Slum Upgrading Program Research Articles

COMMUNITY SYMPATHY-BASED SLUM SANITATION PLANNING CONCEPT IN BATU BARA DISTRICT, NORTH SUMATERA, INDONESIA

ABSTRACT Slums in the Tanjung Tiram area of Batu Bara Regency are caused by high and uneven population density, limited habitable land and low awareness of environmental conservation among residents. This results in poor environmental sanitation and potentially affects environmental sustainability. The local government is trying to improve this situation through slum upgrading and community empowerment programs. Objectives: This study aims to examine community sympathy for the spatial concept and environmental sanitation improvement programs in Tanjung Tiram neighborhood, as well as the factors that influence it. Methodology and Results: The research method was qualitative with a rationalist approach. The study began with literature analysis and continued with field studies to describe community sympathy in sanitation management, identify patterns of behavior change, and analyze the factors that influence it. Conclusion, Significance, and Implication: The results highlight that the community demonstrated empathy through responsibility and mutual concern for the interests of others, such as involvement in the sanitation improvement process from preparation to monitoring in terms of toilet and bathroom use. Community motivation comes from cadre interventions that provide understanding, increase empathy and responsibility, and strengthen community motivation in sanitation management. Community cooperation and awareness must be increased through community empowerment programs.

Synergistic Municipal-community partnership: Resolving Challenges in the Implementation of the National Slum Upgrading Program (KOTAKU) in Gajah Wong Riverbank Area, Yogyakarta

The successful resolution of challenges faced during the implementation of the National Slum Upgrading (KOTAKU) Program in Gajah Wong Riverbank area, marked by initial resistance from affected communities, was achieved through the inclusive engagement of diverse community elements and collaborating agencies. This intricate interplay among stakeholders has a profound influence on the program’s effectiveness. This study aims to unravel the dynamic relationships forged among various agencies and community components within the conflict management framework, ultimately enhancing program implementation. To attain this objective, a qualitative methodology employing a case study approach was utilized. The investigation revealed that the local government, in executing the National Slum Upgrading (KOTAKU), fostered collaboration with other governmental entities through a synergistic alignment of related programs. Reinforcing the program through the utilization of complementary initiatives contributed to achieving program objectives without resource constraints. The synergy among agencies was bolstered by optimizing existing social institutions within the community as active program implementers. This, in turn, positively influenced the processes of identification, socialization, and coordination, ensuring their effectiveness. Furthermore, the active involvement of the local community played a pivotal role in addressing challenges and overcoming initial resistance. The application of a persuasive socialization model effectively conveyed the program’s significance in improving the residents’ welfare, thereby fostering acceptance. This collaborative pattern depicts a synergistic model aligning policy maker interests with community needs, characterized by a continuous spectrum of participation and empowerment.

An overview of slum upgrading programs in developing countries: Case study in Indonesia

An overview of slum upgrading programs in developing countries: Case study in Indonesia

Do slum upgrading programs impact school attendance?

This study investigates the impact of slum upgrading programs on elementary school attendance, a strong predictor of dropout and adult outcomes. Slum upgrading programs are interventions in impoverished areas that involve building housing, roads, sewerage systems, and installing public lighting. Using administrative data on Uruguayan students, we examine the effects of slum upgrading programs on school attendance. The study employs a regression discontinuity design based on the eligibility rule that considers a slum eligible for the program when it has 40 or more dwelling units. The results show that students exposed to slum upgrading programs had 28 fewer absences (16 percent of the school year or 70 percent of the total missed days that qualify a student as having insufficient attendance), and lower probability of being recurrent absentees. This study provides insights into the impact of slum upgrading programs on human capital accumulation among low-income children.

