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An Analysis of Informal Settlement Upgrading and Critique of Existing Methodological Approaches

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Abstract

This paper provides a review of different approaches to informal settlement upgrading. It begins by showing how linking informal settlement upgrading and sites and service provision as twin approaches to development led firstly to a situation where the former was situated within a particular development paradigm and then to an ideological divide between externally driven and community-supported upgrading initiatives. After a review of existing literature on the subject, the paper argues that the origin of the intervention is less important than substantiation of the results of the intervention. It then identifies three “thematic approaches” that can be shown to have a substantive track record in upgrading. These are the progressive improvement model of physical infrastructure provision, community microplanning and physical transformation through an holistic plan (“plano global” in Portuguese). These three thematic approaches are reviewed comparatively, and their strengths and weaknesses analysed.

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... The interventions stemming from this interpretation lead to governmental actions that involve displacement or relocation. In this regard, involved evictions and demolitions frequently lead inflowed migrants to become refugees in cities lacking proper shelters (Cobbinah & Darkwah, 2017;Gillespie, 2016;Obeng-Odoom, 2011;Odote & Olale, 2021;Paller, 2019a;Stacey & Lund, 2016) and they disrupt existing community relationships and economic activities (Abbott, 2002). An inevitable pushback has led policymakers to increasingly endorse informal settlements as a part of the urban fabric (De Soto, 2000), using in-situ upgrading. ...
... It seeks to support this argument by revealing how sustainability performance (measurements indicating achievement in sustainable development) of settlements correlates with in-situ upgrading. Upon validating such correlation, the findings would contribute to the literature by providing empirical evidence supporting the advocacy for in-situ upgrading-as other scholars have championed (Abbott, 2002;Gonçalves & Gama, 2020;Huchzermeyer, 2009). Accra, Ghana, is believed to be a critical model in identifying how other African cities may evolve in the future, especially when considering the parallel processes of urbanization and democratization that Accra has gone through (Paller, 2019b). ...
... "Conventional upgrading" primarily derived from such a mindset seeks to eliminate informal settlements while moving dwellers to new housing with a complete package of infrastructures and services. This approach, however, has rarely been considered as suitable (Abbott, 2002;Huchzermeyer, 2003), given that it ignores dwellers' social networks and denies their present economic activities, especially when the magnitude of the informal economy is already fundamental to the city. ...
Article
Many researchers advocate in-situ upgrading (providing local services and infrastructure) over relocation or resettlement for informal settlement intervention. However, the outcomes from the in-situ approach should be studied further, especially how they affect neighborhood sustainability. Toward that end, this paper investigates how the sustainability performance of settlements correlates with in-situ upgrading. Since Accra broadly employs in-situ upgrading to help underserved areas catch up, it serves as a helpful case study to identify how other African cities could evolve in the future. The findings show that in-situ infrastructural interventions will lead to better sustainability. Meanwhile, the satisfaction levels of infrastructure interventions are varied not only because of the different locations and stakeholders, but also due to their comprehensiveness and the timely upgrades undertaken for settlement expansion. This paper suggests in-situ upgrading is fundamental to Accra and many other African cities as it represents an essential guide to urban development and an opportunity for a “bottom-up” response to existing households.
... In such situations incremental approaches to sanitation investments have been found to be "appropriate, affordable, locally owned and in many cases progressive" [17] (p.3). Abbott [18] identifies a strength of incremental processes, whereby the level of infrastructure development matches what the community and/or local government has the capacity to manage. It can offer greater flexibility than holistic planning approaches, but the danger remains that incremental processes can adopt a mechanistic approach. ...
... It can offer greater flexibility than holistic planning approaches, but the danger remains that incremental processes can adopt a mechanistic approach. When driven by sector-focused infrastructure priorities, incremental change may fail to address area-wide upgrading within the broader scope of social and economic development [18]. It can also face barriers from external financing when this is constrained to defined outputs and short timescales. ...
... Further impact assessments highlighted improved infrastructure as enabling economic and social activity, primarily through increased physical access and extended use of public spaces after dark. Such impacts were perceived by residents as significant 'quality of life' factors [18]. ...
Article
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Rapid urbanization in developing countries demands better integration of planning and delivery of basic services if cities are to be sustainable, healthy and safe. Sanitation improvements are commonly overlooked as investments go towards more visible services such as water supplies and drainage networks. The Sustainable Development Goal for sanitation and hygiene currently remains severely off-track. This paper presents the findings of a Delphi method survey to identify expert consensus on both why and how to integrate sanitation, by which we mean both sewered and non-sewered sanitation services, into other basic urban services (including water supply, drainage, energy and roads) to achieve better sanitation and broader development outcomes, notably for poor citizens. Consensus on why integration is important highlights the physical interdependence of services, where neglect of one service can compromise gains from another investment or service. Consensus on how includes actions to address political priorities and leadership; governance and capacity constraints; clearer planning, procurement and financing mechanisms; and adopting incremental approaches matched to wider urban strategies. It was suggested that achieving these actions would improve accountability, monitoring and service level audits. Experience from previous integrated urban programmes should be incorporated into formulating new sanitation service agreements across all service types. Supported by better-informed dialogue and decision-making between those responsible for urban sanitation and for associated basic services, we suggest integrated and incremental approaches will enable more sustainable urban services planning to achieve ‘quality of life’ outcomes for poor urban residents.
... As direct delivery failed to reach the LIGs, aided self-help and site-and-services followed in the 1970s. But their success was limited by poor economy and small scale; in situ upgrading and incremental building were ignored despite their sustainable qualities (Abbott, 2002). Turner (1976) phrased freedom to build or housing is a verb to support peoples participation in a process, and proceed according to capacity. ...
... States seldom tolerate illegal and irregular housing (Abbott, 2002), and resort to their destruction; the Bangladesh government is no exception. At least 135 notable cases of eviction occurred in Dhaka in quarter of a century since 1975 (Ahmed, 2007), which still prevails. ...
Article
Slums providing housing to a good proportion of urban population in many developing countries have grown dramatically. Governments mostly assisted by the international agencies have improved environment, tenure security, income and resources in many of these. Yet that could not eradicate the problems as benefits could not be sustained due to lack in institutional development, policy implementation, governance, participation etc. Moreover, the urban poor’s capability to bring affordable and sustainable solutions, which can be improved with assistance, was overlooked. This paper discusses the changed approach to the issues of low-income groups housing in the above context, and examine the same in the context of Bangladesh. It also evaluates the achievements and sustainability of the Slum Improvement Program therein. Keywords: Capacity Building, Empowerment, Housing, Participation, Slums, Sustainability, Urban Poor.
... Existing studies have concluded that interventions that provide physical infrastructure are strategies to improve the socio-economic well-being and health of the informal settlement dwellers. Abbott [26] and Corburn and Sverdlik [27] opined that the objective of upgrading and revitalization projects should be to reduce the vulnerability to poverty and risk for informal settlement dwellers. Meanwhile, there is a clear case for improving the living conditions for dwellers in slums; however, there is still much debate and uncertainty about what exactly constitutes upgrading the settlements, what are the most appropriate methods and approaches to upgrading and what the objectives and desired outcomes of upgrading interventions ought to be [17,28,29]. ...
... Meanwhile, there is a clear case for improving the living conditions for dwellers in slums; however, there is still much debate and uncertainty about what exactly constitutes upgrading the settlements, what are the most appropriate methods and approaches to upgrading and what the objectives and desired outcomes of upgrading interventions ought to be [17,28,29]. Literature mostly points to a lack of common vision amongst public officials in particular regarding how upgrading interventions should impact on the quality of life of informal settlement dwellers [17,22,24,26,30]. They represent different contexts and different approaches to upgrading, which means that care has to be taken in comparison and generalisation. ...
Article
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This study investigated the living conditions of the eZakheleni informal settlement,Durban metropolis of Kwazulu-Natal, South Africa. The utilized data were collected with the use of a well structured questionnaire through a multistage sampling of 255 households. The descriptive results indicated low levels of educational attainment, large number of female headed households, high unemployment rates, inadequate sources of income, poor security and low government intervention programmes. The results of inferential analysis indicate that factors such as water accessibility, toilet accessibility, years of working experience, food security status, educational status and access to good health were the significant factors that were key to improving the living conditions of the residents in the study area. The study therefore concluded that education, basic housing services (water accessibility, toilet accessibility), food security, working experience, social connectivity and health are key contributors to households’ living condition in the study area and recommended several future research and policy directions which could improve the living conditions of the informal settlement. Keywords: living conditions; intervention programmes ; crime rate; health; security; livelihood
... Various programs such as "cities without slums", strategies, policies, actions, and interventions have been implemented by the local, national and international authorities to address the rapid growth of informal settlements. In 1950s and 1960s, the dominant approach to the management of informal settlements was their replacement by public housing or sometimes their demolition (Abbott, 2002). Different practices for upgrading informal settlements have been undertaken by the governments from service provision, in-site redevelopment (urban renewal), and physical upgrading to building public housing. ...
