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THESIS SUSTAINABLE AFFORDABLE HOUSING S

2022, Sustainable Affordable Housing - An Indicator Assessment Tool for the City of Copenhagen

The City of Copenhagen has formulated a vision for housing affordability in context of the Sustainable Development Goals (SDG's) presented by the United Nations. However, no indicator assessment tool has been developed for measuring whether progress is being made towards ensuring sustainable affordable housing (SAH). An indicator assessment tool is a recognized method for both scientific inquiry and policy development within measuring progress towards sustainable development. Therefore, the research objective of this thesis is to develop an indicator assessment tool for SAH to the case of the City of Copenhagen. Furthermore, an assessment is made of whether the City of Copenhagen is progressing towards sustainability.

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A conceptual framework that incorporates all relevant indicators of sustainable housing development (SHD) had been developed through literature reviews of related previous studies. The focus of the review is to gather indicators of sustainability used by previous researchers in studying sustainability, particularly in the housing development. It was found that many previous studies focused only on one or two specific dimensions of sustainability. This can affect the overall assessment of housing sustainability and actual sustainable outcomes. The reviewed indicators and conceptual framework can be employed in assessing housing development comprehensively.

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Denmark regards affordable housing of quality as a critical duty of the its welfare state for all of its citizens. The Danish interpretation of social housing is called Almen bolig, and it can more appropriately be defined as " non-profit rental housing " in the Danish context. The social housing stock in the country is of critical importance as it consists relatively deprived settlements and vulnerable communities. Gyldenrisparken in Copenhagen is one of those settlements built in 1970s. Nevertheless, in time, it had become one of so-called 'ghetto's. Fortunately, a regeneration process was undertaken in the last decade through comprehensive master planning and collaboration of various stakeholders. This study describes a methodology developed to comprehend the physical implementation steps taken during the project towards a sustainable and liveable settlement. It utilizes a matrix as a tool to categorize these actions. The matrix provides the possibility to evaluate the actions according to " sustainability " goals, " scale " , and some pre-defined " spatial concepts ".

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In this section

The impact of social housing on health in Glasgow and Baltimore, 1930-1980

Sharrer, Nicholas Burnham (2016) The impact of social housing on health in Glasgow and Baltimore, 1930-1980. PhD thesis, University of Glasgow.

This dissertation seeks to discern the impact of social housing on public health in the cities of Glasgow, Scotland and Baltimore, Maryland in the twentieth century. Additionally, this dissertation seeks to compare the impact of social housing policy implementation in both cities, to determine the efficacy of social housing as a tool of public health betterment. This is accomplished through the exposition and evaluation of the housing and health trends of both cities over the course of the latter half of the twentieth century. Both the cities of Glasgow and Baltimore had long struggled with both overcrowded slum districts and relatively unhealthy populations. Early commentators had noticed the connection between insanitary housing and poor health, and sought a solution to both of these problems. Beginning in the 1940s, housing reform advocates (self-dubbed ‘housers') pressed for the development of social housing, or municipally-controlled housing for low-income persons, to alleviate the problems of overcrowded slum dwellings in both cities. The impetus for social housing was twofold: to provide affordable housing to low-income persons and to provide housing that would facilitate healthy lives for tenants. Whether social housing achieved these goals is the crux of this dissertation. In the immediate years following the Second World War, social housing was built en masse in both cities. Social housing provided a reprieve from slum housing for both working-class Glaswegians and Baltimoreans. In Baltimore specifically, social housing provided accommodation for the city’s Black residents, who found it difficult to occupy housing in White neighbourhoods. As the years progressed, social housing developments in both cities faced unexpected problems. In Glasgow, stable tenant flight (including both middle class and skilled artisan workers)+ resulted in a concentration of poverty in the city’s housing schemes, and in Baltimore, a flight of White tenants of all income levels created a new kind of state subsidized segregated housing stock. The implementation of high-rise tower blocks in both cities, once heralded as a symbol of housing modernity, also faced increased scrutiny in the 1960s and 1970s. During the period of 1940-1980, before policy makers in the United States began to eschew social housing for subsidized private housing vouchers and community based housing associations had truly taken off in Britain, public health professionals conducted academic studies of the impact of social housing tenancy on health. Their findings provide the evidence used to assess the second objective of social housing provision, as outlined above. Put simply, while social housing units were undoubtedly better equipped than slum dwellings in both cities, the public health investigations into the impact of rehousing slum dwellers into social housing revealed that social housing was not a panacea for each city’s social and public health problems.

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Search for dissertations about: "special housing"

Showing result 1 - 5 of 37 swedish dissertations containing the words special housing .

1. For the Benefit of Everyone? : Explaining the Significance of Swedish Public Housing for Urban Housing Inequality

Author : Martin Grander ; David Clapham ; Malmö universitet ; [] Keywords : Housing ; Inequality ; Social Housing ; Universalism ; Discretion ; Structures of Housing Provision ; Public Housing ; Housing Regimes ;

Abstract : Housing has a special place in the Swedish welfare state. Ever since Gustav Möller, Minister for Social Affairs, in 1945 was handed the result of Bostadssociala utredningen, a state investigation on housing from a social perspective, housing has been a bearing pillar in the Swedish ‘Folkhem’. READ MORE

2. Everyday life in avant-garde housing estates : A phenomenology of post-Soviet Moscow

Author : Alexander Kalyukin ; Irene Molina ; Tom Mels ; Tim Cresswell ; Uppsala universitet ; [] Keywords : SAMHÄLLSVETENSKAP ; SOCIAL SCIENCES ; built environment ; housing ; everyday life ; avant-garde architecture ; humanistic geography ; phenomenology ; Henri Lefebvre ; post-Soviet city ; Moscow ; Russia ; Social and Economic Geography ; Kulturgeografi ;

Abstract : This thesis explores the social meaning and function of what is known as avant-garde, or constructivist, housing estates located in central Moscow. Five of these estates – Budenovsky, Dubrovka, Khavsko-Shabolovsky, Nizhnyaya Presnya and Usachevka – comprise the empirical foci of the study. READ MORE

3. Relocation and residential reasoning in very old age -Housing, health and everyday life

Author : Marianne Granbom ; Aktivt och hälsosamt åldrande ; [] Keywords : MEDICIN OCH HÄLSOVETENSKAP ; MEDICAL AND HEALTH SCIENCES ; occupational therapy ; housing ; ageing-in-place ; Very old age ; relocation ;

Abstract : Introduction: Moving in very old age is considered to be a major life event and relocation and access to appropriate housing options is a hot topic in the public debate across Europe. For very old people, the decision-making process and aspects influencing relocation is not well studied. READ MORE

4. The Social City : Middle-way approaches to housing and sub-urban golvernmentality in southern Stockholm, 1900-1945

Author : Mats Deland ; Ulf Jonsson ; Mats Franzén ; Clemens Zimmermann ; Stockholms universitet ; [] Keywords : SAMHÄLLSVETENSKAP ; SOCIAL SCIENCES ; Stockholm ; governmentality ; Foucault ; land holding ; leaseholding ; site leasehold rights ; municipal administration ; housing ; urban history ; suburban ; town planning ; city planning ; urban order ; local press ; voluntary societies ; gender ; disciplinary ; philanthropy ; Enskede ; Brännkyrka ; Söderort ; Settlement studies ; Bebyggelseforskning ;

Abstract : This dissertation deals with the period bridging the era of extreme housing shortages in Stockholm on the eve of industrialisation and the much admired programmes of housing provision that followed after the second world war, when Stockholm district Vällingby became an example for underground railway-serviced ”new towns”. It is argued that important changes were made in the housing and town planning policy in Stockholm in this period that paved the way for the successful ensuing period. READ MORE

5. Housing land in government intervention : with special reference to land readjustment in Seoul, Korea and municipal site-leasehold in Stockholm, Sweden

Author : Heon-Joo Park ; Stockholms universitet ; [] Keywords : SAMHÄLLSVETENSKAP ; SOCIAL SCIENCES ; Bostadsförsörjning ; Bostadspolitik ; Sydkorea ; Sverige ;

Abstract : .... READ MORE

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Reusing Empty Properties as a Solution to Scotland’s Social Housing Shortfall

Info: 9280 words (37 pages) Dissertation Published: 17th Nov 2021

Reference this

Tagged: Housing Property

The aim and objectives of this dissertation are to research the problem of long term empty homes within Scotland, investigating regeneration for social housing and exploring the solutions available to local authorities in tackling the issue.

Chapter 1 –  Introduction

1.1 rationale.

There is an undeniable housing crisis in Scotland that is becoming an increasing priority for the government and local authorities. Social housing in particular has severely decreased since the introduction of the right to buy scheme in 1980 which has resulted in the overall loss of nearly 500,000 local authority homes from the social rented sector (Shelter Scotland 2017). Glasgow has been particularly affected after the City Council transferred its entire stock of 81,000 public housing units into the hands of the Glasgow Housing Association (GHA) in 2003. GHA’s significant demolition programme of large numbers of social rented properties (in particular multi storey high-rise flats) carried out in the past 15 years has created a severe reduction and availability of social/below market rent stock and affordable housing in the city. (Glasgow City Council 2017)

The Scottish Government has pledged to commit over £3bn across Scotland over the next 5 years (2017-2022) to fund the delivery of 50,000 affordable homes, 70% of which will be for social rent.(Scottish Government 2017) Glasgow City Councils housing supply target for the strategy period has increased from the 12,500 figure quoted in the consultation draft to 15,000, the increase being specifically for social rented (SR) and below market rent (BMR) properties, with a minimum target of 7,500 properties in this category. (Glasgow City Council 2017)

New development however is simply not meeting the increasing demand and a large amount of the properties being delivered are homes for sale that are not accessible to a large proportion of society introducing huge affordability challenges.  Availability and affordability of housing is a vital foundation in a sustainable economy and the deficit requires a substantial reform in the construction industry to meet the housing needs of the country’s growing population. Glasgow in particular has developed a serious issue when it comes to the availability of affordable/social housing and the city is suffering from an unacceptably high level of homelessness. The latest government figures  also show over 200,000 families are currently on accommodation waiting lists in Scotland (Scottish Government, 2017) (GHA, 2017). Yet statistics also show that in the last decade the countries number of long-term empty homes has nearly doubled, from around 20,000 in 2007 to almost 40,000 in 2017 (Scottish Government, 2017).

Yet it is a paradox that the city has a copious amount of empty, derelict and abandoned properties going to waste. In a recent interview with Barry Sheridan, the Empty Homes Officer (EHO) for Glasgow City Council, he stated that there are currently nearly 3000 private homes in Glasgow that have been empty for more than 6 months.

No one gains from an empty property, there is no rental income being generated for the owner, there is generally a reduced amount of taxation that the local authority could be receiving, the utilities companies are not making any revenue, the value of adjoining properties are reduced and the local economy does not benefit from the spending power of the potential residents. The Scottish Empty Homes Partnership estimate that long-term private empty homes across Scotland are worth a combined total of £4.5 billion. (SEHP 2017), thus the question can be posed, with so many people unable to find social housing or even shelter, why are there nearly 40,000 long term empty dwellings going to waste in Scotland alone, and could the reuse of these properties be part of a holistic solution to the social housing shortfall?

1.2 Focus of the Study

This research will look to consider empty property regeneration as a sustainable way to help meet Scotland’s housing demand and help alleviate the pressure to develop on greenfield sites. An investigation into the plausibility of converting the countries copious amount of empty, derelict and abandoned buildings into social housing stock or affordable homes will be carried out. The research will investigate the wider picture to establish the reasons that dwellings fall empty and fail to return to use and identify the problems associated with empty properties. The initiatives the Scottish Government has took to increase the reuse of empty properties to house homeless or low-income households will be identified. The research will also consider what enforcement powers local authorities possess to deal with the issue of empty properties and if new legislation is needed to increase their reuse as social housing stock or affordable homes. This concept was developed through the writers concerning interest and moral dissatisfaction with the number of wasted real assets in Glasgow despite the fact there are still thousands of people being refused the fundamental human right to housing.

The primary aim of this dissertation is to investigate the regeneration of Glasgow’s long term empty properties into social housing stock or affordable homes.

1.4 Objectives

This study intends to achieve this aim through a number of objectives:

• Investigate the extent of Glasgow’s social housing shortage.
• Investigate the reasons properties become empty and fail to return to use.
• Identify the associated social/economic problems.
• Identify the Sottish Governments empty property initiatives.
• Investigate local authority response to empty properties and enforcement options.
• Compare legislation and attitude towards enforcement in Scotland and England.
• Consider the effectiveness of current and if specific legislation is needed.

1.5 Outline of Dissertation Structure

Chapter 1 – Introduction

The first chapter includes a general introduction to the writer’s chosen topic, and outlines the aim and objectives of the research being undertaken. This chapter highlights the methodology applied in the research and explains the techniques used to gather the information. The structure of the document containing a summary of each chapter is also included.

Chapter 2 – Literature Review

The second chapter of this paper will review the literature available relating to the issues of social housing and empty dwellings. The literature review will consist of library searches, computer data base searches, analysis of government publications and statistics data, and researching news articles. The review will include facts and figures obtained during the writer’s attendance of Shelter Scotland’s Empty Homes Conference 2017, which formed an integral part of the research. The review will summarise the Scottish Government, local authority and housing associations policies surrounding the management of empty homes. The research will also look at what enforcement methods are available to local authorities to deal with empty houses and identify any issues or a need to reform legislation.

Chapter 3 – Methodology

The third chapter will explain the author’s choice of methodology and outline the research methods implemented in the report including quantitative data collection and qualitative research techniques.

Chapter 4 – Results and Analysis

The fourth chapter will contain the data collected during the research phase of the dissertation and the results of the analysis carried out. This will include the explanation and interpretation of the quantitative and qualitative research results.

Chapter 5 – Conclusion and Recommendations

The final chapter will provide a conclusion to the research topic and will explain how the author achieved the aims and objectives set out at the beginning. Recommendations will be made as to whether the author feels there is a need to reform local authority legislation surrounding empty homes and whether the Scottish Government can improve its initiatives on reusing empty properties.

