United Nations Centre for Regional Development UNCRD

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The Role of Housing and Urban Service Provision in Pro-poor Urban Development Strategies

Jean D’Aragon, PhD Coordinator,

Disaster Management Planning Unit United Nations Centre for Regional Development (UNCRD)

Nagoya, Japan

Email: daragonj@uncrd.or.jp

United Nations Centre for Regional Development UNCRD

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Founded in 1971 Created by an agreement between the UN and the Government of Japan Operations are supported by the UN Department of Economic and Social Affairs (UN/DESA) under/linked to the Division for Sustainable Development (UN/DSD)

The United Nations Centre for Regional Development (UNCRD)

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Enhancing capacity of governments and community groups in developing countries, with a focus on: 1.Economic and social development,

2.Environmental management, and

3.Disaster management planning

Focus: Promoting sustainable regional development through

Disaster Management Planning at UNCRD 1985-2011, and 2012…

2011 June: Relocation of the office to the UNCRD HQ (Nagoya)

2012 June: New team, new Coordinator, ‘new’ orientation…

New DMP Programme: Disaster Risk Reduction & Resilience Building of Urban Poor Communities (including Housing & Slum Upgrading)

HISTORY OF DISASTER MANAGEMENT PLANNING UNIT

1985: Launched Disaster Management Planning Unit in the UNCRD HQ, (Nagoya). 1999: Established in Kobe as the Disaster Management Planning Hyogo Office supported by the Hyogo Prefectural Government (post 1995 Kōbe earthquake)

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• Training: Organize and conduct training courses targeting government officials engaged in regional development in developing countries

• Research: Conduct research in regional development

• Advisory Services: Provide advisory services for governmental organizations, NGOs, universities etc.

• Establishment of Information Network: Promote the exchange of information in regional development

Promoting sustainable regional development

aiming at achieving the MDGs

Sustainable regional development through activities such as

The Millennium Development Goals (MDGs)

GOAL 1: ERADICATE EXTREME POVERTY & HUNGER Target 1.A: Halve, between 1990 and 2015, the proportion of people whose income is less than $1.25 a day Target 1.B: Achieve full and productive employment and decent work for all, including women and young people Target 1.C: Halve, between 1990 and 2015, the proportion of people who suffer from hunger

The MDGs and their Targets

The MDGs and their Targets GOAL 7: ENSURE ENVIRONMENTAL SUSTAINABILITY Target 7.A: Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources Target 7.B: Reduce biodiversity loss, achieving, by 2010, a significant reduction in the rate of loss Target 7.C (formally Target 10): Halve, by 2015, the proportion of the population without sustainable access to safe drinking water and basic sanitation Target 7.D (formally Target 11): By 2020, to have achieved a significant improvement in the lives of at least 100 million slum dwellers

1970

RURAL 63% URBAN

37%

2007

RURAL 50%

Since 2007, when urban citizens reached 1/2 of the World's population, we entered in the Urban Era, with an unprecedented pace of urbanization (2050: Urban 70% vs Rural 30%)

Urbanization Trend

GLOBAL POPULATION: URBAN RURAL /

URBAN 47%

RURAL 53%

2000

URBAN 50%

2007 2030 2050

RURAL 50%

URBAN 50% RURAL

40%

RURAL 30%

URBAN 70% URBAN

60%

95 % of the urban growth will occur in developing countries (particularly in Asia and Africa)

80 % of this (95 %) rapid urban growth will be uncontrolled or informal, i.e., it will take the shape of urban slums

The main factors of urban growth are: • Natural growth of cities, • Conversion of rural areas into urban areas; and • Rural migration (Urban development and rural development are linked)

The main factors contributing to slum formation are: • Lack of access to adequate, affordable urban land • Lack of adequate, affordable and safe housing options • Lack of urban infrastructure and urban services

Which some attribute to: • Weakness of local human and institutional capacities and governance; • Local governments have limited financial means (insufficient resources allocations

and/or revenue-raising powers transferred from central governments) to fulfil their responsibilities (ensuring basic service delivery, infrastructure development, adequate housing and services to communities, promoting social and economic development, and safe and healthy environment…)

Urbanization…: 1) in developing countries 2) informal (slum formation and expansion)

