ro m w h a t is i n f o rm al . Po w e r is e x e rte d to d e te r-

In their p artic ip atio n in th e m ai n s tre am sy ste m , m e m b e r s o f

m i n e w h o is in a n d w h o is o u t a n d is also u s e d to b l o c k s o m e

e thnic m in o ritie s f ind th e m se l v e s at a d i s ad v an tag e o n d if f e re nt

p e o p l e ' s ac c e ss to m ai n s tre am re so u rc e s. Th i s is ac h i e v e d

f ro nts an d at d if f erent le v e ls. It is w o rth w h i l e id entif y ing

by

the

v ari o u s p re c ari o u s an d d i sc ri m i n ato ry ru les a n d m e a n s that th e

lo c atio ns o f their d i sad v an tag e . Th e f o c u s o n inf o rm al s y s te m s

m ai n s tr e am s y s te m d e v e lo p s an d c o ntro ls. Th is u s e o f p o w e r al so

al l o w s u s to see su c h d isp aritie s.

u n d e r m i n e s the ab ility o f m i n o ri ti e s to c o m p e te f airly in so c i e ty

M ino ritie s are at a d i s ad v an tag e w h i l e p artic ip ating in the

a n d h e l p s to c o n tro l e thnic m i n o ri ti e s th ro u g h a n u m b e r o f p r ac -

f o rm al sy ste m o f th e m ai n s tre am b e c au se th e y m u s t o b e y ru le s

tic es an d m e c h a n i s m s ran g i n g f ro m sy m b o l i c c o e rc i o n ( i d e o l o g y )

that they m a y n o t h av e h e l p e d to c reate. Th e d e m o c rati c p ro c e ss

th ro u g h the b u re au c rati c ap p aratu s ( leg al f r a m e w o r k ) to p h y s i c al

d o e s n o t w o r k to the ad v an tag e o f m a n y m i n o ri ti e s b e c au s e th e y

f o rc e ( o v ert o r h i d d e n sec u rity f o rc e s) .

m a y o p e rate o n d if f erent c u ltu ral assu m p ti o n s an d are e n g a g e d

Fo r this re aso n , the p h e n o m e n o n o f e th n o g e n e s i s c an n o t b e

in d if f erent c u l tu ral p rac tic e s. C o n v e rse ly , d e m o c r a c y f av o rs the

s e e n s i m p l y an d e x c lu siv e ly as lo c ate d in the c o l o n i al era, a p r o -

m ai n stre am ac to rs m o re th an th e m in o ritie s b e c au s e o f

d u c ti o n o f th e in te rac tio n b e tw e e n Eu ro p e an c o l o n i z e rs a n d th e

f am iliarity w i th a n d so c ializ atio n in su c h a sy ste m .

their

c o l o n i z e d . It m u s t b e se e n also as a p ro d u c ti o n o f p o stc o l o n i al ,

Th e m in o ritie s are at a d i sad v an tag e b e c au s e they lac k p o w e r

i n d u stri al an d p o stin d u strial so c ie tie s. To stu d y its p ro d u c ti o n is

an d ac c ess to re so u rc e s th ro u g h w h i c h th e y c o u l d effec t c h an g e s .

n o t e n o u g h ; o n e m u s t also p a y atte n tio n to the te c h n o l o g y o f its

In f ac t c h an g e , in m an y c ase s, c an o c c u r o n l y if the m ajo ri ty

re p ro d u c ti o n .

s y s te m al l o w s it to h ap p e n . T h u s it w ill b e c h an g e tailo re d o r c o ac h e d b y th e m ajo rity . Th i s is so b e c au s e an y p ro sp e c t f o r c h an g e initiated b y the m i n o ri ti e s is likely to b e take n o v e r b y the

D ISSEC T IN G T H E M A I N ST R EA M SY ST EM A N D M I N O R I T Y

m ajo rity s y s te m o r m u st b e f o rm u l ate d in su c h a w a y as to m e e t the d e m o c rati c c riteria an d ratio nale ac c e p tab l e to th e

SU BSY ST EM S

m ai n -

stre am . ( O f c o u rs e , w e are n o t ref erring h e r e to re v o lu tio n ary T h e A m e ri c an c ity is m ad e u p o f a m ai n stre am f o rm al s y s te m f e d

c h a n g e o r to c o l l e c ti v e p ro te s t u n d e r ta k e n b y m e m b e r s

b y su b c u l tu ral s y s te m s , s o m e o f th e m ethnic ity b as e d . Th e m a i n -

e th n i c m i n o ri ti e s to e n h an c e g ro u p statu s o r to ac h i e v e self -

of

s tre am sy ste m is m a d e u p o f a f o rm al sy ste m a n d an i n f o rm al

d e te rm i n ati o n .)

s u b s y s te m that e ith e r p re c e d e s o r is p ro d u c e d b y the

f o rm al

M a n y m e m b e r s o f m i n o ri ti e s are h an d i c ap p e d b y their o w n

s y s te m . Eth n ic m i n o ri ti e s p arti c i p ate in the m ai n s tre am

f o rm al

p re v i o u s so c ializ atio n in m i n o ri ty f am ilies a n d c o m m u n i ti e s an d

s y s te m

b u t also

h a v e their i n f o rm al s u b s y s te m s , w h i c h

are

i n f l u e n c e d b y th e d o m i n an t s y s te m . A c tu ally s o m e o f th e se are

the b ac k g ro u n d th e y c arry w i th th e m in their interac tio n w i th th e f o rm al sy ste m . T h u s th e y m a y

f ind th e m s e l v e s alien to

th e

zyxwvutsrqponmlkjihgfedcb

142 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

Arena

of Inter-Ethnic

Relations

143

m ai n s tre am b o th b e c au s e th e f o rm al ru le s o f o p e ratio n are c o n-

p te rac ti o n b e tw e e n ac to rs b e lo n g in g to d if f erent ethnic g ro u p s.

stantly u n d e r m i n e d b y th e i n f o rm al p rac ti c e s o f the m ai n s tre am

I lo w ev er, th e re are m i ti g ati n g facto rs an d c irc u m stan c e s that

in w h i c h th e y m a y n o t b e in v ite d to p artic ip ate an d b y th e i r o w n

i n .iv f ac ilitate o r ind u c e a s m o o th interac tio n.

i n f o rm al p rac ti c e s that m a y h e ig h te n th e c o n sc i o u sn e ss o f their d if f erenc es w i th the f o rm al c u ltu ral p rac ti c e s o f the m ai n s tre am .

Case 1. A n A n g l o i m m i g ran t c o u p le liv ing in San Fran c isc o to ld

W h e n th e m in o ritie s jo i n th e f o rm al s y s te m o f the m ai n s tre am ,

m e w h y th e y hired a w h i te w o m an to c are fo r their tw o - y e ar

they e x p o s e th e m se l v e s to f u rther b rai n w as h i n g an d re so c ializ a-

o ld b o y : ' W h e n w e w e re lo o king fo r a b ab y sitter, w e e v al u ate d

tio n, b u t at th e sam e ti m e c o n ti n u e to c arry the m i n o ri ty sti g m a

all the e th n i c p o ssib ilities an d c o nc lu d ed that it w as b e st f o r u s

w ith th e m , as sy m b o l i z e d b y their p h y s i c al ap p e aran c e w h i c h

and the c h ild to hire a w h i te nanny . W e w an te d the b o y to b e

c an n o t b e h i d d e n . M i n o ri ti e s are at a d i s ad v an tag e

b e c au s e ,

raised as an A m e ri c an c h i l d an d w e felt that w e w o u l d b e m o re

al th o u g h f o rm al l y w e l c o m e in the m ai n s tre am , they are n o t in

c o m f o rtab l e w ith a w h i te n an n y than w ith so m e o n e w i th a d if-

fac t ac c e p te d as e q u al an d theref o re n o t al w ay s w e l c o m e in the

ferent e th n i c b ac k g ro u n d . W e m o re o r less assu m e d th at sh e

i n f o rm al re al m o f the m ai n s tre am , the re al m o f p o w e r b e h i n d the

k n e w w h a t w e w an te d a n d w e had a g e ne ral sense o f w h a t she

o fficial s c e n e . Th e y m a y o r m a y n o t b e m e m b e r s o f th e m ai n -

c o u ld d eliv er. W e c o u l d n o t assu m e these u n sp o ke n th i n g s if

stre am i n f o rm al n e tw o rk w h e r e real p o w e r is e x e rte d . T h e m ai n -

w e h a d h i re d a C h i n e se o r C hic ano p e rso n .'

stre am i n f o rm al arena c o n stitu te s o ne tan g i b l e lo c u s - o n e w h e r e p o w e r p l a y is re h e arse d - that c o n trib u te s to the m i n o ri ti z ati o n

The law of similarity

p ro c e ss o f e th n i c g ro u p s a n d that m ak e s p o ssib le the re p e titiv e

and at th e f o rm al lev els: o u r f o rm al b e h av io rs are s h a p e d b y

te n d s to c o m e into p lay b o th at the i n f o rm al

p ro c e ss o f th e re p ro d u c tio n o f e th n o g e n e si s. So m e asp e c ts o f the

institu tio nal ru les an d f o rm al c o nv entio ns. In a f o rm al setting ,

b e h av i o ral

ind iv id u als te n d to m a k e an effo rt to b e c o n g e n ial and c o n v iv ial,

e x p re ssio n

of

this p ro c e ss

are

d e lin e ate d

belo w

th ro u g h th e l aw s o f ' si m i l ari ty ' an d ' av o i d an c e ' o n the o n e h an d , an d th e l aw s o f ' s p o n s o rs h i p ' an d ' c red it tran s f e r' o n th e o ther.

w he the r b y

their o w n inc linatio n o r b e c au se o f institu tio nal

need s. A t th e in f o rm al le v e l, there is less institu tio nal b u t m o re g ro u p p re ssu re to g et al o n g b ec au se o f p e rso nal p re f e re n c e o r m o tiv atio n .

L A W S O F ' SIM IL A R IT Y ' A N D ' A V O I D A N C E'

Ethnic ity

inf o rm al g ro u p i n g

th e n

an d

beco mes

a

m ark e r

that

sh ap e s

th e g ram m atic al ru les o f inter- ethnic

interac tio n. Th e s y m b o l i c interac tio nist ap p ro ac h d e v e l o p e d b y G o f f m a n an d o thers h as b e e n a so u rc e o f insp iratio n to m e an d h as l e d to m y

Th e law of avoidance

state s that w h e n e v e r there is a c h o i c e an

in d iv id u al w i l l b e m o re likely o r natu rally to interac t in f o rm ally

f o rm u l ati n g a set o f l aw s that atte m p t to s h e d s o m e lig ht o n the

w ith a p e r s o n o f sim ilar b ac k g ro u n d an d ethnic ity an d ind ire c tly

m e c h an i s m s o f the f o rm al i ty - i n f o rm al i ty artic u latio n. By law

av o id an i n d i v i d u al w i th a d ifferent ethnic ity and c u ltu re.

similarity

of

w e m e a n that the m ai n stre am s y s te m f ind s it m o r e c o n -

v e n ie n t to d e al w ith p e o p l e f ro m the m ai n s tre am s y s te m than

Case 2. A t a f u n d - raisin g so c ial fu nc tio n in the b as e m e n t o f a

w ith p e o p l e f ro m a d if f erent c u ltu ral s y s te m o r s u b s y s te m : the

c h u rc h in th e Bay A re a, I o b serv ed th e b e hav io rs o f s o m e o f the

ru les - b o th f o rm al an d i n f o rm al - are u n d e rs to o d b y all c o n-

m e m b e r s o f the g ro u p . W h i l e stand ing w ith a d rin k in their

c e rn e d as a resu lt o f their so c ializ atio n in th e sam e c u l tu re . Th e

h an d s a n d so c ializ ing , p e o p l e w ere e n g ag e d in c o n v e rsatio n

c lo ser th e m i n o ri ty su b c u l tu re is to the m ai n s tre am , the m o r e h ar-

w ith w h o e v e r h a p p e n e d to b e n e x t to th e m . A s th e y w e re

m o n i o u s th e interac tio n is likely to b e . T h e f arther aw ay , the less

in v ite d to sit an d eat d inne r, ethnic c lu sters b e c am e m o r e v is-

likely , b e c au s e o f a c u ltu ral d isju nc tu re in th e h i d d e n , i n f o rm al

ible in th e ro o m . I jo ki n g l y asked a M e x ic an- A m e ric an ac q u aint-

arena. Th i s is the p ri m ary ru le that al l o w s u s to u n d e rs tan d the

an c e w h y d o all o f y o u sit aro u nd th e sam e tab le. Sh e rep lied :

zyxwvutsrqponmlkjihgfedcbaZYX

144 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

Arena

of Inter-Ethnic

145

Relations

' W e w an t to e n jo y o u r d in n e r. W e c an s p e ak Sp an i sh if w e w a n t

So m e m e m b e r s o f m i n o ri ty c o m m u n i ti e s are ab le to f ind a jo b in

to an d talk ab o u t thing s that are o f c o n c e rn to u s. W e ju s t w a n t

the f o rm al se c to r o f the e c o n o m y b e c au se th e re is s o m e o n e in the

to relax. If w e w e re to g o th e re [ p o inting to a tab le w i th w h i te

institutio n w h o sp o n so rs h i m o r her, e ith e r b e c au s e o f d ire c t c o n -

g u ests] w e w i l l h av e to b e m o r e f o rm al in o u r c o n v e rsati o n . '

tact ( they k n o w

e ac h o th e r) o r ind irec t c o n tac t ( th ro u g h

b ro ke rag e o f a f riend ) o r s i m p l y b e c au s e o f shared

the

co mmo n-

A v o i d an c e is m o r e m ark e d in i n f o rm al th an in f o rm al se tti n g s

alities. A f o rm al letter o f re c o m m e n d ati o n s o m e ti m e s c arrie s this

b e c au s e there is less p e rso n al f re e d o m an d m o r e p re ssu re to c o n -

inf o rm al c o n n o tati o n o r p ro v i d e s the i n f o rm al c h an n e l th ro u g h

f o rm at th e f o rm al lev el. A v o i d an c e c an b e ' b e n i g n ' , as o n e f o l-

w h ic h a m i n o ri ty re p re se n tativ e c an p e n e trate the m ai n s tre am

l o w s a p e rso n al p re f e re nc e b a s e d o n c o m p atib ility , o r c an b e

f o rm al s y s te m .