... Hence, UQoL is an important indicator to reflect the level of urban economic development and social life (Ma, Liu, Fang, Che, & Chen, 2020), and the goal of urban sustainability is to achieve a balance between urban development and environmental protection that is equitable in terms of income, employment, housing, basic services, infrastructure, and transportation (Montoya, Cartes, & Zumelzu, 2020). Abbott (2002) states that when addressing the sustainability of informal settlements, it is necessary to consider the scale and concentration of first, settlements as a separate entity and second, of the families living in these settlements. In urban areas, research has emerged offering policy recommendations for informal settlements to achieve better levels of sustainability (see Azami et al., 2017;Devi, Lowry, & Weber, 2017;Degert et al., 2016;Dovey, 2015 Senlier, Yildiz, and Aktaş (2009)), and Din et al. (2013) believe that QoL is a crucial element in urban sustainable development. ...
Article
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Investigations of the quality and satisfaction of urban life in informal settlements remain largely overlooked in the existing literature especially in developing countries. About one-fifth of Afghanistan population is living in urban areas, however, the trend is changing very fast and the country observes now one of the highest urbanization rates in the world. Two principal reasons for rapid urbanization are the return of Afghan immigrants from other countries after a period of relative peace and domestic rural-urban migration. Kabul, the capital city, is the most attractive destination for all immigrants. Around 80 percent of the population of the city lives in informal and illegal settlements. To investigate the perceived quality of life (QoL) of citizens living in these settlements, a survey was administered to 400 households in informal areas of Kabul. Statistical treatment of the results, including regression and factor analysis, showed a general dissatisfaction with the quality of life components related to transportation, leisure, and governance. Material deprivation regarding basic services (water, energy, etc.) was also widespread. On the other hand, less tangible components such as sense of community and family scored higher. Still, informal settlements constitute a fundamental part of Kabul and authorities should seek to improve quality of life especially in what concerns the provision of urban public goods. The findings of this study attempt to provide basic results for managers, planners and urban policymakers to facilitate a reasonable evaluation of the current state of the city in order to take action in addressing planning problems and achieving urban sustainability.
... Upgrading has to be understood in the context of cities in low-and middle-income nations where a large and often rapidly growing proportion of the population live in squatter settlements (Sattrethwaite, 2012). Three thematic approaches were identified which are the progressive improvement of physical infrastructure provision; community microplanning and physical transformation through holistic plan (Abbot, 2002). Governments have moved from eradication policies to provision, enabling and participatory policies which was motivated by the recognition that informal settlements were not a problem but a solution to the formal housing markets that cannot fulfill its demand (Khalifa, 2015). ...
... Dar Elsalam El-Magarba could be framed within the trend that external interventions have the ability to deal with the key issue of vulnerability and to fight for the need to plan for the long-term sustainability of informal settlements (Abbot, 2002). ...
Article
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East Nile locality witnessed rapid urbanization during the last decade which created challenges to Dar Elsalam El-Magarba squatter settlement which dates back to more than half a century. This research aimed to examine these challenges and to propose a model for its upgrading to consolidate with its rapidly growing and urbanizing geographic neighborhood. Sources of data included field visits during January and February 2020; direct discussion with some head persons in Dar Elsalam El-Magarba; firsthand experience of the author's living in its neighborhood for more than a decade; GIS analysis of relevant satellite imageries which produced detailed maps for its morphology particularly roads elongation and width and housing units and surface elevation; beside local authority file data; and the Internet. Rapid urbanization in East Nile locality had consequent on architectural disconformities of Dar Elsalam El-Magarba with its surrounding residential areas, change of functionality of some houses on its outer skirts; rise of land rent, excess division of its occupied area; population crowdedness; over pressure on its lacked behind services, traffic congestion; promotion of some traditional houses to multi-storey type, and acceptance of advantages of location centrality. These influences created challenges to Dar Elsalam El-Magarba itself and, more excessively to its geographic neighborhood and this requires wise intervention that could be through the proposed "DLSSLSSPA" model "after the first letters of itsfive consecutive principles and four consecutive steps", and a final assessment to judge for its success (positivity) or failure (negativity).
... The improvement projects for IUSs (slum upgrading) and land and services (sites and services) implemented in Senegal in 1972, marked the first fundamental change in the World Bank's housing policies (Pugh 1995). As a result, from that year until 1981, about 90% of the Bank's investment in housing would be in these kinds of projects (Spence, Annez, and Buckley 2009), marking a pivotal point and contributing to the forsaking of previous approaches made by many governments (Abbott 2002). In the same period, the United Nations organised the first conference on Human Settlements and Sustainable Development (Habitat I, Vancouver 1976), which laid the basis for the creation of the United Nations Human Settlements Programme: UN-Habitat. ...
... By the early 1980 s, improvement of the physical environment was recognised as the core element of this new approach to the IUSs redevelopment process (Abbott 2002). Nevertheless, results failed to meet expectations: "sites and service schemes were later perceived to have failed, primarily because they did not provide a sustainable basis for housing delivery. ...
Article
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Urban growth, particularly in developing countries, has been impacted by the financial and institutional incapacity to provide affordable housing, leading to the development of large informal urban settlements. The support provided by international financial institutions, the growing economic capacity, and the interest from the real estate market have been responsible for the emergence of interventions, programs, and policies directed at informal urban settlements, with the goal to improve or replace them. This paper explores the modalities adopted for such upgrading projects in São Paulo, Luanda, and Istanbul. Using a categorization system, the research shows that the interventions in São Paulo are more concerned with keeping the residents in-situ, while the public authorities in Luanda and Istanbul show a preference for relocation and eradication of informal urban settlements, even though Luanda has recently shown a certain degree of change in its approach.
... A shortage of sanitary facilities and infrastructure, including safe water, sewage, drainage, and waste disposal, is a common problem in slum areas [11]. Slum upgrading was thought to be more successful in tackling slums than relocating slum dwellers, which can often generate more problems than it solves [12]. Slum upgrading includes physical upgrading consisting of organizing street networks and settlements: building public service systems, and providing open space and facilities exposing the place's physical beauty [13]. ...
Article
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Due to a lack of proper sanitation services, the disposal of residential wastewater from slum areas has become one of the river pollution contributors. In Yogyakarta slums were concentrated along the riverbanks of the Winongo, Code and Gajahwong rivers. Due to slum upgrading, slums have declined from 264.5 ha to 114.72 ha between 2016 and 2020. This research aims to determine the correlation between slum upgrading and river water quality. The data was acquired from the Government of Yogyakarta City, Indonesia, and examined using ten water parameters from 2013 to 2021. Using Pearson Correlation Coefficient and Spearman Rank, it was found that population density positively correlated with Total Coliform and Fecal Coliform (p<0.05). It was also seen that the slum ratio showed a positive correlation with BOD, COD, TSS, pH, and NH3-N (p<0.05). The number of WWTP had a positive correlation with PO4-P (p= 0.037), whereas the number of connected houses to WWTP reported a positive correlation with P04-P (p=0.028). In addition, a significant decrease in BOD, COD, NH3-N, pH, and TSS were found using the Paired t-test and the Wilcoxon Signed-Rank test. (p<0.05). Slum upgrading notably reduced organic pollutants and suspended solids. However, the performance of WWTP did not perform a maximal contribution to reducing PO4-P and Coliform; therefore, it is necessary to improve the performance. This study might be used to enhance the river and urban management in Yogyakarta City.
... This formalization of the urban design while leaving the architecture largely informal was widely applied from the 1970s, and many schemes were funded by the World Bank (Laquian, 1977). By the turn of the century such approaches were widely seen to have failed (Abbott, 2002;Werlin, 1999), however, failures were often due to the implementation rather than the approach (Wakely & Riley, 2011). Many such projects were under-funded and relocated residents to cheap land where they had no livelihood; they were also used as a means of clearing inner-city sites for new formal development. ...
Article
On-site community-based upgrading is now widely accepted as the only sustainable pathway for redevelopment of substandard informal settlements – displacement damages livelihoods of the urban poor and strips the city of its workforce. We also know that redevelopment rarely stops the informal production of housing, rather it initiates a process of ‘re-informalization’ which can lead to over-development. This paper is a socio-spatial critique of such processes in a settlement in Metro Manila known as Sitio Pajo. An upgrading process commenced in 2007 with the involvement of a community organization, NGOs and the state. The project involved demolition of pre-existing buildings, the imposition of a formal street/lane network, and redevelopment with both formal housing and a site-and-services scheme. This critique focuses on public space and urban morphology, particularly the ways the new urban design becomes a reset for a second round of informalization. The result has been a generally successful transformation of public space, streetlife, accessibility and building durability, although there are significant differences between the formal housing and the site-and-services zone. The challenge that remains is one of preventing this re-informalization from producing over-development. Free access to the article --> https://authors.elsevier.com/c/1g8y~iuWnBR4Z
... In the mid-1980s, the SSSU approach was abandoned by international financiers primarily because of 'poor costs recovery; weak management of projects and inadequate participation of local communities. Overall SSSU among other things, failed to cope with the rate of growth and expansion of informal settlements as well as address the structural causes of informality, increasing poverty and inequalities in informal settlements (Kombe and Kreibich, 2006;Abbott, 2002). ...