2.1 Scotland’s Social Housing Shortage

Scotland has developed a serious issue when it comes to the availability of affordable/social housing and the country is suffering from an excessively high level of homelessness. In the past acquiring a council house was not considered a difficult undertaking however in Scottish cities today it can seem like an almost impossible task. Latest government figures show there are currently over 162,000 applicants on local authority housing lists (Scottish Government, 2017). However, this figure does not include the six councils (Glasgow, Inverclyde, Argyll and Bute, Dumfries and Galloway, Western Isles, Scottish Borders) that transferred their entire stock to housing associations and the Scottish Government has been accused of underestimating the social housing demand (Barnes 2017).

During a recent interview with the writer, an employee for Glasgow Housing Association stated that there are currently more than 35,000 people on their accommodation waiting list with some applicants waiting years to be housed (Glasgow Housing Association). Recent analysis of the Scottish Housing Regulator gave a “conservative estimate” of the total number of people on accommodation waiting lists in the remaining five local authorities stood at around 40,000. This bring the countries total number of social housing applicants to over 240,000 more than 40% than stated in the official government figures.

Scotland’s biggest homeless charity, Shelter Scotland, estimates there to be between 5000 and 6000 people living on Scotland’s streets every day (Shelter Scotland 2017) with official figures showing at least 4,751 people slept outside overnight in 2017, an increase of 15% from 2016 (Scottish Government 2018). The Scottish Governments local area statistics show 35377 homeless applications were made between November 2016 and 2017, and as at 31 st of November 2017, 10,899 households were in temporary accommodation, an increase of 2% (Scottish Government 2017). Although mental health, substance abuse and family and relationship breakdowns are the main reasons behind homelessness (Shelter Scotland 2016), an acute lack of suitable and available social housing is likely contributing to these unacceptably high figures.

2.2 Empty homes

Government figures show the total number of homes considered long-term vacant in Scotland has risen to 37,135, an increase of more than 80 per cent since 2007 when the total stood at 20,328. (Scottish Government, 2017) However it is important to recognise the limitations of official statistics on vacant dwellings. These figures derive from the council tax list the purpose of which is not to count empty homes. The council tax data does not class derelict properties (one where no one could reasonably be expected to live in) as dwellings therefore the official empty homes figures do not include properties that have been removed from the council tax list due to their state of repair. This data also excludes properties where there is an exemption from paying council tax (i.e. repossessed by bank or mortgage lenders), thus the actual number is considered to be significantly higher. Nonetheless, these figures are a good starting point.

Long-term empty homes in Scotland over the past decade –

Source: Scottish Government

Derelict properties are often of particular concern to local people as their poor physical state may have a direct detrimental impact on nearby properties and the neighbourhood. Derelict properties often stand out as eyesores and symbolise waste in the face of so many people being priced out of decent housing across England. Many derelict properties can be, and are being, brought back into use. For all these reasons it is important that strategies to tackle empty homes are broad-based and not just focused on properties that are recorded and counted as empty in the official statistics.

2.2 Reasons Properties Become Empty

There is a common misconception that it is simply a financial issue that so many properties are being left empty, and that no rational person would just let their asset go to waste. However previous studies have found the individual reasons dwellings can become empty are as varied as the properties themselves with barriers such as time, skills, owner’s attitude, emotion, relationships and legal issues often all intertwining resulting in properties being left empty for years. (Lucas, C 2014) In 2016 a national empty homes helpline was set up by the Scottish Empty Homes Partnership in attempt to help reduce Scotland’s growing number of unoccupied properties. When asked why the property was unoccupied the top two reasons given by private homeowners were; unwilling to/fear of becoming a landlord, and bought for capital gain/waiting for property market to improve. (SEHP, 2017) https://www.theguardian.com/housing-network/2014/jan/03/mortgage-lenders-restoration-empty-homes

The following results are from a survey carried out by Ipsos MORI on the reasons for homes being empty in England:

Source: Ipsos MORI

http://www.emptyhomes.com/assets/empty-homes-in-england-final-september-2016.pdf

2.2.2 Housing Market

There are vast numbers of properties lying empty that have been purchased for speculative reasons by developers and investors. Many wealthy individuals and organisations buy up properties during dips in the market where it is possible to make a considerable profit simply by waiting to resell the property (Davies, 2017). These investors are relying on capital appreciation to create a return, so in order for the initial investment to be worthwhile they must wait for the market to pick back up. (Hunter, T 2017) These owners frequently leave the properties unoccupied to avoid the costs and complications that come with letting a property, repairs and administration etc. according to property expert Henry Pryor, this is contributing to the number of empty properties in the new-build market as many buyers will pay a premium for pristine apartments. “Just as they would feel when buying a new car, some buyers don’t want to live in a second-hand home, and this applies even when they’re buying a place that’s five years old”. This phenomenon was reported on by STV News and referred to as buy-to-leave, where investors have no intension of ever letting out their properties as their only goal is capital appreciation. (Vevers, 2017)

2.2.1 Disrepair

Renovation costs can be extremely high. Often, the owner of a dilapidated property may have the desire to live in it or rent it out, but finds the necessary work either too expensive or overwhelming in scale. There may well be practical and financial assistance available, however, it is often the case that owners of empty properties are either not aware of these initiatives or there may be other barriers that prevent them from taking advantage of the help available. In many surveys, disrepair is stated as the commonest reason why properties are left empty.

2.2.4 Other common

A lack of motivation, knowledge or insurance to cover a damaged home were also often quoted as the reason a property had been left empty for six months or longer.

Some empty home owners admitted they had an emotional attachment to their empty homes and found it hard to let go of them – sometimes for decades on end – because they had grown up there.

One of the more unusual reasons include owners who do not realise that they have inherited a property after a relative passes away and come sometimes be years.

2.3 Associated Social and Economic Problems

The obvious problem that an indispensable asset is being left to waste and further restricting the housing supply can overshadow the surrounding social and economic problems that are brought about as a result of empty houses. Long term empty houses can cause antisocial behaviour and increase crime in the surrounding area. They often fall victim to vandalism and fly-tipping, but can also pose more serious potential risks, such as been used to cultivate and sell drugs or being taken over by addicts (Scottish Government). Homes lying empty in communities can cost an average of £7,500 a year through lost rent, lost council tax and the cost of securing or making safe the property.

This figure doesn’t take into account other financial burdens associated with empty homes such as anti-social behaviour, crime, and lost spend in the community from potential tenants (West Dunbartonshire Council, 2016).  In July 2016 the Scottish Empty Homes Partnership carried out a YouGov survey that looked at the public’s attitude towards the problem.

The results show that 75% of Scottish adults believe that empty homes cause anti-social behaviour, 54% reported a decreased sense of safety caused by empty homes, and only 3% thought empty homes cause no problems in communities. (SEHP, 2016) Another poll found that only 20% of people in Scotland think local authorities are doing enough to reduce the number of long-term empty homes in their area. (Shelter Scotland, 2016).

These surveys highlight the public’s concern surrounding empty homes in their communities and that the people of Scotland are not satisfied with the action and initiatives currently being taken to tackle the problem. The fact that only 3 % of Scottish adults think empty homes cause no problems suggests there is strong support from the public for councils to view this issue as a priority.

Effect on surrounding properties

Instances of empty homes are not simply a matter of concern to those who own them During the writer’s attendance of the Empty Homes Conference 2017 a recurring topic of discussion was the reductions in local property values observed as a result of properties being left empty and poorly maintained. Dilapidation problems such as damp and dry rot can often arise along with the possibility of attracting vermin. These problems can then spread to neighbouring properties, which is a particular issue when the owner of the house is uncontactable or the property is abandoned. (EHC 2017). This not only raises concern for the health and safety of the local residents but also how the issue affects the value of their homes. Research shows where there are empty properties located it can considerably reduce the value of the houses in the surrounding area. In 2009 Haart Estate Agents carried out research into the impact an empty home can have on the local market value. The results revealed that the presence of an empty dwelling/dwellings outweighs the negative impacts of being in the proximity of a flight path or close to a public bar with a late licence. (Nurton, J 2009) The Royal Institution of Chartered Surveyors also carried out research that estimated properties adjoining poorly maintained empty homes can be devalued by as much as 18 %. (RICS) (National Archives)

Impact on taxpayers

Empty houses are also costing the taxpayer money. Councils can be paying over £400 for an empty property to be boarded up and made secure, some councils have even resorted to increasing the police presence or paying for security around some the worst hit areas of derelict houses in order to prevent illegal activity occurring. (Shelter Scotland 2016) This is a ludicrous and unacceptable drain on public resources that could potentially and deservedly be spent on reusing these houses.

Case Studies

This property in South Ayrshire has been empty for over 4 years. Council officers have made numerous attempts to engage in a meaningful way with the owner’s son who is responsible for her estate though none have succeeded. The property has severely deteriorated, there is damage to the soffits and fascias which are rotting due to lack of repair, the gutters are overflowing and the neglected garden is now completely overgrown.  Neighbours have also complained to the council about the property attracting vermin. The son was engaging with council officers briefly for a time but he has now fallen off the radar. 31 potential buyers have been matched with this property.

Case study provided by Lesley Cockburn, Empty Homes Officer, South Ayrshire Council.

This property in East Ayrshire has been lying empty since 2008, the windows have been smashed and the interior is in a poor state of repair.  causing problems to the adjoining property owners.

The owner has been contacted however they are uncooperative and reluctant to rent or sell the property.

It is unknown how long this property in Perth & Kinross has been left empty. Again neglect has resulted in deterioration of the exterior and the garden becoming completely overgrown. The interior has been severely vandalised over the years and after been set on fire in 2012 the council was forced to board up the doors to prevent local kids from getting access.  The owner of the property is unknown and can’t be traced.

This tenement flat in Port Glasgow has been left empty for the past 5 years. It is a magnet for anti-social behaviour and has been broken into several times by drug users and homeless people. disgruntled local residents to applied to Inverclyde Council to reuse the empty flat as a base for a food bank. It was proposed that two bedrooms would be used for storage and collection and a third bedroom and the lounge would be used for office and administration but this had to be refused (Inverclyde)

2.4 Sottish Governments Empty Property Initiatives

The Scottish Empty Homes Partnership is a government funded organisation that works with councils to help develop policies and processes to bring private sector empty homes back into use. It was set up in 2009 following the

In 2016 the Scottish Government appointed 8 national outcomes for local authorities to meet:

• We live our lives safe from crime, disorder and danger.
• We live in well-designed, sustainable places where we are able to access the amenities and services we need.
• We have strong, resilient and supportive communities where people take responsibility for their own actions and how they affect others.
• We value and enjoy our built and natural environment and protect it and enhance it for future generations.
• We reduce the local and global environmental impact of our consumption and production.
• We have tackled the significant inequalities in Scottish society.
• We have improved the life chances for children, young people and families at risk.
• Our public services are high quality, continually improving, efficient and responsive to local people’s needs

(Scottish Government 2016)

The Scottish Conservatives have called for a mixture of new incentives and stronger regulation to be introduced to bring more properties back into use. Housing spokesman Graham Simpson said: “Throughout their decade in government the SNP has seen empty properties soar, taking valuable properties out of use. “For the thousands of people waiting for housing this latest increase in empty properties will feel particularly frustrating.

A spokeswoman for the Scottish Government said: “We agree that empty homes can be a blight on communities and are a wasted resource at a time when people across Scotland need homes. “New powers introduced in 2013 allow local authorities to apply a council tax levy on long term empty properties to encourage private owners to bring them back into use.

“Ministers have committed to doubling funding for the Partnership for the next three years. This provides support for a network of Empty Homes Officers who help private owners return their houses into homes.”

By addressing the problem with empty properties it could contribute to meeting several of these.

Issues with current scheme

As part of the government’s national empty homes programme many local authorities offer repair and lease schemes to bring empty properties back into use. Under these schemes an owner can sign their property up to a housing association which refurbishes it using government money that is recovered by leasing the property for a number of years.

Many empty properties have mortgages secured on them, but currently most lenders are refusing permission for their borrowers to enter into lease and repair schemes

Sticking points relate to lenders’ terms, tightened following the financial crash. These commonly prevent a property being leased to someone in receipt of housing benefit, while the schemes are designed to provide affordable housing for those in highest need. Lenders only permit one-year assured shorthold tenancies, while under the repair and lease scheme owners are required to agree to a minimum term of two years (often five or more) to cover the loan period.

There has also been some confusion from lenders as to where the repair and lease loan sits in the hierarchy of charges secured against the property. The loan is in fact placed as a second charge with the banks retaining their position as the priority creditor.

While this major structural issue is not being addressed by the government, the  Empty Homes Network  (a partnership of empty property practitioners from local authorities) has been working with the Council of Mortgage Lenders and lenders themselves to find a way to bring properties back into use. They have been working to draw attention to the scale of the problem nationally, as well as providing detailed guidance outlining the positives of these schemes for lenders.

2.5 Local Authorities Response to Empty Dwellings

There are currently no specific statutory requirements on local authorities with respect to bringing empty properties back into use. It is the responsibility of each authority to determine their approach and priority towards reusing empty homes according to the local needs and priorities.

2.5.1 Homes Officers (EHO)

There are 21 local authorities in Scotland with a dedicated empty homes officer.  applying creative thinking for traditionally harder to bring back into use properties. However, there is still a challenge to influence the remaining councils to understand the importance of empty homes work and recognise the difference a dedicated officer can bring. This is difficult given the reduced budgets and pressures local authorities are currently faced with.

2.6 Enforcement and Other Options Available to Local Authorities in Scotland

2.6.1 enforcement.

Unlike in England where local authorities have Empty Dwelling Management Orders, there is currently no specific power that Sottish local authorities possess to take over the management of an empty private home. (Scottish Government 2016),

Example case stories from Empty Homes Officers:

“We had an issue with a property that had been empty since 1999 and was in a serious state of disrepair. The council spent thousands of pounds repairing the property and stopping it from causing further damage to the two adjoining properties. Thousands of officers’ hours were also used chasing the owner and trying to deal with the state of the property. The council were reluctant to use CPO as they had already spent a large amount of time and resource on the property, and has also had bad experiences using it previously, when the order had not been granted, despite all the effort put in.”

