See discussions, stats, and author profiles for this publication at: https://www.researchgate.

net/publication/357911280

Maximizing minimums: space-utilization in the small homes in the Mumbai

metropolitan region

Article in International Journal of Architectural Research Archnet-IJAR · January 2022

DOI: 10.1108/ARCH-04-2021-0112

CITATION READS
1 1,166

3 authors, including:

Shreyonti Chakraborty
University of Illinois, Urbana-Champaign
1 PUBLICATION 1 CITATION

SEE PROFILE

All content following this page was uploaded by Shreyonti Chakraborty on 01 October 2022.

The user has requested enhancement of the downloaded file.

Thank you for using the Interlibrary Loan Services at the University of Illinois at Urbana-
Champaign Library. This service is free to you. Please ignore any dollar amounts that you
might see on the photocopy cover page.

IS SOMETHING WRONG WITH THIS PHOTOCOPY?

We hope not! But mistakes can happen. If there is a problem with this photocopy contact us and
we will fix it as quickly as possible. Please do not place a new request for the same item.

You may contact us by:

• Email: borrowing@library.illinois.edu
• Phone: (217) 333-0832

Provide the following information:

• The transaction number (TN #) of your request (preferred), or the full article title exactly
as you requested it
• Your full name or NetID
• Describe the problem clearly (i.e. are pages missing, pictures too dark, or is the text
illegible?)

WARNING CONCERNING COPYRIGHT RESTRICTIONS:

The copyright law of the United States (Title 17, United States Code) governs the making of photocopies
or other reproductions of copyrighted material.

Under certain conditions specified in the law, libraries and archives are authorized to furnish a photocopy
or other reproduction. One of these specified conditions is that the photocopy or reproduction is not to be
“used for any purpose other than private study, scholarship, or research.” If a user makes a request for, or
later uses, a photocopy or reproduction for purposes in excess of “fair use,” that user may be liable for
copyright infringement.

This institution reserves the right to refuse to accept a copying order if, in its judgment, fulfillment of the
order would involve violation of copyright law.

See http://www.copyright.gov/ for more information.

 The current issue and full text archive of this journal is available on Emerald Insight at:
https://www.emerald.com/insight/2631-6862.htm

Maximizing minimums: space- Space-

utilization in
utilization in the small homes in the small home
settings
Mumbai metropolitan region
Shreyonti Chakraborty
Architecture, University of Illinois at Urbana-Champaign, Champaign, Illinois, USA
Received 23 April 2021
Alexandra Staub Revised 29 September 2021
Architecture, Penn State University Park, University Park, Pennsylvania, USA, and 28 November 2021
20 December 2021
Christina Bollo Accepted 1 January 2022

Architecture, University of Illinois at Urbana-Champaign, Champaign, Illinois, USA

Abstract
Purpose – Many people living in and around Mumbai face space scarcity within homes, an issue exacerbated
for families with members having differing and conflicting spatial requirements. By investigating how families
live in existing residential environments, planners and designers can enable families to cope better with space
scarcity.
Design/methodology/approach – A case study approach is used to examine four small home settings in
and around Mumbai, followed by a thematic analysis of the data collected.
Findings – This study contributes a framework for studying small homes in and around Mumbai wherein
they are characterized by five categories of information: internal zoning pattern, expansion pattern, spatial
specialization and stratification pattern, outdoor space appropriation pattern and household adjustment
pattern. Analysis through this framework gives insight into how small home settings are used by residents.
Originality/value – To the best of the authors’ knowledge, this is the first study offering in-depth
comparative analysis of small home typologies in India.
Keywords Case study, Environmental psychology, Mumbai, Family housing adjustment, Microapartments,
Space scarcity
Paper type Research paper

Introduction
People living in and around Mumbai suffer from space scarcity and overcrowding in homes.
This is additionally challenging for families due to the varying and potentially conflicting
spatial needs of different family members. The issue of residential space scarcity is not
necessarily limited to any particular building typology or socioeconomic group in India, but
Mumbai and environs provide a well-positioned context to study this issue.
This explorative study seeks to develop a holistic perspective of family living in severe
residential space scarcity; one can draw upon this perspective to inform future homes with
space scarcity. Using three settings from Mumbai and one from neighboring Navi Mumbai as
case studies, this study identifies both the overarching patterns common to all the typologies
studied and the influence of each typology on the behaviors and attitudes of occupant
families.

Research question
What methods do families use to cope with space scarcity in small homes in and around
Mumbai? How do these methods vary across small home type?

Theoretical background Archnet-IJAR: International

Journal of Architectural Research
This study is rooted in three categories of scholarship: environment-behavior theories on © Emerald Publishing Limited
2631-6862
minimum residential space requirements; analysis of the common modes of housing DOI 10.1108/ARCH-04-2021-0112
ARCH production and empirical research on housing satisfaction and family housing adjustment.
Much of the scholarship shows a gap in research in this field in the Global South,
specifically India.

