Approaches to Urban Slums Approaches to Urban Slums A Multimedia Sourcebook on Adaptive and Proactive Strategies Edited by Barjor Mehta t Arish Dastur Multimedia by Steffen Janus WBI Learning Resources Series World Bank Washington, D.C. @ 2008 The lnternational Bank for Reconstruction and DevelopmentlThe World Bank 1818 H Street, NW Washington, DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org E-mail: feedback@worldbank.org All rights reserved First printing February 2008 This volume is a product of the staff of the lnternational Bank for Reconstruction and Development/The World Bank. The findings, interpretations, and conclusions expressed in this paper do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. 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All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, The World Bank, 1818 H Street NW, Washington, DC 20433, USA; fax: 202-522-2422; e-mail: pubrights@worldbank. org. Library o f Congress Cataloging-in-Publication data has been applied for. ISBN: 978-0-8213-7354-5 elSBN: 9780821373552 DOI: 10.15961 978-0-821 3-7354-5 Cover and publication design: James E. QuigleylWorld Bank Institute Cover photo: Steffen Janus/World Bank lnstitute Contents Foreword................................................................................................................................................. 7 Acknowledgments..........................................................................................................................9 How to Use the Sourcebook ............................................................................................... 13 Contents of the Multimedia Sourcebook on CD-ROM .......................................................16 Overview .......................................................................................................................... 19 The sourcebook does not exist in printed format, and can only be viewed on the CD- ROM included with this volume. This guide is a primer to the sourcebook. Foreword The issue of slums is very complex. It cuts across numerous disciplines. It concerns hundreds of millions of slum dwellers directly - and it indirectly concerns all the local and national economies and societies in which slums exist. It is one of the fundamen- tal global challenges of our times. The physical, legal, social, political and economic characteristics of slums are richly varied. Besides, the multiplicity of urban and national contexts within which slums exist adds a further layer of complexity to the issue. So if interventions are going to be meaningful - there needs to be a genuine effort to appre- ciate the complexities and subtleties of slums, their communities, and how they interact within and with the broader context in which they exist. Approaches to UrbanSlums brings together the growing and rich body of knowledge on the vital issue of improving the lives of existing slum dwellers, while simultaneously plan- ning for new urban growth in a way which ensures future urban residents are not forced to live in slums. The sourcebook's user-friendly multimedia approach and informal dia- logue greatly increase the accessibility of the content, as well as the range of topics and information that are covered. Totaling over nine hours of modular viewing time, the sour- cebook will be an essential resource for practitioners, policy makers, as well as students and academics. It contains the latest perspectives on the burning issues, and cutting edge approaches to dealing with the problems that afflict the living conditions of hundreds of millions of poor people. The sourcebook charts unfamiliar waters in two ways. First, it recognizes that the Bank's knowledge and perspective on slums could not pos- sibly do justice to the wide variety of rich, on-going experience. Hence, particular em- phasis was given to going beyond the walls of the Bank. To do so, we reached out to individuals who have dealt with slums from a variety of perspectives: developmental organizations, governments, NGOs, community organizations, academia, and profes- sional consultants. Including candid perspectives from the field, while also inviting World Bank experts to reflect on the merits of their approaches over the last 35 years, has been crucial in initiating an ongoing, honest and open discussion - one which we hope will strengthen the development community's efforts in the future. Second, the sourcebook begins to address a rather daunting prospect: that in the next 30 years the number of people living in slums is likely to double unless affordable and proactive shelter strategies are not taken on by local and national governments. Proac- tive measures are often considerably more effective, affordable, and easy to implement than are retroactive measures. However, the constituencies that will comprise this future challenge are by definition not yet in the city - making the problem politically and physi- cally invisible. If political will to deal with existing slums through adaptive measures is weak, the political will to prepare for future urban expansion through proactive measures is even weaker. The international development community has also not focused on the fundamental issue of pragmatically planning ahead. This is strongly reflected in the lack of published research and literature, and also, disappointingly, in the Millennium Develop- ment Goals which focus only on improving the lives of existing slum dwellers. Approaches to Urban Slums broadens the discussion to include proactive strategies as an inseparable part of the conversation on slums. By doing so it lays the groundwork, both within and outside the Bank, for further initiatives in this important and essential area. With hundreds of millions suffering everyday, and projections that their numbers may double - one thing is certain: practitioners and policy makers at all levels will need ready access to a range of practical, affordable and implementable approaches to slums. The dissemination and use of this sourcebook will contribute significantly towards this end. Katherine Sierra Rakesh Nangia Vice President, Sustainable Development Acting Vice President The World Bank The World Bank Institute Acknowledgments We would like to express our sincere gratitude to: David Williams and Julie G. Viloria-Williams, for encouraging us to use their earlier work as the basis for the Adaptive Approaches section of the multimedia sourcebook. John Didier, for his contribution to David and Julie's work and for all his advice and assistance with the publication of this Sourcebook. Geoffrey Payne, for contributing extensively to the Proactive Approaches section of the multimedia sourcebook by drawing upon his previous work, experience, and publications. Practical Action Publishing (formerly ITDG Publishing), Earthscan, Geoffrey Payne, and Michael Majale for granting us permission to use previously published mate- rial in the Proactive Approaches section. Cities Alliance: Billy Cobbett, Farouk Tebbal, Joerg-Werner Haas, and Giorgio Romano Schutte, for their guidance, suggestions, and support. Billy Cobbett, for participating in one of our featured interviews. Particularly Farouk Tebbal for his detailed peer review, comments, and sugges- tions on our work, and his constant support and facilitation of our collaboration with a range of stakeholders. 