“a first floor flat in the centre of town which has been empty for 14 years. The elderly resident of the ground floor flat struggles to cut the grass on the entire garden whereas she is only responsible for half of the rear garden. Lengths of guttering are hanging off the building which should be common repairs. When I last stopped to look at this flat, a builders van pulled up to ask if the property was on the market. There is strong demand for this type of property from either a developer or an owner occupier”

“The property was a private let and as far as I can tell from the documentation it has been empty since 2008. We have lettered the owner constantly and went to the extent of having a letter hand delivered by an officer from another local authority. At the time of the delivery of the letter the owner spoke to the officer, she explained that her husband dealt with all the finances and he works away. She said that the property was left in a poor state by the previous tenant and they haven’t done anything with it. I have sent the empty homes information but have still had no response. Building control have advised that they do not have any powers available to deal with this property.”

Empty Homes Officers have recourse to both Empty Dwelling Management Orders (to take over the lease of an empty home for up to 7 years), and Enforced Sale (under the Law and Property Act 1925). There are issues with both of these powers including long bureaucratic processes (Empty Dwelling Management Orders) and the requirement for there to be a debt against the property (Enforced Sale) that make them less than desirable for the Scottish context. However what they do offer, that Compulsory Purchase at the moment does not, are powers that councils are actually willing to pursue for single empty homes. The end goal of course is to not have to use the power. However having a power that the council feels confident it could follow through on if needed has been shown to make the other steps in the process above – especially those around negotiation and problem solving with owners – more effective.

Empty Dwelling Management Order

Empty Dwelling Management Orders (or EDMOs) were introduced by the Housing Act 2004 which give the local authority management control of an empty property and the power to let it for seven years, without taking ownership.

The background to the introduction EDMO was a perceived need for a mechanism to return empty dwellings to use that would complement the existing strategies of housing management. Local authorities already had far reaching powers and options available, and were being encouraged by central government to address the problems associated with empty dwellings.

5.2 ‘Positive Ripple Effect’

Local authorities in England have reported that a positive ‘ripple’ effect is often observed after successful intervention opdm 2005

Then problem properties are targeted with enforcement, or when the owners carry out renovation work, the effects are not just witnessed on the target properties. Those properties in the immediate area also show signs of improvement. (ODPM 2005) Word gets out about the actions of the local authority, either by word of mouth or through publicity and other property owners take action without intervention from the council, spurred on either by the fear of council enforcement or a general feeling of well-being and optimism.

http://www.johnpullen.co.uk/uploads/1/9/3/0/19305517/explanatory_memorandum_to_si_367.pdf

Under powers given by central government to local authorities and other statutory bodies such as national parks and development agencies, it is possible for them to apply for compulsory purchase orders (CPO) on land (and property) provided that certain criteria are met.

“Compulsory purchase powers are provided to enable ‘acquiring authorities’ to compulsorily purchase land to carry out a function which parliament has decided is in the public interest” (ODPM – 2004)

CPOs are used as one of the enforcement tools of a number of pieces of primary legislation such as Housing Act 1985 and Town and Country planning Act (1990).

The Scottish Empty Homes Partnership has also received feedback from numerous councils who have highlighted the need for more empty homes enforcement tools in Scotland. They mainly raise concern about both the cost, timescales and risks of pursuing a Compulsory Purchase Order (CPO).

“Time taken to carry out searches, advertise, negotiate with owners if we can find them, prepare a statement of reason, liaise with Scottish Government etc. The process on average takes more than 2 years which can be delayed further if owner appeals the CPO or appeals the valuation and we have to go to a PLI or a Land Tribunal. The whole process in some cases have taken up to 5 years.” – Duncan Thomson, Group Manager of Private Sector, Housing & Regeneration Services, Glasgow City Council. (SEHP)

Through discussions with Empty Homes Officers more specific issues with using Compulsory Purchase have also been raised including: – No clear guidance on what constitutes reasonable efforts to contact or engage with an owner before pursuing Compulsory Purchase. – The requirement to pay market price to the owner represents a direct cost to the council which may not be able to be recouped.

2.6.2 Council Tax Powers

In  April 2013 legislative changes were put in place that allow local authorities in Scotland  the discretionary power to impose an increase of up to 100% of the relevant council tax rate on long-term empty homes  (properties that have been empty for more than 12 months) unless it is being actively marketed for sale or for let. (Scottish Government 2013)

2.7 Property Regeneration Compared to New Builds

2.7.1 financial aspect.

When looking at the financial elements of reusing empty homes and new build the value for money is considerable. The Empty Homes Agency in England has estimates refurbishing an empty home costs an average of £6,000 – £25,000. Compared to the average cost of a new build home in Scotland of £100,000 +.  Existing infrastructure and local services will already be in place so there is no need in further investment when bringing an empty home back into use.

2.7.2 Sustainability

The Empty Homes Agency in England carried out research showing that over the short term refurbishing empty homes produces less carbon dioxide emissions than building even environmentally friendly designed new builds. (EHA 2015) New build gives rise to 50 tonnes of Co2 per house; refurbishment 15 tonnes. Empty properties already exist, so the resources needed for new build are not required =

A new building that is 30% more energy efficient than the average building could take 10 to 80 years to overcome the negative carbon impact that comes with new construction versus renovation when you factor in having an existing building and infrastructure. There is an immense amount of energy and CO2 locked into existing buildings from the foundation, materials, energy to make new materials, transport materials, etc. that provides a savings in carbon dioxide compared to the demolition (energy to destruct and haul away) of an existing structure and the creation of a brand new building. http://ecovisionslc.org/renovation-vs-new-construction/

3.1 – Introduction

The methodology section relates to how the author has planned to achieve their objectives of research (Breach, 2009). The chapter looks at the different ways in which research can be carried out. Several different methods can be implemented to collect and analyse research data, the method that prevailed as most suited was utilized to obtain and collect the necessary data needed in the construction and delivery of this dissertation.

3.2 Rationale for research

3.3 research strategy.

The two main methods of research for a topic are those of qualitative and quantitative research (Naoum 2012).

3.3.1 Qualitative and Quantitative Research – Comparison

“The difference between quantitative research and qualitative research is rather like the difference between counting the shapes and types of design of a sample of green houses as against living in them and feeling the environment” (Naoum, 2012)

Bryman 1998 expresses his opinion of the main comparable differences between qualitative and quantitative research methods shown in the table below –

(Source: Quantity and Quality in Social Research, Bryman 1998)

There is no one correct method of data collection, the data collection method is used should be determined by what the author is looking to achieve throughout the research project.

The information collected and subsequent research carried out will highlight the extent of the problem and gather views from local authorities on the types and numbers of empty properties, identify their plans for reuse, assess how effective initiatives have been, look at the constraints of current legislation and identify if a more formal structure is needed. In depth analysis of statistical data will be carried out in order to assess the extent of the housing problem in order to consider the regeneration concept as a possible solution.

The aim of this research, coupled with the type of information that will be collected presented itself as a primarily quantitative study, utilising a large number of facts and figures and analysing statistical data. This contrasts with a predominantly qualitative study that would have focused mainly on people’s opinions and perceptions (Bell, 2014). In depth analysis of statistical data will be carried out in order to assess the extent of the housing problem in order to consider the regeneration concept as a possible solution. account the writer’s approach was to employ a hybrid of both qualitative and quantitative.

If both are used the writer should be able to gain a wider spectrum and more detailed amount of research. The main quantitative research carried out will provide the writer with hard facts and data regarding the topic which will be enriched with the use of the qualitative research findings (Naoum 2012) of gaining the views and perceptions of people affected by the issues.

Two main methods of data collection were used in gathering information for the purpose of this investigation. Firstly, primary data was collected in the form of semi-structured, open-ended questionnaires that were sent, via email, to each of the thirty-two local authorities in Scotland. housing associations and other organisations involved in affordable housing initiatives, e.g. Shelter. The reason for semi-structured questionnaires was so that results will not be constrained but also the results are not increasingly difficult to analyse, even if this method was slightly more time consuming.

Secondary data was collected from a number of sources such as books, journals, published statistics, websites and newspapers. One obvious advantage of collecting secondary data was that not a lot of time was spent collecting the data but instead time was used analysing it and coming to conclusions. Secondary data play a key part in coming to conclusions in this investigation as factual and statistical evidence can be used to either back up or contradict the data collected from questionnaires. For example, the Government or housing association may not be willing to admit that they have initiatives that are not functioning efficiently; however figures gathered could help to prove otherwise.

3.4 Questionnaire Design

As part of the research a structured questionnaire was sent to Scotland’s 32 local authorities made up of a series of questions covering a range of empty property issues, and requested both factual and attitudinal responses. It was designed to establish the main reasons behind the problem, what tools are available to, and if more could be done by councils in the regeneration of empty dwellings.

The questionnaire utilises a mix of ‘closed’questions, limited to a yes/no answer, ‘open’ questions, where the recipient is requested to provide an opinion or expand on the issue the question addresses and ‘Quantity’ questions where a numerical response is requested. Certain questions request the recipient give a ‘ranked’ response in order of the most common situation where there is expected to be more than one answer, and a several questions invite the recipient to give further information or opinions if desired.

The research questions were tested against the following standards as they were composed:

• Is the question relevant to survey objectives?
• Is the question clear and concise?
• Is the question leading or biased?
• Could the question be sensitive for any member of the population?
• Will the data recovered be in a format that will lend itself to analysis?

(Frazer, L & Lawley, M 2000)

The expected data produced will be mainly quantitative numerical information but will also yield integral qualitative observations and narrative data.

Additional Telephone Interview

Additional telephone interviews were carried out to gain a better understanding of the problem with CPO. For these short interviews 6 councils with a dedicated empty homes officer were contacted and as such phonesuited a personal

3.5 Ethical Considerations

This dissertation does not specifically involve a particularly sensitive subject however, the method of data collection utilized involved requesting participants to fill in a questionnaire asking for their professional opinions as well as personal views for analysis. The following principles stated by Bryman and Bell, 2007 as the ten most important ethical considerations in dissertations were therefore considered and followed during the research project –

• Research participants should not be subjected to harm in any ways whatsoever.
• Respect for the dignity of research participants should be prioritised.
• Full consent should be obtained from the participants prior to the study.
• The protection of the privacy of research participants has to be ensured.
• Adequate level of confidentiality of the research data should be ensured.
• Anonymity of individuals and organisations participating in the research has to be ensured.
• Any deception or exaggeration about the aims and objectives of the research must be avoided.
• Affiliations in any forms, sources of funding, as well as any possible conflicts of interests have to be declared.
• Any type of communication in relation to the research should be done with honesty and transparency.
• Any type of misleading information, as well as representation of primary data findings in a biased way must be avoided. (Bryman and Bell, 2007)

With any survey, there is a degree of risk that questions may be hurriedly answered or answered in a less than truthful manner. For this reason, it was decided to offer anonymity to those requiring it.

3.6 Research Restrictions

Regarding restrictions faced by the author during the research, the following factors were apparent:

• As personal interviews were the chosen approach, this limited the data collection as it was only taken from professionals in the central belt of Scotland. This eliminated the chance to gather data from other areas within Britain, or further still, overseas.
• As qualitative research and data collection methods were adopted, there was no statistical analysis in regards to project cost or time, for example, which numerical data and quantitative analysis would have portrayed, thus basing the researcher’s information solely on opinion rather than fact.

3.7 Chapter Summary

After carrying out research into the different methods of approaching data collection and subsequent analysis, the researcher obtained a thorough knowledge and understanding of the various techniques available. Through analysing the chosen subject and the data available, a mix of qualitative and quantitave approach was used with personal interviews being the main method of data collection to allow for descriptive responses around prefabrication and to gather personal opinion on the subject in relation to different projects. Ethical considerations and research limitations were also stated.

Chapter 4 Survey Results and Analysis

4.1 main survey.

The questionnaire was sent out to every Local Authority in Scotland giving a potential maximum return of thirty-two. The questionnaire received twenty-three replies, achieving an overall response rate of a 72%. After several emails and follow up phone calls it was accepted that a proportion of the councils contacted would not reply. This figure compares with similar surveys such as the Scottish Empty Homes Partnership Annual Report 2017 and the Review of the Homelessness (Scotland) Act 2003 conducted by Shelter Scotland in 2016 that managed to gain a response of 77% and 50% respectively.

Questionnaire results

Question 1 –   Which Local Authority are you employed within?

The first question simply asked the respondent to state which Local Authority they represented.

90.9% of this Local Authorities  that responded indicated that a specific Scottish empty homes enforcement tool would be ‘very useful’ (63.6%) or ‘useful’ (27.3%). We also asked councils what type of enforcement tool they would find useful, and received the following ideas:

Summary of Survey Findings

 Half of empty properties are found within the central area of the Scottish Borders, unsurprising given it is the most densely populated area

 55% are houses and a further 24% are flats

 Almost half of respondents said the standard of the property was ‘poor’ or ‘very poor

Question 1 – Which LA are you employed within ?

Question 2 – Is there an Empty Homes Officer employed within this Local Authority?

19 of the 23 councils   that responded stated that there was an Empty Homes Officer employed

Question 3 – Does your Local Authority have an Empty Homes Strategy?

To your best knowledge, how many private homes in your LA have been empty for?

More than 1 year –

In addition, some local authorities offer financial assistance for bringing an empty home back into use through either grants or loans. Conditions are often attached, for example, that the property must be let to a household nominated by the council.

Discuss with mortgage lenders

Housing Re-Use Power Proposal

This research has uncovered the necessity for a new tool for Councils to take action on behalf of neighbours and the wider community on property which is empty and causing problems and where other action to address it has not been successful. In England and Wales the two existing tools – enforced sale and EDMOs – have quite different origins and have evolved quite separately. In the writers view, the starting point for discussion should be a single unified approach with the decision as to sale or renting regarded as a form of action towards the end of the process. So an overview of the process might be:

 A long term empty property is manifestly causing problems in a neighbourhood.

 The local authority seeks to engage with the owner, offering advice and assistance; possible access to funding to bring it up to standard if needed; and access to other parties who might help with its re-use.

 If all of these approaches fail to resolve the problem, the local authority seeks to use the powers outlined here, by first making a declaration that the property is long term empty and that the best way to address problems it is causing is to secure its re-use.