Article
Despite varying conceptions of what co-production entails, there is a growing consensus in research, practice and public policy discourse that co-production is a preferred strategy for leveraging resources to deliver basic infrastructure services in low-income settlements. Using largely qualitative data, this paper explores the adaption of co-production in the low-income settlement of Hanna Nassif in Dar es Salaam, implemented 20 years ago by state actors, international agencies and grassroots actors, with attention to basic infrastructure and local employment. The findings reveal that co-production engendered partnerships and platforms and transformed sociocultural norms and values that made inroads toward urban equality in the settlement, although it failed to address inequalities among the partners, or to be replicated subsequently. The paper argues that meaningful co-production of basic infrastructure services in low-income settlements of the global South requires a focus on the context-specific pro-poor concerns and priorities.
... Informal settlement areas often have high population and building densities combined with low living standards. For decades, numerous approaches have existed to upgrade these areas [3]. The challenge in introducing infrastructures is to find suitable routing options in the mostly unmapped, unstructured and densely populated areas. ...
Article
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The upgrading of large informal settlement areas takes place in sections for technical, economic and social reasons. On one hand, planning is faced with the challenge of taking individual structural and social conditions into account when dividing up the districts. On the other hand, the routing of the mains of a pipe-based infrastructure (water supply) must be selected in the context of the entire area under consideration and integrated into a superordinate network layout. In this paper, a method that combines these contrasting approaches is presented. Potential district boundaries are identified based on existing infrastructure and development patterns, as well as considering the routing requirements of a piped drinking water supply. Thereby, social factors can be considered in the decision-making process. Subsequently, an area subdivision is performed by a recursive partitioning algorithm. The choice and combination of different compactness measures influence the shape of the districts and, thus, the spatial organization. The geodetic height is integrated into the algorithm via an admissibility condition, so that the subsequent development of a district can take place via one pressure zone. By means of variations in the input parameters of the zoning, different planning levels can be generated, which finally lead successively to the upgrading of an informal settlement area.
... The failure to regularize these informal settlements is also due to limited capacity (technical and financial) to upgrade them (Abbott, 2002). Although many policies in the Global South talk about upgrading, there are no financial commitments to spur such activities, which frustrates their implementation and success (Marais et al., 2018;Muchadenyika, 2015). ...
Article
Conventional studies on informal urbanism in Zimbabwe focused more on efforts in upgrading informal settlements but did not address their genesis. I argue that finding sustainable solutions to addressing informal settlements challenges and enhancing their liveability must be premised on exploring the factors influencing their genesis and temporal changes. Data were collected from Hopley Settlement, Harare, through interviews with 20 household heads and purposively selected key informants with a stake in human settlement planning. Findings suggest that the genesis of informal settlements in post-independent cities is complex and is influenced by politics, segregating the poor, constrained municipalities, and poor planning.
... The substantial proliferation and expansion of urban informal settlements are typical products of mismanaged urbanisation [7][8][9]. Informal settlements are the most visible symptoms of the incapability of urban management to scale up housing supply in response to rising demand, resulting in the formation of disorganised clusters with varying levels of essential provisions, infrastructure, and amenities [10][11][12][13][14]. Such settlements are closely related to slums, whose dwellers are deprived in multiple ways, suffering from lack of access to water or sanitation, overcrowding, non-durable housing, or illegal tenure [9]. ...
Article
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Over a billion people live in slums, with poor sanitation, education, property rights and working conditions having a direct impact on current residents and future generations. Slum mapping is one of the key problems concerning slums. Policymakers need to delineate slum settlements to make informed decisions about infrastructure development and allocation of aid. A wide variety of machine learning and deep learning methods have been applied to multispectral satellite images to map slums with outstanding performance. Since the physical and visual manifestation of slums significantly varies with geographical region and comprehensive slum maps are rare, it is important to quantify the uncertainty of predictions for reliable and confident application of models to downstream tasks. In this study, we train a U-Net model with Monte Carlo Dropout (MCD) on 13-band Sentinel-2 images, allowing us to calculate pixelwise uncertainty in the predictions. The obtained outcomes show that the proposed model outperforms the previous state-of-the-art model, having both higher AUPRC and lower uncertainty when tested on unseen geographical regions of Mumbai using the regional testing framework introduced in this study. We also use SHapley Additive exPlanations (SHAP) values to investigate how the different features contribute to our model’s predictions which indicate a certain shortwave infrared image band is a powerful feature for determining the locations of slums within images. With our results, we demonstrate the usefulness of including an uncertainty quantification approach in detecting slum area changes over time.
... As signifiers of disorder, lawlessness and often very poor living conditions, slums are typically demolished and redeveloped in many developing countries (Khalifa, 2015). As this radical clearance has proven to require great resources and disrupt local communities and businesses, an alternative approachpromoting upgrading was initiated by Turner (1972) and others in the late 1960s as a mechanism to improve the living conditions of the urban poor (Abbott, 2002). It was widely adopted by both national governments and the World Bank until research revealed the failures of such upgrading programs (Khalifa, 2015). ...
Article
Informal urbanism has been generally studied within social, economic and political frameworks, yet little is known of how it performs in terms of urban vitality. The aim of this article is to better understand the urban vitality of informal settlements and how they can be improved by using a combined morphological approach that encompasses street-network accessibility, building density, land use diversity and transformability index. This study focuses on the city of Cairo, which has experienced rapid urban growth over the last seven decades. Much of this growth has concentrated in informal settlements on the outskirts of the metropolis. Taking Manshiet Nasser district as a case, we measured the degree of urban vitality of the area through a combination of Space Syntax, Spacematrix, and the Mixed Use Index (MXI). Informed by a transformability index (TI), the results can be used as part of the design process to (re)develop unattractive areas. The findings show that this combined approach works as a diagnostic tool for detecting development potential and, therefore, underpins the identification of cost-effective ways of intervention, for enhancing vibrant urban environments.
... So, long-term strategies for removal and replacement with formal housing were the dominant strategy in the 1950s and 1960s. Despite the delivery of permanent public housing units, informal settlements have been increasing due to social, economic, aesthetic and environmental reasons (Abbott, 2002;Dovey, 2013). ...
... So, long-term strategies for removal and replacement with formal housing were the dominant strategy in the 1950s and 1960s. Despite the delivery of permanent public housing units, informal settlements have been increasing due to social, economic, aesthetic and environmental reasons (Abbott, 2002;Dovey, 2013). ...
Chapter
Valuing public perceptions of biophilia impact on human well-being: 2 sustainable building case studies from India and Greece| This study focusses on valuing the ‘green technologies’ of designing and building with nature to encourage a wider dimension to the current ratings and evaluations of effectiveness of ‘green buildings’, by including the perceived impact on human well-being. We believe that for buildings to offer a ‘sustainable’ way of living, they must also include the technologies and intelligence to provide what all of life needs to thrive beyond just surviving. This paper aims to give a wider understanding of ‘green buildings’ beyond reporting on energy, water and waste, to show a more sophisticated, wider evaluation of sustainable buildings by including the value of subjective perception of individuals’ experience. And, to contribute to changing existing paradigms about how ‘green buildings’ are valued. Other studies conclude that leading bodies for ‘green building’ certification have failed to provide a holistic measure of sustainable buildings. Current environmental measures of ‘green buildings’ conflict with the values of human health and there are conflicting ‘logics’ and technologies with little consensus on what makes a sustainable building. The perceived ‘value’ of the health and well-being benefits of a ‘green building’ appears to be disregarded as a measure of effectiveness. This paper challenges that view. Findings from questionnaires, testimonials and in-depth interviews from the public using 2 green buildings in different countries suggest that people do believe that they experience physical and emotional health benefits from spending time in in green buildings. This suggests that valuing the ’unmeasurable’ perceived benefits of sustainable buildings on health and well-being, equally alongside quantitative audits and environmental measures, could bring combined societal and environmental benefits. More study and evaluation with larger samples in different countries is necessary. Further study could make an important contribution to greater understanding about the positive impacts of biophilia design for healthcare institutions, community spaces, workplaces and homes.
... So, long-term strategies for removal and replacement with formal housing were the dominant strategy in the 1950s and 1960s. Despite the delivery of permanent public housing units, informal settlements have been increasing due to social, economic, aesthetic and environmental reasons (Abbott, 2002;Dovey, 2013). ...
Chapter
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Recent studies have defined the ‘healthy neighborhood’ as the social or socio-economic unit within a healthy district or spatial unit within a human-oriented transportation system. However, those views have failed to notice both standard elements of organic and city transportation policy and other dimensions of organic transportation, excluding spatial one. In this study, the social-ecological system (SES) and human-oriented transportation system (HOTS) frameworks will be compared to each other in terms of structure, application and dynamics to draw a conclusion about the suitability of HOTS in framework to describe the complex socio-technological system such as ‘healthy neighborhood’. Additionally, the structure and the multidisciplinary process that occur within the ‘healthy neighborhood’ will be analyzed in terms of HOTS framework. Finally, the indicators of pattern and size of ‘healthy neighborhood’ in terms of HOTS framework will be suggested. Thus, a healthy interdisciplinary neighborhood will be captured. This research will be the first attempt to shift from the traditional ‘unit’ perspective to the network models capable of unfolding the internal socio-economic and technical processes, uncovering the internal organization and functions of healthy neighborhoods.
