12.4 Informal settlements

Informal settlements are a global urban phenomenon, characterized by substandard housing and lack of basic services. These areas emerge due to rapid urbanization, poverty, and ineffective urban planning, often housing society's most vulnerable populations.

Residents of informal settlements face numerous challenges, including health hazards, eviction threats, and limited access to resources. Despite these difficulties, these communities often develop strong social networks and informal economies to survive and thrive in challenging circumstances.

Characteristics of informal settlements

• Informal settlements are residential areas where inhabitants have no legal claim to the land they occupy, often lacking basic infrastructure and services
• These settlements are characterized by high population density, substandard housing conditions, and limited access to essential amenities (clean water, sanitation, electricity)
• Informal settlements are typically located on the periphery of cities or in underutilized urban spaces (vacant lots, riverbanks, hillsides)

Causes of informal settlements

Rapid urbanization and population growth

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• Rapid urbanization, driven by rural-to-urban migration and natural population growth, has led to a surge in demand for affordable housing in cities
• Many cities in developing countries have been unable to keep pace with the influx of new residents, resulting in the proliferation of informal settlements
• Limited resources and inadequate urban planning have exacerbated the challenges associated with accommodating growing urban populations

Poverty and lack of affordable housing

• Poverty is a significant driver of informal settlements, as low-income individuals and families often cannot afford formal housing options
• The lack of affordable housing in cities forces many people to seek shelter in informal settlements, where they can construct their own dwellings using readily available materials
• Income inequality and the absence of effective social housing programs contribute to the persistence of informal settlements

Ineffective urban planning and governance

• Weak urban planning and governance structures have failed to address the housing needs of rapidly growing urban populations
• Inadequate land-use policies, bureaucratic inefficiencies, and corruption have hindered the development of affordable housing and the provision of basic services
• The absence of inclusive and participatory planning processes has led to the marginalization of informal settlement residents and their exclusion from formal urban development

Types of informal settlements

Slums vs shantytowns

• Slums are informal settlements that have evolved over time, often within the boundaries of existing cities, and are characterized by substandard housing and living conditions
• Shantytowns, on the other hand, are typically newer and more spontaneous settlements that emerge on the outskirts of cities or in previously unoccupied areas
• While both slums and shantytowns face similar challenges, shantytowns often lack even the most basic infrastructure and services compared to more established slums

Squatter settlements and land invasions

• Squatter settlements arise when individuals or groups occupy land without legal permission, often on public or privately owned property
• Land invasions occur when organized groups of people collectively take over a piece of land, usually with the intention of establishing a new informal settlement
• These types of settlements are particularly vulnerable to eviction and demolition, as residents have no legal claim to the land they occupy

Peri-urban and rural informal settlements

• Peri-urban informal settlements develop on the edges of cities, often in areas that are transitioning from rural to urban land use
• These settlements may be populated by migrants from rural areas seeking employment opportunities in the city or by urban residents pushed out of the city due to rising costs of living
• Rural informal settlements can also emerge in areas with limited access to land and resources, such as in regions with high levels of land inequality or in the aftermath of natural disasters or conflicts

Challenges faced by informal settlement residents

Lack of basic services and infrastructure

• Informal settlements often lack access to clean water, sanitation facilities, electricity, and waste management services
• The absence of proper roads, drainage systems, and public transportation can hinder mobility and access to employment opportunities
• Limited access to education and healthcare facilities can perpetuate cycles of poverty and marginalization

Health and environmental hazards

• Overcrowding, poor sanitation, and limited access to clean water can lead to the spread of communicable diseases (cholera, tuberculosis) in informal settlements
• Substandard housing materials and construction techniques can expose residents to risks such as fire, flooding, and structural collapse
• Environmental hazards, including air and water pollution, as well as the accumulation of solid waste, can have severe health impacts on informal settlement residents

Insecure land tenure and eviction threats

• Without legal recognition of their land rights, informal settlement residents face constant threats of eviction and displacement
• Lack of secure land tenure discourages residents from investing in home improvements and hinders their access to formal financial services (loans, mortgages)
• Evictions can lead to the loss of homes, livelihoods, and social networks, further exacerbating the vulnerability of informal settlement residents

Socio-economic dynamics in informal settlements

Informal economy and livelihood strategies

• Informal settlements are often characterized by a thriving informal economy, with residents engaging in various small-scale, unregulated economic activities (street vending, home-based enterprises)
• The informal economy provides crucial livelihood opportunities for residents who may face barriers to entry in the formal job market due to lack of education, skills, or legal status
• However, informal workers often face precarious working conditions, low wages, and limited access to social protection and benefits

