Empowering Informality - Sustainable Development Strategies for Informal Settlements in Metro Manila

Empowering Informality

Sustainable development strategies for informal settlements in Metro Manila

bachelor thesis by Alex Kirschstein supervised by Prof. Ulrich Blum, Dipl.-Ing. M.Arch. msa | muenster school of architecture August 2019

Table of Contents 6

Motivation

Background Research 11

A Growing World Population Urbanization The Informal City The Causes The Definition of Slums

Views in Literature & Public Perception Location & Spatial Characteristics Public Space Architecture & Construction Process Materials & Aestethical Values

Challenging Slums 41 46

Slum Upgrading A Street-Led Approach

The Context of Metro Manila 51

Overview 51 55

2

77 82

57 58 60 64 66

71

(No) Access to Basic Services 71 72 73 74

Informal Settlements & their Built Environment 21 24 27 29 32

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Slums in Metro Manila

Rise of the Informal City 11 11 12 15 28

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General Characteristics and Typologies Community Life & the Cost of Living Informal Economy & Income Poverty Environmental Deprivations

Electricity Water Sanitation & Wastewater Management Solid Waste Management

Challenging Slums in Manila Research Conclusion

Site Analysis 89

The Baseco Compound 89 89

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Site History

Housing Statistics 90 90

Tenure Status Building Typologies

National Overview Metropolitan Manila

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92

Socio-Economic Data 93 93 93 93

119

Population Age Level Average Monthly Income Sources of Income

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Landmarks

96

Street Analysis

98

Street Network & Overall Integration

119 119 121 123

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137

110 111 112 113 115

Establishing Public Facilities 115 115

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Greywater Recycling Solid Waste Management Human Waste Organic Waste

Basic Services Enhancing Productivity

158

Improving the Integration of Streets Hierarchy of Streets

Constructing the Units 139 145 149 153 157

Design Goals

109 Providing Infrastructure

Upgrading the Streetnetwork 129 135

Concept 107

Local Production Process Woven Bamboo Beams Recycled Plastic Building Blocks

Concept Implementation

100 Construction Materials 103 Key Findings

Finding New Building Materials

Step One Step Two Step Three Step Four Visulalization

Conclusion

Appendix 164

References

170

List of Figures

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Motivation Currently around 1 billion people live in urban slums worldwide. With a steadily rising world population and continuing urbanization, estimates by the United Nations predict that by the year of 2050 one in three people worldwide will be living in an urban slum (UN-Habitat 2010).

In his book Planet of Slums, Mike Davis states that “rather being made out of glass or steel as envisioned by earlier urbanists, [future cities are] instead largely constructed out of crude brick, straw, recycled plastic, cement blocks, and scrap wood” and that “much of the twenty-first century urban world squats in squalor, surrounded by pollution, excrement and decay” (Davis 2006, p.19) While this is a somewhat polemical outlook into the future of cities, rapid urbanization and further predicted growth in many of the world’s developing regions will likely lead to the widespread formation of ‘slums’ and informal settlements, as it will become more challenging to support the vast amount of people socially, technically and ecologically.

The contemporary form of urbanism leaves a significant impact on the global biosphere and is a main cause of the ongoing ecological decline (Dalby 2007). In fact, cities are currently responsible for roughly 80 percent of all global CO2 emissions ( World Bank 2011) and although much of these are presently caused by developed nations, it is estimated that 89 percent of the increase in greenhouse gas

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emissions from energy use will, in future, be caused by developing regions. (IEA 2008) In order to achieve ecologically and socially sustainable urban growth, a paradigm shift in how we plan, build and interact within (informal) cities is necessary. City planners and architects must understand the complexity of the informally built urban environment and provide innovative solutions for the challenges that conventional planning strategies, as applied to the ‘formal’ city, could not yet solve.

This thesis aims to present a conceptual approach on how architecture and urban design can contribute to the sustainable development of informal settlements, while also improving the lives of their residents.

The Baseco Compound, an informal settlement in Manila, will be analysed and used as a representative case study.

The analysis starts with an in-depth look at relevant research in this area an highlights general characteristics of informal settlements and which strategies to meet these challenges have been the most successful so far. The second chapter will specifically focus on informal settlements and the urban poor in Metro Manila with an emphasis on their socio-economic conditions and their biggest issues in everyday life.

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Background Introduction Research

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Rise of the Informal City 5

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Total population (in billions)

Sub-Saharan Africa

3

Central & Southern Asia Eastern & South-Eastern Asia

2

Europe & Northern America 1

Northern Africa & Western Asia Latin America & the Caribbean Ausralia & Oceania

0 1950

2000

2050

2100

A Growing World Population.

The world’s population is projected to increase by 26 percent from 7.7 billion in 2019 to nearly 10 billion in 2050. Half of this growth will occur in only nine countries– equalling around one billion people shared between them. In descending order from the highest growth these are: India, Nigeria, Pakistan, the Democratic Republic of the Congo, Ethiopia, the United Republic of Tanzania, Indonesia, Egypt and the United States of America. Particularly noteworthy is the growth that is expected in sub-Saharan Africa, as its population is expected to double between now and 2050.

(UN-DESA 2019) Urbanization.

In 1950 around 30 per cent of the global population lived in urban areas. This figure reached 55 percent in 2018 and is predicted to further climb to 68 per cent by 2050. Consequently, the world’s urban population will grow by 2.5 billion people, effectively adding an equivalent of six Sao Paulos every year.

(Gadanho 2014) No less than 90 per cent of this growth is predicted to happen in Asia and Africa - with India, China and Nigeria accounting for roughly 35 per cent alone.

(UN-DESA, 2018)

Fig 01: Population by SDG region: estimates 1950-2020

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The Informal City.

The uncontrolled, rapid urbanization of the past 50 years has further led to the development of more than 200.000 densely built ‘slums’ globally (Davis 2006).

current Population

Beardsley 2007, para. 1

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population growth

growth of slum population Population

Fig 02: Global population growth in informal settlements, based on population size instead of landmass

“[…]; slums are now the dominant form of urban land use in much of the developing world. Globalization, it seems, is intensifying economic inequality, producing archipelagos of wealth in oceans of poverty—with potentially catastrophic consequences.”

Currently it is estimated that around one in eight people worldwide live in slum conditions, which equals to roughly one billion slum dwellers in total.

Determining accurate figures for policy purposes is difficult as information is generally limited and often unreliable (UN-Habitat 2015a).

current slum polulation

It is known, however, that the amount of informal settlers is continuously growing and the UN-Habitat predicts that it will triple to 3 billion by 2050, if urbanization in developing regions continues in the unregulated way it has in the past decades (UNHabitat 2010).

Preventing slum formation and coming up with sustainable urban growth and management strategies for developing regions will become a key issue in the upcoming decades as this is where the most rapid urbanization is expected. Slums are

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already the dominant form of urban landscape in much of the developing world. In some places such as Ethiopia, Chad, Afghanistan or Nepal more than 90 per cent of urban residents live in slum conditions.

In Bangladesh their share represents 84 per cent, in India 55 per cent and in China this applies for over 37 per cent of the urban population (Beardsley 2007).

70 Fig 04: Informal Landscape

60 50 40 % 30 20 10

Sub-Saharan Africa

North Africa

South Asia

South East Asia

East Asia

West Asia

Latin America & the Carribean

0

The Causes.

Urbanization is a process of pushing and pulling forces causing people from a rural background to move into an urban surrounding. They are pulled to the city by better income opportunities, education and health facilities, or a possibility to live less restricted by social and cultural realities (Cities Alliance 2019).

Pushing factors, such as natural disasters and the global deterioration of rural conditions and farmland, are sometimes stated as the more significant driving force behind rural-urban migration (Davis 2006).

Most people in rural areas work in the agricultural

Fig 03: Slum population as % of urban polulation

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sector and are therefore highly dependent on climatic stability, a condition that is likely to be worsened by the effects of climate change (Cities Alliance 2019).

Successfully incorporating the fast-growing numbers

leads to the widespread formation of informal settlements as they are the only alternative for them to find affordable accommodation in the city (UN Habitat 2015b).

“[…] poorer populations in the bigger cities are progressively marginalized into “poverty re-gimes” that seem more and more to be inescapable. Thus, informal urbanization expands and, in more or less visible fashion, furthers existing spatial and social segregations.”

Additionally, unbridled property speculation and the forces of the global market have in many cases led to a decreased upward mobility and degradation of the lower middle classes. They too are driven into the informal spaces of cities worldwide (Gadanho 2014).

Gadanho 2014, p.16

of rural-urban migrants into the existing formal structure of the city and keeping up with high birth rates has turned out to be a complex task. Inclusive government policies, effective urban planning systems, investments in new infrastructure and the provision of decent and affordable housing are crucial aspects to be considered for sustainable urban growth (UN-Habitat 2015b).

Attempting this with top-down initiatives often fails.

