This document summarizes a conference paper about principles for developing informal settlements sustainably. The paper identifies six key principles: 1) providing security of land tenure to encourage investment; 2) allowing informal economies to provide jobs and services; 3) deregulating building to allow residents to build as needed; 4) fostering social cohesion through communities; 5) using appropriate community and governmental governance; and 6) providing external support for needs communities cannot meet. It argues these principles help settlements like Sultanbeyli, Turkey develop into integrated, prosperous communities with good living conditions.

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The underlying soil may provide difficulties as the area in focus is by nature made situated on fluvial soils, which may
ay
not provide a reliable foundation for the design.
Defence against floating solid objects such as vehicles and trees in river flow must be considered. Mit
Mitigation of these
hazards may be overcome through the planting of large trees to surround buildings.
Strength of bamboo is greatly affected by contact with water. Appropriate protection methods should be considered,
in accordance with cost effectiveness an availability.
and
Bibliography
Associated Press. 2007. In Pictures: Floods devastating parts of Asia. CBBC Newsround. [Online] BBC, 5 August 2007.
[Cited: 15 December 2010.] http://news.bbc.co.uk/cbbcnews/hi/newsid_6920000/newsid_6923500/6
http://news.bbc.co.uk/cbbcnews/hi/newsid_6920000/newsid_6923500/6923552.stm.
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[Cited: 15 December 2010.] http://www.telegraph.co.uk
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Bangladesh-tackle-climate-
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Understanding the informal settlement
Martin Thomson
University of Strathclyde
Preface
This paper is an edited extract from my 4th year architectural dissertation written on informal settlement
development and it accompanies the A3 poster produced for this conference. The dissertation was a theoretical
exploration of the challenges informal settlements face. It argued six principles as essential for sustainable
development of 'failing' informal settlements.
Keywords: Informal settlement development, holistic approach, sustainability, urban
The informal settlement is an incredibly complex phenomenon. They are responsive to cultural, social and economic
variations with differing political, religious and historical backgrounds. This paper takes a step back from these
ical,
complexities in an attempt to understand fundamental principles which can lead to successful development of a
cessful
spontaneous settlement. Six elements have been identified:
i) perceived land tenure;
ii) informal economics;
iii) building deregulation;
iv) social cohesion;
v) appropriate governance and;
vi) external support.
Each is detailed in the following pages. A strong argument is established, with examples and references reinforcing
es. examples
each.
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The Six Principles
i) Perceived land tenure
Importance
“The removal of tenure-insecurity related obsta
insecurity obstacles that prevent or constrain households from using their housing
effectively as a productive asset is possibly the single most critical poverty reduction intervention”
oductive intervention
(Moser, 1996, 5.)
Protection from eviction is seen as one of the key el
elements to alleviate those from poverty (UN Habitat, 2003, 168).
168)
Definition
Perceived security of tenure, as referred to here, is protection from eviction at a level where its affect encourages the
ived
squatter invest money, time and effort in their dwelling.
Argument
When protection from eviction is realised, squatter houses will naturally be built to a better condition, with more
naturally
permanent materials, over a longer period of time. A sense of permanence must be felt by the squatter to incite
building upon their situation, otherwise sub standard conditions will remain. The influence of secure tenure goes
sub-standard secu
beyond physical improvements; permanent neighbourhoods naturally encourage stronger social connections between
neighbours and communities begin to flourish (UN Habitat, 2003, 150). With strong community ties, social security
emerges empowering the squatters further. Also a community allows collective decisions to be made on improvements
ng
to the settlement as a whole, like pavements or sanitation.
ii) Informal Economics
Importance
“...the economic activity and employment in the urban informal sector are extremely important in developing countries
where population and demand for jobs, goods and services are typically growing more quickly than national averages
and...for formal job creation to cope with.”
(de Soto, 2000, 102)
Definition
The informal economy provides variously paid labour w
formal where individuals contribute to local communities by offering
affordable goods and employment within a social framework of trust and reciprocity, devised and implemented out of
necessity by the people (Yeung and Old, 2000) UN habitat defines the informal sector as “the generally small-scale
d 2000).
industries and commercial activities that are not registered enterprises but provide large amounts of products and
services that people use each day.” (2003, 100).