Structural tensions limiting success of infrastructure upgrading: A multi-regime perspective

Unfettered growth of slums is a daunting transition challenge and many upgrading programs fail to sustainably improve the livelihoods of slum residents. This paper elaborates a transitions perspective on structural tensions that may lead to success or failure of slum upgrading programs. We conceptualize slums as urban subsystems, governed by sociotechnical (infrastructure) and socioeconomic livelihood regimes (related to production and social reproduction). The framework permits examination of the tensions due to mis/alignments of rules associated with newly introduced infrastructures, and those that regulate existing production and social reproduction practices of slum residents. This approach extends transition studies by accounting for the multi-system interactions between different infrastructure regimes (e.g., transportation, sanitation) and livelihoods within a local sociotechnical system. We apply this framework to an in-depth analysis of a slum upgrading project in Naivasha, Kenya, which was part of a national urban upgrading program covering a total of 80 slums.

Predictors of the Intention to Participate in Slum Upgrading Projects: Perceptions of Slum Dwellers in Mauritius

A global shift in urban slum improvement programmes is underway to step beyond the conventional approach by practicing a more participatory approach. Previous studies have found that slum upgrading projects are likely to be ineffective and unsustainable without the active participation of slum dwellers. Therefore, it is imperative to identify the pathways to improve or enhance slum dwellers’ participation in slum upgrading projects. Several studies highlight the need to consider socio-psychological attributes of the community. However, empirical evidence of the comparative significance of these attributes in predicting participatory behavioural intention of the slum dwellers has not been previously explored. In this article, we examine the factors that influence slum dwellers’ intention to participate in slum upgrading projects in Mauritius, which has been one of the early implementers of UN-Habitat’s flagship initiative, Participatory Slum Upgrading Programme. We conducted a household survey in highly dense slum areas in Cité EDC and Barkly. Using the Partial Least Squares Structural Equation Modelling approach to analyse the relationships among the constructs affecting participatory behaviour, we find that enhancement of awareness and trust on authority can promote willingness to participate at a higher level in slum upgrading projects. Such information can be useful to design appropriate pathways to increase effective participation in slum upgrading programmes.

Identification of delay factors in construction during Covid-19 Pandemic: Case Study NSUP Program, Indonesia

There are several factors that cause project delays it can from the owners, contractors, consultants or external factors. Project delays not only occur in public and private projects but also in projects whose funding sources come from foreign loans and grants. One of the projects funded by foreign loans in Indonesia is the National Slum Upgrading Program (NSUP) in Banten, Indonesia. The NSUP is funded through a foreign loan from the Islamic Development Bank (IsDB). There are three area-scale NSUP activities in that experienced construction delays. The objective of this paper is to determine the factors causing construction project delays. The research was conducted by distributing questionnaires to 11 respondents of project owners, contractors and consultants of thr NSUP project. Methodology of data analysis with validity, reliability tests and ranking factors through the Relative Importance Index (RII) analysis. The results showed that there are ten dominant project delay factors including the Covid-19 factors, and also five dominant work items that cause project delays. In conclusion, there must be watched out for and anticipated by all project parties so that project delays can be minimized and even avoided. This anticipation can be not only from the planning phase, design, auction, and finally to the implementation of the project, but also all possible force majeures such as pandemic.

Dinamika Dan Kemandirian Kelompok Badan Keswadayaan Masyarakat (BKM) Program Kota Tanpa Kumuh (KOTAKU) Di Kota Padang

Development based on groups becomes a participatory development approach pattern by involving the community directly through groups. This research aims: (1)To find out and analyze the characteristics of the members of BKM, National Slum Upgrading Program ( Program Kotaku ) in Padang city, (2)To find out and analyze the level of dynamics and independence of the BKM, National Slum Upgrading Program / Program Kotaku in Padang city and (3)To find out and analyze how much influence the characteristics of members and the level of dynamics on the independence of the BKM group in the KOTAKU Program in Padang City. This research was conducted using a quantitative approach. The data collection technique was carried out by distributing questionnaires offline to the BKM members in Padang City. Data management using SPSS version 24 by linear regretion analysis.
 The results of the study prove the majority of BKM members in the city of Padang are women aged between 46-65 years with an average education level of high school, the characteristics partially have no effect on the independence of the BKM group, the dynamics of the BKM group partially have a significant influence on the independence of the BKM. Both of characteristics and group dynamics have a positive and significant influence on the independence of the BKM group. The results also confirm that the level of group dynamics and group independence in Padang City is in the medium category, therefore strategic efforts need to be improved. The suggestions are: 1. Efforts are needed to increase the dynamics of the BKM group in Padang City, 2. In the future, it is hoped that young/productive generations will emerge to join BKM members to be more productive and more dynamic, because the more dynamic a group is, the more independent the group will be. This research is expected to provide input for the BKM group as well as for community empowerment program stakeholders, especially the KOTAKU Program, Directorate General of Human Settlements, Ministry of PUPR.