 The owner then is given a final specified period to bring the property into use

 If and when that period elapses, the council then has the power to apply an order to secure the property for re-use, either for letting or for sale.

 The property is brought up to a specified standard as part of the process – for example, the repairing standard and in a way which addresses the detriment.

 The sale price and the level and length of letting allows the Council to cover its costs of taking action and any ongoing management costs, with the remaining receipts or rental income going to the owner.

 At the point of the council declaring the property to be long term empty and at the point of securing its re-use the owner can apply to the court or another form of tribunal to challenge that process.

Chapter 6 – References

Anon, (2017).  Available at: https://www.gha.org.uk/about-us/media/blogs/is-housing-first-the-silver-bullet-to-end-homelessness [Accessed 6 Dec. 2017].

Bell, J. (2014). Doing Your Research Project. Milton Keynes: McGraw-Hill Education.

Creswell, J W. (2009). Research Design: Qualitative, Quantitative, and Mixed Methods Approaches. Los Angeles : Sage Publications Ltd.

Direct.gov.uk. (2016).  Council action on empty properties . [online] Available at: http://www.direct.gov.uk/article/7387/Council-action-on-empty-properties [Accessed 29 Nov. 2017].

Ipsos MORI (2006) Survey of Empty Properties July 2006, Ipsos MORI

Frazer, L & Lawley, M (2000) Questionnaire Design & Administration . John Wiley & Sons Australia Ltd.

Glasgow City Council. (2017).  Glasgow’s Housing Strategy 2017-2022 . Glasgow: Glasgow City Council, 2017. Web 6 May 2017

Glasgow City Council, 2017. Telephone conversation regarding empty property figures . Personal communication, 05 May 2017.

Glasgow Housing Association, 2017. Telephone conversation regarding waiting list figures . Personal communication, 06 May 2017.

Naoum, S. (2012). Dissertation research and writing for construction students. 3rd ed. New York: Routledge.

North Lanarkshire Council (2016) Empty Homes Statement for the Development of the Local Housing Strategy 2016-2021 . (2016). Glasgow: North Lanarkshire Council.

Nurton, J (2009) ‘The house next door is a derelict eyesore – what can we do?’  The Independent , London 7th Jan 2009.

Scottish Government (2017).  Housing Statistics for Scotland – Housing lists . Public Document 2017

Scottish Government. (2017). Housing Statistics for Scotland – New House Building. Public Document 2017. Web 4 May 2017

Scottish Housing News. (2017).  New research reveals Scottish public’s concerns regarding empty homes – Scottish Housing News . [online] Available at: http://www.scottishhousingnews.com/10407/new-research-reveals-scottish-publics-concerns-regarding-empty-homes/ [Accessed 23 Nov. 2017].

Shelter Scotland (2016).  Scottish Empty Homes Partnership Annual Report 2015-16 . 2016. Web, 5 May 2017.

Scotland.shelter.org.uk. (2017).  Scottish Empty Homes Partnership . [online] Available at: https://scotland.shelter.org.uk/empty_homes/scottish_empty_homes_partnership [Accessed 16 Nov. 2017].

Shelter Scotland (2016).  Empty property case studies and current projects . 2016. Web, 5 May 2017.

Walliman, N. (2011). Your Research Project. London: Sage Publications Ltd.

https://scotland.shelter.org.uk/__data/assets/pdf_file/0004/1271767/Scottish_Empty_Homes_Partnership_Annual_Report_2015-16.pdf

https://scotland.shelter.org.uk/__data/assets/pdf_file/0019/1402516/Scottish_Empty_Homes_Partnership_Annual_Report_201617.pdf

https://stv.tv/news/politics/1404292-number-of-long-term-empty-homes-rises-to-more-than-37-000/

https://www.scotsman.com/news/politics/number-of-long-term-empty-properties-in-scotland-at-record-high-1-4705569

Scottish Borders Council Empty Homes Strategy 2012 – 2017

https://scotland.shelter.org.uk/__data/assets/pdf_file/0007/1163743/ScottishLawCommissionCPODiscussionPaperResponse.pdf/_nocache

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Keiser, Zachary. "Revitalized Public Housing." University of Cincinnati / OhioLINK, 2019. http://rave.ohiolink.edu/etdc/view?acc_num=ucin1563527909422834.

Waggener, Christine E. "Patterns economical inhabitations /." This title; PDF viewer required. Home page for entire collection, 2004. http://archives.udmercy.edu:8080/dspace/handle/10429/9.

Kwiatkowski, Caitlyn A. "Designing Within Constraints: Design Politics of HOPE VI Public Housing Developments." University of Cincinnati / OhioLINK, 2014. http://rave.ohiolink.edu/etdc/view?acc_num=ucin1397233339.

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Al-Shatti, Salem Abdullah. "Assessment of the phenomena of physical alterations performed on limited and average income government subsidized houses under the ownership program in the state of Kuwait." Diss., Georgia Institute of Technology, 1989. http://hdl.handle.net/1853/23476.

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Kummer, Quinn. "New(er) Urbanism." University of Cincinnati / OhioLINK, 2011. http://rave.ohiolink.edu/etdc/view?acc_num=ucin1306502862.

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Shen, Qing. "Low-income public housing in Hong Kong and Singapore 1950-1980 : a comparative analysis." Thesis, access full-text online access from Digital dissertation consortium, 1986. http://libweb.cityu.edu.hk/cgi-bin/er/db/ddcdiss.pl?ML36840.

Fung, Annie H. "Low income rental housing in Canada : policies, programs and livability." Thesis, McGill University, 1992. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=56994.

Al-A'Bed, Abdullah Mohammed. "Housing provision and evaluation : effectiveness of low-income public housing in Sana'a (Rep. of Yemem)." Thesis, University of South Wales, 1996. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.265725.

Mafico, C. J. C. "An analysis of public sector urban low income housing in Zimbabwe : An appropriate housing policy." Thesis, University of Liverpool, 1987. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.378661.

Lanier-Jones, Cassandra K. "Evaluation of the low-income housing crisis in America 1978-1988." Instructions for remote access. Click here to access this electronic resource. Access available to Kutztown University faculty, staff, and students only, 1990. http://www.kutztown.edu/library/services/remote_access.asp.

Sianga, Busisiwe Elizabeth. "An approach to sustainable, energy efficient design for low-cost housing in Botswana." Pretoria : [s.n.], 2007. http://upetd.up.ac.za/thesis/available/etd-09222008-144556.

Lam, Kam-wah. "The impacts of the privatization of public housing on low-income groups in Hong Kong." Hong Kong : University of Hong Kong, 1997. http://sunzi.lib.hku.hk/hkuto/record.jsp?B20126475.

Lacroix, Carol Josephine. "The politics of need : accounting for (dis)advantage : public housing co-operatives in Western Australia /." Access via Murdoch University Digital Theses Project, 2006. https://wwwlib.murdoch.edu.au/adt/browse/view/adt-MU20080411.150027.

Nutter, Katherine S. "Defining success in low income housing| Why does it matter?" Thesis, California State University, Long Beach, 2016. http://pqdtopen.proquest.com/#viewpdf?dispub=10196538.

The US Census Bureau reveals the number of families in poverty in the United States in 2014 was 9.5 million, at a rate of 11.6 percent. In the current economic climate, many more families are facing the possibility of eviction, foreclosure and homelessness. Low income families may be able to secure a residence through low-income housing organizations. Orange County Community Housing Corporation is an organization that offers a program in addition to long-term housing in areas such as financial literacy, education, and health. In this setting, tenants may begin to think about more future oriented prospects rather than daily/weekly survival issues. As families become more stable, their perceptions of success and how the program may help them will reveal how services can be tailored more effectively.

The purpose of this ethnographic study is to discover how participants within Orange County Community Housing Corporation define success. As tenants are involved in the program, program definitions may play a part not only in shaping tenants’ immediate goals (i.e., finding employment, returning to school), but also their overall perception of success. Tenants’ definitions of success may also contribute to how the program is shaped. This qualitative study will utilize participant-observation and semi-structured interviews with the overall aim to explore the intersection of tenant and program definitions of success and their convergence towards sustainable outcomes for tenants, which includes averting homelessness and working towards greater “self-sufficiency.”

Odetunde, Joshua Omoniyi. "Engaging the Nonprofits in Louisville Housing Market for Low-Income Households." ScholarWorks, 2015. https://scholarworks.waldenu.edu/dissertations/1653.

Harper, Caleb Benjamin. "Vertical Village : towards a new typology of high-density low-income urban housing." Thesis, Massachusetts Institute of Technology, 2014. http://hdl.handle.net/1721.1/87539.

Ho, Hoi-cheung. "The housing problems of low-income singletons and the possible solutions." Hong Kong : University of Hong Kong, 2000. http://sunzi.lib.hku.hk:8888/cgi-bin/hkuto%5Ftoc%5Fpdf?B23339573.

Lai, Hing-hong. "The dynamic of privatizing public housing in Hong Kong : benefiting the better-off at the expense of the poor? /." Hong Kong : University of Hong Kong, 1997. http://sunzi.lib.hku.hk/hkuto/record.jsp?B20123954.

Zhuang, Zhong. "Factors influencing the labor force participation of low-income adults on public housing assistance." Thesis, Available online, Georgia Institute of Technology, 2007, 2007. http://etd.gatech.edu/theses/available/etd-07092007-001141/.

Bandile, Unathi Cordelia. "Beneficiary perceptions of a low income housing scheme: Mdantsane township." Thesis, Nelson Mandela Metropolitan University, 2015. http://hdl.handle.net/10948/d1021137.

Postyn, Sarah Hilary. "The low income housing tax credit : study of its impact at the project level." Thesis, Massachusetts Institute of Technology, 1994. http://hdl.handle.net/1721.1/69336.

Ziegler, Ellen. "Application of a salutogenic design model to the architecture of low-income housing." Thesis, University of British Columbia, 2014. http://hdl.handle.net/2429/51366.

Carter-Boone, La Shonda R. "United States low-income housing policy from 1930-1995 : assessing the feasibility of the advocacy coalition framework to explain policy change and learning at the U.S. Congressional level /." free to MU campus, to others for purchase, 2001. http://wwwlib.umi.com/cr/mo/fullcit?p3012955.

Hadi, Bagus P. "The process of public housing development by the National Housing Company in Jakarta, Indonesia." Virtual Press, 1990. http://liblink.bsu.edu/uhtbin/catkey/722798.

Arnett, Alicia A. "CHRONIC HEALTH CONDITIONS OF INDIVIDUALS IN PUBLIC HOUSING." UKnowledge, 2011. http://uknowledge.uky.edu/foodsci_etds/27.

Lam, Kam-wah, and 林錦華. "The impacts of the privatization of public housing on low-income groups in Hong Kong." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 1997. http://hub.hku.hk/bib/B31968272.

Strozier, Sandra M. "Perspectives of Low-Income Homeowners on the Housing Choice Voucher Homeownership Program." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/7341.

Ho, Hoi-cheung, and 何凱翔. "The housing problems of low-income singletons and the possible solutions." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 2000. http://hub.hku.hk/bib/B31968776.

Leonard, K. Mark. "Low-Income Households' Perceived Obstacles and Reactions in Obtaining Affordable Housing." ScholarWorks, 2018. https://scholarworks.waldenu.edu/dissertations/5894.

Baba, Mbulelo Mazizi. "Community participation in low-income housing projects : experiences of newly-urbanised Africans in Mfuleni in the Cape Metropole." Thesis, Link to the online version, 1998. http://hdl.handle.net/10019/1292.

Boate, Kwame Safo. "Public Housing as a Poverty Intervention Measure: Examining the Usefulness of Poverty Threshold Method as a Measure of Affordability, the Case of Summit County, Ohio." Akron, OH : University of Akron, 2009. http://rave.ohiolink.edu/etdc/view?acc%5Fnum=akron1239045399.

Mmakola, Monepo David. "Housing in Ivory Park : a critical assessment." Thesis, Stellenbosch : University of Stellenbosch, 2000. http://hdl.handle.net/10019.1/4391.

Spinazzola, Aida. "A rationalized building system for low-income housing as a response to the issues of flexibility and participation." Thesis, Massachusetts Institute of Technology, 1988. http://hdl.handle.net/1721.1/77692.

Hallacher, Brett W. "Rethinking social architecture." This title; PDF viewer required. Home page for entire collection, 2006. http://archives.udmercy.edu:8080/dspace/handle/10429/9.

Jacobs, Juan. "What contributions can housing co-operatives make to managing the South African housing crisis?" Thesis, Stellenbosch : University of Stellenbosch, 2011. http://hdl.handle.net/10019.1/6778.

Jones, Justin Balog. "Seeley Lake Montana. Developing a Sustainable Community within a Grid-Dependent Town." Thesis, Montana State University, 2007. http://etd.lib.montana.edu/etd/2007/jones/JonesJ0507.pdf.

Lawrence, Juan Marcos. "The provision of low-income housing within the context of a new town in Lazard Cardenas - Las Truchas, Mexico." Thesis, Massachusetts Institute of Technology, 1985. http://hdl.handle.net/1721.1/75959.

Nsor, Sledge Adokoh. "Social housing in South Africa: the Walmer Links example." Thesis, Nelson Mandela Metropolitan University, 2014. http://hdl.handle.net/10948/8597.

Li, Qiang. "An investigation of the challenges facing the Nelson Mandela Bay Municipality in the provision of low-income housing." Thesis, Nelson Mandela Metropolitan University, 2006. http://hdl.handle.net/10948/543.

Oosthuizen, Jolandie. "The role of community participation and community empowerment in the planning and delivery of low-income housing : an evaluation of housing project 59 in Paarl." Thesis, Stellenbosch : Stellenbosch University, 2003. http://hdl.handle.net/10019.1/53679.

Harris, Beth Ellen. "The power of poverty lawyers : defending a right-to-home /." Thesis, Connect to this title online; UW restricted, 1999. http://hdl.handle.net/1773/10731.

Mancheno, Gren Ana. "Exploring Typologies, Densities & Spatial Qualities : The Case of Low-Income Housing in South Africa." Doctoral thesis, KTH, Samhällsplanering och miljö, 2006. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-4073.