... As of 2007, more than half of the world's population lives in cities (Friesen, Rausch, Pelz, & Fürnkranz, 2018). Due to the projected global population growth, these cities continue to attract thousands of new residents from rural areas every year in search of employment and a better standard of life (Abbott, 2002;Kohli, Sliuzas, Kerle, & Stein, 2012). Urban housing backlogs coupled with shortages in housing subsidies in developing regions, such as in Africa (United Nations, 2002), South America (Friesen, Taubenböck, Wurm, & Pelz, 2019;Kamalipour & Dovey, 2019) and South-East Asia (Friesen et al., 2019), for example, have led to large numbers of urban dwellers having no alternative but to live on the peripheries of cities in informal settlements. ...
Article
Many developing countries grapple with the problem of rapid informal settlement emergence and expansion. This exacts considerable costs from neighbouring urban areas, largely as a result of environmental, sustainability and health-related problems associated with such settlements, which can threaten the local economy. Hence, there is a need to understand the nature of, and to be able to predict, future informal settlement emergence locations as well as the rate and extent of such settlement expansion in developing countries. A novel generic framework is proposed in this paper for machine learning-inspired prediction of future spatio-temporal informal settlement population growth. This data-driven framework comprises three functional components which facilitate informal settlement emergence and growth modelling within an area under investigation. The framework outputs are based on a computed set of influential spatial feature predictors pertaining to the area in question. The objective of the framework is ultimately to identify those spatial and other factors that influence the location, formation and growth rate of an informal settlement most significantly, by applying a machine learning modelling approach to multiple data sets related to the households and spatial attributes associated with informal settlements. Based on the aforementioned influential spatial features, a cellular automaton transition rule is developed, enabling the spatio-temporal modelling of the rate and extent of future formations and expansions of informal settlements.
... Depending on both the nature of occupations and the state's responses to them, occupations have resulted in many different living conditions and arrangements in cities (Gouverneur, 2015). In places with progressive state responses, informal settlement upgrading programmes have regularised occupations over time, drawing them into formal planning systems and land markets (Abbott, 2002;Chenwi, 2012;Hegazy, 2016). In other cases, occupations have led to the creation and expansion of highly precarious settlements or been dismantled through often violent evictions (El-Batran & Arandel, 1998;Strauch, Takano & Hordijk, 2015). ...
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Special issue of PlaNext on Planning Theories from the global South
... While multiple slum intervention programs across the world have used tenure security as the central focus of their approach (Abbott, 2002;Handzic, 2010); studies have shown that providing security of tenure alone is not enough to improve the living conditions of slum dwellers (Gilbert, 2008;Nyametso, 2012). The Government of Odisha seemed to have recognized this aspect and launched the broader Odisha Livable Habitat Mission (OLHM) of which the OLRSD Act is a part. ...
Thesis
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Multiple developmental approaches have been implemented by the Government of India (GoI) to improve the quality of housing and access to basic services for a large proportion of India’s urban population living in slums. However, these programs have not complemented the needs of slum communities mainly because they are designed based on perceived needs that are different from the actual needs of beneficiaries. This mismatch between government provision and what is actually needed, forces poor communities to take tough decisions and to rely on informal means to meet these needs. Taking the case study of four slum communities, two in a mid-sized city and one each in two small towns in the Indian state of Odisha, this dissertation uses a mixed-methods approach to understand how housing programs and policies could better reflect the needs of slum- dwellers. Such programs and policies could then address residents’ housing and basic services’ needs without disrespecting their basic rights, including the right to be treated with dignity. The study first assesses the mismatch between the services provided to slum-dwellers by housing programs and the actual housing needs of these communities. The dissertation offers an alternative approach that assesses the slum dwellers' housing preferences by documenting and analyzing the decisions in prioritizing their basic needs to address the gap between the slum dwellers needs and government actions. Using theories of government failure and Right to the City, the dissertation establishes itself in the framework of subaltern studies highlighting the need to recognize the spaces of slums and patterns of urbanization in smaller cities of India. The dissertation uses Community Based Operations Research (CBOR) as a framework which accommodates multiple analytical methods to highlight the voices of vulnerable populations such as slum dwellers, and identify solutions to optimize their efficiency and social equity. The study uses critical and transformative epistemologies to understand the struggles of slum communities, and highlight their voices using methods in CBOR that focus on their narratives to provide avenues for understanding alternate explanations of existing problems. The findings of the dissertation aim to provide support to the greater need of including community voices and participation in the design and implementation of welfare policies for the urban poor through a bottom-up approach that provides importance to the voices of the slum communities.
... Depending on both the nature of occupations and the state's responses to them, occupations have resulted in many different living conditions and arrangements in cities (Gouverneur, 2015). In places with progressive state responses, informal settlement upgrading programmes have regularised occupations over time, drawing them into formal planning systems and land markets (Abbott, 2002;Chenwi, 2012;Hegazy, 2016). In other cases, occupations have led to the creation and expansion of highly precarious settlements or been dismantled through often violent evictions (El-Batran & Arandel, 1998;Strauch, Takano & Hordijk, 2015). ...
Article
The vast majority of city planning literature on informal occupations has focused on how residents occupy vacant and peripheral land, developing informal structures to address their basic needs. A smaller body of work, but one with much purchase in South Africa, explores the informal occupation of existing formal structures and how residents infuse these emergent places with social and political meaning. Across this work, occupations represent a dominant mode of city-building in the Global South. Contributing to this debate on city-making and occupations, this paper departs from an unusual case of South African occupation. We explore how displaced people have occupied a multi-storey vacant hospital building situated close to Cape Town’s city centre. Using documentary photography and interviews with residents, we argue that this occupation reflects a logic of ‘retrofit city-making’. We show that, through processes of repairing, repurposing, and renovating, dwellers have retrofit an institutional building, previously designed by the state for a very different use, to meet their needs and desires. As cities become more densely built and vacant land more peripheral or scarce, the retrofit of underutilised buildings, particularly through bottom-up actions such as occupation, will become an increasingly important mode of urban development. Not only are the practices of material transformation useful to understand, so too are the ways in which occupations reflect significantly more than simply survivalist strategies, but also care and meaning-making.
... The term 'upgrading' refers to the measures to improve the quality of housing and provision of housing related infrastructure and services of the settlements that are considered to be slum or developed illegally [3]. Moreover, upgrading is a common concept, which basically means the provision of basic services to improve living conditions in an existing settlement in a manner that does not result in major changes to the physical layout of a neighborhood; it also refers to any sector-based intervention that result in quantifiable improvement in the lives of people [4]. According to Cities Alliance (2009), it is a process through which informal areas are gradually improved, formalized and incorporated into the city itself through extending land, services and citizenship to informal dwellers. ...
Article
Kabul the capital of Afghanistan with more than 4.5 million people is one of the fast growing cities in the Asia since interim administration took place. However, the Kabul city was planned for projected 2 million populations in 1978, the influx of returnees from neighbor countries and other provinces of Afghanistan (IDPs) caused high rate of artificial growth and finally slums increased. Due to overcome this problem and take measurements for the future urbanization process, in 2006 a new project under the name of Kabul New City (KNC) has established. There were already 54 villages existed in the area where the new city was planned, based on the strategy of KNC these villages needed to be preserved and improved. This paper presents a concept development plan which was prepared for developing of a village under the boundary of KNC. The plan looks sustainable as it can establish a good harmony between rural and urban area and as well as can enhance the quality of life for the villagers. Moreover, this study will set a vision and criteria by which sustainable development shall proceed in other villages of Kabul New City.
... The term 'upgrading' refers to the measures to improve the quality of housing and provision of housing related infrastructure and services of the settlements that are considered to be slum or developed illegally [6]. Moreover, upgrading is a common concept, which basically means the provision of basic services to improve living conditions in an existing settlement in a manner that does not result in major changes to the physical layout of a neighborhood; it also refers to any sector-based intervention that result in quantifiable improvement in the lives of people [7]. According to Cities Alliance (2009), it is a process through which informal areas are gradually improved, formalized and incorporated into the city itself through extending land, services and citizenship to informal dwellers. ...
Article
The informal growth of urban settlements has become a phenomenon characteristic of developing countries where planning and law implementation are deficient and government agencies are unequipped to deal with rapid urbanization. Kabul is one of those fast growing cities which have experienced a major population growth in the last decades with many challenges including informal settlements, which have become an inevitable manifestation. A rapid increase in the urban population of Kabul and its related consequences have been difficult to handle and manage, furthermore the limited capacity of the government to meet the high demand for building plots has led to the growth of informal settlements. Today informal settlements represent about 69% of all residential areas in Kabul and the residents are suffering from many problems. The government's main planning strategy has been upgrading in the form of paving the roads and provision of basic public facilities. This paper presents an upgrading model which was proposed by the Ministry of Urban Development and Housing (MUDH) for developing a part of the Kabul Old City. It basically focused on the analysis of the model from the socioeconomic and environmental point of view and discusses the major pros and cons of their proposed development plan.