Reasons for this are mainly corruption, bureaucratic hurdles and insufficient financial resources, common problems facing many of the world’s developing megacities (Gadanho 2014). As rural-urban migrants are predominantly poor, they are unable to compete on the formal housing market, which subsequently Fig 05: Unequal cityscape in Cape Town, South Africa

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The Definition of Slums Although there is no single, universal definition, the one most widely accepted was established by the UN-Habitat (2006) by which slum households are characterized by lacking one or more of the following conditions:

ACCESS TO SUFFICIENT WATER – at an affordable price, available without extreme effort ACCESS TO SANITATION – access to either a private toilet or a public toilet shared with a reasonable number of people SECURITY OF TENURE – documentation proving a secure tenure status or de facto/perceived protection from evictions DURABILITY OF HOUSING – permanent, adequate structure in non-hazardous location SUFFICIENT LIVING AREA – no more than three people sharing a room Adding to this definition that strongly focuses on slum dwellers’ housing conditions, the Cities Alliance (1999) states that slums also often lack other basic municipal services such as: waste collection, accessible schools and clinics, and public space that provides safe areas for children to play and areas for the community.

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Informal Settlements & their Built Environment Informal settlements, of any kind, are found in most countries around the globe and differ widely in their visual appearance, type of location and their resident’s socio-economic conditions. While acknowledging that no settlement is alike, this section aims to highlight some of the common characteristics of their built environment.

Views in Literature & Public Perception.

As explained by Rocco and van Ballegooijen (2018, p.1), there are generally two opposing views on informal settlements and their characteristics:

“The first perspective, more critical, sees informality predominantly in terms of political exclusion, inequality, and poverty. The second, the ‘emancipatory perspective’, frames urban informality as a practice that fosters autonomy, entrepreneurship, and social mobility.”

Rocco & van Ballegooijen 2018, p.1

In some publications, such as Planet of Slums (Davis 2006), focus is laid on the extreme inequality and precarious livelihoods of the urban poor and their structures are perceived as undesirable or pitiful improvisations (Peattie 1992).

Fig 06: Man washing himself inn Dharavi, an informal settlement in Mubai

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Citizens from different social classes within the same city often perceive slum communities as incubators of crime, social neglect and visual pollution (Kellet & Napier 1995). For them, ‘slums’ largely remain visible from an outsider perspective and their opinion is often prejudiced as they stigmatize the existence of the urban poor (Dovey & King 2012a).

Other literature lays an emphasis on the resilient social structures that are found in informal settlements and highlights their overall resourcefulness. They are further described as places full of vitality and productive collaboration that do not exist in the other, formally planned, parts of the city.

Informal cities are no longer just seen as ‘shadow cities’ that passively exist. In Latin America for example, they have a strong influence on urban culture, often in the form of music and art (Hernandez & Lopez 2011).

Fig 07: Informal settlement beneath the Mandaue-Mactan bridge, Philippines

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Location and Spatial Characteristics.

Informal settlements can differ greatly in size and location. Sometimes they consist of not more than a small group of houses, squeezed into the ‘leftover’ spaces of a city and are commonly found along waterfronts, large infrastructure projects and on steep hills. In other cases, they embody whole districts often right within the city centre (Dovey & King 2012a).

other important services difficult (Mukhija 2001).

Additionally, there are only a small number of main roads to further connect and supply multiple dense layers of housing units along their way, affecting the accessibility of settlements and their overall connection to their urban surrounding (De la Hoz 2013).

“[…] the underlying processes that lead to the arrangements and construction of informal settlements are participatory, sophisticated and resilient. Involving a magnitude of actors and ideas, informally grown settlements evolve through negotiation, trial and error, and continuous updating over long periods of time.”

Heisel and Kifle 2016, p.35)

Due to their derelict appearance, including deficits in sanitation and congested living conditions, their qualities in architecture and urban layout are often overlooked. The internal pattern can be viewed as a direct spatial expression of social structures that, in its process, automatically grows suitable to the human scale (Heisel and Kifle 2016).

While this usually makes informal settlements quite pedestrian friendly, their dense and irregular street networks make the provision of infrastructure and

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Fig 08: Woman on her way to get clean water in Dharavi, Mumbai

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Public Space.

The limited availability of land in cities forces squatters to use the existing space as resourcefully as possible.

Consequently, public spaces, in the form of large squares or wide boulevards, usually do not exist within informal settlements. They are, instead, represented by localities, such as small stores and other multi-purpose spaces where people live and work. Additionally, streets play an important role in most people’s social life, as the boundaries between indoors and outdoors, sometimes even between homes, are quite fluid (Heisel and Kifle 2016).

The common absence of sport facilities and areas for recreational activities or community events is sometimes viewed as a major deficit in informal settlements and is a result of a lack of public intervention (Hernandez-Garcia 2010).

Interventions, that aim to provide an appropriate form of public space, must acknowledge the local socio-economic situation. Although commonly stated otherwise, the overall efforts to maintain public facilities have in some cases been quite low (Lastra and Pojani 2018).

Fig 09: Residents painting their streets in Sao Paulo

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Architecture & Construction Process.

Informal settlements differ widely from one place to another in terms of their architectural features. What they have in common is, that the resident’s dwellings are a product of local resources and directly reflect the spatial needs of their everyday life (Heisel & Kifle 2016).

“Informal processes are informed by local conditions such as the availability and condition of space , material, capital, skills, social and cultural habits, and climate and topography” Heisel & Kifle 2016, p.35

Settlements within their specific context usually rely on a collective architectural model that slightly varies from one household to another, a characteristic otherwise known from vernacular settlements (Kowaltowski 1998).

Construction processes are sophisticated, participatory and are usually an ongoing procedure as they include continuous updating over long periods of time (Heisel and Kifle 2016). Residents either build and improve their dwellings entirely themselves, using their own labour and technical know-how, or work in mutual collaboration with other neighbours.

Fig 10: Houses on stilts, Dhaka

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Depending on their financial resources, workers are hired in addition to pour concrete foundations or to lay bricks (De la Hoz 2013).

They are constructed without official permits (Turner 1968) and in many cases, spatial arrangements and final details are decided during construction, as blueprints are non-existent (Kellet & Napier 1995).

Their size is largely determined by the density of a location and the household’s available capital.

Informal settlements are characterized by their lowrise buildings and, due to technological constraints, do not usually exceed a height of more than four storeys.

If space is available, as in the case of settlements within the urban periphery, homes can be quite spacious and include a floor space as large as 100 m². In another context, such as in a highly congested slum in Mumbai, whole families commonly share a space of less than 10 m² (Mukhija 2001).

Fig 11: Street in Dharavi, Mumbai

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Materials & Aesthetical Values.

Informal settlements are built with the use of costeffective and inventive construction techniques, as capital is generally low (Peattie 1992). Although no dwelling unit is alike, the limited range of materials, suitable for construction in the given context, causes the repetitive appearance often associated with informal settlements.

The materials used are diverse and vary from the red brick and mortar, an iconic characteristic of favelas in Brazil, to bamboo and corrugated metal sheets, commonly found in southeast Asian cities. Other materials, widely in use for informal construction purposes, include plastics, tarpaulins, recycled rubber, timber, steel, concrete, mud and earth blocks, and differ with geographic location, economy, climate, culture and density (Dovey & King 2012a).

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Fig 12: Red bricks in a Favela, Rio de Janeiro

If locally available, squatters make use of traditional building materials and technologies that have been adapted from their original rural environments.

However, the main requirements for material choice are affordability and good transport properties, as in their light weight and compact size.

As they represent progress and wealth, industrially manufactured products, such as concrete or steel, are generally preferred over the more traditional materials, such as earth bricks or bamboo (Dovey & King 2012b).

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Contrary to frequent assumptions, an informally built environment is not solely the physical manifestation of bare survival. Usually, every dwelling and home reveals personal details that express the individual, esthetical values of its residents (Hernandez-Garcia 2010).

Examples are religious statues or simple ornamental features on the facade and can be understood as meaningful symbols of pride and personal expression (Dovey & King 2012b). The resident’s general longing for an upward mobility is often seen in design elements that are otherwise typically found within formal architecture or represent “western” values (Kowaltowski 1998).

Fig 13: New building materials in an informal settlement in Abuja, Nigeria

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Fig 14: Vernacular building technology in Korogocho, Nairobi

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Challenging Slums Governments over time have pursued different strategies to deal with the existence of slums. These include: Forced eviction, relocation, public housing, sites and services schemes, upgrading or they were simply ignored (UN-Habitat 2015b).

Evictions often occur for reasons such as making space for large-scale development projects or upcoming global events, as for instance the Olympic Games in Rio de Janeiro (Durand-Lasserve 2005). According to the Centre for Housing Rights and Evictions, approximately 18 million people were forcefully evicted between 1998 and 2008 (UN-Habitat 2011).

In fact, “slum clearance was so widespread during the 1970s United Nations officials estimated that governments were destroying annually more lowincome housing than they were building” (Werlin 1999, p.1524). Besides being financially costly and socially destructive, slum clearances have repeatedly proven to be unsuccessful. Especially, when no other acceptable housing alternatives are provided, the displaced occupants quickly find new locations in the city and often even in slums close by (UN-Habitat 2015a).

Fig 15: Forced eviction and demolition of the Sattala Slum, Dhaka

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Another common strategy is the relocation of slum dwellers. The housing designs provided have, however, sometimes proven to be inappropriate, and relocation sites are often too far from the city centre, therefore increasing transport costs while also disconnecting people from income opportunities.

