SUM: Slum Upgrading Facility
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Discover how the Slum Upgrading Facility (SUF) by UN-Habitat is transforming informal settlements worldwide. From resolving complex legal challenges like land ownership to improving infrastructure, tackling social issues like crime and education gaps, and addressing economic hardships—SUF is paving the way for sustainable urban development and a brighter future for communities in need.
Table of content
- Introduction
- Understanding the Slum Upgrading Facility
- Strategies used in slum upgrading
- Impact of the Slum Upgrading Facility
- Case studies of Slum Upgrading Facility (SUM) projects
- The Role of the United States in Supporting Slum Upgrading
- Conclusion
The Slum Upgrading Facility (SUM) is a programme designed to improve living conditions in informal settlements around the world. It focuses on gathering financial resources, technical knowledge, and policy support to help upgrade slums and include them in urban planning.
This initiative is especially important for addressing housing shortages and lacking infrastructure in areas that are rapidly growing in population.
This article gives an overview of the Slum Upgrading Facility, its goals, key strategies, challenges, and the impact it has, particularly in relation to urban development.
Understanding the Slum Upgrading Facility
The Slum Upgrading Facility (SUM) was created by UN-Habitat, the United Nations programme focused on sustainable urban development. It was first introduced as a pilot programme in 2004 and has since been implemented in various regions. The main goal of SUM is to gather financial resources to improve conditions in slums.
SUM supports governments, local authorities, and community-based organisations in planning and financing projects that upgrade slums. Rather than depending solely on international aid, SUM encourages private sector involvement and sustainable financial models.
The main objectives of the Slum Upgrading Facility are:
- Facilitating access to finance: Slum Upgrading Facility helps raise funds from local banks, international institutions, and public-private partnerships to support slum upgrading projects.
- Improving infrastructure and services: It promotes the provision of essential services such as sanitation, clean water, waste management, roads, and electricity in slum areas.
- Encouraging community participation: The initiative ensures that residents are involved in making decisions about the development of their communities.
- Enhancing policy and institutional frameworks: SUM works with governments to develop policies that include slum upgrading in urban planning processes.
- Promoting secure land tenure: It aims to provide residents with legal rights to their land, which helps prevent forced evictions.
Strategies used in slum upgrading
SUM uses several important strategies to achieve its goals:
- Public-private partnerships (PPPs): SUM encourages cooperation between governments, private companies, and financial institutions to combine resources for slum upgrading projects. By involving the private sector, the initiative ensures that these projects are financially sustainable in the long term.
- Microfinance and loan guarantee schemes: Many residents of slums find it difficult to access traditional banking services. SUM helps create microfinance programmes and loan guarantee schemes, which allow low-income households to invest in improving their homes and upgrading infrastructure.
- Capacity building and technical assistance: SUM provides training, policy advice, and technical support to local governments and organisations involved in slum upgrading. This improves the ability of these groups to carry out sustainable housing solutions.
- Pilot projects for replication: SUM often starts with pilot projects that serve as examples for larger-scale initiatives. By showing successful case studies, these projects encourage similar efforts in other regions that face the same challenges.
- Engaging local communities: A key part of SUM is ensuring that people living in slums are involved in planning and decision-making. This includes community-driven initiatives, land-sharing schemes, and participatory budgeting, where residents have a say in how the improvements are carried out.
Impact of the Slum Upgrading Facility
Despite the challenges, SUM has made a big difference in urban development around the world. Some of its key impacts include:
- Improved housing conditions – Many people living in slums have gained access to more durable homes, better sanitation, and clean water, improving their living standards.
- Increased investment in urban infrastructure – SUM has helped bring investments in roads, drainage systems, electricity, and public spaces, which have improved the quality of life in upgraded areas.
- Economic empowerment – By offering access to microloans and investment opportunities, SUM has helped residents improve their homes and start small businesses, giving them a chance to boost their income.
- Reduction in forced evictions – By focusing on securing land rights for slum residents, SUM has helped prevent the forced displacement of communities, giving them a sense of security.
- Policy reforms – Many governments have introduced new housing policies that support the poor, and they have included slum upgrading in broader plans for urban development.
Case studies of Slum Upgrading Facility (SUM) projects
1. Kenya – Kibera Upgrading Project
Kibera, located in Nairobi, Kenya, is one of the largest informal settlements in Africa, with an estimated population of 250,000 to 300,000 people. The settlement faces many challenges, such as overcrowding, lack of basic services, poor sanitation, and insecure land ownership.