... In popularizing communication in Italian, they sound much more acceptable and, all in all, less severe. The definition of "informal settlement" obviously makes sense in developing countries with important population fringes that need to rapidly change their housing standards from "rural hut" to civil building (Abbott, 2002;Huchzermeyer, 2004;Huchzermeyer & Karam, 2006), thus passing through "makeshift" housing and slums. However, it is rather inappropriate in a western industrialized country with very homogeneous levels of education and standards of living, where illegal building is practiced regularly using ordinary civil construction techniques (reinforced concrete, masonry and steel) despite detailed rules that, at least in theory, regulate all forms of land transformation, including minimal ones. ...
Article
This paper deals with the challenging issue of illegal building in Italy with a view to clearing up the picture on this subject matter. This phenomenon is scarcely treated from an analytical/scientific point of view, especially in international literature. However, it is very present in the social and journalistic debate. Our research highlights the objective lack of data needed to gauge this offence, which is less endemic than is believed. Furthermore, it proves that existing data are insufficient to produce results, which often range between reality and prejudice, depicting some areas of the country in an extremely negative way. The first part of this paper describes the extreme complexity in acquiring "real" data and the total nation-wide lack of technical-administrative structures and methods capable of producing acceptably reliable information. In the second part, an emblematic case study is presented and its history traced back. We show that the multiform phenomena associated with illegal building create an enormous and rhetorical stratification of actions that ultimately do not lead to any appreciable result. This underscores the powerlessness of the administrative, regulatory and technical apparatus towards this particular infringement of territorial law
... Emphasis was given to the potential of the urban poor to meet their shelter needs through self-help, providing them the 'freedom to build' (Turner 1972). Meanwhile, informal settlements continued to expand due to supply, affordability, and location constraints of the 'sites and services' approach (Wakely 2018;Abbott 2002). ...
Chapter
Informal settlements are on the frontline in the battle against climate change. Home to one billion people, their infrastructure deprivations pose challenges for the health and resilience of communities and ecosystems. Upgrading of informal settlements can improve urban services and infrastructure, strengthen tenure security, and empower local communities. This chapter examines the conceptual and practice relationships between climate resilience and in-situ upgrading. It critiques prevailing approaches, which centre upon threshold, coping, recovery, and adaptive capacities. Transformative capacity offers greater scope for addressing climate change impacts at a level commensurate with the size of the challenge, and for redressing the entrenched structural inequalities and deep socio-spatial injustices shaping cities in the Global South that perpetuate vulnerability and socio-spatial exclusion. Five elements are identified to advance transformative informal settlement upgrading: socio-technical innovation; a climate justice framing; greater attention to intersectional dimensions; inclusive governance and community empowerment; and fit for purpose finance.
... They exist because urbanization has grown faster than the ability of government to provide land, infrastructure and homes. (Abbott 2002;Watson 2009). Growing informality has become a prominent feature in many of South Africa's major urban centers. ...
Article
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The living conditions of the residence of the informal settlements around the African continent remain one of the most expressed pervasive human right violation. It is therefore a fact and a respect of human rights that informal settlements be revitalized to meet basic standards of individuals and households' dignity. Recognizing this, and mobilizing all the principal actors within a shared human rights paradigm, can make the 2030 upgrading agenda achievable.The survey that translated into this study was carried out through the adoption of multi stage sampling procedure with a well-structured questionnaires in year 2018, from some selected households in the eZakheleni informal settlement, Durban metropolis of Kwazulu-Natal, South Africa. The utilized questionnaires were divided into different relevant sections to capture the households living condition, these sections were thus highlighted: respondent's demographic characteristics, households' level characteristics, dwelling level characteristics, settlement level characteristics, effect of some intervention efforts/programs in the community, coping strategies with hunger and current day erratic weather conditions and assessment of the living conditions. More so, the administered questionnaires were printed in English language and translated into the local language of the participants during the interview, this was done in order to ease the understanding of the subject matter by the selected participants. A sum of 255 complete questionnaires made up the dataset in the project, the sum of compiled data was quite representative of the residents of the informal settlement. The dataset is herewith made available as it is considered useful for showcasing the state of the informal settlement hence, possible way forward for urban upgrade policy implication and recommendations.p
... When cities are a mixture of informal and planned areas, they can face spatial fragmentation (Balbo, 1993). Physical intervention in informal settlements can help alleviate these issues by increasing access to the city and the opportunities this affords (Abbott, 2002;Hegazy, 2016;Khalifa, 2015). ...
Article
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This study analyses informal settlements and the regional highway network in the Greater Cairo Region of Egypt to propose alternatives to reduce regional spatial fragmentation that may lead to spatial segregation. Findings indicate that the street structure of informal settlements provides a configuration that supports social interaction for their residents. While the regional highway network can act to physically disconnect the wider region by isolating or splitting neighbourhoods, some highways can act as an integrator. Analysis at the urban scale can identify points in the settlements’ street networks where they can be connected to the regional transport network, which could have an impact on regional consolidation.
... Current best practices of slum upgrading are about not only services, infrastructure, and housing-as these alone cannot really "upgrade" slum areas-they are also about putting economic, social, institutional and community policies into action to turn around poverty trends (Magalhaes & Di Villarosa, 2012). Slum upgrading is considered the best practice for interventions in informal settlements (Abbott, 2002;Werthmann & Beardsley, 2008;Patel, 2013;Cities Alliance, 2016). These interventions often improve existing infrastructure and services or provide those that currently do not exist. ...
Article
Residents of informal settlements are some of the most vulnerable urban groups to the effects of climate change. Different responses have emerged to intervene in these communities and slum upgrading is currently considered the best framework. How slum upgrading interventions engage with climate change adaptation and mitigation is not fully explored in the literature. This article scrutinizes three recent slum upgrading programs in Latin America to uncover the ways these tend to engage or not with climate change adaptation and mitigation. The analysis revealed that slum upgrading is both a policy mechanism to address socio-economic issues and an instrument by which built-environment interventions can enhance adaptation and mitigation in informal settlements. Six key areas emerged from the analysis of the case studies that link slum upgrading to climate change adaptation and mitigation through infrastructure and policies: (1) security of tenure, (2) relocation and barriers, (3) public space, (4) energy-efficient and improved architecture, (5) connectivity, and (6) land management. Slum upgrading can be an effective mechanism that combines mitigation and adaptation efforts whilst addressing sustainable development priorities in disadvantaged territories.
... It is interesting to note that paving with half-bricks, from being a rare phenomenon in this part of Diepsloot, has become more prevalent, both for the paving of sidewalks outside businesses and of yards within homesteads. This may be a result of the WASSUP project, or may be a sign of the general upgrading and consolidation associated with informal settlements throughout the world (Abbott, 2002). ...
Research
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In recent weeks, the Gauteng City-Region (GCR) has experienced heatwaves, raising renewed concerns over water security, as well as heavy and persistent rains, leading to severe flooding in some areas. In this context of heightened climate variability, thinking about ways to redesign our urban areas with more sustainable infrastructure solutions is becoming more and more important. Green infrastructure (GI) is emerging as an alternative approach to traditional (‘grey’) infrastructure in urban planning and development. Its emergence can be understood in terms of the growing demand for infrastructure and services, increased concerns over natural resource constraints and climate change, and the negative impacts associated with traditional approaches to designing and building cities. It has been proposed that GI can provide the same services as traditional infrastructure at a similar capital cost, while also providing a range of additional benefits. However, despite greater policy interest in green infrastructure in recent years, traditional infrastructure solutions to urban problems continue to dominate. This is partly due to the lack of a systematic evidence base to support GI implementation. There have been calls from decision-makers for more concrete examples of the benefits of successful urban GI applications, as well as for practical guidelines on their implementation. Towards applying a green infrastructure approach in the Gauteng City-Region is the GCRO’s eleventh Research Report. This report builds on the findings of two previous green infrastructure reports, as well as a CityLab process run with academics and government officials between 2014 and 2016. These outputs and the CityLab discussions highlighted as critical the need to for a deeper evidence base in building support for, and enhancing investment in, the GI approach. Unlike the earlier studies which were more theoretically grounded and policy oriented, this report comprises a number of technical investigations that more practically reflect on how a GI approach could be incorporated into urban planning in the GCR, and in other similar urban contexts. The report consists of six chapters: Chapter 1: Introduction and overview, by Christina Culwick, provides an overview and rationale for the report, situating it within the context of GCRO’s long standing Green Assets and Infrastructure Project. Chapter 2: Mapping the inequity of green assets in Gauteng, by Samkelisiwe Khanyile, re-engages with the mapping of GI in the Gauteng City-Region that was a core feature of the first GCRO green infrastructure report in 2013. The mapping explores inequities in green assets and infrastructure through three different lenses, namely: (i) the distribution of green assets across the region; (ii) the proximity and accessibility of parks in Johannesburg; and (iii) the apparent degradation of Gauteng’s wetlands over time. Chapter 3: Sustainable urban drainage systems for informal settlements, by Anne Fitchett, Lerato Monama and Jennifer van den Bussche, investigates the potential for sustainable urban drainage systems (SUDS) in addressing inadequate stormwater infrastructure in informal settlements. The chapter graphically illustrates a range of practical, low-cost GI solutions that could be applied in an informal settlement context. Chapter 4: Green infrastructure stormwater solutions for Diepsloot, Johannesburg, by Anne Fitchett, Lerato Monama and Jennifer van den Bussche, focuses on these researchers’ experience in working with community organisations to apply a range of GI solutions in Diepsloot, an informal settlement in Johannesburg. The analysis draws out important learnings both in terms of the process of, and results from, implementing this local GI experiment. Chapter 5: Atlas Spruit flood relief scheme: costs and benefits, by Stuart Dunsmore, Raishan Naidu and Marco Vieira, reflects on the results of the Atlas Spruit flood relief scheme, which saw the design of an artificial wetland to address stormwater challenges in a typical suburban setting in Ekurhuleni. The analysis weighs the costs and benefits of the GI approach actually taken, relative to the more conventional ‘grey infrastructure’ engineering solution that would have called for the construction of concrete drainage channels. Chapter 6: Developing a ‘green asset registry’ to guide green infrastructure planning, by Gillian Sykes, investigates how GI could potentially be incorporated into traditional local government asset registries as an important way to see the value of GI recognised by municipal engineers and financial managers.