Evaluation of a Slum Upgrading Program for Improvement of Water Supply in Bandung City, Indonesia

A slum upgrading program has provided communal boreholes (KOTAKU boreholes) to improve water supply in slums of Indonesia. However, the achievement of the program was only estimated by the number of households served with the boreholes. We evaluated the water supply improvement by comparing actual water consumption, quality, and expenditure and household satisfaction of existing water sources in a slum of Bandung City, Indonesia. A high iron concentration and microbial contamination were observed in some KOTAKU boreholes, but the quality was better than that in the previous sources of the current KOTAKU borehole users. Twenty percent of the users spend more than 4% of their income on water due to bottled water and vended water for drinking and cooking. However, KOTAKU boreholes replaced that water for drinking and/or cooking, resulting in less water expenditure in low-income households. The average consumption was 134 L per capita per day (LPCD), which was higher than the target (60 LPCD) of the program. However, it was found that a highly intermittent water supply was the reason for household dissatisfaction rather than the amount of consumption. The program improved water supply; however, this study revealed the limitations of the water supply, namely, a lack of attention to continuous water supply and water quality.

Policy Implementation of Slum Upgrading Program in Coastal Area, (Case Study: Slum Upgrading in Kelurahan Tanjungmas, Semarang)

Most of the slums are located in coastal areas because the coastal areas are close to the main livelihoods as fishermen. Agung Ridlo, from Sultan Agung University, conducted a study that concluded that North Semarang has a specific attraction for migrants because its location is the center of trade and industry. The migrants came and looked for places to stay near their factories or beaches. Thus, slum areas were formed gradually. This research is aimed to examine policy implementation of slum upgrading programs in Kelurahan Tanjungmas Coastal Area. The research method is a qualitative method by using qualitative descriptive analysis techniques. The study finds the Implementation process of houses improvement program in Kelurahan Tanjungmas coastal area reflecting based on the policy map in the policy model is a lead to the model of ‘top-down’. The top-down model is a pattern conducted by the government for the community and the community participation only more in mobilization form.
 Keywords: policy, implementation, slum, coastal area

Mapping of Indices of Slum and Informal Housing Development in Akure, Ondo State, Nigeria

Slums and informal housing developments in Akure are growing at an unprecedented rate. It is on this basis that this work sets out to map out the indices of slum and informal housing development in Akure, Ondo State, Nigeria. High-resolution satellite data, as well as primary and secondary data, were used in the study. Based on collected data, ArcGIS 10.3.1 software was used to prepare a base map showing the existing land use, built up area in 1986, 2002, and 2018, and indices of slums, or informal housing in Akure. The indices were rated on a scale of 1–5 and the results obtained revealed that socio-economic indices [housing shortage, lack of affordable housing, high incidences of urban poverty, high incidences of rural or urban–urban migration and unemployment], institutional indices [poor enforcement of planning laws, unclear regulation and long procedures for building plan approvals, and lack of planning/development plans], political indices [inadequate provision of sites and services, tenure insecurity and eviction, and poor resettlement programme by the government] and environmental indices [high density of development and overcrowding, inadequate neighbourhood facilities and services, and inadequate sanitation] are most significant in the core and peripheral areas of Akure. The study recommends slum upgrading programmes oriented to the betterment of the current conditions of slum households and neighbourhoods and formal housing aimed at securing access to adequate housing for all, in particular the most vulnerable, promoting affordable and safe solutions and inclusive housing finance systems.