To tackle these problems, the Kenya Slum Upgrading Programme (KENSUP) was started in 2004, with support from UN-Habitat and the Slum Upgrading Facility (SUM). The aim of the project was to improve housing, infrastructure, and access to basic services, while making sure that the residents were involved in decision-making.
Key features of the Kibera upgrading project:
- The project introduced affordable, high-density housing units to replace the temporary shacks.
- Residents were given subsidised rental units to prevent them from being forced to move away.
- Roads and drainage systems were built to improve access and reduce flooding.
- Street lighting was installed to improve safety and security at night.
- New toilet blocks were built to improve sanitation, helping to reduce waterborne diseases.
- Clean water supply points were added to make it easier for residents to access safe drinking water.
- The programme focused on involving the community, so residents had a say in the decisions about housing and infrastructure.
- Vocational training and job creation programmes were set up to help slum dwellers improve their economic situation.
2. India – Mumbai Slum Redevelopment (Dharavi Redevelopment Project)
Dharavi, covering 557 acres in Mumbai, is often called the largest slum in Asia, with a population of over a million people. While Dharavi is known for its economic activity, it faces significant challenges, including poor housing, sanitation problems, and overcrowding.
To address these issues, the Dharavi Redevelopment Project (DRP) was introduced, following the principles of the Slum Upgrading Facility (SUM) to ensure long-term development. The project was designed as a public-private partnership (PPP), where private developers invested, but the interests of the slum residents were protected.
Key features of the Dharavi redevelopment project:
- The plan focused on vertical redevelopment, replacing single-storey shacks with multi-storey apartment buildings.
- Eligible families were given free housing units, ensuring that they could stay in the upgraded area.
- Roads were widened, and new sewage and drainage systems were built to reduce health risks.
- Modern water supply and sanitation facilities were added, improving hygiene and reducing disease outbreaks.
- Dharavi hosts thousands of small businesses, including pottery, leatherwork, and recycling industries.
- The redevelopment project included spaces for businesses to ensure that local industries could continue without being displaced.
- The plan involved thorough consultations with resident groups and NGOs to make sure that the views of the community were considered in the redevelopment process.
- Affordable microfinance options were introduced to help residents improve their homes.
3. Philippines – Urban Poor Housing Initiative (Manila Slum Upgrading Programme)
Manila, the capital city of the Philippines, has a large number of people living in informal settlements along riverbanks, railways, and highways. These communities often face severe housing insecurity, frequent flooding, and lack access to basic services.
To address these issues, the government introduced the Community Mortgage Programme (CMP), with support from UN-Habitat and the Slum Upgrading Facility (SUM). The initiative aimed to provide affordable housing solutions, land tenure security, and improve infrastructure.
Key features of the Manila slum upgrading programme:
- The programme introduced a low-interest mortgage scheme to help slum dwellers collectively purchase land and secure housing.
- Loans were provided through local cooperatives and NGOs, making housing finance more accessible to low-income families.
- A key focus was land legalisation, allowing informal settlers to obtain legal titles to their land, reducing the risk of forced evictions and displacement.
- The project also facilitated the construction of affordable housing units that are disaster-resilient.
- Improvements to water supply, sanitation, and waste management systems were made to improve the living conditions.
- Residents were actively involved in the design and implementation of housing improvements.
- Training programmes were provided to local builders and craftsmen, equipping them with skills for constructing and maintaining housing.
The Role of the United States in Supporting Slum Upgrading
While slums are often linked to developing countries, urban poverty and informal housing can also be found in parts of the United States. These areas face housing shortages, economic gaps, and poor infrastructure. While slum conditions in the U.S. may differ from those in regions like Africa, Asia, and Latin America, the U.S. plays an active role in addressing housing issues worldwide. Through international aid, research, investment, and policy support, the U.S. contributes significantly to slum upgrading efforts around the globe.
1. International Aid and Funding Initiatives
The United States Agency for International Development (USAID) is the main U.S. government agency that focuses on global development and humanitarian aid. USAID works with international organisations like UN-Habitat and supports projects such as the Slum Upgrading Facility (SUM) to improve housing, sanitation, and infrastructure in slums.
Key USAID Programmes Related to Slum Upgrading:
- USAID provides both financial and technical support to help governments carry out slum upgrading projects.
- The agency works with local and national authorities to develop affordable housing solutions for low-income communities.