... Settlement upgrading refers to the provision of basic services such as water supply system, sewage system, and drainage system, paving the streets, and provision of public amenities in the informal settlements, and this approach ensures land tenure (15,16,17). Based on this approach, houses are accepted as they had already built; however, in some cases, dwellings rebuilt is also acceptable. ...
Preprint
Afghanistan witnessed rapid urbanization in recent decades due to the post-war recovery process. When the war ended in 2001 by fall of Taliban regime, most Afghans refugees returned to urban areas of Afghanistan, especially in Kabul city. Moreover, the rapid urbanization, migration from rural areas, and population growth impacted on Kabul city with the manifestation of informal settlement. The residents of informal settlements suffer social and economic exclusion from the benefit and opportunity of an urban environment. Furthermore, the residents of informal settlements experience disadvantages by geographical marginalization, shortage of basic infrastructure, improper governance framework, vulnerability into the effect of poor environment, and natural disasters. With all the above, the problems of informal settlements are considered enormous challenges for informal residents. Therefore, this paper aims to identify the proper approaches to addressing informal settlement problems in District 13 of Kabul city. To reach the aim of the research, the interview and questionnaires survey used as an instrument in data collection. Consequently, the finding of this paper indicates that through the resident’s preferences, government capacity, and District 13 physical condition there are three approaches which can be implemented and adopted for improvement of informal settlement in District 13 of Kabul city, which is settlement upgrading as the first option, the land readjustment as the second option and urban redevelopment as the last option.
Article
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The study examined the impact of informal settlement on environmental management. Self-administered questionnaire and interview guide were used to gather information from one hundred and forty-five household respondents and seven key informants in Namatala ward. The data collected were then analysed with the aid of Statistical Package for Social Sciences. The study identified the socioeconomic effects of informal settlements which include road inaccessibility, poor waste collection, and poor waste disposal, inadequate open space for dumping, and rapid production of waste and community conflicts. Results indicated that environmental management in informal settlements depend on community role. Findings have shown that a strong positive relationship exist between community role and environmental management which is statistically significant. Results have also revealed that community role and education level of community have 42.2% effect on environmental management in informal settlement which is statistically significant. The study recommends that community should play roles in managing the environment and identify possible strategies to improve environmental management in informal settlements. Therefore, there is a need to sensitize the local community on environmental education in order to improve environmental management in informal settlements. Local governments should implement community infrastructure upgrading. NGOs and local governments need to conduct domestic waste minimization campaign. There is also need to provide economic incentives to the poor in urban community. Local officials at all levels should cooperate so as to make easy the inspection of developments during construction.
Article
Accurate, current and complete information is indispensable for any effective intervention to upgrade a slum or informal settlement. Our involvement in supporting informal settlement upgrades with geospatial information prompted us to investigate what we could learn from literature to improve the collection and representation of geospatial information for such projects. For this paper, we systematically reviewed literature about informal settlement upgrading interventions for which geospatial information was used. We classified the geospatial information into three categories – physical, socio-economic, and boundaries – based on the phenomena they described, and categorized the methods of data acquisition. The results show that most studies collect geospatial information that enumerates and measures empirically observable characteristics (e.g, structures, infrastructure, utility services, mobility network, land description) and characteristics of occupants of informal settlements (e.g., socio-economic status). Fewer studies collected geospatial information about social networks and social ties. Data collection methods ranged from primary sources such as paper-based surveys, handheld/mobile GPS devices, vehicle-mounted cameras, etc., to secondary sources such as spaceborne, airborne and web-based platforms. Few studies made use of unmanned aerial vehicles (UAVs), despite their recent popularity as source of base maps, but we expect this to change in the near future. The results can be used to inform data collection strategies for informal settlement upgrades. Policy makers and other stakeholders involved in informal settlement upgrades can benefit from a single source of knowledge about such information.
Article
According to a United Nations report, the proportion of the urban population living in informal houses worldwide had reached 23.5% in 2018, which means over 1 billion people have been living in slums, and an estimated 3 billion people will be requiring affordable housing by 2030. Slums are often linked to developing countries, where weak governance and misled socio-economic choices aggravate the situation and lead to continual conflict with the authorities. This research aims to model this conflict through Game Theory and shed the light on the different parameters that influence the decision-making process and finally propose a management model to limit the spread of this phenomenon as much as possible. This model will be applied in the city of Hassi Bahbah using ABM, the results of the game modeling allowed us to extract the delta threshold which will allow decision-makers to know when they have to make decisions. Our study aims to offer decision-makers a tool based on our model, allowing them to better manage and thus monitor the evolution of informal houses. The authors hope that the findings could provide means and insights for policies and strategic directions in land uses and planning systems.
Thesis
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Public-private favela-upgrading schemes in São Paulo (known as Urban Operations) manage to collect and allocate more funds than the conventional public upgrading. It would thus be safe to assume that favela-upgrading interventions financially backed by Urban Operations are more successful in bringing up indicators related to infrastructure and public services than the conventional public schemes. It might as well be assumed that public-private upgrading also provides economic opportunities and more perceived safety. This is what I have investigated in this thesis. My methods for this research entailed the conduction of semi-structured interviews and informal talks, the consultation of government reports, census data, and real-estate information, as well as taking on-site pictures and the conduction of non-participant observations. I selected one case study for each type of upgrading scheme. My findings mostly point to the fact that conventionally-funded upgrading and Urban Operations-backed favela interventions achieved similar results in the selected cases, especially when it comes to providing housing affordability, as well as public services, facilities, and infrastructure. Perceived levels of safety also evolved similarly in the studied communities. Economic and real-estate development followed different paths, which nevertheless also resulted in a few similarities. Overall, my analysis showed that the rationale of favela upgrading has reasonably evolved throughout the last decades. Yet, the reality of the upgraded communities that I studied still seems to be unmet by either type of intervention, especially when it comes to the affordability conundrum.
Article
In India, close to 70 million people live in urban slums, which has forced policymakers to pursue aggressive slum upgrading programs. However, without a thorough understanding of individual households’ slum formalization preferences, in situ slum upgrading and relocation projects often encounter challenges and resistance from the slum dwellers. This article explores the interconnections among slum dwellers’ willingness to participate in situ slum upgrading and slum relocation projects, informality in the built environment, and neighborhood insecurity in the slums of Bihar, India. We examine these questions using the primary household survey conducted in 2016–2017 as part of a project on urban slums of the four largest cities in Bihar. The regression analysis shows that slum dwellers are more likely to accept in situ slum upgrading when they perceive a pressing need for housing and basic amenities. In situ slum upgrading often leads to temporary relocation and smaller dwellings. Slum dwellers are more likely to participate in relocation programs when they feel their neighborhoods are insecure, and when they have experienced violent resolutions to conflicts. These findings imply that the provision of basic infrastructure, including safety and security, could affect slum dwellers’ slum upgrading decision-making.
Preprint
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This research proposes a model for enhancing the pro-poor water supply and provision of sanitation services in informal urban settlements in Dar es Salaam, Tanzania. The model was developed from semi-structured interviews, a rigorous literature content analysis of best practice case studies and application of the Policy Transfer Framework. Development and adoption of a long-term strategy to mobilise financial resources and guide the water sector to develop pro-poor plans were key recommendations. While not a panacea, it is hoped that adoption of the model would significantly improve the current water supply and sanitation service delivery to informal urban settlements Dar es Salaam.
Chapter
Both international and South African researches on informal settlement upgrading indicate that a possible ‘direct’ relationship with the health of residents is connected more to neighbourhood access to social amenities than to physical housing conditions. Despite South African government attempts to align the National Development Plan (NDP) with Agenda 2030, and policy references to health and social amenities as integral to socially and economically integrated communities, the Department of Housing’s programme is remarkably silent in respect of health outcomes. This chapter assesses the knowledge gap on health outcomes in upgraded informal settlements, within the wider context of Agenda 2030 and SDGs 3, 6, and 11. Through a survey, in-depth qualitative interviews and focus group discussions in an upgraded informal settlement, it contributes new evidence from analysis of households’ perceptions of health. It then makes policy recommendations such as ensuring improved integration of health services and boosting sanitation and housing in upgrading programmes in order to achieve both a more preventive approach to health locally and to contribute more effectively to achieving the SDGs on health, water and sanitation, and housing.