10 1 APPROACHES TO URBAN SLUMS -- - UN-Habitat: Rasmus Precht, Asa Jonsson, and Selman Erguden for their exten- sive peer review, comments, and suggestions on the Adaptive Approaches section. Clarissa Augustinus for her participation in one of our featured interviews. Representatives from Government, NGOs, Communities, the Private Sector, and the 1IN Millennium Project Task Force on Improving the Lives o f Slum Dwellers: Paulo Teixeira, Sheela Patel, Jockin Arputham, Arif Hasan, Geoffrey Payne, and Elliott Sclar for their enthusiasm and support of our work, and their participation in the interviews. The World Bank: Abha Joshi-Ghani, Mila Freire, Robert Buckley, Roberto Chavez, Richard Beardmore, Alexandra Ortiz, Rumana Huque, Soraya Goga, Ivo Imparato, Dean Cira, Deepali Tewari, Sylvie Debomy, Alicia Casalis, Brahim Ould Abdel- wedoud, and Ashna Mathema, for sharing their materials and experiences, for their overall enthusiasm and support for our work, and for their participation in the interviews. Claire Guimbert for her able assistance throughout the research process. Especially Robert Buckley and Roberto Chavez for their valuable guidance, detailed peer review, and their suggestions on how to enhance our work. The World Bank Institute: The Multimedia Center, for its excellent production and technical support: Scott Yann, Maria-Martina Yalamova, and Hector Mon- tenegro for the video recording, production, and streaming; Thomas Wilburn and Chris Valdes, for the audio recording and production for the multimedia presenta- tions; and Megan Breece, for HTML design and production. Brigitte Kerby-Dia and Enrique Calcagno, of the Global Development Learning Network (GDLN), for scheduling the video conferences for the remotely recorded video interviews. Yuan Xiao and Eirin Konstanse Kallestad, from the World Bank Institute's Urban and Local Government Program, for assisting us with the final quality control. Hector Montenegro for putting together the video and Flash presentations, and Cenk 0zmen for providing valuable technical advice and solutions. James Quigley for his excellent design work on the publication and presenta- tion of the Sourcebook. Caroline Adams-Brezina for providing the critical support and encouragement this product needed to take off. Victor Vergara, Program Leader of the World Bank Institute's Urban and Local Government Program, for letting us run with the project. Alexander Fleming and Konrad Von Ritter for their vital support and encour- agement. Frannie Leautier, former Vice President, World Bank Institute. The Multimedia Presentations The content for the multimedia presentations in the Adaptive Approaches, Proactive Approaches and Case Profiles sections was compiled, expanded and edited by Arish Dastur and Barjor Mehta. The multimedia presentations were designed and produced by Steffen Janus. The Video Interviews The video interviews in the Case Profiles and Thematic Interviews sections of the Source- book were conducted by Arish Dastur. Narrators Thomas Wilburn narrated the four Adaptive Approaches presentations, Latifah Alsegaf narrated the four Proactive Approaches presentations, and Arish Dastur narrated the six Case Profile presentations. Photo and Image Credits Arish Dastur, Barjor Mehta, Adi Dastur, Wairimu Waweru, David Williams, Julie G. Viloria- Williams, Steffen Janus, Susana Williams, and Vivian Castro; the World Bank Task Teams in Afghanistan, Brazil, Ecuador, Mauritania, Tanzania, and Vietnam; the Project Coordi- nation Unit of the Mauritania Project; the World Bank Urban Anchor; the World Bank Photo Library; the United Nations; Google Earth; ShacklSlum Dwellers International; Birmingham Picture Library; Shirley Ballaney (Environmental Planning Collaborative, Ahmedabad); and Columbia University. Barjor Mehta Et Arish Dastur Steffen Janus World Bank Institute World Bank Institute Urban Group Multimedia Team ' site investigations prellrnhty evaluations seldon of prioritys b a scheduWngof upgrading sequsom mrnunity Involvement SONELEl ntalgovernment' waterand Electric company CDHLCPl (HunanRi@ts. JovertyAleviadon aod Insertion QrganbwmWhq~6w fawsgFcupdiWWdOW * dl ~ & a d r r o s ~ r r a a n s e R t e d S v o r t t v ~ nd generatefurther lnsis Approaches to Urban Slums builds on an extensive body of knowledge accumulated over 35 years from a wide range of sources. The 14 self-running audiovisual presentations include photographs, illustrations, maps, graphic animations, and aerial imagery, along with voice-over narration. The sourcebook's multimedia format facilitates the presenta- tion of a highly complex subject by adding an audiovisual and spatial dimension to the descriptive and analytical discussion. The 18 video interviews provide access to the knowledge and opinions of urban stake- holders and experts on specific issues, and from various development perspectives, including development organizations, governments, nongovernmental organizations (NGOs), community organizations, academia, and professional urban consulting. For Self-study Clearly, viewing more than nine hours of material at one time may not be advisable. Consider viewing it in segments over the course of a week or maybe two. Since not all the topics in the sourcebook will be of immediate interest to everyone, this guide allows you to become familiar with the content and its organization. You can then select the sections that are most relevant, or simply browse through the menu. Face-to-Face Events and Conferences For workshops or conferences devoted to this topic, consider breaking the event into multiple sessions over three or four days. The event organizer or moderator should become familiar with the participants' experiences and objectives and reflect these in the agenda. Consider asking participants to make presentations about how the content in the sourcebook might apply in their own work or projects, and then forming panels to share ideas on how to create momentum for implementation in their cities. The move from knowledge to action is a key objective that should be encouraged and facilitated throughout the event. Preparation of action plans is another method to help participants transfer acquired knowledge to their work. The sourcebook can also be used as a tool in academic programs or training courses. After viewing and presenting relevant parts of the sourcebook, the teacher or trainer HOW TO USE THE SOURCEBOOK 15 could ask students to work in groups to determine how its lessons might apply in their home cities. They could also take their studies to the field by working with local NGOs or institutions to create momentum for action. The objective of knowledge sharing and capacity building is to advance knowledge, improve performance, and ultimately achieve results on the ground. We believe this resource can help create communities of practice, whether among students, profession- als, or policy makers, as one means of ensuring that the urban poor have better access to shelter and urban services. We hope this sourcebook can serve as a bridge from knowl- edge to action. Contents of the Multimedia Sourcebook on CD-ROM (Approximate Viewing Time: 9-10 Hours) 1. Adaptive Approache5 (4 Multimedia Presentations. A ~ ~ r o x i m aViewina Time 1 hour 30 minutes) t e lntroduction Urban Upgrading Programs Project Management and Project Cycle Strategic Guidelines 2. Proactive Approaches (4 Multimedia Presentations. Approximate Viewing Time 1 hour 30 