Slum Upgrading Research Articles

Tenure security and property rights: the case of land titling for ‘slum’ dwellers in Odisha, India

ABSTRACT India continues to urbanise rapidly tinged with sub-standard living conditions of a growing ‘slum’ population. Improving the living conditions of slum-dwellers remains a gargantuan and intractable challenge requiring solutions at scale grounded on households’ real experience of the process. The State of Odisha, in Eastern India, is currently implementing a state-wide land-titling initiative to improve the tenure security of a million slum-dwellers through legal, institutional, and technical innovations based on the Odisha Land Rights to Slum-dwellersAct 2017 (OLRSD). Given the known negative consequences of titling that grants ‘full property rights’, such as the speculative sale of the titles, the facilitation of elite capture,and disruption of community life and social networks, the OLRSD has fashioned the title as a ‘limited instrument’ that still assures the possibility to inherit and aims at facilitating mortgage for housing-backed lending. The paper discusses early learnings from Odisha’s ‘intermediate’ aspects of its titling policy in nine settlements researched across three districts. As per people’s accounts of their experienced reality, the titling, complemented by slum upgrading, has already facilitated improvements in the housing conditions of households subject to extreme poverty. However, concomitant challenges are surfacing for instance, although the OLRSD formally permits the titles to be used as collateral for housing loans, the non-acceptance of the title by mainstream banks forces the recipients to borrow from spurious private lenders, thus increasing their vulnerability. Understanding such and related challenges is relevant for better addressing the dimension of de jure land tenure security in slums at scale across India.

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.

Toward Land Consolidation for Slum Upgrading: Community Preferences on Land Tenure in the Fishers’ Settlement of Tegalsari, Indonesia

Toward Land Consolidation for Slum Upgrading: Community Preferences on Land Tenure in the Fishers’ Settlement of Tegalsari, Indonesia

Overview of Kenyan Government Initiatives in Slum Upgrading: The Case of KENSUP and KISIP Projects

The goal of this paper is to explore the slum upgrading processes: the implementation of the Kenyan KENSUP project, associated successes and failures, and to draw possible lessons that can be learned from the initiative. The study utilized field work desk reviews to gather relevant information regarding slum upgrade processes in Kenya. The criteria used in the review process entailed exploring the context in which the KENSUP upgrading project was implemented, focusing on the legal frameworks, process of implementation, achievements, results, setbacks and failures in the processes in order to draw lessons for future programmes.

Socio-Ecological Conflicts in a Global South Metropolis: Opportunities and Threats of a Potential Greenway in the São Paulo Metropolitan Region

Greenways are a measure of environmental remediation within a broad framework aimed at promoting urban greening and adaptation to climate change. The typical characteristics of large urban agglomerations, including land use (such as commercial, industrial, and residential areas) with few public spaces and fragmented landscapes, make it difficult to apply these solutions to the urban fabric, forcing decision-makers and planners to act in informal settlements, highways, and industrial parks. One proposed area is an enclave with unused or underutilized lots, where fragments of the Atlantic Forest, parks, landfills, and rapidly expanding informal settlements can be found. This manuscript examines the socioeconomic and environmental processes that shaped this potential urban greenway between Santo André, Mauá, and Ribeirão Pires, which are part of the São Paulo Metropolitan Region (SPRM), the largest in South America. A survey was conducted based on municipal and regional plans, the environmental and urban laws of Brazil, and the socioeconomic history of this part of the SPRM. In addition, satellite images were used to analyze land use evolution through geotechnologies. Finally, we prepared land use recommendations, considering opportunities and threats, highlighting the possibilities of protection and expansion of the Atlantic Forest. To this end, we examined the literature on environmental urban planning and design, green infrastructure, and other concepts. This study intends to stimulate researchers, planners, and decision-makers regarding the urban greening process in the Global South. According to the recommendations, this stimulus would develop these concepts according to the real situation of the region, which would combine the protection of wild habitats and urban environmental amenities. However, this effort makes no sense if one of the defining Global South characteristics not addressed is social inequality. Therefore, we recommend that an effort be made to develop and incorporate processes from urban greening in slum upgrading.