Sub-Sahara Africa

Eastern AsiaSouthern AsiaNorthern Africa

Western Asia

South-eastern Asia

Latin America

More Developed Region

More Developed Region

More Developed Region

More Developed RegionMore Developed Region

% of Slum Dwellers625 - 3030 - 5050 - 6070+Country Boundary

Proportion of slum dwellers in urban areas by region (2005)

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Western Asia (selected countries) POPULATION ENVIRONMENT

(Selected indicators)

Country or area

Total population (thousands)

Urban population (thousands)

Urban population (percentage

of total population)

Average annual

growth rate of urban

population (percentage)

Population of slums

(percentage of urban

population)

Urban population using improved

sanitation facilities

(percentage)

Urban population using improved drinking-water

sources (percentage)

2010 2010 2010 2005-2010 2005-2007 2008 2008 World 6 895 889 3 479 867 50 1,9 35 76 96 Western Asia 231 995 154 342 67 2,3 25 94 96

Armenia 3 092 1 985 64 0,2 .. 95 98

Azerbaijan 9 188 4 771 52 1,3 .. 85 88

Bahrain 1 262 1 118 89 2,1 .. 100 100

Cyprus 1 104 776 70 1,3 .. 100 100

Georgia 4 352 2 296 53 -1,0 .. 96 100

Iraq 31 672 20 958 66 1,9 53 76 91

Jordan 6 187 4 859 79 3,1 16 98 98

Kuwait 2 737 2 693 98 2,5 .. 100 99

Lebanon 4 228 3 688 87 1,0 53 100 100

Occupied Palestinian Territory 4 039 2 995 74 3,5 .. 91 91

Oman 2 782 2 032 73 2,4 .. 97 92

Qatar 1 759 1 685 96 10,7 .. 100 100

Saudi Arabia 27 448 22 528 82 2,4 18 100 97

Syrian Arab Republic 20 411 11 377 56 4,0 11 96 94

Turkey 72 752 50 671 70 1,9 16 97 100

United Arab Emirates 7 512 6 314 84 3,2 .. 98 100

Yemen 24 053 7 649 32 4,8 67 94 72

Source: Urban Population, Development and the Environment 2011, DESA, Population Division, 2011

Sub-Saharan Africa 4.6 4.5

Southern Asia 2.9 2.2

Western Asia (55% urban in 2005)

2.9 2.7

Urban Growth

Slum Formation & Expansion

Urban Growth & Slum Formation in Selected Regions in 2005 (Source: UN-HABITAT, 2009)

Urban Growth Rates and Slum Formation & Expansion Rates are

almost identical in some regions (2005)

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TOTAL SLUM POPULATION IN THE ESCWA REGION

Country Urban Slum Population / Slum Population as % of Urban Population

1990 2001 2005 Urban Slum Population

Slum as Percent of Urban Population

Urban Slum Population

Slum as Percent of Urban Population

Urban Slum Population

Slum as Percent of Urban Population

Bahrain .. .. .. .. .. .. Egypt 14 086 925 58% 11 761 704 40% 5 505 326 .. Iraq 6 824 582 57% 9 026 243 57% 9 692 492 .. Jordan 387 750 17% 623 494 16% 718 812 .. Kuwait .. .. .. .. .. .. Lebanon 1 142 000 50% 1 601 500 50% 1 756 720 .. Oman 671 134 61% 1 213 971 61% .. .. Palestine .. .. .. 60% .. .. Qatar .. .. .. .. .. .. Saudi Arabia 2 385 108 20% 3 609 342 20% 4 070 289 .. Sudan 5 707 584 86% 10 106 860 86% 13 913 793 .. Syrian Arab Republic 628 609 10% 891 523 10% 981 945 .. United Arab Emirates .. .. .. .. Yemen 1 787 400 68% 3 109 569 65% 3 802 848 ..

ESCWA Region

Source: United Nations Statistic Division, MDGs in Bridging the Urban Divide in the ESCWA Region: Towards Inclusive Cities, ESCWA

Despite the (limited) data available, we can still see that slums are generally progressing in the ESCWA Region

In other words, informality is the predominant mode of urbanization in those regions (of developing world)

Source: The Dynamics of Global Expansion. World Bank 2005.