Sites and services schemes present a slightly different approach in the sense that relocation sites with road networks, basic infrastructure and community facilities are provided but no actual houses are constructed (although sometimes core units with wet rooms are set up). Occupants instead are expected to build or extend their own house and, with the intention that the use of affordable building materials is possible, building regulations are usually relaxed.

Fig 17: Subsidised Puplic Housing next to the Kibera Slum, Nairobi

This method can be beneficial as long as the process is voluntary and allows for a certain flexibility in the way occupants shape their home, but the same challenges in terms of accessibility remain if the site is located too far out in the periphery.

Slum Upgrading programmes, on the other hand, have shown to be a legitimate and cost-effective way to improve the living conditions of slum dwellers, while also enhancing the existing urban environment. It is the only strategy that builds upon the financial and social investments that slum dwellers have made in their communities and homes. Of all the approaches, slum upgrading remains the most financially and socially appropriate to address the challenge of existing slums (UN-Habitat 2015b).

Fig 16: Relocation Site in the Philippines

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Slum Upgrading.

In principle, slum upgrading involves the improvement of housing and/or basic infrastructure in marginalized urban communities leading to further enhancement of social and economic activities (UNHabitat 2004).

“slum upgrading remains the most financially and socially appropriate approach to addressing the challenge of existing slums” UN-Habitat 2015b, p.15

Fig 18: Slum upgrading project by U-TT in Cape Town

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The first urban large development projects in slums were carried out in the 1970s and 1980s and were considerably influenced by the publications of John F. Turner, a British architect, who had studied the informal settlements in Peru for multiple years. In his view, the governments’ actions should be more or less limited to the provision of public services and necessary environmental improvements. Meanwhile, slum dwellers themselves are in control of gradually improving their housing and overall living conditions (Turner 1968). While initial programmes showed promising results, further maintenance often turned out to be a common issue, since neither government nor residents felt a real sense of responsibility. It became clear that combining an authoritarian and humanistic approach, was the better strategy to be pursued (Werlin 1999).

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Since the 1990s, a lot of experience has been gained from implemented projects, and the Cities Alliance (1999, p.14), identified four important aspects to be considered for future initiatives:

Community Participation – working with households and designing projects from the ‘bottom up’ Consideration of Costs – designing interventions that are affordable for the community and local government Achievement of Synergies – integrating different policies to address poverty, vulnerability and to promote economic growth at the city level and national scale Multiple Stakeholder Involvement – incorporating the local government, community-based organizations, NGOs, and other agencies (e.g. UN- Habitat) into the programme Letting the community participate in decision making, design and construction of the slum upgrading project is vital for success (UN-Habitat 2015b). The result is a type of hands-on urbanism that can produce powerful, tactical interventions (Gadanho 2014). Within complex and unattached urban environments, these “urban Catalysts” often have an advantage over conventional, large-scale interventions. (Oswalt, Overmeyer & Misselwitz 2013)

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Fig 19: Community Cooker Project in Nairobi: Residents collect or sort trash and can cook for free in return

Establishing a robust community organization during the process leads to local self-reliance and ensures that proper maintenance can be expected even after completion. Complications, as experienced in the past, usually arise from poorly managed initiatives with poor communication between agencies and community members. If the community is not convinced enough to provide control, the newly developed public space is threatened by encroachment of new squatters, which could further undermine the entire project (UN-Habitat 2015b).

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During the design phase of an upgrading programme, it is important to realize that funding commitments will usually not all be available at once and some improvements will have to be prioritized. Setting up highly visible improvements at an early stage is advisable in order to “create confidence in the programme and serve as a sign of good faith” (UNHabitat 2015b, p.52).

Confirming the settlements’ status of land tenure in advance should be a priority (Werlin 1999). Having tenure security is the only way to completely avoid eviction of the residents of an area that is about to be involved in an upgrading scheme. Simultaneously, it is the only effective leverage factor to ensure residents pay bills, enabling project cost recovery over time.

Secure tenure will also increase the resident’s willingness to further maintain the provided infrastructure and to invest more capital into their homes (Durand-Lasserve & Seloud 2009).

Fig 20: Half-built housing units in Monterrey, Chile

Settlements are generally not suitable for upgrading, if they are built on a site that has only recently been occupied, is critically endangered by unsolvable environmental problems or is located on land reserved for an alternative use, such as schemes that are truly beneficial for the entire city (UN-Habitat 2015b).

Fig 21: Residents‘ incrementally & self-constructed expansions

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A Street-Led Approach.

Regardless of the positive impact that upgrading programmes can achieve in slums, as long as there is an absence of functioning street networks, they are still seen as islands of poverty and are segregated from the overall urban system (UN-Habitat 2016).

Therefore, agencies such as the UN-Habitat have widely promoted a street-led approach to upgrading and state that streets are not only a major factor for improved mobility and accessibility but also present “a common good in slums where social, cultural and economic activities are articulated, reinforced and facilitated” (UN-Habitat 2015b).

Fig 22: Before and after: Street upgrading in La Vega, Caracas

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Fig 23: Before & after: Bang Bua Canal community upgrading, Bangkok

Especially in densely inhabited settlements, a wellfunctioning network of streets has the potential to trigger economic activity, provide spaces for shops and services, while they can also establish a sense of neighbourhood identity. In fact, defining street names and house numbering can be an important first step in gaining the citizens rights which slum dwellers usually do not have.

During the process of widening existing streets and making space for new ones, a concept must be developed to relocate the settlers affected, ideally within or nearby the upgraded area. Tradeoffs between inevitable relocation and improved accessibility are the community’s concern and must be discussed. After all, a strong participatory planning process can prevent the disruption of social networks and enable the identification of priority zones (UN-Habitat 2016).

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The Context of Metro Manila

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Overview

Philippine Sea Luzon

South China Sea Philippines

Sulu Sea

Malaysia

Celebes Sea

National Overview.

The Republic of the Philippines is an archipelago of 7,107 islands in the western Pacific Ocean. Luzon, the largest island group, lies in the north of the country and is home to more than half of the Philippines‘ total population. It is the economic and political centre of the nation and home to Metro Manila, commonly referred to as the National Capital Region (Cullinane, Borlaza & Hernandez 2019).

In 2015 the country‘s total population was estimated at about 101.6 million (Philippine Statistics Authority 2015) which is projected to reach 148 million by the year of 2050. As evident in many developing countries, its population is predominantly young.

Around 60 percent of the population are under 30 years old, of which more than half (33 percent) are aged below 15 (UN-DESA 2015).

Since the 1960s, the urban population in the Philippines has grown by over 50 million people, thus making it one of the fastest urbanizing countries in the East Asia and Pacific region. It is estimated that by the year of 2050, more than 65 percent of the country’s total population will be living in urban areas - an equivalent to approximately 102 million people (World Bank 2017).

Fig 24: Map of the Philippine Archipelago

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The climate of the Philippines is mainly tropical and characterized by strong monsoon periods. Besides being considered to be at a high risk of earthquakes, large parts of the archipelago are also frequently struck by typhoons between June and December, particularly dangerous when accompanied by floods or high winds (Cullinane, Borlaza & Hernandez 2019).

The Philippines are therefore considered to be one of the most disaster-prone countries in the world and was ranked fourth in the world in terms of how many people were affected by natural disasters in the last 20 years (UNISDR 2015). Its dense urban agglomerations are particularly vulnerable to natural disasters and already severely affected by the consequences of climate-change, often with devastating consequences for the urban poor (Israel & Bunao 2016).

Fig 25: City of Guiuan, devastated by Typhoon Haiyan in 2013

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Metropolitan Manila.

Metro Manila, also known as the National Capital Region, is an urban agglomeration in southwestern Luzon and is comprised of 11 cities (including the City of Manila, the capital and Quezon City, the largest) as well as 6 municipalities. The metropolitan region has a total land area of roughly 636 km² (Manasan & Mercado 1999) and, as of 2015, a population of more than 11.9 million.

Metro Manila

Manila Bay

The extended urban area, which further includes the provinces of Region IV-A (Calabarzon), had an estimated total population of 24.6 million in 2015, ranking it as one of the largest urban agglomerations worldwide (Philippine Statistics Authority 2015).

The city of Manila, with its 1.7 million inhabitants, has a density of 71.263 people/km², making it the most densely populated city in the world (Philippine Statistics Authority 2016).

Moreover, the National Capital Region is the country’s primary economic centre. Including Calabarzon, it is responsible for more than half of the country’s economic output, while occupying less than 4 percent of the national territory (Singh & Gadgil 2017).

Fig 26: Satellite map of Metro Manila

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Slums in Metro Manila

General.

No other country in Southeast Asia is affected by homelessness and urban poverty as much as the Philippines. Managing informal settlements and their uncontrolled growth have become a major challenge for both national and local government agencies (HUDCC 2016).

In Metro Manila, specifically, around four million people reside in informal settlements – an equivalent to nearly 40 percent (Ballesteros 2011). It is estimated that by the year of 2050, Metro Manila could have as many as nine million settlers living in slums (Ballesteros 2010).

While some informal settlements were established as early as the 1920s, the local slum development peaked between 1970 and the late 1990s. Quezon City experienced high rates of slum development until the mid-2000s and currently has the largest area of informal settlements within the National Capital Region at nearly 34 percent. In comparison, Manila City and Muntinlupa have around 6 percent and 4 percent respectively (Singh & Gadgil 2017).

