slum upgrading index (sui) 2015 - dr. mozaffar sarrafi

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 )

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

Iran Brazil

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


• 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:

1

2

3

4

5

6

7

8

Urban Population

Rural Population

Slum Population

Bill

ion

Year: 1850 1950 2000 1900 2050 2030

UN-HABITAT: Global Urban Observatory

World’s Population


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

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

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


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


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


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


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

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

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

National and

Regional Index

City and local Index Concept

Economic Growth through production and productivity

Review

of experienced global and local indices

Increase in GDP and income per capita

National and

Regional Index

City and local Index

Review


National and

Regional Index


Enlarging choices through human capacities and capabilities

Poverty reduction and people-based development

Review


National and

Regional Index


life expectancy educational attainment

income per capita

Review


National and

Regional Index


Meeting the needs of current generations without compromising the ability of future generations to meet there own needs

Review


Prevention of depletion and degradation of environmental resources while enhancing quality of life and reducing poverty

National and

Regional Index


A series of social, economic, and environmental indicators

Review


National and

Regional Index


Cost effectiveness & environmental economics, people’s well being

Concomitant growth of quality and quantity of national economies within ecological limits

Review


National and

Regional Index


Conventional economic well being

Sustainable economic well being

Review


National and

Regional Index


Evaluation of economic progress, sustainability of goals and strategies according to 1992 Rio agenda

Review


Prevention of resource depletion, preservation of ecological balance, enhancing quality of life and poverty reduction

National and

Regional Index


Socio-economic development

Sustainable production & consumption

Social capital

Population changes

Public health Climate change

& energy

Good governance Global participation Natural Resources

Sustainable transportation

Review


National and

Regional Index


Thriving local & regional economy, Social well being

Review


Development & progress of economic state, competitiveness opportunities

National and

Regional Index


People Business Place

Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


Enhancement of people’s well being while evaluating economic performance

Review


Wealth growth and social progress of people

National and

Regional Index


Sustainability Quality of life Material needs of life

Review


National and

Regional Index


National welfare using comprehensive/ composite index substituting GDP

Promotion of economic competitiveness, increase of human welfare and satisfaction

Review


National and

Regional Index


Comparative livability Economic welfare

Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


Redefinition of prosperity emphasizing fulfilling material needs, life expectancy, infant mortality and education , coping with

economic crisis

Review


Sustainability of well being and attaining sustainable economy

National and

Regional Index


Individual capabilities

Socio- psychological needs

Material Needs

Review


National and

Regional Index


Social development on the bases of subjective wellbeing of people

Review


Social progress and people’s well being

National and

Regional Index


Social well being Personal well being

Sense of goodness, life satisfaction, happiness, self confidence, flexibility

Supportive relationships, social trust, sense of belonging

Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


Revision of 1992 Rio sustainable development index in fulfilling basic needs while considering future needs

Review


Enabling people to meet their needs while enjoying quality of life within ecological limits

National and

Regional Index


Enhancement of

Environment

Natural resources protection

Climate change &

energy

Sustainable production & consumption

Review


National and

Regional Index


Increasing productivity and achieving economic development through comparative advantages of countries

Review


Uplifting status of countries and cities by enhancing competitiveness

National and

Regional Index


Review


National and

Regional Index


Capacity and ability to achieve higher state in different economic development dimensions

Review


Economic development via human capital, higher productivity, higher value added, quality of products, innovation and reaching high quality of life with high capability in competition

National and

Regional Index


Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


Concept

Same as human development concept at city level, emphasizing equal opportunity, well being, city services and facilities

Review


Poverty reduction, equity, balanced and people-oriented development,

National and

Regional Index


HEALTH PRODUC

TIVITY

INFRASTRAUCTURE

CDI

WASTE

Review


National and

Regional Index


Concept

Poverty reduction, quality of life, preservation of balanced environment

Review


Preservation of natural resources, sustainability of urban environment

National and

Regional Index


Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


Concept

Interrelated growth and development of different sectors of city

Review

of exp

erienced

glob

al and

local in

dices

Sustainable development and determination of city functions in different sectors of city structure

National and

Regional Index


Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


Concept

Recognition of latent capability and powers of cities for competitiveness and moving towards sustainability

Review


Capital investment attraction, provision of socio-economic and environmental security/ safety

Review

of exp

erienced

glob

al and

local in

dices

National and

Regional Index


National and

Regional Index


Concept

Responding to impacts and challenges of hasty growth of cities, attaining balanced and harmonious development,

increasing citizens’ satisfaction

Review


Well being and better quality of life for every one, achievement of good, sustainable, and prosperous city

Review

of exp

erienced

glob

al and

local in

dices

National and

Regional 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.

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

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/import and household income/ consumption. The city product represents the 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 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.


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.

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

Contextualizing “CPI” for slum upgrading evaluation: “ SUI ”

Quality of Life

Equity & Social

Inclusion Infrastructure

Productivity

Environmental Sustainability

Community Development

Slum Upgrading

Index

“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 ”

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.


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).

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”?

Dilapidated old urban fabric, Iran

Thank you for your attention

Iranian Urban Development & Revitalization Corporation

The Regional Slum Upgrading Working Group: “RSUWG”

slum upgrading index (sui) 2015 - dr. mozaffar sarrafi

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