' ag g re ssi v e ' as w h e n av o i d an c e is b ase d o n rac i s m - that is, an

Th e l aw o f ' c red it tran s f e r' m e an s that a m ai n s tre am e r w i l l b e

i n d i v i d u al d e lib e rate ly i g n o re s the p re se n c e o f an o th e r p e rs o n

ac c e p te d b y a m i n o ri ty c o m m u n i ty o r institu tio n to th e e x te nt

b e c au s e h e o r s h e b e l o n g s to a d if f erent e th n i c g ro u p .

that h e o r s h e is ab le to tran sf e r c red it e arn e d f ro m p re v i o u s asso -

A v o i d an c e b a s e d o n e th n ic p re f e re n c e is d i sc ri m i n ato ry : it s e p -

c iatio n w i th a m i n o ri ty p e r s o n o r m i n o ri ty institu tio n. H i s p ast

arate s p e o p l e w h o b e l o n g to d if f erent e th n i c g ro u p s f ro m e ac h

e n g ag e m e n t is the tal i sm an th at lead s to f u rth e r ac c e p tan c e else-

3

o th e r an d at th e s am e ti m e al l o w s the o rg an i z ati o n o f i n f o rm al

w h e re . H e re th e i n f o rm al re c o m m e n d ati o n so m e ti m e s c arrie s a

g ro u p i n g o n th e b asis o f ethnic ity .

f o rm al c o n n o tati o n . Th is c an b e ac c o m p l i s h e d inf o rm ally , f o r e x am p l e , b y m e n ti o n i n g th e n a m e o f th e p e rs o n o r o rg an i z ati o n fo r w h i c h w o r k w as p re v i o u sl y d o n e . T h e s a m e ru le th at the

L A W S O F ' SP O N SO R SH I P ' A N D ' C R ED IT T R A N SFER '

f riend o f a f ri e n d is a p o te n ti al f riend ap p l i e s h e re as w e ll.

T h e l aw o f s p o n s o rs h i p sh e d s lig ht o n the ac c e p tab ility o f m i n o r -

Case 4. A w h i te w o m a n ac tiv ist in San Fran c i sc o attrib u te s h e r

ities b y m ai n s tre am institu tio ns w h i l e that o f c re d it transf er s h e d s

ac c e p tan c e b y a C h i c an o o rg an iz atio n to th e fac t that sh e h a d

lig ht o n the ac c e p tab ility o f m ai n stre am e rs b y m i n o ri ty in stitu -

v o l u n te e re d h e r tim e w h i l e w o rk i n g f o r a Lati n o o rg an i z ati o n

tio ns. By ' l aw o f s p o n s o rs h i p ' w e m e a n th at a m e m b e r o f a

o n the Eas t C o ast. W h e n s h e c am e to San Franc isc o , sh e s i m p l y

m i n o ri ty g ro u p is m o re like ly to b e ac c e p te d b y a m ai n s tre am

m e n ti o n e d th e n am e s o f a f e w p e o p l e s h e w o r k e d f o r an d sh e

institu tio n if sp o n so re d b y a m e m b e r o f th e m ai n s tre am g ro u p

w as i m m e d i ate l y w e l c o m e d b y the g ro u p as a ' siste r' . In o th e r

th an if h e o r s h e is no t. Sp o n s o rs h i p p ro v i d e s a ro u te f o r e n try

w o rd s , s h e h a d alre ad y p r o v e d he rse lf as s o m e o n e w h o h as at

in to

he art th e w e l l - b e i n g o f th e C h i c an o c o m m u n i ty .

the

m ai n s tre am

w i th o u t

b re akin g

down

the

m ajo ri ty /

m i n o ri ty d i c h o to m y . Th e se l aw s , tak e n to g ether, p ro v i d e u s w i th a b ac k g ro u n d f ram e Case 3. A n A f ri c an - A m e ri c an p ro f e ssio nal to l d m e that h e w a s

o f re f e re n c e to f u rthe r u n d e rs tan d

ab le to l an d h is jo b b e c au s e o f the o l d - b o y n e tw o rk . A w h i te

p rac tic es o n inter- ethnic re latio n s.

th e inf lu e nc e o f

i n f o rm al

m an ag e r f o r w h o m h e w o r k e d w h e n h e w a s a g rad u ate stu d e n t n o t o n l y se n t a stro n g letter o f re c o m m e n d ati o n o n h is b e h alf b u t also , u p o n h e ari n g that h e w a s o n the sho rtlist,

F O R M A L FA C A D E A N D I N FO R M A L P R A C T IC E

p l ac e d a strate g ic call to s o m e o n e h e k n e w in the f irm . A c c o r d ing to h is inte rp re tatio n, th at c all m a d e th e d if f erenc e in th e

Th e m ai n s tre am sy ste m d e f i n e s the m i n o ri ty sy ste m as e x isting

se n se that a f rie nd (his p ro sp e c ti v e w h i te b o s s ) w as d o i n g a

in the interstic es o r o n th e m arg i n s o f th e m ai n s tre am , b u t in an y

f av o r to a f ri e n d (his f o rm e r w h i te b o ss) .

c ase as o c c u p y i n g

a su b ju g ate d

p o sitio n . T h e w a y s

of

the

146 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

Arena

of Inter-Ethnic

m i n o r i ty s y s te m m u s t b e d i sto rte d to ad ap t to th e n o r m s o f th e

e m e rg e s o r in re sp o n se to b etter ac q u ai n tan c e sh i p

m ajo ri ty sy ste m . T h e f o rm al s y s te m is the d o m i n a n t sy ste m , a n d

' o th e r' .

th e m i n o ri ty - f o rm al an d tw o i n f o rm al s y s te m s e m e rg e f ro m it:

147

Relations

w i th

the

Th e i n f o rm al are na is also the lo c u s w h e r e stereo ty p es c an b e reinf o rc ed o r c h al l e n g e d a n d rejec ted . N e g ati v e e n c o u n te rs in the

th e m ai n s tre am - i n f o rm al an d th e m i n o ri ty - i n f o rm al . T h e f o rm al f ac ad e is c o n stan tl y b e in g s h ap e d b y the i n f o rm al

f o rm al are n a are s o m e ti m e s c arried o v e r to the in f o rm al, w h e re

re ality o f p rac ti c e . T h e f o rm al f ac ad e is the l o c u s f o r f o rm al i n te r-

they are am p l i f i e d th ro u g h in f o rm al c o n v e rsati o n an d

ac tio n , b u t f o rm al ac to rs also h a v e i n f o rm al b e h av i o rs . In w h a t

I'o sitiv e e n c o u n te rs c an b e reinf o rc ed in th e sam e w a y in the

w a y s d o e s the i n f o rm al inf lu enc e the f o rm al s y s te m o f inter- ethnic

inf o rm al are n a.

re latio n s?

g o ssip .

Th u s, th e i n f o rm al are n a c an reinf o rc e o r n e g ate v i e w s l e arn e d an d h e l d

Case 5. A C h i n e s e - A m e ri c an w h o is n o w w o r k i n g in San Fran -

in th e f o rm al are n a. This is w h y w e p ro p o s e

the

inf o rm al are n a as a k e y v ariab le to u n d e rs tan d i n g th e f o rm al

c isc o said that h e u se d to d ate a w h ite g irlf rie n d w h e n h e w a s

arena. It is w h e r e w e stre n g th e n o r w e a k e n v ie w s h e l d in the

atte n d i n g

f o rm al are n a. T h e i n f o rm al an d f o rm al are n as are re v e al e d as tw o

c o l l e g e . The ir re latio n s w e re b a s e d

on

p e rs o n al

attrac tio n a n d c o m m o n inte re sts an d e th n ic ity w a s n o t a m a jo r

p o les o f th e s a m e c o n ti n u u m .

issu e f o r h i m . A l l o f that c h a n g e d in his se n i o r y e ar after h e h a d h a d an i n f o rm al c o n v e rsatio n w i th tw o f ri e n d ro o m - m ate s . H e m a d e u p h is m i n d n o t to p u r s u e the re latio n sh ip , b as e d

on

F O R M A L R U L E A N D I N FO R M A L P R A C T IC E

i n f o rm ati o n h e h a d g ain e d in th e i n f o rm al e n c o u n te rs w i th h i s f rie nd s.

So c iety h as its f o rm al ru le s f o r so c ial inte rac tio n. Th e se ru le s m a y b e re m e m b e re d , b u t are n o t alw ay s f o l l o w e d in the c o n d u c t o f

T h e i n f o rm al are n a is the l o c u s w h e re i n g re d i e n ts f o r f o r m a l

o u r d aily lif e. H o w e v e r, th e y p lac e b o u n d ari e s o n the c o n te n t o f

in te rac tio n

o u r i n f o rm al p rac tic e s as th e se i n f o rm al p rac tic e s m a y b e the

are w o r k e d

o u t, w h e r e so c ializ atio n

takes

p l ac e ,

w h e r e strate g ie s to h an d l e the f o rm al are d e v e l o p e d , an d w h e r e

o u tc o m e o f a n e g o ti ate d p ro c e ss.

so l u ti o n s are f o u n d fo r p ro b l e m s c re ate d in th e f o rm al are n a. In

In s o c i al i n te rac ti o n b e t w e e n m e m b e r s o f d i f f e re n t e th n i c

o th e r w o rd s , th e stu d y o f th e f o rm al are na o f inter- ethnic re la-

g ro u p s , w h e n a n i n d i v i d u a l p rac ti c e s th e ru l e s p u t f o r w a r d b y

ti o n s c an n o t p ro v i d e all the c l u e s to u n d e rs tan d the e v e r y d a y

th e f o r m a l s y s te m a n d th e i n te rac ti n g p e r s o n e x p r e s s e s

o p e rati o n o f f o r m al inte rac tio nal p rac tic es a n d p atte rn s. A f o c u s

i n f o rm al b e h a v i o r , th e re are th re e ty p e s o f i n te rac ti o n th at m a y

o n the i n f o rm al are n a, as w e state d earlier, is i m p o rtan t as w e l l

e m e r g e . A t o n e e x tr e m e a c o m p l e te l ac k o f

b e c au s e the i n f o rm al arena c an either h i n d e r o r f ac ilitate th e

m a y re s u l t b e c a u s e th e t w o p arti e s are n o t o n th e s a m e w a v e -

m a n a g e m e n t o f th e f o rm al inte rac tio n. W e learn m a n y thing s that inf lu e nc e o u r b e h av i o r

an

c o m m u n i c ati o n

l e n g th , a n d m i s u n d e r s t a n d i n g arise s. Ex p e c ta ti o n s f r o m b o th th r o u g h

si d e s are n o t m e t. C h a r g e s o f s e x i s m , r a c i s m o r an y o th e r f o r m

i n f o rm al i n te rac ti o n s w ith f ri e n d s. So m e o f o u r n a k e d th o u g h ts ,

o f b i g o tr y m a y b e l e v e l l e d at o n e p a r ty o r th e o th e r in this

th o s e w e c an n o t d i sc u ss in p u b l i c o r in f ro nt o f stran g e rs, m a y b e

i n te rac ti o n . T h e s e c o n d

v o i c e d a m o n g f ri e n d s. Th u s th e i n f o rm al are n a is the site w h e r e

w i th a m i x e d re su lt. T h e t w o p e o p l e d o i n te rac t, b u t th e d i s -

o u r v i e w o f th e ' o th e r ' ( p o sitiv e o r n e g ati v e ) is d i sc u sse d

and

tan c e

or

th e

d i s ju n c tu re

p o ssib le o u tc o m e b e tw e e n

th e m

is an m ay

i n te rac ti o n

re m ain.

The

n u rtu re d . Su b se q u e n tl y , v i e w s l e arn e d in the i n f o rm al are n a are

m i n o r i ty p a r t y m a y se e th e i n te rac ti o n as p ate rn al i s ti c o r f eel

c arri e d w i th u s a n d inf lu enc e o u r f o rm al in te rac tio n w ith o th e rs.

d o m i n a t e d . In th e b e s t o f c as e s , a b r e a k d o w n o f so c i al b ar r i e r s

T h e f o rm al are n a m a y th e n s e rv e as a l ab o rato ry to d i sc re d i t

m a y re s u l t as th e y m e e t h a l f w a y to m a k e e ac h o th e r f e e l at

th e se v i e w s, to test th e m , o r to c h an g e th e m if b e tte r i n f o rm ati o n

h o m e a n d at e as e .

148zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City I N FO R M A L R U L E A N D FO R M A L P R A C T IC E

The Informal

Arena

of Inter-Ethnic

Relations

149

Th e m i n o ri ty c o m m u n i ty is alw ay s ad ju stin g to the f o rm al sy stem p e rc e i v e d as b e i n g d ri v e n b y Eu ro - A m e ri c an s, e v e n if the

Ru l e s f o r f o rm al b e h av i o r are o f te n le arn e d in the i n f o rm al are n a.

m u n i c i p al le ad e rs c o m e f ro m b o th m ajo ri ty an d m i n o ri ty c o m -

O n c e l e arn e d th e re they re in f o rc e o u r f o rm al p rac tic e. O n e c an

m u nities a n d reg ard less o f the b elief that w e liv e in a s y s te m o f

th in k o f th e i n - c o m i n g se c re tary w h o i n q u i re s ab o u t the w a y s o f

re p re se ntativ e d em o c rac y . Po lic ies c re ate d b y the f o rm al sy ste m

the b o s s so as to b etter se rv e h i s o r h e r n e e d s . Th i s i n f o rm ati o n is

d irec tly af f e c t the m i n o ri ty sy ste m in a n u m b e r o f w a y s . H o w -

l e arn e d n o t th ro u g h f o rm al training , b u t rath e r th ro u g h i n f o rm al

o v er, this is n o t a o n e - w ay ad ju stm e n t. Pre ssu re s e x e rte d b y the

m e an s .

m in o rity s u b s y s te m h a v e also f o rc ed th e m ajo rity s y s te m

Ev e n in a situ atio n w h e re i n f o rm al b e h av i o r is c alle d fo r, an

to

ad ju st to th e d e m an d s o f th e m ino ritie s.

in d iv id u al m a y c o n tin u e to b e h a v e f o rm al l y o r to f o llo w f o rm al

Th e m ajo r c o nstraint that d ef ines, c o n stru c ts an d re p ro d u c e s

ru les. In su c h a n in f o rm al se tti n g the f o rm al p rac tic e w ill b e ' n at-

the m i n o ri ty is the p o w e r v e ste d in the m ai n s tre am s y s te m . This

u ral i z e d ' in a se a o f i n f o rm al i ty to m e e t i n f o rm al re q u i re m e n ts .

is n o t r aw p o w e r, b u t p o w e r that is c u ltu rally b ased a n d te n d i n g

Be c au se o f th e streng th o f i n f o rm al ru le in this c ase ,

f o rm al

to b e m o r e e x c lu siv e than inc lu siv e. It is exc lu siv e in th e sense

Inte rac tio n o c c u rs at b o th th e f o rm al le v e l an d at the i n f o rm al

at the g o o d o f the to tal sy ste m , they are, h o w e v e r, c u ltu rally p ro -

lev el, an d p ro g re ss m ad e i n f o rm al l y c an b e transf e rre d to o r h a v e

d u c e d a n d c o n se q u e n tl y b iase d . Th e m ai n s tre am p ro v i d e s its

im p lic atio n s f o r the f o rm al sp h e re . In f o rm al p rac tic e s d o n o t sim -

o w n v i si o n an d c u ltu ral d ef initio n o f so c ie ty - the s y s te m is

p l y rejec t o r reinf o rc e e th n i c i d e as h e l d in th e f o rm al are n a, b u t

theref o re o p e n to tho se w h o ag ree to p l ay b y the f o rm al ru le s.

b e h av i o r m a y n o t b e an o b stac l e to i n f o rm al interac tio n.

there are c i rc u m stan c e s w h e r e m ai n s tre am

m e m b e rs

that th e m ai n s tre am f o rm u l ate s its ru les. A l th o u g h the ru le s lo o k

in te rac t

C o al i ti o n b u ild in g b y w h i c h the m ajo ri ty m ai n tai n s c o ntro l

d irec tly w i th th e m i n o ri ty i n f o rm al s y s te m an d v ic e v e rs a. T h e

o v e r th e p ro c e ss an d the m in o ritie s se e k to red ress the o rd e r o f

sid e that initiates the p ro c e ss te n d s to h a v e th e u p p e r h a n d in the

thing s is al so i m b u e d w i th inf o rm ality . T h e p ro c ess o f rec ru it-

inte rac tio n as it m a y n e g o ti ate f ro m a p o si ti o n o f streng th. T h u s ,

m e n t as w e l l as o f inte rac tio n is ac h i e v e d an d n u rtu re d in an

i n f o rm al p rac ti c e s m ay n o t s i m p l y in f lu e n c e b u t m a y al s o h a v e

i n f o rm al w ay .

the p o w e r to tran sf o rm f o rm al b e h av i o rs in the f o rm al se c to r as i n f o rm al p o w e r m a y b e e x p re sse d in v e ry su b tl e w ay s.