QC 20100909

Johnson, Stuart Clark. "Section 103(b) (4) (A) of the internal revenue code: can the tax code provide an efficient and effective low income "housing program"? ; (an economic analysis)." Thesis, Virginia Polytechnic Institute and State University, 1986. http://hdl.handle.net/10919/94470.

Alexander, Jason Philip. "Conflict in Adair Park: preserving neighborhood architecture and history and building affordable housing." Thesis, Georgia Institute of Technology, 2010. http://hdl.handle.net/1853/34831.

Bekker, Jakobus Petrus. "Improving the supply of subsidised housing in South Africa." Thesis, Nelson Mandela Metropolitan University, 2017. http://hdl.handle.net/10948/19553.

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All Output Person Project

A brief review of the development of Passivhaus in the UK social housing sector

Zhao, jing; carter, kate.

Dr. Jill Zhao [email protected] Senior Lecturer in Architecture and Construction Technology

Kate Carter

The social housing sector is lacking in both quantity and quality of new build and existing homes. The existing design and development of social housing are also in urgent need of review in terms of energy efficiency as the cost of living crisis deepens. The Passivhaus standard provides a potential solution for both new build and existing homes, offering a design strategy that benefits the health and well-being of end-users, reduces fuel poverty, and minimises GHG emissions. However, the challenges and possibilities regarding the Passivhaus standard and social housing are not well understood. This paper reviews previous research and practice of Passivhaus projects in the UK and explores Passivhaus methodology from the perspectives of social housing providers, the design and construction team, and the end-users behaviour and experience. By doing so, it identifies the barriers and opportunities when implementing the Passivhaus methodology in the UK social housing sector.

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The Master and Margarita: Deconstructing Social Realism

Kristina belyk.

Introduction:

The genre of Russian Socialist Realism is closely tied up with the political change that took place in the Soviet Union in 1920s through to the 1930s after the Bolshevik Revolution, and has dominated all artistic fields until the break-up of the Soviet Union in 1991. With the new post-revolutionary ideologies that were being put into use by the Soviet government to encourage the process of collectivisation and industrialisation, the enforcement of Socialist Realism as a main literary genre was one of the key strategies generated in the effort to create the ‘new’ man who would fully partake in ‘a grand historical endeavour called building Socialism’. The Communist Party enforced a policy on the publishing houses of the USSR proclaiming the only acceptable literature to be one that adhered to  ‘sotsialny zakaz’ , meaning ‘social order/command’, which dictated specific pro-Soviet themes, content and styles of writing that simulated the ideals of social construction. The literature that was suitable for the Party’s aims and adhered to their request became what is known as the Socialist Realism genre. In effect, writers who followed  ‘sotsialny zakaz’  and produced Socialist Realist work were ‘employees of the state’, and any writer dissenting from this genre would rarely be published, or worse, marked as the ‘enemy of the state’ if their literary work was deemed to hold contra-revolutionary ideas.  

The strict enforcement of the Socialist Realism genre coincides with the time period within which Mikhail Bulgakov’s novel  The Master and Margarita  was written, however the novel is known not for its affinity to this genre, but quite on the contrary for stepping away from it at a time when nothing other than Socialist Realist literature was accepted by censorship. There is no complete settlement amongst the critics of the novel whether Bulgakov intentionally and consciously opposed and parodied Socialist Realist literature, although there is a general agreement that the novel does in fact dissent from the expected norms of literature of the time. By combining a close reading of the novel with an awareness of norms of Socialist Realism, a definite discrepancy is visible which indicates a possible conscious engagement, as well as conscious criticism and movement away from the Socialist Realism genre. This often has been noted by studies of the novel, however the idea of Bulgakov’s dissent is rarely explored though close textual analysis. Due to the time period of the composition of the novel, which falls on the post-revolutionary era of the USSR, and Bulgakov’s biographical aspects such as his will to gain writer’s freedom definitely allows the possibility that his novel  The Master and Margarita  is purposefully dissenting from Socialist Realist literature, both through criticism and satire of the genre itself, and the ideological bases upon which it is set.

Bulgakov’s novel  The Master and Margarita  has received a lot of scholarly and critical attention, researching the origins of its various mystifications, allusions and intertextualities with religious and mythological texts. More importantly, the novel touches upon numerous thought-provoking topics such as Soviet history, culture and politics of the difficult Communist time period, which are the most influential aspects of this novel, as the context of its production has directly influenced its content. This dissertation will explore The Master and Margarita  in relation to the genre of Socialist Realism as the only acceptable genre during the time of the novel’s creation (between 1928 and 1940). Analysis of the novel will be interlinked with a focus placed on historical context and how Bulgakov’s own beliefs have influenced his most famous novel, closely relating between Communism and Socialist Realism as factors that go hand in hand with each other. In Chapter One this work will outline the genesis of Socialist Realism, researching its origins and principles, as well as historical background of the USSR in which Socialist Realism developed and flourished, with some emphasis on Bulgakov’s biographical examples of how the Soviet regime affected his work. Chapter Two will go on to a close analysis of the novel, examining  The Master and Margarita  in relation to the techniques of its structural subversion of the Socialist Realism genre, and analysing the social commentary which Bulgakov provides throughout the novel via drawing parallels and comparisons between societies of the past and the future (modern Moscow and ancient Jerusalem). This chapter will also explore the functions of various characters, importantly the subversion of the ‘Socialist Realist hero’ through the character of the Master, and the problematic place the protagonist holds in the novel. In Chapter Three the dissertation will focus on Bulgakov’s deeper level of dissent from Socialist Realism through his philosophical and satirical deconstructions of Communist and Socialist Realist ideology. The chapter will first examine Bulgakov’s philosophical views on ideas such as authenticity of political power, and the ways in which Woland and his retinue convey notions of deep meaning though comical episodes. The chapter will go on to explore the negative aspects of society such as arrests, the housing problem and shortage of goods and provision as Bulgakov’s satirical representations of flaws within the new Soviet government. Lastly, this chapter will look at the novel’s fictional MASSOLIT as a parody of RAPP (Russian Association of Proletariat Writers), which is a subject personally important to Bulgakov, as RAPP was both the heart and the mechanism of production of Socialist Realist literature, and an institution Bulgakov was extremely adverse to.

Chapter 1: Construction and Influence of Socialist Realism.

Socialist Realism was the main genre proliferated amongst all of the arts in the USSR from the 1930s, encapsulating all artistic spheres: literature, theatre, art, music and even architecture. It was the sole method allowed by the state censorship in the different periods of development of the USSR, and is therefore closely associated with ideology and propaganda. The ideological content of the Socialist Realist method is based on dialectic-materialistic philosophy of Marxist-Leninist discourse. Lenin’s original idea was that art should stand on the side of the proletariat: ‘Art belongs to the people. The deepest wellspring of art must be found among the wide-ranging class of labourers [...] Art should be based on their feelings, thoughts, and demands, and should grow along with them.’ The roots of Lenin’s idea can be traced back to 1917, just before the Revolution, when an organisation called  Proletkult  was created by a Marxist philosopher Alexander Bogdanov, aiming to ‘develop creative potential of the working masses’. Later this organisation became RAPP (Russian Association of Proletariat Writers), which reformed its aim to creating art that serves the purpose of the Communist Party, rather than encouraging art created by the proletariat.

Built on this prevalent yet up to this point vague foundation, Socialist Realism did not exist as a clearly defined genre until the 1930s. The term ‘socialist realism’ was first proposed by the Chairman of the Organizing Committee of the USSR Writers Ivan Gronsky in the  Literary Gazette  on May 23, 1932  and consequently was officially approved. In 1932 and 1933 the term was heavily propagated. Starting from this period and throughout the whole of the 1930s Bulgakov and other dissenting writers experienced the heaviest criticism from the periodical press, as the enforcement of Socialist Realism was in its prime, and any ‘non-party’ writers were under huge pressure to conform.

The statute of Socialist Realism was that ‘the Soviet artist should reflect in his or her own works the great achievements of socialist construction and educate Soviet readers in the spirit of party consciousness and socialist patriotism.’ Characteristically, Socialist Realism is the artistic presentation of events of the epoch, which were ‘dynamically changing in their revolutionary development’. In fact, Socialist Realism did not have much to do with actual ‘Realism’, as it did not describe reality but a glorified version of life, therefore it could more accurately be called ‘Socialist Idealism’.  As remarked by Abram Tertz , the writer had to see the ‘Purpose with a capital P’ instead of the present. Similarly, Rufus Mathewson believes that under the Socialist Realism guidelines literature became a ‘”healthy”, controlled ideological instrument, not a mirror any more but a weapon.’ These critical comments are accurate, as intentions of Socialist Realism can be traced even from the original meditations on it, such as one by Lunocharsky, a Socialist Realist author. He wrote that the (Socialist Realist) author ‘not only understands the world, but tries to change it. [He is] completely goal orientated, he knows what is good and what is evil, he can see those forces that hinder development and those that stimulate powerful forward motion toward the great goal.’ It is important to note that critical commentary on the genuine purpose of Socialist Realism was not allowed to exist in the USSR, and criticisms such as that of Sinyavsky (Abram Tertz) originated outside the USSR and even published under pseudonyms.

At the first All-Union Congress of Soviet Writers in 1934 Maxim Gorky made a speech which set the foundation of Socialist Realism, and established bases for themes of many novel plots within this genre:

Socialist Realism asserts existence as action, as creativity, the aim of which is to continually develop valuable individual qualities of a person, for the sake of his victory over the forces of nature, for the sake of his health and longevity, for the sake of great happiness in life on Earth, which he, in the constant growth of his needs, wants to wholly work at, as it is a great home of humanity, united in one family.

Many Socialist Realist writers went on to portraying ideas similar to those represented in Gorky’s speech, such as Fydor Gladkov’s  Cement  which depicts the theme of ‘existence in action’ as the novel’s hero returns from the war and wholly dedicates himself to reconstructing the abandoned cement factory in his home town. Maxim Gorky’s own novel The Mother  is a great portrayal of what he meant by the ‘develop[ment of] valuable individual qualities of a person’ , as in the novel the mother of a revolutionary young man becomes ‘enlightened’ with Socialism, giving her life for handing out socialist propaganda leaflets. Nikolai Ostrovsky’s  How the Steel Was Tempered  is exemplary of the idea of dedicating one’s life to achieve ‘great happiness in life on Earth’ for the sake of ‘humanity, united in one family’. In this novel, the hero wholeheartedly focuses on living out his life for the benefit of Soviet society, as he sees it as the only life worth living. These particular novels were noted as some of the exemplary and significant by the Soviet critics, and to this day remain the ‘classics’ of the Socialist Realist genre. They adhere to the idea that the Soviet man is not supposed to ponder negativity, he has to put all his efforts into the Party idea, honestly and dutifully labouring, suppressing personal desires and needs. Caryl Emerson questions: ‘What should the new Soviet person strive to see? This person should not dwell on the dark or perverse side of human nature’, meaning that scepticism or social criticism were unacceptable literary subjects in Socialist Realism, unless a conversion and enlightenment of a sceptic was carried out.

From the vague themes outlined by Gorky, four official principles for literary subject choice were set out. A good Soviet ‘conscious subject’, either fictional or real, was expected to encompass the following categories:  Partiinost  (Party-mindedness) meaning that every creative expression was considered political, because the foundation of all knowledge is the Party.  Ideinost  (Idea-mindedness), emphasising that ideas within creative works should reflect those of the Party, as well as motivating people for a certain aim, for example raising production levels.  Klassovost  (Class-mindedness), acknowledging the working class as the ‘origin of art’. This principle was eliminated in 1936, when the Soviet Constitution declared a classless society.  Narodnsot  (People/folk-mindedness) orientated art towards accessibility for the masses, both through language and values. Resulting this narrow conceptual scope within the genre, Socialist Realist novels were moderately similar in content and aim, as there was a reasonable limit to pro-socialist topics they could address. Wachtel and Vinitsky describe a good example of a Socialist Realist novel:

In these works, the model Communist taught political ‘consciousness’ to the peasants and workers who remained politically immature, and were hated by villainous enemies of the Soviet regime and by those pitiful intellectuals who were weak in their socialist convictions.

A writer was expected to take the position as ‘an engineer of human souls’ and use their talent as a way of propaganda, educating the reader to be loyal to the Party in the struggle for the victory of Communism. Actions and aspirations of the writers, as well as their readers, had to meet the objective course of history. To quote Lenin:

[Literature] must become party literature […] Down with nonpartisan writers! Down with literary supermen! Literature must become part of the common cause of the proletariat, ‘a cog and a screw’ of one single great Social-Democratic mechanism set in motion by the entire politically-conscious vanguard of the entire working class.

Resulting from the expectations placed on writers, their literary characters, and the readers, Socialist Realism produced its main tool for inspiration- the character of the ‘new Soviet man’, a ‘positive hero’ lacking psychological complexity. It was not suitable for Socialist Realism to inwardly explore literary heroes, who instead had a motivational and inspirational role. Morson notes on this subject: ‘Soviet novels usually depict the hero’s quest for  im personality, his struggle to become one with his Marxist-Leninist role.’ This is a logical reflection of the non-individualistic system of Communism. The Socialist Realist hero was a hero of Communism itself, and had the purpose of ‘leading’ and inspiring the reader to be the same- simple and unquestioning.

Wachtel and Vinitsky quite accurately sum up the task of Socialist Realism in the history of Russia: ‘[…] Socialist Realism played a crucial role in forming and nurturing the Soviet myth, or more accurately the Soviet religion focused on transforming the world.’ To solidify the Socialist Realist method as core allowed the government better control of creative individuals and better propaganda of politics. Gorky, as the founder of the outlined Socialist Realist principles, headed the specially created Union of Writers of the USSR, which consisted mainly of pro-Soviet writers and poets. Socialist Realism became the ‘sole method appropriate for literature.’ Such strict control over the arts left little room for any other ‘realistic’ accounts of Soviet life, and as Laura D. Weeks points out ‘created an officially sanctioned History, history with a capital “H”. Whether this history had anything to do with reality is another matter.’

