Affordable Housing: An International Perspective
Affordable Housing: An International Perspective
- Bonnie Young LaingBonnie Young LaingCalifornia University of Pennsylvania
This entry explores key definitions, causes, and characteristics of slums in the global arena, along with the types of social work practice and general community development approaches being used to catalyze action to decrease the prevalence of slums. Core strategies include using planning efforts that prioritize input from people who live in slums, creating affordable housing, and otherwise transitioning urban slums into vibrant communities. Concluding thoughts and further considerations for social work practice are offered.
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Updated in this version
Content and references updated for the Encyclopedia of Macro Social Work.
This article explores key definitions, causes, and characteristics of slums, along with the types of social work practice and general community development approaches being used in the global arena, which may help to catalyze action to create affordable housing and otherwise transition urban slums into vibrant communities. The entry ends with concluding thoughts and further considerations for practice.
There is a global crisis in housing that is creating significant challenges for low-income people who are seeking affordable housing that is safe, well conditioned, and accessible for the long term. “Slums” are the opposite, as these are characterized by insecure access, hazardous, unhealthy, and otherwise unsafe conditions. Social work has, from its inception in the beginning of the 20th century, given focused attention to the needs of people living in slum communities (Estes, 2009; Karger & Stoez, 2010; Trattner, 1999). During that time, places labeled as slums were concentrated in urban centers of industrialization in Europe and the United States. People who lived in slums were largely immigrants and native-born people from Africa and Asia (Davis & Bent-Goodley, 2007) and Jews from Eastern Europe as well as African Americans (Wenocur & Reisch, 2001). They came to cities in large waves to avail themselves of the economic opportunities offered by the Industrial Revolution. Instead, these opportunity seekers found themselves relegated to living in unsafe and unsanitary conditions. The plight of people who lived in slums was largely ignored by elite power holders, who, although generally aware of the condition of such people, did little to address their most basic needs because of classist and racist notions of worthiness (Hine et al., 2012) as a result of economic exploitation, cultural bias, and racial discrimination (Davis & Bent-Goodley, 2007; Lasch-Quinn, 1993), social Darwinist perspectives, and blame-the-victim orientations (Davis, 2006; Wenocur & Reisch, 2001).
In the early 21st century, the locus of attention has shifted from Europe and the United States to Africa, Asia, and Latin America (Davis, 2006; OECD, 2007). Further, major world institutions such as the United Nations (UN), International Monetary Fund (IMF), and World Bank now exist and can document, alleviate, or even create slum communities. As an example of this documenting capacity, the UN, as a global monitor of human settlements, gave the alarming assessment that without intervention, the number of people living in slums will double by 2030, growing from 1 billion to 2 billion people living in deplorably unsafe and unsanitary conditions. With the attention of these global policy institutions come the assessment tools and intervention resources to help people living in slums to improve their quality of life (UN Habitat, 2013).
Scope and Nature of the Problem
Wherever poor people live in large numbers in what is considered substandard housing, these areas have been labeled slums (UN Habitat, 2007). Slums have been identified worldwide; they are called barrios in Latin America, favelas in Brazil, ghettos in the United States and Europe, and townships or shantytowns in Africa (UN Habitat, 2003). Slums are commonly considered an urban phenomenon, yet these areas exist in varying forms in the rural, urban, and suburban communities of the world (Davis, 2006). The number of people living in slums began to grow alarmingly fast starting in the 1980s (Davis, 2006; UN Habitat, 2003); growth has been most rapid in the urban areas of Latin America, Southeast Asia, and sub-Saharan Africa (UN Habitat, 2007).
This rapid growth was produced by massive urban-to-rural migration—labeled the urbanization of poverty—that began after the implementation of IMF and World Bank lending policies aimed at creating economic growth and modernization in the developing world. Ten policies, called the Washington Consensus, were advanced by the United States (Davis, 2006; STWR, 2010; WHO, n.d.) and included a focus on financial discipline, deregulation, and privatization, but instead fueled the 21st-century urban slum crisis (Davis, 2006).