A ti m e f ac to r also h e lp s o n e to u n d e rs tan d the v ariab ility in the m ajo ri ty - m i n o ri ty interf ac e. In this lig ht, o n e m ay d istin g u ish the so f t/ w i l d stru c tu re f ro m th e h ard / se ttle d stru c tu re. T h e so f t/ w ild stru c tu re is an u n se ttle d stru c tu re w h e r e the m i n o ri ty c an

M IN O R IT Y V ER SU S M A JO R I T Y

g et in as th e stru c tu re is b e i n g settled . In c o ntrast, a h ard / se ttle d

Th e f o rm al - i n f o rm al d istinc tio n b e c o m e s c ru c ial to o u r u n d e r-

m a y b e n e e d e d , as d i sc u sse d earlier. A c q u i ri n g o n e is n o t easy ,

stan d i n g o f th e re p ro d u c ti o n o f m i n o ri ty statu s an d the e n s u i n g

b e c au s e in f o rm ality c o m e s in here as w e l l . Su c h a re latio nship

stru c tu re is m o r e d iffic u lt to g et into . H e re a sp o n so r o r m e n to r

inter- ethnic re latio ns. Th e m i n o ri ty c o m m u n i ty is a s u b o rd i n ate d

im p lie s sim ilarity o f p u rp o s e , b ac k g ro u n d an d p rac tic e: a f riend

site o f p o w e r an d a site o f stru g g l e ag ain st th e to tal assi m i l ati o n

o f a f ri e n d , s o m e o n e b e l o n g i n g to the s a m e c lu b o r th e s am e

o f the e th n i c c o m m u n i ty b y th e m ai n s tre am sy ste m . Th i s p o w e r

c h u rc h , o r an al u m n u s f ro m the sam e sc h o o l .

stru g g le is m an i f e ste d th ro u g h g rassro o ts p o litic s an d th e rise o f

T h e m o v e m e n t o f the m i n o ri ty f ro m th e e thnic c o m m u n i ty to

i n f o rm al l e ad e rs, as w e l l as th ro u g h the d e v e l o p m e n t o f a n e c o n -

th e m ai n s tr e am is a m o v e m e n t f ro m g ro u p id entity to in d iv id u al

o m i c a n d c u l tu ral nic he c ate ri n g to the n e e d s o f the lo c al c o m -

id entity as f ar as the m i n o ri ty p e rso n is c o n c e rn e d . H e is b e i n g

m u nity . A s y m m e tr i c re latio n s w ith the m ai n s tre am s y s te m al l o w

i n d i v i d u al i z e d b y e n te rin g the institu tio ns o f the m ai n stre am .

th e re p ro d u c ti o n o f this s u b s y s te m .

Bu t it d o e s n o t w o rk like that f ro m the stan d p o i n t o f the m ajo rity .

150 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City

The Informal

Arena of Inter-Ethnic

151

Relations

Th e i n d i v i d u al is still se e n b y the m ai n s tre am as p ar t o f the

l heir p re f e re n c e s, an d to p re se n t an e n l i g h te n e d f ro nt vis-a-vis

m i n o ri ty g ro u p an d th e re f o re c an n o t e s c ap e that statu s. A s a c o n-

m ain stre am sy ste m . Th i s strate g y is f o l l o w e d as a w a y to retu rn

the

se q u e n c e , th e inab ility o f th e m in o rity re p re se n tativ e to b e p art o f

lo the f o r m a l sy ste m an d to b e in a b e tte r p o sitio n to in te rac t w ith

the i n f o rm al n e tw o rk o f th e d o m i n an t g ro u p ( inner c irc le) ke e p s

i zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA I. It is a retreat strate g y i m p l y i n g a se p arati o n f ro m th e f o rm al

h i m an o u tsid e r, re inf o rc ing h is m i n o ri ty statu s. Th at h e c an c o n-

sy stem , a re c ru i tm e n t o f p e o p l e to p artic ip ate in the i n f o rm al net-

tinu e to p artic ip ate in th e i n f o rm al p rac ti c e s o f his e th n i c g ro u p

w o rk, a n i n f o rm al c o m m u n i c ati o n so as to share i d e as, an d the

also re in f o rc e s his o u tsid e r statu s vis-a-vis

w ill to re tu rn to the f o rm al to ac c o m p l i sh o n e ' s state d g o al .

th e m ai n s tre am sy ste m

an d h e l p s re p ro d u c e h is m i n o ri ty statu s as w e ll. T h e m i n o ri ty

Th e o p e rati o n is n o t lim ite d to m i n o ri ty e thnic g ro u p s : the

re p re se n tativ e re aso ns th at f ro m the p e rsp e c ti v e o f th e m ajo rity

sam e strate g y c an b e u s e d b y p e o p l e o f an y e thnic b ac k g ro u n d . It

there is n o e s c ap e p o ssib le ( sho rt o f a c o lle c tiv e p ro test o r re v o lu -

b e c o m e s e th n i c w h e n th e se strateg ies are d e v e l o p e d b y

tio n) f ro m h i s su b ju g ate d statu s an d th e s ti g m a attac h e d to it.

ethnic g r o u p fo r the p u r p o s e o f d i sti n g u i sh i n g th e m f r o m o ther

an y

ind iv id u als. If the p e o p l e w h o are d o i n g it are f ro m th e m ajo rity g ro u p , th e o p e ratio n is se e n as a w a y o f c o n so l i d ati n g p o w e r o r T ER R IT O R IA L SEG R EG A T I O N O R ET H N I C EN C L A V ES

restric ting ac c e ss to th e m in o ritie s. W h e n it is d o n e b y m e m b e r s o f a m i n o ri ty

Th e e th n i c e n c l av e p ro v i d e s a territo rial b asis w h e r e i n f o rm al

e thnic

g ro u p , it is in te rp re te d

as a

w ay

of

e m p o w e r i n g the e th n ic p artic ip an ts.

p rac tic e s g r o w u p . A l th o u g h the m i n o ri ty m e m b e r m a y interac t 4

w ith the m ajo ri ty at th e f o rm al lev el, h e re tu rn s to his c o m m u n i ty to inte rac t in f o rm ally there.

U N C O N SC I O U S A N D C O N SC I O U S ID EN T IT Y

A l th o u g h th e e n c l av e m a y p ro v id e a s e n s e o f c o m m u n i ty an d a p lac e w h e r e th e ethnic h e ri tag e is n u rtu re d , it c an, h o w e v e r, also

Th e i n f o rm al are na al so h as its i n f l u e n c e s o n the s h ap i n g o f

b e an o b stac l e to inter- ethnic inte rac tio n ( 1) b e c au s e th e re is a c u l-

e thnic id e ntitie s. It al l o w s an in d iv id u al to w e a r a d if f e re n t m as k

tu ral trad itio n in the m i n o ri ty ethnic c o m m u n i ty b a s e d o n f o lk

d e p e n d i n g o n w h e th e r h e is inte rac ting w i th p e o p l e o f his o w n

p e r c e p ti o n th at m a y o u tl i v e an y e f f o rt at p e r c e p tu a l c h a n g e ,

g ro u p o r o u tsid e rs. W h i l e the i n f o rm al are n a al l o w s o n e to b e

( 2) p e e rs are n e arb y an d re inf o rc e o n e ' s s e n s e o f b e l o n g i n g to an

m o re re l ax e d

e thnic c o m m u n i ty , an d ( 3) the e th n ic e n c l av e as an are n a fo r

p ro v i d e s a m o re rig id se ttin g fo r inte r- e thnic relatio ns.

i n f o rm al p rac tic e s m a y b e less p alatab le to o u tsid e rs b e c au s e o f the o v e r w h e l m i n g m ajo ri ty o f e thnic p e o p l e to b e f o u n d there. En c l av e s l e ad to the n u rtu ri n g o f d if f e re nt i n f o rm al p rac ti c e s in

an d

tru th f u l am o n g

f ri e n d s, the f o rm al

arena

T h e i n f o rm al are n a p ro v i d e s a n ic h e f o r the rise an d sp lit o f the u n c o n s c i o u s an d c o n sc i o u s id entity . A n in d iv id u al c an h av e a d i sc o u rse o r a b e h av i o r that h e d i sp l ay s in f o rm al inte rac tio ns

ind ire c tly

w ith m e m b e r s o f o th e r e th n i c g ro u p s. T h e s am e i n d i v i d u al m ay

sinc e th e se p rac tic e s i n f o rm f o rm al b e h av i o rs , they are b o u n d to

d isp lay a d if f erent b e h av i o r o nc e h e is a m o n g m e m b e r s o f his

h av e an i m p a c t o n the f o rm al sy ste m .

o w n g ro u p an d is ab le to interac t i n f o rm al l y w i th th e m . So m e -

b o th the m ajo ri ty an d m i n o ri ty c o m m u n i ti e s . A n d

tim es w h a t o n e le arn s in th e in f o rm al are n a tells u s m o r e ab o u t a situ atio n o r an i n d i v i d u al th an w h at w e le arn in the f o r m al arena. I N FO R M A L P R A C T IC ES A S A W A Y O F EM P O W ER I N G

Th e i n f o rm al are n a p ro v i d e s a g ro u n d w h e r e the i n f o rm al an d u n c o n s c i o u s id entity o f th e in d iv id u al c o m e s to the f o re . In this

M I N O R I T Y P EO P L E

p sy c h o l o g i c al

c o n te x t,

o ne

m ay

say

that

i n f o rm al i ty

is

to

It is o f ten u n d e rs to o d th at m i n o ri ty p e o p l e f o llo w i n f o rm al c h an -

f o rm ality w h a t the u n c o n s c i o u s is to th e c o n sc i o u s in Fre u d ian

nels to b e tte r e m p o w e r th e m se l v e s, to c o n so l i d ate an d

p sy c h o an al y ti c theo ry .

d isc u ss

The Informal City 152 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

The Informal

Arena

of Inter-Ethnic

Relations

T H E T H EO R Y O F FO R M A L / I N FO R M A L I N T ER - ET H N I C

T h e th e o ry id e n tif ie s f o u r p o i n ts o f ju n c tu r e : th e m a i n s tr e a m f o rm al , th e m i n o ri ty - f o rm al , th e m ai n s tr e am - i n f o r m al a n d th e m i n o ri ty - i n f o rm al .

Th e

f o rm al

is

th e

Formal Arena

M inority-formal (Native Americans)

R EL A T IO N S

lo cus

w here

Minority-formal (Chinese-Americans)

M inority-formal (M exican-Americans)

M ainstream-formal (Anglos)

f o rm al

e n c o u n te rs o c c u r. Th e m a i n s tr e a m - f o r m a l a n d th e m a i n s tr e a m i n f o rm al are u s u al l y m o r e i n h a r m o n i o u s re latio n th a n

153 zyxwvutsrqponmlkjihgfed

Minority-formal (African-Americans)

th e

m a i n s tr e a m - f o r m a l an d th e m i n o ri ty - i n f o rm al . Th e m i n o r i ty f o rm al is m o r e in h a r m o n y w i th the m i n o r i ty - i n f o r m a l

th a n

w i th th e m a i n s tr e a m - i n f o r m a l w h i l e the m a i n s tr e a m - i n f o r m a l is n o t n e c e s s ari l y in d irec t re l ati o n s w ith th e m i n o ri ty - i n f o rm al . Si n c e th e se t w o are n o t in re l ati o n al h a r m o n y an d si n c e th e y i n f l u e n c e th e f o rm al , it is l i k e l y th e ac to rs f r o m b o th i n f o r m a l s ( m ai n s tre am a n d m i n o ri ty ) m a y n o t b e in h a r m o n i o u s re l ati o n either.

Informal Arena Minority-informal , " "V ^^jr" (Native Americans)zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA i Minority-informal - '(Chinese-Americans) Minority-informal (M exican-Americans) Mainstream-informal (Anglos) Minority-informal (African-Americans)

T h e th e o ry arg u e s that w h a t g o e s o n in th e f o rm al are n a c an o f te n b e e x p l ai n e d b y w h a t g o e s o n in th e i n f o rm al are n a. T h e f o rm al are n a p ro v i d e s a site w h e r e the se in te rac tio n s o c c u r. H o w -

Fig. 7.1

ev er, the se inte rac tio ns c an b e stre n g th e n e d o r u n d e r m i n e d b y

Inter- ethnic re latio n s

i n f o rm al p rac ti c e s that the m ai n s tre am an d th e e th n ic c o m m u n i t y are e n g ag e d in. Be c au se o f th e sh e e r i m p o rtan c e o f these i n f o rm al p rac tic e s, b e c au s e o f the w a y th e y inf lu enc e f o rm al p rac tic e s, a n d b e c au s e th e y p ro v i d e a site w h e r e the m ai n s tre am d if f e re ntiate s itself f ro m th e m i n o ri ty an d v i c e v e rsa, the i n f o rm al are n a is a k e y

(3) Fo rm al inte rac tio n c an n o t b e d e c o d e d in toto w i th o u t p ay i n g atte n tio n to the i n f o rm al re alm . (4) In e q u al i ty is m an u f ac tu re d th ro u g h th e as y m m e tr y o f so c ial

f ac to r that m u s t b e take n i n to c o n si d e rati o n in o rd e r to u n d e r -

re latio ns n u rtu re d b y th e f o rm al / i n f o rm al interf ac e. In f o rm -

stan d the m e c h an i s m s a n d so c ial c o n stru c ti o n o f

ality is se e n h e re b o th as a site fo r so c ial c o ntro l (fo r th e m ajo r-

in te r- e th n ic

relatio ns.

ity ) , f o r re sistan c e ( f o r th e m ino ritie s) a n d f o r ad ap tati o n (fo r

In the f o l l o w i n g m o d e l (as illu strated in Fi g u re 7.1) w e sp e ll o u t the stru c tu ral f eatu res o f th e th e o ry :

b o th ) . ( 5) G e n d e r ine q u ality as m an i f e ste d in th e f o rm al are n a is also m an u f ac tu re d d aily as a resu lt o f th e f o rm al / i n f o rm al inter-

( 1) Th e i n f o rm al

arena c an

e ithe r c o n so l i d ate o r

u nd erm ine

f ac e. In f o rm al p rac tic e s are u se d b y m ai n s tre am m a l e s n o t

e thnic in te rac tio n s in th e f o rm al are n a. In either situ atio n , it

o n ly to c o n tro l m i n o ri ti e s b u t w o m e n as w e ll. Bo th w o m e n

d o e s h a v e an im p ac t o n th e f o rm al se c to r an d this c an n o t b e

an d m i n o ri ti e s e m p l o y e d in f o rm al f i rm s are o f te n b arre d

ig n o re d if w e w an t to u n d e rs tan d the f o r m a l d o m ai n . (2) Th e i n f o rm al arena p ro v i d e s a lo c u s th at f eed s the f o rm al p rac tic e s o f inter- ethnic re latio ns an d inte rac tio n. Th e re is an o ng o ing sp he re s.

f e e d b ac k b e tw e e n

the f o rm al

an d

the

i n f o rm al

f ro m i n f o rm al m e e ti n g s w h e r e d e c isio n s c o n c e rn i n g th e m are n u rtu re d , d i sc u sse d , c o n te m p l ate d a n d ad o p te d . (6) Th e m i n o ri ty - f o rm al are n a m u st b e d i sti n g u i sh e d f ro m the m ai n s tre am - f o rm al are n a. Th e f o rm e r is a so c ial site th at leg iti m ate s itself fo r so c ial inte rac tio n w i th th e latter. It is f e d b y

The Informal

The Informal City 154 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

Arena

of Inter-Ethnic

155

Relations

w h ate v e r g o e s o n in the m i n o ri ty - i n f o rm al are n a an d s e rv e s

lo c ated in th e as y m m e tr y o f relatio ns w h i c h are u se d b y the

as a p l atf o rm w h e re f o rm al c h alle n g e s to th e statu s q u o c an

f o rm al

take s h ap e . It is th ro u g h th e m i n o ri ty - f o rm al are na that statu s

ap p aratu s) , c o e rc e ( p o lic e ) , m a k e inf e rio r ( id entity ) , su b ju g ate

e n h an c e m e n t o f the m i n o ri ty g ro u p an d d e m a n d s f o r e q u al i ty

( e c o n o m y ) a n d m arg i n al i z e ( sp ac e) e th n ic m i n o ri ty p rac tic e s.