minutes) r lntroduction Managing Urban Expansion Reviewing Regulatory Frameworks Pluralistic Systems of Supply 3. ~ a s errorlies (6Multimedia Prr(sypns + 6 i n g w 3 hours) Dar es Salaam - Community Infrastructure Upgrading Program The Multimedia Presentation is followed by a Video lnterview with Rumona Huque, Senior Urban Specialist, World Bank Ecuador -Low-Income Neighborhood Upgrading Et Urban Land Management Project The Multimedia Presentation is followed by a Video lnterview with Alexandra Ortiz, Senior Urban Economist, World Bank Vietnam - Urban Upgrading Project The Multimedia Presentation is followed by a Video lnterview with RichardBeardmore, Senior Urban Specialist, World Bank Bahia -Poor Urban Areas Integrated Development Project The Multimedia Presentation is followed by a Video lnterview with Ivo Imparato, Senior Urban Specialist, World Bank Kabul -Urban Reconstruction Project The Multimedia Presentation is followed by a Video lnterview with Soraya Goga, Senior Urban Development Specialist, World Bank Mauritania - Urban Development Program The Multimedia Presentation is followed by a Video lnterview with Roberto Chavez, Lead Urban Specialist, World Bank D 4. Thematic Interviews (12 Video Interviews. Approximate Viewina Time 4 hours1 Working with Slum Dwellers Lessons from the Experience o f SPARC, India Video lnterview with Sheela Patel, Founder and Director, Society for the Promotion of Area Resource Centers, India-SPARC Federated Communities Taking the Lead: NSDF and SDI Video lnterview with Jockin Arputham, President, ShacklSlum Dwellers International Urban Poverty, Participation, and Inclusive Cities Video lnterview with ArifHasan, Advisor, Orang; Pilot Project, and FounderlChairman, Urban Resource Center, Karachi Understanding The Beneficiaries' Perspective Video lnterview with Ashna Matherno, Consultant, World Bank Planning Ahead The Cities Alliance: City Development Strategies and Slums Video lnterview with William Cobbett, Manager, Cities Alliance Lessons from the UN Millennium Project's Task Force on Slums Video lnterview with NliottSclar, Co-Coordinator, UN Millennium Project, Task Force on Slums Incremental Slum Management Video lnterview with Roberto Chavez, Lead Urban Specialist, World Bank Land 8 Tenure The Importance o f Land Management Video lnterview with ClarissaAugustinus, Chief, Land and Tenure Unit, UN Habitat Innovating with Tenure Video lnterview with Geoffrey Payne, Principal, Geoffrey Payne and Associates Creating Effective Slum Policies The Economics of Slum Policies Video lnterview with Robert Buckley, Adviser, Urban Housing, World Bank Political Will and Effective Slum Policies in S%oPaulo Video lnterview with Paulo Teixeira, Federal Deputy in the Brazilian Parliament Coordinating Comprehensive IVational Approaches Video lnterview with Dean Ciro, Senior Urban Specialist, World Bank Overview The lives of hundreds of millions of slum dwellers are threatened by the lack of access to the most basic human requirements: water, sanitation, shelter, health, and education. The nature and extent of the daily challenges posed by existing slums are not just daunt- ing, they are life threatening. While keeping in rnind the magnitude of the existing situation, consider the future chal- lenges posed by urban expansion. Within just 30 years, cities in developing countries will triple their entire urban built-up area, generating the same amount of urban area as the entire world had cumulatively generated by the year 2000. If local and national policies do not change, much of the imminent urbanization will be characterized by more slums. Hundreds of millions of new slum dwellers will suffer from the relentlessly inhuman conditions that affect the already very large population living in slums. Consider the city of Mumbai in India, where official figures show that about 6.5 mil- lion of its total 12 million people live in slums. The slum population of this single city is larger than the national population of Norway. Regrettably, statistics about slum dwell- ers in cities all across Asia, Africa, and Latin America are just as disconcerting. All of these populations are poor, all of them struggle - everyday - to maintain their dignity. Totaling more than 166 million people in 2001, slum dwellers make up 72 percent of the urban population in Sub-Saharan Africa. Their numbers are expected to increase to more than 325 million by 2020, more than the current population of the United States of America. There is no need to underscore the magnitude of the challenge or the dire implications of ignoring it. Ironically, the solutions to slums are well known and are not difficult. What is required is political will and ongoing cornrnitment. Slums themselves are the physical manifestation of several overlapping forces. On the one hand, they are the manifestation of deep poverty, unrealistic regulatory frameworks, ill-conceived policies, inadequate urban planning, weak institutional capacity, and larger macroeconomic factors. But on the other hand, slums are a manifestation of the inge- nuity and resilience with which extremely disadvantaged populations have organized themselves in the face of these very challenges. The list of challenges faced by slum dwellers is long, and many of these disadvantages reinforce each other in a vicious cycle. Still, the resourcefulness often demonstrated by slum dwellers in the face of such adverse circumstances is remarkable. Evidence dem- onstrates that slum dwellers collectively make a substantial contribution to urban and national economies, and that many towns and cities would cease to function effectively without the people who live in slums. What slum dwellers really need is a chance to improve their own lives, and to make a positive contribution to the city. Plenty of evidence shows that resources spent on improving the lives of the poor are investments that will yield global economic and social returns. Affordable and successful adaptive measures for existing slums have, and can, increase the well-being of millions of slum dwellers. These measures also further unlock the productivity of the urban poor, creating a powerful upward spiral that strengthens both urban and national economies. At the same time, effective proactive measures-measures that create conditions that allow the future urban poor to find affordable housing and not be forced to settle in slums - have proved extremely beneficial to cities, national governments, and the urban poor. These measures are cost-effective, affordable, and implementable. As cities in developing countries prepare to take on the range of challenges posed by slums, it is essential that key knowledge about these measures be organized and dissem- inated in a format that can be readily used to create the momentum necessary for policy changes, national level programs, regulatory reform and city level projects. The Sourcebook's nine hours of modular multimedia content have been designed to com- prehensively explore the many dimensions of what is arguably one of the most critical and solvable global challenges of this millennium. What follows are very brief overviews of each of the four major sections of the Source- book. The overviews are intended to familiarize users with the content and its organiza- tion in the four major sections of the CD-ROM. Adaptive Approaches I This section of the CD-ROM comprises four self-running audiovisual presentations that focus on the question "What kind of adaptive approaches can help improve the living conditions of people subsist- ing in existing urban slums?" Each o f the four presentations in the Adaptive Approaches section lasts about 20-25 minutes and can be viewed on the attached CD-ROM. I. introduction Outlines the characteristics of slums and discusses the challenges faced by populations living in slums. Provides a snapshot of typical policy approaches toward slums, and the shortfalls and merits of those approaches, and discusses why in most cases urban upgrading should be the preferred alternative. 