Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and...

21
1 Slum Upgrading: Assessing the Importance of Location A plea for a spatial approach as an integral component Koen Olthuis 1 2 , Jiya Benni 1 2 , Kristin Eichwede 1 2 , Chris Zevenbergen 1 1- Flood Resilience Group, UNESCO-IHE, PO Box 3015, 2601 DA Delft, The Netherlands 2- Waterstudio.NL, Gen. Berenschotlaan 211, 2283 JM Rijswijk, The Netherlands __________________________________________________________________________________ Abstract The world population is growing rapidly, with much of that growth happening in urban areas. In developing countries, this process is often accompanied by the formation and expansion of slums. A variety of slum upgrading projects have been implemented to improve the living conditions of slum dwellers. A wide study to investigate the objectives of slum upgrading projects highlighted that basic services and infrastructure provision were addressed more frequently than environmental measures. This is believed to be a result of the dominance of the UN’s definition of slums based on household data which lacks emphasis on the locational aspects. Location, along with the risk of eviction, make slums be perceived as inherently temporary. As a result, there is a low incentive to invest in these kind of temporary slums which pushes them into a negative spiral. An aerial analysis of slums located near waterbodies emphasised the slums’ dynamic relationship with their location. The paper proposes that findings from further spatial analysis could help devise a revised approach to slum upgrading that accounts for the diversity and dynamic nature of slums. The new approach will incorporate the temporary nature of slums and still impart features of permanency. By going beyond simple generic methods of upgrading such as the provision of basic services, this approach would customise upgrading objectives to the slums’ particular location, offer flexible solutions that account for the dynamic nature of slums, and also incorporate local knowledge. Keywords: slum upgrading, physical infrastructure, location, waterbody, flooding, adaptation _________________________________________________________________________________________ Corresponding author. Koen Olthuis, Waterstudio.NL, Generaal Berenschotlaan 211, 2283 JM Rijswijk, Email address: [email protected], Phone: +31 (0) 655150092 Introduction In October 2011, the world population reached a major milestone the seven billion mark (United Nations 2011). A majority of this accelerated rate of growth has been happening in urban areas. Predictions suggest that by the middle of the 21 st century, seven out of ten people will live in urban areas (United Nations Human Settlements Programme 2013). Since current urban planning cannot keep up with the scope and scale of people who move into the cities looking for opportunities and better living standards, this increase in urban population will also result in an increase in the number of slums. There are over 200,000 slums worldwide (Davis 2006), housing 1 billion people, and these numbers are predicted to increase to up to 2 billion by 2030 (United Nations Human Settlements Programme 2013). The situation is gravest in developing regions, where most of this informal growth has been happening, and slum population constitutes almost 33 per cent of the urban population (United Nations Human Settlements Programme 2013). Such statistics make the enormity of the issue and the problems that slums present for future development of cities evident. The inclusion of Goal 7 Target 11 in the Millennium Development Goals, which has set out to make a significant difference in the lives of at least 100 million slum dwellers (United Nations Human Settlements Programme, 2008; United Nations, 2013), further highlights the relevance of the issue. In addition to the recent increase in attention towards slums, ways of perceiving slums and their problems have also undergone changes in the past. Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national governments to deal with the “slum problem” (Baviskar, 2003; Macharia, 1992). More recently, however, there has been an increased focus on adopting slum upgrading measures. Slum upgrading, rather than

Transcript of Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and...

Page 1: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

1

Slum Upgrading: Assessing the Importance of Location

A plea for a spatial approach as an integral component

Koen Olthuis1 2 , Jiya Benni 1 2, Kristin Eichwede 1 2, Chris Zevenbergen 1

1- Flood Resilience Group, UNESCO-IHE, PO Box 3015, 2601 DA Delft, The Netherlands 2- Waterstudio.NL, Gen. Berenschotlaan 211, 2283 JM Rijswijk, The Netherlands

__________________________________________________________________________________

Abstract

The world population is growing rapidly, with much of that growth happening in urban areas. In developing

countries, this process is often accompanied by the formation and expansion of slums. A variety of slum

upgrading projects have been implemented to improve the living conditions of slum dwellers. A wide study to

investigate the objectives of slum upgrading projects highlighted that basic services and infrastructure provision

were addressed more frequently than environmental measures. This is believed to be a result of the dominance of

the UN’s definition of slums based on household data which lacks emphasis on the locational aspects. Location,

along with the risk of eviction, make slums be perceived as inherently temporary. As a result, there is a low

incentive to invest in these kind of temporary slums which pushes them into a negative spiral. An aerial analysis

of slums located near waterbodies emphasised the slums’ dynamic relationship with their location. The paper

proposes that findings from further spatial analysis could help devise a revised approach to slum upgrading that

accounts for the diversity and dynamic nature of slums. The new approach will incorporate the temporary nature

of slums and still impart features of permanency. By going beyond simple generic methods of upgrading such as

the provision of basic services, this approach would customise upgrading objectives to the slums’ particular

location, offer flexible solutions that account for the dynamic nature of slums, and also incorporate local

knowledge.

Keywords: slum upgrading, physical infrastructure, location, waterbody, flooding, adaptation

_________________________________________________________________________________________

Corresponding author. Koen Olthuis, Waterstudio.NL, Generaal Berenschotlaan 211, 2283 JM Rijswijk,

Email address: [email protected], Phone: +31 (0) 655150092

Introduction

In October 2011, the world population reached a

major milestone – the seven billion mark (United

Nations 2011). A majority of this accelerated rate of

growth has been happening in urban areas.

Predictions suggest that by the middle of the 21st

century, seven out of ten people will live in urban

areas (United Nations Human Settlements

Programme 2013). Since current urban planning

cannot keep up with the scope and scale of people

who move into the cities looking for opportunities

and better living standards, this increase in urban

population will also result in an increase in the

number of slums. There are over 200,000 slums

worldwide (Davis 2006), housing 1 billion people,

and these numbers are predicted to increase to up to

2 billion by 2030 (United Nations Human

Settlements Programme 2013). The situation is

gravest in developing regions, where most of this

informal growth has been happening, and slum

population constitutes almost 33 per cent of the

urban population (United Nations Human

Settlements Programme 2013). Such statistics make

the enormity of the issue and the problems that

slums present for future development of cities

evident. The inclusion of Goal 7 Target 11 in the

Millennium Development Goals, which has set out

to make a significant difference in the lives of at

least 100 million slum dwellers (United Nations

Human Settlements Programme, 2008; United

Nations, 2013), further highlights the relevance of

the issue. In addition to the recent increase in

attention towards slums, ways of perceiving slums

and their problems have also undergone changes in

the past.

Traditionally, slum demolition and resettlement of

slum populations were the dominant methods

implemented by local and national governments to

deal with the “slum problem” (Baviskar, 2003;

Macharia, 1992). More recently, however, there has

been an increased focus on adopting slum

upgrading measures. Slum upgrading, rather than

Page 2: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

2

treating the slum as a separate entity, aims to

integrate slums into the city through improvement

and formalisation (The World Bank Group 2001).

Slum upgrading actions consist of physical, social,

economic, organizational, and environmental

improvements (United Nations Human Settlements

Programme, 2003) which are undertaken as a

collaboration between citizens, community groups,

businesses and authorities. These approaches

would, ideally, foster social and economic

inclusion, address overall city issues and improve

the quality of life. Furthermore, it is suggested to be

more affordable, viable, and – in theory – more

flexible than adopting common demolition and

relocation mechanisms (The Cities Alliance 2014).

The objective of this paper is to assess current slum

upgrading measures, with a specific focus on

projects that target the physical environment of slum and to investigate how effectively targeted

these upgrading measures are in relation to specific

location-induced risks, such as flooding.

Methodology

Two methods were incorporated to attempt this

task. Firstly, an analysis of previous and current

slum upgrading measures was done. Data was

combined from a variety of sources, including the

MIT slum upgrading database (The World Bank

Group 2001), the “Slum upgrading up close”

publication (The Cities Alliance 2008), and the

World Bank Projects and Operations database (The

World Bank Group 2015). This was believed to

give a detailed overview of the up-to-date

investments into slum upgrading measures and their

key objectives, encompassing the most recent ones

while also reaching back as far as 1986. As a first

step, 88 projects with a primary focus on addressing

the physical issues of slums were identified, from

here on referred to as “physical upgrading

projects”. For the purpose of this paper, projects

with a focus on social, political and legal issues

were not included. However, some physical

upgrading projects included elements of social,

political and/or legal upgrading measures as a

secondary focus. To better understand which

features were most frequently addressed, the next

step involved the identification of key objectives

and scale of the selected 88 projects. The objectives

were then logically grouped into sub-categories,

such as basic services/infrastructure, environmental

measures, institutional strengthening etc. As a last

step, the measures falling under physical

infrastructure – housing, basic

services/infrastructure and environmental measures

– were examined in detail to find out with what

frequency issues related to location were addressed.