Minimum residential space requirements of human beings

How humans situate and orient themselves with respect to each other is regulated by rules of
interpersonal spacing. Hall (1966) suggests that interpersonal spacing is in large part
culturally determined. Hall classifies the cultures broadly as “contact” and “non-contact”,
defining contact cultures as those that are accepting of regular close interactions with
individuals maintaining a strong sense of self even in closeness, proximity to others. This
suggests that some cultures (and these cultures could be at the “neighborhood” or “local”
level, too) may be more accepting of residential space scarcity than others.
Historical studies give clues to the minimum spatial requirements of human beings in
residential environments, with habitable spaces less than 100 square feet per person being
linked to psychological distress across many cultures (Hall, 1966; Rohner, 1974). Space
scarcity is linked to environmental stress, particularly noise and crowding. When
experienced chronically, these stressors elevate physiological indicators of stress, such as
adrenaline, cortisol and blood pressure, as well as psychological indicators of stress, such as
negative affect and annoyance. Not having any control over the environmental stressors
further exacerbates their effects (Bilotta et al., 2018).
Spatial layouts have an impact, too. Greater visual privacy and uncluttered floor spaces
mitigate the sensory overload and psychological distress associated with small spaces
(Rohner, 1974). Psychological distress may also be a function of “depth” in a residence (Evans
et al., 1996), where depth is the number of spaces one must pass through in order to get from
one point in a structure to one or more specific termini, and greater depth mitigates the effects
of absolute constraints. Altaş and Ozsoy (1998) linked residential satisfaction to space
consciousness, which is the function of the set of variables such as size, shape, solid and void
ratio, furniture type, color, etc. in a dwelling. There is a complex relation between the
perceived space and real dwelling size in terms of space organization. The proper
organization of rooms can encourage flexible use or adaptation in a dwelling. This suggests
that occupants can mitigate some negative effects of space by organizing how they occupy
space in their homes (Raviz et al., 2015; Ellisa, 2016; Gelil, 2011).
Graham et al. (2015) further identifies six broad ambiance dimensions in residential rooms:
restoration, kinship, storage, stimulation, intimacy, productivity. This framework helps
identify what a room offers an occupant psychologically: while one room could be designated
to be high in productivity, another can be designated to be high in restoration. Having a
diverse mix of ambiances in a home is important to support various psychological states.
Though valuable as a starting point, existing scholarship on human spatial behavior has
certain limitations. There has been diminishing interest in the issue of space scarcity in
residential environments since the 1970s, and existing studies provide little insight into the
context of the Global South, or specifically India. The study presented in this paper provides
much needed evidence from the contemporary Indian context.

Definition of a “small” home in the Indian context

For a home to be classified as “small,” it must fail to meet the minimum size requirements as
stipulated by architectural and building standards in India. The National Building Code
stipulates a minimum plot size (land area) is 30 square meters for detached residential
buildings and 15 square meters for clustered residential buildings for low-income groups. It
also stipulates that “every dwelling unit to should have at least two habitable rooms, with
[the] first room not being less than 9.5 square meters and [the] second room no less than 6.5
square meters. Even if [a] one room house is provided initially it should be capable of adding a Space-
new second room in [the] future.” In cities, the minimum stipulated density is 125 dwelling utilization in
units per hectare (Bureau of Indian Standards, 2016). However, these minimums will serve a
family of three differently from a family of six; they may be adequate for a smaller low-income
small home
family but extremely constrained for a bigger one, especially if the family accommodates settings
varying age groups and levels of physical ability.
The “Pradhan Mantri Awas Yojana,” a government program aimed at housing provision,
does specify the beneficiaries of homes built under the stipulations of the program, namely, a
family consisting of a husband and wife and unmarried children. The EWS (economically
weaker section) group is assigned the smallest homes under the program with a maximum
area of 30 square meters. The LIG (low-income) residents are assigned homes with a
maximum area of 60 square meters (Ministry of Housing and Urban Poverty Alleviation,
2017; Padora, 2016).
According to the 2011 Census of India, 75% of Indians—with an average household size of
4.8 persons—live in two rooms or less. Maharashtra (where Mumbai and Navi Mumbai are
located) has 53% of its population living in one room or less, majority of which are “urban
slum units” in and around Mumbai. The average size and condition of rooms is not reported in
the Census (Census of India, 2014).
Thus, the criteria for defining a “small home” are ambiguous. For the purposes of this
study, the 30 square meter area (excluding walls and structural members) assigned to EWS
group was considered too small for an average-sized household based on literature reviews
(Hall, 1966; Rohner, 1974). Therefore, in this study, homes were categorized as “small” homes
if, for an average-sized household, they had either (1) less than two habitable rooms for a
household of more than two persons with a room size of less than 9.5 square meters (based on
National Building Code stipulations) or (2) at least two habitable rooms with an area of less
than 60 square meters (the standard for LIG homes under the Pradhan Mantri Awas Yojana
program).

Modes of housing production

Small homes in and around Mumbai exist in neighborhoods of similar homes, creating what
Rapoport has called a “setting” (2000). A setting is a milieu which defines a situation and
reminds occupants of appropriate social rules in that setting, making co-habitation possible
(Rapoport, 2000). Settings are culturally variable; in fact, many authors suggest that culture is
the most relevant influencer of housing typology (Kent, 1984; Rapoport, 2000; Jabareen, 2005).
Generally, culture gives rise to two categories of housing production: “masscult” (derived
from “mass culture”) and self-building. Masscult housing is produced by private or
government bodies and accepted by the population (Amos, 1969). Masscult houses can be
rented or purchased, but they are not built by their inhabitants, nor are they designed by
notable architects (Amos, 1969). In contrast to masscult housing, self-building (also referred
to as incremental housing, self-build and home improvement) is a process in which the
homeowner or occupant is closely involved in the building, extending or refurbishing of their
housing unit, by laboring themselves or by contracting a builder under close supervision
(Mehra et al., 2015).
This study will examine sites in two settings composed primarily of self-built housing,
Asalpha and Khar Danda Koliwada, and two composed primarily of masscult housing,
Thakurdwar and Koperkhairane Gaothan.