Argument
The informal economy, when exercised freely, is a powerful tool for the poor of the world’s developing cities. It
he
provides much needed work that fends off destitution, offers new economic opportunity, introduces social stability and
a better quality of life (Mingione, 1996 cited in Daniels, 2004, 3). Through its tax free and localised operations,
the informal sector can offer affordable goods to the urban poor in addition to providing them with employment,
compensating for the often saturated and inaccessible formal sector (UN Habitat, 2003, 102).
ompensating
Formal labour costs are kept lower by the cheaper goods and services available to their staff from this unregistered
market. The formal market can also exploit directly the lower cost of raw materials and input the extralegal sector
inputs
offers (UN Habitat,2003,102).
However, perhaps the most essential argument for the presence of the extralegal sector is the impenetrable nature of
the legal sector for those who are poor. This was evident during the Asian monetary crisis in 1998 where the informal
in
sector ballooned as the formal sector took a huge hit.
It should be remembered that:
“It is with such humble beginnings that many of today’s great corporations and industries have their origins.”
(UN Habitat, 2003, 53).
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iii) Building Deregulation
Importance
When a poor person has control of when and to what extent to build their home, they effectively have more control
over their poverty - they build when they can afford and when best suits their situation; they bui what they need and
build
to what degree.
Definition
Building deregulation, as referred to here, is when a squatter has the freedom to build and modify their dwelling,
free from restrictive and prescripted building regulations.
Argument
The squatter comes to the city and often enters tenuous employment. Their situation is rarely static as they adjust to
s
their new urban life and what disposable income theyhave is largely dependent on dwelling arrangements. Having the
freedom to build grants the new urban dweller social mobility, as they can erect a structure appropriate to their
n
aspirations and circumstance.
Self-built houses free from regulation also tackle poverty in another way. If migrants can exercise a level of freedom
built
upon arrival to the city, they equip themselves with self-belief otherwise crushed if authorities intervene heavily.
hey belief
Armed with determination to challenge their surrounding poverty, they inin-turn challenge the social boundaries which
would otherwise cut them off from the rest of the city. Allowed to exercise personal and local resources of imagination,
initiative, commitment, responsibility, skill and muscle power the urban poor realise the potential they hold (Turner,
1976, 50).
iv) Social Cohesion
Importance
“Social cohesion is critical for societies to prosper economically and for development to be sustainable.”
(UN Habitat,2003,71)
A community provides a crucial social support network which low income classes often need to fall back on and rely on
to go forward. Social cohesion can lead to community driven development, which is essential for solving the problems
on
unique to any one settlement.
Definition
Social cohesion, as discussed in this paper, refers to the creation of a community, that is, a group of people who reside
in the same geographical area and share a certain quality of relationship, providing a network of social support
(Pacione, 2001, 355).
Argument
The low income classes of the developing world have no formal channels of support and social security must be sought
so
elsewhere. The most crucial source is from their immediate community. A network of friends and family can mean the
difference between a roof to sleep under or homelessness.
“No-one will ever go hungry because there will always be an open door and a gesture of solidarity”
one
Gabriela Torres Barbosa, squatter resident, Rio de Janeiro (New Internationalist, 2006, 4).
Social cohesion is an essential prerequisite for a community. However, the influence of a community goes beyond
sustenance and support to the individual. Collective agreement and funding within a community can be used to
implement services and facilities when the local authorities are unable to. When external bodies can implement
services, a community voice may be essential if the area is t receive the most appropriate service for its particular
to
needs.
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The community however must not become the only reliable source of support for inhabitants. Developing cities are
ethnically diverse, and successful actors participate as many different identities – one for his neighbourhood, one for
ccessful o
cross-city business, one for acquiring resources – engaging freely, gathering resources quickly and efficiently by
maximising the opportunities of the city (UN Habitat: 2003:47)
2003:47).
v) Appropriate Governance
Importance
Community driven development - development in which the community are in control of the main decisions - is the most
appropriate mechanism for informal settlement development (Abbott, 2002a, 6).
Definition
Appropriate governance, as discussed her refers to relevant stakeholders in decision making having proportionate
here,
influence at different stages of settlement development. The community must control decisions, to an appropriate degree,
when decisions affect the local community. Equally, authorit
authorities must control decisions, to an appropriate degree, when
ol
decisions begin to affect the wider city.
Argument
The centralised system, when governing the poor, fails because its scale and limitation of management deny the variety
and flexibility required for the unique and delicate communities found within informal settlements (Turner, 1976, 7).
When people govern themselves, a custom fit system of correct scale is applied. Human priorities cannot be adequately
accounted for by housing policy, but the sens
sensitivity of self- governance can, therefore providing more appropriate
responses to squatter settlement development (UN Habitat, 2003, xxvii).