Expansion of Accra, Ghana: 1985-2000 (15 years)

Water and sanitation (solid and liquid waste) Ramshackle (overcrowded and insalubrious) dwellings Problems women and youth:

• HIV-AIDS, street gangs, poor performance at school and high level of dropping out of school • Teenage pregnancy

Unavailability of land, absence of formal right of occupation (security of tenure), and poverty are the cause of slum formation /expansion and of the problems that come with slums

Flooding (and other hazards)

Lack of access roads and drainage

Expansion of Accra, Ghana: 1985-2000 (15 years)

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1. Access to improved (potable) water An adequate quantity of water that is affordable and available

without excessive physical effort and time 2. Access to improved sanitation Access to an excreta disposal system, either in the form of a

private toilet or a public toilet shared with a reasonable number of people

3. Durability of housing Permanent and adequate structure in a non-hazardous

location, protecting its inhabitants from the extremes of climatic conditions such as rain, heat, cold or humidity

4. Sufficient living area Not more than 3 people sharing the same room 5. Security of tenure Evidence or documentation that can be used as proof of secure

tenure status or for protection from forced evictions

A slum household lacking one or more of the following:

Slum dweller? - The 5 Slum Indicators or Shelter Deprivations

Exacerbates Causes

Financial Assets:

Limited access to Money &

Credit

Resource Assets:

Limited access to Land, Fish

& Water

Human Assets:

Poor Health /Human

Capability

Political Assets:

Little Voice & Influence in governance

Urban Poverty

Settlement on Marginal Lands Limited assets of the poor

Environmental Burdens

Environmental Degradation: Pollution &

Over-pumping Vulnerability

to Natural Disasters

Lack of Services

Leads to Erodes

Source: International Development Research Centre (IDRC) – Urban Poverty and Environment (UPE) Programme

Poverty increases exposure and vulnerability to environmental risks and

natural hazards and disasters…

…Environmental risks, natural hazards and disasters exacerbate poverty

• Increase vulnerability • Destroy assets and means of livelihoods (including house and/or plot)

• Reduce coping capacity (and options) for next disaster

• The reduced financial means may lead to bad or hazardous choices

such as: • Reducing food intake quantity and quality; • Cut down education expenses; and even • Rebuilding on other disaster-prone sites…

and, which will be worsening the urban poor’s vulnerability on the long run

Disasters (even small-scale ones) perpetuates the cycle of poverty

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INFORMAL URBANIZATION

FORMAL URBANIZATION

1. CADASTRE – legal ID

2. LAND ALLOCATION

3. PLANNING

4. IMPLEMENTATION OF SERVICES AND INFRASTRUCTURE

5. CONSTRUCTION

6. OCCUPATION

1. OCCUPATION

2. CONSTRUCTION / consolidation

3. IMPLEMENTATION OF SERVICES AND BASIC INFRASTRUCTURE

4. PLANNING

5. REGULARISATION

6. LEGALISATION Based on P. Baross, The Transformation of Land Supply Systems in Third World Cities, Aldershot: Gower, 1990

Different logics of Housing Development (?)

Not so different (just reverse) logics of Housing Development

Invasions, Lima (Peru)

chosas

The invasion of Pampa de Cuava, March 1961

Invasions, Lima (Peru) …with security of tenure

Invasions, Lima (Peru) with security of tenure… & regularization

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People ocuppy, build, hold their ground

With tolerance: continue x stop!

Negociate & invest in services & land consolidation

With tolerance: they put more resources to change from temporary to permanent

...they put more resources & expand the dwelling

Until consolidation & security of tenure: regularization?

The process of housing production is Incremental

The consolidation of the right to land is Incremental

Policy to Regularization should accommodate this Incremental Process

Time

Informal vs formal housing building sectors: Some facts

• In some cases, building materials (foreign for the most part) can account for up to 80% of the cost of a simple standard house;

• Building codes often encourage the use of foreign building materials and technologies (and push households using local & traditional materials into informality);

• Low-cost housing, built by small-scale building contractors, generates 30% more income than high-cost housing;

• The informal construction sector, being labour-intensive, creates 20% more jobs and builds 6 times more per dollar than formal construction sector; * The informal construction sector is, however, also prone to labour

and occupational health and safety abuse;