Housing satisfaction and family housing adjustment

Multiple factors have been shown to contribute to housing satisfaction. However, researchers
agree that occupants’ individual or cultural characteristics constantly affect their subjective
ARCH perception of their physical environment (Francescato et al., 1974; Marans and
Spreckelmeyer, 1981; Altaş and Ozsoy, 1998).
Morris and Winter (1975) propose a framework to examine a family’s response in terms of
accepting or rejecting its home in which a family’s adaptation is a continual process requiring
both a psychological acceptance of its spatial circumstances and the ability to modify these
circumstances over time in an attempt to bring them closer to the ideal. They argue that
families evaluate their homes on the basis of the family and cultural norms. Thus, housing
that may report high satisfaction in one sociocultural environment may be deemed unsuitable
in another. When a family faces constraints over the course of its life cycle, it readjusts to the
situation by one of three means, namely, (1) residential mobility – relatively short distance
movement, usually within a single labor market and a single housing market; (2) residential
adaptation – modification of an existing home to better fit the perceived needs of the occupant
or (3) family adaptation – actions a family may take to alter its composition to fit the current or
expected housing. The exact path chosen for environmental optimization can vary, but the
goal remains to achieve “congruence” between the occupant’s needs and environment
(Baldassare, 1978; Muchinsky and Monahan, 1987).

Study methodology
Case selection
Four cases were selected using the criteria of typology, mode of production, informant
accessibility and representation of commonly found small home settings: Khar Danda
Koliwada (a Mumbai fishing village), Asalpha (a Mumbai slum), Thakurdwar (a Mumbai
neighborhood of chawls) and Koperkhairane Gaothan (a Navi Mumbai gaothan) (Figure 1).
Each case, or site, has a characteristic degree of occupants’ involvement in building or
modifying their home. The four sites are either habituated to outsiders’ presence through
media coverage or were accessible through personal contacts of the author. This increased
the chances of a successful interview and observation process.
The four sites are described below:
(1) Asalpha consists of slum housing. Seven small homes were studied in Asalpha. On the
scale of self-built to masscult (Figure 1), Asalpha is ranked as the “most” self-built as
the design of the individual homes is not governed by housing or building
regulations, the influence of developers or engineers or architects or any common
cultural background of the neighborhood’s inhabitants. These homes exhibit the
largest variety of self-built homes observed in this study, a result of inhabitants of
every unit being able to making their own decisions.
(2) Khar Danda Koliwada is a fishing village. Five small homes were studied in Khar
Danda Koliwada. It is ranked less self-built than Asalpha (Figure 1) as despite the
design of the individual homes not being governed by housing or building regulations
or the influence of developers or engineers or architects, there may be influences from
the common cultural origins of the neighborhood’s inhabitants. The dwellings studied
still exhibit a large variety of self-built homes observed in terms of design.
(3) Thakurdwar is an area of Mumbai with many chawls. Five small homes were studied
in three different chawls (Atmaram Chawl, LIC Goans’ colony and Vasudev building)
in Thakurdwar. It is ranked “more masscult” than Khar Danda Koliwada (Figure 1) as
the design of the individual homes may be influenced by government or private
bodies who originally undertook construction.
(4) Koperkhairane Gaothan consists of gaothan homes, that is, multistory apartment
blocks built on land originally owned by villagers but slowly appropriated by
builders during urbanization. Five small homes in different buildings were studied in
 Space-
utilization in
small home
settings

Figure 1.
Figure showing
placement of selected
sites on (1) a NTS map
and (2) a scale of self-
built to masscult

Koperkhairane Gaothan. Koperkhairane is the “most masscult” out of the four sites
(Figure 1). Even though at this point in time, it is not possible to determine to what
extent the design of individual homes is governed by housing and building
regulations (currently, regulations are being modified to be more inclusive of gaothan
housing), there is a major influence from the builders that undertake construction,
and new migrants typically do not engage in the design, construction or modification
of their homes.
Data were obtained during site visits in July 2018. Five to seven dwellings were studied at
each site. The unit of analysis at each site is the dwelling. A family member at each dwelling
led a tour, during which the homes were photographed and their floor plans and section
ARCH details sketched. The second step was interacting with members of the occupant family
present at home at the time through an unstructured interview, starting with the question of
how long they have occupied their current residence and then allowing them to describe
without interruption both their home as well as their experiences in it. Typically, middle-aged
men and women participated most actively in the interviews, with children being the least
likely to respond. Each family was interviewed separately to prevent them from influencing
each other’s answers and to ensure people talk about their own dwelling rather than discuss
the neighborhood-level residential environment. Paraphrased notes were taken in English for
simplicity, and notable quotes were transcribed verbatim and then translated to English.
Data collection was followed by thematic analysis with a reflexive approach (Braun and
Clarke, 2006). The first step was data reduction (after Coffey and Atkinson, 1996) during
which a descriptive framework was created based on the following theme prevalence: it was
observed that despite the variety in sites and the prevention of families influencing each other
during the interview process, interview participants consistently spoke about five aspects
related to their experiences in their residential environment. They are as follows:
(1) Internal zoning pattern: How activities and objects are positioned and oriented in a
home.
(2) Expansion patterns: How the homes expanded over time.
(3) Spatial specialization and stratification patterns: How spaces in the homes were
specialized to a specific activity and person, and if and how vertical space was used
and specialized in the home.
(4) Outdoor space appropriation patterns: How occupant families in the neighborhood
used outdoor spaces in the vicinity of their homes.
(5) Family housing adjustment patterns, that is, what measures families took to respond
to the limitations posed by their small homes.
The visual data served as a record of the physical features of each dwelling and helped
connect the interview data back to their respective dwelling. This helped study variations
across dwellings within each site, a useful step as interview participants were not always able
to reflect on how their dwelling compared to their neighbors, or how their dwelling fit into the
overall patterns of the site. The visual data were also used to create graphical representations
of the sites and dwellings.
After within-case analysis on the basis of the framework, cross-case analysis was done
(Creswell and Poth, 2016). This step ascertained general features common to small homes in
and around Mumbai and helped theorize the potential causes of differences between sites.