ContextUnderstanding the intricate political, economic, legal, cultural, and social dynamics of slums, along with the approaches used to address the multiplicity of barriers to creating quality affordable housing, is difficult. As Barjor and Dastur (2008, p. 7) note
the issue of slums is very complex. It cuts across numerous disciplines. It concerns hundreds of millions of people who live in slums directly—and it indirectly concerns all the local and national economies and societies in which slums exist. It is one of the fundamental global challenges of our times.
Conditions within slums vary among the poorer countries of the developing world and middle-income and higher-income nations in terms of quality of housing and severity of conditions, particularly with relation to access to water and sanitation (UN Habitat, 2007).
Table 1. Definitions of Slums
UN Habitat (2007)
Housing areas . . . which deteriorated after the original dwellers moved on to new and better parts of the city. (p. 1)
UN Habitat (2010)
An area with:
poor structural quality and durability of housing;
insufficient living areas (more than three people sharing a room);
lack of secure tenure;
poor access to water; and
lack of sanitation facilities.
UN Habitat (2013)
The UN definition of a slum household is a household that lacks “access to sanitary water, improved sanitation” (Shekhar, 2013, p. 55).
Table 1 shows varying definitions adopted by the UN Habitat program over time. The definitions have core implications for conceptualizing the problem, understanding the scope of the problem, and for the allocation of resources. Using the 2008 UN Habitat definition of slums, the following sections explore the background and prevalence of the manifestation of slums in the developing world. The 2007 definition, which allows the consideration of slums in the non-developing world, will be explored later in this article. The following explores the causes of slums and is mainly relevant to the developing and non-developing world.
Various factors have been linked to the presence and persistence of slums. This is perhaps reflective of differing perspectives among scholars, and in some cases affected persons, as to whether slums continue to exist because of purposeful design, benign neglect, or other forms of intentional inattention to the needs of poor people and people who live in slums. There is agreement among major global institutions and researchers that key causal factors include some modernization and structural adjustment interventions, poverty, poor planning, poor governance, and climate change. War is an additional factor that contributes to the growing number of people who live in slums.
Colonialism, De-Peasantization, and Structural Adjustment Programs
Fox (2013) posits that slums are the product of colonialism. Under colonialism, poor indigenous people were exploited for labor. Their needs were not considered in planning. Slums were viewed as extensions of the ethnic village (tribe) (Arimah, 2011). Some scholars have linked IMF and World Bank interventions as extensions of colonialism and thus as causal factors—namely structural adjustment and peasant modernization programs (Davis, 2006; Murray Li, 2009). Both programs influenced the shifting of subsidies and other resources away from traditional sustenance and small commercial farming to more modern farming methods embraced by larger corporate growers. Structural adjustment programs (SAPs) require nations that have borrowed from the World Bank or IMF to reduce domestic spending to repay loan debt. This has resulted in deep cuts in domestic spending, including agricultural support.
De-peasantization or modernization programs sought to move sustenance farmers to increase efficiency in growing by requiring farmers whose families had for generations used traditional methods to sustain themselves to increase output or leave farming to become rural or urban wage earners (Davis, 2006; Oya, 2009). In many cases, modernization coupled with reduced agriculture support had the net effect of creating global food shortages (Arimah, 2011; Davis, 2006). African countries such as Ethiopia and Ghana were particularly hard hit. Additionally, climate change-impacting rainfall pushed many families beyond the scope of their ability to feed and house their youth. Thus, young people, with no amassed resources sought out cities for economic opportunity, which they did not find upon arrival. Their exodus to the only low or no-cost spaces available illustrates how SAPs and de-peasantization are driving poverty as a push factor for migration to urban slums (Oppong-Ansah, 2013). Seeking opportunity in urban areas is the core connection between urban slums and poverty.
Poverty and Insufficient Income
The UN reports that 20% of the world’s population lives in poverty (World Bank, 2012). One the chief consequences of poverty is the lack of access to adequate, permanent, safe, and affordable housing. The link between poverty, insufficient income, and slums is centered on the changing value of land. The global population affected by poverty has sought to access housing where they can and have thus found themselves living on land that has limited value or importance to governmental or private development entities (UN Habitat, 2003). An additional connection is the impact of poverty on educational attainment and social mobility. Worldwide, when people live in areas of high concentrations of poverty, their ability to move into working and into the middle class is severely hampered (Krishna, 2013).