Secondly, as a response to the growing demands for

an incorporation of spatial criteria when

understanding the vulnerability of slums (Janowska,

Weeks, & Engstrom, 2011) and in slum upgrading

(Kohli, Kerle, & Sliuzas, 2012; Kohli, Sliuzas,

Kerle, & Stein, 2012; Mehta & Mehta, 2012), a

spatially-driven analysis was done on some of the

slums previously identified. For the purpose of the

paper, spatial analysis is restricted to investigating

the spatial distribution and growth pattern of the

slum with the help of satellite images from Google

Earth. Traditional data collection methods, such as

census data, rarely give an idea of the spatial

distribution and heterogeneity of slums. Techniques

that incorporate remote sensing, on the other hand,

are suitable for a quick analysis of the location and

physical composition of the slums (Kohli, Sliuzas,

Kerle, & Stein, 2012; Baud, Kuffer, Pfeffer,

Sliuzas, & Karuppannan, 2010). Six slums with

different locational characteristics (three located

away from water and three located near water) were

chosen for slum mapping using images from

Google Earth. A temporal component was included

in the slum mapping through the use of the

Historical Imagery Tool in order to study the

growth trend of each slum.

Results

An analysis of the 88 identified slum upgrading

projects1 showed that legal, social and political

upgrading measures often complement the

dominant physical infrastructure upgrading that

were the primary focus for the purpose of this study

(Figure 1). Another observation made was that

most projects were implemented at a

national/regional/state scale or at the

city/metropolitan area-level (Appendix).

Within the physical infrastructure upgrading

category, upgrading measures were classified into

three categories – basic infrastructure, housing and

environmental measures (Figure 2). Most

investment was spent on basic services and

infrastructure provision with water and sanitation

provision being a priority.

1 Complete list of physical upgrading projects in

Appendix

Page 3: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

3

Figure 1. Analysis of 88 slum upgrading projects from 1969 to 2014 will a primary focus solely on physical upgrading

Legend

Basic Services

General Basic Services

Water

Sanitation

Sewerage/Wastewater

Solid-waste/ waste / garbage

Mobility (Roads/Lanes/Bridges)

Electricity

Environmental measures

General environmental measures

Flooding control

Drainage

Pollution

Emergency

Housing/Shelter

Figure 2. A closer look at the objectives of the above projects

Page 4: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

4

Other basic service/infrastructure upgrading

measures included sewage and wastewater

treatment, and mobility provision through the

construction of roads, lanes and bridges. Electricity

provision was also mentioned as an objective in

some slum upgrading projects. The provision of

housing and shelter also falls under the category of

physical infrastructure. However, it was mentioned

the least number of times. Environmental measures

suggested to be a more frequent objective than

housing provision. At the same time, the investment

in environmental measures fell far behind that spent

on basic services. Aside from flood protection and

drainage improvement, air quality management and

pollution control objectives were also classified as

environmental upgrading. Thus environmental

measures, particularly those that address the threat

of flooding, as well as the provision of housing

were less frequent investment objectives of slum

upgrading projects. Basic services and

infrastructure improvements seem to be an effective

generic upgrading measure, a blanket approach for

addressing the poor conditions of slum settlements.

Environmental measures, on the contrary, are more

specific as they address factors related to the

particular spatial environment of each slum.

Protection from flooding, for instance, presents an

investment objective that relates to the specific

location and associated threats faced by a slum.

This is particularly important since flooding is seen

as the “most expensive and devastating natural

hazard” (Dewan 2013). The UNESCO further

reports that, from 1990 to 2006, water-related

disasters accounted for 88.4 per cent of the 1000

most fatal disasters (Adikari and Yoshitani 2009).

Furthermore, flooding will continue to be a major

future regional concern, according to the recent

IPCC Report (IPCC 2007). Slums, particularly

those located in low-lying areas and on floodplains,

are increasingly threatened by the risk of flooding

and rising sea level. This threat has been

highlighted by studies of slums such as in Dhaka

(Braun & Aßheuer, 2011; Rashid, Hunt, & Haider,

2007) and Kampala (Douglas, et al., 2008). The

existent high risk of flooding in the slums questions

the effectiveness of broad and generic upgrading

investments which mainly focus on improving basic

infrastructure and basic service provision. The

spatial aspect, therefore, should be a decisive factor

and cannot be overlooked when determining

upgrading objectives for slums.

Figure 3.Evolution of Kanwangware Slum in Nairobi,

Kenya (Above:2002, Below:2014)

Figure 4 Evolution of Orangi Town in Karachi, Pakistan

(Above:2001; Below:2014).

Page 5: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

5

From the spatial and temporal analysis of aerial

images for a number of slums taken from the slum

upgrading databases we can observe two trends.

Firstly, as shown by Figures 3 to 5, slums grow,

thereby increasing the density of the settlements

over the timespan of a little more than a decade.

Furthermore, Figures 6 to 8 suggest that slums

located on or along waterbodies, such as rivers, sea,

or floodplains show a tendency to grow onto the

water.

Even though such growth onto the water

exacerbates their exposure and heightens the risk of

flooding they face, it suggests two things. Due to a

lack of space to expand on land, slums located near

water have found ways to adapt by turning the

threat of the water into an opportunity to create new

space on the water. This is particularly true for

slums located near lagoons (Figure 6) and lakes

(Figure 7).

Analysis

While many diverse definitions of slums exist – this

being part of the problem to finding global and

inclusive policies – the dominant definition was

coined by UN-Habitat in 2003 (Figure 9). In its

essence, it classifies slums as areas with households

having inadequate access to safe water, inadequate

access to sanitation and other infrastructure, poor

structural quality of housing, overcrowding, or

insecure residential status, or a combination of any

of these attributes (United Nations Human

Figure 5.Evolution of Mathare Valley in Nairobi, Kenya

(Above: 2002, Below: 2014)

Figure 6. Evolution of Makoko slum in Lagos, Nigeria

(Above:2000 Below:2014)

Figure 7. Evolution of Korail slum in Dhaka, Bangladesh

(Above: 2001; Below:2014)

Page 6: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

6

Characteristic Indicator Definition

Access to water Inadequate drinking water

supply (adjusted MDG

Indicator 30)

A settlement has an inadequate drinking water supply if less than 50% of households

have an improved water supply:

(adjusted MDG Indicator 30) • household connection;

• access to public stand pipe;

• rainwater collection

Access to sanitaiton Inadequate sanitation

(MDG Indicator 31)

A settlement has inadequate sanitation if less than 50% of households have improved

sanitation:

• public sewer;

• septic tank;

• pour-flush latrine;

• ventilated improved pit latrine.

Structural quality of housing a. Location Proportion of households residing on or near a hazardous site.The following locations

should be considered:

• housing in geologically hazardous zones (landslide/earthquake and flood areas);

• housing on or under garbage mountains;

• housing around high-industrial pollution areas;

• housing around other unprotected high-risk zones (eg railroads, airports, energy

transmission lines).

b. Permanency of structure Proportion of households living in temporary and/or dilapidated structures.The

following factors should be considered when placing a

housing unit in these categories:

• quality of construction (eg materials used for wall, floor and roof);

• compliance with local building codes, standards and bylaws.

Overcrowding Overcrowding Proportion of households with more than two persons per room.The alternative is to set

a minimum standard for floor area per

person (eg 5 square metres).

Security of tenure Security of tenure (MDG

Indicator 32)

• Proportion of households with formal title deeds to both land and residence.

• Proportion of households with formal title deeds to either one of land or residence.

• Proportion of households with enforceable agreements or any document as a proof of a

tenure arrangement.

Settlements Programme, 2003). A key feature of

the UN definition is its household-based nature, not

a place-based one (Janowska, 2011).

Subsequently, the objectives of slum upgrading

policies correspond closely with the indicator and

target slum problems at the household level. The

results from our analysis clearly indicate that the

provision and improvement of basic services and

infrastructure have been a priority in investments in

slum upgrading up until now. Basic service

provision relates to the water and sanitation

indicator. Structural quality of housing, which can

be classified into two indicators, location and

permanency of structure, seems to be of lesser

investment concern. There could be several reasons

why upgrading measures which target the

permanency of the slums are not pursued more

strongly. Measures such as legalising informal

settlements would foster stabilisation but they also

involve huge investments and legal and political

obligations for national and local governments to

significantly improve slum dwellers needs

(Homeless International, 2011). Through a lack of

upgrading locational attributes and a failure to

providing tenure that would establish permanency

of slums, city authorities are free to evacuate slums

whenever they want. In that way, the UN’s vision

for improving the livelihoods of slum dwellers

differs from cities’ urban planning priorities that

ultimately shape the decision-making process for

slums.