Findings
In the following section, the findings are presented in two parts. In the first, findings for each
individual site are presented through the framework noted above. This part focuses on the
objective physical characteristics of the dwellings at each site, plus the commonly reported
housing adjustment methods adopted by occupants. In part two, findings from interviews
with the occupants which do not fit into the aforementioned framework are presented. This
part focuses on more subjective aspects of living in small homes, such as occupants’ attitudes
towards their housing.
Part one: findings by pattern
Internal zoning patterns. In Asalpha, Khar Danda Koliwada and Thakurdwar, the homes
exhibited a zonal gradation starting with a “living space” close to the entrance which leads to
a “working space” farther into the home. The living space supports sleep, study, interaction,
eating and the welcoming of guests, while the working space supports activities like cooking, Space-
bathing, washing clothes and utensils. The latter set of activities were expressed as more utilization in
“private” for the occupants (Figures 2–4).
small home
settings

Figure 2.
Internal zoning layout
in 6 out of 7 homes in
Asalpha (left) and 1
home in Asalpha
showing variation
in the

Figure 3.
Internal zoning pattern
observed in homes of
Khar Danda
Koliwada (NTS)
ARCH

Figure 4.
Internal zoning pattern
observed in the chawls
of Thakurdwar before
modification (left)
and after

Some differences between these sites exist. Overall, Khar Danda Koliwada had the most
consistent internal zoning pattern across all the homes studied, with similar furniture
arrangements as well (Figure 3). In Thakurdwar, a multipurpose living space is sometimes
modified by building a wall to create two separate spaces, with one of them becoming the
private bedroom (Figure 4).
In Koperkhairane Gaothan, four out of five dwellings were 1-RK units and one was a 3-RK
unit (“RK” stands for “room-kitchen” in the local parlance). In 1 RKs, there is one room serving
as a living room as well as bedroom, and specialized zones are less obviously defined.
Occupants cannot locate their living spaces, toilets and kitchens as per their preferences, as
these facilities come with the house. The relative locations of the multipurpose room and the
toilet and kitchen vary across all homes, but one typically enters the multipurpose room with
one exception wherein one enters first into the kitchen (Figure 5).

Expansion patterns
In Asalpha, expansion happens vertically in one of the following ways:
(1) Loft expansion, wherein the house expands vertically to include a loft used as storage,
leaving the lower level free for more movement (Figure 6).

Figure 5.
Internal zoning pattern
observed in 4 out of 5
homes (left) and the 1
remaining home
(right) in
 (2) Floor expansion, wherein the house expands vertically to include an additional floor Space-
used as habitable space (Figure 6). utilization in
In Khar Danda Koliwada, floor expansion takes place generally in three stages with a few small home
homes planning a fourth stage. In the first stage, the family builds a small undivided settings
multipurpose enclosure. In the second, the kitchen and bathroom are built and separated from
the rest of the house. In the third, more space is added, typically by adding stairs to a new
second floor, to accommodate the family’s growing numbers and needs. In the occasional
fourth stage, families aspire to add another floor (Figure 7).
In Thakurdwar, chawls provide limited flexibility for residents to modify their homes over
time, although some efforts to expand exist. Expansion was observed in only one out of five

Figure 6.
(1) Two examples of
loft expansion
observed in homes of
Asalpha; (2) Two
examples of floor
expansion

Figure 7.
(1) Expansion pattern
and (2) Spatial
specialization and
stratification pattern in
Khar Danda Koliwada
ARCH homes studied in Thakurdwar. Here, the family had expanded by appropriating the adjacent
unit. The original unit was used as a multipurpose living space and the new unit as a bedroom
(Figure 8).
In Koperkhairance Gaothan, the buildings’ architectural design is not conducive to growth
or modification; therefore, no significant expansion pattern was observed. Architecturally,
the factors inhibiting expansion are as follows:
(1) Building additional floors is impossible in the apartment style layout of the building.
(2) Low ceiling heights (max. 10’) make it impossible to construct habitable lofts. Some
built-in storage lofts are provided, but tenants did not construct additional lofts.
(3) Tenements are often built on narrow strips of land, allowing for one tenement to exist
per floor. This makes it impossible for the occupants to acquire an adjacent unit.