Fig 27: An informal settlment in Manila built right next to the sea

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Characteristics and Typologies.

Generally, slum communities are present in any vacant space that can be occupied – along rivers and creeks, under bridges, beside industrial establishments on dumpsites or in between formal residential areas (Ragragio 2003). Nearly half (43 percent) of the informal settlements have been built on government-owned land, while others are either located on private property or disaster-prone areas, considered unsafe to build on (HUDCC 2016).

(1) Highly Dense. Built very densely with no or only a few open spaces, buildings as small compact units; (2) Linear Dry. These are located along railway tracks and other infrastructure projects; (3) Wet. Defined by their proximity to rivers and the seashore; (4) Pocket. Densely built, often small in-between spaces; (5) Mixed. Usually built less dense and composed of bigger buildings along with small objects, sometimes appears within formal residential areas.

The construction methods used are quite similar throughout the metropolis but can be broadly categorized into three groups: (1) make-shift huts, made of salvaged materials; (2) semi-permanent shelters, often built with a solid base; (3) permanent shelters, built with durable building materials, sometimes not visually distinguishable from formal houses.

Metro Manila’s slums are not segregated from formal parts of the city in the way that typical ghettos are in other countries and can therefore not be geographically defined (Ragragio 2003).

In a research project by the World Bank five different slum typologies were identified (Singh & Gadgil 2017). They are characterized by location attributes and their geometric form, resulting in the following definitions:

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Fig 28: Percentage and number of informal settlements in Metro Manila

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Community Life & the Costs of Living.

Slums in Metro Manila are vibrant spaces of economic and social activity (Singh & Gadgil 2017). As characteristic for informal settlements, community life takes place in the dense networks of streets and small common areas where living and working spaces are highly intertwined (Dovey 2013).

The public sphere enables the exchange of valuable information through social interactions and is efficiently utilized for domestic production and other economic activities to support income generation (Singh & Gadgil 2017).

As a result, informal settlements develop a strong sense of community and support each other in their daily life. In the absence of state assistance, their community structures enable a social support system which includes the provision of food and basic supplies, assistance with childcare and mutual help in the time of emergencies, when for example floods occur (Singh & Gadgil 2017).

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Fig 29: Community life in Manila

The average household size in slums, when including members of the extended family, is made up of nine people with an average age of 26 years (Singh & Gadgil 2017). Residents have often lived in their localities for over twenty years, sometimes already ‘owning’ the place in second or third generation. The common unit size has somewhere between 12 m² and 20 m² of usable space and with no or only minimal perimeter space surrounding it (Ragragio 2003).

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A slum household in Metro Manila spends more than half of its income on food. Depending on the overall economic situation of the settlement, the average for food expenses can range from 62 percent to an average of 77 percent in the most depressed slums.

Further, around 13 percent are spent on transport costs and 10 percent on utilities, such as water clothing and rent (Ragragio 2003).

Fig 31: A resently occupied building and new home

Housing costs can range from having no regular expenses at all, to consuming more than 25 percent of a household’s monthly income and differs from one settlement to another. Slum dwellers are also commonly exploited by so-called ‘slumlords’, who either charge them with disproportionally high rents, or demand an initial fee for “right” to a housing plot (Ragragio 2003).

Fig 30: Children eating noodles mixed with rice and dried fish

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Informal Economy & Income Poverty.

In Metro Manila, slums are commonly perceived as a burden to the city. Although in reality, these communities are highly productive and contribute widely to the city’s overall economy. Not only do slums often develop their own, internally functioning micro-economy, but their workers in the roles of porters, guards, drivers and cleaners also form the backbone for the cities’ service sector and further its competitiveness on the global market (Shatkin 2004).

When access to the formal job market is limited, informal self-employment is a common alternative to generate an income (Baker 2008). The earnings might be able to provide a livelihood for the family but exclude slum dwellers from accessing credit and leave them vulnerable to the authorities, who all too often expect bribes or otherwise threaten to shut down the business.

Informally employed workers regularly experience unfair working hours and withheld wages. They are essentially left at the mercy of their employers as they do not have an employment contract (ILO and ADB 2011).

Two thirds of all urban jobs in Metro Manila are informal (Nguyen & Packard 2014) and most slum dwellers are engaged in low-skill employment with many of them earning less than two thirds of the median wage (Rutkowski , Okamura, Hamanaka & Avalos 2016). Consequently, urban poverty is rather a result of low salaries than absolute joblessness, increasingly fostering social inequality throughout Metro Manila over the last decades (Singh & Gadgil 2017).

Fig 32: A couple with their home and shop in Cemeterio del Norte

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Environmental Deprivations.

A majority of the slum communities in Metro Manila are located along rivers, close to the seashore, next to dumpsites or along major highways. They are therefore particularly affected by environmental problems such as congestion, flooding and the pollution water and air (Ballesteros 2010).

Flooding occurs regularly and is caused by seasonal rainfalls and typhoons. It is estimated that, in the face of climate change, flood risk areas in Metro Manila could increase by 42 percent until 2050. Ultimately, 2.5 million people would be affected, leaving slums in their low-lying locations at special risk (World Bank 2010).

Besides damaging property and being potentially life threatening, floods can bring everyday life in slums to a halt and therefore prevent residents from the possibility to work. Their much-needed daily income is essential to buy food or pay bills for healthcare and education (Ballesteros 2010).

Fig 33: A flooded street in a Manila slum

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Congested living conditions, when combined with flammable construction materials and narrow street networks, make slums highly vulnerable to outbreaks of devastating fires (Singh & Gadgil 2017). In slums with high density, such as Baseco in Manila’s port area, widespread fires regularly leave numerous families homeless (Ballesteros 2010).

Pollution affects slum dwellers’ lives in many ways.

Living close to major roads, for example, exposes residents to heavily polluted air, which can further lead to lung and heart diseases.

Fig 35: Dump site „Smokey Mountain“ in Tondo, Manila

When families live close to dumpsites and generate their income through scavenging, they are constantly exposed to harmful bacteria, fungi and other substances that could have large impacts on their well-being. Water, contaminated with sewerage and other harmful substances, poses an additional serious health risk (Ballesteros 2010).

Polluted rivers and coastal areas affect aquatic life and therefore exclude fishing from being a potential source of income (Padilla 1996).

Fig 34: An informal settlement destroyed by fire

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(No) Access to Basic Services Many of the urban poor in Metro Manila do not have access to basic services such as water connections, waste collection or sewerage systems.

The insufficient provision of affordable, resilient infrastructure constrains local development and in return, intensifies poverty while also making urban slum communities even more vulnerable to natural disasters (Bhattacharya, Oppenheim and Stern 2015). The government’s current investments are not only inadequate to extend urgently needed, new urban infrastructure, but are also insufficient to maintain the existing one (GHK International Ltd. UKG 2009).

Electricity.

Although less than half of the slum households are officially connected to the electricity grid, nearly all of them (97 percent) have access to electricity in some form (Ballesteros 2010). Some informal settler families register to the grid as a group, while others install illegal and unsafe “jumper” connections, usually from their neighbour’s line. Financing regular payments can present an issue for slum dwellers.

Thus, informal service providers, often slum residents themselves, offer more flexible payment opportunities, but in return usually demand a higher price (Singh & Gadgil 2017).

Fig 36: Electircity cables in Baseco, Manila

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Water.

A third of all households in Metro Manila do not have a piped water connection. Even if a connection to the water network could technically be established, high new user connection fees and administrative requirements, such as land titles, often prevent slum dwellers from doing so (World Bank 2017).

Of those that have access to piped water, a large percentage uses it only for domestic activities and not for drinking (Singh & Gadgil 2017). Drinking water is, instead, commonly purchased from private water vendors that is often not safe and who demand a price that is up to ten times higher than residents of fully serviced neighbourhoods pay (Ballesteros 2010).

Fig 38: Open sewer system in „Smokey Mountain“ , Tondo

Sanitation & Wastewater Management.

Only about 15 percent of the sewage generated in Metro Manila is properly treated. Other domestic wastewater is drained into the rivers and coastal waters, causing serious environmental problems and exposes the majority of the population to raw sewage.

Most households use pit latrines or septic tanks instead, but these are often not properly maintained.

In settlements on dumpsites and along coastal areas, where toilet construction is more complicated, open defecation is a common practice as there are often no sanitary facilities at all (AECOM 2010).

Fig 37: A woman and water vendor in the Baseco Compound, Manila

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Solid Waste Management.

The immense population, its high consumption rates and the large volume of non-biodegradable waste have brought the waste management capacities in Metro Manila to exhaustion. The residents‘ poor waste disposal habits paired with deficient facilities and ineffective coping strategies have caused many informal settlements to look and smell more like a landfill than a city (Voltaire 2012).

Metro Manila produces more than 7000 tons of solid waste per day of which less than 10 percent is recycled or composted. The remaining 90 percent, or more than 6000 tons daily, are either brought to one of the city’s enormous dumpsites, burned openly, causing toxic smoke or are dumped illegally, ending up in rivers and Manila Bay, for example (ADB 2004).