( site o f p o w e r)

to

d o m i n ate

( p o litic s) , c o n tro l

( leg al

Th e g ro u p that d e c id e s w h i c h sy ste m is f o rm al an d w h i c h o n e

are n e g o ti ate d .

is n o t h as th e u p p e r h a n d in the e q u ati o n . It m a k e s th e ru les T h e th e o ry p ro p o s e s that c re atio n o f tru e h a r m o n y

in

th e

w h ile o th e r p e o p l e m u s t f o l l o w th e m , o f te n to their d i s ad v an tag e

f o rm al sp h e re d e p e n d s o n se v e ral f ac to rs:

si m p l y b e c au s e th e y m u s t ad ap t to s o m e o n e e lse ' s ag e n d a. In this

( 1) Th e m ai n s tre am - i n f o rm al s h o u l d c e ase to b e the h i d d e n si d e

re p ro d u c e s o v e r tim e th e ir m i n o ri ty statu s. Th u s, th e p h e n o m -

w ay , th e m i n o ri ti e s p arti c i p ate o r take p art in the o p e rati o n that o f the f o rm al , so that all ac to rs m a y b e o n th e s am e f o o ti n g at

e n o n o f e th n o g e n e si s is an o n g o i n g p ro c e ss w h e re b y su b ju g ate d

the f o rm al l e v e l an d e v e ry o n e m a y b e p ri v y to all p e rti n e n t

e thnic m i n o ri ti e s atte m p t th ro u g h v ari o u s f o rm s o f stru g g l e an d

i n f o rm ati o n n e c e ssary to b e an insid er. U n f o rtu n ate l y th is is

resistanc e to o v e rc o m e in f o rm atiz atio n o f th e ir c u ltu ral w a y s an d

n o t p o ssi b l e .

institu tio ns

( 2) M in o ritie s s h o u l d b e e q u al l y re p re se n te d at the f o rm al l e v e l

as

w ell

as

u n d e rm i n e

th e

as y m m e try

of

their

relatio ns w i th the d o m i n an t se c to r o f so c iety .

as a w a y o f p ro v i d i n g s o m e b al an c e in the f o rm al in te rac tio n an d in th e p ro d u c ti o n o f n ati o n al an d h e g e m o n i c i d e o l o g i e s. This

m ay

be

p o ssib le

th ro u g h

so c ial

e n g i n e e ri n g ,

and N o tes

theref o re c an b e p ro p o se d as a realistic so lu tio n . ( 3) Th e m ai n s tre am - i n f o rm al s h o u l d b e c o m e a m i n o ri ty - i n f o rm al as w e l l

so

that the

m ai n s tre am - f o rm al

m ay

be

1.

e q u al l y

re p re se n tativ e o f b o th. Th i s is n o t p rac tic al b e c au s e o f c u l tu ral d if f erenc es a n d the e thnic stratif ic atio n in th e p o w e r s y s te m . ( 4) G i v e n th e ac tu al stru c tu re a n d the d if f ic u lty o f m i n o ri ti z i n g the i n f o rm al - m ai n stre am ,

m o r e h a r m o n i o u s re latio ns

2.

and

interac tio n s h o u l d o c c u r b e tw e e n the tw o in f o rm als. Th i s is

3.

d o n e at th e in d iv id u al le v e l, b u t n o t ro u ti n e l y at th e g r o u p 4.

lev el. ( 5) Th e o p t i m u m

so lu tio n s h o u l d b e to tal in te g ratio n ,

w hich

m e an s h e re th e d iv isio n o f so c ie ty into an in te g rate d f o r m a l an d i n te g rate d inf o rm al. Th i s id ealistic ' m e l ti n g p o t' so l u ti o n is n o t p rac tic al either b e c au s e o f the d esire o f m o st p e o p l e to c ling to th e i r e th n i c g ro u p s. ( 6) A m o re w o r k a b l e so lu tio n s h o u l d take i n to c o n si d e rati o n th e reality o f e th n i c d iv ersity a n d th e re q u i re m e n ts o f re p re se n tativ e d e m o c r a c y as the b e st w a y to g et o u t o f the d i l e m m a. Inte r- e thnic re latio ns in th e p re se n t so c ial stru c tu re o f th e Sa n Fran c i sc o Bay A re a tend to re p ro d u c e ineq u ality . Th e p r o b l e m is

There is a v ast literature o n inter-ethnic relatio ns d ealing w ith the manifestatio n o f the p heno meno n o n the urban A merican scene. Fo r a g limp se at the v ario us theo retical shad es and metho d o lo gical o rientatio ns o f this literature, see Takaki (1987). Michel Fo ucault's (1980) seminal w o rk o n the techno lo gy o f p o w er serv es as a so urce o f insp iratio n for m y interpretatio n o f the interface betw een fo rmality and info rmality. I am ind ebted to Pro fesso r Leo nard Duhl o f the Public Health Dep artment at Berkeley fo r sharing this o bserv atio n w ith m e. Fo r d escrip tio ns o f the histo rical ev o lutio n o f ethnic enclav es in San Francisco , see Go d frey (1988) and W irt (1974). M o no g rap hs o n sp ecific ethnic gro up s in San Francisco are also av ailable; see Daniels (1980) o n A frican-A mericans, N arell (1981) o n Jew s, N ee and N ee (1972), Cho w (1977) and Lo o (1991) o n Chinese, Gumina (1978) and Cinel (1982) o n Italians, Decro o s (1983) o n Basques, Burchell (1979) o n the Irish, Tripp (1980) o n Russians and Leyland (1980) o n Puerto Ricans.

8

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIH

Conclusion A s w e arriv e at the e n d o f o u r ref lec tio ns o n th e n atu re a n d the p o liv o c ality o f the i n f o rm al c ity as c an v as s e d th ro u g h o u r e x am inatio n o f th e e v e ry d ay p rac tic e s in the San Fran c isc o Bay A re a, w e b e lie v e that the ap p ro ac h al l o w s u s to s tu d y a h i d d e n d i m e n sio n that s h e d s m u c h lig ht o n o u r c o m p re h e n s i o n o f the f o rm al city . Th is ap p ro ac h is n o t o n l y i m p o rtan t to

u n d e rs tan d i n g

in f o rm al f ac to rs that s h ap e th e b e h av i o r o f th e f o rm al city , b u t also i n f o rm s u s o n the n atu re o f the re latio ns b e tw e e n th e se tw o p o le s o f th e so c ial sy ste m , a n d m o re sp e c if ic ally o n the w a y the i n f o rm al s y s te m b e h av e s. Pro b ab l y o n e o f the m o st re v e alin g asp e c ts o f th e e n te rp rise is th at it sh o w s u s h o w i m p o rtan t it is to human agency in o u r u n d e rstan d i n g o f u rb an p ro c e sse s. f ac to r inzyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

T H E M U L T I V O C A L I T Y O F I N FO R M A L I T Y O n e o f the m ajo r issu es in the stu d y o f the i n f o rm al c ity is th e d iff ic u lty in i d e n ti f y i n g an d lo c atin g the o b jec t o f stu d y . Th at w o u l d n o t h av e b e e n the c ase if it w e re a se p arate reality in a d u al sy ste m . In f ac t, it is a c o n ti n g e n t reality in a u nif ied sy ste m . Its stu d y c an n o t b e d iv o rc e d f ro m that o f th e f o rm al s y s te m sin c e it is the o th e r si d e an d in s o m e c ase s the lif e b lo o d o f that s y s te m . A n o th e r d if f ic u lty ste m s f ro m the f lexib ility an d f lu id ity o f the i n f o rm al s y s te m . It d o e s n o t h a v e a rig id stru c tu re, o r e v e n a p e rm an e n t o n e , an d is ac ti v ate d b y the ac to rs o f th e f o rm al sy ste m . Th is f lu id ity al l o w s it to m o v e b ac k a n d f o rth in th e

f o rm al

sy ste m a n d to d isinte g rate o r o c c u p y a m arg i n al p o sitio n at tim e s as it al l o w s th e f o rm al s y s te m to p u rsu e its c o u rse o f ac tio n. I h av e c o m e to realiz e that u rb an i n f o rm al i ty is n o t m o n o l i th i c an d that it p re se n ts itself in d if f erent s h ap e s an d f o rm s . In its inte rnal b e h av i o r, u rb an in f o rm ality c an b e id entif ied as h av i n g sin g u lar c harac te ristic s, s o m e o f w h i c h I d e lin e ate b e l o w b e c au s e

157

zyxwvutsrqponmlkjihgfedcbaZYX

158 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City o f their i m p o rtan c e in re latio n w ith o th e r i n f o rm al u n i ts o f the i n f o rm al c ity an d w ith th e f o rm al c ity as w e l l . U rb an i n f o rm al i ty is f o u n d to b e competitive.

By that is m e an t

o the r p ri v ate interests in a re g u late d e c o n o m y to g ai n m ark e t ad v an tag e b y av o i d i n g s o m e state c o n tro l s ' ( Po rtes et ah,

1989:

299) . It is a m e a n s u se d to take ad v an tag e o f o r m o v e to a c o m p e titiv e e d g e ag ain st c o m p e ti to rs in v ario u s d o m ai n s o f so c ial life. It is a m e c h a n i s m u se d to o u td o a c o m p e tito r. W e see it at w o r k in the re al m o f the f o rm al i n d u stry w h e re i n f o rm al p ro f e ssi o n al s are h ire d in o rd e r to l o w e r c o sts, an d in th e m o d e rate l y re g u l ate d Sto c k Ex c h a n g e in the c ase o f insid er trad i n g w h e re th o s e w h o are p ri v y to s u c h k n o w l e d g e rep o sitio n th e m s e l v e s f av o rab l y in the f o rm al m a r k e t sy ste m at the e x p e n se o f c o m p e ti to rs. co m-

m u n i c ati o n line to h e l p an o th e r p erso n. A n i n d i v i d u al s o m e ti m e s g ets a jo b n o t si m p l y o n th e b asis o f f o rm al p ro c e d u re , b u t also o f i n f o rm al th i n g s that g o o n , fo r e x am p l e a te l e p h o n e c all b y a f rie n d ly th i rd p arty to th e e m p lo y e r. tain an e x c h an g e p ro c e ss. Reciprocity

D i sc ri m i n ato ry

fro m

p artic ip atio n in an i n f o rm al g ro u p m e e ti n g . Se g re g ati o n is a

i harac teristic o f raw i n f o rm al i ty w h ile inte g ratio n is a c h arac te ristic o f c o o k e d inf o rm ality . If in f o rm ality c an b e d isc rim inato ry , there are al so instanc e s w h e r e it b e c o m e s

integrative.

Th e ro le o f the i n f o rm al are n a as the l o c u s w h e re f o rm al ac tiv -zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPO

11 it's are d i sc u sse d i n f o rm al l y b e f o re f o rm al ac tio n is take n o r as a w ay to g u i d e f o rm al ac tio n p o in ts to the inte g ratio n o f th e f o rm al city in its f o rm al an d i n f o rm al asp ec ts. U rb an i n f o rm al i ty te n d s to stre ng the n c lass d iv isio ns as it is o u tsid ers. O n the o th e r h a n d , it also se rv e s as a m e c h a n i s m f o r u p w ard

m o b i l i ty

as it al l o w s p e o p l e o f d if f erent c lasse s

to

p artake in c o m m u n a l i n f o rm al ac tiv ities. Urb an inf o rm ality c an also b e subversive

b ec au se it p ro v id e s a

structure o f resistance. A c c o rd in g to H ard in g an d Jenkins ( 1989:136) 'the p o w e r o f f o rm al reg u latio ns creates the p o ssibility o f its su b -

It is u s e d as a w a y to m ai n is th e k e y to u n d e rs tan d i n g

the in te n tio n o f the ac t. A n i n f o rm al b e h av i o r is m ate ri al i z e d to h e lp s o m e o n e w h o m a y b e ab le to retu rn th e fav o r. U rb an i n f o rm al i ty is e i th e r latent

U rb an i n f o rm al i ty is at tim e s discriminatory.

inf o rm ality is an i n f o rm al p rac tic e that e x c l u d e s c e rtain p e o p l e

u sed to c o n so l i d ate g ro u p interests an d to d isc rim in ate ag ain st

It is u s e d as a w a y o f m ax -

i m i z i n g th e w e ll- b e in g o f o the rs. O n e u s e s an i n f o rm al

U rb an i n f o rm al i ty c an b e reciprocal.

Cator o f c lass statu s th ro u g h p artic ip atio n in an inf o rm al g ro u p in o rd er to e n h a n c e o n e ' s i m ag e in so ciety .

that ' i n f o rm al i ty m ay c o m e ab o u t th ro u g h th e ef f o rts o f f i rm s an d

U rb an i n f o rm al i ty c an b e altruistic.

159

Conclusion

o r active.