Spatial specialization and stratification pattern

In Asalpha and Khar Danda Koliwada, spatial specialization does not occur as rooms
separated by function (example, living room, bedroom etc.). Instead, three specialized zones
emerge (Figures 6 and 7) as follows:
(1) Active familial zone, described as “active” for being in use throughout the day and
seeing high levels of movement and noise, interaction and activity, and “familial” for
being a common ground for all family members, often at the same time.
(2) Restricted private zone, described as “passive” for being unoccupied and unused for
most of the day, and only occupied when occupants need time alone or undisturbed,
and “restricted” as it is usually not accessed by more than one or two family members
at a time and is understood to demand higher levels of privacy.
(3) Service zone used mainly for doing chores related to food preparation, washing
clothes and utensils, and bathing.
These zones are all multipurpose spaces. It is the behavioral code followed by family
members that defines each zone (Figures 6 and 7). Additionally, in Asalpha, if a house follows
the loft expansion pattern, the lower level contains the active familial zone and service zone,
and the upper level contains storage. If a house follows the floor expansion pattern, the lower

Figure 8.
(1) Expansion observed
in a home in LIC Goans’
colony, a chawl in
Thakurdwar; (2)
Examples of spatial
specialization in
chawls of Thakurdwar
ground floor level contains the active familial zone and service zone, and the upper level Space-
contains the restricted private zone (Figure 6). The pattern is similar for the floor expansion utilization in
pattern observed in Khar Danda Koliwada (Figure 7).
In Thakurdwar, if there is only one habitable room, then no spatial specialization is seen;
small home
the room is multipurpose. If there is more than one room, then levels of privacy and activity settings
vary among the rooms, with rooms further away from the main entrance being quieter and
more private (Figure 8). The types of behavior in the additional rooms are the same as the
rules governing behavior in active familial zone and restricted private zones in Khar Danda
Koliwada and Asalpha.
In Koperkhairane Gaothan, four out of five homes studied had a toilet, a kitchen and a
multipurpose room. Because no rooms have been added to or carved out of existing rooms,
occupants did not have spaces separated by walls nor did they develop separate uses and
behavioral codes for such spaces. Therefore, no notable spatial specialization or stratification
was seen.

Outdoor space appropriation patterns

In Asalpha, there are two types of streets appropriated: the double-loaded street between two
rows of homes and the single-loaded street overlooking the rest of the neighborhood. The
double loaded streets are narrow and poorly lit. They are cramped and uncomfortable spaces
to sit in or move through, but still host neighborly interactions and are used to store objects.
Single-loaded streets are narrow, but they are fully exposed to light and give a good view of
the city, especially as one goes higher up Asalpha hill. They facilitate movement, recreation
and interaction (Plate 1).
In Khar Danda Koliwada, finger-like streets arise from the central spine of the
neighborhood, which is a canal. Houses line both sides of the street, facing each other. The
streets are narrow and do not allow much appropriation of outdoor space. At most, only
enough space for a water storage drum is appropriated by a given family, which is about two
to two and a half feet from the street-facing outer wall of the house (Figure 9). Every house is
connected to the back alley (which is much narrower than the streets), where fishing nets,
baskets, etc. are kept and dried (Figure 9).
In Thakurdwar, the appropriation of corridors (whether double loaded or single loaded),
galleries and porches for personal use is a distinguishing characteristic of the chawls. Spatial

Plate 1.
(1) Doubly-loaded
street in Asalpha; (2)
Singly-loaded street in
Asalpha
ARCH

Figure 9.
Schematic
representation of
appropriation of
outdoor spaces in Khar
Danda Koliwada (NTS)

elements, like the exposed verandahs, the central courtyard and spacious stairways of the
chawls, allow for increased social contact between chawl residents. This increased social
contact induced by spatial design fosters social exchanges between the neighbors (Parkar,
2014). Small items can be stored in these outdoor spaces, such as plastic water containers,
bicycles and shoe racks. Using corridor spaces for drying clothes is common, although
washing of clothes takes place in the bathroom (usually not part of the original construction)
or corridors located away from the street front. Additionally, the use of outdoor spaces varies
from chawl to chawl. In Atmaram chawl, at least one resident from most of the units was seen
in the street-facing gallery, merely looking outside or interacting with neighbors.
Beautification of these spaces was done by means of decorative front doors, plants and
Christmas decorations hung from the rafters. In LIC Goan’s Colony, the street between the
two linear housing units serves as a vibrant social space. Bicycles and motorcycles were
parked in this street, and water containers and children’s toys were stored here. Most units
kept their doors open, which shows trust between neighbors (Figure 10). In Vasudev building,
there was less interaction via corridors and porches observed amongst neighbors. This
showed that outdoor space appropriation was also dependent on the culture specific to the
building.
In Koperkhairane Gaothan, similar to most apartment buildings, residents of the
tenements do not occupy the lobby or corridor space in front of the entrance to their unit.
At most, shoe racks, hooks for umbrellas and maybe a child’s bicycle are stashed in this
space. Therefore, no significant appropriation of outdoor spaces was observed.
Family housing adjustment pattern Space-
At Asalpha, the family housing adjustment method is residential adaptation. During utilization in
discussions, no intention to move was expressed by any family; instead, they reported
planning additions and alterations to their current homes.
small home
The family housing adjustment method at Khar Danda is residential adaptation. No settings
family reported an intention of moving and instead complained about the inability to expand
their current home further by one more floor.
At Thakurdwar, the most common family housing adjustment method is residential
mobility. All families reported that a few members have moved away favoring more spacious
quarters in the suburbs. In every family, interviewees reported having closer ties to old
neighbors who have since been replaced and therefore a dwindling sense of belonging to
their chawl.
At Koperkhairane Gaothan, the homes are not easily modified or expanded as per the
needs of the family. The primary family housing adjustment method is residential mobility.
All the families are comparatively recent migrants to the city (having lived there less than
10 years) and rent their housing. Occupants from two of the homes studied were observed to
be inquiring about other properties in the neighborhood available at comparable prices.
Part two: additional findings. This section presents findings related to the nuances of
housing satisfaction in relation to a family’s ability to adjust to their homes. This adjustment
is typically encouraged or limited by the small home typology.
Housing satisfaction and family housing adjustment. Initially, occupant families seemed
accustomed to their settings and did not report concerns about their current residence.
However, as the interviews progressed, they did report issues. The following section details
commonly reported shortcomings of the dwellings.
In Asalpha, where the primary family housing adjustment method was residential
adaptation, the primary source of dissatisfaction in five out of seven homes was an inability
to build better sanitation infrastructure for themselves at their current residence. In Khar
Danda Koliwada, where the primary family housing adjustment method was housing
adaptation, the primary source of dissatisfaction in four out of five homes was an inability to
expand vertically by one more floor (as it is forbidden by the landowners). Both cases suggest
residents’ commitment to a long-term housing adaptation process.
In Thakurdwar, the primary family housing adjustment method was residential mobility. At
all three chawls, there are high rates of family fragmentation due to members away citing job-
related reasons. Families stay in the chawls “till they are able to” (typically this refers to the
family size expanding unacceptably beyond the capacity of the home) and then move elsewhere.
In Koperkhairane Gxaothan, the primary family housing adjustment method was
residential mobility. No specific dissatisfaction was reported by any of the residents.
However, two out of five households expressed wanting to move soon to another residence in