Fig 40: A waste picker in „Smokey Mountain“, Tondo

The 2000 tons of daily generated, biodegradable household waste could theoretically be turned into roughly 1000 tons of fertile compost. The few active composting facilities cannot however process such amounts and merely produce around 10 tonnes per day.

Countless people earn their daily living based on this waste management and many businesses have developed as a result. When taking into account the numbers of scavengers, their families, recycling crews and junk shop workers among others, it has been estimated that more than 150,000 people in Metro Manila live on, around and from garbage in one way or another. The resulting health hazards and soil/water contamination from leachate present an imminent threat to both mankind and the environment (ADB 2004).

Fig 39: A waste infested canal in Metro Manila

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Challenging Slums in Manila

Overview.

Over the past few decades, the local governments of Metro Manila’s cities have pursued different strategies to deal with their omnipresent and progressively sprawling slums. Ignoring them or building fences along these settlements to hide their existence has been a common practice (Hodal 2013). Apart from that, authorities regularly carry out forced evictions and out of city relocation programmes, often with immense socio-economic consequences for the affected, disrupting established social networks and resulting in the loss of their livelihood (Singh & Gadgil 2017).

A study found that after five years of resettlement, there was an income gap of more than 50 percent between informal settler families who were resettled out in the urban periphery and those families that remained within the city area.

Additionally, the out of city resettlement resulted in increased transportation costs to schools and workplaces (World Bank 2017b). Widespread demolitions and forced evictions still continue and in 2010, as many as 400,000 families in Metro Manila were still at risk of being displaced (Haj-Omar 2010).

Fig 41: Aerial view of Metro Manila and its dense settlements

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However, government programmes led by National Housing Authority and numerous NGOs are working on promising concepts to provide safe and floodresilient housing solutions for informal settler families in Metro Manila’s endangered areas (HUDCC 2016).

The overall focus has shifted towards onsite and incity development schemes whenever possible often involving multiple stakeholders. In the best case, the national government or donor organisations, such as the Asian Development Bank, provide the financing, local government units deliver the land and the private sector or NGOs are responsible for implementation and further management of the project (Hodal 2013).

Fig 43: Off-city resettlement housing for evicted informal dwellers

Still, most slum upgrading initiatives remain limited in scale and about 75 percent of resettlement occurs out of city, also due to high property prices and limited land availability. The National Housing Authority (NHA), a government agency responsible for public housing, has in response initiated medium-rise, high-density housing schemes that are located within the city (HUDCC 2016) but, according to estimates by the World Bank, would remain unaffordable to more than 60 percent of Manila’s slum dwellers, unless further subsidised by the government (Singh & Gadgil 2017).

Fig 42: Typhoon-resistant homes, project led by Habitat for Humanity

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The lives of slum dwellers in Metro Manila are determined by multidimensional informality. In order to come up with sustainable models of urban upgrading, it is crucial not to simply reduce the term informality to their housing situation. (Singh and Gadgil 2017)

Fig 44: A puplic housing project by the National Housing Authority

Informal settlements are highly complex in terms of their socio-economic characteristics, their informal employment market and in terms of their spatial diversity. Slum upgrading programmes that have been realized in Metro Manila so far largely fail to incorporate this into their design and thus often prove to be limited in success (Singh and Gadgil 2017). In many cases, low-income public housing schemes and their small apartment units do not provide the necessary flexibility that their users need for daily tasks. Their design typically includes less space for productive, multi-use areas and is sometimes described as an “artificially imposed formality” (Singh and Gadgil 2017, p.64).

Fig 45: Community life on the streets

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Research Conclusion The first chapter gave a general overview about informal settlements, highlighted the characteristics of their built environment and evaluated strategies that have been pursued to challenge slums.

Key findings are:

1.

In much of the developing world, informal settlements are already the dominant form of urban landscape and the UN-Habitat predicts that the number of informal settlers will reach 3 billion by the year of 2050.

2.

On the one hand many informal settlements are defined by extreme inequality, deficits in sanitation, and the precarious livelihoods of their residents, on the other hand they also prove to have resilient social structures and are places of productive collaboration and vitality.

3.

Their resident’s dwellings are a product of local resources that directly reflect the spatial needs of everyday life and are built with the use of cost effective and inventive construction techniques.

5.

On-site upgrading programmes remain the most financially and socially appropriate approach to addressing the challenge of existing slums.

6. Important aspects for successful implementation are: • intensive community participation • a realistic consideration of costs • achieving synergies between different projects • involving multiple stakeholders, such as governments, NGOs and the private sector 7.

Focusing on the improvement of streets is crucial, as they are a major factor for mobility and accessibility and present a common good in slums where social, cultural and economic activities take place.

4.

The construction process is typically sophisticated, participatory and must be seen as an ongoing procedure as the homes are continuously updated over time.

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Adding to the genereal research, the second chapter specifically focused on informal settlements in the context of Metro Manila and outlined the socio-economic conditions and major concerns of the urban poor.

Key findings are:

community structures. They are highly productive, often develop their own, internally functioning economic systems.

1.

Continued rapid growth over the next decades will intensify the housing shortage and even more people will be required to find shelter in the city’s informal settlements.

6.

Forced evictions and off-city relocation programmes often have immense socio-economic consequences and are ineffective as, in many cases, slum dwellers return to build new homes in other settlements close by.

2.

Due to their location and characteristics, slums in Manila are particularly affected by congestion, fire hazards, flooding and multiple forms of pollution (water, air and noise).

3. Multidimensional poverty in slums is intensified by the lack of basic services and infrastructure, such as water connections, waste collection or sewerage systems. Current investments are not only inadequate to extend urgently needed, new urban infrastructure, but are also insufficient to maintain the existing.

4.

The city‘s informal settlements are vibrant spaces of economic and social activity with strong

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5.

While housing costs are usually minimal, a slum household in Metro Manila spends more than half of its income on food.

7.

On-site upgrading programmes have so far remained very limited in scale and largely focus on the provision of public housing units. Their rents are not affordable for a majority of slum dwellers and their design usually do not respond to spatial needs, such as multi-use spaces that are necessary for income generating activities and flexibility.

The next chapter will analyse a typical and representative slum in Manila, the Baseco Compound.

It will be used as a case study to ultimately develop a sustainable urban planning concept, that effectively responds to the socio-economic reality of its residents.

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Site Analysis

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The Baseco Compound Site.

The Baseco Compound, in the west of Manila City, is a dense informal settlement that has largely been built on reclaimed land. It is bordered by the Pasig river in the north, the Port of Manila in the east, and is surrounded by Manila Bay in the south and west.

Only one road in the northeast physically connects the settlement to the remaining city. The area has an overall size of 54 hectares and a total population of 51,060 (Mapua Institute of Technology 2013).

City of Manila

1998

Manila Bay

2003

2018

Fig 46: Baseco in the context oft Manila City

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Fig 47: Land reclamation 1998-2018

History.

Originally the land belonged to the Bataan Shipping and Engineering Corporation (BASECO) and was not more than a dumpsite next to the port area. The first illegal structures were built by rural-urban migrants in the late 1980s, who further expanded the land area with waste infills incrementally. (Zelda 2003) In 2002 more than 6000 families inhabited the settlement and was officially recognized as ‚Barangay 649‘ by the government. Following on from this, the government reclaimed more artificial land until the settlement reached its present size.

As over the pasts two decade several devastating fires made hundreds of families homeless, different NGOs built large scale public housing schemes.

Today the settlement is characterized by countless make-shift huts, public institutions, such as schools, NGO housing blocks and port warehouses (Mapua Institute of Technology 2013).

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Housing Statistics Tenure Status & Building Typologies.

Total No. of Families

10,712

Total No. of Structures

8,984

Owner Renter Sharer Rent Free No Census Data

5,770 (53.9%) 2,800 (26.1%) 250 (02.3%) 195 (01.8%) 1,697 (15.8%)

Make-Shift Hut:

57.7% Baseco Compound Semi-Concrete:

39.9% Manila Bay

Fig 48: Satellite Image of Baseco

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Concrete:

02.4% Data: December 2010 (Mapua Institute of Technology, 2013)

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Socio-Economic Data Population.

Total No. of Families Total Population

10,712 51,060

Age Level.

Below 18 years old 18-59 years old Above 60 years old

30,588 (59.9%) 19,630 (38.4%) 842 (01.7%)

Average Monthly Income.

1,000 Php and below 1,001 Php - 5,000 Php

438 3,941

Sources of Income.

Fig 49: Tricycle driver in Baseco

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Primary

Secondary

• Fishing • Vending • Tricycle & Pedicab Driving • Scavenging • Pier Worker

• Truck & Private Employee • Construction Worker & Labourer • Government & Private Employee • Overseas Worker • Security Guard

Data: December 2010 (Mapua Institute of Technology, 2013)

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Landmarks Health.

• Health Care Centre I • Health Care Centre II Education.

• Elementary School I • Elementary School II • High School

Religious Institutions.

Public Facilities.

• Public Toilet • Covered Basketball Court • Multi-Purpose Hall • Staging Area Fig 50: Landmark map

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• United Pentecotal Church • Iglesia Ni Cristo • Seventh-Day Adventist Church • Sto. Niño De Baseco Parish • Al-Shatie Mosque & Cultural Centre • Ang Dating Daan • Saesoon Church • Mission Church • Baseco Mosque • Tamakan Church Official Institutions.