Settlement integration and full community responsibility are incompatible (Abbott, 2002a, 11). For a settlement to
evolve from a small isolated colony into an integrated district, self governance must relinquish power to local authorities
self-governance
accordingly. If local authorities are to act responsibly and react dynamically to informal settlements they must understand
dynamically
when this is to occur and to what degree.
his
vi) External support
Importance
“...there are limits to what low-income groups can achieve for themselves, either individually or collectively, without some
income
form of technical support and other resources from external agents.”
(Lee, 1998, 2)
Definition
External support, as referred to here, is support provided from out with the squatter settlement necessary to
compensate what the settlement cannot facilitate.
Argument
The development of a settlement is limited to the capacity of those driving it; external support is needed to compensate
the
areas the community cannot fulfil. The intermediary body which provides external support is typically an NGO, facilitating,
stimulating or supporting individual or community based org
organisations (Lee, 1998, 2). Community organisation will not
always spontaneously arise, particularly in heterogeneous settlements where social cohesion is weak. Successful
community based development is often facilitated externally, where access to land, infrastructure and services
infrastructure
necessary for environmental improvement are made available. If internal limitations are overcome, a settlement can
develop to a far greater degree.
Similarly, like the previous arguments, there is also a d
degree of balance required. For development to be sustainable, a
community cannot become dependent on outside agencies (Lee, 1998, 16).
Case Studies
Sultanbeyli, Istanbul (Neuwirth, 2005, 143
143-173)
Sultanbeyli is a suburb in the east of Istanbul. It grew rapidly in the mid 1980s and between 1986 and 1989 an estimated
20,000 houses were erected. Today its fifteen neighbourhoods host 300,000 residents of which 48,000 are university
students. Banks, post offices, department stores and travel agents line its high streets. It is descr
described as a desirable place
however it is a squatter community: the vast majority of its 30,000 structures are not legally registered.
With good living conditions, substantial development and integration with the formal city, it is a ‘successful’ informal
settlement. Architecturally it is indistinguishable fromlegal neighbourhoods and even receives better services than some
ettlement.
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formal areas. How it has reached striking equality with the formal city can be understood under the six preconditioning
elements for squatter settlement development.
uatter
Perceived security of tenure: Present. In Turkey every citizen has the right to vote. This makes squatter clearances
politically intangible, preventing the authorities from reining in. With 42.6 percent of Turkey’s urban population living in
pop
squatter settlements, their staying power will undoubtedly remain (Davis, 2006, 24).
Informal economics: Present. Informal businesses operate freely in Sultanbeyli. Sultanbeyli is a squatter settlement
because the vast majority of its buildings hold no official titles, including its businesses. They provide cheaper goods and
ldings
services to the residents allowing them to prosper on lower wages.
Building deregulation: Present. The residents of Sultanbeyli have built and continue to build their own neighbourhoods.
Self-built dwellings range from single-story poured concrete boxes to spacious apartment houses with large balconies and
story
complete modern services. Freedom to build their own dwellings on vacant land with little opposition from the
government has created a thriving settlement.
rnment
Social cohesion: Present. Zamanhan Ablak, as described by Neuwirth, and his neighbours pooled money, each house
contributing to the payment of sewers, schools and a local mosque. This shows clear signs of communit and social
community
cohesion as well as self-governance.
Appropriate governance: Present. Exercising self governance, the community was able to make the most appropriate
self-governance,
decisions to the upgrading of their settlement. Turkish law allows communities over 2,000 residents to form quasi-
residents quasi
independent municipalities, granting continued decision making to the community and, crucially, introducing the city
to
government’s influence.
External Support: Present. Zamanhan and his neighbours could not facilitate piped water into their homes. Instead this
was provided externally by the municipal government. For the first two years, squatters fetched water by hand but
afterwards the government supplied barrelled water and eventually installed piped water.
The squatter settlement of Sultanbeyli is a well serviced suburb and displays numerous signs of integration. Poverty
appears to be minimal and its people enjoy opportunities usually only attainable by formal city inhabitants. All six
elements are present and have created substantial settlement development, good living conditions and integration with
substantial
the wider city.
Kampung Penas Tanggul, Jakarta (Winayanti 2004, 8
8-24)
Located in the east of Jakarta, the squatter settlement of Kampung Penas Tanggul is home to 388 people (August 2000
2000).