2. Urban Upgrading Programs Focuses on what the objectives in urban upgrading programs should be. Considers the factors that are incorporated in the design and implementation of good programs. Introduces three basic types o f urban upgrading programs. 3. Project Management and Project Cycle Provides an overview of some project management protocols, followed by a basic outline o f the project cycle requirements for comprehensive urban upgrading. 4.Strategic Guidelines Considers some strategic guidelines concerning tenure and goes on to discus the options for physical, social, and economic services. Outlines important guidelines about financial policies for cost allocation, cost recovery, the effective targeting of subsidies, and affordability. Adaptive Approaches Adaptive approachesare affordable and meaningful strategies that improve the situation of existing slum dwellers and further strengthen their integration into the social and economic fiber of the city. Broadly speaking, adaptive approaches involve upgrading the level of urban services in slums: physical, social, and economic. They also include prag- matic solutions for dealing with the tricky issue of land and tenure. Adaptive approaches have been proven to increase the well-being of millions of slum dwellers while simulta- neously strengthening urban and national economies. Project-level interventions can be further bolstered if they are implemented concurrently with supportive national policies and broad-based programs to upgrade slums. The physical services in an upgrading project might include water supply, sanitation, roads, footpaths, drains, street lighting, land readjustment, and a range of other such services. Physical services can be categorized as on-plot, on-site, and off-site. On-plot services are those that are used privately by households. These could include in- dividual sanitation facilities, water connections, or electricity. On-site services are those that are used collectively by the project site residents. They can include public sanitation facilities, public standpipes for water, site preparation, footpaths, street lighting, and the relocation o f structures t o make room for more plots or public facilities. Off-site services are those that are used collectively by the project site residents and the city at large. These services typically integrate the project site into the larger infrastructural networks of the city. They might be national or city roads, municipal water and sanitation net- works, transportation services, and markets. The following three pictures were taken in different parts o f a slum in the Philippines that was part of the successful Tondo Foreshore upgrading initiative in the 1970s. In the first picture, the path is unpaved and wet, a woman is carrying a large orange bucket of water, the homes on the right hand side use wooden planks to bridge an unpaved drain, 1 Before OVERVIEW 25 and a long garden hose is drawn out across the path to provide water access. The second picture shows the installation of physical infrastructure in process, and the third picture shows the site almost complete, with paved access and drainage. In addition to physical services, adaptive approaches include a range of social services. Social services in upgrading initiatives can include education, health facilities, sporting facilities, day care, community facilities, and the creation or strengthening of institu- tions that help new migrants integrate themselves into the city. Social services should not be taken lightly; they often contribute to increased economic growth, reduced crime, and better education and awareness. Projects may also include economic services to generate employment in the area and to raise incomes. Economic assistance can include training, job placement, credit and technical assistance to small businesses, establishment of new community-owned en- terprises, microfinance opportunities, and loans for housing and for building materials. If implemented correctly, such services will unlock bottlenecks to development and make way for economic revitalization in the area. Often the trickiest issues in improving slum conditions have to do with land and tenure. In order to propose meaningful solutions to tenure, planners and policy makers need accurate knowledge of land ownership patterns and precise criteria for the selection of beneficiaries. The equitable allocation of benefits between beneficiaries is extremely important. Who owns the land? Is it owned by the local government, the parks department, a trans- portation authority? Is it in the freehold ownership of a few absentee landlords? Has it been leased to private landlords by a public agency, and is it now informally squatted upon by the slum dwellers? If informal land markets exist, how do they work? Is some of the land under customary or traditional administrative structures? Does all the land implicated in the project site fall under a single ownership pattern? If not, what are the different patterns? Appreciating and working through the complexity of these issues, while also understanding the social and economic complexities rooted in land ownership, will ultimately structure the approach to devising appropriate tenure arrangements for households. Often, and with good reason, the appropriate tenure arrangements are more complex than simply handing out individual land titles. Innovative forms of collective tenure al- Land and Tenure: Ownership Issues Local Government? Parks De~artment? Private Ownership: -% Absentee Landlords? Single or Multiple 1 Ownership 'v Informal Land Markets? Patterns? Customary Administration? Multilayered Ownership? Multiple Claims? Legal Disputes? low projects to accommodate the lowest-income households that cannot irr~mediately afford outright ownership. Since payments are collective, such arrangements also ac- commodate the irregularities in individual income through community-based strategies such as revolving-credit schemes. Collective tenure can also allow communities to negotiate from a position of much greater power and thereby secure themselves successive improvements to their neigh- borhood. A collective leasehold agreement can help to discourage premature resale and speculation. Such collective agreements decrease the likelihood of the beneficiary cash- ing in on a land title and moving to squat elsewhere in the city in the hope of repeating the process again. Tenure is often the most contentious issue in upgrading, and propos- als need to be carefully crafted to suit the particular realities of a given situation. Institutional arrangements in the implementation of adaptive approaches vary from case to case. It is crucial to underscore the central role of local governments and their lead- ership in the process. It