Informal vs formal housing building sectors: Some policy-related suggestions

• Building codes, and regulations should be performance-based, rather than prescriptive;

• Governments should not fight but rather aim to formalize and gradually integrate the informal building sector (through flexibility, lowering legality requirements…);

• Governments should invest in vocational training, building capacities of the small-scale materials and construction sectors, creating skills and income generation opportunities, particularly for the youth and women;

• Governments should promote research & innovation in building materials & technologies, particularly those linked to local and traditional building cultures

Vocational training (CEB, MC roof tiles & wattle-and-daub) in South African (6) slums

Micro-concrete roof tiles production training (women)

Prefabricated wattle-and-daub panels training (women)

Compressed Earth Block (CEB) production training

CEB masonry training Culturally-adapted

integration of women

*Traditional knowledge/use of adobe and wattle-and daub

Conventional concrete blocks: 30% labour + 70% ‘raw’ materials Compressed Earth Blocks: 70% labour + 30% raw materials

• 30 highly-skilled (“Face Brick” quality) masons small-scale contractors

• 30 CEB makers (micro-enterprises)

• 20 women trained on roof tiles production, prefabricated wattle-and-daub panel-making and other building components (e.g. micro concrete floor tiles)

• 150 houses built (18 months later)

Vocational training (CEB, MC roof tiles & wattle-and-daub), East London, South Africa

From a stand alone RDP ‘Starter House’ to semi-detached (higher density), more respectful of the cultural aspects of the community

Building Codes & Regulations Performance-based material normalisation

CEB tested by South African Bureau of Standard CEB approved at Provincial & National levels

24-hour rain penetration test

Heavy load impact test

Sharp objects impact test

Light and heavy load carrying capacity

Bridging the Social and Racial divide

(multi-racial and socially) integrated neighbourhood w. low/mid/mid-high income

Rental & Ownership Semi-detached & Row Housing

3 different approaches (with different scales and style and degree of participation):

• Centralized (top-down, focus at national scale);

• City-based (partnering public and private, focus at city scale);

• Community-based (highly participative, focus on slums’ pro-active initiative).

Important: • These approaches are not necessarily opposed to each other but

complementary. • They do not exclude each other. • They can be applied simultaneously, if the former are flexible

enough and that they apply the principle of subsidiarity. * A good example is the Reconstruction Development Programme in

South Africa, where the RDP was more a framework allowing for (and guiding) city and community-based initiatives (as previous case)

Slum Upgrading (& Prevention): Different approaches

Slum upgrading & prevention approach

Centralized City-based Community-based

Who is taking the initiative

Central state/ Presidency/ Ministers

City authorities/ Mayors

Community leaders/NGOs

Institutions/ groups involved

Ministries City/Ministries/ Private sector

Donors/ Central Gvts./ City/ Municipality

Spatial strategy (focus/target )

•All slums at national level but could prioritize specific interventions in particular areas (capital city, port city or other strategic reason)

Most slums in city & periphery but could prioritize slums with severe or extreme level of deprivation (2-3+ on 5 deprivations) or land value capture potential…

•Upgrade in one particular slum; •Successful interventions can be replicated in other slums

Slum Upgrading & Prevention: Different approaches

Slum upgrading and prevention approach

Centralized City-based Community-based

Policy reforms

Regulatory framework

•New land law, including expropriation, budgets.

•City expansion

•Urban renewal-renovation of strategic areas, plus city expansion

•Lobby for land regularization of specific areas

Physical & social interventions

•Massive production of “social” housing and infrastructures

•Improving / optimizing existing infrastructures

•Infrastructure supply and micro-finance

Financial strategy (resource mobilization for interventions)

•Central revolving funds for localities-governorates (from national taxes)

•Public private partnership.

•Land value capture

•Revolving fund managed at community level

Slum dwellers’ level of participation and human resources involved

•High technical capacity (universities and ministries).

•Top down approach

•External expertise providing specific inputs.

•Privatization of the process

•NGOs inputs and community leadership.

•High participation.

Slum Upgrading & Prevention: Instruments

Slum upgrading and prevention approach

Centralized City-based Community-based

Advantages •Highly efficient in terms of physical interventions.

•Good coordination among parties.

•Has more possibilities to prevent slums using national resources

• Integrate several sectors of the society, making it a more sustainable process.