Chapter
The layout of plots, arrangement of buildings and management of spaces between buildings in residential neighbourhoods are vital components of the planning and designing of housing schemes. However, there is insufficient empirical evidence on how these environmental planning and architectural design strategies can contribute to security of lives and property in mass housing schemes, especially in a developing country like Nigeria that is confronted with different kinds of security challenges. This chapter presents and discusses the findings of a study conducted to examine the influence of residential neighbourhood planning and design of housing units on the security of lives and property in 12 selected public mass housing estates developed by the Lagos State Development and Property Corporation (LSDPC) in Lagos Metropolis, Nigeria. The data were derived from a household survey involving 1036 residents in different LSDPC housing estates in the Lagos metropolis. The results of the descriptive statistics and content analysis of the data reveal the predominant layout patterns of the estates, the design and construction features of the housing units and spaces, and how these have influenced residents’ perception of security of lives and property in the residential estates. The results also show aspects of neighbourhood planning and design with the most significant influence on security of lives and property in the estates investigated. Moreover, the study identifies areas that need to be strengthened by housing experts, developers, urban designers and managers to ensure that mass housing schemes in rapidly growing cities are secure for residents, thereby contributing to the attainment of goal 11 of the Sustainable Development Goals (SDGs) in Nigeria.
Chapter
The aspiration for urban sustainability is captured within the Sustainable Development Goals (SDGs) and other global agendas. Urban sustainability cannot be achieved without significantly changing the way housing and other urban spaces are planned, designed and developed. Urban morphology plays a critical role in achieving sustainable housing and resilient communities. In Nigeria and elsewhere, housing development in the context of rapid urbanisation generally involves two types of residential development patterns: densification/compactness and urban sprawl. This chapter is based on a review of literature on studies conducted in relation to urban sprawl and densification in Nigeria and elsewhere. Through the review of relevant studies, the chapter shows the nature of urban sprawl in Nigeria and its economic, environmental and social impacts. These establish the fact that sprawls are an undesirable urban housing development pattern. Compact urban housing development, given its advantages, is proposed as the urban form suited for sustainability. Knowledge established through this review provides a basis for housing densification policy in Nigeria’s main cities and the rapidly growing and, at times overlooked, secondary cities.
Chapter
Despite being a global phenomenon, the practice and implementation of the informal settlement upgrading policy as a possible alternative to conventional public housing policy, has a unique history in post-apartheid South Africa. Some case studies have revealed that shack dwellers have experienced tenure security whether they were going to reside on the same stands with upgrading, move to transition camps while upgrading was in process or whether they had the possibility of being relocated to a new housing development project. Relocation is often resisted in that it threatens existing livelihoods, continued schooling and community networks and, not least, the home. Against this background, this chapter has a threefold aim. First, it assesses the knowledge and policy gap created by a pro-in situ approach to informal settlement upgrading in South Africa. Second, it contributes new evidence from an analysis of households’ perceptions of basic service infrastructure, amenities and governance as expressed through a survey, in-depth qualitative interviews and focus group discussions in a relocation site in Mangaung Township (Bloemfontein). Third, it demonstrates how informal settlement upgrading through relocation may undermine the principle of participatory project planning and design.
Chapter
Megacities will continue to play an increasingly dominant role in the world economy as the drivers of wealth and employment (UN Habitat 2016). As the world continues to urbanize, slums or informal settlements will more than ever emerge as the place for not only the poor, marginalized, and underprivileged to live, but also for the middle classes (Davis 2006; Krujit and Koonings 2009; Saunden 2010; UN Habitat 2010). The relationship between urban informality, informal settlements and planning has always been complicated: on the one hand, informal spaces have been perceived as "unplannable"; on the other there have been a series of attempts to improve and integrate such spaces into the "formal" city (Roy 2005). informality is equated to illegality despite interacting extensively with the "formal" city. informality is widespread in transit. ln Delhi, most tenements are informal, and only a little over half of those are currently legal (Dupont 2008; Bhan 2009, 2013). There is a "morphological" variety of informal settlements, beyond those labeled "slum" and "squatter" (Dovey and King 2011); informal settlements evolve over time from tarp-laden structures to brick and mortar ones (Abbott 2002b, 2002a)-and despite the "clashing imagery" of the formal and informal built environment, they are intertwined (Dovey and King 2011). The informal is thus widespread, hybridizes with the formal, and is the means for urban poor to secure income, housing, and services. In this chapter we discuss the evolution of Delhi as a growing megacity which is also exclusionary, bridging earlier research on slum policy with findings from our research on the current approach to informality. One mixed-methods study on ten drain-adjacent slums reveals that the persistent, long-term lack of in&astructure and service provision in slums imbues them with a temporal impermanence or transience, as well as marking them as spaces of dirt and of having no value. Furthermore, the findings from an in-depth qualitative study show that while any formalization approach privileges the value of the land on which the settlement is located for slum dwellers, their settlement provides a lot more use value than formal housing.
Article
This paper examined the ongoing struggle for habitation rights and the use of Taiwanese and Japanese external expert proposed participatory-planning-based cooperative housing (PPBCH) approaches as a housing improvement solution for the Xizhou indigenous tribe (XIT) squatter settlements in New Taipei City, Taiwan. The XIT squatter settlements in the Xindian Riverside district in the Taipei Metropolitan area, which is home to about 200 indigenous migrant laborers from Eastern Taiwan, has existed for about 50 years. After a systematic literature review on informal urban spaces, this paper clarified the spatial characteristics of the XIT squatter settlement, after which the history of the XIT housing movement was summarized. Then, participative micro-level analyses that involved observation, in-depth interviews and life history surveys were conducted to identify the particular issues, and notes taken at a participatory design workshop to integrate personal viewpoints into the evaluations on the interactions between the PPBCH actors and assess the effectiveness. Finally, implications and conclusions on the PPBCH approach to resolve the issues in the XIT squatter settlement are provided. Although further refinement is necessary, the PPBCH approach was found to be an effective future housing improvement solution for East Asia.
Article
Purpose Construction practices used in the development of self-help housing and upgrade of informal settlements are believed to have negative effects on the natural environment. The purpose of this paper is to examine this idea by conducting a study on purposely selected informal settlements located in Mbabane, Kingdom of Eswatini, to determine the environmental sustainability of construction practices used in these areas and to offer an approach that can mitigate the environmental degradation witnessed in informal settlements. Design/methodology/approach The study comprised of three major components – literature review, situational analysis and research output. A literature review informed the extent of the problem and served to identify categories of assessment. A situational analysis of construction practices in informal settlements was done through the use of a structured checklist tool. Pattern matching was used as an analysis to evaluate the environmental sustainability of the identified construction practices. Findings Empirical results indicate a lack of environmental sustainability in the identified construction practices used. The challenges identified included the wrong choice of building material, inefficiency in energy use, a threat to biodiversity, poor planning and a lack of construction control measures. The research output was a framework encouraging affordable, sustainable and regenerative construction practices believed to be a viable solution to the environmental challenges within informal settlements. It was concluded that current construction practices used within informal settlements lead to negative environmental effects. Originality/value The framework offered in this study is believed to mitigate the negative effects on the natural environment in informal settlements.
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Istanbul is a mega city of 15 million people facing various planning challenges arising from its unique geography and geology, rapid pace of growth, and historical development patterns. As the economic heart of the Ottoman Empire and the Republic of Turkey for centuries it has experienced tremendous population growth and accompanied unplanned development at times on vulnerable land. The most active strike-slip fault in Europe and Asia Minor, The North Anatolian Fault Zone, runs 20 km south of Istanbul threatening this mega city with one of its most significant disasters. This chapter overviews and evaluates resilience planning to earthquakes in Istanbul including the drivers of action/change, the role of national and international institutions, and the planning process. It particularly focuses on the transformation of the comprehensive ‘Istanbul Model’ risk management system, Earthquake Master Plan of Istanbul (EMPI), into the internationally financed mega public infrastructure project: Istanbul Seismic Risk Mitigation and Emergency Preparedness Project (ISMEP) and the consequences of this shift. Through its examination of the formation of the ISMEP project, this paper looks at the contradictions between planning theory and practice in the form of a political plan that incorporates essential elements of resilience versus the persisting modes of interaction between international and national institutions. Purchase: https://www.routledge.com/The-Routledge-Handbook-of-Planning-Megacities-in-the-Global-South/Rukmana/p/book/9780367223724
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Cities are now home to 55% of the world’s population, and that number is rising. Urban populations across the world will continue to grow, including in megacities with populations over ten million. In 2016 there were 31 megacities globally, according to the United Nations’ World Cities Report, with 24 of those cities located in the Global South. That number is expected to rise to 41 by 2030, with all ten new megacities in the Global South where the processes of urbanization are intrinsically distinct from those in the Global North. The Routledge Handbook of Planning Megacities in the Global South provides rigorous comparative analyses, discussing the challenges, processes, best practices, and initiatives of urbanization in Middle America, South America, the Middle East, Africa, South Asia, East Asia, and Southeast Asia. This book is indispensable reading for students and scholars of urban planning, and its significance as a resource will only continue to grow as urbanization reshapes the global population.