The actual reality of Soviet life was harsh and fast-paced. The ‘revolutionary development’ began in 1917, when Russia made the transition from the monarchically ruled empire of Nicholas II to a Communist government via the Russian Revolution, and remained under the totalitarian Communist government for most of the 20th century, past Bulgakov’s death in 1940. Vladimir Lenin was in power from 1918 through to the 1921, keeping Russia as a nationalised and partially privatised economy. The radical changes began in 1922 as Joseph Stalin rose to power. Stalin felt that the Soviet Union was well behind other industrialised nations; he created his renowned ‘Five Year Plans’ which had the intention of quickly raising production rates, focusing on several main areas. One of the areas was agriculture, as there was a vast amount of farms in the USSR, yet only a few produced enough to feed anyone other than the families that lived on those farms. The idea proposed was that all land would be confiscated, nationalised, and made into state-run agricultural collectives, which should produce enough food for the whole country. Food, however, was still scarce and many problems arose due to the resistance of private land owners, who were consequently sent to prison camps. Around one-third of Russia’s crops and livestock were destroyed during the fights to attain state power over their land.

Industry was also one of the main areas of focus and grand change. ‘Gosplan’ was created as an organisation in charge of setting productivity goals for all other industries, and monitoring the progress of their work.  Any worker who was deemed to be holding back the progress was detained or sent off to labour camps. Although production rate was immensely raised by thousands of present, the quality of people’s lives degraded, as fear of arrests was forcing the workers to labour for over fourteen hours a day. Paperwork was frequently falsified when an industrial unit had no hope of meeting their set output levels. In reality, people were not wholly interested in expanding the heavy industry when there was not even enough food, and their real preoccupations such as arrests, hunger and acquisition of goods were never portrayed in Socialist Realist literature, which focused on exactly the opposite – creating the ‘socialist hero’ who expands the industry and has no personal needs. The Soviet regime needed to be glorified for the purposes of sustaining and promoting it, and literature was an immense aid in this purpose. It is only through dissent of writers like Bulgakov who could not supress himself and conform to the Socialist Realism genre, the modern reader has a chance to engage with a true and contextual representation of life in the ‘new’ Socialist society of USSR in the 1930s.

Mikhail Bulgakov’s creative period coincided with all these vast changes in the USSR. A substantial amount of his work, prose and drama alike, was banned or left unpublished during his lifetime due to the troubled historical period within which he lived and worked. In this time period, anything that was considered ‘counter-revolutionary’ in the artistic world was oppressed- all oppositional press was closed down, purges and deportations of ‘counter-revolutionary intelligentsia’ were carried out, creating a huge fear of arrests among the people. As it can be seen from the historical course of the Communist period, activity within the country was focused on collectivisation and gaining a high industrial position. Due to this, literature had to take the role of an aid rather than an autonomous process, explaining the emergence of the Socialist Realist genre. This lead to the lack of freedom of creative expression, as an artist had very few options: produce Socialist Realist work, resist, or attempt to be positioned ‘above the literature wars or outside group battles.’ Writers such as Pasternak, Akhmatova and Bulgakov himself attempted to ‘rise above’, however, the latter two options were quite similar, neither being of great benefit. Pasternak ended up immigrating, and Bulgakov struggled to publish even the least amount of his work, much of which was requested to be re-written, disapproved, censored, banned or taken off stage. Surprisingly, although Bulgakov was heavily criticised, he was never arrested, and even seemingly had some patronage from Stalin himself, who was said to have been an admirer of his play  Day of the Turbins,  based on his novel  The White Guard. Bulgakov eventually lost tolerance with the lack of given autonomy, and attempted to immigrate, following the example of writers such as Pasternak and Nabokov. Even after writing several letters to Stalin, Bulgakov was not granted permission, and was forced to remain in Russia until his death at the age of forty-nine.

The significance of Socialist Realism and its historical context in relation to  The Master and Margarita  is that Bulgakov’s longing for freedom in writing, and the inability to attain it, lead to huge adversity towards Socialist Realism and the political ideologies that triggered it. Bulgakov’s novel is full of scepticism towards Communism and Socialist Realism, subtly written in through satire and criticism, as he never hoped for  The Master and Margarita  to be published within his lifetime, instead writing it ‘for the desk drawer’ similarly to  Doctor Zhivago  by Boris Pasternak. Bulgakov said of his own work: ‘I have heard again and again suspiciously unctuous voices assuring me, “No matter, after your death everything will be published”.’ This was Bulgakov’s own way of evading censorship, Pevear noting that because of this, ‘the novel breathed an air of freedom, artistic and spiritual’. Themes that were close to the hearts of the citizens of the USSR appear throughout the narrative: the lack of food, the housing problem, corruption and creative constraint, as well as philosophical enquiries into the authenticity of governmental power, all acting as a dissent from the prescribed norms of Socialist Realist literature. A Socialist Realist novel simply could not explore any of these topics, as its function was the complete opposite- to remain blind to negativities, stimulating readers to do the same.

Chapter 2:  The Master and Margarita  Deconstructing Socialist Realism.

Bulgakov’s scepticism towards the Soviet regime, in addition to his adversity of writing in the style of Socialist Realism enables his reader to receive a true glimpse of life in Moscow in the 1930s, something rare for a work that was created in the shadow of the Revolution. The genre of  The Master and Margarita  was stimulated by the ‘disillusionment’ with the changes brought by this Revolution. Due to this, the content and style of the novel are unusual for a literary work created in the Soviet era, and hardly fit into the requirements of the master narrative of Socialist Realism. Yurchenko notes that ‘[the novel’s] elaborate structure, independence of events, mystical characters and historical figures having philosophical conversations would not have pleased the “new” reader looking for simplicity and practical recommendations in literature’. Similarly, David Gillespie believes that ‘The novel eschews realism- both critical and socialist – from its very first pages’, making it rather dissimilar from the dictated realities portrayed by Socialist Realist literature, which had no room for anything mystical or ‘paranormal’.

The opening of the novel delves straight into the realm of supernatural, depicting the arrival of Woland in Moscow, a questionable mysterious character who the reader later discovers to be Satan himself. The main reason for Woland’s presence in Moscow is to take a look at the result of the new ‘social experiment’ carried out by the Soviet government: ‘I simply wanted to see the Muscovites  en massé ’. Woland later compares the ‘modern’ people to the people of ancient Jerusalem (Yershalaim in the novel), and conceivably to all people of all times. His verdict is:

They are people like any other people… They love money, but that has always been so ... mankind loves money whatever its made of […] Well, they're light-minded… well, what of it… mercy sometimes knocks at their hearts ... ordinary people ... In general, reminiscent of the former ones... only the housing problem has corrupted them.

This can be interpreted as Bulgakov’s scepticism towards both the Socialist belief that human beings are able to cardinally change, and the Soviet idea that reinvention of social structure will automatically lead to transformation of the human ‘soul’. The Socialist concept of creating the ‘new’ person appears futile through Bulgakov’s lens. Through Woland, an eternal observer of humanity, Bulgakov is conveying the idea that in the ever-changing world, even after centuries, there is no fundamental change in people, no matter under which political reign.

As a technique of portraying the above idea, the content of  The Master and Margarita  has been constructed by Bulgakov in a way that allow the reader to follow Woland’s observation of humanity over time, as it consists of two main timelines, one set in contemporary Soviet Moscow, and the other in ancient Jerusalem. The dual narrative and a splitting of time is effective not only in a sense of comparison between the two, but, as Weeks points out, takes the ‘action’ out of the current history where all Socialist Realist novels were placed. There are parallels that exist between the Moscow and Yershalaim narratives which serve as ties that bring together the two strands of the whole plot, more closely than it initially seems as both characters, imagery, and events are counterpartyed between each other. Significantly, the events that take place in Moscow and in Yershalaim happen over the same days of the year, on Easter. The recurring image of the moon is frequently omnipresent throughout the novel. David Gillespie writes: ‘The Holy Land and Moscow are brought closer […] for the full moon shines in Moscow in the 1920s as it does almost two thousand years earlier in Yershalaim (Jerusalem), and there are images (the heat and the smell of roses) that occur in both episodes.’ The significance of these similarities is the continuation of Bulgakov’s idea that regardless of the different periods of political influence throughout history, the natural world has not changed in any way.

To follow up on this idea, Bulgakov provides further proof of it by making a comparison of characters and their actions between the two narratives, offering a detailed social commentary by giving an insight on Woland’s observations of humanity, specifically, internal human qualities. During the course of the novel, Woland presents an unbiased view of people’s unchanging positive and negative traits, deconstructing the myth of creation of the ‘new’ Soviet man, a favourite character of the Socialist Realist novel. The moral qualities of both the population of Yershalaim and Moscow are compared and placed under scrutiny in several scenes of the novel. In ‘The Execution’ chapter, the crucifixion of Yeshua and two other criminals takes place. The scene is set in ‘scorching heat’ but this does not put off ‘about two thousand curious onlookers’, as crowds gather to ‘witness an interesting spectacle.’ A similar love for a public spectacle is seen in the citizens of Moscow around two thousand years later. After hearing of Woland’s infamous ‘Black Magic’ debut at the Variety theatre a ‘double queue […] almost a kilometre long’ gathers to acquire tickets for the next performance:

The queue hummed with agitation, attracting the curiosity of passers-by with its inflammatory tales about previous night’s fantastic demonstration of black magic. […] The ushers talked of incredible events, of ladies running around in the street in indecent attire […]

Another parallel drawn between the ‘old’ and ‘new’ people is their never-changing love of money and life’s luxuries. In Yershalaim, Judas’ love of the material drives him to the betrayal of Yeshua. As symbolic punishment, the money he receives eventually leads to his death. Similarly, the Moscow people’s love for the material is punished by Woland in several scenes, one of which is the highly meaningful scene of Woland’s ‘black magic’ performance. In this scene Koroviev and Behemoth rain down money on to the audience and set up a ‘boutique’ on stage where women can get new fashionable clothing in exchange for their own:

Hundreds of arms were raised, the spectators help up the bills up to the lighted stage and saw the most true and honest-to-God watermarks. The smell also left no doubts: it was the incomparably delightful smell of freshly printed money […] The word ‘money, money!’ hummed everywhere […] One or two were already crawling in the aisles, feeling under the chairs. […] In the dress circles a voice was heard ‘What’re you grabbing at? Its mine, it flew to me!’

In this satirical and rather naturalistic episode greed and vanity of the people is made visible, both individually and as a mass. Later, similarly to Judas, they are punished, as the women’s new dresses disappear off their bodies, leaving them ‘running down Tverskaya in nothing but their bloomers’ and the ‘free money’ disappears turning into paper, wasps, or even illegal foreign notes. McIntosh-Byrd writes that Bulgakov’s aim here is to point out that ‘[…]money, no less than fiction and religion, is dependent on faith, on the willingness to believe that objects of material culture are greater than the sum of their parts.’ Seemingly, Bulgakov saw the Soviet society to be far from the un-materialistic ideal drawn by Socialist Realist literature, in which citizens laboured voluntarily, unconcerned with personal gain, and de-constructs this myth in his novel.

It must be noted that not all of Woland’s observations are negative as Bulgakov is not attempting to represent a completely critical view of society, and unlike Socialist Realist literature, creates a realistic representation. Woland sees compassion that ‘knocks at [people’s] hearts’, for example when Behemoth rips Bangalsky’s head off during the performance, the audience ask to replace it. Similarly, in Yershalaim, Yeshua is portrayed as a character full of mercy and compassion. Just before his death, as Yeshua is receiving a drink, Dysmas angrily shouts- ‘Unjust! I am an outlaw like him!’ Hearing this, Yeshua begs for him – ‘Give him a drink’. His character is visibly modelled on Christ, an ever-existing figure of compassion. Mercy is another quality that appears in the text. This quality can be seen amongst the people of Yershalaim through their tradition of giving freedom to one criminal in celebration of Easter every year: ‘According to law, according to custom, one of these two criminals had to be released in honour of the great feast of Passover’. In the Moscow tale Margarita appeals to Woland for forgiveness of the murderess Frieda, as she was ‘careless enough to give [Frieda] hope’ instead of asking for her lover, the Master, the sole aim which has been driving her through the narrative so far. As well as displaying the idea of never-changing humanity, these positive qualities observed by Woland draw attention to the possibility that it is mercy and compassion are the greatest qualities in human nature, and not the qualities that are so highly praised by Socialist Realism, such as unity, selflessness and hard work.

All of the above observations made by Woland allude to the philosophy that people essentially remain the same, both with their good and bad internal qualities. This idea can be traced in Bulgakov’s other works, for example his novel  Heart of a Dog , where Preobrazhensky eventually returns Sharikov from the human state back to being a dog, as his true nature could not be changed. Following this conclusion, the novel raises the question: is the mission of the state futile, and is it at all possible to create a wholly good ‘new’ man? To answer this question Bulgakov poses his own interpretation of good and evil. In the conversation between Woland and Mathew Levi a certain truth can be seen:

You spoke the words as though you do not recognise the existence of either shadows or evil. But would you be kind enough to give some thought to this: what would your good be doing if there were no evil, and what would earth look like if shadows disappeared from it? After all, shadows are cast by objects or people. There is the shadow of my sword. But there are also shadows of trees and living creatures. Would you like to denude the earth of all the trees and living beings in order to satisfy your fantasy of rejoicing in the naked light? You are a fool.

Mathew Levi has nothing to reply to this, and the moral coming out of this passage seems to be that only through the co-existence of good and evil either can be distinguished. Bulgakov was adverse to any ‘utopian’ social experiments, and in this conversation between the characters a critique of the attempt to build a perfect society can be seen. Bulgakov seems to be saying that society cannot exist without having both good and bad individuals, just like there cannot be shadows without objects and vice versa, therefore the goal of exterminating human qualities that are not favoured by the state is unreasonable.