Disassembling connections: A comparative analysis of the politics of slum upgrading in eThekwini and São Paulo

This paper presents an innovative comparison that works creatively with the entangled spatialities of policy mobilities, drawing on a city-to-city cooperation between São Paulo (Brazil) and eThekwini (South Africa) municipalities for the exchange of slum upgrading expertise. The proposed comparative tactic entails tracing the establishment of this connection in order to disassemble the constituent flows and localities merged within it. Subsequently, by posing questions to one another, a relational comparison of the trajectory of slum upgrading policy in each locality is composed, unearthing the political and institutional conditions that preceded the existence of the connection per se. In that sense, both eThekwini and São Paulo are considered equivalent starting points from which local actors engaged in circulating ideas and mobilised slum upgrading policies. This paper not only brings a fresh approach to comparative methods – incorporating political contexts and their extensive overlapping networks of relations alongside a focus on particular policy trajectories – but also contributes to furthering global urban studies in two other ways. First, it provides insight into the processes by which policies are put on the move and localised (or not). Second, it demonstrates how repeated instances of urban practice may be unravelled by allowing each context of policy formation, with its distinctive trajectory of slum upgrading, to speak to one another. In this regard, the comparative analysis identified how, in both São Paulo and eThekwini, the consolidation of democracy was followed by the development of more technocratic approaches to the detriment of earlier slum upgrading initiatives focussed on community empowerment.

Spatializing inequality across residential built-up types: A relational geography of urban density in São Paulo, Brazil.

Overcrowding in informal housing is a core problem in international development debates, whereby slum upgrading is viewed as a dominant policy to integrate formal and informal areas. Conceptually, challenges to socio-spatial integration are associated with unbalanced development processes of urban de- and re-densification beyond the housing level. However, a lack of empirical understanding of these processes limits the case for redistributive land use policies to complement slum upgrading. To address this gap, our study adopts an exploratory approach, applying GIS-based techniques to population census and open data on land use in São Paulo, Brazil, in order to analyze the distribution of population densities across residential built-up types in informal and informal areas, although there are constrains related to small-scale spatial data sources on urban density. This shows that informal settlements are indeed the densest residential built-up type in the city while revealing the underlying spatial inequality between informal settlements and low-rise, high-standard residential areas. We suggest that more emphasis be placed on the design and implementation of redistributive policies to avoid spatialized forms of inequality associated with uneven urban development. This will ensure the spatial and social integration of urban areas.

Assessment of the Social and Economic Impact of Innovative Construction in Housing in Slum Upgrading: A Case of Mathare Valley, Nairobi

Background: Adequate descent housing is a universal human rights integral component. Resources’ costs and intensified rural-urban migration increase demand for sustainable housing. Modern knowledge-based-economy uses innovation. Construction industry uses product and process innovation to provide adequate and descent low-cost housing. Kenya adopted innovation practices of slum upgrading that uses cost effective locally available building materials. This study looked at the outcomes; social and economic impacts of innovative construction in housing in the Mathare Valley Slum upgrading project Methods: This post occupancy study used exploratorydescriptive research design. Random sampling was used to sample 384 users of low-cost housing projects in Mathare Valley, Nairobi County. Research instruments included semi-structured questionnaires and interview guides. Pilot study, validity and reliability tests ensured quality of study. Ethical considerations included university approval and consent. Statistical package for social sciences (SPSS) software version 21 was applied to compute the descriptive and inferential statistics. Findings: Slum-upgrading had significant-positive outcome on improved houses and community. Social impacts included communal facilities; assurance of security of tenure; and retained frameworks of establishments. Economic impacts included employment; affordable and durable units (p values <0.05). Upgrading process did not influence rent fees, was corrupt and led to displacement of residents. Conclusion: Slum upgrading process affected positively. Similar projects should consider residents in decision-making.