Once a poor person becomes a resident of a low-income area, their exit can only be facilitated with extensive planning and intervention (UN Habitat, 2003). One major challenge is that as urban centers become areas of choice for people with higher incomes in live in, the low-cost land occupied by poor people increases in value. Increased values means increasing cost for housing, as landowners seek to capitalize on increased value by either raising rents or selling land to reap profit. For low-income people, the power differential attendant to income inequality and lack of ownership prevents access to the influence necessary to impact decision-making on the use of the changing value of land so central to their ability to maintain the affordability of their homes (Glassman, 2016). Increases in land value means higher renter costs, higher rent equals increased expenditure (loss of value) for renters, while for landowners increased value means higher income (gain in assets/income) (Florida, 2018).
Slums are viewed as geographical manifestations of poverty driven by poor urban planning (Arimah, 2011; UN, 2013). The failure to consider the needs of the world’s poor or to engage in municipality-wide and appropriately scaled interventions must be corrected to improve slums and the quality of life for people who live in slums (Galiani et al., 2013; UN Habitat, 2003). Urban slums in which active planning and intervention are not in place are growing in scale and the degree of poverty experienced there is worsening. Davis (2006) makes key distinctions between slums where poor planning persists and areas where active planning is in place. The World Bank captures this dichotomy using Davis’s conceptualization of slums of despair and slums of hope:
Slums of despair: areas in which the challenging social, economic, physical, and environmental conditions are worsening, and what domestic services exist are deteriorating. Areas also have a sustained influx of the poor without planning and action to address inhabitants’ needs or to improve the slum area.
The UN (UN Habitat, 2003, 2013) and World Bank Institute (2008) identify poor governance as a key factor in the creation and preservation of slums. These institutions assert that poor governance results in the lack of a political will to address the conditions of people who live in slums via planning and resource allocation. Research conducted by Devas (2004) suggests that the lack of participation by poor citizens in decision-making regarding planning and land use for slums has been linked to a greater likelihood that slum conditions will persist. Fox (2013) asserts that lack of voice and participation is one of several factors that define poor governance. Additional factors include lack of transparency, limited accountability, limited participation, lack of the rule of law, bureaucratic inefficiency, and failure of enforcement to support property rights (Arimah, 2011). It is important to note that participation means having the ability to actively shape and then vet urban planning and development decisions.
A lack of rainfall is a critical factor pushing people from rural farms to urban areas. Climate change is also contributing to rising sea levels, a particular threat to slums in coastal areas (Adelekan, 2010). Slums are more likely to be located in areas that are susceptible to flooding and land collapse. Slum housing, because of the use of poor-quality materials, is less likely to withstand earthquakes or storms with strong winds (Saha, 2012). When slum housing is destroyed, residents are likely to resettle in other nearby slums, thus causing further slum growth. Conversely, environmental conditions can provide an impetus for active planning and development (Cronin & Guthrie, 2011).
War and Displacement
War, and the resultant homelessness and displacement, is an additional factor leading to the increased numbers of people living in slum conditions (UNHCR, 2020). However, people fleeing war are considered refugees and nearly 1% of the world population meets this definition (Reuters, 2020). Large settlements of refugees often exist in spaces that the UN and/or other international organizations have negotiated with the host country as a designated space. Although residents of refugee camps may sometimes live in the area for more than a decade, these spaces are considered temporary refugee camps, made only to host a population that will eventually relocate. As such, these areas are not typically included in development planning that might result in improved living conditions. In addition, agreements with host countries sometimes prohibit the development of permanent infrastructure that would improve living conditions, out of fear of encouraging the permanent tenure of refugees in the designated location (Amnesty International, 2012). Some refugees, seeking better conditions or a more permanent status in their host country, evade refugee camps and transition into living in slum communities (Gienow, 2014). Each of the aforementioned factors helps to create slums or maintain status quo slum conditions.