- USAID has invested in improving water supply, sanitation, and drainage systems in slums to reduce the spread of waterborne diseases.
- USAID’s WASH (Water, Sanitation, and Hygiene) programmes help provide clean drinking water and waste management services in informal settlements.
- Informal settlements are often vulnerable to natural disasters such as floods, hurricanes, and landslides. USAID collaborates with SUM to include climate-resilient infrastructure in slum upgrading projects to help communities prepare for these environmental hazards.
- Many slum residents lack access to banking services, making it hard to improve their homes. USAID funds microfinance programmes that provide affordable loans to families for housing upgrades, land purchases, and small business development.
2. Partnerships with International Organisations and NGOs
The U.S. has formed partnerships with international agencies, private companies, and non-profit organisations to support housing initiatives. Several U.S.-based organisations play an active role in slum upgrading:
- The U.S. is a significant contributor to global financial institutions that offer grants and low-interest loans to developing countries for urban and infrastructure development projects.
- Through these organisations, funds are directed to slum upgrading programmes focusing on affordable housing, public transportation, and essential services.
- One example is Habitat for Humanity, a U.S.-based non-profit organisation that builds and renovates homes in low-income areas around the world. This organisation partners with SUM to mobilise volunteers and resources for slum redevelopment projects.
- Philanthropic organisations in the U.S. provide grants to support sustainable urban development. They also fund research on housing policy, land rights, and community-based urban planning.
- The Clinton Global Initiative (CGI) supports slum upgrading by investing in clean energy, education, and community-driven development projects in informal settlements.
3. Research, Innovation, and Policy Advocacy
The U.S. is a leader in urban research, technology, and policy innovation for improving slum conditions worldwide. U.S. universities, research centres, and think tanks contribute vital knowledge to slum upgrading by:
- Universities like MIT, Harvard, and Stanford conduct research on sustainable urban planning, mapping informal settlements, and developing affordable housing materials.
- American firms in renewable energy, water purification, and waste management offer innovative solutions for slum redevelopment.
- The U.S. participates in global discussions about housing rights, land tenure policies, and the regulation of informal economies, such as at the United Nations Conference on Housing and Sustainable Urban Development (Habitat III).
- Think tanks like the Brookings Institution and the Urban Institute provide policy suggestions for governments on how to improve slum upgrading strategies.
- U.S. organisations use technology like satellite imaging, geospatial analytics, and artificial intelligence to track slum growth patterns, helping city planners design more effective upgrading projects.
4. Private Sector Investment in Affordable Housing and Infrastructure
Beyond government and non-profit involvement, U.S.-based companies and investors are essential in financing affordable housing projects worldwide:
- Private companies are increasingly involved in impact investing, which aims to generate both financial returns and social benefits.
- American real estate firms work with international developers to fund and build affordable housing in urban slums.
- U.S. companies in construction, water management, and energy provide cost-effective materials, smart grid systems, and recycling technologies to support slum upgrading.
- Major U.S. corporations like Google, Microsoft, and General Electric fund initiatives focused on digital literacy, renewable energy, and infrastructure development in underserved communities.
5. Lessons from U.S. Urban Renewal and Housing Policies
Although the U.S. does not have slums on the same scale as developing countries, it does face challenges with informal housing, low-income neighbourhoods, and urban decay. Some U.S. cities have undertaken projects that offer valuable lessons for global slum upgrading:
- The U.S. Department of Housing and Urban Development (HUD) created the HOPE VI programme, which replaced deteriorating public housing with mixed-income developments. This approach aligns with the SUM’s public-private partnership model, which blends public and private investment for sustainable housing solutions.
- In cities like Boston and San Francisco, land trusts have been used to prevent gentrification and displacement, ensuring low-income residents have control over housing developments. This model can be applied in developing countries to ensure slum residents have secure land tenure.
- The U.S. has expertise in rebuilding housing after natural disasters, particularly after hurricanes and wildfires. Techniques like modular housing, prefabricated shelters, and flood-resistant infrastructure are being explored for use in slum upgrading projects globally.
Conclusion
The Slum Upgrading Facility (SUM) plays a crucial role in addressing global housing challenges. By facilitating financial solutions, community participation, and policy reforms, it contributes to the sustainable development of informal settlements. While challenges remain, continued investment and innovation in slum upgrading can significantly improve urban living conditions.
As cities continue to expand, initiatives like SUM will be essential in ensuring that all urban residents, including those in informal settlements, have access to safe, affordable, and dignified housing.
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