Figure 8. Evolution of Isla Verde slum in Davao City,

Philippines (Above:2001; Below:2014)

Figure 9. Indicators and thresholds for defining a slum as prescribed by the UN (Source:UN-Habitat, 2003)

Page 7: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

7

The temporary nature of slums

A crucial attribute of slums – particularly illegal

settlements – is that, no matter whether they are

located on a hazardous site or not, or whether they

have existed for decades or just formed, they are

perceived as temporary. This temporariness of

slums arises from manmade as well as natural

causes. The constant threat of eviction by city

authorities (United Nations Human Settlements

Programme 2003) and their heightened exposure to

flooding (Baker, 2012) and other natural hazards

make slums a supposedly temporary entity. The

locational characteristics of slums can have a large

effect on whether certain slums are addressed in

slum upgrading projects. In her study of riverine

communities in Metro Manila, Porio described the

status of slum and their dwellers as a constant

‘evacuation mode’ (Porio 2011). For municipalities,

investment in slums with characteristics similar to

the riverine communities illustrated in Porio’s study

might not make them a priority when it comes to

deciding which slums should be upgraded. In this

way, slums enter a “negative spiral” where the

temporariness stemming from location and fear of

eviction discourages investments for upgrading,

especially environmental upgrading. This lack of

investment prevents long term improvement and in

turn worsens the situation of the slum.

Impacts of flooding for slums

The diversity of the impacts of flooding and their

particular threat for slums have been widely

discussed (Porio, 2011; De Risi, Jalayer, De Paola,

Iervolino, & Giugni, 2013; Hamza & Zetter, 1998).

While presenting an extreme health and sanitation

risk in itself, flooding also disrupts the livelihood

practices of slum dwellers. This includes, for

instance, small-scale commerce, artisanal trades and

petty trading (Douglas, et al. 2008). The disruption

of such economic activities not only negatively

affects the productivity of the slum itself, but also

has detrimental effects on the functioning of the

wider urban area. The particular vulnerability of

slums to flooding is due to a combination of several

factors. Their location on floodplains, low-level

areas, or generally hazardous sites heightens the

exposure of many slums to the risk of flooding and

the effects of climate change. This is further

exacerbated by unplanned urbanisation manifested

in poor structural quality of buildings and the

associated lack of proper drainage control,

alongside high population density (Wamsler, 2008;

Janowska, Weeks, & Engstrom, 2011). Therefore,

investments that are spent on slums in an

emergency post-disaster situation are not enough to

improve their condition in the long-term. At an

urban scale, flood management should be extended

to the slums even if they are not a legal and formal

entity of the city while at the building scale,

addressing the housing quality of slums, their

problem of density and drainage control can help

reduce the impact of flooding. The aforementioned

negative spiral, however, often prevents

investments towards such actions. Slums with

additional vulnerability from high flood risk might

be perceived as even more temporary and unstable,

something that could negatively affect the decision-

making process for endorsing environmental

upgrading measures (flood control, drainage,

pollution control, emergency management) versus

basic infrastructure provision (access to water and

sanitation, sewerage and waste management,

mobility and electricity) (Figure 2).

Lessons from the spatial analysis

A focus on the provision of basic services – even

though crucial to improving overall conditions in

slums – only addresses a symptom of the wider

problem. The analysis of aerial images highlights

the extent of the problem of overcrowding and the

resulting lack of space in slums. As a result, slums

not only grow outwards but – perhaps due to a lack

of choice – also evolve onto the hazardous sites, in

this case waterbodies. This increases their exposure,

particularly in the context of more extreme weather

conditions and rising sea level and heightens their

vulnerability. The temporal aspect, brought out by

the aerial images, furthermore provides an

indication of the growth of slums. There is a

constant evolution that affects the shape and size of

slum settlements making it extremely difficult to

have an accurate database. Often, exact numbers

and needs of slums are unknown to municipalities,

making it hard to find and implement the most

appropriate upgrading policies.

Accordingly, the analysis of aerial images can give

more insight into the extreme diversity of slums

that arises from factors beyond local and national

policies, social adaptation measures and cultural

knowledge. This diversity might first and foremost

result from a slum’s location and the surrounding

environmental conditions. Instead of pursuing a

generic slum upgrading approach, these types of

diversity have to be incorporated in the upgrading

Page 8: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

8

process. Based on the results from the analysis, up-

to-date upgrading measures seem to be rather

generic with a dominant focus on improving basic

conditions. Environmental adaptation measures

often only become a priority in spontaneous post-

disaster emergency upgrading investments (Deri &

Alam, 2008). But such objectives should be a

concern in upgrading projects even before the

disaster strikes. Understanding the role that spatial

factors, such as location, play is a crucial aspect in

this regard. Additionally integrating a temporal

component makes it possible to understand the

evolution of each slum and observe general growth

trends.

Incorporating local knowledge

The high prevalence of the national and city-level

scale in slum upgrading projects (see Appendix)

could imply that most projects are implemented

top-down. The rise of ‘participation development’

from the 1970s onwards has continuously

challenged mainstream ‘top-down’ development to

foster the inclusion of local knowledge for more

sustainable benefits. A range of different types of

such local coping strategies have been identified

(Wisner, Blakie, Cannon, & Davis, 2004; Wamsler,

2007; Wamsler, 2008; Porio, 2011). Slum

upgrading measures that incorporate local

knowledge and participation have shown to be

more successful (The World Bank Group 2001).

Nevertheless, there has been a lack of research

which investigates adaptation measures to changing

environmental conditions such as climate

variability in urban areas (Jabeen, Allen, &

Johnson, 2009). In general, local adaptation

techniques for slums located near water show a

variety of uniquely adapted lifestyles to the specific

spatial conditions of such slums. Wamsler suggests

that the key adaptation techniques in urban

environments consist of a modification to the

physical and built environment (Wamsler 2007). In

slums located near water, local adaptation

techniques show a variety of ways in which the

urban fabric and lifestyle has uniquely adapted to

the waterbody. Existing reports and studies that

investigate household and adaptation strategies in

slums in Lagos, Nigeria (IRIN Africa 2006,

Basckin 2012, Mruaya 2014, Agence France-Presse

in Lagos 2014), in Iquitos, Peru (Faldetta, et al.

2014), or Dhaka, Bangladesh (Jabeen, Allen and

Johnson 2009) show how slums have adapted to

flood risk and water by building on stilts. Materials

vary from timber to bamboo, depending on their

availability. This technique furthermore

incorporates a seasonal adaptability. In the Belen

slum in Iquitos, the stilted housing sits on land

during the dry season (Faldetta, et al. 2014). When

the land is flooded, the stilted constructions provide

protection from the water. Further adaptation

measures have been integrated into the regular

lifestyle of slum dwellers in Korail in Dhaka. These

include the creation of barriers at front doors,

increasing the height of the furniture and plinth, and

arranging storage facilities that are higher (Jabeen,

Allen and Johnson 2009). With flooding effects

predicted to intensify due to the rising sea level

from changing climate (IPCC, 2007; 2014), it has

been established that these effects will

disproportionately affect the urban poor and

heighten their vulnerability in comparison to other

urban dwellers (Alam and Golam Rabbani 2007,

McGranahan, Balk and Anderson 2007, Pelling

2003, Satterthwaite, et al. 2007). Stilted

constructions are only effective up to a certain

height of the water level. Amphibious and floating

constructions might therefore be more useful

adaptation measures. A local example for such

adaptation techniques are the floating communities

in Tonle Sap Lake in Cambodia (Travers 2012)

where communities live on connected houseboat

structures. Slum upgrading projects, such as the

Medicines Sans Frontiers’ Clinic (Medecins Sans

Frontieres 2012) and the Floating School (NLÉ,

2014) in Makoko, Lagos have incorporated these

clues and built upon these local adaptation

techniques. By taking the threat that water presents

to the slum and turning it into an opportunity for

upgrading, these projects provide examples of

targeted action that combine local knowledge with

advanced technology. This imparts features of

permanency to otherwise temporary slums.

Conclusion

Our study of 88 slum upgrading projects revealed

that investment into physical slum upgrading is

predominantly focused on basic services and basic

infrastructure provision, such as access to safe

water and sanitation. Upgrading objectives that

clearly relate to and integrate the locational

characteristics of slums, such as flood protection,

drainage and pollution, were found to be a less

frequent investment concern in upgrading projects.

On the contrary, upgrading projects with a sole

focus on environmental improvements were often

Page 9: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

9

only initiated spontaneously as a post-disaster

response. This is believed to be a result of the

dominance of the UN definition of slums based on

household data which lacks emphasis on their

locational aspects. It is particularly a slum’s

location however, alongside the constant threat of

eviction that creates a perceived temporary nature.