Mapping of Indices of Slum and Informal Housing Development in Akure, Ondo State, Nigeria

Slums and informal housing developments in Akure are growing at an unprecedented rate. It is on this basis that this work sets out to map out the indices of slum and informal housing development in Akure, Ondo State, Nigeria. High-resolution satellite data, as well as primary and secondary data, were used in the study. Based on collected data, ArcGIS 10.3.1 software was used to prepare a base map showing the existing land use, built up area in 1986, 2002, and 2019, and indices of slums, or informal housing in Akure. The indices were rated on a scale of 1–5 and the results obtained revealed that socio-economic indices [housing shortage, lack of affordable housing, high incidences of urban poverty, high incidences of rural or urban–urban migration and unemployment], institutional indices [poor enforcement of planning laws, unclear regulation and long procedures for building plan approvals, and lack of planning/development plans], political indices [inadequate provision of sites and services, tenure insecurity and eviction, and poor resettlement programme by the government] and environmental indices [high density of development and overcrowding, inadequate neighbourhood facilities and services, and inadequate sanitation] are most significant in the core and peripheral areas of Akure. The study recommends slum upgrading programmes oriented to the betterment of the current conditions of slum households and neighbourhoods and formal housing aimed at securing access to adequate housing for all, in particular the most vulnerable, promoting affordable and safe solutions and inclusive housing finance systems.

Commoning or being commoned? Institutions, politics, and the role of the state in collective housing policy in Bangkok, Thailand

This article theorizes the potential roles of the state in the urban commons through an analysis of a slum upgrading program in Thailand that employs collective forms of land tenure. In examining the transformation of the program from a grassroots movement to a “best practice” policy, the article demonstrates how the state has expanded from mere enabler of the commons to active promoter. In the process, the role of many residents has evolved from actively creating the institutions of collective governance— commoning—to adopting institutions prescribed by the state— being commoned. However, by comparing the work to two different groups of communities who work within the context of the policy, the article illustrates how active commoning can still take place in such contexts.

Young Land Occupations and the Failure of Housing Policy in Brazil

ABSTRACT How suitable are federal housing policies and slum upgrading programs for those living in young land occupations? Scholars rarely ask this question because research and policy target well-established settlements that have acquired tenure security. In contrast, young land occupations are highly vulnerable, emergent settlements threatened with eviction and are not sufficiently visible to attract government and scholarly attention. Through a multiyear collaboration with activists, social movements, nonprofits, and residents of young land occupations in São Paulo, Brazil, this participatory action research elucidates who occupies these locations and why, where they come from, and the housing struggles they face. A survey administered to 906 households depicts land occupiers as uniformly very poor and vulnerable, unlike the low- to modest-income dwellers of consolidated informal settlements. An assessment of existing social housing programs emphasizes the need to develop housing assistance and upgrading programs specifically targeting the socioeconomic conditions of land occupiers, thus proactively supporting them.

Affordable Housing Programme in Kenya: Policy Guidelines and Milestones

The paper presents an overview of policy interventions and milestones by the Government of Kenya with regards to the Affordable Housing programme targeting civil servants, members of the Kenya Police Service and Kenyan Citizens. The programme was initiated by the Government to supply 500,000 homes over a period of 5 years in line with the Government’s Big Four Agenda, Kenya Vision 2030 and Kenya Constitution 2010. The paper presents a Financing Framework through which Citizens could eventually buy or rent a home cheaply. A highlight of the housing gap in Kenya is presented as well as the residential housing affordability challenges faced by most Kenyan Citizens. The paper highlights the eligibility criteria for affordable housing (through the Bomayangu online platform), the financing framework (for raising capital to buy a home) as well as partnerships between the Government of Kenya and other external stakeholders such as governments and private companies. Through the State Department of Housing and Urban Development, the Kenya Government has initiated several affordable housing projects in Nairobi and Kisumu Cities as well as Embu and Machakos Towns. In addition, slum upgrading programmes are on course in Kibera slums, Nairobi as well as other parts of Kenya. Lastly, the paper highlights the contribution to various stakeholders as well as housing finance theory where limited literature exists on such government initiated programmes. Keywords: Affordable Housing, Civil Servants, Civil Servants Housing Scheme, Housing Fund, Government Housing, Big Four Agenda and Kenya Vision 2030. DOI: 10.7176/PPAR/11-2-01 Publication date: March 31 st 2021