The above philosophy allows Bulgakov to set up his own value system within the novel. Unlike Socialist Realist novels in which good citizens and deeds are praised and the ‘bad’ are punished or reformed,  The Master and Margarita  contains no clear definition between ‘good’ and ‘bad’ characters, and the boundaries of right and wrong are highly blurred. The characters that apparently ‘serve the state’ are exposed to be selfish, greedy and fraudulent, and the classically ‘evil’ characters, such as Satan and his retinue are sympathetic, often very endearing and in fact function as the ones who reprove unfair aspects of society and deal out punishments to those who deserve it. David Gillespie defines Woland as ‘a figure of evil [that] hardly fits the bill; he is, rather, an agent of justice and retribution.’ The epigraph of the novel indicates this as an important theme, quoting from Goethe’s  Faust  in direct relation to Woland: ‘“Who art thou, then?” “Part of that Power which eternally wills evil and eternally works good.”’ Woland is portrayed symbolically as the character that trespasses both extremities of ‘good’ and ‘evil’, and his existence stands for the difficulty in making a clear distinction between either. Consequently, through assigning this ambiguous role to Woland, Bulgakov is possibly commenting on how any person under the Soviet regime could be labelled as ‘bad’ or ‘good’ for no concrete reason, an innocent person could get arrested, or instead a person of no worth could be praised and admired. Just like Bulgakov’s name carried negative connotations created by the Soviet critics, Bulgakov is portraying the Satan falsely ‘branded’, criticising the unethical classification system behind state ideology. Curtis expands on the socially significant function of Woland:

So Woland in the novel figures as a kind of plenipotentiary ambassador from the supernatural realm; his task is to establish contact with mankind at a moment when it appears to have cut itself off from its spiritual heritage. Soviet man has ceased to see that upon his action will hang consequences which may not even become apparent until the next life, that he is responsible for determining his own destiny through the choices he makes. In this existentialist vision of the dilemmas of choice confronting the individual, Woland is not empowered to influence decisions that each person takes. By meeting out punishments and allocating rewards, he can only hope to give modern man a salutary reminder of his own responsibilities in the spiritual domain, responsibilities which have not been swept away with the setting up of a materialist state power.

It is true that Woland never performs any typical ‘devilish’ deeds as would be expected of a an antagonist, and his function is to bring out the worst in the seemingly good Soviet people in order to expose them and teach them a lesson, as well as rewarding truly worthy individuals, such as the Master who has been antagonised by the state within the novel. It is Woland that provides a motion that drives the narrative, as opposed to state ideology being the driving force of a Socialist Realist novel. Without him a historical and social commentary would not be possible, as all the characters would remain in the same place as at the start of the novel.

Similarly to Woland, the Master also holds an uncertain, ambiguous position in the novel, as his label as the ‘hero’ has been placed under doubt by many studies, and his significance has been termed as ‘problematical’. Weeks writes that ‘most Soviet novels open as the hero leaves his habitual environment and goes to another place. This new environment functions as a testing ground for his manhood’. By this definition, the Master does not match the criteria of a hero, especially as it would seem strange that he appears only in chapter thirteen, and has no name. As a character, the Master is also weak by nature, completely different to the Socialist Realist hero, who is typically a strong devoted person that leads the team and serves the higher purpose of building a brighter future. The path of the Master throughout the novel is also unusual for a protagonist. Typically of Socialist Realism, as Weeks goes on to say, ‘the positive Soviet hero moves from isolation to social integration and collective rather than individual identity’. The Master however is completely uninterested in society, and does not appear to have a goal towards which he is progressing. This has been noted by many critics, such as Delaney describing the Master as a ‘passive, broken victim’, similarly to Gillespie who writes of him as ‘weak and incipit, burning his novel in a moment of despair and retiring voluntarily to the asylum.’ His defeated attitude is clear, contrasting the ‘undefeatable’ morale of a Socialist Realist hero, as the Master appears to have given up on any possible improvement of his problems: ‘I am no one today […] I am mentally ill’ and further, ‘I want nothing further from life, except to see you [Margarita]. But I advise you once again to leave me, or you'll perish with me.’

The spiritual journey of the Master is also different to that of a Socialist Realist hero, which, as Clark defines, ‘involves a young man’s quest for consciousness’. An almost impossible task appears which is supposed to be achieved by the hero. Through overcoming obstacles, and mastering one’s own desires, the hero grows to a new level of consciousness; thereby the ‘spontaneity/consciousness dialectic’ is resolved as the hero becomes a part of a new Socialist collective identity. The Master however does not try to overcome his obstacles, instead allowing Margarita to ‘save’ him, and never reaches ‘political consciousness’ that is so desirable in the Socialist Realist narrative. The Master does not wish to partake in collective society, removing himself from it as far as possible. Weeks makes an excellent point that ‘[…] the fact that [the main characters of the novel] move in spatial terms from the ideological centre of Soviet life to the periphery and in temporal terms backwards, away from the utopian communist future, indicates the real reason for discrepancy between  The Master and Margarita  and the classical Socialist Realist novel.’ This could be the explanation for the ambiguous ending of the novel and the fate of the protagonists which has ‘puzzled critics for years’. Yeshua asks Woland to take the Master and Margarita with him and grant them ‘peace’. Woland questions this decision – ‘And why don’t you take him with you, into the light?’ to which Mathew Levi replies with sadness ‘He has not earned light’. Delaney states that ‘Perhaps [Master] knows that all mysteries are not unravelled through knowledge, nor does happiness lie in touching the distant star.’ This is plausible, however, the ‘peace’ granted to them can be compared with the fate of Pontius Pilate, the ‘eternal now’ he has endured ‘twelve thousand moons, for one moon long ago’. Another indication that the protagonists are indeed sharing the fate of Pilate is the parallel established between him and the Master, who both repeat the same phrase throughout the novel- ‘even in the moonlight I have no rest’. It could be due to the weakness of the Master’s character that he does not earn light- he does not even strive for it, paralleling Pilate’s weakness of character, as he does not save Yeshua from death even though he really wishes to. It is possible that due to these parallels, the Master’s fate can be interpreted as punishment, backed up by Gillespie’s reminder that at the end of the novel the protagonists are in fact dead, which leads to a conclusion such as Stenbock-Fermor’s that the characters are indeed punished. After all, it is Satan who takes patronage of them, and ‘they drink not in the memory of Christ, but to the health of Woland’. In the light of this reading, the Master becomes a sort of antagonised hero, a binary opposite of the Socialist Realist hero, who is rewarded for all his efforts with progress to the ‘greater future’. Bulgakov’s novel appears rather pessimistic towards the idea of attaining happiness. None of the characters really achieve a ‘happy ending’, the exception being Pontius Pilate, who is finally granted release and gets to join Yeshua in the ‘light’.

Bulgakov’s way of structuring the novel and character roles appears to be complicated yet is highly effective in allowing an in-depth social commentary. Deconstruction of Socialist Realist concepts such as the ‘new’ Soviet man/ Socialist Realist hero surfaces the doubtfulness of values that are propagated by Soviet culture. Bulgakov’s use of the supernatural allows a deeper exploration of human traits, as well as a construction of his own value system as a critical response to the value system within Socialist Realism. It seems like the myth of working together towards the ‘great Soviet future’ that was circulated by Socialist Realism never deluded Bulgakov, as throughout his novel his movement away from Socialist Realism demonstrates him to be continuously sceptical of the fundamental aspects that the Socialist Realism genre is built on.

Chapter 3: Satire and Philosophy as Subversion of Socialist Realism.

In the light of the novel’s production during ‘one of the darkest decades of the century’, several critics have interpreted  The Master and Margarita  as having a substantial basis for being a parody of a Socialist Realist novel. Colin Wright speculates why Bulgakov’s novel gained such high recognition after being published:

In the former Soviet Union, as well as in the countries of Eastern Europe, it was appreciated first of all for its satire on the absurdities of everyday life: involving Communist ideology, the bureaucracy, the police, consumer goods, the housing crisis, various forms of illegal activities and, above all, the literary and artistic community.  

Satire was not appreciated in the Socialist Realist novel, and as Emerson notes, ‘outright mockery of the heroic task of socialist construction was not permissible.’   Through the course of the text Bulgakov, with the use of Woland and his retinue, not only exposes the faults of individuals and general masses, but also the faulty state structure and ideologies. David Gillespie writes:

Bulgakov [does not] need to resort to the fantastic to satirize the life in the USSR: he attacks the very paucity of material existence, whether this be in the form of the bullying petty officials, Sokolov’s sandwiches ‘of secondary freshness’, the facts that certain restaurants are reserved only for a certain  nomenclatura , or the severe housing shortage. The result is the brutalisation and sheer opportunism of the majority of the populace.

Through parodies and satirical scenes, Bulgakov touches upon serious matters of society, as a way of exposing them, and drawing attention to their sheer ridiculousness, unnecessity and often falsity. One of the deepest political and philosophical subjects Bulgakov explores in his novel is man’s ownership of power and creation of history. In the Soviet era, the Party in power was proclaimed as the creator of the better future and as the driving force of the grand historical Communist motion. First Lenin, then Stalin were pedestalled as the men creating a grand history. Bulgakov’s scepticism of this is present right from the start of the novel. In the first chapter a significant conversation takes place between Woland and the two Moscow characters, Berlioz and Ivan Bezdomniy, which sets the ground for doubt of ‘true power’ proclaimed by the state. This scene is a fusion of humorous and occurrences and philosophical interlocutions, such as Woland pretending to be a ‘foreigner’ and seemingly talking nonsense whilst posing serious questions. In answer to Woland’s query- ‘[…] if there is no God, then, one may ask, who governs life and, in general, the whole order of things on earth?’ Ivan confidently answers: ‘Man governs it himself’. Woland finds this idea amusing, retorting:

[…] in order to govern, one needs, after all, to have a precise plan for a certain, at least somewhat decent, length of time. Allow me to ask you then, how can man govern, if he is not only deprived of the opportunity of making a plan for at least some ridiculously short period – well, say, a thousand years – but cannot even vouch for his own tomorrow? […] imagine that you, for instance, start governing, giving orders to others and yourself, generally, so to speak, acquire a taste for it, and suddenly you get […] lung cancer […] And sometimes it’s worse still: the man just decided to go to Kislovodsk […] a trifling matter, it seems, but even this he cannot accomplish, because suddenly, no one knows why, he slips and falls under a tram-car! Are you going to say that it is he who governed himself that way? Would it not be more correct to think that he was governed by someone else entirely?

To support his argument, Woland states an indisputable truth: man cannot take charge of history, as he cannot even take charge of his own life, not just because man is mortal but is ‘unexpectedly mortal’. The bizarre and satirical death of Berlioz, who, just as Woland predicts, has his ‘head cut off […] by a Russian woman, a Komsomol girl’ straight after this conversation stands as the final proof of these words. A parallel of this theme is also found in the Yershalaim narrative, as Pontius Pilate is eventually reprimanded for his belief in the sole power of his authority. He boasts that he is able to ‘cut the hair’ upon which people’s lives are hung, however Yeshua refutes his surety by saying :  ‘There, too, you are mistaken […] You must agree that the hair can surely be cut only by him who had hung it up?’ Here Bulgakov’s own critique of the new regime can be seen, as Lazslo Tikos writes- ‘[Bulgakov] was greatly sceptical of the historical optimism professed by Marxism, concerning man’s discovering history’s laws and “taking future into his own hands.”’ The Party as the ‘great mind’ becomes a doubtful concept through Bulgakov’s lens, and the government’s (or even Stalin’s) claim to power becomes questionable, as Bulgakov exposes the limitations of the mortal man, as well as reminding the reader of the possibility of a greater unperceived power. Through proposition of this idea Bulgakov reveals the unjustness of the constraints unrightfully forced by the government, or possibly he is creating hope for eventual redemption by the ‘higher’ powers. This hope can be heard in the voice of Yeshua, the only ‘enlightened’ character of the novel:

All authority is violence over people and that a time will come when there will be no authority of the Caesars, nor any other authority. Man will pass into the kingdom of truth and justice where there will be no need for any authority.

This hope appears idealistic, however understandable, as Bulgakov believed that ‘authority destroys spiritual freedom and creative work’, displaying this idea through the characters of Yeshua and the Master, who are both oppressed. Through critical dismissal of authority and state power Bulgakov is criticising Socialist Realism itself, as a tool of attaining influence over writers and readers.

Another way Bulgakov explores authenticity of power is though reviewing the concept of religion as powerful narrative. The struggle between religion and Communism is a theme that appears both through intertextual references and employment of religious discourse throughout the plot.   Religious belief was very much a taboo subject is Socialist Realist literature, as faith was oppressed by the Soviet government. Berlioz’s words are good example of the internalisation of the anti-religious discourse: ‘The majority of our population consciously and long ago ceased believing in the fairy tales about God.’ The reason for this was that the idea of creating the ‘new’ Soviet person was a faith in itself, and any other faiths, such as religious, were simply in the way. The Communist Party held the position as the ‘new religion’, which ‘upheld the state as the creator and guardian of a just and righteous world.’ As Weeks ascertains, the model of history Bulgakov poses in his novel closely resembles the pre-Augustian, or primitive Christian, rather than Marxist-Leninist discourse that shapes Socialist Realist literature. Bulgakov’s movement away from the required historical discourse into the realms of the ‘forbidden’ theme of religion is a seemingly purposeful dissent from Socialist Realism. Although it cannot be said that Bulgakov was creating a narrative of Biblical truth, there are some aspects borrowed from Biblical texts, such as dates, characters and names. Woland, Mathew the Levite, Pontius Pilate, Yeshua as a modification of Christ, as well as many others, are pre-existing literary characters, both of the Bible, mythologies, and other existing texts such as Goethe’s  Faust .

Touching on the theme of religion, Bulgakov also ponders the authenticity of any existing ‘highly regarded’ narratives, destroying every last form of dictatorial influence by presenting the disputability of the words as recorded in the Gospel. The greatest blow to the Biblical narrative comes from Yeshua/Christ himself, speaking of how the Bible was written:

[...] there's one with a goatskin parchment who follows me […] and keeps writing all the time. But once I peeked into his parchment and was horrified. I said decidedly nothing of what's written there. I implored him: ‘Burn your parchment, I beg you!’ But he tore it out of my hands and ran away.

Bulgakov poses this significant idea of inconsistency between reality and literary representations, not only in recorded history, but also to the fundamental bases of human existence with Christian faith for thousands of years. This is an important theme, as the untruthfulness of recorded history directly relates to Socialist Realism with its rose-tinted account of life under the Soviet regime. Here Woland’s notion that ‘nothing has changed’ applies, as Bulgakov is reminding the reader that false narratives have always existed, Socialist Realism being the current deceitful ‘grand narrative’.

