Third Expert Meeting of the Regional Slum Upgrading Working Group (RSUWG) - Session IV : Slum Upgrading Indicators - 29th. of November to the 1st. of December 2015 in Laleh International Hotel, Tehran, I.R. of Iran - http://www.ruuwg.org
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Slum Upgrading Index (SUI) 2015 - Dr. Mozaffar Sarrafi
1. Presented by: Mozaffar Sarrafi, PhD.
Alireza Mohammadi & Nasibeh Hashemi
Iranian Urban Development &
Revitalization Corporation
In the Name of God
3rd Meeting of “RSUWG”
29 Nov – 1 Dec 2015, Tehran
Slum Upgrading Index ( SUI )
2. On Slum Upgrading Index:
1. Urban poverty: A global & Asian challenge
2. The necessity to upgrade slums
3. Our understanding of slum upgrading
4. Fields of intervention for slum upgrading
5. Review of experienced global and local indices
6. Contextualizing “CPI” for slum upgrading evaluation
7. Conclusion: “SUI” components & composition
IranBrazil
3. 1970
Rural
63%
Urban
37%
2000 2030
Rural
53%
Urban
47%
Rural
40%
Urban
60%
The Change of Urban Population in the World
Urban poverty: A global and Asian challenge
• Over 90 % of urban population growth is in developing countries
• About half of this growth will end up in living in slums
• Asian has the biggest number of urban population & urban poor
4. Urban poverty: A global and Asian challenge
• The rate of return on capital is greater than the rate of
economic growth and thus, surging inequality
• World economy is dominated by inherited wealth
Thomas Picketty:
6. The necessity to upgrade slums
• Reality of slums as solutions and not only as
problems
• Humane & ethical cause: Human rights and
responsibilities for poverty eradication
• Security & developmental cause: Great
human resources but “double edged sword”
A room shared
by 5 people 3
generations
Sao Paulo: Tale of two cities
7. The necessity to
upgrade slums
“If cities do not begin to deal more
constructively with poverty,
poverty may begin to deal more
destructively with cities.”
Former World Bank president: R. McNamara
Arab spring: Picture of Mohammad
Bouazizi in Protesters’ hands
South America
Egypt
8. Our understanding of slum upgrading
Dualities in upgrading
actions:
• Building vs. Neighborhood
• Physical vs. Socio-
economical
• Objective vs. Subjective
• Product vs. Process
• Standards vs. Affordable
• Exogenous vs.
Endogenous
• Needs vs. Assets
• Resettlement vs. In-situ
• Redevelopment vs.
Regeneration
Bandar Abbas, South of Iran
9. Our understanding of slum upgrading
Conventional Approach New Approach
Building houses Creating neighborhoods
Hardware & physical engineering Software & social organizing
Isolated complexes Integrated quarters
Standard & show-off Affordable & scaling-up
Supply-based provision Asset-based facilitation
Exogenous actions Endogenous actions
Economic growth Sustainable development
Endowing Products Enabling Processes
10. Our understanding of slum upgrading
Community enabling approach
through slum upgrading should
facilitates:
• Building human capital
• Strengthening social capital
• Institutional capacity building
• Pride of place and human
dignity
• Sense of safety & belonging
• City-wide integration
… and finally, sustainable
community development.
Addressing all the causes,
with integrative solutions
11. Our understanding of slum upgrading
Slum upgrading is first of all, about “people
prosperity” and not only, “place prosperity”.
It must lead to integration of slum areas with
the rest of city (de-marginalization of poor)
Physical upgrading should be coincided with
socio-economic uplifting of slum community.
China India
12. Our understanding of slum upgrading
Community building/strengthening is the
pivotal strategy for sustainable upgrading.
Participatory planning is instrumental to the
process of community empowerment.
Urban regeneration should be pursued
concomitant to slum upgrading
Isfehan, Iran Shahre Ghods, Iran
13. Fields of intervention for slum upgrading
Country City Slum Area Programs, Projects
India Mumbai Dharavi
slum improvement program, 1971, slum upgrading program (SUP), 1985, The Prime Ministers
Grant Project (PMGP), Slum Redevelopment Scheme, 1991, Slum Rehabilitation, 1995,
Deharavi rehabilitation project (DRP), 2004
Kenya Nairobi Kibera Slum Upgrading Project (KENSUP), 2005, Informal Settlement Improvement Program, 2011
Brazil São Paulo
Guarapirang
a
Brazil Slum Upgrading Program “BSUP”, 2005, Primary and secondary infrastructure project
for the collection and treatment of wastewater, Regulatory and legal framework development
project, Guarapiranga Upgrading Project, 1993- 2000
Brazil Salvador Alagados
Alagados Integrated Slum Upgrading Program, Urban Infrastructure Development Program,
PRODUR,1990, Ribier Azul Urban Poverty Reduction Program, 1999, Technical and Social
Support Project " PATZ", 2001-2006.