is also important to identify the existing and potential roles of other key stakeholders-the poor themselves, national and provincial governments, civil society groups, the private sector, and other development partners. An important step is to assess how the relative strengths of each stakeholder group can be combined to maximize synergies between their contributions. Partnerships that balance the respective strengths and neutralize the respective weaknesses of all stake- holders are the best way forward. Clear understanding of protocols for effective project management and for the project cycle will allow the various components of the project to be harmonized and the efforts of different stakeholder groups to be coordinated in the most appropriate and efficient manner. Policy makers and local officials will need to pay particular attention to the financial dimension of programs and projects. This involves issues of cost allocation across various stakeholders, the careful targeting of subsidies when required, and protocols and mecha- nisms for cost recovery. Flexibility in the choice of possible services and service standards will accommodate a range of income brackets and address issues of affordability and equity. The benefits of upgrading projects are both quantifiable and unquantifiable, and they ac- crue to the public at large and to private beneficiaries in particular. The various strands of these complex interventions often reinforce each other, and their cumulative impact compounds benefits to slum dwellers and strengthens urban and national economies. Urban I I Before After Proactive Approaches I This section of the CD-ROM comprises four self-running audiovisual presentations that focus on the question "What are appropriate proactive measures that need to be undertaken to make sure that the rapid urbanization in developing countries does not compel additional migrants and urban dwellers to live in slums!" Each of the four presentations in the Proactive Approaches section lasts about 20-25 minutes and can be viewed on the attached CD-ROM. l.lntroroduct;on Outlines the potential scale of future challenges facing urban areas with the growth of slums. Consid- ers the unprecedented magnitude and rate of global urban expansion that is projected to take place by 2030 and beyond, and the importance of political will at the local, national, and international levels. The importance of institutional collaboration, good governance, and transparency are emphasized. Introduces and outlines the main issues in proactive approaches to slums. 2. Managing UrbanExpansion Focuses on the role o f city development strategies. Goes on to address more specific issues of un- derstanding and assessing the dimensions of demand for land and housing. The preparation o f land budgets and housing needs assessments are discussed, followed by a brief discussion on priorities for land use, transportation, and tenure. 3. Reviewing RegulatoryFrameworks Focuses on the importance of regulatory frameworks and the impacts that such frameworks can have on the ability of poor households to access land and housing through legal channels. Goes through a step-by-step outline on how to undertake a regulatory audit. 4. PluralisticSystems o fSupply Examines a few specific policy options for increasing the supply of land, material, services, and credit in ways that can meet the needs o f increasing, and largely poor, urban populations. Options such as sites and services, the acquisition o f rights-of-way, land pooling and readjustment, requests for pro- posals, and companies limited by guarantee are looked into. Proactive Approaches Proactive approachescan be significantly more cost-effective, affordable, and easy to implement than retroactive measures. They are both financially and socially beneficial to cities, national governments, and the urban poor. All cities can and should take such measures. 30 APPROACHES TO URBAN SLUMS In a recent World Bank study on the effects of urban population growth on the built-up area of cities, it was projected that developing countries could triple their entire urban built-up area between 2000 and 2030. This means that in only 30 years, developing countries alone might generate the same amount of built-up urban area as the entire existing urban world had done up to the year 2000. The magnitude and rate of this ur- ban transition is unprecedented. Managing the process of urban expansion is critical, but can be a complex and multit- iered challenge. City development strategies can be effective instruments through which cities can organize, orient, and initiate their response to the multitude of challenges and opportunities posed by their urban future. The scope of a city development strategy is to lay out the agenda and provide the impe- tus for effective, participatory, and comprehensive city management that is built on the particular realties facing a given city. A proactive approach to slums will form an inte- gral component of city development strategies. In addition, many of the other compo- nents of city development strategies-such as economic development, good governance, ' .d Developingcauntriescould trbte I their entire urban built-up area between - I * : theyears2000and2030 - - (200,000km2 +600,QQQkm2)- : ' . - lC@l)&@M countries' new built-yp urbn m a (400~0b~krn?&idPl in magnitudewhat equal sf- - -M m t i r e world's built-up a& waY'in 20a0 -- - *A r' OVERVIEW 31 City Development Strategies: Lay out the agenda and provide the impetus for effective, participatory, and comprehensive city management Economic Development Good Governance Municipal Finance Urban Environment Job Creation Poverty Reduction municipal finance, urban environment, job creation, and poverty reduction-will also have a considerable impact on the ability of cities to manage the needs of the urban poor living in slums. Within the broader scope of city development strategies, a focused inquiry into low cost shelter options for the poor will require understanding and assessing the dimensions of demand for land and housing. Land prices largely depend on levels of demand and supply, together with issues of ac- cessibility and topography. To make sure prices are within the ability of all sections of society to pay for them, governments must balance demand and supply by carefully con- sidering and targeting subsidies. Achieving this balance involves preparing a land budget based on population growth estimates and other trends, such as employment and trans- portation. A land budget will help ensure that land is made available for development in line with increasing demand and will reduce inflationary increases in land prices. 32 APPROACHES TO URBAN SLUMS I Population Growth, Employment, Transportation Land Budget fd Targeted Subsidies Supply = Demand 1 Affordable Land for Everyone I Preparing a land budget and assessing the amount of land that is required can be done using the following five factors: 1. The projected demand for commercial and industrial lands, and the demand for land for new housing development. 2. Density levels for specified types of housing and other land uses, based on mini- mum official plot sizes, occupancy levels, and road widths. 3. Requirements for communal facilities such as schools, clinics, religious sites, pub- lic open spaces, and so forth at central and neighborhood levels. 