Established in 1970 by rural migrants from various locations in Java, the settlement has slowly developed from a
collection of bamboo and wood shacks into a community of brick houses with concrete interlinking pathways. Access to
water and toilets may be shared facilities but show substantial upgrading.
e
Perceived security of tenure: Present. From 1997 onwards, there have been no evictions and confidence to stay has
emerged. Confidence to build, however, did not arise until 2000 when the squatters were issued a Rukun etangga
(recognition as an official neighbourhood) from the authorities. This granted them a formal address, but not ownership of
land. The formalized address however saw residents gradually invest in their situation, building with more permanent
materials and with greater foresight. It should also be mentioned that the security of tenure also brought an
increased level of external support from an NGO.
Informal Economics: Present. The 21 residents interviewed relied purely on informal employ
employment for income. These
ranged from street vendors to construction workers, scavengers to taxi drivers. Without access to this informal
employment it is highly unlikely the rural migrants would be skilled or educated enough to find formal work (the majorit
majority
had just elementary school education).
Building deregulation: Present. The squatters of Penas Tanggul have freedom to build and improve their dwellings. 20
of the 83 structures were upgraded after secure tenure was first perceived. A number of the bamb
bamboo and wood structures
had an upper floor added or the lower structure was replaced with brick.
Social cohesion: Present. Despite the diverse origins of Penas Tanggul’s residents, coming from numerous regions of
Java and Sulawesi (both islands of Indonesia signs of social cohesion were present from the beginning. The settlement
Indonesia),
land was first divided up under the coordination of a respected group leader. This led to the layout of common
facilities and mutual cooperation to improve and maintain their env
environment.
Appropriate governance: Absent. Community driven development oversaw the addition of communal toilets, footpath
paving and a waste disposal program. Governance of Penas Tanggul is a completely internal affair. There is no dialogue
between Penas Tanggul (or indeed any Jakarta informal settlement) and the government, despite their recognition as a
anggul
neighbourhood of Jakarta. In the long term this will leave the settlement isolated from the city of Jakarta.
External support: Present. A high level of external support is present in the development of Penas Tanggul, and has
external
been since 1986. Over this long period of time, the two NGOs have facilitated free medication, free school lessons for
children and subsidized education and hospital treatment. Crucially, they educated squatters on their human rights and
Crucially,
mobilized a protest to save the settlement from eviction. The NGOs also taught the people on environmental issues to
improve the water quality of the river and the environment of their settlement.
The residents of Penas Tanggul have experienced great improvements in the quality of their lives both environmentally
esidents
and health-wise. The settlement itself has developed from temporary bamboo and wooden shacks to permanent brick
wise. p
dwellings. These improvements are reflected in the fact five of the six elements are present. The level of development,
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however, is limited because the settlement has no dialogue with local authorities, leaving it isolated and still significantl
significantly
vulnerable.
Kibera, Nairobi (Kramer, 2006, 83 -95 & Neuwirth, 2005, 67
95 67-100)
Kibera is home to an estimated 600,000 squatters and sits side by side with the formal city but with stark inequalities in
living conditions. Squeezed into just 1.2km squared, the only spaces within the settlement not occupied by mud huts are
large piles of rubbish and sewage. Waterways are effectively open sewers, safe running water is absent and electricity is
a privilege. Dirt lanes are only a few feet wide and life is very tough.
Kibera is materially poor, under-developed and separated from the rest of the city. Opportunities are low and crime is
developed
high. The six prerequisite elements for informal settlement developed will be used to help understand why Kibera exists in
such dire conditions.
Perceived security of tenure: Absent. The squatters of Kibera are tenants on unregistered land. Rich land lords acquire
the land illegitimately from authorities and politicians who in turn refuse to recognise Kibera as a permanent settlement.
The mud huts are rented out on an understood temporary basis and thus tenure security is absent.
rstood
Informal Economics: Present. Hawkers sell foodstuffs like maize and kale and many women sell spooled cloth and used
clothes. There are unregistered barbers, even a blacksmith and households with televisions open their doors to assume
televisions
business as small cinemas. The informal economy is therefore practised widely and freely in Kibera.
Building deregulation: Absent. Local landlords acquire the title less mud huts of Kibera from local politicians who in
title-less
turn deny any modification to them by their tenants. A government official explains that if a hut is modified by a resident,
the hut will be demolished. He attempts to justify this by saying the huts are only temporary, even though they have
been present for decades. Such tight control over squatter housing denies many opportunities and good living conditions
to the poor squatters.
Social cohesion: Absent. The settlement is strongly divided into ten distinct neighbourhoods defined along ethnic lines.
In December 2001 riots broke out which destroyed homes and saw twelve killed. The high crime rates reflect the lack of
cember
cross-community relationships within the settlement.
community
Appropriate governance: Absent. Self-governance is built on community togetherness and control over decision
-governance c
making, both which are absent in Kibera. The top down unilateral decision making by the government on issues in Kibera
top-down
has done nothing to improve conditions.
