12.4 Informal settlements
8 min read•august 20, 2024
Informal settlements are a global urban phenomenon, characterized by substandard housing and lack of basic services. These areas emerge due to rapid , poverty, and ineffective urban planning, often housing society's most vulnerable populations.
Residents of informal settlements face numerous challenges, including , eviction threats, and limited access to resources. Despite these difficulties, these communities often develop strong 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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Urbanization in Nairobi, Kenya; what is its biggest impact? – ALU Global Focus View original
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Urbanization in Nairobi, Kenya; what is its biggest impact? – ALU Global Focus View original
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Impact of Rapid Urbanization and Changing Housing Patterns on Urban Open Public Spaces of Amman ... View original
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Top images from around the web for Rapid urbanization and population growth
Urbanization in Nairobi, Kenya; what is its biggest impact? – ALU Global Focus View original
Is this image relevant?
Impact of Rapid Urbanization and Changing Housing Patterns on Urban Open Public Spaces of Amman ... View original
Is this image relevant?
Urbanization in Nairobi, Kenya; what is its biggest impact? – ALU Global Focus View original
Is this image relevant?
Impact of Rapid Urbanization and Changing Housing Patterns on Urban Open Public Spaces of Amman ... View original
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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 processes has led to the marginalization of informal settlement residents and their exclusion from formal urban development
Types of informal settlements
Slums vs shantytowns
- are informal settlements that have evolved over time, often within the boundaries of existing cities, and are characterized by substandard housing and living conditions
- , 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
- arise when individuals or groups occupy land without legal permission, often on public or privately owned property
- 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
- 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
- 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
- , 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 , 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
- 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
- , the United Nations agency for human settlements, works to promote sustainable urbanization and improve living conditions in informal settlements worldwide
- The (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
- 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 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
- 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 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
Key Terms to Review (32)
Ananya Roy: Ananya Roy is a prominent scholar in the fields of urban studies and political geography, focusing particularly on issues of informal settlements and social justice. Her work critically examines the relationships between urbanization, poverty, and the politics of space, highlighting how marginalized communities navigate their environments and assert their rights. Through her research, she advocates for a deeper understanding of how informal settlements can offer insights into broader economic and political systems.
Community engagement: Community engagement refers to the process of involving individuals and groups in decision-making, planning, and implementation of initiatives that affect their lives and environment. It emphasizes collaboration, inclusivity, and empowerment, allowing communities to actively participate in shaping their surroundings and addressing issues that matter to them. This concept plays a crucial role in areas like informal settlements and the right to the city, as it fosters a sense of ownership and accountability among community members.
Community resilience: Community resilience refers to the ability of a community to prepare for, respond to, and recover from adverse events, including natural disasters, economic challenges, or social upheaval. This concept emphasizes the importance of social networks, local resources, and collective action in strengthening the capacity of communities to withstand and adapt to changes or crises. Building community resilience is crucial in addressing issues like climate change, informal settlements, and the integration of marginalized groups within urban areas.
Dependency theory: Dependency theory is an economic and political theory that suggests the wealth of developed countries comes at the expense of developing nations, creating a dependency relationship. This perspective highlights how historical and structural factors perpetuate inequalities, as developing countries remain reliant on resources and technologies from richer nations, limiting their growth potential and reinforcing global disparities.
Environmental Hazards: Environmental hazards are natural or human-made events that pose a risk to the health and safety of individuals and communities, often leading to damage or destruction of property and livelihoods. These hazards can arise from various sources such as pollution, climate change, natural disasters, or industrial accidents. In informal settlements, where infrastructure may be lacking and resources are limited, the impact of environmental hazards can be particularly devastating, exacerbating vulnerabilities and increasing the risks faced by residents.
Eviction policies: Eviction policies refer to the legal frameworks and procedures governing the removal of occupants from a property, often affecting those living in informal settlements. These policies can vary widely, reflecting local government attitudes towards informal housing and the residents' rights, which are frequently influenced by socio-economic conditions and urban planning practices.
Gentrification: Gentrification is the process by which urban neighborhoods undergo transformation through the influx of higher-income residents, often leading to the displacement of lower-income residents and changes in the cultural landscape. This phenomenon is closely linked to issues of urban development, social equity, and the shifting dynamics of rural-urban interactions, impacting planning decisions and challenging the concept of equitable access to urban spaces.