EFFECTS OF SLUM UPGRADING ON SECURITY MANAGMENT IN SOWETO SLUMS, ROYSAMBU SUB-COUNTY IN NAIROBI, KENYA

This paper uses data collected for an MA Thesis to explore the effects of slum upgrading on security management in Soweto slums, Roysambu sub-county in Nairobi, Kenya. The study was guided by three objectives to establish social effect of slum upgrading on security management in Kahawa Soweto slums; to examine the economic effect of slum upgrading on security management in Kahawa Soweto slums; and to establish the challenges of security management in the slum upgrading programme for Kahawa Soweto Slums. The study adopted a descriptive research design and random sampling to select 318 respondents (main respondents) and 10 Key informants (K.I). Questionnaire was the main method of data collection while interview was used to collect data from K.I. Data collected was organized, and systematically interpreted thematically by use of graphs, frequency tables, and percentages.
 This study established the relationship between slum setting and rise of crime and insecurity in Kahawa Soweto slums in Roysambu sub-county in Nairobi, Kenya with 69.2% of respondents agreeing to this count. According to this study, poor roads, high poverty levels, low education levels, poor spatial designs/environmental design of slum area and housing, absence of police station and poor lighting predisposed the slum dwellers to crime and insecurity. According to this study slum upgrade will reduce crime and insecurity, given that special aspects such as improvement in spatial designs/environmental design of urban areas and housing with enhanced modern lighting will significantly reduce crime in slums by eliminating criminogenic and insecurity risk factors. Additionally, improved economic effects of slum upgrading on slum dwellers would build resilience to crime and insecurity. This includes; Job creation, provision of educational facilities such as vocational training institutes (polytechnics), basic education institutions (primary and secondary schools) as well as other skills enhancement institutions. Community empowerment aimed at income generating activities, construction of police station to provide security to the slum dwellers (77%), and construction of better roads (55.3%) were recommended to reduce crime and improved security management in Kahawa Soweto slums in Roysambu sub-county in Nairobi, Kenya.

Modelling behavioural change from sea-based ‘helicopter latrines’ to land-based shared improved latrines in the Demaan, Jepara, Indonesia

Abstract The government of Indonesia pursued a slum-upgrading programme from 2011 to 2018 which included replacing ‘helicopter latrines’ with shared improved latrines. However, these latrines have not been fully utilised by slum dwellers yet. This study aimed to construct a model of behaviour change to urge people to switch from using helicopter latrines to using shared improved latrines through the process of community empowerment. A qualitative research method was conducted. Purposive and snowball sampling techniques were deployed to select study participants. Data were collected through interviews and focus group discussions. The results showed that the challenge in improving communities' sanitation behaviour can be answered with a bottom-up approach that integrates tangible and intangible elements. These elements have the dimensions of form, meaning and activity. Form is a tangible element namely shared improved latrine building that is physically acceptable to the community. Meaning and activity are intangible elements. Meaning involves the cognitive aspects to create a sense of ownership and action from affective aspects involves the activity of using the latrines. To improve the sanitation conditions, governments should involve the community in every activity, empower the community through education campaigns, and conduct supervision until the community can be independent.