As a result, there is a low incentive to invest in

these kind of temporary slums which pushes them

into a negative spiral. In an attempt to integrate

location into slum research, a simple aerial analysis

of six of the previously identified slums was done.

This gave an indication of the extreme diversity in

shape and surrounding of slums that naturally arises

from their diverse locations. The integration of a

temporal component furthermore highlighted their

dynamic nature and relationship with their

environment, such as for instance waterbodies. As

an important finding, slums on or along

waterbodies have been shown to expand onto the

water. Integrating findings from spatial analysis,

such as locational attributes and growth trends,

could help in devising and implementing

customised approaches of slum upgrading that

account for the diversity and dynamism of each

slum. To further investigate the dynamic and

diverse nature of slums, the paper looked at ways in

which local slums have adapted to particular

locational characteristics, such as the risk of

flooding. As a result, the paper has highlighted the

importance of local knowledge and local

participation in slum upgrading. A review of

existing studies on slums in Belen, Peru and Lagos,

Nigeria have shown how building on stilts has

helped the slums adapt to the recurring problem of

flooding that naturally arises due to their proximity

to water. Local knowledge can be an extremely

valuable resource for understanding how upgrading

can incorporate and address spatial and

environmental characteristics and make it possible

to scale up existing local adaptation measures. For

instance, when planning an upgrading project,

knowledge of a slum’s exposure to flood risks and

existing adaptation measures could lead to an

effective spatialized provision of adaptive housing

and services provision. Effective, targeted

upgrading is put in jeopardy by generic measures

that do not consider the locational attributes of

slums or the local knowledge. As a solution to this

complex problem of generic slum upgrading, this

paper therefore proposes a customised approach

that goes beyond conventional, blanket methods of

upgrading such as the provision of basic services. A

method that actively seeks to incorporate location

through spatial analysis as well as integrate existing

local adaptation techniques would make it possible

to find flexible and customised solutions that

account for the dynamic and diverse nature of the

slum.

Recommendation

A revised classification system for slums could aid

further studies to incorporate the spatial features of

slums more firmly. Such a formal distinction of

slums could be based on their specific location, for

instance, waterbodies, floodplains, hillslopes,

volcanoes, and seismic zones as well as their

specific location within a city. The integration of

locational attributes could then help slum upgrading

to be better targeted and sustainable in the future.

Furthermore, research into the possibilities to

merge local knowledge and measures with more

advance technologies could help to scale up

existing local adaptation techniques.

Acknowledgements

We would like to thank the Flood Resilience Group

at UNESCO-IHE, Delft for providing us space and

resources for the research. We especially thank

Prof. William Verbeek at UNESCO-IHE for his

help and guidance to use GIS data. We take this

opportunity to thank Mats Lehwald for his

tremendous work in shaping this paper to its current

form and Stephan van Berkel for his comments on

various aspects of the paper.

References

Adikari, Y., & Yoshitani, J. e. (2009). Global Trends in

Water-Related Disasters: an insight for

policymakers. The United Nations World Water

Assessment Programme: International Centre

for Water Hazard and Risk Management

(ICHARM). Paris: United Nations Educational,

Scientific and Cultural Organization.

Agence France-Presse in Lagos. (2014, 02 10). South

China Morning Post. Retrieved 01 08, 2015,

from http://www.scmp.com/lifestyle/family-

education/article/1425206/nigerias-slum-stilts-

floating-school-offers-new-hope

Alam, M., & Golam Rabbani, M. D. (2007).

Vulnerabilities and responses to climate change

for Dhaka. Environment and Urbanization,

19(1), 81-97.

Baker, J. L. (2012). Climate Change, Disaster Risk, and

the Urban Poor: Cities Building Resilience for

a Changing World. World Bank Publications.

Page 10: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

10

Basckin, D. (2012, 06 13). BBC News Africa. Retrieved

01 08, 2015, from Makoko - Nigeria's slum

built on the water:

http://www.bbc.com/news/world-africa-

18417005

Baud, I., Kuffer, M., Pfeffer, K., Sliuzas, R., &

Karuppannan, S. (2010). Understanding

heterogeneityin metropolitan India: The added

value of remote sensing data for analyzing sub-

standard residential areas. International

Journal of Applied Earth Observation and

Geoinformation, 12(5), 359-374.

Baviskar, A. (2003). Between violence and desire: space,

power, and identity in the making of

metropolitan Delhi. International Social

Science Journal, 55(175), 89-98.

doi:10.1111/1468-2451.5501009

Braun, B., & Aßheuer, T. (2011). Floods in megacity

environments: vulnerability and coping

strategies of slum dwellers in

Dhaka/Bangladesh. Natural Hazards, 58(2),

771-787. doi:10.1007/s11069-011-9752-5

Cutter, S. L. (1996). Vulnerability to environmental

hazards. Progress in Human Geography, 20(4),

529-539.

Davis, M. (2006). Planet of Slums. London: Verso.

De Risi, R., Jalayer, F., De Paola, F., Iervolino, I., &

Giugni, M. (2013). Flood risk assessment for

informal settlements. Nat Hazards, 69, 1003-

1032.

Deri, A., & Alam, M. (2008). Local governments and

climate change. Commonwealth Secretariat

Discussion Paper, Number 2. Commonwealth

Secretariat.

Dewan, A. M. (2013). Floods in a Megacity: Geospatial

Techniques in Assessing Hazards, Risk and

Vulnerabilty. New York: Springer.

Douglas, I., Alam, K., Maghenda, M., Mcdonnel, Y.,

Mclean, L., & Campbell, J. (2008). Unjust

waters: climate change, flooding and the urban

poor in Africa. Environment and Urbanization,

20, 187-205.

Douglas, I., Alam, K., Maghenda, M., McDonnell, Y.,

McLean, L., & Campbell, J. (2008). Unjust

waters: climate change, flooding and the urban

poor in Africa. Environment & Urbanization,

20(1), 187-205. doi:

10.1177/0956247808089156

Faldetta, K. F., Reighard, D. A., Dickinson, K. L., Wang,

C. Q., George, D. R., Benavides, L. R., &

Stosnider, W. H. (2014). Assessing domestic

water quality in Belén municipality, Iquitos,

Peru. Journal of Water, Sanitation and Hygiene

for Development, 4(3), 391-399.

Hamza, M., & Zetter, R. (1998). Structural adjustment,

urban systems, and disaster vulnerability in

developing countries. Cities, 15(4), 291-299.

Homeless International. (2011). How do land tenure

issues affect sanitation provision for the urban

poor? UK Department for International

Development.

IPCC. (2007). Climate Change 2007: Synthesis Report.

Contribution of Working Groups I, II and III to

the Fourth Assessment Report of the

Intergovernmental Panel on Climate Change

[Core Writing Team; Pachauri, Rajendra K;

Reisinger, Andy (eds.)]. Geneva:

Intergovernmental Panel on Climate Change.

IPCC. (2014). Summary for policymakers. In: Climate

Change 2014: Impacts, Adaptation, and

Vulnerability. Part A: Global and Sectoral

Aspects. Contribution of Working Group II to

the Fifth Assessment Report of the

Intergovernmental Panel on Climate Change.

Cambridge, United Kingdom and New York,

NY, USA: Cambridge University Press.

IRIN Africa. (2006). IRIN Africa Humanitarian News

and Analysis. Retrieved 01 09, 2015, from

Nigeria: Lagos, the mega-city of slums:

http://www.irinnews.org/report/60811/nigeria-

lagos-the-mega-city-of-slums

Jabeen, H., Allen, A., & Johnson, D. C. (2009). Built-in

resilience: learning from grassroots coping

strategies to clilmate variability. Built-in

resilience: learning from grassroots coping

strategies Fifth Urban Research Synopsium.

Fifth Urban Research Synopsium.

Janowska, M. M., Weeks, J. R., & Engstrom, R. (2011).

Do the most vulnerable people live in the worst

slums? A spatial analysis of Accra, Ghana.

Annals of GIS, 17(4), 221-235.

Kohli, D., Kerle, N., & Sliuzas, R. (2012). Local

ontologies for object-based slum identification

and classification. Proceedings of the 4th

GEOBIA (p. 201). Rio de Janeiro: GEOBIA.

Kohli, D., Sliuzas, R., Kerle, N., & Stein, A. (2012). An

ontology of slums for image-based

classification. Computers, Environment and

Urban Systems, 36, 154-163.

Macharia, K. (1992). Slum Clearance and the Informal

Economy in Nairobi. The Journal of Modern

African Studies, 221-236.

doi:10.1017/S0022278X00010697

McGranahan, G., Balk, D., & Anderson, B. (2007). The

rising tide: assessing the risks of climate

change and human settlements in low elevation

coastal zones. Environment and Urbanization,

19(1), 17-37.