• Police Station • Barangay Hall (Local Government) • Evacuation Centre Data: December 2010 (Mapua Institute of Technology, 2013)

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Street Analysis

Area Analysis Formal Informal

Fig 51: Map of formal & informal areas

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Fig 52: Streets of Baseco

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Street Network & Overall Integration

Street Hierarchies main roads

high

secondary roads

medium

small paths

low

Fig 53: Existing street network

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Overall Integration

Fig 54: Integration analysis of individual streets in the overall existing street network

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Construction Materials Corrugated Sheet Metal • roofing • cladding • railings • sunshade Tarpaulin • roofing • cladding • sunshade Bamboo • fencing • light walls • roof construction • flooring Wood • cladding • flooring • load-bearing frame structures Concrete & Concrete Bricks • solid walls • foundations • flooring • load-bearing frame structures Fig 55: Most common construction materials in Baseco

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Key Findings 1.

More than half of Baseco‘s residents are land owners. Only 2.4 % of structures are fully built from solid construction materials, while others are make-shift huts or semi-concrete structures.

2. old.

Nearly 60 percent of the population is younger than 19 years

3.

With the exception of religious institutions, all public facilities are located within the formal area.

4.

While the roads withing the formal areas are paved and relatively wide, the streets and alleys in the informal parts are largely made from gravel and have stagnant water and open sewerage 5.

The overall connectivety of streets in the formal area is good, while the informal street network is narrow, has many dead ends and no functional hierachy of roads.

6.

Only a small amount of construction materials is used throughout the settlement; bamboo splits, concrete bricks and corrugated metal are the most common 5.

Most structures are built in a combination of a solid base and light weight frameworks

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Concept

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Design Goals

This thesis aims to develop a concept that could improve the living conditions of residents within the Baseco Compound.

While substandard housing structures are an issue, which residents can, with the right resources, solve themselves, challenges with improving streets, public facilities and infrastructure are not within their reach.

The approach is to, first, design an improved street network that improves the overall connectivity within the settlement and lays the foundation for further development.

A next step is to develop an architectural typology, that uses sustainable and locally available building materials, and can be built incrementally.

Its main function will be to provide basic services through decentralized systems of infrastructure.

A further goal is to establish public facilities that are so far mostly absent within the settlement and have the potential to generate income, provide spaces for local production and create new forms of social and public space.

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Providing Infrastructure

A key factor for improving living conditions in Baseco is the provision of infrastructure and basic services.

Conventionally, infrastructural systems are planned top-down by the city administration and involve massive investments.

A shift from the centralized, linear and monofunctional approach to a more decentral, circular and dynamic system should be considered as a solution.

Urban infrastructure, including the management of water resources, waste recycling, energy generation and even food production, could be imagined as a synergistic ecosystem that effectively multiplies its functionality as a whole.

In order to implement this strategy within the context of Baseco, solutions must be affordable, socially acceptable and rather low-tech, so that they can be understood and maintained by the community.

The following concept considers an incremental addition of individual components at different stages and can be further extended as required.

Fig 56: Water hoses connecting households in Baseco

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Greywater recycling.

Domestic wastewater, produced by households during washing and bathing, and [1] rainwater is collected in [2] greywater storage tanks. Multiple [3] membrane filtration systems immediately turn the greywater into [4] drinkable, potable water that can be used for cooking and drinking.

Solid Solid Waste Waste

55

11 44

33

Domestic Domestic Wastewater Wastewater 44

33

22

22 11

Fig 58: Diagram of the waste management cycle

Solid waste management.

Households are responsible for bringing their waste to the closest [1. waste collection facility]. There it is sorted into non-recyclables that are [2. collected] and processed outside the settlement and recyclables that have [3. value] and/or can be used for further [4. production] to create new products.

Fig 57: Diagram of the greywater cycle

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Human waste.

A [1. urine diversion toilet] separates feces and urine. [2. Feces] are collected and stored in a small container that functions as a [3. biogas unit]. The generated [4. biogas] is stored safely and can be used for [5. cooking and energy generation].

The separated [6. urine] is run through a [7. filtration system] that extracts a [8. nutrient rich solution] that can be further used for crop irrigation.

Organic Waste

6

1

2 3

8

Human Waste

5

5

4

7

Fig 60: Diagram of the organic waste cycle

4

1

Urine 6

feces 3 Fig 59: Diagram of the human waste cycle

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2

Organic waste.

Organic waste is brought to a [1. compostation unit] and is decomposed using [2. fly larvae]. The larvae is fed to [3. livestock] and [4. fish]. [5. Crops] are grown vertically in an aquaponic system using the nutrient rich solution gained from urine. Crops, livestock and fish can be used for [6. income generation and food].

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Establishing Public Facilities Basic Services.

As identified during the research, there is a strong sense of community within the informal settlements of Manila. Adding this to the fact that many of Baseco‘s households are incapable of having their own basic amenities, the establishment of public facilities is of great importance and could largely benefit the community as a whole.

Facilities that provide basic services should be a priority and include public sanitation units, potable water stations, decentral waste collection centers, and flood platforms to protect the residents in case of emergency.

Enhancing Productivety.

Another research finding is that Manila‘s informal settlements are highly productive environments. Both private and public spaces commonly have multiple fuctions at once and serve as spaces for income generation and social exchange simultaneously.

Promoting urban productivity should consequently also play a key role in the concept. Imaginable among others are facilities that provide space for microindustries, small-scale aquaculture and livestock, low-tech vertical farming units and additional space for commercial activities. Community kitchens and shared tool sheds could also prove to be highly beneficial for Baseco‘s residents.

Fig 61: Public washroom in an informal settlement, Manila

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Livestock & Aquaculture

Compostation Unit

Potable Water Station

Public Sanitation Unit

Shared Kitchen

Temporary Commercial Units

Micro Industries

Vertical Farming Unit

Local Waste Collection & Separation

Healthcare Unit

Flood-Safe Spaces

Shared Tool Sheds Fig 62: Basic concept of public facilities

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Finding New Building Materials As made evident by the material anaylsis, structures in Baseco are largely made from low-value materials.

When applied in an unprocessed state (bamboo splits, untreated timber, unfinished steel etc.), they have a short lifespan, show weak mechanical properties and can present serious fire hazards.

Local Production.

A fundamental part of the overall concept is to introduce building materials that can be produced in small- and low-tech production facilities within the settlement. While making use of locally available resources and skills, this will generate income within the settlement, make more types of building materials affordable to the community and can, ideally, lead the construction sector in Baseco to a more sustainable future making it less dependent on imported materials such as concrete and steel.

Fig 63: Typical make-shift hut in Baseco

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Process.

The following pages present two exemplary production cycles that are conceivable within the context of Baseco.

The first one shows how structural beams can be fabricated from bamboo strips, otherwise solely used for non-structural applications, such as fencing and facade cladding.

The second production cycle presents how interlocking bricks can be made from plastic waste that currently pollutes the environment of Baseco.

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1

2

3

Fig 65: Comparison of raw bamboo splits and woven bamboo fibre before lamination

4

5

Woven Bamboo Beams.

(1) Culms are split; (2) the area of the strip containing most fibre bundles is mechanically extracted with a circular saw; (3) strips are woven together and soaked in resin; (4) multiple layers are pressed together at around 70 °C; (5) beams are cut into shape and reinforced with metal sheets for durability

Fig 64: Laminated bamboo production diagram

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1

2

3

Fig 67: Comparison of plastic waste and the recycled brick

4

Plastic Building Blocks.

(1) Unsorted, collected plastic is shredded; (2) shredded plastic particles are washed and dried; (3) plastic particles are layed into a brick mold; (4) and put into an oven at around 100 °C; (5) stackable plastic brick can be used immediately

5 Fig 66: Recycled plastic brick production diagram

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Concept Implementation

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Upgrading Streets

In order to provide a basis for larger interventions within Baseco, finding a holistic solution to improve the settlement‘s inefficient street network was identified as a crucial first step.

The present network was analyzed with the support of Space Synthax, a software that visually interprets the spatial relationships between all streets within a system.

The following concept is based on a combination of the analysis results and the presently existing local circumstances in Baseco.

The second step towards the final upgrading scheme was to identifiy hierarchies of street typologies, including main streets, secondary streets and narrow paths.

The main streets are envisioned to function as the network‘s ‚arteries‘ allowing larger verhicles, such as trucks supplying construction related goods and include low-tech drainage systems for the managemant of storm water and aim to decrease the risk of stagnant water in the event of flooding.

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Improving the Street Network Analysing the existing street network with Depth Map (Fig.54) highlighted that the many dead ends within the informal area have a highly adverse effect on the overall integration of its streets. Consequently, the first step to upgrade the street network is to eliminate dead ends and allow the overall system to flow (Fig. 69).

As the analysis of the first street extension still demonstrated an inequal distribution of street connectivity between the formal and informal areas (Fig.70), the second street extension further refines the street network by incorporating and enhancing the narrow paths that lead off from the larger streets (Fig.71).

The following analysis showing an even distribution of colours throughout the network, demonstrates a successful integration of streets within after the proposed intervention (Fig.72).