4. Topography and ground conditions, including steep slopes, load-bearing capacity, and vulnerability to flooding. 5. Accessibility of available land, relating to public transportation networks, location of economic activities, and access to physical and social infrastructure. Supply- side solutions that disregard this dimension of demand often lead to costly mis- takes. A major component of the land budget will be to understand the need for new housing, which can be achieved by preparing a 'housing needs assessment.' Housing needs assess- ments are broadly based on the following five points: 1. The rate and scale of new household formation. 2. The replacement rate of existing units that will have fully depreciated during the plan period. 3. The replacement rate of deficient units whose upgrading is not economically fea- sible. 4. The number of units required to relieve overcrowding levels at the start of the plan period. 5. The upgrading of deficient units existing at the start of the plan period. The housing needs assessment will aid planners in understanding demand for land and housing, making it possible to develop a land use plan. Creating an efficient land use plan for new urban development-keeping in mind the existing land use patterns and transportation networks in the city-is vital if prices are to be affordable. Doing so can help reduce the amount of urban land required and can better integrate the new devel- opment into the existing urban fabric. Priorities and constraints at the regional, city, and neighborhood levels vary; thus, the areas available for development, and their allocation for particular uses, will differ from case to case. Zones I Area in km2 Residential 1 Residential 2 Commercial Industrial Educational and public utility Services and institutional Special agrici~ltural 4gricultural High flood hazard zone Sewage treatment plant [AUDA and AMC) Road, railways and transport - -- 'otal (excl. AMC) Although bringing more land into development is clearly part of the solution, it is not the only issue. Often a key to the problem of inadequate and substandard shelter for the poor is regulatory reform. Existing regulatory frameworks significantly influence the availability of and market prices for land, buildings, and services. They directly affect the ability of poor households to access land and housing through legal channels. Most of the time it is unrealistic regulations that consign large segments of the urban population to slums and to poverty. In many cases regulatory reform can dramatically stimulate the supply of affordable, adequate, and legal housing for the poor. It requires little or no capital outlay and makes it more attractive for the private sector to become involved in housing the poor. The regulatory framework in urban development consists of three main elements: plan- ning and building standards, planning and building regulations, and administrative pro- cedures. All three elements need to be responsive to the needs of the poor and to facili- tate the inclusion of the poor into the urban system. Unrealistic standards, suffocating regulations, and endless administrative procedures deepen urban poverty and stifle the economic growth of cities. Regulatory Frameworks 'lanning and Planning and ,dministrative Building Building Procedures R~nuIationq Influence Availability and the market prices for land, buildings, and services Ability of poor households to access land and housing To create pluralistic systems of supply, governments must consider specific policy options for increasing the supply of land, material, services, and credit in ways that can meet the needs of increasing, and largely poor, urban populations. Some options include sites and services, the acquisition of rights-of-way, land pooling and readjustment, requests for proposals, and companies limited by guarantee. Recently, the focus is increasingly on efforts to encourage a wide range of innovative partnerships between the public and private sectors, together with third-sector groups such as NGOs and community-based organizations. These opportunities are changing the role of the public sector in influencing urban land and housing markets and the poor's access to these markets. 1 I RBpubIlquelalamlque de Mauritanle AGENCE DEDEVELOPPEMENTURBAIN Cellulsa ds R&lnstallatlon I Schema de Reinstallation ' Uebbe el Mina Wlm Case Profiles This section of the CD-ROM profiles cases that are currently being implemented or prepared by the World Bank and the governments of Afghanistan, Brazil, Ecuador, Mauritania, Tanzania, and Vietnam." Each of the six cases is first profiled as a self-running audiovisual presentation. To complement this material, video interviews have been conducted with a manager or member o f the World Bank project team for each case. Viewing the material in each of the six case profiles should take an average of about 30 minutes. The content can be viewed on the attached CD-ROM. What follows are brief descriptions o f the six cases. Ecuador Dar es Salaam Low-Income Neighborhood Commun~tyInfrastructure Upgrading and Land a Management Project Upgrad~ngProgram 2005-2008 2007-2012 Content presented in this section reflects the situation at the time the materials for the sourcebook were prepared. The situ- ation may have changed. Some comments in the interviews are time-sensitive. They reflect the reality when the interview was taped and may not hold true at a later date. Dar es Salaam: Community Infrastructure Upgrading Program (2005-2008) The Dar es Salaam case is a single-city adaptive intervention in Tanzania. This case is an example of effective and participatory urban upgrading within a very tight budget of US$18,000 per hectare, which represents a cost of about US$50 per person. The pro- gram also focuses on the crucial area of municipal capacity building and institutional strengthening. Investments of US$18.8 million are innovatively organized to benefit a population of 168,000 people. I DAR ES SALAAM CASE r Tanzania: Background information on urban issues Project information A How were areas and communities selected for the project? 1 A I Institutional arrangements Interview with What are the benefits of upgrading? Rumana Huque Senior Urbon Specialist What were the financial policies and priorities of the World Bonk project? Impact evaluation Institutional Arrangements and Implementation ppwm P Authorities ::I CIUP Technical Coordinators Support Teams s u p y consultants 4 Project Manager Procurement 3ncial Specialist Management Specialist - - - - - - b 4 0 APPROACHES TO URBAN SLUMS I Ecuador: Low-Income Neighborhood Upgrading 8 Urban Land Management Project (2007-201 2) The Ecuador case is a proposed multi-city intervention that is being planned for five to seven cities in Ecuador. This case is both adaptive and proactive in its scope, and tar- gets intermediate-size cities, where the bulk of urban growth is projected to take place. While focusing on the needs of current slum dwellers, the project also anticipates the urban growth that will take place over the next 25 years. The case is unique in its ap- proach to the proactive management of urban expansion, and provides potentially valu- able lessons and innovations for other cities. 1 ECUADOR CASE I Ecuador: Political, economic and urban background Project objectives and project cost h Forecasting urban expansion in Ecuador Project components Interview with What are sites and services projects? Alexandra Ortiz Institutional arrangements Senior Urban S~eciolist World Bonk The role of technical assistance Looking ahead: Project impact I OVERVIEW 41 Bus Stops m Disaster Public Stairs -..