Slum Upgrading beyond incubation: exploring the dilemmas of nation-wide large scale policy interventions in Brazil´s growth acceleration programme (PAC)

Slum Upgrading beyond incubation: exploring the dilemmas of nation-wide large scale policy interventions in Brazil´s growth acceleration programme (PAC)

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.

Relationship of social characteristics and local economic development (LED) activity for slum upgrading in Batik Thematic Village Semarang City

<p class="Abstract">The process of LED activities that starts from access to raw material, production, and product marketing will have an impact on the quality of settlements. The aspects of slum handling affected by LED activities include: 1) street, 2) waste, and 3) garbage. The LED activities in this research are focused on 1) the business length and 2) income. The two variables of LED activity and slum handling will be assessed for correlation with social characteristics including: 1) gender, 2) education, 3) length of stay, and 4) family income. Research location is in Batik Thematic Village, Semarang City. The problems at the location in the form of environmental impacts due to the LED activities have not been supported by the involvement of LED actors. The non-optimal participation of LED actors can be seen from the lack of communal WWTP and waste banks. The purpose of this study is to examine the relationship of social characteristics and LED activities for slum upgrading. The study employed a quantitative approach, through a questionnaire technique with a population of 33 respondents. The data was processed through descriptive analysis. The results of the study illustrate that the longer the perpetrators stay,the longer the businesses start and the income get. Meanwhile, based on gender and education level, there are no relations that affect LED activities. The social characteristics and slum upgrading has strong correlation with the aspects of the street. The aspect of waste has very weak correlation, while the garbage aspect has no relation. Street aspect has high correlation because business actors get benefit from LED product access. The waste aspect has weak correlation because there are few entrepreneurs do the process independently, while the garbage aspect does not exist due to the similarity of handling and retribution.</p>

Kajian Strategi Penanganan Kawasan Kumuh di Kabupaten Bangka Tengah

Slum area remains as the main problem faced in urban settlement areas, especially in developing countries. Slum area in Central Bangka Regency reaches a total area of 55.92 hectares, covering 9.1% of Central Bangka Regency area. The local government formulized a strategy named Construction and Development Plan of Housing and Settlement Areas (Rencana Pembangunan dan Pengembangan Perumahan dan Kawasan Permukiman/RP3KP). The objective of this strategy is to analyze whether the strategy for slum upgrading in Central Bangka Regency has been formulated effectively. This is significant since a study of the strategy needs to be conducted before the strategy is legalized and becomes the basic framework for implementation. Quantitative technique is depicted throughout this article by comparing strategies resulted from the RP3KP document with literature driven indicators and with Law Number 1 Year 2011 on Housing and Settlements. Result shows that the plan has been formulated effectively according to three assessment aspects, namely political aspects, administrative aspects, and their suitability to Law Number 1 Year 2011. Despite, for more effective implementation, is it suggested to operationalize the strategy by formulating mechanisms and instruments for effective governance. More detailed implementation strategies shall be regulated, to not only concentrate on physical aspects, but also on non-physical aspects, such as social, economic, and demographical aspects.

Using Fuzzy Cognitive Maps to Assess Liveability in Slum Upgrading Schemes: Case of Pune, India