Fig 68: Dirt road in the Baseco Compound

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Street Hierarchies main roads

high

secondary roads

medium

small paths

low

Fig 69: First street intervention: Connecting dead ends

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Overall Integration

Fig 70: Integration analysis after first street intervention

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Street Hierarchies main roads

high

secondary roads

medium

small paths

low

Fig 71: Second street intervention: Clustering community blocks and widening existing alleyways

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Overall Integration

Fig 72: Integration analysis after second street intervention

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Hierarchy of Streets.

Small paths

2m - 3m

Secondary roads

4m - 6m

Street Hierarchies main roads

Main roads

secondary roads small paths Fig 73: Hierarchy of new street network

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8m - 10m

Fig 74: Sections of proposed streets

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Constructing the Units

How should buildings be designed in an environment where architects are usually not involved?

And how should this design be implemented in a settlement where local residents themselves are the ones who build the spaces they inhabit?

The following proposal aims to answer these questions and presents an example of how the process of architecture should be approached within the context of informal cities, specifically the Baseco Compound in Manila.

The design concept is based on the principles of actively involving multiple stakeholders throughout all stages of planning, construction and maintainance. It takes into account that architecture within this context should be seen as a continuously evolving process and that construction should be executed stage by stage.

The resulting structure provides much needed space for public facilities and infrastructure, ultimately improving the living conditions in Baseco and empowering its residents economically and socially.

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Step One:

locating available space

• Using space that was made available during widening of streets • Etructures are located along the newly developed main and secondary roads • Every housing block in the street network provides a zone for structures to be built (Fig.75) • Engaging the community in the process of identifying available space • Aligning structures as spacial borders between housing and main streets • Pathways leading to housing units are considered and remain accessible • Creating courtyard behind stucture by keeping a minimum distance to the adjoining housing units

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Fig 75: Suitable areas for construction (scale: 1:10000)

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Fig 76: Detailed map of new street network and areas for interventions (scale: 1:400)

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6.3m Fig 77: Isometric drawing of „step one“

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3.3m Fig 78: Section and floor plan of „step one“ (scale 1:300)

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Step Two:

providing structural frameworks

• building basic shell structure provides elements that residents are unable to build themselves • governmental institutions, such as the National Housing Authority or donor organisations, such as the Asian Development Bank are responsible for construction and financing • soft soil foundations allow structures to be built with increased height as the soil beneath the reclaimed land is soft and otherwise not suitaable for heavy loads • load-bearing shell structures are made from modular concrete elements, steel or other durable materials with a high load capacity • elevated platforms provide public space for residents during medium-height floods

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Fig 79: Isometric drawing of „step two“

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Fig 80: Section and floor plan of „step two“ (scale 1:300)

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Step Three:

filling the basic structure

• structural shell is filled with walls and floors where necessary by the community • the most necessary infrastructure for sanitation, water and waste management is set up • local NGOs lead the community participation program and workshops to ensure a sustainable maintainance • emergency platforms are established that also function as public space for various uses

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Fig 81: Isometric drawing of „step three“

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Fig 82: Section and floor plan of „step three“ (scale 1:300)

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Step Four:

Extending the structural frame

• structure is filled with further, floors, walls and infrastrucural elements until fully developed • basic shell structure are extended in height with light weight construction methods, such as locally produced, bamboo beams • the seperate units are extended horizontally and merge into one, further interconnecting the elements of infrastructure • spaces for income generation and the production of food are established

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Fig 83: Isometric drawing of „step four“

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Fig 84: Section and floor plan of „step four“ (scale 1:300)

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Fig 85: Visualization

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Thesis Conclusion Informal settlements are already the dominant form of urban landscape in many cities of the world and will increase further in size and numbers throughout the next decades.

The goal of this thesis was to present a conceptual approach on how architecture and urban design can contribute to the sustainable development of informal settlements, while also improving the lives of their residents. The Baseco Compound, an informal settlement in Manila, was analysed and used as a representative case study.

Building on previous research, four categories of interventions where identified for the Baseco Compound: The provision of infrastructure, the establishment of public facilities, the introduction of locally produced building materials and the implementation of a revised street network.

Instead of focusing on housing solutions, that usually remain limited in scale, an emphasis was laid on the provision of infrastructure and basic facilities, as their absence has been identified as one of the main components for multidimensional poverty of residents in Baseco. Conventional, centralized infrastructure for water supply, sewerage systems and waste management are entangled with administrative

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burdens and high costs and can therefore, unlike the provision of housing, not be solved by informal settlers themselves. Introducing decentralized, local infrastructure systems in informal settlements, as exemplified in the thesis proposal, does not only present a cost-effective solution but is also an ecologically sustainable alternative to current infrastructure that relies on external resources.

Public facilities that build on the fact that Baseco is a productive environment have the potential to generate income and present an alternative type of social space. Basic amenities that residents can not provide for themselves were included into the design proposal as shared spaces.

The range of materials used in Baseco is limited and are often of low value, have a short lifespan and show weak mechanical properties. They are selected due to affordability and availability. The concept proposed using materials that can be locally produced with simple technology. Products made from locally available resources, such as recycled plastic waste and bamboo splits were presented as an example and have the potential to improve the way structures are built within the settlement.

Extending the existing street network was identified as a fundamental step towards integrating Baseco’s

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informal settlements into the overall city. Using Space Synthax as an analysis software proved to be helpful in order to assure an evenly spread integration of streets.

In a final step the four separate conceptual elements were combined in an exemplary architectural proposal. Designing within the context of informal settlements is more about the process than about architectural form, and providing a solution that makes use of the available human capital in Baseco was a key element for the final design.

If the right aspects are considered, informal settlements, including Baseco, can be enhanced sustainably through so called “leap-frog development” that makes use of alternative technologies that are environmentally and socially beneficial. If the right base, such as the upgrading of streets, is provided for further steps in development, informal settlements could be imagined as resilient, productive ecosystems that provide the solution to urbanization, rather than a problem.

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Available at: https://esa.un.org/unpd/wpp/Download/Standard/Population/ Fig 02: Werthmann, C., Randall, E. and Luhrmann, F., (2011), Informal Settlement World Map [ONLINE]. Available at: web url=https://collection.cooperhewitt.org/objects/420778937/ |title=Informal Settlement World Map, 2011 |author=Cooper Hewitt, Smithsonian Design Museum |accessdate=22 July 2019 |publisher=Smithsonian Institution [Accessed 28 July 2019].

Fig 03: UN-Habitat. (2015b). A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes. Nairobi: UN-Habitat. p.5. Available at: https://unhabitat.org/ books/a-practical-guide-to-designing-planning-and-executing-citywide-slum-upgrading-programmes/ (Accessed: 28 July 2018) Fig 04: Engin Akyurt, (2016), No Title [ONLINE]. Available at: https://pixabay.com/photos/ old-building-neighborhood-slum-2758525/ [Accessed 28 August 2019].

Fig 05: Unequal Scenes, (2019), No Title [ONLINE]. Available at: https://unequalscenes. com/vukuzenzele-sweet-home [Accessed 28 July 2019].

Fig 06: Punit Paranjpe, (2015), INDIA-UN-ENVIRONMENT-WATER [ONLINE]. Available at: https://www.gettyimages.at/detail/nachrichtenfoto/this-photo-taken-on-march-19-2015shows-an-indian-man-nachrichtenfoto/467022172 [Accessed 28 August 2019].

Fig 07: Lito Tecson, (2016), Families living under the Mandaue-Mactan Bridge [ONLINE].

Available at: https://cebudailynews.inquirer.net/88029/88029 [Accessed 28 July 2019].

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Fig 11: Manfred Sommer, (2014), India - Maharashtra - Mumbai - Dharavi Slum - 23 [ONLINE]. Available at: https://flic.kr/p/W8uE3t [Accessed 28 July 2019].

Fig 17: Abby Higgins, (2013), Why residents of Kibera slum are rejecting new housing plans [ONLINE]. Available at: https://www.one.org/international/blog/why-residents-of-kiberaslum-are-rejecting-new-housing-plans/ [Accessed 28 July 2019].

Fig: 18: Jan Ras, (2017), Slums in South Africa are beating the housing crisis by building extra storeys [ONLINE]. Available at: https://archpaper.com/2011/10/on-view-designing-lasting-solutions-with-the-other-90/#.U89cxruXTR1 [Accessed 28 July 2019].

Fig 19: Community Cooker-Jiko Ya Jamii, (2011), Community Cooker in Nairobi, Kenya. [ONLINE]. Available at: https://www.nytimes.com/2011/10/23/arts/design/for-some-of-theworlds-poor-hope-comes-via-design.html [Accessed 28 July 2019].

Fig 20: Elemental, (2011), Before and after: Incremental Housing in Chile. [ONLINE].

Available at: https://www.nytimes.com/2011/10/23/arts/design/for-some-of-the-worlds-poorhope-comes-via-design.html [Accessed 28 July 2019].

Fig 21: Elemental, (2011), Before and after: Incremental Housing in Chile. [ONLINE].

Available at: https://www.nytimes.com/2011/10/23/arts/design/for-some-of-the-worlds-poorhope-comes-via-design.html [Accessed 28 July 2019].