•Potentially successful in preventing slums, as it aims to control the urban expansion of the city

•Highly participatory and with strong community ownership.

•Open a window of opportunity for genuine development process

Disadvantages •Low slum dwellers’ participation (may lead to low community appropriation).

•Sustainability depends of the continuity of the central government.

• It may be used as a tool against certain groups

• It may lead to segregation if it is based purely on land value capture.

•Difficult to replicate in other cities as it is “tailor made”

•Weak in prevention as upgrade may encourage more people to live in slums, if it is not properly coordinated with city and national authorities.

Slum Upgrading & Prevention: Quick review

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SLUM UPGRADING SLUM PREVENTION

Infrastructure & services provision

Settlement planning

Land regularisation

Housing improvement

Improvement Strategies

Provision of Serviced Land

Easing access to Housing Finance

Regulatory Reforms

Increasing low-cost housing options

Housing Policies

CURATIVE PREVENTIVE

Favela Jacarezinho (Rio): City-led (street focus) slum upgrading

Aerial Photo of the Favela Jacarezinho, Rio de Janeiro

First proposal for the street network and urban layout plan

Bird eyes view of the Favela Jacarezinho, Rio de Janeiro

Expanded proposal suggesting more streets & open spaces as demanded by the Municipal Housing Secretariat, implementer of the programme.

• Streets, green-spaces, squares, markets and public institutions are anchors to thriving urban centres;

• Safe and inclusive public spaces are even more needed in informal settlements, where space for socialisation, schools, places of worship and commerce, can drive development;

• Beyond mobility, streets should be understood in terms of the quality of life, economic value, sense of pride and identity, and safety they can provide.

• Streets and public space are key for creating space for the provision of infrastructure and greater accessibility

• Streets are part of a settlement urban layout plan, and form the basis of an upgrading plan.

• For residents, streets provide address and location in the city map.

Streets and public space in slum upgrading

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Integrated Urban Slum Upgrading programme Medellin, Colombia (Focus on connecting…)

Integrated Urban Slum Upgrading programme (‘PRIMED’), Medellin (Colombia)

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Integrated Urban Slum Upgrading programme (‘PRIMED’), Medellin (Colombia)

Also focus on urban services delivery and disaster risk reduction

•Was criticized to be a one-time intervention (no continuity)

•Also lack of community participation

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• Central governments: policy reforms

(institutional, legislative and financial)

• Local authorities: coordination and guiding the direction of growth and development of urban areas

• Civil Society: embodiment of needs for a better quality of life

• International community: provision of support in terms of policy and technical advice

Slum Upgrading & Prevention: Concerted efforts of all stakeholders needed

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Urbanization

Low- income housing

Land Eviction

Quick Guides for Policy Makers (Asia) Low-cost Housing, Slum Upgrading and other urban issues

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Quick Guides for Policy Makers (Asia) Low-cost Housing, Slum Upgrading and other urban issues

Community- based Organisations

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Quick Guides for Policy Makers (Africa) Low-cost Housing, Slum Upgrading and other urban issues

Local Government: Addressing Urban Challenges in a Participatory Way

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Quick Guides for Policy Makers (Africa) Low-cost Housing, Slum Upgrading and other urban issues

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Housing Profiles Country-specific (deeper) analysis of the Housing Sector

+ integration of vulnerability (and resilience) profile

United Nations Centre for Regional Development UNCRD

Shukran Jean D’Aragon, PhD

Coordinator, Disaster Management Planning Unit

United Nations Centre for Regional Development (UNCRD) Nagoya, Japan

Email: daragonj@uncrd.or.jp

United Nations Centre for Regional Development UNCRD

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While the first 4 slum indicators measure physical expression of slum conditions, the 5th indicator deals with legality, which is not so easy measure or monitor.

Access to improved (safe drinking) water Access to improved sanitation (solid and liquid waste) Sufficient living area (3 people max per room) Durability of housing: structural quality Security of occupation (tenure)

Security of occupation (tenure)

The Security of occupation (tenure) indicator has special relevance for measuring denial and violation of housing rights as well as the progressive fulfilment of those rights.

Source: Slum households and shelter deprivations: degrees and characteristics, State of the World’s Cities 2008/2009, UN-HABITAT (2009)