Page 11: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

11

Medecins Sans Frontieres. (2012). Activity Report 2011.

Geneva: Medecins Sans Frontieres.

Mehta, M., & Mehta, D. (2012, 04 30). JMP-post-2015

WASH platform, PAS Project, CEPT

University. Retrieved from Note on spatial

aspects of slums - input to Working Group on

Equity and Non-Discrimination:

http://www.wssinfo.org/fileadmin/user_upload/

resources/Note-on-spatial-aspects-of-slums-

April-30-2012--sent-mm_4.pdf

Mruaya, J. W. (2014, 02 07). Africa Review. Retrieved 01

08, 2015, from

http://www.africareview.com/Special-

Reports/Makoko-the-floating-Lagos-slum/-

/979182/2196462/-/xsk7buz/-/index.html

NLÉ. (2014). NLÉ Works. Retrieved 01 19, 2015, from

Makoko Floating School, Lagos, Nigeria, 2012:

http://www.nleworks.com/case/makoko-

floating-school/

Pelling, M. (2003). The Vulnerability of Cities: Natural

Disasters and Social Resilience. London:

Earthscan.

Porio, E. (2011). Vulnerability, Adaptation, and

Resilience to Floods and Climate Change-

Related Risks among Marginal, Riverine

Communities in Metro-Manila. Asian Journal

of Social Science, 39(4), 425-445.

Rashid, H., Hunt, L., & Haider, W. (2007). Urban Flood

Problems in Dhaka, Bangladesh: Slum

Residents' Choices for Relocation to Flood-

Free Areas. Environmental Management, 40(1),

95-104. doi:10.1007/s00267-006-0233-7

Satterthwaite, D., Huq, S., Reid, H., Pelling, M., &

Romero Lankao, P. (2007). Adapting to

Climate Change in Urban Areas: The

Possibilities and Constraints in Low- and

Middle-Income Nations. Human Settlements

Discussion Paper Series: Climate Change and

Cities 1. London: International Institute for

Environment and Development (IIED).

The Cities Alliance . (2008). Slum Upgrading Up Close -

Experiences of Six Cities . Washington, D.C.:

The Cities Alliance.

The Cities Alliance. (2014). About Slum Upgrading .

Retrieved 01 09, 2015, from

http://www.citiesalliance.org/About-slum-

upgrading

The World Bank Group. (2001). What is Urban

Upgrading? Reference for administrators,

policy-makers, and decision-makers. Retrieved

12 18, 2014, from What is Urban Upgrading?

History:

http://web.mit.edu/urbanupgrading/upgrading/

whatis/history.html

The World Bank Group. (2001). What is Urban

Upgrading? Reference for administrators,

policy-makers, and decision-makers. Retrieved

12 12, 2014, from Case Examples:

http://web.mit.edu/urbanupgrading/upgrading/c

ase-examples/index.html

The World Bank Group. (2015). The World Bank -

Projects & Operations. Retrieved 12 12, 2014,

from http://data.worldbank.org/data-

catalog/projects-portfolio

Travers, A. (2012). Floating Communities on Tonlé Sap

Lake, Cambodia: Spatial Patterns and

Adaptation Capacity. Brisbane: University of

Queensland. Retrieved 01 09, 2015, from

http://www.nccarf.edu.au/settlements-

infrastructure/sites/www.nccarf.edu.au.settleme

nts-infrastructure/files/ATravers_Web.pdf

United Nations . (2011, 10 31). As the world passes 7

billion milestone, UN urges action to meet key

challenges. Retrieved from UN News Centre:

http://www.un.org/apps/news/story.asp?NewsI

D=40257#.VK6QmSvF99Y

United Nations. (2013). The Millennium Development

Goals Report 2013. New York: United Nations.

United Nations Human Settlements Programme. (2003).

The Challenge of Slums: Global Report on

Human Settlements 2003. London: Earthscan .

United Nations Human Settlements Programme. (2008).

State of the World's Cities 2008/9: Harmonious

Cities. London: Earthscan.

United Nations Human Settlements Programme. (2013).

State of the World's Cities 2012/2013 -

Prosperity of Cities. New York: Routledge.

Wamsler, C. (2007). Bridgin the gaps: stakeholder-based

strategies for risk reduction and financing the

urban poor. Environment and Urbanization,

19(1), 115-142.

Wamsler, C. (2008). Achieving urban resilience:

understanding and tackling disasters from a

local perspective. Proceedings of The ICE -

Urban Design and Planning 161(DP4), 163-

172. doi:10.1680/udap.2008.161.4.163

Wisner, B., Blakie, P., Cannon, T., & Davis, I. (2004). At

Risk: Natural Hazards, People's Vulnerabilty

and Disasters (2nd edition ed.). London:

Routledge.

Page 12: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

Appendix

Name of Slum

Upgrading Project

Area (if

known, specific

slums are

identified)

Time of

investment

approval

Key objectives for resource and investment

allocation

Notes Scale Source1

1 Kampung Improvement

Programme

Kampung,

Jakarta,

Indonesia

1969 Infrastructure provision (roads, bridges and

footpaths)

Basic services (sanitation and water)

Flood control (drainage canals)

Schools and health clinics

Government-assisted,

self-help community

planning programme.

Aga Khan Award for

Architecture.

Little disturbance to

existing housing, little

housing assistance but

improvements in

access, flood control

and economic activity

stimulated home

improvement

Community http://www.akdn.org/architecture/project.asp?

id=1

2 Lusaka Squatter

Upgrading and Sites and

Services Project

Lusaka, Zambia 1974 Housing (upgrading existing squatter

settlements)

Sites and services

Primary infrastructure

Communal facilities

Technical assistance

Large-scale, low-cost

urban housing using

the concept of mutual

help construction

City http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-ZA-lus.html;

http://www.worldbank.org/projects/P003167/

lusaka-squatter-upgrading-sites-services-

project?lang=en

3 Tondo Urban

Development

Metro Manila,

The Philippines

1977 Basic services

Healthcare

Tenure

Community http://documents.worldbank.org/curated/en/1

977/12/19157198/philippines-manila-urban-

development-project-report-status-tondo-

foreshore-development-project

4 Rabat Urban

Development Project

Douars Doum,

Maadid and

Rajja, Rabat,

Morocco

1978 Housing

Sites and Services (waste, fire fighting,

emergency services)

Employment generation scheme

Technical assistance

Infrastructure

Upgrading was

considered as a more

affordable option than

resettlement

City http://www.worldbank.org/projects/P005382/

rabat-urban-development-project?lang=en;

http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-MR-rab.html

5 Basti Redevelopment

Project

Kolkata, India 1970-1980 Basic services

Surface drainage facilities

Construction and widening of roads and

pathways

Provision of street lighting

Conversion of slum

latrines, connection of

water taps and waste

disposal facilities

City http://cityrenewal.blogspot.nl/2008/07/basti-

redevelopment-in-calcutta.html

6 SINAMOS Lima, Peru 1970-1980s Housing

Healthcare

Water trucks and regular urban service

provision

Upgrading after

resettlement

National http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-PE-sin.html

7 Kalingalinga Integrated

Upgrading Project

Lusaka, Zambia 1980 Housing (Material loans)

Services (Water standpipes)

Clear interest of

community with

Community http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-ZA-lus-Kal.html

1 All URLs last accessed on 22 Jan 2015

Page 13: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

Infrastructure (roads, street lighting)

Facilities (schools, clinic, markets and

community centre)

Finance (Micro-loans)

extensive input and

support

8 Orangi Pilot Project Orangi Town,

Karachi,

Pakistan

1980 Sanitation provision

Sewage disposal

One of the most

successful NGO

sanitation provision

projects. Community-

owned, community-

managed

Community http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-PK-ora.html

9 Lahore Urban

Development Project

Lahore,

Pakistan

1983 Housing

Services

Technical assistance and capacity

strengthening

City http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-PK-lah.html

10 Olaleye-Iponri Urban

Renewal Project

Lagos, Nigeria 1980s Housing Community The Cities Alliance (2008)

11 Slum Improvement

Project (SIP)

Bangladesh mid-1980s-

1990s

Primary healthcare

Empowerment of women

Connecting existing urban services to slum

communities

Institutional capacity

UNICEF-funded,

community-based

effort

National http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-BG-slu.html

12 Urban Development Uttar

Pradesh Project

Uttar Pradesh,

India

1987 Services (water supply, sewerage, drainage,

sanitation, solid waste, pollution control)

State http://www.worldbank.org/projects/B009873/

urban-development-uttar-pradesh-

project?lang=en&tab=overview

13 PROSANEAR Sao Paulo,

Brazil

1988 Health and environmental conditions (water,

waste water and solid waste services,

sanitation)