Fig 22: Proyectos Arqui 5 CA, (2011), Images from before and after a stair upgrade in La Vega, Caracas, Venezuela. [ONLINE]. Available at: https://www.nytimes.com/2011/10/23/ arts/design/for-some-of-the-worlds-poor-hope-comes-via-design.html [Accessed 28 July 2019].

Fig 23: ACHR, (2011), Before and after: Bang Bua Canal Community Upgrading in Bangkok, Thailand.[ONLINE]. Available at: https://www.nytimes.com/2011/10/23/arts/design/for-some-of-the-worlds-poor-hope-comes-via-design.html [Accessed 28 July 2019].

Fig 24: Created by the Author, based on Google Map Satellite Image Fig 25: Bryan Denton, (2013), Philippines Is Haunted by Chaos of Earlier Storm as Typhoon Mangkhut Hits[ONLINE]. Available at: https://www.nytimes.com/2018/09/14/world/asia/ typhoon-mangkhut-philippines-haiyan.html [Accessed 28 July 2019].

Fig 26: Created by the Author, based on Google Map Satellite Image

Fig 12: Aaron “tango” Tang, (2014), DSC01394 [ONLINE]. Available at: https://flic.kr/p/ oMJR9K [Accessed 28 July 2019].

Fig 27: Jilson Tiu, (2017), Density 23 [ONLINE]. Available at: https://www.zhangxishuo. com/#/density/ [Accessed 28 July 2019].

Fig 13: UN-Habitat / Julius Mwelu, (2011), New building materials in an informal settlement in Abuja, Nigeria.[ONLINE]. Available at: https://flic.kr/p/bzwTEx [Accessed 28 July 2019].

Fig 28: Nakamura, S. (2009) Spatial Analysis of Urban Poverty in Manila, Philippines, p.10, Map 6. Cornell University. Available at: https://courses.cit.cornell.edu/crp408/papers/ nakamura.pdf

Fig 14: Maurizio Casadei, (2007), Giocare nello slum [ONLINE]. Available at: https://flic. kr/p/5DfvWZ [Accessed 28 July 2019].

Fig 15: Tareq Salahuddin, (2010), Demolished slum, demolished hope ... [ONLINE]. Available at: https://flic.kr/p/8qpfwR [Accessed 28 July 2019].

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Fig 16: Business World, (2019), No Title [ONLINE]. Available at: https://www.bworldonline. com/hudcc-warns-of-impending-budget-cuts-for-housing/ [Accessed 28 July 2019]Fig 17: Subsidised Puplic Housing next to the Kibera Slum, Nairobi

Fig 29: Jilson Tiu, (2019), Candidates [ONLINE]. Available at: https://lifestyle.mb.com. ph/2019/04/02/a-different-perspective/ [Accessed 28 July 2019].

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Fig 30: Romeo Gacad, (2008), Filipino children eating noodles ixed with rice and dry fish [ONLINE]. Available at: https://flic.kr/p/637cFx [Accessed 28 July 2019].

Fig 31: Kate Hodal, (2013), A couple with their home and shop in a mausoleum in Cementerio del Norte. [ONLINE]. Available at: https://nextcity.org/features/view/slum-lab-manilasquest-to-build-a-better-informal-settlement [Accessed 28 July 2019] Fig 32: Kate Hodal, (2013), Communities like this one are set to be demolished and their residents relocated under the new mandamos.ONLINE]. Available at: https://nextcity.org/ features/view/slum-lab-manilas-quest-to-build-a-better-informal-settlement [Accessed 28 July 2019]

Fig 46: Author, (2019), Baseco in the context of Manila City Fig 47: Author, (2019), Land reclamation 1998-2018 Fig 48: Author, (2019), Satellite Image of Baseco Fig 49: Tamay Schober (2019) Tricycle driver in Baseco

Fig 33:Ted Aljibe / AFP, (2017), The Philippines: Abandoned [ONLINE]. Available at: https:// correctiv.org/en/latest-stories/climate-change/2017/07/28/the-philippines-abandoned [Accessed 28 July 2019].

Fig 50: Author, (2019), Landmark map

Fig 34: Bernhard Lang, (2017), No Title [ONLINE]. Available at: https://www.businessinsider.de/aerial-photos-manila-slums-bernhard-lang-2017-7?r=US&IR=T [Accessed 28 July 2019].

Fig 52: Author, (2019), Streets of Baseco

Fig 35: No Author, (n.d.), A walk through Smokey Mountain [ONLINE]. Available at: https:// www.justonewayticket.com/2014/05/11/smokey-mountain-a-walk-through-the-slums-of-manila-philippines/ [Accessed 28 July 2019].

Fig 36: Picture taken by the Author

Fig 51: Author, (2019), Map of formal & informal areas

Fig 53: Author, (2019), Existing street network Fig 54: Author, (2019), Integration analysis of individual streets in the overall existing street network Fig 55: Tamay Schober (2019), Most common construction materials in Baseco

Fig 37: Rene Dilan, (2018), A woman fills her container with water in Baseco compound, Manila. [ONLINE]. Available at: https://www.manilatimes.net/mwss-raises-2019-water-rates/482934/ [Accessed 28 July 2019].

Fig 56: Tamay Schober (2019) Water hoses connecting households in Baseco

Fig 38: No Author, (2015), Manila Slums – Part Two [ONLINE]. Available at: https://andrewsfabuloustravelblog.me/2015/03/14/manila-slums-part-two/ [Accessed 28 July 2019].

Fig 58: Author, (2019), Diagram of the waste management cycle

Fig 39: Jilson Tiu, (2017), Density 21 [ONLINE]. Available at: https://www.zhangxishuo. com/#/density/ [Accessed 28 July 2019].

Fig 60: Author, (2019), Diagram of the organic waste cycle

Fig 40: Cristoph Mohr, (n.d.), Philippinen Manila Smokey Mountain-000001 [ONLINE]. Available at: http://www.christophmohr-fotografie.de/galerie/philippinen/manila/slums/content/ Philippinen_Manila_000001_1_large.html [Accessed 28 July 2019].

Fig 57: Author, (2019), Diagram of the greywater cycle

Fig 59: Author, (2019), Diagram of the human waste cycle

Fig 61: Lynzy Billing, (2019), No Title [ONLINE]. Available at: https://www.theguardian.com/ cities/2018/mar/21/cemetery-slums-life-manilas-graveyard-settlements-philippines [Accessed 30 August 2019].

Fig 41:Jilson Tiu, (2017), Density 3 [ONLINE]. Available at: https://www.zhangxishuo. com/#/density/ [Accessed 28 July 2019].

Fig 62: Author, (2019), Basic concept of public facilities

Fig 42: Habitat for Humanity, (2017), Slum redevelopment: the need for social housing in Manila [ONLINE]. Available at: https://www.habitatforhumanity.org.uk/blog/2017/10/upgrading-slums-philippines-need-social-housing/ [Accessed 28 July 2019].

Fig 64: Author, (2019), Laminated bamboo production diagram

Fig 43: Nancy Kwak, (2019), Manila’s “Danger Areas” [ONLINE]. Available at: https:// placesjournal.org/article/manilas-danger-areas/ [Accessed 28 July 2019].

Fig 44:ECT+A Architects, (2014), Camarin Housing Project [ONLINE]. Available at: https:// ect-architects.com/portfolio-item/camarin-housing-project/ [Accessed 28 July 2019].

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Fig 45: Cristoph Mohr, (n.d.), Philippinen_Manila_60_1 [ONLINE]. Available at: http://www. christophmohr-fotografie.de/galerie/philippinen/manila/slums/content/Philippinen_Manila_60_1_large.html [Accessed 28 July 2019].

Fig 63: Typical make-shift hut in Baseco

Fig 65: Comparison of raw bamboo splits and woven bamboo fibre before lamination Fig 66: Author, (2019), Recycled plastic brick production diagram Fig 67: Author, (2019), Comparison of plastic waste and the recycled brick ??

Fig 68: Tamay Schober, (2019), Dirt road in the Baseco Compound

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Fig 69: Author, (2019), First street intervention: Connecting dead ends Fig 70: Author, (2019), Integration analysis after first street intervention Fig 71: Author, (2019), Second street intervention: Clustering community blocks and widening existing alleyways Fig 72: Author, (2019), Integration analysis after second street intervention Fig 73: Author, (2019), Hierarchy of new street network Fig 74: Author, (2019), Sections of proposed streets Fig 75: Author, (2019), Suitable areas for construction (scale: 1:10000) Fig 76: Author, (2019), Detailed map of new street network and areas for interventions (scale: 1:400) Fig 77: Author, (2019), Isometric drawing of „step one“ Fig 78: Author, (2019), Section and floor plan of „step one“ (scale 1:300) Fig 79: Author, (2019), Isometric drawing of „step two“ Fig 80: Author, (2019), Section and floor plan of „step two“ (scale 1:300) Fig 81: Author, (2019), Isometric drawing of „step three“ Fig 82: Author, (2019), Section and floor plan of „step three“ (scale 1:300) Fig 83: Author, (2019), Isometric drawing of „step four“ Fig 84: Author, (2019),Section and floor plan of „step four“ (scale 1:300) Fig 85: Author, (2019), Perspective

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