Health hazards: Health hazards are conditions or factors that can cause adverse effects on human health, particularly in environments where exposure is frequent or prolonged. In informal settlements, these hazards often stem from inadequate infrastructure, poor sanitation, and limited access to healthcare, leading to increased vulnerability to diseases and other health-related issues.
Informal economy: The informal economy refers to economic activities that occur outside of formal regulations and government oversight, often involving unregistered businesses or unreported income. It plays a significant role in many societies, providing jobs and livelihoods for millions, especially in informal settlements where access to formal employment is limited. This sector is characterized by a lack of legal protections, making workers vulnerable to exploitation.
Informality: Informality refers to economic, social, or organizational activities that occur outside of formal regulations and structures, often lacking official recognition or support. This concept plays a critical role in understanding informal settlements, which are typically characterized by unregulated land use and construction, often resulting from rapid urbanization and population growth in cities around the world.
Insecure land tenure: Insecure land tenure refers to a situation where individuals or communities do not have guaranteed rights to occupy or use a piece of land. This lack of security often results from unclear ownership rights, informal agreements, or government policies that fail to recognize land claims. In the context of informal settlements, insecure land tenure contributes to a range of issues including vulnerability to eviction, limited access to services, and difficulties in making long-term investments in property.
International aid: International aid refers to the financial or material assistance provided by governments, organizations, or individuals from one country to another to support economic development, humanitarian efforts, and social welfare. This aid often targets developing countries facing poverty, conflict, or natural disasters, and can take various forms, including bilateral aid, multilateral aid, and non-governmental organization support.
Lack of infrastructure: Lack of infrastructure refers to the inadequate physical systems and structures that support a community's essential services, such as transportation, water supply, sewage, and electricity. This absence or insufficiency often leads to significant challenges for residents, particularly in informal settlements, where basic needs are not met, making it difficult for individuals to improve their living conditions and access opportunities.
Land invasions: Land invasions refer to the practice of occupying and settling on land that is either unoccupied or legally owned by someone else, often without formal permission. This phenomenon is commonly associated with informal settlements, where people move onto land to establish homes, typically due to lack of access to affordable housing or adequate urban services. Land invasions can lead to a variety of social, economic, and political challenges, including conflicts over land rights and the provision of public services.
Livelihood strategies: Livelihood strategies refer to the various ways individuals and households secure their means of living, balancing income-generating activities with their resources and social networks. These strategies often include a mix of formal employment, informal work, subsistence agriculture, and various forms of trade or services. In contexts where economic opportunities are limited, especially in informal settlements, people often adapt their livelihood strategies based on the available resources and challenges they face.
Mike Davis: Mike Davis is an influential American author, urban theorist, and social activist known for his critical examination of urbanization, particularly in relation to informal settlements and the socio-economic challenges they face. His work often highlights the conditions and struggles of marginalized communities living in these settlements, shedding light on issues such as poverty, inequality, and environmental degradation.
Participatory planning: Participatory planning is an inclusive approach to urban and regional planning that actively involves stakeholders, including community members, in the decision-making process. This method enhances transparency, fosters collaboration, and empowers citizens to have a say in shaping their environments, which is essential for addressing various challenges like sustainability, resilience, and social equity.
Peri-urban informal settlements: Peri-urban informal settlements are unplanned, often makeshift communities located on the outskirts of urban areas, typically characterized by inadequate infrastructure and housing conditions. These settlements arise from rapid urbanization and migration, where residents often lack formal land tenure and access to basic services, leading to social and economic challenges for the inhabitants.
Rural informal settlements: Rural informal settlements are unplanned and often unauthorized communities that arise in rural areas, typically characterized by inadequate infrastructure, limited access to services, and a lack of legal land tenure. These settlements are often formed by marginalized populations seeking better living conditions and economic opportunities but face challenges such as poverty and exclusion from formal urban planning processes.
Shantytowns: Shantytowns are makeshift communities often formed by impoverished individuals who lack access to adequate housing, typically built from discarded materials such as wood, metal, and plastic. These settlements usually arise on the outskirts of urban areas and are characterized by poor living conditions, limited access to basic services, and a lack of formal legal recognition. They serve as a stark reflection of urban poverty and the struggle for survival in rapidly growing cities.