Social networks and community organizations

• Strong social networks and community organizations play a vital role in the resilience and survival strategies of informal settlement residents
• Community-based organizations can mobilize residents to advocate for their rights, negotiate with authorities, and implement local development projects
• Informal support systems, such as savings groups and mutual aid networks, help residents cope with economic shocks and provide a safety net in times of crisis

Gender roles and inequalities

• Women in informal settlements often bear a disproportionate burden of poverty and face additional challenges related to gender-based discrimination and violence
• Limited access to education and employment opportunities can restrict women's economic autonomy and decision-making power within households and communities
• Women in informal settlements may also face greater health risks due to inadequate access to reproductive healthcare and sanitation facilities

Government responses to informal settlements

Eviction and demolition policies

• Some governments resort to forced evictions and demolitions as a means of dealing with informal settlements, often driven by concerns over land value, urban aesthetics, or public safety
• Evictions can be violent and traumatic, leaving residents homeless and vulnerable, and often fail to address the underlying causes of informal settlement growth
• Forced evictions without adequate consultation, compensation, or resettlement provisions violate international human rights standards and can exacerbate poverty and social exclusion

Upgrading and regularization programs

• Upgrading programs aim to improve living conditions in informal settlements by providing basic infrastructure and services, such as water, sanitation, and electricity
• Regularization involves the legal recognition of informal settlements and the provision of secure land tenure to residents, often through the issuance of land titles or long-term leases
• Successful upgrading and regularization programs adopt a participatory approach, engaging residents in the planning and implementation processes to ensure that interventions meet the community's needs and priorities

Participatory planning and community engagement

• Participatory planning approaches involve informal settlement residents in the decision-making processes that shape their communities, recognizing their local knowledge and expertise
• Community engagement can take various forms, such as community mapping exercises, participatory budgeting, and the establishment of community development committees
• By empowering residents to play an active role in the development of their settlements, participatory planning can lead to more sustainable and equitable outcomes, as well as increased community ownership and social cohesion

Global initiatives addressing informal settlements

UN Habitat and Sustainable Development Goals

• UN Habitat, the United Nations agency for human settlements, works to promote sustainable urbanization and improve living conditions in informal settlements worldwide
• The Sustainable Development Goals (SDGs), particularly Goal 11 on sustainable cities and communities, set targets for ensuring access to adequate, safe, and affordable housing and basic services for all by 2030
• UN Habitat's New Urban Agenda, adopted in 2016, provides a roadmap for achieving inclusive, resilient, and sustainable cities, with a focus on addressing the challenges faced by informal settlement residents

Slum upgrading projects and best practices

• Slum upgrading projects have been implemented in various cities across the globe, aiming to improve the living conditions and quality of life in informal settlements
• Best practices in slum upgrading emphasize the importance of community participation, incremental improvements, and the integration of physical, social, and economic interventions
• Successful slum upgrading projects, such as the Baan Mankong program in Thailand and the Favela-Bairro program in Brazil, have demonstrated the potential for transformative change in informal settlements

International aid and development assistance

• International aid agencies and development organizations play a crucial role in supporting initiatives to improve living conditions in informal settlements
• Development assistance can take the form of financial support, technical expertise, capacity building, and knowledge sharing to help governments and local communities address the challenges of informal settlements
• However, aid effectiveness depends on factors such as donor coordination, alignment with local priorities, and the sustainability of interventions beyond the project lifecycle

Future of informal settlements

Projected growth and urbanization trends

• The world's urban population is expected to continue growing rapidly, with the majority of this growth occurring in developing countries
• Informal settlements are likely to remain a significant feature of many cities in the Global South, as urbanization outpaces the capacity of governments to provide adequate housing and services
• Addressing the challenges of informal settlements will require a concerted effort from governments, civil society, and the international community to develop innovative and inclusive solutions

Climate change impacts and adaptation strategies

• Informal settlements are particularly vulnerable to the impacts of climate change, such as rising sea levels, more frequent and intense extreme weather events, and heat stress
• The lack of adequate infrastructure and the precarious nature of housing in informal settlements can exacerbate the risks posed by climate-related hazards
• Adaptation strategies for informal settlements must prioritize community-based approaches, such as participatory risk assessments, early warning systems, and locally-led resilience-building initiatives

Sustainable urban development approaches

• Sustainable urban development approaches aim to balance economic growth, social inclusion, and environmental protection in the planning and management of cities
• Integrating informal settlements into broader urban development strategies can help to address the root causes of informality and promote more equitable and resilient cities
• This may involve measures such as land-use planning reforms, the provision of affordable housing options, investments in public transportation and green infrastructure, and the strengthening of local governance capacities
• Ultimately, the future of informal settlements will depend on the ability of governments, communities, and other stakeholders to work together towards a more inclusive and sustainable vision of urbanization