Figure 10.
(1) Outdoor space use
as observed in the
corridors overlooking
the street in Atmaram
chawl; (2) Outdoor
space use as observed
in LIC Goans’ Colony
ARCH a comparable price range, and the broker reported such moves to be very common. Residents
seek upgrades in every area (access to a balcony, an extra room, separate bath and toilet) until
they can no longer afford upgrades, without having specific priorities.
Residential space scarcity examined in this study demanded cooperation among family
members, a phenomenon noted as “family adaptation.” Participants did not directly report
family adaptation. Instead, they elaborated on where different family members perform
different activities, suggesting a behavioral code set in place to ensure cooperation. Although
the participants were aware of homes that have separate rooms for different family members
and activities, they expressed no aspiration to live in such a home, fully accepting the
multipurpose nature of habitable rooms of their own homes.
Levels of residential satisfaction will invariably decrease over time due to changes in
society and technology, as well as family composition and financial standing of the
occupants, as families aspire for “better” housing (Altaş and Ozsoy, 1998). There is some
suggestion that flexibility or adaptability of the space, on its own, is a positive factor in
user satisfaction regardless of the current state of the space. The data collected for this
study suggest that residents in the more flexible, self-built homes (in Khar Danda
Koliwada and Asalpha) are not dissatisfied in a way that leads them to seek residential
mobility, opting instead for long-term efforts at residential adaptation. Residents of less
flexible masscult homes (in Thakurdwar and Koperkhairane), on the other hand, showed
dissatisfaction that eventually led to residents using residential mobility to satisfy their
housing needs.
Impact of occupants’ involvement in building or modifying home. Patterns in family
housing adjustment method, zoning, expansion, spatial specialization and stratification
and outdoor space appropriation are related to whether occupant families can make
changes to their domestic environment. This, in turn, is linked to how involved they are in
the construction, renovations and modifications of their homes. In this study, the more
“self-built” homes gave greater opportunity for occupant families to adapt their homes to
their needs, and more “masscult” homes limited such opportunities as units are not easily
changeable.
The variations observed on the scale of self-built to masscult are as follows:
(1) The more a dwelling type can be considered self-built, the higher the likelihood of its
occupants opting for residential adaptation. The more a dwelling type can be
considered masscult, the higher the likelihood of its occupants opting for residential
mobility.
(2) Regardless of whether the dwelling type is self-built or masscult, internal zoning
patterns remain similar.
(3) When moving from the self-built end of the spectrum to the masscult end of the
spectrum, expansion through occupants becomes less likely, and fewer types of
expansion are observed.
(4) Both spatial specialization and stratification are higher in self-built homes as they
usually begin with ground floor units and expand vertically.
(5) Appropriation of outdoor space becomes less common as a dwelling type moves from
the self-built end of the spectrum to the masscult end.
It must be acknowledged that the small homes in the self-built sites had poorer infrastructural
conditions. Most notably, none of the homes had adequate toilets or access to light and
ventilation, and the shared circulation spaces were unsafe and unkept. These infrastructural
conditions were notably better in the masscult homes. Also, chawls allowed, at least in theory,
a sense of solidarity to develop within the chawl group, which aided future attempts to Space-
redevelop their home: in LIC Goans’ colony, the occupants were in the planning stage of utilization in
redeveloping their chawl, a process undertaken as a group with an appointed leader. In self-
built sites like Asalpha and Khar Danda Koliwada, where every family is only responsible for
small home
their own home, such group formation is difficult. settings