National/Com

munity

http://www.worldbank.org/projects/P006437/

water-supply-sanitation-project-low-income-

areas-municipalities?lang=en&tab=overview

14 Urban Development

Project

Chittagong,

Bangladesh

1988 Environmental improvements (storm water

drainage and flood control, solid waste

collection and disposal, sanitation)

Area development (basic shelter)

Technical assistance

City http://www.worldbank.org/projects/P009467/

urban-development-

project?lang=en&tab=overview

15 Angat Water Supply

Optimization Project

Angat, The

Philippines

1989 Water access

Sewerage

Metropolitan

area

http://www.worldbank.org/projects/P004574/

angat-water-supply-optimization-

project?lang=en&tab=overview

16 Karachi Water Supply &

Sanitation Project

Karachi,

Pakistan

1989 Sanitation, including sewage treatment works

City http://www.worldbank.org/projects/P010325/

karachi-water-supply-sanitation-project-

02?lang=en&tab=overview

17 Mathare 4A Slum

Upgrading Project

Mathare,

Nairobi, Kenya

1990 Basic infrastructure

Housing

Socially acceptable

housing and adequate

access to public

utilities to address

shelter and sanitation

needs

Community https://practicalaction.org/docs/shelter/iuhd_

wp4_mathare_4a_assessment.pdf;

http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-KE-mat.html

18 Third Jabotabek Urban

Development Project

Jabotabek,

Indonesia

1990

(closed)

Basic infrastructure and services

Community participation

Waste management

Regional http://www.worldbank.org/projects/P003977/

third-jabotabek-urban-development-

project?lang=en&tab=overview

Page 14: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

19 Slum Welfare

Cooperative Society

Khilagaon,

Dhaka,

Bangladesh

1991 Housing

Infrastructure (water, access roads, drains,

sanitation)

Finance

Residents of slum

community of

Khilagaon formed the

“Provati Bastee

Kalyan Samabaya

Samity”

Community http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-BG-slum-wel.html;

http://www.ircwash.org/sites/default/files/205

.42-91UR-13357-2.pdf; http://kth.diva-

portal.org/smash/get/diva2:504848/FULLTE

XT01

20 Sulawesi Irian Jaya Urban

Development Project

(SIJUDP)

Irian Jaya,

Indonesia

1991

(closed)

Services (water supply, drainage, solid waste,

sanitation, roads)

Regional http://web.worldbank.org/external/projects/m

ain?pagePK=104231&theSitePK=40941&me

nuPK=228424&Projectid=P003922

21 Family Welfare Project India 1992

(closed)

Social services (education and health)

Participation and capacity building

Physical component

in this project is the

upgrading of existing

and construction of

new health facilities

Communities http://www.worldbank.org/projects/P009963/

family-welfare-urban-slums-

project?lang=en&tab=overview

22 Low Income Barrios

Improvement Project

Venezuela,

Bolivia

1992

(closed)

Capability strengthening

Institutional development

Basic infrastructure (water supply, sewerage,

electricity, drainage, street paving, garbage

collection)

National http://www.worldbank.org/projects/P008212/

low-income-barrios-improvement-

project?lang=en&tab=overview

23 Multi-State Water Supply

Project

Nigeria 1992

(closed)

Supply facilities and services (water supply

and sanitation)

Social services (Heath and education of

women)

Multi-

state/Regional

http://www.worldbank.org/projects/P002109/

multi-state-water-supply-

project?lang=en&tab=overview

24 National Program of

Urban Upgrading

Greater Cairo,

Egypt

1992 Basic infrastructure

Municipal services

National The Cities Alliance (2008)

25 Freetown Infrastructure

Rehabilitation Project

Freetown, Sierra

Leona

1993

(closed)

Roads & footpaths

Drainage

Water supply

Sanitation

Solid waste disposal and waste collection

City http://www.worldbank.org/projects/P002433/

freetown-infrastructure-rehabilitation-

project?lang=en&tab=overview

26 Novos Algados –

Environmental Recovery

and Social Promotion

Project

Bahia, Brazil 1993-1995 Environmental recovery

Basic services

Housing

Community strengthening

Health, education, child welfare

Tenure

Community The Cities Alliance (2008)

27 Ceara Urban

Development & Water

Resource Management

Project

Ceará, Brazil 1994

(closed)

Urban infrastructure (paving, drainage,

housing and street lighting)

Water supply and sewerage infrastructure

Education

State http://www.worldbank.org/projects/P006436/

ceara-urban-development-water-resource-

management-project?lang=en&tab=overview

28 El Mezquital Guatemala City,

Guatemala

1994-1997 Housing

Finance

Policies

Environmental management

Participation and capacity building

Community

participation in the

planning, execution

and financing stage

Community http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-GT-elm.html

29 Hanna Nassif Community

Based Upgrading Project

Kinondoni

district, Dar es

Salaam,

Tanzania

1994 Infrastructure

Storm water drainage

Empowerment and capacity building

Community http://web.mit.edu/urbanupgrading/upgrading

/case-examples/overview-africa/country-

assessments/reports/Tanzania-report.html

Page 15: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

30 Lima Water

Rehabilitation and

Management Project

Lima-Callao

metro area, Peru

1994

(closed)

Service provision (water and sanitation) City http://www.worldbank.org/projects/P008051/

lima-water-rehabilitation-management-

project?lang=en&tab=overview

31 Semarang Surakarta

Urban Development

Project

Semarang,

Indonesia

1994

(closed)

Multi-sectoral programs for kampong

improvements (roads and transport, water

supply and distribution, storm drainage and

flood control, solid waste collection, sewage

and sanitation)

Technical assistance

City http://www.worldbank.org/projects/P003890/

semarang-surakarta-urban-development-

project?lang=en&tab=overview

32 Surabaya Urban

Development Project

Surabaya,

Indonesia

1994

(closed)

Basic settlement facilities and living

conditions (sanitation, water supply)

Participation

Tenure

Finance (credits)

City http://www.worldbank.org/projects/P003998/

surabaya-urban-development-

project?lang=en&tab=overview

33 Swaziland Urban

Development Project

Swaziland 1994

(closed)

Basic services (water and sewerage, solid

waste sites)

Housing

Policy reform

Roads

Power lines

Technical assistance

National/City http://www.worldbank.org/projects/P002669/

swaziland-urban-development-

project?lang=en&tab=overview

34 Bombay Sewage Disposal Bombai, India 1995

(closed)

Sewage services

Health and environmental conditions

City http://www.worldbank.org/projects/P010480/

bombay-sewage-

disposal?lang=en&tab=overview

35 Dharavi Redevelopment

Project

Dharavi,

Mumbai, India

1995 Housing Community The Cities Alliance (2008);

http://sra.gov.in/pgeDharaviUpcoming.aspx

36 Favela-Bairro Project Rio de Janeiro,

Brazil

1995 Infrastructure and service Intra- and extra-

institutional

partnerships with

NGOs, the private

sector, churches, and

the general population

(grass-roots level

experts)

City http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-BL-fav.html

37 First Santa Fe Water

Supply & Sewerage

Rehabilitation Project

Santa Fe,

Columbia

1995 Services and infrastructure provision Part of a bigger

project addressing

environmental

concerns (flooding

and pollution)

City http://www.worldbank.org/projects/P006894/

santafe-water-supply-sewerage-rehabilitation-

project?lang=en&tab=overview

38 Guarapiranga Programme Sao Paulo,

Brazil

1995 Housing

Basic services

Environmental measures

Flood management through storm water

drainage

Access roads and infrastructure

Urban water quality

management

(sanitation, water

supply sewerage,

drainage, slope

stabilization, solid

waste collection)

Integrated,

interagency approach

involving five

Community http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-BL-gua.html;

http://www.prodam.sp.gov.br/invfut/guara2/g

uarap.htm

Page 16: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

agency/government

bodies

39 Kalimantan Urban

Development Project

Kalimantan,

Indonesia

1995

(closed)

Multi-sectoral programs for kampong

improvements (roads, water supply and

distribution, storm drainage and flood control,

solid waste collection, sanitation and

sewerage)

Housing

Technical assistance

City http://www.worldbank.org/projects/P003951/

kalimantan-urban-development-

project?lang=en&tab=overview

40 Urban Water Supply Freetown, Sierra

Leone

1995

(closed)

Water supply and sanitation services

Institutional strengthening

City http://www.worldbank.org/projects/P002428/

sl-urban-water-

supply?lang=en&tab=overview

41 Bogota Urban Transport

Project

Bogota,

Columbia

1996

(closed)

Transportation (facilitate public transport

access)