Impact of Slum Dwelling
Because slums are home to large concentrations of people who are poor, socially marginalized, or otherwise relegated to a low socioeconomic status within their particular society (Davis, 2006; Devas, 2004), these areas are often impacted by a complex web of poor social, economic, health, and spatial conditions. The array of conditions culminates in the lack of political capital to secure safe, sanitary, and affordable housing (UN Habitat, 2003). Additional details on the nature of these conditions follow.
Slums are also characterized by other challenging social conditions, including high levels of poverty, low educational attainment, and social stratification, resulting in classes of economically oppressed people. These people are often racial, religious, or cultural minorities. Some slum communities have high rates of unemployment. However, some scholars have argued that it is important to consider that many people in slum communities are employed in informal (alternative) economies (Cities Alliance, 2013; Devas, 2004). The types of work can include activities that may be deemed illegal, such as prostitution and drug selling. Other activities may include various aspects of domestic work, mechanical work, textile and clothes making, toilet attending, or gathering and recycling materials, or the production of crafts or art (UN Habitat, 2003). In some urban slum areas informal sector work accounts for 40%–60% of employment; thus, the World Bank has begun exploring mechanisms to formalize informal sector work, as a mechanism for social inclusion (and perhaps as a potential revenue source for the locality). In higher-income countries like the United States, transportation is a key area of the informal economy (Gallien, 2017), or gig economy (Gig Economy Data Hub, 2020), with Uber and Lyft as examples of mechanisms to bring participants into the formal economy sector.
According to Dash (2013), people employed within the informal sector may work for themselves and others doing work that is undesirable or insufficiently profitable to attract people who are more affluent. This sector may also include economic activities deemed illegal (such as prostitution and drug selling), and thus are potentially more difficult to draw into the formal economic sector in milieus where these activities violate social norms.
The key conditions that threaten health in slum communities are the lack of access to sanitation and clean water (University of California at Berkeley, 2010). The lack of sanitation causes a myriad of unsafe conditions because people dispose of waste, both human and other types, too close to where they live, resulting in the contamination of water sources (Water Aid, 2008). Although over the past decade upgrades have improved such conditions across the globe, the majority of people who live in slums continue to lack access to sanitary systems within their homes (Nderitu, 2010). Some slums have public sanitation systems that may be accessed for a fee. Some people who live in slums have turned to the use of “flying toilets” (see Kibera video) (Ondieki & Mbegera, 2009), which consist of plastic bags used to capture the products of defecation that are then tied closed and flung as far away from the dwelling as possible (University of California at Berkeley, 2010). The flying toilets contribute to unsafe water conditions, which increases exposure to waterborne miasmas that cause dengue fever, cholera, and diarrheal diseases. People who live in slums also face the risk of accidental injury and possible death resulting from unstable land when slums are situated on steep slopes (UN Habitat, 2003). Other types of injury are possible when slums are located in or near dumpsites, including burn injuries, exposure to toxins, and diseases such toxoplasmosis (University of California at Berkeley, 2010).
The conditions of slums are particularly impactful with regard to the health of children and women (UNICEF, 2012). Children’s health is threatened by infectious diseases related to poor water quality, such that thousands of children living in slums die each day (UNICEF, 2012; Water Aid, 2008). Children also experience food insecurity, which may lead to poor physical and intellectual development (UNICEF, 2012). Women’s health is also affected by disease; however, a bigger threat is the lack of access to toilets (Nderitu, 2010; Ondieki & Mbegera, 2009). Because the toilet facilities may not be private, women in such areas choose to use these systems during hours of darkness, resulting in both physical discomfort and potential exposure to crime (Yasin, 2012). Cost–benefit analyses show that for every $1 spent on the improvement of water quality, $9 is saved (Water Aid, 2008).