-... Mitigation Works 1 and Ramps Urban Land Management I Proactively plan in Increase access Improve the urban anticipation of to affordable land planningcapabilities of I I I urban expansion by the poor participating municipalities Vietnam: Urban Upgrading Project (2004-201 2) The Vietnam case is a four-city adaptive intervention and one of the largest World Bank projects in urban upgrading. It is expected that 865,000 residents will directly benefit from the project, while another 1,070,000 residents will benefit indirectly. The project also aims to pave the way for future planning by providing government capacity building, technical support for land and housing management, and the preparation of a National Urban Upgrading Program. Project implementation Poverty mapping Land management I . Interview with Microfinance for home improvement Richard Beardmore ~~i~~ to scale Senior Urban Speoolist World Bonk Resettlement Project complexity Vietnam Urban Upgrading Project, 2004-201 2 Financing Arrangements Donor Credit as grar L :ommunities final e d i n g cost (10% in Ho Chi Minh City) - - .. Vietnam Urban Upgrading Project, 2004-201 2 --,-'Q I- - U 6 restructuring Simplification of processesfor the land use certificates 1111 Completion of cadastral maps 44 APPROACHES TO URBAN SLUMS m Bahia: Poor Urban Areas Integrated Development Project (2006-201 1) The Bahia case is a statewide adaptive intervention in Bahia, Brazil, that builds on a lineage of very successful smaller projects that were gradually scaled up. The project in- cludes place-based geographic targeting of comprehensive actions: physical, social, and economic. A large proportion of project investments have been allocate to the delivery of critical social services as part of a holistic approach to upgrading. F Background: Build-up to the program 1 (1960s-1990s) 0,Background: Build-up to the program 2 (1990-present) Going to scale: The current program Meaningful community participation l n t e ~ i e wwith The state government, urban upgrading, and institutional Ivo lmparato roles Senior Urban Specialist World Bonk Why are 25% of resources allocated to social services? How is the upgrading program structured and coordinated? How do you measure the impact of this program? Bahia Poor Urban Areas Integrated Development Project, 2006-11 Financing Arrangements State secretaria for urban developmen Participation agreements Sub-project implementation plan. I I Procurement plan, Release Bidding documents o f funds IDirect transfer of funds through P &execution agreements 5tate's:urban development compan agreements 46 APPROACHES TO URBAN SLUMS Kabul: Urban Reconstruction Project (2004-2009) The Kabul case is a focused, single-city adaptive intervention in Afghanistan. The project is being carried out in a post-conflict environment, where much of the infrastructure has been destroyed or degraded, the human resource base has been severely depleted, and the social capital eroded. It is, therefore, an upgrading project that is being implemented in the most challenging of conditions. Informal unplanned settlements now shelter about 80 percent of Kabul's population and cover 70 percent of its land. Given the need for institutional strengthening, the Kabul project also focuses on enhancing the manage- rial capacity of the Ministry of Urban Development and the Kabul Municipality. KABUL CASE I Kabul: Background information on the urban situation Project scope, cost, and objectives Project components Project principles 1 Interview with Operations and maintenance Soraya Goga 4 Bottlenecks Senior Urban Development Specialist World Bonk Implementing actors The future plan Project impact OVERVIEW 47 - b b u l - Formaland InformalHousing sed on lkonos2004 --+a hfonnllHwsingbuiltm sbpn bfmvalHousing Apamnents andtmhouses FormalHousing - Yon msidawal / S 0 5 W / 16 ED- C I-. Mauritania: Urban Development Program (2002-2006,2007-2011) The Mauritania case is a multi-city intervention that includes both adaptive and proactive approaches. Urban poverty in Mauritania is particularly severe and widespread. For in- stance, in 2001 the average per capita daily income in the slum of El Mina was US$0.50. This project will have an impact on one of every three of Mauritania's 1.6 million urban dwellers, making it a large and highly comprehensive intervention. Given its scale and scope, the project plays a crucial role in the history of Mauritania's urban development. Poverty and urbanization: Background information on Mauritania Project components \ slum upgrading and land development I Interview with Institutional arrangements I Roberto Chavez lend Urban Soeciolist The value of longer engagements WorldBonk How do you foresee the project's impact An interesting variation to typical block plans Provision of securetenure Affordable serviced landlshelter Basic urban infrastructure Capacity building for: Infrastructure supporting: - J NGOS - - economic activity - community associations - environmental protection - microcredit organizations - employment generation %iclpal~ies * --&:---I Ia..-l -A-;-;e+v-+k- I Thematic Interviews This section of the CD-ROM presents video interviews with a range of stakeholders and experts to delve into topics and perspectives that are critical to the issue of slums. Interviews are grouped into four broad categories: Working with Slum Dwellers, Planning Ahead, Land and Tenure, and Creating Effective Slum Policies. Each of the 12 interviews takes about 20 minutes. They can be viewed on the enclosed CD-ROM. Working with Slum Dwellers This section discusses initiatives being driven by slum dwellers themselves. It also demon- strates the importance of including slum dwellers and slum communities in projects and programs. Sheela Patel (Founder and Director,Society for the Promotion of Area Resource Centers, India-SPARC) shares her experiences leading an NGO that partnered with a powerful people's movement. Jockin Arputham (President, Shack/Slum Dwellers International-SDI), a slum dweller himself for 40 years, talks about the initiatives and success of SDI, an interna- tional federation of slum communities, and NSDF (National Slum Dwellers Federation, India). Arif Hasan (Founderlchairman, Urban Resource Center, Karachi) shares his experience as ad- visor to the world-renowned community-based 'Orangi Pilot Project: and discusses planning issues centered on inclusive cities. Ashna Mathema (Consultant, World Bank) talks about the importance of understanding beneficiary perspectives and incorporating these into projects. EXPERIENCE OF SPARC, INDIA I What is SPARC? How does it work? How does SPARC partner with slum dweller federations? How do you see the role of the NGO? 4 What is the most crucial element in upgrading programs? Interview with How would you characterize the social capital o f slums? Sheela Patel Founder and Dtrector HOWdo YOU view your success? TheSociety for the Promotion of Areo Resource Centers What are some challenges you face? (SPARC), lndio How might the international community be more effective? I APPROACHES TO URBAN SLUMS 1 COMMUNITIES TAKING THE LEAD: NSDF Et SDI I - What is the NSDF and SDI? HOWdo you view your success? How do you assess a site? Interview