It is late n t w h e n a

le arn e d b e h av i o r o r a p rac ti c e re m ain s in a d o rm an t state an d theref o re c an b e ac tiv ate d at an y m o m e n t f o r a sp ec if ic p u rp o s e . It is ac tiv e w h e n the i n f o rm al b e h av i o r is u s e d to ac c o m p l i s h stated e n d s .

v ersio n'. Th e f o rm al sy ste m creates substitutive

info rm ality so that it

c an c o ntinu e to functio n sm o o thly . Sub stitutiv e info rm ality is a p illar o f the f o rm al sy stem b e c au se o f its safety -v alv e functio n. This f u n c ti o n as a saf e ty v alv e c an b e se e n in its ro le as an e x te n sio n o f f o rm ality , b u t it also p ro v i d e s an arena w h e r e f o rm al p ro b l e m s c an b e d i sc u sse d in f o rm ally an d i n f o rm al so l u ti o n s c an be fo und . T h e s a f e t y - v a l v e f u n c t i o n al s o p r o v i d e s an a r e n a

w here

d i s s i d e n ts p l o t o u t th e i r s trate g i e s to u n d e r m i n e o r s u b v e r t th e w h e n it is p art o f o n e ' s d aily

f o rm al s y s te m . Th is s u b v e rs i v e f u nc tio n is latent an d c o m e s into

life. Th i s ro u tin iz atio n p ro c e ss c o nsists o f m e s h i n g to g e th e r b o th

p lay in ti m e s o f c risis o r re v o lu tio n, h e re d e f in e d in te rm s o f a

U rb an in f o rm ality is routinized

f o rm al a n d i n f o rm al ac tiv ities in su c h a w a y that th e i n f o rm al is

v ast d e n si ty o f subversive

p e rc e i v e d as so m e th i n g in te g ral to the p ro c e s s o f e v e r y d ay life.

o f the f o rm al s y s te m to m ai n tai n its c o h e si o n .

U rb an i n f o rm al i ty c an also b e transformative.

in f o rm ality that u n d e rm i n e s th e ab ility

Tran sf o rm ati v e

in f o rm ality is u n d e rsto o d to b e inf o rm al b e h av i o r e x p re s s e d w ith a v ie w to c h an g i n g any asp e c t o f the f o rm al so c ial reality . U rb an i n f o rm al i ty is f o u n d to h av e a symbolic

d i m e n s i o n . Sy m -

b o lic i n f o rm al i ty is b e h av i o r e x p re sse d f o r the c lear p u r p o s e o f p ro je c ting a sy m b o l i c i m ag e o f o neself . It c an b e u se d as an ind i-

I N FO R M A L / FO R M A L R EL A T IO N S The id ea an d reality o f inf o rm ality im p lies b o th an ac tiv e an d p assiv e relatio n vis-a-vis

the f o rm al d o m ain. In the activ e sense, it is a

160 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Informal City reality that is rep ressed b y the f o rm al sy stem thu s p rev enting it f ro m

161

Conclusion

Th e i n f o rm al sy ste m ap p e ars as a substitution

f o r w h a t is m i ss-

b eing ' f o rm al' . In the p assiv e sense, it is an activ ity that is ' o u t there'

nig in the f o rm al sy ste m . Fo r e x am p l e , street v e n d o rs satisf y the

and o n e w h i c h the f o rm al sy ste m d o es no t p retend to o r c an n o t c o n-

c o n su m e r n e e d s o f a n u m b e r o f p e o p l e . T h e y sell c h e ap , f ast an d

tro l. In b o th its activ e an d p assiv e m e an in g s, inf o rm ality is se e n as

h an d y g o o d s that are n o t p ro v i d e d b y th e f o rm al sy ste m .

b eing c ap ab le o f hav ing an im p ac t o n the f o rm al sy stem .

Th e i n f o rm al sy ste m is complementary

This s tu d y o f in f o rm al p rac tic e s h as b e e n c arried o u t at three

to f o rm al institu tio ns.

This is the c as e in the w i d e s p re ad u se o f f o l k m e d i c i n e a m o n g the

d if f erent le v e ls. Th e first l e v e l is that o f d ire c t o b se rv ati o n , as the

A f ri c an - A m e ri c an , C h i n e s e an d H i sp an i c c o m m u n i ti e s in the San

sam e

Franc isc o

i n d i v i d u al s

w ho

e n g ag e

in

f o rm al

p rac tic e s

are

also

e n g ag e d in i n f o rm al p rac tic e s. Th e s e c o n d le v e l is th at o f th e

Ba y

A rea

th at fulfills n e e d s

no t m et b y

m o d e rn

m e d ic in e o r th e m o d e r n h o sp ital.

tran sf o rm ati o n ( m ig ratio n o r c o - o p tatio n ) o f i n f o rm al p rac ti c e s into f o rm al p rac tic e s, as w h e n f o lk re m e d i e s are ad o p te d b y the m o d e r n m e d i c a l h o sp ital a n d tran sf o rm e d into p h arm ac e u ti c al

T H E R EP R O D U C T I O N O F H EG EM O N Y

d ru g s. A n d th e third le v e l is that o f th e tran sf o rm ati o n o f s o m e f o rm al p rac ti c e s into i n f o rm al p rac tic es b e c au s e th e y h a v e lo st

A ltho u g h all the so cial c lasses p articip ate in inf o rm al p rac tic es, it is

their f o rm al id entity , as in th e c ase o f th e street v e n d o r w h o s e

true to say that they help rep ro d u c e ineq u ality an d hierarc hy in

lic enc e h as b e e n re v o ke d b y th e state.

so ciety. Th o se o f the u p p e r c lass so m etim es u se inf o rm ality to m ain-

W e c o n c e i v e o f the f o rm al sy ste m as c o m p ri s i n g se v e ral sp ac e s

tain their p o sitio n and to e x c lu d e o utsid ers f ro m their inne r circles.

w h e re f o rm al an d i n f o rm al ac tiv ities o c c u r e ithe r s i m u l tan e o u s l y

Being at the to p , they h av e ac c ess to m o re influential p e o p le than the

o r su c c e ssiv e ly . Th e i n f o rm al sy ste m is i n c l u d e d in th e larg e r

o ther c lasses. A t the sam e tim e, u rb an inf o rm ality is u se d b y so m e

f o rm al sp ac e .

lo w er- and m id d le- c lass ind iv id u als as a m e an s to u p w ard m o b ility

The reality o f inf o rm ality is seen as related to the to p o g rap h y o f

as it p ro v id es an av e nu e f o r p enetrating influential circles.

the f o rm al so c ietal sy stem an d co nstitutes a p ro v inc e o f that sy stem .

The n o tio n o f inf o rm ality is at the v e ry c enter o f the W estern

W h e n the inf o rm al sy stem is rec o u p ed b y the fo rm al, it b e c o m e s a

p ro ject o f the c o nstru c tio n an d the streng thening o f the d em o c ratic

lay er o f that sy ste m and m a y b e lo cated in a hierarc hy o f su b sy ste m .

state. C an the d em o c ratic sy ste m b e to tally o p e n an d transp arent in

A s su c h it c o nstitu tes a h i d d e n fo rce w ithin the f o rm al sy ste m .

any so c iety w h e re u rb an inf o rm ality reig ns su p rem e? It se e m s at

The relatio ns o f inf o rm ality to f o rm ality are sp elled o u t in te rm s

first that b e c au se inf o rm al p ractices te nd to d isc rim inate ag ainst

o f the stru c tu ral o rg aniz atio n o f the o v erall sy stem . Th e in f o rm al

tho se w h o are n o t inv ited to jo in in they are an i m p e d i m e n t to the

sy ste m is se e n as an adaptation

to the f o rm al sy ste m b e c au se it m a y

b e p ro d u c e d b y the f o rm al sy ste m an d its su rv iv al d e p e n d s o n the existenc e o f the f o rm al sy ste m . C o n se q u e n tl y c h an g e s in

the

f o rm al sy ste m m a y ind u c e c h an g e s in the in f o rm al sy ste m . The inf o rm al sy stem is also seen as a reaction to the f o rm al sy stem ,

ac hiev em ent o f equality , fairness and p e rh ap s d em o c rac y . Be c au s e i n f o rm al i ty al l o w s ind iv id u als to take a sh o rtc u t an d g iv es ad v an tag e s to s o m e o v e r o the rs b a s e d o n c lass, g e nd e r, ethnic ity , re lig io n o r p o litic al affiliatio n, it te n d s to

re p ro d u c e

ine q u ality in so c iety . It is a w e l l lu b ric ate d e n g i n e in th e so c ial

esp ecially w h e n this is su p erim p o sed . Su c h w a s the c ase in the fo r-

re p ro d u c ti o n o f h e g e m o n i c p rac tic es a n d at the s am e ti m e it is an

m atio n o f slav e relig io n. To the action o f the f o rm al sy ste m c o rre-

arena e x p l o i te d to p re v e n t d irec t g ro u p c o n f ro n tatio n s. Pe rh ap s

sp o nd s the reaction o f the inf o rm al sy stem , o r to a f o rm al stru c tu re o f

o n e m a y c o n c l u d e that i n f o rm al p rac tic e s are b o th a p ro d u c ti v e

d o m inatio n m a y c o rresp o nd an info rm al stru c tu re o f resistanc e. Th e i n f o rm al sy ste m ap p e ars also as a challenge

to th e f o rm al

sy ste m . Fo r e x am p l e , the traffic o f d ru g s in th e streets o f th e c ity c h al l e n g e s f o rm al au tho ritie s to d o s o m e th i n g ab o u t it.

d e v ic e

and

an

A m e ri c an city .

e n l i g h te n i n g

p arad o x

in

the

te x tu re

of

the

References A bel, R.zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The Politics of Informal Justice (N ew Yo rk: A cad emic Press, 1982). A kinnaso , F.N. Scho o ling, Lang uag e, and Kno w led g e in Literate and N o nliterate So cieties. Comparative Studies in Society and History, Vol. 34, N o . 1 (1992), p p . 68-109. A lexand er, M.J. Information Systems Analysis: Theory and Applications (Chicago : Science Research A sso ciates Inc., 1974). A rchambault, E. and Greffe, X. Les Economies Non Officielles (Paris: Ed itio ns La Déco uv erte, 1984). A uerback, J. Justice W ithout Law (New Yo rk: Oxfo rd Univ ersity Press, 1983). Barnard , C.I. The Functions of the Executive (Cambrid ge, Mass.: Harvard Univ ersity Press, 1958). Becquart-Leclercq, J. Relatio nal Po w er and Systemic A rticulatio n in French Lo cal Polity. In Karp ik, L. (ed .), Organization and Environment: Theory, Issues and Reality (Lo nd o n: Sage Publicatio ns, 1978), p p . 253-92. Becquart-Leclercq, J. La Démocratie Locale à l'Américaine (Paris: Presses Univ ersitaires d e France, 1988). Bento n, L. The Role of the Informal Sector in Economic Development: Industrial Restructuring in Spain. PhD d issertatio n, Dep artment o f A nthro p o lo gy, Jo hns Ho p kins University, 1986. Bento n, L.A . Invisible Factories: The Informal Economy and Industrial Development in Spain (A lbany, N Y: State Univ ersity o f N ew York Press, 1990). Blau, P.M. Exchange and Power in Social Life (N ew York: Wiley, 1964). Blau, P.M. The Dynamics of Bureaucracy (Chicago : Univ ersity o f Chicago Press, 1964). Blo cker, C.E. and Schauer, C H . The Formal and Informal Structures of a College and a Business Organization: An Analysis (Harrisburg, Pa. 1965). Boer, L. Info rmatizatio n: The Fo rces Beyo nd . International Journal of Urban and Regional Research, Vol. 14, N o . 3 (1990), p p . 404-22. Bo urd ieu, P. Outline of a Theory of Practice (N ew York: Cam brid g e Univ ersity Press, 1990). Britan, G. and Co hen, R. (ed s) Hierarchy and Society (Philad elp hia: Institute fo r the Stud y o f H um an Issues, 1980). Bro w ning, R.P., Ro gers M arshall, D. and Tabb, D.H. Protest is not Enough: The Struggle

of Blacks

and Hispanics

for

Equality

in Urban

Politics

(Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1984). Bullo ugh, B. and Bullo ugh, V.L. Poverty, Ethnic Identity and Health Care (New Yo rk: A p p leto n-Century-Cro fts, 1972). Burchell, R.A . The San Francisco Irish, 1848-1880 (Manchester: Manchester Univ ersity Press, 1979). Carlso n, R.O. Info rmal Organizatio n and So cial Distance: A Parad o x o f Purp o siv e Organizatio n. Educational Administration and Supervision, Vol. XLIV, N o . 6 (N o v ember 1958). zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDC

163

164 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA References Castells, M . The Informational City (Cambrid ge: Basil Blackw ell, 1989). Castells, M . and Po rtes, A . W o rld Und erneath: The Origins, Dy namics and Effects o f the Info rmal Eco no my. In Po rtes, A . (ed .), The Informal Economy (Baltim o re, M d .: Jo hns H o p kins Univ ersity Press, 1989) , p p . 11-37. Chisho lm, D . Coordination W ithout Hierarchy: Informal Structures in Midtiorganizational Systems (Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1989). Cho w , W.T. The Re-Emergence of an Inner-City: The Pivot of Chinese Settlement in the East Bay Region of the San Francisco Bay Area (San Francisco : R. & E. A sso ciates, 1977). Cinel, D . From Italy to San Francisco: The Immigrant Experience (Palo A lto , Calif.: Stanfo rd Univ ersity Press, 1982). Clark, G. (ed .) Traders versus the State: Anthropological Approaches to Unofficial Economies (Bo uld er, Co lo .: W estview Press, 1988). Co meau, Y. Resurg ence d e la Vie Quo tid ienne et d e ses So cio lo g ies. Sociologie et Société, Vol. 19, N o . 2 (1987), p p . 115-23. Co o k, K. et al. (ed s) The Limits of Rationality (Chicag o : Univ ersity o f Chicago Press, 1990). Crenso n, M.A . Neighborhood Politics (Cambrid ge, Mass.: Harv ard Univ ersity Press, 1983). Cuff, D. Architecture: The Story of Practice (Cambrid g e, Mass.: M IT Press, 1991). Dalto n, M. Men W ho Manage. Fusions of Feeling and Theory in Administration (N ew Yo rk: Jo hn Wiley, 1959). Daniels, D.H. Pioneer Urbanités: A Social and Cultural History of Black San Francisco (Philad elp hia, Pa.: Temp le Univ ersity Press, 1980). (Lo nd o n: Davies, R. The Informal Sector: A Solution to Unemployment Catho lic Institute for Internatio nal Relatio ns, 1978). Dav is, J. Fo rm s and N o rm s: The Eco no m y o f So cial Relatio ns. Man, Vo l. 8, N o . 2 (1973), p p . 159-76. Dav is, K. M anag ement Co mmunicatio n and the Grap ev ine. Harvard Business Review, Vol. XXXI (1953), p p . 43- 9. De Certeau, M . The Practice of Everyday Life (Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1984). De So to , H. The Other Path: The Invisible Revolution in the Third W orld (New Yo rk: Harp er & Ro w , 1990). d e To cqueville, A . Demo cracy in A merica (N ew Yo rk: Vintage Bo o ks, 1945). Decro o s, J.F. The Long Journey: Social Integration and Ethnicity Maintenance among Urban Basques in the San Francisco Bay Area Region (Reno , Nev.: A sso ciated Univ ersity Press, 1983). Duchacek, J. The Internatio nal Dimensio n o f Subnatio nal SelfGo v ernment. Publius, Vol. 4 (1984), p p . 5- 31. Durkheim, E. Professional Ethics and Civic Morals (Glenco e, 111.: Free Press, 1960).