Bangladesh Dhaka All slums
Slum Improvement Project, 1985, Back to Home, 1991, Bhashantek Rehabilitation Project,
2006, Urban Basic Services Delivery Project, 1992, Integrated Secondary Towns Flood
Protection , 1992, Secondary Towns Infrastructure Development Project, 1992, Community
Empowerment for Urban Poverty Alleviation, 1992
Morocco
Casablanc
a
Villes Sans
Bidonvilles
“Initiative nationale de developpement humain” Program, 2005, Villes Sans Bidonvilles
Project, 2004, Moukawalati Program
Indonesia
Surabaya
&
Bandung
Tamansari
National Development Plan: NDP, Tamansari Project, Boezem Morokrembangan, Kampung
Improvement Program ( KIP), The Area Based Slum Upgrading Project, Community Life
Improvement Program
Thailand Bangkok All slums Baan Mankong Project, Baan Ua Arthorn Project
Egypt
Alexandri
a
Abdel-
Moneim
Riad
Informal Settlements Development Program (ISDP), 2004, Informal settlement belting
program , Ezzbet Abd El Meniem Upgrading Program
Ghana Kumasi All slums
Urban Environment Sanitation Program (UESP) I, II. European Union Micro Projects (EUMP)
Community Infrastructure Upgrading, Government Accountability Improvement Trust (GAIT),
Urban Poverty Reduction Project (UPRP), Un- Habitat Slum Upgrading Facility (SUF), The
Program, Development Strategy
14. Fields of intervention for slum upgrading
Fields of intervention:
• Social
• Economic
• Physical
• Environmental
• Institutional
Scales of intervention:
• National
• City
• Community
• Household
Outcomes:
• Lands
• Buildings
• Infrastructures
• Services
• Governance
Impacts:
• Poverty
• Equity
• Hazards
• Environ’mt
• Health
• Education
• Income
• Hope
• Happiness
19. National
and
Regional
Index
City
and
local
Index Concept
Meeting the needs of current generations without compromising
the ability of future generations to meet there own needs
Reviewofexperiencedglobalandlocalindices
Preventionofdepletionanddegradationofenvironmentalresources
whileenhancingqualityoflife andreducingpoverty
23. National
and
Regional
Index
City
and
local
Index Concept
Evaluation of economic progress, sustainability of goals and
strategies according to 1992 Rio agenda
Reviewofexperiencedglobalandlocalindices
Prevention of resource depletion, preservation of ecological
balance, enhancing quality of life and poverty reduction
31. National
and
Regional
Index
City
and
local
Index Concept
Redefinition of prosperity emphasizing fulfilling material needs,
life expectancy, infant mortality and education , coping with
economic crisis
Reviewofexperiencedglobalandlocalindices
Sustainability of well being and attaining sustainable economy
34. National
and
Regional
Index
City
and
local
Index
Social well being Personal well being
Sense of goodness, life satisfaction,
happiness, self confidence, flexibility
Supportive relationships, social
trust, sense of belonging
Reviewofexperiencedglobalandlocalindices
35. National
and
Regional
Index
City
and
local
Index Concept
Revision of 1992 Rio sustainable development index in
fulfilling basic needs while considering future needs
Reviewofexperiencedglobalandlocalindices
Enabling people to meet their needs while enjoying quality of
life within ecological limits
39. National
and
Regional
Index
City
and
local
Index Concept
Capacity and ability to achieve higher state in different
economic development dimensions
Reviewofexperiencedglobalandlocalindices
Economicdevelopmentviahumancapital,higherproductivity,highervalueadded,quality
ofproducts,innovationandreachinghighqualityoflifewithhighcapabilityincompetition
41. National
and
Regional
Index
City
and
local
Index
Concept
Same as human development concept at city level, emphasizing
equal opportunity, well being, city services and facilities
Reviewofexperiencedglobalandlocalindices
Poverty reduction, equity, balanced and people-oriented
development,
49. National
and
Regional
Index
City
and
local
Index
Concept
Responding to impacts and challenges of hasty growth of
cities, attaining balanced and harmonious development,
increasing citizens’ satisfaction
Reviewofexperiencedglobalandlocalindices
Well being and better quality of life for every one,
achievement of good, sustainable, and prosperous city
50. Reviewofexperiencedglobalandlocalindices
National
and
Regional
Index
City
and
local
Index
Productivity
Infrastructure
Environmental
sustainability
Quality of
life
Equity &
social
inclusion
Contributes to economic growth and development,
generates income, provides decent jobs and equal
opportunities for all through effective economic
policies and reforms.
Ensures equitable (re)distribution of the
benefits of prosperity, reduces poverty
and the incidence of slums, protects the
rights of minority and vulnerable
groups, enhances gender equality, and
ensures civic participation in the social,
political and cultural spheres.
Provides adequate infrastructure – water,
sanitation, roads, information and
communication technology – in order to
improve living standards and enhance
productivity, mobility and connectivity.