External Support: Absent. The Nairobi authorities sadly refuse to provide a any services or include Kibera in any city
plans due to the settlement’s illegal status. There is no city wide policy on tackling the squatter problem in Nairobi,
city-wide
discouraging any long term action to be taken. NGO based support is present, but with the she size of Kibera and the
sheer
multitude of problems it hosts, the support is insignificant to the whole.
Poverty in Kibera is severe and visible everywhere. By analysing the settlement using the six elements, it is clear as to
why it fails to develop. One element may be present, the informal economy, but on its own it cannot facilitate
ent
development.
Conclusions
This paper does not seek to answer the complex problems squatter settlements pose but attempts to offer a framework
where the main barriers to development are brought down. Initially the six point framework pulls the settlement free from
nt
the most restrictive constraints. Perceived security of tenure brings permanence; informal economics brings greater
economic equality; deregulated building processes enables dwellings to be appropriate to dweller salary and situation;
enables
social cohesion brings improved social security; appropriate governance allows the most correct decisions involving the
settlement and the city to be made; and external support provides essential help to otherwise unattainable goals.
essential
It was then stressed that, the guidelines must evolve and change with the development of the settlement to overlook
integration between the settlement and city. The informal sector must begin to feed into and off of the formal sector for
economic and city integration to occur. The deregulated building principles must gradually succumb to building standards,
principles
just as the once informal cities of the most developed countries have. Social cohesion, ideally, will be at such a level as
not to segregate and fragment neighbourhoods from the city but to provide the security which comes with it.
Appropriate government is a fluid understanding: governance of human habitation should never be static and local and
central governing bodies must always remain in dialogue, powers adjusting for the most appropriate decisions to be
ning d
made. External support must understand that for development to be sustainable, its role must be temporary and
supportive, not permanent and controlling.
The three case studies explored these guidelines. Sultanbeyli, the settlement described as largely developed, displayed
all six elements. Kampung Penas Tanggul, a settlement which has developed impressively under improved conditions but
with limited integration with the wider city, displayed five of the six elements. Appropriate governance was absent, central
ration
government having no input and integration difficult to foresee. The failing settlement Kibera confirmed the importance of
the elements, as all but one were absent.
ne
Defining and arguing each element showed that none is constrained to itself. Each has influence on another, if not every,
element. This reflects the need for a multi disciplinary approach to development to address the complex nature of human
multi-disciplinary hum
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settlement. It is a warning against narrow focused approaches, whether heavily top down intervention or purely grass-
top-down grass
roots. The current climate of neo-liberal self help, having conquered over many interventional approaches, is in fear of
liberal self-help,
pulling the balance too far towards the community and fragmenting cities.
The sheer scale and global occurrence of squatter settlements demands that there be real understanding of why and how
these areas develop or stagnate. Without this understanding the developing countries will stay developing.
countries
Acknowledgements
I am very grateful for the assistance throughout the original dissertation from Dr Ombretta Romice of Strathclyde
University Architecture Department. The essay was able to build on a strong structure and clear direction and I thank
clearer
Ombretta for this.
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Design of a wooden framed bicycle
Joshua Lewis
Cardiff University
Project Brief
Here in the UK, there are many options available to us when it comes to transport, but in many of the sub sub-Saharan
countries of Africa, personal mobility is a problematic issue that is faced daily. The public transport services available in
daily.
these regions are often overcrowded, dangerous and unaffordable. The bicycle is the cheapest form of personal
transportation available, and while bicycles are available in these regions, they are still prohibitively expensive and most
prohibitively
locals cannot afford them. Therefore, these nations are heavily reliant on bicycles donated from the developed world.
However, when these bicycles brake down there is a dearth of adequate spare parts available, as manufacturers often no
longer support the older models.
What is required is a bicycle that can be made cheaply out of local materials, does not require special tools or skills, and
that can make use of a wide range of spare parts. Due to these requirements it is not possible for the bicycle frame to be
possible
made from traditional materials such as steel or aluminium, and so wood must be considered instead. Such a bicycle
must be an improvement on the bikes currently available in the area, and the needs of the locals must be a accounted for
during its design. If such a bicycle could be designed and tested, plans produced, and assembly instructions developed;
then there is the potential to greatly improve the lives of millions of people, whilst also benefiting the economies of the
regions affected. Such improvements would free people from poverty and bring greater opportunities to the people of
Africa.
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