References

165

I His, W.R., Chao T., and Parrish, J. Levi's Place: A Building Bio graphy. Places, Vol. 2, N o . 1 (1985), p p . 57-70. I itzioni, A . Tw o A p p ro aches to Organizatio nal A nalysis: A Critique and a Suggestio n. In Grusky, O. and Miller, G.A . (ed s), The Sociology of Organizations (Lo nd o n: Free Press, 1970), p p . 215-25. Pairhurst, G.T. and Snavely, B.K. Majo rity and Token Mino rity Gro up Relatio nship s: Po w er A cquisitio n and Co mmunicatio n. Academy of Management Review, Vol. 8 (1983), p p . 292-300. I crman, L.A . et al. The Informal Economy (Beverly Hills, Calif.: Sag e, 1987). Fischer, C.S. To Dwell Among Friends: Personal Networks in Town and City (Chicago : Univ ersity o f Chicag o Press, 1982). 1'itzpatrick, P. The Rise and Rise o f Info rmalism. In Matthew s, R. (ed .), Informal Justice (Lo nd o n: Sag e, 1988), p p . 178-98. Fo ucault, M . Power/Knowledge (N ew York: Pantheo n, 1980). Freidso n, E. Patients' Views of Medical Practice (N ew York: Russell Sage Fo und atio n, 1961). Freidso n, E. Profession of Medicine: A Study of the Sociology of Applied Knowledge (Chicago : The Univ ersity o f Chicag o Press, 1988). Gid d ens, A . The Constitution of Society (Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1984). Godfrey, B.J. Neighborhoods in Transition: The Making of San Francisco's Ethnic and Nonconformist Communities (Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1988). Go ffman, E. The Presentation of Self in Everyday Life (New Yo rk: Do ubled ay A ncho r Bo o ks, 1959). Go ffman, E. Asylums: Essays on the Social Situation of Mental Patients and Other Inmates (New Yo rk: Do ubled ay A ncho r Bo o ks, 1961). Go ffman, E. Behavior in Public Places (New Yo rk: Free Press, 1963). Go ffman, E. Interaction Ritual (Lo nd o n: A llen Lane, 1972). Go ttd iener, M . The Social Production of Urban Space (A ustin, Tex.: University o f Texas Press, 1988). Go uld -Martin, K. and Ngin C. Chinese A mericans. In Harw o o d , A . (ed .), Ethnicity and Medical Care (Cambrid ge, Mass.: Harvard Univ ersity Press, (1981), p p . 130-71. Go uld ner, A .W . Patterns of Industrial Bureaucracy (New Yo rk: Free Press, 1954). Graham, H. Pro vid ers, N ego tiato rs and Med iato rs: W o men as the Hid d en Carers. In Lew in, E. and Olesen, V. (ed s), W omen, Health and Healing: Towards a New Perspective (Lo nd o n: Tavisto ck, 1985), p p . 25-52. Greer, S. and Orleans, P. The Mass So ciety and the Parapo litical Structure. American Sociological Review, Vol. 27, N o . 5 (1962), p p . 634-46. Gro ss, B.M. The Scientific A p p ro ach to A d ministratio n. In Griffiths, D. (ed .), Behavioral Science and Educational Administration (Chicago : Univ ersity o f Chicago Press, 1964), p p . 33- 72. Guest, A .M. and Oro pesa, R.S. Informal Social Ties and Political A ctivity in the Metro po lis. Urban Affairs Quarterly, Vol. 21, N o . 4 (1986) p p . 550-74.

166 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA References Gumina, D.P. The Italians of San Francisco, 1850-1930 (New Yo rk: Center for M ig ratio n Stud ies, 1978). Hall, E. The Hidden Dimension (N ew York: Do ubled ay, 1966). Hall, O. The Info rmal Organizatio n o f the M ed ical Pro fessio n. The Canadian Journal of Economics and Political Science, Vol. 12, N o . 1 (1946), p p . 30- 44. Hamilto n, C.V. The Black Preacher in America (N ew Yo rk: W illiam Mo rro w , 1972). Hard ing, P. and Jenkins, R. The Myth of the Hidden Economy: Towards a New Understanding of Informal Economic Activity (Philad elp hia, Pa.: Op en Univ ersity Press, 1989). Hart, K. Info rmal Inco me Op p o rtunities and Urban Emp lo y ment in Ghana. Journal of Modern African Studies, Vol. 11 (1973), p p . 61- 89. Hayes, E.C. Power Structure and Urban Policy: W ho Rules in Oakland? (New York: M cGraw -Hill, 1972). Henry, S. Informal Institutions: Adaptive Networks in the Corporate State (New Yo rk: St. Martin's Press, 1981). Herzfeld , M . The Po eticity o f the Co mmo np lace. Semiotic Theory and Practice, Vo l. 1 (1988), p p . 383- 91. Iannacco ne, L. A n A ppro ach to the Info rmal Organizatio n o f the Scho o l. In Griffiths, D.E. (ed .), Behavioral Science and Educational Administration (Chicago : Univ ersity o f Chicag o Press, (1964) p p . 223-42. Jo hnsto n, J.C. Informal Organization: A Transitional Force in Formal Organization Structure. Master o f Business A d ministratio n, Univ ersity o f Califo rnia at Berkeley, Califo rnia, 1954. Jo nes, YV . Street Ped d lers as Entrep reneurs: Eco no mic A d ap tatio n to an Urban A rea. Urban Anthropology, Vol.17 (1988), p p . 143-70 Kanter, R.M. Men and W omen of the Corporation (New York: Basic Books, 1977). Kno ke, D . Political Networks:The Structural Perspective (N ew Yo rk: Cambrid g e Univ ersity Press, 1990). Ko lb, D.M. and Bartunek, J.M. (eds), Hidden Conflict in Organizations: Uncovering Behind-the-Scenes Disputes (New bury Park, Calif.: Sage, 1992). Lanzetta d e Pard o , M. et al. The A rticulatio n o f Fo rmal and Info rmal Secto rs in the Eco no my o f Bo g o ta, Co lumbia. In Po rtes, A . et al. (ed s), The Informal Economy (Baltimo re, Co nn.: Jo hns Ho p kins Univ ersity Press, 1989), p p . 95-110. Lefebvre, H. La Production de l'Espace (Paris: A nthro p o s, 1974). Mediating Levin, L.S. and Idler, E.D. The Hidden Health Care System: Structures and Medicine (Cambrid ge, Mass.: Ballinger, 1981). Leyland , R.C. Puerto Ricans in the San Francisco Bay Area, California: A Historical and Cultural Geography. M aster's Thesis, Dep artment o f Geo graphy, Califo rnia State Univ ersity at H ay w ard , 1980. Lo gan, J.R. and Mo lo tch, H.L. Urban Fortunes: The Political Economy of Place (Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1987). Lo mnitz, L.A . Info rmal Exchange N etw o rks in Fo rm al Systems: A Theo retical M o d el. American Anthropologist, Vol. 90, N o . 1 (1988), p p . 42- 55.

References

167 zyxwvutsrqponmlkjihgfedcbaZYXW

too, C M . Chinatown: Most Time, Hard Time (N ew Yo rk: Praeger, 1991). IzyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA I o / .ino, B.A . Hig h Techno lo gy, Co ttage Ind ustry: A Stud y o f Info rmal

Work in the San Francisco Bay A rea. PhD Dissertatio n, Univ ersity o f Califo rnia at Dav is. Lo zano , B. Info rmal Secto rs Wo rkers:Walking O ut the Sy stems's Fro nt I )oor. International Journal of Urban and Regional Research, Vol. 7, N o . 3 (1983), p p . 340- 61. I zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA I »zano, B. The Invisible W ork Force (New York: Free Press, 1989). McDo w ell, L. To w ard s an Und erstand ing o f the Gend er Div isio n o f Urban Sp ace. Society and Space, Vol. 1 (1983), p p . 59- 72. MacKenzie, S. N eglected Sp aces in Peripheral Places: Ho me-W o rkers and the Creatio n o f a N ew Eco no mic Center. Cahiers de Geographie du Québec, Vol. 13, N o . 83 (1987), p p . 247-60. Maffesoli, M. The So cio lo gy o f Ev eryd ay Life (Epistemo lo gical Elements). Current Sociology, Vol. 37, No . 1 (1989), p p . 1-16. Mnsson, D. Les Femmes d ans Les Structures Urbaines: A p ercu d 'un des Sciences N o uv eau C ham p d e Recherche. Revue Canadienne Politiques, Vo l. 17, N o . 4 (1984), p p . 754-82. Matthew s, R. (ed .) Informal Justice (Lo nd o n: Sage, 1988). Mauss, M. Essai sur le Don (Lo nd o n: Co hen & West, 1954). Merton, R.K. Social Theory and Social Structure (Glenco e, 111.: Free Press, 1961). Meyro w itz, J. No Sense of Place: The Impact of Electronic Media on Social Behavior (N ew Yo rk: Oxfo rd Univ ersity Press, 1985). Mittar, V. Growth of Urban Informal Sector in a Developing Economy (New Delhi: Deep and Deep Publicatio ns, 1988). Mo o re, H.L. Feminism and Anthropology (Minneap o lis: Univ ersity o f Minneso ta Press, 1988). Narell, I. Our City: The Jews of San Francisco (San Dieg o Calif.: Ho w ellNo rth Bo o ks, 1981). Nee, V.G. and d e Bary Nee, B. Longtime Californ': A Documentary Study of an American Chinatown (N ew Yo rk: Pantheo n Bo o ks, 1972). Nicholson, L.J. (ed.) Feminism/Postmodernism (New York: Routledge, 1990). Nilles, J. The Telecommunications-Transportation Trade-Off: Options for Tomorroiv (N ew York: Wiley, 1976). Pap o la, T.S. Urban Informal Sector in a Developing Economy (Delhi: Vikas, 1981). Po rtes, A . et al. The Informal Economy (Baltimo re, Co nn.: Jo hns Ho p kins Univ ersity Press, 1989). and the W orker Ro ethlisberger, F.J. and Dickso n, W.J. Management (Cambrid ge, M ass.: Harvard Univ ersity Press, 1947). Ro jas, J.T. The Enacted Environment: The Creation of 'Place' by Mexicans and Mexican-Americans in East Los Angeles. Master o f Sciences, Dep artment o f A rchitecture, MIT, 1991. Ro sald o , M .Z . W o man, Culture and So ciety: A Theo retical Ov erv iew . In Ro sald o , M . et al. (ed s), W omen, Culture and Society (Palo A lto , Calif.: Stand fo rd Univ ersity Press, 1974), p p . 17-42.

168 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA References Ro se, R. Getting Unofficial

by in Three Economies: The Resources of the Official, and Domestic Economies. Stud ies in Public Po licy, N o . 110.

Glasg o w : Centre for the Stud y o f Public Po licy, 1983. Ro ss, D.P. and Usher, P.J. From the Roots Up: Economic Development as if Community Mattered. The Canad ian Co uncil o n So cial Dev elo p ment Series (To ro nto : James Lo rimer, 1986). Sack, R.D. Conception of Space in Social Thought (Minneap o lis: Univ ersity o f M inneap o lis Press, 1980). Santo s, B. d e S. Law , a M ap o f Misread ing: To w ard a Po stmo d ern Co ncep tio n o f Law . Journal of Law and Society Vo l. 14, N o . 3 (1987) p p . 279-302. Santo s, M . The Shared Space: The Two Circuits of the Urban Economy in Underdeveloped Countries (N ew Yo rk: Methuen, 1979). Sassen-Ko o b, S. N ew York City 's Info rmal Eco no my. In Po rtes, A . et al. (ed .), The Info rmal Eco no m y (Baltimo re, M d .: Jo hns Ho p kins Univ ersity Press, 1989), p p . 60- 77. Sauvy, A . Le Travail Noir et l'Economie de Demain (Paris: Calmann-Levy, 1984). Sayles, L.R. Human Behavior in Organizations. Eng lew o o d Cliffs, NJPrentice-Hall, 1966). Schiff, F.W. Flexip lace: A n Id ea W ho se Time Has Co m e. IEEE Transactions on Engineering Management, Vol. 30, N o . 1 (1983), p p . 26-30. Schreiber, J.M . and Ho miak, J.P. Mexican A mericans. In H arw o o d , A . (ed .), Ethnicity and Medical Care (Cambrid ge, Mass.: Harv ard Univ ersity Press, 1981), p p . 264-336. Sco tt, J.C. Domination and the Arts of Resistance: Hidden Transcripts (N ew Hav en, Co nn.: Yale Univ ersity Press, 1990). Selznick, P. A n A p p ro ach to a Theo ry o f Bureaucracy. In Co ser, L.A . and Ro senberg, B. (ed s), Sociological Theory (N ew Yo rk: Macmillan, 1964), p p . 477- 88. Sethuraman, S.V. The Urban Informal Sector in Developing Countries: Employment, Poverty and Environment (Genev a: Internatio nal Labo r Office, 1981). Shankland , G . Our Street Economy (Lo nd o n: A ng lo German Fo und atio n fo r the Stud y o f Ind ustrial So ciety, 1980). Sharma, U. Complementary Medicine Today: Practitioners and Patients (Lo nd o n: Tavisto ck, 1992). Silver, H. The Demand for H o m ew o rk: Ev id ence fro m the U.S. Census. In Bo ris, E. and Daniels, C R . (ed s), Homework: Historical and Contemporary Perspectives on Paid Labor at Home (Urbana, III: Univ ersity o f Illino is Press, 1989), p p . 103-29. Simo n, H.A . Administrative Behavior (New Yo rk: Macmillan, 1966). Sitto n, T. Insid e Scho o l Spaces: Rethinking the H id d en Dimensio n. Urban Education, Vo l. 15, N o . 1 (1980), p p . 65-82. Smith, M.E. (ed .) Perspectives on the Informal Economy. M o no g rap hs in Eco no mic A nthro po lo gy, N o . 8 (Lanham, Va.: University Press o f A merica, 1990).