Quality of Housing
Slums are characterized by “dilapidated housing, overcrowding,” and by a lack of durability (Davis, 2006, p. 22; USHUD, n.d.). Because housing is produced by each householder, it is possible to find people living in various types of structures, which are built from available materials (including mud, plastics, cardboard, discarded wood, tin, and aluminum). Structures may also be built using more durable materials, including brick and cement (Arimah, 2011; UN Habitat, 2003). Many homes lack plumbing, electricity, access to clean water, or safe sanitation methods. In the non-developing world, a slum might be composed of housing that was once of high quality, but over time has become ruined and poorly maintained and is now substandard because of “redlining” or other forms of limited access to credit (UN Habitat, 2003). In Europe, Canada, and the United States, residents of slum communities may also live in structures built from salvaged materials, particularly if they reside in rural areas or are members of communities of migrant workers (Park & Pellow, 2011; Ramirez & Villarejo, 2012).
Approaches to Slums Across the Globe
Countries with slums vary with regard to population-level descriptors, perspectives on addressing the needs of people who live in slums, and whether the nation meets the UN definition of a slum. Nations across Asia, the Americas, the Caribbean, and Europe have had decades of benign neglect and slum clearance. Common elements of slums include poor-quality housing and insecure tenure. Slums in the developed world are less obvious and extensive when compared to those in the non-developed world. Following are some examples of various approaches countries have taken to addressing slum conditions, examined according to the income level of the country.
Low-income countries in Africa have the highest proportions of the world’s poor. The poor in Africa are some of poorest of the world’s population, with many surviving on less than $1.25 per day (World Bank, 2012). In addition, many African cities host the highest percentages of urban people who live in slums. For example, 72% of sub-Saharan Africans and 92% to 99% of the populations of Ethiopia and Chad live in slums (Arimah, 2011). Fox (2013) and Davis (2006) attribute at least part of the prevalence of poverty and slums to the colonial ban on indigenous people’s land rights and other policy efforts to create an urban underclass of exploitable labor. In South Africa, the failure to secure apartheid-based reparations for shantytown residents, coupled with violent slum clearance efforts ahead of the 2012 World Cup and corruption/cronyism in disruption of resettlement benefits, is fueling organized legal advocacy, resistance, and disruptions efforts centered in the KwaZulu-Natal province (Gibson, 2009).
China provides a unique case in that its rapid growth in the early 21st century does offer jobs as a result of real economic growth. Although the proportion of Asians living in urban slums is relatively lower than that of other nations, Asia has the highest actual number of people who live in slums. This number is largely fueled by Indian cities such as Mumbai (Davis, 2006). Among Indian, Pakistani, and other Arab-influenced groups, war became a key push for rural-to-urban migration, and legacy colonial perspectives on the rural poor created disinterest in the plight of people who live in slums.
In European countries including Spain, the United Kingdom, and France, immigrants reside in informal settlements and shantytowns in or near major cities, including London and Madrid (Frayer, 2012). Ethnic minority immigrants form a significant proportion of European people who live in slums. These populations are composed of Eastern European, Roma, Portuguese, and North African migrants and immigrants. Slums in these and other cities are characterized by limited or no land tenure or access to water and sanitation (Edmunds, 2013).
The United States is also home to slums, as defined by both UN Habitat (2003) and older standards that rely on the presence of substandard housing. Slum communities in the United States include the South Bronx in New York and significant portions of Detroit, Michigan (Semuels, 2015). Some First Nation reservation communities could also be classified as slums due to lack infrastructure such as connection to water and sewage systems (Murray, 2016; Partnership with Native Americans, 2019). Rather than rapid urbanization, the United States is simultaneously experiencing the suburbanization of poverty and a “back to the city movement” (Pew Charitable Trusts, 2011). In the United States communities are more likely to be labeled as blighted. As defined by the U.S. Office of Housing and Urban Development (USHUD), blight consists of conditions including deteriorated buildings, substandard housing, high numbers of vacant and/or abandoned properties (USHUD, n.d.).