Discussion
This study raises four concerns regarding the future of small homes in and around Mumbai
or in other growing cities in India and beyond. First, with ever increasing land cost and space
scarcity, architects, planners and policymakers should give due consideration to ensuring
convenience and comfort to family occupants in spite of the low square footage available.
There is a growing trend of microapartments in the city, which marketers claim will give
occupants modern comforts within the confines of areas less than 200 sq. ft. As of 2018, 59
such microapartment projects were underway in Mumbai, with some projects having
multiple towers with up to 2,500 units as well as amenities such as swimming pools,
clubhouses, gyms, etc. in the residential complex making up for the lack of space (Das, 2018).
The design of such housing units seems to have little consideration for how the occupants will
use them. This study gives us more data to predict the usability of future homes with low
square footage and help determine the role the user plays the in the outcome of long-term
inhabitation.
Second, this study is consistent with the previous literature on the need for depth and
visual privacy in mediating the negative effects of space scarcity (Rohner, 1974; Evans et al.,
1996), as well as the existence and maintenance of ambiance dimensions (Graham et al., 2015).
Based on the occupant families’ indifference to attaining functionally specific rooms, one can
detect a culture wherein space sharing and the multipurpose nature of rooms is accepted and
not seen as an immediate concern or problem. This does not mean, however, that there are no
attempts to mitigate sensory overload: families often develop “zones” in their small homes,
each with a specific behavioral code family members adopt to separate behaviors requiring
different levels of intrapersonal interaction, noise and physical movement, which is also
consistent with previous studies (Ellisa, 2016). These zones also have a hierarchy which
reinforces depth in the dwelling. Families’ ability to create these zones must be maintained.
The families which chose to build lofts used them for storage so as to create an uncluttered
floor space to perform daily activities. This indicates a tendency of some families to use
vertical space to create a living space with fewer obstructions.
Third, all the units studied were part of low- or mid-rise developments. None were located
in a building higher than four stories. Low- and mid-rise developments ensure better
connection with the surrounding outdoor environments without the need for elevators. They
also allow occupants to engage with street level activities with greater ease. In the fishing
village, slum and gaothan areas, one could easily come out of one’s unit and engage with the
neighborhood. The same was true of chawls, with the additional benefit of balconies and
porches in two out of three cases. Easy access to the outdoors could potentially alleviate some
of the stress of being confined in a small space. If high-rise microapartment buildings are
constructed, especially without balconies or verandahs, this aspect of comfort under
residential space scarcity would be compromised.
Finally, this study highlights the need for flexibility in residential space. Occupants need
some ability to modify their residences to suit their preferences. However, microapartment
units shown in today’s marketing media do not typically offer this flexibility. They have
“areas” (not only kitchen and bathrooms but also “sleeping areas” and “storage areas”) fixed
by means of built-in lofts and furniture. As this study has shown, such inflexibility could
ARCH prevent long-term residential and family adaptation in the home and therefore lead occupants
to seek residential mobility.
In addition, the findings related to occupant involvement in building and modifying the
home call for revisiting self-building as an accepted and promoted mechanism of housing
development. It appears that the difference lies in the “sweat equity” one invests in their
home: the higher the investment, the greater the attachment to one’s home. However,
considering the self-built sites in this study also had poorer quality of infrastructure
(sanitation, circulation spaces and light and ventilation availability), there may be a need to
consider bringing in user participation to improve and modify the conditions in masscult
homes, a tactic that has been employed with some success in some Mumbai projects. In
general, user participation can be deployed to make the conditions in self-built small home
sites more livable (Nair and Lahoti, 2019).

Conclusion
Since residential space scarcity is a common and persistent issue in and around Mumbai, it is
important to study how families respond to and cope with it. This study provides a
framework for studying small homes in and around Mumbai in which such homes can be
characterized by the following five categories of information: internal zoning pattern,
expansion pattern, spatial specialization and stratification pattern, outdoor space
appropriation pattern and household adjustment pattern. These categories give insight
into how the settlement behaves at a unit level. Further study is needed to see how applicable
this framework could be to small home typologies in other locations. The differences found in
common causes of dissatisfaction with one’s home at each site demonstrate the need for
context-specificity in studying or making policy for small homes so that all potential issues
can be addressed. This study also presents empirical evidence indicating the importance of
understanding occupant agency and the dwelling’s modifiability in response to occupants’
needs when designing small homes, so as to create housing that will serve its residents in the
long term. Design and policy decisions need to consider occupant behavior in small homes
and to allow for occupants modifying their homes to fit their needs.
Certain limitations of this study must be acknowledged. The building code compliances of
the dwellings were not checked; presumably, if the dwellings were to comply with code,
significant changes would become necessary in the interest of occupant well-being, which
may not currently be prioritized by the occupants themselves. The data only reflect the
perspective of occupant families; experts, such as planners, architects or builders, were not
consulted. Such consultations may reveal more shortcomings of small homes (e.g. health and
safety issues) and necessary shifts away from them that occupant families may not be
qualified to judge.
Further studies are needed to investigate how the housing analyzed here might conflict
with building codes and public policy, as well as the economics of housing in a metropolis, like
Mumbai. This will ensure that future design and policy decisions can balance an
acknowledgment of how families adjust to their small homes with the constraints related
to public health, safety, security, accessibility and economics that sometimes lead
government and private housing providers to build homes that seem ill-suited to allowing
such adjustments.