Enhances the use of public spaces for the
sake of community cohesion and civic
identity, and guarantees individual and
material safety and security.
Values the protection of the urban environment and
natural assets while ensuring growth, pursues energy
efficiency, reduces pressure on surrounding land and
natural resources, reduces environmental losses
through creative, environment-enhancing solutions.
51. Review of experienced global & local indices
The Wheel of
Urban Prosperity
UN-Habitat 2012
City Prosperity Index:
1. Productivity
2. Infrastructure
3. Quality of Life
4. Equity & Social
Inclusion
5. Environmental
Sustainability
52. Review of experienced global & local indices
The UN-Habitat City Prosperity Index, 2012-2013
Dimensions Definitions/variables
Productivity The productivity index is measured through the city product, which is
composed of the variables: capital investment, formal/informal
employment,inflation, trade, savings, export/importand household
income/ consumption.The city product representsthe total output of goods
and services (value added) produced by a city’s population during a specific
year.
Quality of life The quality of life index is a combination of four sub-indices: education,
health, safety/security, social capital and public space. The sub-index
education includes literacy, primary, secondary and tertiary enrolment.The
sub-index health includes life expectancy, under-five mortality rates,
HIV/AIDS, morbidity and nutrition variables.
Infrastructure
development
The infrastructuredevelopmentindex combines two sub-indices: one for
infrastructure,and another for housing. The infrastructure sub-index
includes: connection to services (piped water, sewerage, electricity and ICT),
waste management, knowledge infrastructure,health infrastructure,
transport and road infrastructure.The housing sub-index includes building
materials and living space.
Environmental
sustainability
The environmentalsustainabilityindex is made of four sub-indices: air
quality (PM10), CO2 emissions, energy and indoor pollution.
Equity & social
inclusion
The equity and social inclusion index combines statistical measures of
inequality of income/consumption (Gini coefficient)and social and gender
inequality of access to services and infrastructure.
53. Contextualizing “CPI” for slum
upgrading evaluation
Proposition: Prosperity in slum areas is a collective
achievement. Community spirit will lead to sense of
belonging, hope and striving parallel to outsiders’ efforts.
Community is essential for achieving sustainable
development (social integration and environmental stewardship).
Old Neighborhood
Fist in Ramedan, Tehran
FGDs in Slum Areas of Iran
54. Contextualizing “CPI” for slum
upgrading evaluation: “ SUI ”
Quality
of Life
Equity &
Social
Inclusion
Infrastructure
Productivity
Environmental
Sustainability
Community
Development
Slum
Upgrading
Index
55. “SUI” is more about outcomes and less about
outputs.
“SUI” is not addressing causes and process.
“SUI” is concentrated on outcome of slum
upgrading efforts with emphasis on societal
results as well as social solidarity with the city.
“SUI” can be calculated as two main
components separately: First, 5 measures like
CPI and second, community development
index to be combined later.
Contextualizing “CPI” for slum
upgrading evaluation: “ SUI ”
56. Conclusion: “ SUI ” components & composition
Slum Upgrading Index 2015
Productivity The productivity index is measured through the slum area product, which is composed of the
variables: capital investment, formal/informal employment, inflation, trade, savings, export/import
and household income/ consumption. The slum area product represents the total output of goods
and services (value added) produced by a slum’s population during a specific year.
Quality of life The quality of life index is a combination of four sub-indices: education, health, safety/security, social
capital and public space. The sub-index education includes literacy, primary, secondary and tertiary
enrolment. The sub-index health includes life expectancy, under-five mortality rates, HIV/AIDS,
morbidity and nutrition variables.
Infrastructure
development
The infrastructure development index combines two sub-indices: one for infrastructure, and another
for housing. The infrastructure sub-index includes: connection to services (piped water, sewerage,
electricity and ICT), waste management, knowledge infrastructure, health infrastructure, transport
and road infrastructure. The housing sub-index includes building materials and living space.
Environmental
sustainability
The environmental sustainability index is made of four sub-indices: air quality (PM10), CO2
emissions, energy and indoor pollution.
Equity & social
inclusion
The equity and social inclusion index combines statistical measures of inequality of
income/consumption (Gini coefficient) and social and gender inequality of access to services and
infrastructure.
Community
Development
The community development index combines 5 sub-indices for: spiritual
health (suicide, crime, mental disorder, faith based membership), social
integration (sport & cultural events, representation, court cases), public
participation (voting, CBO, NGO, CSO), and urban facilities (town hall, sport
& recreation, police & fire station).
57. Conclusion: “SUI” components & composition
Some topics to be discussed:
Are the proposed indices
representative of
community development?
Should we just follow the
slum households criteria
(i.e., water, sanitation,
durable housing,
sufficient living area,
security of tenure)?
How to incorporate the
evaluation of progress
and continuity of efforts?
Can we consider
proactive measures?
What methods of data
gathering is best for
these indicators?
Do the indicators have
equal weight in “SUI”?