Aspect of a wider

urban transport

provision project

City http://www.worldbank.org/projects/P006872/

bogota-urban-transport-

project?lang=en&tab=overview

41 Jordan National Urban

Development Project

Amman, Jordan 1996 Housing

Basic infrastructure in slums of Aqaba

Finance

Social facilities

Provide low-cost

housing without

subsidy, guide new

growth and create

mixed income

communities

Regional http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-JO-jor.html;

42 Morocco Second

Sewerage and Water

Reuse Project

Morocco 1996

(closed)

Improving sewerage services Regional/Mun

icipality

http://www.worldbank.org/projects/P005503/

morocco-second-sewerage-water-reuse-

project?lang=en&tab=overview

43 North West Frontier

Province (NWFP)

Pakistan 1996

(closed)

Basic infrastructure and community

development

Province/Com

munity

http://www.worldbank.org/projects/P010478/

pakistannwfp-community-infrastsructure-

project-cip?lang=en&tab=overview

44 Social Investment Fund

Project

Jamaica 1996

(closed)

Basic services and infrastructure

Financing

Institutional capacity and technical assistance

Contribute to

reduction of poverty

and help to create an

environment for

sustainable national

development

Community http://www.worldbank.org/projects/P039029/

social-investment-fund-

project?lang=en&tab=overview

45 Urban Environmental

Sanitation Project

Accra, Kumasi,

Sekondi-

Takoradi, Tema

and Tamale,

Ghana

1996

(closed)

Raising living standards (drainage, sanitation,

solid waste services)

Institutional strengthening

Capacity building

National http://www.worldbank.org/projects/P000973/

urban-environmental-sanitation-

project?lang=en&tab=overview

46 Bahia Municipal

Infrastructure &

Management Project

(PRODUR)

Bahia, Brazil 1997

(closed)

Urban infrastructure (water, sewage, solid

waste, paving and drainage)

City http://www.worldbank.org/projects/P006562/

bahia-municipal-infrastructure-management-

project-produr?lang=en&tab=overview

47 Social Investment Fund Belize 1997

(closed)

Water and sanitation

Health

Economic infrastructure

Education

Social services

Organizational strengthening

Supporting small-

scale projects, which

are identified and

implemented with a

high degree of

community

participation

Community http://www.worldbank.org/projects/P039292/

social-investment-

fund?lang=en&tab=overview

Page 17: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

48 Caracas Slum Upgrading

Project

Caracas,

Venezuela

1998 Infrastructure (access, sewerage, sanitation,

lighting, community centres, roads and

pavements, water distribution, drainage,

electricity, lighting)

Participation

Capacity building, institutional strengthening

Finance (micro-credit)

Design and execution

of Neighbourhood

Improvement Plans

City/Commun

ity

http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-VE-car.html

49 Cartagena Water Supply,

Sewerage and

Environmental

Management Project

Cartagena,

Columbia

1999

(closed)

Expand water supply and sanitation coverage

Sector services

Sewerage system in Cienaga Basin and

wastewater treatment

City http://www.worldbank.org/projects/P044140/

cartagena-water-supply-sewerage-

environmental-management-project?lang=en

50 Municipal Services Bangladesh 1999

(closed)

Environmental and infrastructure services

(sanitation, sewerage, roads, drainage)

National http://www.worldbank.org/projects/P041887/

municipal-services?lang=en&tab=overview

51 Poverty Alleviation and

Capacity Building Project

The Gambia 1999

(closed)

Public infrastructure provision (sanitation,

water, solid waste)

Technical assistance and training to

investment financing and employment and

income generation

National http://www.worldbank.org/projects/P057997/

poverty-alleviation-capacity-building-

project?lang=en&tab=overview

52 Urban Poverty Project Indonesia 1999

(closed)

Basic infrastructure

Create sustainable income generation

Strengthening capabilities

Participation and social services (education

and teaching/training)

Technical assistance

National/Com

munity

http://www.worldbank.org/projects/P055821/

urban-poverty-

project?lang=en&tab=overview

53 Kenyan Slum Upgrading

Programme

Nairobi, Kenya 2000 Housing National Huchzermeyer, M, 2008, 'Slum Upgrading in

Nairobi within the Housing and Basic

Services Market', Journal of Asian and

African Studies, Vol 43(1): pp 19-39

54 Low Income Sanitation

Technical Assistance

Project

Brazil 2000

(closed)

Water supply and sanitation services

Capacity and project coordination

strengthening

Participation

National/Com

munity

http://www.worldbank.org/projects/P039199/

low-income-sanitation-technical-assistace-

project-prosanear-tal?lang=en&tab=overview

55 Social Development Fund

Project

Senegal 2000

(closed)

Capacity building

Access to basic social services and

infrastructure

Finance (micro-finance)

Attraction of social service providers

National/Regi

onal

http://www.worldbank.org/projects/P041566/

social-development-fund-

project?lang=en&tab=overview

56 Urban Mobility

Improvement Project

Dakar, Senegal 2000

(closed)

Environmental quality and safety Metropolitan/

Region

http://www.worldbank.org/projects/P055472/

urban-mobility-improvement-

project?lang=en&tab=overview

57 Integrated Upgrading in

Mauritania

Nouakchott and

Nouadhibou,

Mauritania

2001 Tenure

Basic urban infrastructure (sanitation)

Infrastructure in support of economic

activities and employment creation (artisanal

fishery activities)

Financing (micro-credit)

Technical assistance

Empowerment

City http://web.mit.edu/urbanupgrading/upgrading

/case-examples/ce-MU-Nou.html

Page 18: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

58 Long Term Water Sector

Project

Dakar, Senegal 2001

(closed)

Water and sanitation

Sewage, wastewater, septic pollution

Flooding

Cities http://www.worldbank.org/projects/P041528/

long-term-water-sector-

project?lang=en&tab=overview

59 Urban Environment

Project

Ouagadougou

and Bobo-

Dioulasso,

Burkina Faso

2002

(closed)

Capacity strengthening and decentralization

Primary infrastructure (road, drainage,

sewerage, solid waste and sanitation)

Participation

Cities http://www.worldbank.org/projects/P074121/

urban-environment-project-supplemental-

credit?lang=en&tab=overview

60 Community-based Urban

Development Project

Nigeria 2002

(closed)

Basic infrastructure

Infrastructure subprojects

Capacity building

AIDS education and communication in

schools, clinics and along solid waste

collection, transport and disposal network

Community-based

project in seven cities

to facilitate

partnerships and

foster good

governance

Cities http://www.worldbank.org/projects/P069901/

community-based-urban-development-

project?lang=en&tab=overview

61 Bogota Urban Services

Project

Bogota 2003

(closed)

Access to basic services (water, sanitation

and transport)

Improve mobility (access, roads)

Institutional strengthening

City http://www.worldbank.org/projects/P074726/

bogota-urban-services-

project?lang=en&tab=overview

62 Lima Water

Rehabilitation and

Management Project

Lima, Peru 2003

(closed)

Water supply and sanitation (water wells,

water conservation)

Institutional capacity strengthening

City http://www.worldbank.org/projects/P081834/

additional-financing-lima-water-

rehabilitation-management-

project?lang=en&tab=overview

63 Recife Urban Upgrading

Project

Beberibe River

Basin, Recife,

Brazil

2003

(closed)

Institutional capacity

Basic shelter and housing

Urban services (road, drainage and sewage,

water supply and sanitation)

Regional http://www.worldbank.org/projects/P049265/

recife-urban-upgrading-

project?lang=en&tab=overview

64 Buenos Aires

Infrastructure Sustainable

Investment Development

Project

Buenos Aires,

Argentina

2004

(active)

Water and sewerage services

Urban flooding

Roads and transportation

City http://www.worldbank.org/projects/P088032/

ar-buenos-aires-infrastructure-1st-phase-

apl?lang=en&tab=overview

65 GH Second Urban

Environmental Sanitation

Project

Ghana 2004

(closed)

Environmental health

Sanitation

Drainage

Vehicular access

Solid waste management

National http://www.worldbank.org/projects/P082373/

gh-second-urban-environmental-sanitation-

project?lang=en&tab=overview

66 Mexico Affordable

Housing and Urban

Poverty Programmatic

Sector Loan

Mexico 2004

(closed)

Housing

Institutional support

Physical and social investments

Prevention and management of impacts of

natural disasters

National http://www.worldbank.org/projects/P070371/

mexico-affordable-housing-urban-poverty-

programmatic-sector-adjustment-

loan?lang=en&tab=overview

67 Urban Water Project Urban centres,

Ghana

2004

(active)

Access to piped water system Improving access,

affordability and

service reliability

National http://www.worldbank.org/projects/P056256/

urban-water-project?lang=en&tab=overview

68 Bahia Poor Urban Areas

Integrated Development

Salvador, Bahia,

Brazil

2005

(closed)