Site and Situation: Site and situation are geographical concepts that describe the location of a place. The 'site' refers to the physical characteristics of a location, including its topography, resources, and climate. In contrast, 'situation' describes a place's relative location, including its connections to surrounding areas and its significance within a broader context. Understanding both site and situation is crucial for analyzing informal settlements, as these factors significantly influence their development and sustainability.
Slum upgrading: Slum upgrading refers to the process of improving the living conditions in informal settlements or slums through a variety of strategies, including infrastructure development, provision of basic services, and enhancing housing quality. This approach aims to address the challenges faced by residents in these areas, promoting better health, safety, and overall quality of life while integrating these communities into the broader urban fabric.
Slum upgrading projects: Slum upgrading projects are initiatives aimed at improving the living conditions in informal settlements, often referred to as slums, by providing essential services and infrastructure. These projects typically focus on enhancing housing quality, sanitation, access to clean water, and overall community development, while also involving residents in the planning and implementation processes. By addressing the challenges faced by slum dwellers, these projects seek to reduce poverty and foster social inclusion.
Slums: Slums are densely populated urban areas characterized by substandard housing, inadequate access to basic services, and often a lack of legal tenure. They typically arise due to rapid urbanization and economic inequality, leading to informal settlements where people live in precarious conditions without proper infrastructure or support from the government.
Social networks: Social networks refer to the structures made up of individuals or organizations that are connected through various forms of relationships, such as friendships, family ties, professional connections, or online interactions. These networks play a crucial role in how information, resources, and support are exchanged among individuals, especially in informal settlements where traditional institutions may be weak or absent. By fostering social capital, these networks can significantly impact the well-being and resilience of communities living in informal settings.
Squatter Settlements: Squatter settlements are informal housing areas where people reside on land they do not own or rent, often without legal permission. These settlements typically arise in urban areas, often due to rapid population growth and a lack of affordable housing options. Residents of squatter settlements usually build makeshift homes using available materials, facing challenges such as inadequate infrastructure and limited access to basic services.
Sustainable development goals: Sustainable development goals (SDGs) are a universal set of 17 goals established by the United Nations in 2015 to address global challenges and achieve a better and more sustainable future for all by 2030. These goals cover various dimensions of sustainability, including economic growth, social inclusion, and environmental protection, providing a comprehensive framework for countries to align their policies and strategies towards sustainable development.
UN Habitat: UN Habitat is the United Nations agency responsible for promoting sustainable urban development and improving living conditions in cities around the world. This agency focuses on addressing issues such as housing, urban planning, and environmental sustainability, particularly in informal settlements where many urban residents live without basic services. By supporting inclusive policies and practices, UN Habitat aims to enhance the quality of life in urban areas, particularly for marginalized communities.
Urban Heat Islands: Urban heat islands (UHIs) refer to urban or metropolitan areas that experience significantly higher temperatures than their surrounding rural areas due to human activities and land use changes. This phenomenon is mainly caused by factors like the replacement of vegetation with concrete, asphalt, and buildings, which absorb and retain heat, along with increased energy consumption and waste heat from vehicles and industrial processes. The presence of informal settlements can further exacerbate this issue, as they often lack sufficient green spaces and proper infrastructure.
Urban political ecology: Urban political ecology is an interdisciplinary framework that examines the relationships between urban environments, social processes, and power dynamics. It explores how ecological practices and policies are influenced by social inequalities and governance structures, revealing the interconnectedness of urban spaces with broader socio-political contexts.
Urban sprawl: Urban sprawl refers to the uncontrolled and rapid expansion of urban areas into the surrounding rural land, often characterized by low-density development, reliance on automobiles, and a lack of centralized planning. This phenomenon can lead to a variety of social, economic, and environmental issues, including increased traffic congestion, loss of agricultural land, and social segregation between urban and rural communities.
Urbanization: Urbanization is the process by which an increasing percentage of a population comes to reside in urban areas, transforming rural spaces into cities and altering social, economic, and environmental landscapes. This shift often involves the migration of people from rural regions to urban centers in search of better employment, education, and living conditions, leading to significant changes in community structures and resource allocation.