References

169

Smith, S. and W ied -N ebbeling, S. The Shadow Economy in Britain and Germany (Lo nd o n: A ng lo -German Fo und atio n fo r the Stud y o f Ind ustrial So ciety, 1986). So ld ato s, P. Les Relatio ns Internatio nales d u Q uébec: Une Parad ip lo macie à Géo métrie Variable. In Mo niere, D. (ed .), L'Année Politique au Québec 1988-1989 (Mo ntreal, 1990). So mmer, R. Social Design: Creating Buildings W ith People in Mind (Englew o o d Cliffs, N J: Prentice-Hall, 1983). Spain, D. Gendered Spaces (Chap el Hill, N C: Univ ersity o f N o rth Caro lina Press, 1992). Sutto n, H. and Po rter A Stud y o f the Grap ev ine in a Go v ernmental Organizatio n. Personnel Psychology, Vol. 21 (1968), p p . 223-30. Takaki, R. From Different Shores: Perspectives on Race and Ethnicity in America (N ew York: Oxfo rd Univ ersity Press, 1987). Tanzi, V. The Underground Economy in the United States and Abroad (Lexingto n, M ass. D C . Heath, 1982). Tinker, I. (ed .) Street Fo o d : Testing A ssump tio ns A bo ut Info rmal Secto r A ctivity By W o men and M en. Current Sociology, Vol. 35, N o . 3 (1987). Toffler, A . The Third W ave (N ew Yo rk: William Mo rro w , 1980). To meh, A .K. Info rmal Gro up Participatio n and Resid ential Patterns. American Journal of Sociology, Vol. 70, N o . 1 (1964), p p . 28-35. Tripp, M .W Russian Routes: Origins and Development of an Ethnic Community in San Francisco. M aster's Thesis, Dep artment o f Geo grap hy, San Francisco State University, 1980. Turnham, D., Salo me, B. and Schw arz , A . (ed s) Nouvelles Approaches du Secteur Informel (Paris: Centre d e Dev elo p ment d e l'Organisatio n d e Co o p ératio n et d e Dév elo p p ement Eco no miques, 1990). Van Dijk, M.P. Sénégal: Le Secteur Info rmel d e Dakar (Paris: L'Harmattan, 1986). Uzzell, Do ug las Disso nance o f Fo rmal and Info rmal Planning Styles, o r Can Fo rmal Planners D o Brico lage? City and Society, Vo l. 4, N o . 2 (1990), p p . 114-130. Wallerstein, I.M. Capitalist Agriculture and the Origins of the European W orld Economy in the Sixteenth Century (New York: A cad emic Press, 1976). W ekerle, G , Peterso n, R. and Mo rley, D. New Space for W omen (Bo uld er, Co lo .: W estview , 1980). W hy te, W .H. The Social Life of Small Urban Spaces (W ashingto n DC: Co nv ersatio n Fo und atio n, 1980). Wirt, FM . Power in the City: Decision-Making in San Francisco (Berkeley, Calif.: Univ ersity o f Califo rnia Press, 1974). Z elinsky, W. et al. W o men and Geo grap hy: A Rev iew and Pro sp ects. Progress in Human Geography, Vol. 6, N o . 3 (1982), p p . 317-66. Z ey-Ferrell, M . Dimensions of Organizations: Environment, Context, Structure, Process, and Performance (Santa Mo nica, Calif.: Go o d year, 1979).

Index zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONM accountant, 56 Acorn Revitalization Council, 80 activities, formal and informal, xiii, 9, 32,47,70, 72, 73, 74,75 actors, 3, 7, 30,49, 51,73,93,100, 111, 120,135,138,157 adaptation, 153,160 administration, xiv, 56, 75, 77, 86,88, 92,95,97,98 advertisement, 62 Advisory Board of Community Development, 85 African-American, 57,60,64,78,81,82, 83,84,86,101,144,153,161 agency, 71, 72; human, 157 agenda, 81,100 aggression, 13,16 AIDS, 116 Akinnaso, F.N., 109 Alabama, 79 Alexander, M.J., 110 allegiance, 91 alliance, 82 Alumni Association, 80 American Anthropological Association, xv American cities, xi, xii Anglos, 64 apprentice, 54, 56,63 approach, 1 Archambault, E., 74 architects, 68 architecture, 30, 37,68 arena, xv, 68,75,90,96,103,123,130, 139,146,147,148,151,152,153,159, 161; formal, xiv; informal, xi, xii, xiv, 9 Asian-American, 64, 66,82 Asian Local Development Corporation, 82 Asians, 84 Asiatown, 82 aspects, formal, xiv, informal, xiv assimilation, 148 association, 76 asymmetry, 139,153,155 authority, federal, xiv; state, xiv autonomy, 74,125

auto-repair, 50 avoidance, 142,143,144 bank, 73,110 Barnard, C.I., 104,105 barter, 49 Basques, 155 Bay area, xiii, xiv, xvi, 82, 85,124,134, 143 Bay Bridge, xii Becquart-Leclercq, J., 98 behaviour, xi, 6, 7,11,14,17,18,19,20, 22,28, 33, 34,40,41,42,47,76,98, 115,143,146,148,150,151,157,158 belief, 3,72 Berkeley, xii, xiii, xvi, 30,38,41,54,61, 62 Bethlehem Lutheran Church, 86 Blakely, Ed, xv blueprint, 75,103 body, 37 Boer, L., 6,14 Bogota, 50 borders, xii boundaries, xii, 11,12,14,21,27,39,50, 51,66, 70,71,77,129,133,147; town, xiii Britain, 130 brokers, 34,99 Browning, R.P., 101 Bullough, B., 138 Burchell, R.A., 155 bureaucracy, xv, 13, 23, 25,41,42,49, 94,95,98,104,119,123 business, 7,13,22,30,31,33,34, 35, 36, 37,38,48,52,64,66,68,70,72,74,83, 93,103, 111, 117,118,119; shop, 33; home, 33 built environment, 40 businessman, xii bus routes, 41 cabinet, 95 CalTrans, 85 Cambodian-Americans, 65 Cambodians, 82,83 campaign, 84,88,91 candidate, 90,91,93,106,107

171

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQ

172 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index capital, 69 career, 119 Caribbean islands, 134 Carlson, R.O., 2 carpenter, xiii, 60, 63 carpentry, 62 Castells, M , 15, 39,40 category, analytical, 1 Catholic priest, 86 census, 66 center, 1,20,21,23,34,72,90,137,139 CERT, 86,87,91 challenge, 160 Chamber of Commerce, 83 change, 77,137 Chicanos, 143,145 child labor, 47 children, 73 Chinatown, 32, 66, 69, 82 Chinese, 37,82,138,143,161; ChineseAmericans, 146,153 Chisholm, D., 5 church, xiii, 61, 81,86,87,143,149 Cinco de M ayo, 83 Cinel, D., 155 city, xi, see Urban America; xiv, 11,15, 22,24,25,26,27,28,34,38,39,41,43, 47,50,59,64,66,68,71,72,73,75,77, 78,79,83,89,93,98,99,127,139,140, 157,158,160,161; informal, xii, xiii; politics, xiv; American, 2,96; codes, 29; government, 30, 33 City Hall, 75,87, 88,89,92,93,94,95 city-planning, 40-2 Civil Rights Movement, 81 citizen, 76, 85,93; Emergency Relief Team, 80,85; Voluntary Association, 87-8 citizenry, 15 citizenship, 82 clandestinity, 4 class, 19,159,161 clientele, 53, 56,58,62,123 clients, 56, 60,62,64, 65,69, 70, 72, 73 clinic, 123 clique, 10,12,18, 32,94,104,105,107, 116,117,118,119,123,124 club, 107 code switching, 137-8 Columbia, 50 coalition, 80, 83,149 Cobb, Paul, 90

Comeau, Y., 26 Davis, J., 114,115 Committee on Research, xv deatomization, 33 communication, 39,44,65,97,105,109, deconstruction, xi, 2,17,18,21,34, 50, 110, 111, 112,113,114,115,116,119, 97,120,128 121,123,147,151,158; informal, xiii; Decroos, J.R, 155 xiv,zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA XV democracy, 76, 78,96,141,149,154, Communities, 20, 36,41,42,53, 65, 71, 161 75,78,81,83,84,85,88,91,99,125, democratic project, xi; state, xiv 129,130,133,134,141,145,148,148, demography, 79 149,150,152,161; ethnic, 4; minority, design, 68,118 21; urban, 26,32 De Soto, H., 47,49 commuting, xiii development, 79 company, 116,117 developers, 28 compatibility, 144 diagnosis, 123,130 competence, xii, 2,10,91,107 Dickson, W.J., 117 competition, xv, 3, 70,80, 89,93,124, differences, 9 129,158 diffusion, 111, 114 compromises, 97 dimension, hidden, xi, 25,28,115,157; computer, xiii, 38,39,40, 67 formal, xiv, informal, xiv conflict, 124,135,140 diplomacy, 38 congregation, 81 dirty tricks, xiv congressman, 86 disability, 116 conscious, 6 disease, 138 consciousness, 74,97,142 discourse, xiv, 11,45,77 consensus, 79,117,118 discrimination, 18,100,107,116,118, constituency, 80 119,141,144,159 construction, 4,48,50,51; social, 28 dispute, 103 consultants, 67 distance, 72 consumption, 69 distribution, 48 contract, 55, 59, 60,61, 68 diversity, 23 contractor, 60, 63 division, 90 contraction, 4,135 doctor, xiv contribution, hidden, 1 Dolores Street, 43 convention, 73 domain, formal, xii; informal, xii co-optation, 21, 22, 74, 89,91, 93,160 drug, 132,160; trafficking, 14,47; corporation, 8,10,19,101,108,115,116 dealer, 30, 32 core, 19, 21,136 Duhl, L., 155 cost, 72 Durkheim, E., 25, 76,77,121 council, 94 dwellers, xi, see Urban America countries, Third World, 4 court, informal, 5 earthquake, 87 credit transfer, 142,144,145 East Bay, 82 criminality, 12, 39,49 East Bay Forum on Refugee Affairs, 83 crisis, 17,135,137,159 East Bay Vietnamese Association, 83 Cuba, 134 East Bay Asian Local Development, Cuff, D., 68 101 culture, 12, 21, 27,45, 65, 78,108,139, East Coast, 145 143 Economy, 31,32, 33,47,48,49,50,55, 57,66,67, 68, 69,70,71,72,73,74, Dalton M., 6,10,105 130,145,155,158; formal, xi; Daniels, D.H., 155 informal, xi, xii, xiii, xvi, 15, 25; Davies, R., 16 underground, 3, 5, see informal

173

economy; traditional, 3; modern, 3; capitalist, 3; subsistence, 3 economic development, 79 economists, 5 editing, 68 editor, xiii education, 53, 85,117 election, 84,91,98 electricity, 61 electronics, 50 E-mail, xiii emancipation, 1,76 emergency, 91 Emeryville, 62 employment, xii, 59,68 enclave, 4,32,52,70,71,106,125,150 encounters, 147 England, 60 enterprises, 50 entertainment, xiii entity, 76 entrepreneur, 55,56, 69 environment, xii, 21,49,110 equality, 161 ethnicity, xvi, 19,66, 81,107,117,118, 129,131,140,142,143,144,146,147, 150,151,154,161 ethnogenesis, 140,142 ethnomedicine, 17 ethos, informal, xi Etzioni, A., 103 equality, xv; ethnic, xii; gender, xii evolution, 79,137 exchange, 98,101, 111 exegesis, 23, see also hermeneutics expansion, xii, 4,48,51,97,134,135 expenses, 57 expertise, 90,92 facade, xi, xv factory, 72 faculty seminars, xv failure, 3 Fairhurst, G.T., 121 fairness, xv, 99,161 family, 5,59,69,73, 79,93,128,129, 130,131,141; informal, 19 favoritism, 99 feedback, 112,115,152 feminism, 22 Filipinos, 82 finances, 86,91,94

174 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index firm, 9,10,18,19, 25,38,39,53,55,56, 64,66,67,68, 70,103,104,106,107, 108,109,110, 111, 112,114,116,117, 118,119,121,123,144,158; formal, xiii, xiv; modern, xiv Fitzpatrick, P., 2 flea market, 65 flexiplace, 39 folk concepts, 138 formal, 10,11,13,15 formality, 3,9,10,11,12; models of, 2, 7 Foucault, M., 17,42,155 fraternity, 124 freedom, 24, 51, 76,144 freelance, 67 Friedson, E., 124,127,128 friendship, 79 function, regulatory, xiii; safety-valve, xiii funding, 86 gang, 94 garage, 58, 59, 65; sale, 65 gardeners, 33, 35, 52-7,55,56,57 gardening, 70 garment, 66,67 gender, 19,107,117,118,130,153,161 genealogy, 2,10,15- 18 generality, 53 generalist, 63, 80 generation, 79 gentrification, 32, 79 geography, xiii, 7,20,24,28,32,44,54, 66,75 geometry, 36 Germany, 49 godfather, 107 Godfrey, B.J., 155 Goffman, E., 28 goods, ethnic, 71,109 Gottdiener, M., 45 Gould-Martin, K., 138 Gouldner, A.W., 112 gossip, 31, 32,106,107,110, 111, 112, 113,114,116,123,147 government, 22,29,38,41,75, 77,89, 95; officials, 5 Graham, H., 124,131 grapevine, 31,104,109,110,112,113, 114 grassroots, 75, 78, 81,85,92,97,99 gray area, xi, 10

Great Britain, 49 Greer, S., 76,77 Greffe, X., 74 grievance, 88 Gross, B.M., 6 group, 8,18,23,25,40,43,75,76,79,92, 93,103,104,105,108, 111, 117,121, 124,131,142,144,147,153,155,159, 161; informal, xii, xv; ethnic, 49,56, 64,70,78 Guatemala, 38 Gumina, D.P., 155 hackers, 67 Hart, K., 3, 47 Hall, E., 27,28,124 handmade, 72 harassment, 93 Harding, P., 3, 74,159 Harris, Elihu, 83,91 Hayes, EG ., 101 Hayward, 58 headquarters, 56 healing, 123 health, 52,123,124,125,126,127,128, 130,135,138 health care, xiv, 130,131,133 hegemony, xiii, 139,154,161 Henry, S., 1, 7 hermeneutics, 7,24 Herzfeld, M., xvi heterogeneity, 23, 79 hierarchy, 8, 25,90,94,112,131,137, 160,161 hidden transcript, 45 high-tech, 67 historiography, xiii, 10 history, 12,13,15,16, 82 home, 34,56,57, 65,70; terminal, 67; care, 131; treatment, 138 homeless, 32 homework, 66 Homiak, J.P., 138 hospital, xiii, xiv, 72,123,125,126,129, 130,134,160,161 hotel, 72 house, 30,32,35, 38 household, 26,47, 69, 74,131; leaders, 128 housekeeper, 33 housing, 86 husband, 73

lannaccone, L., 105 identity, xiii, 9, 34, 35,37,40,151,155, 160 ideology, 77,90,140,154 Idler, E.D., 126 illegal aliens, 38,47,63, see undocumented immigrants illegality, 73 illnesses, xiv, 123,126,128,130,133, 138; folk, 129,132 image, mental, 2 immigration, 70, 79,82,83 immigrants, xiii, 32, 48 income, xii, 35,57,58,62,67 industry, 14,15,32,38,60,66,67,72,93, 124,158 inequality, 99,100,153,161 informal, 11,13,15,127 informality, xiv, 1, 2,4, 5,6,7, 8,10,11, 12,13,14,22; models of, xiii; raw, xiii, 18-19; cooked, xiii, 18-19; vertical, 3; horizontal, 3 information, xv, 39,40,41, 76,96,97, 106,107,109,110,112,113,114,115, 119,129,146; terminology, 13; technology, 38 informalization, 16 informants, xv, 81, 86 inner-city, 35 Irish, 155 insider trading, 47,158 Institute, of Governmental Studies, xvi; of Urban Studies, University of Winnipeg, xvi institutions, 9,10,11,12,13,14,16, 23, 24,76, 77, 78,81,109,116,124,145, 149,155; formal, 1,6; informal, 1,2, 4, 6, 7, 8; folk, 17 insurance, 56,57,123,124 integration, 21,159 intentionality, 7,20, 32, 72,97,133 interaction, xiv, 27,36, 81,91,120,125, 126,139,141,143,148,152,154 interdependence, 100,120 interest group, 80,84 inter-ethnic relations, 139,150,151 interface, 153 Internal Revenue Service, 59 internationalization, 38 interpretation, xv, 72,113,114 interstices, xii, xiv, 5,17,24,47,66, 71, 73, 75,106,107,110,119,120