Do Slum Upgrading Programmes Improve Employment? Evidence from Djibouti

Slum upgrading programmes are high on the international community’s agenda. Yet their impact evaluations remain few and far between, especially when the programmes include different components such as roads, water supply, electricity, and community facilities. In addition, employment is rarely considered as an outcome in the evaluation of slum upgrading programmes, although it is often one of the main priorities of slum upgrading policies. This article analyses the effects on employment of such a programme in a Djibouti slum. It uses a difference-in-difference approach to evaluate the average impact and heterogeneous effects of the programme. We find that the project is unlikely to have improved access to employment in general and to formal wage jobs in particular, as was expected at the start of the project. It has also failed to increase earned income. Nonetheless, we show that self-employed activities have developed, more particularly in places adjacent to the project roads.

Abuja slums: development, causes, waste-related health challenges, government response and way-forward

Slum development, growth and attendant challenges of waste generation and management and environmental health challenges are issues for concern in developing countries where waste and environmental management infrastructure are deficit, decaying and moribund. This study aimed to ascertain the slums in Abuja and their characteristics, the actual causes of slum development and growth in Abuja, and the waste generation and management situation in Abuja slums, as well as establish the environmental health challenges arising from waste generation and management in Abuja slums, ascertain government responses to slums development and growth in Abuja, and advocate ways-out and ways-forward. The study adopted field survey, oral interview and laboratory tests of water and soil samples for concentration levels of poisonous metals using the Atomic Absorption Spectroscopy. Principal component analysis of Factor Analysis was used to select significant causes, environmental health challenges, government responses, and ways-out and ways-forward from those suggested by respondents. Findings showed that there were thirty (30) slums in Abuja. The actual causes of slum development were poverty, inequality, inadequate and non-affordable housing for all classes of the citizenry, rural–urban migration, urbanization, poor house planning, poor infrastructure, social exclusion, economic stagnation, informal economy, and labour and work. Waste generation and management situation was unhealthy with poor sanitation practices. Correlation matrix showed significance level above 99% for all indicators. Factor scores showed a perfect correlation above confidence level of 0.05 and very high significance level above 99% in all matrix variables. Open drains and waste dumps characterized Abuja ghettoes and were significant precursors of the outbreak of health devastating diseases in Abuja slums through pollution of air, domestic water sources and soil. Correlation matrix for environmental health challenges showed significance scores above 99% and correlation matrix scores were above 0.5 for all indicators. Water and soil in the slums were highly polluted by toxic metals. Against the World Health Organization (WHO) standard of 0.05 mg/litre for Cd, 0.03 mg/litre for Cr and 0.4 mg/litre for Pb, heavy metal concentration in water sources was too high at 1.1–1.9 mg/litre for Cd, 1.4–1.6.4 mg/litre for Cr and 1.5–1.6 mg/litre for Pb. Heavy metals concentrations in the soil were too high at 4.6–6.2 mg/kg for Cd, 4.9–6.4 mg/kg for Cr and 5.9–6.7 mg/kg for Pb, against the World Health Organization standard of 1.7 mg/kg for Cd, 1.43 mg/kg for Cr and 4.54 mg/kg for Pb. The calculated F value for all the heavy metals was higher than the critical F value of 4.76 at 3 and 6 degrees of freedom with confidence level of 0.05, and the calculated significance level was above 99% in all the variables. Government adopted slums demolition as a solution to unwanted slums development and growth. The study recommended government interventions and initiatives, particularly in poverty reduction; effective implementation of environmental policies, particularly in the area of refuse disposal; slum upgrading programmes and their scaling up as ways-out of the messy slums development and growth and ways-forward.

Slum upgrading and placemaking: improving informal settlements and creating places

Since the creation of UN-Habitat in 1978, development agendas have shown an increased global focus in cities and urban challenges. Fast-growing urbanization rates the world over, urban challenges, and in particular slums, critically hinder human progress. Despite the international recognition, conventional approaches to the slum question fail to accomplish solid results. Evidence has it that Latin America has become the world’s signpost in integral, inclusive urban development. The few comprehensive, yet crucial, slum upgrading programs being implemented in the region attest to that. We see the potential in this region to lead to a better future for slum upgrading––ergo, for human development. For that purpose, we have selected ten representative Latin American slum upgrading programs to help us illustrate our proposed methodology for achieving more comprehensive and sustainable results in slum upgrading practices.