Bulgakov does not resort to simple criticism of Communist power but provides reasons for it by giving a realistic insight on the frequently unspoken excesses and shortfalls of the Soviet regime. Purges and arrests were some of the main horrors people of the USSR had to face due to the new regime. There was a constant sense of fear of prosecution or arrest from Russia’s secret police, the OGPU that engulfed the people. The essence of this mania-like anxiety is captured several characters of the novel. The Master caves in to this fear and burns his novel, luckily just before there is a ‘knock at [his] window’, which this saves him from being compromised. The burning of Master’s novel parallels Bulgakov’s own experience, as he burned the early copy of  The Master and Margarita  in 1930, since, as Pevear and Volokhonsky state, ‘the mere existence of the manuscript, had it come to the knowledge of Stalin’s police, would almost certainly have led to the permanent disappearance of its author.’ The famous phrase of the novel ‘Manuscripts don’t burn!’ became historically significant as Bulgakov later reconstructed his own novel, just as Woland returns the Master’s novel to him. Pevear and Volokhonsky quite rightly call this Bulgakov’s ‘[…] absolute trust in the triumph of poetry, imagination, and the free word, over terror and oppression’.

In another episode when a stranger comes to the Master’s apartment which Aloisy Magorych took over, Margarita manages to scare him away by mentioning arrests: '”Aloisy? […] He was arrested yesterday. Who's asking for him? What's your name?” That instant the knees and backside vanished; there came the bang of the gate’. People were frightened by mere mention of arrests, and especially of being compromised or associated with ones who were considered subversive or radical by the Party. Although there is no direct reference to OGPU in the novel, their omnipresence is played on through the various references to ‘them’ and ‘there’. For example, when Berlioz meets Woland and suspects him of being a ‘foreigner’, he wants to report him to ‘them’ (the OGPU), thinking: ‘[…] what a strange specimen ... Call, call! Call at once! They'll quickly explain him!’ The thoughts of possible arrest never leave the Moscow characters. Rimsky (The director of the Variety Theatre) sends Varenukha (his employee) on business, and when he does not return, Rimsky immediately assumes he was arrested, but cannot figure out the reason: ‘Rimsky knew where he [Varenukha] had gone, but he had gone and... not come back! Rimsky shrugged his shoulders and whispered to himself: “But what for?”’ Disappearances of people were not uncommon, and it was encouraged not to question them. Purges, arrests and the existence of Gulags were specifically banned from mention in literature, their existence forbidden from being acknowledged. Writers such as Sinyavsky and Daniel were famously trialled in 1965 for trespassing these taboo topics, and it seems that even Bulgakov is being slightly cautious of outright mention of the OGPU, however still revealing it as a topic at the forefront of people’s minds.

Alongside the fear of arrests, another typical feature of life in the 1930s was the ‘housing problem’ that Woland believed to have ‘ruined’ the Moscow citizens. David Gilespie believes that it is specifically the problem of living space in the novel that defines the nature of the Soviet present. In the Socialist Realist novel one’s place of living did not matter. Subversively, Bulgakov surfaces the reality of people’s preoccupations with the ‘housing problem’. There is a humorous description in the novel of how the public reacts to a possibility of acquiring Apartment Fifty:

[Nikanor Ivanovich Bosoy (chairman of the tenants' association)] began to receive telephone calls and then personal visits with declarations containing claims to the deceased's living space [...] They contained pleas, threats, libels, denunciations, promises to do renovations at their own expense, references to unbearable overcrowding and the impossibility of living in the same apartment with bandits [...] Nikanor Ivanovich was called out to the front hall of his apartment, plucked by the sleeve, whispered to, winked at, promised that he would not be left a loser.

Bulgakov is showing that people often went to any lengths to receive a quality apartment. The extent of preoccupation with the ‘housing problem’ is portrayed through Berlioz’s uncle Poplavsky, who is humorously punished by Woland for his determination to inherit the Moscow apartment: ‘An apartment in Moscow is a serious thing! For some unknown reason, Maximilian Andreevich did not like Kiev, and the thought of moving to Moscow had been gnawing at him so much lately that he had even begun to sleep badly.’ The sheer opportunism of gaining a sought after living space is exposed as a task that was highly important to citizens of the USSR, contrasting the disinterest portrayed in Socialist Realist literature. Pittman writes of the problems this preoccupation brought:

The utilitarian aims have failed to bring about material happiness for all. Corruption and bribery are commonplace. Genuine contact between human beings has been sacrificed for the sake of personal, material gain.

As it is rightly pointed out by Pittman personal gain was definitely on the minds of people, as there was also a problematic shortage of goods in the USSR in the 1930s. Representations of the material, such as food, personal belongings and clothes was rarely present in Socialist Realist novels, as ideally these things should not have mattered to the ‘new’ selfless Soviet man. In reality however there was a vast problem of inability to purchase decent provisions and clothing. A stark contrast between the privileged and un-privileged classes is present in the descriptions of the goods available to them. A good example of this is the accounts of the food available to the MASSOLIT writers at Griboyedov’s restaurant:

Griboyedov’s beat any restaurant in Moscow, and because this fare was served at the most moderate, most reasonable prices. […] But at the Coleseum a portion of perch costs thirteen roubles and fifteen kopecks, and here it’s five-fifty! Besides, at the Coliseum the perch is tree days old.

Similarly Behemoth’s and Koroviev’s antics during their visit to the foreign currency store satirically draw attention to the quality food and other goods available to those who possess the money to purchase it: ‘Hundreds of bolts of cotton in the richest assortment of colours […] calicoes, chiffons and flannels for suits […] plump pink salmon […]’ In glaring contrast, the buffet at the Variety theatre, a place for the ordinary citizens, is described as very poor-quality. Koroviev describes it: ‘Feta cheese is never green in colour[…] it ought to be white. Yes, and the tea? It’s simply swill! I saw with my own eyes some slovenly girl add tap water from a bucket to your huge samovar, while the tea went on being served.’

The lack of good quality clothes and other products of personal use are evident in the ‘Black Magic’ show episode where all the women excitedly trade in their own clothes for new ones at the magical stage boutique. Another mention of this happens as Margarita leaves her house on the broom once she has turned into a witch, and tells her maid Natasha to take all her belongings- ‘Take all my rags, take my perfumes and put them in your trunk’. Margarita is displaying a common knowledge of the inability of acquisition of goods by common workers like Natasha. A confirmation of the common people’s hardships can be seen in Natasha’s statement: ‘We, too, want to live and fly!’ as she chooses to live as a witch rather than a cleaner.

The main parody of the novel lies within the satirical subversion of the place of origin of Socialist Realism, MASSOLIT, which is a parody of RAPP (Russian Association of Proletariat Writers). Bulgakov was never a part of any such association, and did not support the ideologies which they promoted- to him, constrained writers were not ‘true’ writers. Consequently, none of the characters of the novel who are a part of MASSOLIT are presented as authors of any worth or talent, nor do they possess any visible interest in literature. As a true representation of the authors that would have belonged to RAPP, only the supporters of the Socialist Realist genre would have belonged to the MASSOLIT organisation, and only those who fulfilled the ‘social order’ in their works would be rewarded. The incentive for this would be receiving privileges such as vacations, quality living spaces, dachas, and many other royalties, which is confirmed within the novel as the writers discuss the dachas some of them received: ‘There’s twenty-two dachas, and only seven more being built’. Bulgakov believed that such literary associations were not only useless, but also harmful as they blocked the way for truly talented writers. Bulgakov’s own views of the quality of writing produced by MASSOLIT/RAPP can be heard through the words of the Master, who claims he knows Ivan Bezdomniy’s poetry is no good without even reading it, saying ‘As if I haven’t read others.’ The Master is alluding to the fact that, on the surface level, to know one Socialist Realist work would mean to know them all. Delaney writes that ‘(Like Bulgakov) the Master is a disappointed author, embittered by the treatment he has received from editors, fellow artists, critics- in a word, the whole corrupt artistic-political world’.

The Master’s story within the novel has often been interpreted as a parallel to Bulgakov’s own life story and his struggle with Soviet critics. Gleb Struve suggests the affinity between the Master and Bulgakov. He asks, is the Master ‘Bulgakov himself? Or a synthetic image of a creative artist?’ This is a possibility that has been proposed by many critics, with various supporting evidence. Just as the Master’s novel is rejected, Bulgakov’s own struggle with publishing and Socialist critics is seen in the Master’s story. The words of the fictional critic in the novel can be applied both to the Master’s and Bulgakov’s work:

Saying nothing about the essence of the novel, he asked me who I was, where I came from, and how long I had been writing, and why no one had heard of me before and even asked what in my opinion was a totally idiotic question: who had given me the idea of writing a novel on such a strange theme?

A Socialist Realist critic would definitely deem the content of  The Master and Margarita strange and intolerable, as well question Bulgakov’s literary background of many unaccepted works. McIntosh-Byrd states that ‘in [the Master’s] story we can see a metamorphosed version of the struggle of all authors, the master’s story presenting a sort of extended meditation on being an author.’ Bulgakov’s struggle for freedom of writing can certainly be seen as a motive for his literary parody of RAPP, Socialist Realist writers, and the literature they produced. The episode of the gun fight with the police, Behemoth ‘flying like a pendulum over the heads of the visitors’,humorously drinking benzene to recover, as the Union of Writers’ headquarters (Griboyedov’s house) are burned down, as well as the scene where Margarita destroys critic Latunski’s apartment, can be seen as Bulgakov’s own satirical revenge on the system created by officials and the privileges that are available to them. In the light of this reading,  The Master and Margarita  can be seen as what McIntosh-Byrd calls a ‘novel about novels- an argument for the ability of literature to transcend both time and oppression, and for the heroic nature of writer’s struggle to create that literature’.

Bulgakov’s successfully deconstructs Socialist Realism both through satire and philosophical inquisition into the political ideologies that it is built on. As Communism and Socialist Realism go hand in hand with each other, dissent from one leads to dissent from the other. The satire that is present throughout the novel not only acts as a dilution of the serious issues, but also helps the reader see the comical ridiculousness of some aspects of society, such as greed, fraudulence, obsessions and hunger for power. Bulgakov questions authorities and their claim to power, longing for the elevation of political constraint, as it appears that he believed authority, both political and religious to be false. Bulgakov’s satirical surfacing of problems of the Communist society displays that the new regime’s utilitarian chase of happiness for the whole of society has failed to bring about personal and material happiness to the people.

Conclusion:

Socialist Realism took up a significant part in the literary history of Russia, not only by producing works specific to this genre, but also bringing differing novels such as Bulgakov’s to the forefront of the readers’ attention after the removal of censorship in the USSR.  The Master and Margarita  is one of the few novels that dissented from Socialist Realism at a time where it was practically impossible to do so, offering a truly ‘realistic’ account of life in Soviet Russian in the 1930s.

The greatest dissent from Socialist Realism of  The Master and Margarita  lies in the portrayal of society within which it was created. As Pevear and Volokhonsky write:

[the novel] accompanied Bulgakov through the greatest suffering of his people – the period of forced collectivisation and the first five-year plan, which decimated Russia’s peasantry and destroyed her agriculture, the period of expansion of the system of ‘corrective labour camps’, of the penetration of the secret police into all areas of life, of the liquidation of the intelligentsia, of the vast purges and the Moscow ‘show trials’.

None of these topics could have appeared in a Socialist Realist novel, as it was against the aims the genre was founded on, as well as plainly censored. Socialist Realist literature presented a victorious Communist future for the purpose of inspiring readers to strive to it, remaining oblivious towards the regime’s downfalls. For this reason, Socialist Realist works were idealistic, and severely different to the reality they were describing. Any oppositional or anti-Soviet beliefs had to be crushed by censorship in order to keep people on the desired course towards Communist ‘utopia’. Bulgakov however did not believe in the promised ‘glorious Communist future’, and his novel displays this conviction through criticisms of Soviet society and political ideology. With the use of supernatural characters, parallels and comparisons Bulgakov creates a narrative of observation over humanity, comparing the qualities of the people of the past and of the present. Through the use of Woland Bulgakov concludes that the essence of humanity has not changed, and Soviet ideology has not been internalised. Rendering the mission of the state to change human nature as impossible allows Bulgakov to deconstruct the key myth and inspirational tool of Socialist Realism- the ‘new’ Soviet hero. Defiantly, Bulgakov refrains from creating ‘complete’ a hero at all, instead leaving the Master as a questionable version of a protagonist.

Bulgakov’s use of sharp satire aids in the surfacing of a flawed reality, bringing all the negative aspects of individuals and the state into the light of pettiness. The humorous episodes of the novel are often interlinked with Bulgakov’s philosophical thought on serious issues such as the authenticity of the governmental power, the foundations of human culture, and historical accuracy, surfacing the potential errors in these praised or unquestioned ideas that so often appear in Socialist Realist literature. The main subversion of Socialist Realism lies in Woland’s (Bulgakov’s) assertion that in fact there is no ‘utopia’ towards which the country is moving. The people have remained the same, concerned as ever with their personal unhappiness. The new regime has unseeingly given reign to inequity and fraud, as well as placing constraint on creative freedom for those to whom it is essential. Drawing on these ideas, it appears Bulgakov is indeed dissenting from the Socialist Realism. Possibly, ‘to dissent’ was not an intentional goal, however factors such as governmental oppression and enforcement of literary constraints would logically force a writer whose beliefs differ to do so.  As Bulgakov believed that the new Soviet regime is not leading to the promised idyllic future and the fundament it is built on is essentially flawed, he could not have possibly built his novel on the foundations of Soviet ideology which Socialist Realist novels are built on. Instead, Bulgakov criticises and satirises the factors that forced him to dissent.

The atypical freedom for a novel of such a dark historical period is instigated by Bulgakov’s lack on intention of publishing  The Master and Margarita  during his life. This allowed him to produce his ‘crowning work’, freely conducting himself and moving away from Socialist Realism, the principles of which went against his own. Bulgakov sadly never lived to know the colossal success of  The Master and Margarita  when it was finally published after the removal of censorship. Ever since then  The Master and Margarita  has firmly stood as an enormous contribution to the historical exploration of the period within which it was created, as well as being morally elevating due to its shattering of all constraints.

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16 nov 2012 .

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