Liveability assessments of informal urban settlements are scarce. In India, a number of slum upgrading schemes have been implemented over the last decades aiming at better living conditions. However, these schemes rarely consider improvement in liveability as an explicit criterion, assuming that better physical conditions and the provision of basic services inevitably lead to better liveability. We use Fuzzy Cognitive Maps (FCMs) to analyse liveability in four different informal settlements in Pune (India). We compare the liveability by conducting semi-structured interviews with residents and by analysing them in individual and aggregated FCMs. Each settlement represents an archetypical form of the upgradation process: non-upgraded (base case), in-situ upgraded, relocated, and temporary resettlement. The FCMs show that the liveability indicators availability of community space, proximity to public transportation, feeling of belonging, and good relationship with neighbours and community are central elements of these neighbourhoods’ liveability. The results suggest that upgradation may lead to an improved overall liveability but can also reduce it if not designed properly. The fostering of community agency, an integration of the neighbourhood into the formal city fabric, and the maintaining of cohesion during the shift from horizontal to vertical living emerged as critical factors. To ensure sustainable integration of liveability considerations in slum upgrading schemes, we suggest using indicators well-adapted to the local context, co-created with local experts and stakeholders, as well as periodic post-occupancy liveability evaluations.

Slum Upgrading Spatial Model Based on Level of Vulnerability to Climate Change in Coastal Area of Semarang City

Slum settlement is one of the significant global problems which requires special concern in the discussion agenda of Sustainable Development Goals (SDGs) of 2016-2030. The Sustainable Development Summit held in New York in September 2015 formulated that one of SDGs goals is to build inclusive, safe, resilient, and sustainable cities and settlements. In Indonesia, the achievement of this goal is stated in National Medium-Term Development Plan 2015-2019, i.e. creating 0% urban slum settlement which is supported by policies expected to accommodate the achievement of national development targets. Semarang Mayor Decree No. 050/801/2014 concerning the Determination of the Location of Housing Environment and Slum Settlements in Semarang City has been issued as the basis to identify slum settlements scattered throughout Semarang city, in terms of location, physical condition, and social conditions. This study was conducted by case studies on slum settlements in Trimulyo Village and Mangkang Wetan Village, Semarang city, Central Java Province, Indonesia, to formulate a slum upgrading model based on the resilience level of coastal communities towards climate change. The analysis included identifying the characteristics of slum settlements, scoring analysis to determine the resilience level possessed by coastal communities, and analysis of pentagon assets used to formulate slum upgrading models. The results of the study showed that these two research areas had a moderate level of vulnerability, with several different characteristics of asset ownership, particularly those related to human and social assets. Increasing the quality of human resources and social relations in the community was more intensified in the environment and community in Trimulyo, while improving the physical quality of the environment through housing improvements was carried out in Mangkang Wetan.

What are the effects of slum upgrading strategies involving physical environment and infrastructure interventions for improving the health and quality of life of people living in slums?

What are the effects of slum upgrading strategies involving physical environment and infrastructure interventions for improving the health and quality of life of people living in slums?

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

Participatory Slum Upgrading and Urban Peacebuilding Challenges in Favela Settlements: The Vila Viva Program at Aglomerado da Serra (Belo Horizonte, Brazil)

The concentration of urban violence in certain settlements in Latin America and the possibility of expansion have been latent concerns in slum upgrading. This intervention is potentially an urban peace strategy, especially when it is open to local participation and the promotion of capacities for collective action. However, the political economy behind upgrading shows that these are settings of competence for power and resources. Different factors (e.g., heterogeneity and population size, and project design) account for the bias towards a local elite, which is functional to the interests of public authorities. But, in contexts where power is fluid and challengeable, the informal arrangements between actors involved are more important as mediating social mechanisms of the peacebuilding efforts in the upgrading intervention and their outcomes. This article focuses on the Vila Viva slum-upgrading experience in Aglomerado da Serra, starting in 2005 in Belo Horizonte (Brazil). Social Network Analysis (SNA) models were applied to study the ties linking activists with public and private community initiatives. Interviews and a sociometric survey were used to collect information. The analysed social mechanisms (closure and brokerage types) depicted interaction frameworks with public authorities of two profiles of community activists: traditional and emerging. The first one was functional to the situational crime control approach of Vila Viva, in contrast with territorial rooting defended by emerging activists. The Vila Viva program upgraded the area’s connectivity with the city and broadened the market share of the favela´s drug dealers. After which, they assumed situational control to protect external buyers.