Access to basic services (sanitation

Housing

Infrastructure and social services (paved

roads, park, community centre, soccer fields)

Tenure

State/City http://www-

wds.worldbank.org/external/default/WDSCon

tentServer/WDSP/IB/2014/06/26/000442464

_20140626101817/Rendered/PDF/ICR29630

P081430C0disclosed060240140.pdf;

http://www.worldbank.org/projects/P081436/

Page 19: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

bahia-poor-urban-areas-integrated-

development?lang=en&tab=overview

69 Urban Infrastructure and

City Management

Kigali, Butare,

Ruhengeri,

Rwanda

2005

(closed)

Participation

Local resource mobilization

Social services (Education and Health)

Roads and highways

Support for slum

upgrading pilot

projects to initiate

pro-poor, urban

upgrading

Cities http://www.worldbank.org/projects/P060005/

urban-infrastructure-city-management-

project?lang=en&tab=overview

70 BO Urban Infrastructure

Project

La Paz, El Alto,

and Santa Cruz,

Bolivia

2006

(active)

Basic service access (sanitation, sewerage)

Targeted infrastructure and transport

investments and urban mobility

Technical assistance

Cities http://www.worldbank.org/projects/P083979/

bolivia-urban-infrastructure-

project?lang=en&tab=overview; http://www-

wds.worldbank.org/external/default/WDSCon

tentServer/WDSP/LCR/2014/12/17/090224b

082917670/2_0/Rendered/PDF/Bolivia000Bo

li0Report000Sequence017.pdf

71 International

Development Association

(IDA)

Lagos, Nigeria 2006 Basic services

Finance

Education and Healthcare

Capacity building

Roads; Sanitation

provision through

public toilets; water

provision through

boreholes; new

schools and upgrading

existing ones;

building health

facilities

City The Cities Alliance (208)

72 JM Inner City Basic

Services for the Poor

Project

12 inner-city

areas and poor

informal

settlements

Jamaica

2006

(closed)

Basic urban infrastructure (water, sanitation

and flood protection)

Finance (micro and SME)

Social services

Roads and highways

Power and electricity

Land tenure regularization

Community capacity, participation and public

safety

Housing

Cities http://www.worldbank.org/projects/P091299/

jm-inner-city-basic-services-poor-

project?lang=en&tab=overview; http://www-

wds.worldbank.org/external/default/WDSCon

tentServer/WDSP/IB/2014/06/30/000442464

_20140630104424/Rendered/PDF/ICR9630P

0912990C0disclosed060260140.pdf

73 Local Infrastructure

Development Project

Gabon 2006

(closed)

Access to public services (transportation,

water, sanitation and flood protection)

National http://www.worldbank.org/projects/P082812/

local-infrastructure-development-

project?lang=en&tab=overview

74 Upgrading Unplanned and

Un-serviced Settlements

Dar es Salaam,

Tanzania

2007 Housing

Basic services

City Johnson, K. and Gossmann, C. “Slum

Upgrading at Different Scales: The Tanzania

Case Study” (available online) URL:

http://healthycities.berkeley.edu/uploads/1/2/

6/1/12619988/tanzania.pdf

75 Upgrading for Growth Ekurhuleni,

South Africa

2007/8 Housing

Basic services

Address community

needs and implement

more housing

typologies

Municipality The Cities Alliance (2008)

76 VN Urban Upgrading

Project

Vietnam 2009

(closed)

Infrastructure and services (water, sanitation,

sewerage, electricity, public lighting, roads)

Flooding (drainage)

Housing

Capacity building

Improving the living

and environmental

conditions of the

urban poor using

participatory planning

National http://www-

wds.worldbank.org/external/default/WDSCon

tentServer/WDSP/EAP/2014/12/29/090224b0

82962012/1_0/Rendered/PDF/Vietnam000U

RBA0Report000Sequence015.pdf

Page 20: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

methods (inclusive

and pro-poor)

77 PA Metro Water and

Sanitation Improvement

Project

Panama

Metropolitan

Region, Panama

2010

(active)

Sanitation service supply and improvements

Modernization of WSS systems

Institutional strengthening and project

management

Increase quality,

coverage and

efficiency of its water

supply and sanitation

(WSS) services in

lower-income

neighbourhoods

Regional http://www.worldbank.org/projects/P119694/

metro-water-sanitation-improvement-

project?lang=en&tab=overview

78 Urban and Water

Development Support

Project

Cameroon 2010

(active)

Access to basic infrastructure and services

(including water)

National http://www.worldbank.org/projects/P121027/

urban-water-development-support-project-

additional-financing?lang=en&tab=overview

79 Kenya Informal

Settlement Improvement

Project (KISIP)

Kenya 2011

(active)

Tenure security

Infrastructure and services

Institutional strengthening, capacity building

and participation

Municipalities http://www.worldbank.org/projects/P113542/

kenya-informal-settlements-improvement-

project-kisip?lang=en&tab=overview

80 National Slum Upgrading

Strategy (NSUS)

Philippines 2011

(active)

Basic service provision

Housing

Social services

Job creation

Empowerment

Implemented by the

Housing and Urban

Development

Coordinating Council

(HUDCC)

National/City http://www.worldbank.org/en/news/press-

release/2011/12/19/wb-philippines-launch-

formulation-of-a-national-slum-upgrading-

strategy

81 PE Optimization of Lima

Water and Sewerage

Systems

Northern

service area of

Lima, Peru

2011

(active)

Rehabilitation of water and sewerage

networks

Improving water and sewerage efficiency

Project management

Improve efficiency,

continuity and

reliability of water

supply and sanitation

services

City http://www.worldbank.org/projects/P117293/

optimization-lima-water-sewerage-

systems?lang=en&tab=overview

82 Rio de Janeiro

Metropolitan Urban

Housing Development

Rio de Janeiro,

Brazil

2011

(closed)

Affordable housing

Integrated social development programms

State http://www.worldbank.org/projects/P122391/

rio-de-janeiro-metropolitan-urban-housing-

development?lang=en&tab=overview

83 BR APL2 Sao Bernardo

Integrated Water

Management in Sao Paulo

Sao Paulo,

Brazil

2012

(active)

Water resource management

Urban services and housing

Pollution management

Regional http://www.worldbank.org/projects/P125829/

sao-bernardo-guarulhos-integrated-water-

management-sao-paulo-

program?lang=en&tab=overview

84 Jawaharlal Nehru

National Urban Renewal

Mission’s Basic Services

to the Urban Poor

(JNNURM)

Mahila Mila,

Yerwada Pune,

India

2012 Infrastructure (water, sanitation, sewerage,

electricity)

Empowerment of women

Housing

National/Com

munity

http://www.sdinet.org/blog/2012/09/12/taking

-reigns-slum-dwellers-drive-upgrading-

proces/

85 Mekong Delta Region

Urban Upgrading Project

Mekong Delta

Region,

Vietnam

2012 Tertiary infrastructure upgrading (roads and

lanes, drains, environmental sanitation

through sewers and septic tanks, water

supply, electricity and public lighting)

Social infrastructure (schools, markets,

community halls, greener spaces)

Primary and secondary infrastructure (water

supply, drains and sewers, electrical power

lines, river and canal embankments, and

social infrastructure such as schools, markets,

community halls)

Regional http://www.worldbank.org/projects/P113904/

vietnam-national-urban-upgrading-project-

mekong-delta-region?lang=en&tab=overview

Page 21: Slum Upgrading: Assessing the Importance of Location A ...Traditionally, slum demolition and resettlement of slum populations were the dominant methods implemented by local and national

Management and technical assisstance

86 Emergency Infrastructure

Rehabilitation & Energy

Project

Lome, Togo 2013

(active)

Access to infrastructure and urban services

Management capacity

City http://www.worldbank.org/projects/P126899/

emergency-infrastructure-rehabilitation-

energy-project-additional-

financing?lang=en&tab=overview

87 GA-GAMA Sanitation

and Water Project

Greater Accra

Metropolitan

Area, Accra,

Ghana

2013

(active)

Sanitation and water supply

Management strengthening

Improvement and expansion of water

distribution network

Environmental sanitation services (liquid and

solid waste, drainage, wastewater)

Instructional strengthening

Strong focus on liquid

sanitation, including

the development and

implementation of a

hygiene and sanitation

behaviour change

campaign

City http://www.worldbank.org/projects/P119063/

gh-gama-sanitation-water-

project?lang=en&tab=overview

88 Odisha Disaster Recovery

Project

Odisha, India 2014

(active)

Housing

Public service infrastructure

Participation

Technical assistance

Restore and improve

services in targeted

communities of

Odisha

State http://www.worldbank.org/projects/P148868?

lang=en