175

interstitiality, 103 interview, 10,106 Italians, 155 Japanese, 82 Jenkins R., 3,74,159 Jews, 155 Johnston, J.C, 104,121 junk dealer, 65 junkyard, 31,57,58 Kanter, R.M., 119 kitchen, 95; cabinet, 94 Knoke, D., 92 knowledge, 2,23,41,42,55,63, 74, 89, 108,109,114,115,130,158 labor, 15, 39,51,52,56,57,58, 59, 70 laboratory, 130,146 laborer, 66,67, 68 landlord, 62 landscape, 75 language, 82 Laotians, 82, 83 Latinos, 64,66, 83,84,145,161 Latino Mission District, 83 law, 50 lawyers, 93 leaders, 34,75, 78,79,82, 83, 85, 88,91, 92,93,97,117,148,149; informal, 8, 116 leadership, 81, 86,89,90,101 learning, 108,109 legal, 12,13,14,20,28, 29,66, 70 legal studies, see law, 5 legality, 12 legislation, 15,119 legislators, 96 legitimacy, 96 Levin, L.S., 126 Leyland, R.C., 155 liberation, 76 life, everyday, xi, xv, 1,2,4,9,22,23,24, 25,26,96,116,158; public, 22; private, 22; public, 23 lobbying, 79,90 location, 6, 32,34 Loma Prieta earthquake, 80,85 Long Beach, 82 Loo, CM ., 155 Louisiana, 79,129 lower class, xiii

Index

Index zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA 176 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

loyalty, 94 Lozano, B.A., 67, 70 machine, informal, 79 MacKenzie, S., 46 Madrid, 50 majority, 121,140,141,144,146,149, 151,152,153 mainstream, 151,152 management, 84,109,110,112,113,115, 116,117 manager, 55, 56; bank, 67 managerial operation, xiv maneuvers, xi, 75,95,100,107 manufacturing, 50 mapping, xi, 75 marginalization, 4,13,14,18 Marin County, 61 market, 14,32,57,58,65, 68, 69,70,74, 158 marketing, 48 marketplace, 30,31 M arx, K., 25 Mason, L., 46 masonry, 62 Mauss, M., 24 mayor, xiv, 75, 83,85, 86, 88, 89,91,92, 94,97,98,99,101; city, xii McClymonds Community Board, 80 McDowell, L., 46 McGill University, xvi meanings, 79 mechanic, 31,57-60 Meintel, Deirdre, xvi mediation, 9,71,131 medicine, 123,124,125,126,129,130, 131,132,135,161; folk, 123,125,131, 133,134,135,161 megalopolis, 77 membership, 80,83,86,92,117 merchandise, 65,68,69 merger, 116 Merton, R.K., 121 metropolis, 80; informal, xii Mexican-Americans, 52,126,138,143, 153 M eyrowitz, J., 33 micro-climate, 131 microdiplomacy, 38 microsite, 121 middleman, 33, 88,92 migration, 49,59,160

minister, 86 minority, 4,7,36,118,119,121,125,126, 136,139,140,141,142,144,145,146, 148,149,150,151,152,153,154,155; standards, 7; community, 7,16,22, ethnic, 65,101 Mission District, 126 Mission Economic and Cultural Association, 83 Mission Neighbourhood Center, 83 Mississippi, 79 Mittar, V., 74 model, 4,125,152; cities, 79 modernists, 9 modernity, 1 money, 66,68, 69, 73,86, 99 moonlighting, 47,68 Moore, Sally Falk, xvi morality, 97 motion, 77 motivation, 139,143 multi-ethnic, 21; metropolis, xv; environment, 7,21 multidimensionality, 37 municipal government, 81 municipal politics, xiv NAACP, 79 Narell, J., 155 nation, 68 native Americans, 64,153 Nee, V.G., 155 needs, personal, xv; group, xv neighbourhood, xiv, xv, 4,5, 36,41,49, 53,57,59,61,63,70,76,77,78,79,84, 85,86,89,90,92,93, 95 neighbors, 54,62 nepotism, 99 network, 53,59,63,74,77,79,80,82,83, 89,95,98,99,100, 111, 112,113,114, 116,119,123,127,128,138,142,144, 150,151 newspaper, 61 New York, 32, 50,124,127 Ngin, C , 138 Nicaragua, 38 niches, 2,9,17,18, 32, 33,75,78,131, 148 Nilles, J., 45 Nimitz freeway, 85 numbers game, 34,47, 66 nursery, 55

Oak Center Neighbourhood Association, 80 Oakland, xii, xiii, xvi, 6,29,30,38, 51, 54,58,59,63,65,78,79,83,85,87, 101,112,123; street, 30,32; Redevelopment Agency, 80; School Board, 80,84,85 Oakland City Council, 80 old boy network, xii, xv office, 35, 68; formal, xv opposition, 93 organization, 12,13,14,31, 40, 76, 77, 78, 79,80,81,82,84,85,86,89,93, 103,104,105, 111, 113,114,117,121, 124,128,135,144,160; formal, 3, 5,8, 9; informal, 2,4,7,10; voluntary, 47, 60 origin, 12,15, 69, 77, 78, 79 Orleans, P., 76, 77 'Other', xiv outcome, 73, 81,84,95,99,107 overhead cost, xii, 62, 63, 69

painter, 61 paradiplomacy, 38,92 parks, 30, 32,41 participation, 99 patient, xiv patronage, 124 People's Park, 41 performance, xiv periphery, 2,4,16,19- 22, 34, 72, 73, 136,137, 141; center, xii, 3 personality, 90 Peru, 49 physician, 124,126,127,128,129 place, 7,30,35,37,40,59,63,65, public, 32 planning, 41, 78, 79, 94 plumbing, 62 polarization, 21 pole, 137; of a continuum, xiii, 3,43 police, 155 policy, 38, 40,47, 71, 74, 76, 78, 79, 88, 92,94,99,110,113,114,115,118,149; of inclusion, 14 policy-makers, 41 political informality, 81 political parties, informal, xiv politics, 75-101,155; urban, xvi; informal, xvi

177

population, xii, xiii, xiv, 32, 64, 69, 76, 78, 82,126 Portes, A., 15 portion, 9 position, 9,12,16,18,23,42 positivism, 25,40 post-modernity, 23 poverty, 67,125 power, 11,21,25,40,42,45, 76, 84,87, 88,89,90,98,117,121,139,140,142, 148, 149,151,155,159; site of, 2; disciplinary, 2; control, 2; hidden, 39 practices, 6, 7, 8,9,13,14,15,16,22,23, 24,25,27,36,39,57,66,67,73, 75,81, 82,100,103,118,140,142,146,147; everyday, xi; formal, xi, xiii, 18; hiring, xiv; informal, xi, xii, XIV, 1, 2,18; medical, xiv; training, xiv; urban, xv, 25; folk, 5; neighborhood, 34 preachers, 86 price, 72 privilege, xv, 2 procedure, 75, 78, 95,99,106,107,114 processuality, xiv producer, 55 production, xiii, 3,32,37,47,48,49,71, 75,77,99,104,140 products, 66 professionals, informal, xii profession, 124 profit, 70 progress, 1 progressive senior citizens, 80,84 project, 88 promotion, 124 property, 62 property rights, 35 protest, 81 psychoanalysis, 151 publicity, 53, 54,62 public opinion, 113 Puerto Ricans, 155 quality, 72 racism, 144,147 real estate, 36 reality, informal, xi; hidden, 3; separate, 3; visible, 3 reciprocity, 49,158 recruitment, 10,45,63,69,149,151

178 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index

red tape, xii, xv referrals, 123,127 reflection, 107 refugees, 38 region, front, 33,34, 35, 37,48,101; back, 33, 34, 35,37, 48,101; middle, 34 regulation, 24,49,50,51, 65, 70,119 relation, 7,21,24,25,27,38,50, 75, 77, 146; asymmetric, 4; inter-ethnic, xiv relational links, xi religion, 160,161 remedies, 131,132,134; folk, 126,130, 160 reproduction, 4,18,55,124,131,140, 142,148,149,150,161 resettlement, 79 resistance, 2, 23,44,45,153,155,159, 160 resolution, 103 resources, 98, 99 restaurant, 34, 52,53,65,66 retirement, 115 revolution, definition of, 159 Richmond, 59 Riles, W., 91 ritual, 98 Rolodex, 67 routine, 8,21 routinization, 21,158 Rubenstein, Hymie, xvi rules, 78 rumor, 110,116 Russians, 155

sabbatical leave, xv safety valve, 97,117,132,159 Salvadorean, 38 Sandinistas, 38 San Francisco, xii, xiii, xv, xvi, 6,15,27, 29,30,32, 37,38,39,41,43,51,52,53, 60, 63, 64, 66,67, 68,69,83,101,103, 115,123,126,130,138,143,145,146, 155,157,161 San Francisco Foundation, 86 San Jose, 85 San Leandro, 53,54,58,83 Santamarina, Francisco, xvi satellite, 19, 90 Sauvy, A., 4,14,15, 74

Sayles, L.R., 117 school, xiii; public, 30 Schreiber, J.M., 138 search, 107 secrecy, 18,97 secretary, 68 sector, 8,9,10,11,16,20, 31, 34,36,37, 41,43,44,49,50,52,55,57,59,60,65, 66,69,71,73,81, 89,90,91,92,94, 100,108,135,145,148,152,155; informal, xi, 3 sects, 14 security forces, 140 segregation, 124,150,159 selection, 10,107 self, 35, 37 self-care, 129 self-diagnosis, 127 self-management, 42 self organization, 118 Senior Citizens Council, 80, 85 servants, 73 services, 67,72,73,84,94 sexism, 147 Shankland, Graeme, 5 Sharma, U., 130,131 shops, 51, 64,66,67, 69 shopowner, 69 shopkeepers, 58 sickness, 130 Silicon Valley, 66 Silver, H., 56 similarity, 142,139 Simon, H.A., 103, 111, 113 site, 16, 30,41,44,45,54, 56,57,62,68, 77,139,141,155 situation, 74 slave, 160 Smith, M.E., 47 Snavely, B.K., 121 social scientists, 1,3; acquaintance, 2; construction, 11,12,42; action, 22; production, 28 socialization, 8,42,45,118,129,141, 142,146 society, xii, 12,24,25,49, 76,125,132, 139,149,154,155,159,161; formal, 1, 2; urban, 5,8,9 software, 67 solidarity, 8, 24,49 South America, 140 Southern Pacific Railway, 85

space, 6,12,20,23,25,27- 45,50,59,60, 68,76,120,155,160; informal, xiii; oppositional, 44; personal, 28 Spain, D., 46 specialist, 53,63,80,114 sphere, 131, public, xi; informal, xiii, xv; private, 22 sponsorship, 124,142,144 squatters, 29,30,41; settlement, 31,38 state, 5,13,14,26,39,40,47,64, 70, 74, 75, 76,79,98,99,106,131,158,160, 161; government, 28 status, 7,18, 20,91,113,114,115,148, 150,154; segregated, 8 stereotypes, 147 stock exchange, 158 store, 62, 65, 69, 72 St Patrick's Council, 80 strategy, 93 stratification, 63,99,154 street, 7,35,161; vendor, 30,32, 44,635,71,160,161; building, 40; markets, 64; foods, 71 structure, xi, xiv, 1,3,6, 7,9,12,13,14, 20,21,24,27,28,40,42,74,77,78,79, 80,83, 84, 87,91,104,108,125,129, 135,152,157,161; hidden, 17,24 structuralism, 72 struggle, 155 students, 23,59 subcontract, 66 subculture, 12,42,140 subject, 23, 24,37 subjugated status, xiii; see also status sub-informality, 12 subordinates, 112,114 substitution, 161 subversion, 45,159 success, 3 supply and demand, 31 support, 88, 89,92,131,135,136,137 surgery, 124 survival, 77,92,124 Susto, 126 sweatshops, 32,33,48,51, 66,67,71 symbolism, 158 symptoms, 129 system, 8,11,12,13,14,15,18,20,21, 22,23,25,27,40,50,73,75,76,77,78, 110,118,120,123,125,126,127,130, 131,132,133,135,136,137,138,140, 141,146,149,150,155,157,161;

179

formal, xi, xii, xiv, xv, 1,2,3,4,5,6,7, 9,16; of signification, xii, xiv; support, xiv; informal, xvi, 4,6, 7; alternative, 2; parallel, 3; parasitic, 5; transport, 6,15; legal, 6,9; judicial, 17,62; social, 34; international, 37 tax, xiii, 5,12,26,47,49, 59 teacher, 54 technology, 39,40,140 telephone, xiii, 39,53,54,93,94,98, 107,112,113,118,158 television, 66,67 tests, 10 Texas, 79 theory, 8,151,152 Third World, 29, 31, 38,49, 67 Toffler, A., 45 tools, 53,58,59,68 towns, xii trade, 64 traditions, 84,108,150 training, 54,55,56,108,148 trajectory, 18 transaction, 5,124 transformation, 79 transition, 5,30,59,60, 65,68 transmission, 42,110 transport, 62 transportation, 50; Committee, 85 treatment, 128,130; procedures, xiv Tripp, M.W., 155 troublemakers, 93 typology, 48 typewriter, 68 unconscious, 6,151 underdevelopment, 49 underground, 14,20,49, 73 undocumented immigrants, 134 unemployment, 3,67 unions, 93 United States, 15; Congress, 96 University, 41; Oakland, xv; of California, xv, xvi; du Quebec, xv, xvi; de Montreal, xv, xvi; Boston, xv; Harvard, xv; of Manitoba, xv University-Oakland Metropolitan Forum, xv upward mobility, xii urban America, 75 urbanités, 87

180 zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Index zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Urban League, 8 urban practices, informal, xiii, xvi urban process, xi; formal, xiii urban system, formal xii Uzzel, D., 40 Vallejo, 85 values, 76, 78 Van Dijk, M R, 74 Vietnamese, 83 villain, xii volunteer, 86 votes, 81, 83, 94,97 Walker, Dick, xvi warehouse, 62 Watson, James, xvi Wekerle, G., 46 Weber, M ax, 25 Webster, Theresa, xvi weekend, 59

welfare, 131 West Oakland Development Council, 80 West Oakland Mental Health Board, 80 wife, 73 Wilson, Lionel, 85,91 Wittman, Friedner, xvi Wolf, Jeanne, xvi women, 65, 83,106,109,118,119,130, 131 wordprocessor, 72,116 workplace, xii, 26,35, 38,39, 54, 56 World War II, 78 yard, 55, 56,58 youngsters, 65 Zelinsky, W , 46 Zey-Ferrel, M., Ill, 114 zoning, 35