References
€
Altaş, N.E. and Ozsoy, A. (1998), “Spatial adaptability and flexibility as parameters of user
satisfaction for quality housing”, Building and Environment, Vol. 33 No. 5, pp. 315-323.
Amos, R. (1969), House Form and Culture, Prentice Hall, Englewood Cliffs, NJ.
Baldassare, M. (1978), “Human spatial behavior”, Annual Review of Sociology, Vol. 4 No. 1, pp. 29-56. Space-
Bilotta, E., Vaid, U. and Evans, G.W. (2018), “Environmental stress”, in Steg, L., van den Berg, A.E. utilization in
and de Groot, J.L.M. (Eds), Environmental Psychology, 2nd ed., Wiley, London.
small home
Braun, V. and Clarke, V. (2006), “Using thematic analysis in psychology”, Qualitative Research in settings
Psychology, Vol. 3 No. 2, pp. 77-101.
Bureau of Indian Standards (2016), National building code, available at: https://pusprajbhatt.files.
wordpress.com/2017/12/india-national-building-code-nbc-2016-vol-1.pdf (accessed 17
November 2021).
Census of India (2014), “Sample registration system baseline survey 2014”, available at: https://www.
censusindia.gov.in/vital_statistics/BASELINE%20TABLES07062016.pdf (accessed 15
April 2021).
Coffey, A. and Atkinson, P. (1996), Making Sense of Qualitative Data: Complementary Research
Strategies, Sage Publications, London.
Creswell, J.W. and Poth, C.N. (2016), Qualitative Inquiry and Research Design: Choosing Among Five
Approaches, Sage Publications, Newbury Park.
Das, M. (2018), “189 Sq Ft Flats for Rs 53 Lakh Each: Mumbai’s New Micro-home”, The Times of
India, April 24, available at: http://www.timesofindia.indiatimes.com (accessed 15 April 2021).
Ellisa, E. (2016), “Coping with crowding in high-density Kampung housing of Jakarta”, Archnet-IJAR:
International Journal of Architectural Research, Vol. 10 No. 1, p. 195.
Evans, G.W., Lepore, S.J. and Schroeder, A. (1996), “The role of interior design elements in human
responses to crowding”, Journal of Personality and Social Psychology, Vol. 70 No. 1, p. 41.
Francescato, G., Weidemann, S., Anderson, J.R. and Chenoweth, R. (1974), “Evaluating residents’
satisfaction in housing for low and moderate-income families: a multi-method approach”, Man-
environment Interactions: Evaluation and Applications, Vol. 5, pp. 285-296.
Gelil, N.A. (2011), “Less space, more spatiality for low-income housing units in Egypt: ideas from
Japan”, ArchNet-IJAR: International Journal of Architectural Research, Vol. 5 No. 2, p. 24.
Graham, L.T., Gosling, S.D. and Travis, C.K. (2015), “The psychology of home environments: a call for
research on residential space”, Perspectives on Psychological Science, Vol. 10 No. 3, pp. 346-356.
Hall, E.T. (1966), The Hidden Dimension, Vol. 609, Doubleday, Garden City, NY.
Jabareen, Y. (2005), “Culture and housing preferences in a developing city”, Environment and
Behavior, Vol. 37 No. 1, pp. 134-146.
Kent, S. (1984), Analyzing Activity Areas: An Ethnoarchaeological Study of the Use of Space, University
of New Mexico Press, Albuquerque.
Marans, R.W. and Spreckelmeyer, K.F. (1981), Evaluating Built Environments: A Behavioral Approach,
University of Michigan Press, Ann Arbor.
Mehra, R., Ferrario, M., Naik, M., Janu, S. and Yengkhom, V. (2015), “Brick by brick: a model for self-
built housing in India”, Universitas Forum, Vol. 4 No. 2, available at: http://universitasforum.
org/index.php/ojs/article/view/161 (accessed 15 April 2021).
Ministry of Housing and Urban Poverty Alleviation (2017), “Pradhan Mantri Awas Yojana (urban)-
housing for all”, available at: http://mohua.gov.in/upload/uploadfiles/files/5CLSS_EWS_LIG_
English_Guidelines_wb.pdf.
Morris, E.W. and Winter, M. (1975), “A theory of family housing adjustment”, Journal of Marriage and
the Family, pp. 79-88.
Muchinsky, P.M. and Monahan, C.J. (1987), “What is person-environment congruence?
Supplementary versus complementary models of fit”, Journal of Vocational Behavior,
Vol. 31 No. 3, pp. 268-277.
Nair, A. and Lahoti, R. (2019), Self-redevelopment as a Model for Mumbai’s Housing Crisis, Urban
Development Research Institute, Mumbai.
ARCH Padora, S. (2016), In the Name of Housing: A Study of 11 Projects in Mumbai, Urban Design Research
Institute.
Parkar, N.D. (2014), Relationship between Neighborhood Social Capital and Built Form-Explored
Through the Chawls of Mumbai, Penn State University Press, State College.
Rapoport, A. (2000), “Theory, culture and housing”, Housing, Theory and Society, Vol. 17 No. 4,
pp. 145-165.
Raviz, S.R.H., Eteghad, A.N., Guardiola, E.U. and Aira, A.A. (2015), “Flexible housing: the role of
spatial organization in achieving functional efficiency”, ArchNet-IJAR: International Journal of
Architectural Research, Vol. 9 No. 2, p. 65.
Rohner, R.P. (1974), “Proxemics and stress: an empirical study of the relationship between living space
and roommate turnover”, Human Relations, Vol. 27 No. 7, pp. 697-702.

Further reading
Amos, R. (1969), House Form and Culture, Englewood Cliffs, NJ.
Sample Registration Baseline Survey (2014), Census of India, available at: https://www.censusindia.
gov.in/vital_statistics/BASELINE%20TABLES07062016.pdf (accessed 15 April 2021).

Corresponding author
Shreyonti Chakraborty can be contacted at: sc95@illinois.edu

For instructions on how to order reprints of this article, please visit our website:
www.emeraldgrouppublishing.com/licensing/reprints.htm
Or contact us for further details: permissions@emeraldinsight.com

View publication stats