with Talking point: Forced evictions Jockin Arputham President, Talking point: The process of going to scale Notional Slum Dwellers Federution [NSDFJ,India Talking point: Slum dwellers as change agents President, Shock/Slum Dwellers lnternotionol (SDI] I URBAN POVERM, PARTICIPATION,AND INCLUSIVE CITIES 1 Housing, employment and informality in Karachi Should (or can) high rise apartments replace informal settlements? The Orangi Pilot Project: Approach, methods, scale and Interview with results Arif Hasan Advisor Cultural and community dynamics in informal settlements Orangi Pilot Project Slum relocation and forced evictions Founder/Choirmon Urban ResourceCenter, Karachi What broader planning principles do you propose? Planning and global capital Looking ahead: Politicians, planners and people -- OVERVIEW ---- ~ The importance of beneficiary perspectives How do you structure the beneficiary interviews? Community consensus and project ownership: Swaziland Flexibility in assessments: Manila and Addis Ababa Interview with Ashna Singh The resourcefulness of slum dwellers: Esta Wanjiku Mathema Negligence and consequences: HIV/AIDS in Swaziland ~ o n s u ~ t a n t World Bank Reality check: Health clinic in Nairobi Problems in project planning: Fragmented approaches Problems in project planning: Neglecting assessments APPROACHES TO URBAN SLUMS Planning Ahead This section grapples with what needs to be done to plan ahead. William Cobbett (Man- ager, Cities Alliance) discusses city development strategies and their use in the process of effective and proactive urban management. Elliott Sclar [Co-Coordinator, UN Millennium Project, Task Force on Slums) shares key insights and findings from the task force and the implications for planning ahead. Roberto Chavez (Lead Urban Specialist, World Bank) shares valuable lessons on the importance of progressive and incremental upgrading. He discusses successful cases of planning ahead in Peru and Burkina Faso. ) THE CITIESALLIANCE: CIM DWELOPMENTSTRATEGIES I L What is the Cities Alliance? What are the key bottlenecks that cause slums? u How does the Cities Alliance address these bottlenecks? What is the City Development Strategy (CDS)? Interview with Examples of cities undertaking a CDS William Cobbett Manager The importance of a national strategy for cities Cities Alliance How many countries have a strategy for their cities? What is the role of the international community? OVERVIEW 55 IU.N. MILLENNIUM PROJECT TASK FORCE ON SLUMS The role of transport in proactive slum management The cost differential between adaptive and proactive options How should service delivery be organized? Interview with Three key aspects of urbanization Elliott D. Sclar Coordinator Where do we go from here?The centrality of 'urban' U.N. Millennium Project Task Force on Improving the Lives of Age-old challenges repeat: But in a new era slum Dwellers D~rector Pro-poor policies Center for Sustoinoble Urbon Development ond Graduate Program in Urban Planning, Columbio Universily IINCREMENTAL SLUM MANAGEMENT - Lessons from Lima, Peru Lessonsfrom Burkina Faso The essence of the progressive approach Land banking: A controversial issue Interview with Roberto Chavez Why have we turned away from the progressive approach? Lead Urbon Specialist World Bonk Where have institutions gone wrong and/or right? 56 APPROACHES TO URBAN SLUMS Land and Tenure This section examines issues pertaining to land and tenure. Clarissa Augustinus (Chief, Land and Tenure Unit-UN Habitat) discusses the importance of land and land manage- ment. Geoffrey Payne (Principal, Geoffrey Payne and Associates) then talks about the crucial issue of innovating with tenure. Both Clarissa and Geoffrey share experiences from a wide range of situations, which help shed light on what is generally seen as one of the most complicated issues of adaptive and proactive approaches to slums. IIMPORTANCE OF LAND MANAGEMENT I Barriers in moving from policies to action Political will and land redistribution Land administration systems and pro-poor land tools The land sector and cities Interview with Clarissa Augustinus Land acquisition for development: China Chief; Lond ond Tenure Unit UN Hobitot Land theft, inequality, and violence in Somalia Corruption and the land sector INNOVATING WITH TENURE Why is tenure important? What are the disadvantages of outright land titling? The characteristics of innovative tenure approaches Government attitudes to pragmatic solutions I Interview with Examples of tenure innovation 1: Short-term measures Geoffrey Payne Principal Examples of tenure innovation 2: Communal land rental Geoffrey Poyne and ksociotes Examples of tenure innovation 3: Community land trust Planning standards and regulatory frameworks Coordination of approaches to make tenure work 58 APPROACHES TO URBAN SLUMS Creating Effective Slum Policies This section outlines the ingredients of effective slum policies. Robert Buckley (Adviser, Urban Housing, World Bank) discusses the economics of slum policies and the flex- ible approaches required to tackle the inherent complexity of the issues. Paulo Teixeira (Federal Deputy in the Brazilian Parliament and former Secretary of Housing and Urban Development in S%oPaulo) shares his valuable experiences as secretary and discusses political will and the effectiveness of slum policies in 590 Paulo. Dean Cira (Senior Urban Specialist, World Bank) talks about comprehensive national-level approaches to slums and discusses institutional roles across various levels of government. ' ECONOMICS OF SLUM POLICIES I How must one approach the economics of slum policies? The need for flexibility in slum policies The dimensions to consider in flexible slum policies Interview with Signals from beneficiaries: Directing resources appropriately Robert Buckley Recognizing why slums are formed Advisor, Urban Housing World Bank Developer-led land appropriation through slums Dealing with ambiguous and convoluted circumstances Developing appropriate stakeholder relations I POLITICAL WILL AND EFFECTIVE SLUM POLICIES IN SAO PAUL0 How did you curb evictions of slum dwellers? How can communities on private land avoid evictions? Accomplishments in S%oPaulo Interview with Why is tenure important? Paulo Teixeira How does one change the 'culture' of the public sector? Federal Deputy Brozilion Porlioment What is the Brazilian 'Statute of the Cities'? Former Secretory of Housing ond Urban Development, 560 Paulo,Brozil What are the key lessons of the 590 Paulo experience? Could you share a few particular stories? I COORDlNATlNG COMPREHENSIVENATIONALAPPROACHES I Institutional roles across tiers of government: Upgrading Institutional roles across tiers of government: Proactive Challenges and innovations lnterview with Maintaining consistency in outcomes Dean Cira Senior Urbon Speciolisl WorldBonk s'QferjlmRtEq&ni r aamtheQIsX memMaIecf1'Mernet@t!& aiek~ drc* r r A h * ta% WlldcwM tk.?&writf se&n end .&& * M t m activeet~lawt~infibm tan * qdw * m x ssi~~.ofviewlqj flor 13~s h d go WaRd un&&'Ww &ve &* t& IM inPktsOAW Corn-P dkk DK" *aw@@=f-m In flumr#uCti the Mrld BankY hny atMr mpjmyIorgen5~Wi,w WMrlwlWms ~ k s r * d wllrtheF mtehiSibWmfiLm hM-AOMbWforarryW g q?n~l,udit.@g pMk1t~ist w l n & ,&@dental this la& o r c ~ ~ & ~ t~ m ! ~d d . a n ~ n y u u r d ~ & ~ ~ d h ~ & d ~ ~ i ~ ~ ~ ~ ~ . F laLil%yWurp~.mRpIW. H4-401 WASHINGTON DC ISBN 978-0-8213-73' ' ' THE WORLD BANK