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Cities are important places not just for living, but also for producing goods and services. Annually, around 60 million people are being added to urban areas, which housed one-fifth of humans a century ago, half in 2007, and would be home to about two-thirds by 2030. In the global South, the rate of urban population growth is unprecedented. Africa and Asia would be home to about 90% of the estimated increase in the global urban population by 2030 (2.5 billion people), with 37% of the increase expected to happen in China, India, and Nigeria. The challenges of planning the rapidly expanding cities are felt more often in the Global South where the extent of the challenges intensifies every day with a rapid urbanization rate. Consequently, urban development stakeholders seek opportunities in innovative urban planning capacities and tools to confront the challenges. In Lagos, the most populous city in Nigeria and its economic and industrial hub, the government has gone on an extensive planning reform paradigm, developing a few model city and sub-regional master plan to address the city’s urbanization challenges. This paper, therefore, reviews key urbanization challenges faced by Lagos and explores how urban plans and their planning framework are being implemented in managing the megacity. It concludes by highlighting some effective urban planning and governance practices that can help confront Lagos’ urbanization challenges and foster urban sustainability.
Article
This paper comments on the recent shift in World Bank policy for urban low-income housing. After an introduction describing this policy shift, the World Bank's thinking is criticised, firstly, on theoretical grounds. Next, a critique is presented of the almost exclusive use of quantitative methods for land market assessment, resulting in neglect of socio-political factors as determinants of the land market. In the following section it is argued that the informal part of the market receives insufficient attention. Subsequently, two cases are presented: one to demonstrate the complexity of calculating the costs of land and housing in the real world; the other case to question the assumption of a downmarket trend in Bangkok's housing market. Some concluding comments are given in a final section. -Authors
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The development of squatter and other informal settlements in Montego Bay (Jamaica) helps individual low-income households (although not the poorest) solve their shelter problem. However, informal settlement also exacts tremendous costs to neighbourhoods and the city as a whole, largely in the form of environmental problems that threaten household health and the region’s main economic base, the tourist trade. These environmental costs come in the form of inadequate or no provision for paved roads, piped water, sanitation, and garbage for a high proportion of those living in informal settlements. When these costs are taken into account, informal settlement is no less expensive than formal-sector development. The paper quantifies the costs of providing infrastructure to unguided informal settlement (squatter upgrading) and shows them as comparable to those for government-produced serviced sites and privately produced moderate-income projects - and the infrastructure is often of poorer quality and with less possibility for cost recovery. The paper ends with a discussion of policies that can help solve this problem. Instead of reacting to land invasions, governments should get ahead of low-income housing demand by guiding the development of informal settlements and by lowering the cost of formalsector production. This strategy promises higher quality housing and infrastructure, lower costs and fewer environmental problems.
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While the rate of urbanisation in the developing world has increased dramatically over the past 30 yr, governments' capacity to support urban growth has not kept up with this trend. Non-governmental organisations working in the field have long advocated community management of the urban environment as the best solution to this problem, and there is now a growing consensus that the answer does, indeed lie with local communities. This book gives a comprehensive account of urban community participation, both in theory and practice. It first presents a wide-ranging analysis of the issues, and develops a participatory framework for urban management. Using case studies and existing examples from around the world, and drawing on lessons learned from previous experience, it then develops the theory into a practical working model. Effective participatory urban management calls for a fundamental rethink on the part of all the actors involved - from local authorities and development agencies, through local and international NGOs, to the community-based organisations and the communities themselves. In redefining their roles and relationships. -Publisher
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The largest slum upgrading effort so far in Indore — a million plus city in central India — and one of the largest in India was implemented during 1990–97. This was the Indore Habitat Improvement Project, which was funded by the British Government's Department for International Development (DfID, formerly the Overseas Development Administration, or ODA). The project used the highly acclaimed concept of Slum Networking as the approach to infrastructure provision alongside health and community development inputs. In 1993, Indore's slum project was visited by the British Prime Minister. In 1994 it was honoured with the 1993 World Habitat Award. In 1995 it was visited by an international study group. In 1996 it was included as an example of Global Best Practices at the Habitat II Conference. In 1997 the project ended. In 1998 it was honoured with the Aga Khan Award for Architecture.
Article
Slums or squatter settlements have long been recognised as a major urban problem in India and Pakistan. Until recently, public authorities have not been able to bring about any substantial change in these settlements. However, there have been two relatively successful projects one in Madras and the other in Orangi, Karachi. Although the basic aim of both the projects has been to seek improvement in the low-income areas of urban poor, approaches adopted by the two projects have been different. This paper has studied these approaches and has identified their differences. Emphasis of the Orangi Pilot Project (OPP) approach is on management of the programme by the people themselves. OPP provides a viable approach to undertaking improvement programmes in lowincome urban areas. Madras Slum Improvement Programme (SIP) also provides a possibility of finding long-term solutions to the urban slum problems. It is managed by public agencies and has not been fully successful as the local community has not been effectively involved in the programme. It is felt that SIP will be more successful if the local community is fully involved in the process of planning, implementation and maintenance of the programme.
Article
The objective of this paper is to demonstrate the potential link that exists between programs designed to promote the progressive improvement of urban housing in developing countries and the development of community infrastructure (focusing primarily on water and sanitation). The paper begins by exploring past efforts in this area, particularly with respect to community involvement in housing (a la Turner) and infrastructure development. Then, through a series of case studies drawn from the literature, and from various countries around the world, it is demonstrated that progressive improvement policies should not be confined to housing development alone but can beneficially be applied to infrastructure as well. If governments insure secure tenure to low-income urban residents and provide technical assistance at crucial points in the development process, the progressive improvement of infrastructure is as likely to occur as is housing development. In the conclusion, a classification of outcomes is hypothesized.
Article
Informal settlements provide a major challenge to the effective planning and management of developing cities. A large part of the problem lies in the nature of the informality with respect to the position of both the settlements, and their constituent dwellings, in space. They have no rational framework, and hence can be viewed as ‘holes’ within the urban cadastre. This has implications not only for mapping, but for land valuation, service provision (both social and physical), urban planning and transport planning. This paper looks at a method for mapping these settlements in a sustainable way, using hybrid databases linked to a geographical information system.
NGO profile: Orangi pilot project
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The exploration of appropriate informal settlement intervention in South Africa: Contributions from a comparison with Brazil
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Urban upgrading: Options and procedures for Pakistan The sites and services approach reviewed: Solution or stopgap to the third world housing shortage
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Taylor, K., & Cotton, A. (1993). Urban upgrading: Options and procedures for Pakistan. Loughborough: WEDC. Van der Linden, J. (1986). The sites and services approach reviewed: Solution or stopgap to the third world housing shortage?. Aldershot, UK: Gower.
The role of the world bank in housing Housing the urban poor: Policy and practice in developing countries
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Pugh, C. (1995). The role of the world bank in housing. In B. Aldrich, & R. Sandhu (Eds.), Housing the urban poor: Policy and practice in developing countries. London: Zed Books.
Participatory urban upgrading: Lessons from Latin America
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Imperato, I., Ruster, J. Participatory urban upgrading: Lessons from Latin America. Washington: World Bank, in press.
An analysis of informal settlements and the applicability of visual settlement planning (Visp) in South Africa, unpublished reference document available on request
  • J Abbott
  • I Martinez
  • M Huchzermeyer
Abbott, J., Martinez, I., & Huchzermeyer, M. (2001). An analysis of informal settlements and the applicability of visual settlement planning (Visp) in South Africa, unpublished reference document available on request. Pretoria, South Africa: Water Research Commission.
Urban upgrading: Options and procedures for Pakistan
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  • A Cotton
Taylor, K., & Cotton, A. (1993). Urban upgrading: Options and procedures for Pakistan. Loughborough: WEDC.
Providing services in Brazilian favelas: The AVSI experience. Paper Prepared for a World Bank Sponsored Round Table Meeting on the Provision of Services for the Urban Poor in Latin America
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Novara, E. (1996a). Providing services in Brazilian favelas: The AVSI experience. Paper Prepared for a World Bank Sponsored Round Table Meeting on the Provision of Services for the Urban Poor in Latin America, Washington, December 11–13, 1996, unpublished.
The sites and services approach reviewed: Solution or stopgap to the third world housing shortage
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Van der Linden, J. (1986). The sites and services approach reviewed: Solution or stopgap to the third world housing shortage?. Aldershot, UK: Gower.
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Community action planning
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Alvorada programme: Providing security of tenure for the poor
AVSI (1995). Alvorada programme: Providing security of tenure for the poor. Paper presented to the Best Practice International Conference for Habitat 2, Dubai, November 1995.
Getting the incentives right
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Inodore habitat improvement project
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