In addition, areas meeting the UN definition of slums manifest as a rural and suburban problem. In rural agricultural or tourist regions, people who live in slums are primarily undocumented Latin American migrant workers, some of whom live in cars without access to water or sanitation (Park & Pellow, 2011). Homelessness is also a slum problem in that urban populations live literally on the street without durable shelters or in tent cities in non-accessible areas of cities (under highway overpasses). The United States is also experiencing isolated incidents of homeless families living in cars or other vehicles, with many accessing water and sanitation via public bathrooms and food via homelessness programs and food banks. Finally, Rust Belt cities have high concentrations of vacant and abandoned housing. The lack of housing affordability is a greater concern in the United States, with some labeling the problem a crisis (NLIHC, 2020).
Strengths of People Who Live in Slums
Although slums are a visible and clear manifestation of poverty and economic oppression, these places also highlight the powerful ingenuity and endurance of their inhabitants (STWR, 2010; World Bank Institute, 2008). Further, people who live in slums contribute greatly ($5 trillion annually) to local and national economies through their consumerism (STWR, 2010) and industries (such construction and domestic work). Slums also create spaces that are open to and accepting of migrants and culturally marginalized people. Slums have been places of cultural innovation in music, writing, and other art forms as well as multicultural housing innovation, self-help opportunity, and artistic expression (Owusu et al., 2008).Women in slums have developed saving schemes as a means to organize themselves to purchase land and thereby gain land housing tenure (Chitekwe & Mitlin, 2001). Residents frequently have high levels of cooperation and a general sense of communalism (Carpentera et al., 2004). Slums have also been places of housing innovation and microenterprise (Gulyani & Bassett, 2007).
The following section, “Programmatic and Policy Interventions,” provides an overview of sets of interventions used to improve slums and to develop affordable housing. The first set of interventions examines approaches to slum improvement and increasing quality affordable housing used by national governments, slum-dweller alliances, the UN, and the World Bank in the lower-income countries of the developing world. Also included are strategies used in higher-income countries, which have been labeled “right to the city” efforts. A second set of interventions centered on the roles and methods used in global social work practice are included and integrated with systems theory.
Programmatic and Policy Interventions
Good Governance, Social Inclusion, and Empowerment
Good governance means that decision-making is conducted in a manner that is open and transparent and requires accountability. Together these factors prevent cronyism, corruption, rent-seeking, and less advertent forms of diverting power and resources away from the needs of the public. Diverted resources often go into the hands of policymakers and help to worsen the conditions that disproportionately affect the most vulnerable people in slum communities, particularly women and children (Transparency International, 2013; UN Chronicle, 2012; UN Habitat, 2003). Social inclusion is the level to which groups with particular characteristics are included in the social, economic, and political life of a society (Arimah, 2011). Groups that are not socially included are unprotected, unconsidered, and otherwise disempowered with regard to having their needs and wants addressed. As a result, such groups are left to develop alternative, underground social, economic, and power systems. In the parlance of exploring slums, this is labeled the informal sector. Much focus is being placed on moving groups, particularly women and children in slums, into the formal sector through social inclusion (Cotton, 2009; UN Habitat, 2003; Water Aid, 2008).
Social inclusion and good governance have been identified as critical factors in improving the quality of life in slums. It is possible to view both governance and social inclusion as forms of empowerment. In particular, legal empowerment is the form of securing legal rights to land tenure, which in turn is linked to enfranchisement and the ability to influence governance (Rashid, 2009). Legal empowerment is defined as “a process of systemic change through which the poor and excluded become able to use the law, the legal system, and legal services to protect and advance their rights and interests as citizens” (OECD, 2012). Without legal empowerment, poor people have been subject to decisions made by corrupt leaders. Many have also been victims of economic exploitation that cause them to pay exorbitant fees for access to basic services including water, toilets, and institutions such as schools. People who live in slums are exposed to violence, but have limited recourse to law enforcement or judicial systems.
“Pro-Poor” Planning and Participatory Slum Upgrading
At the global level, major institutions such as the UN and the World Bank have recognized that when poverty exists, creating the economic growth that spurs healthy communities necessitates pro-planning and development (OECD, 2012; World Bank Institute, 2008). Two key features of pro-planning are empowerment and good governance. Empowerment entails ensuring that people from disadvantaged communities participate in development decision-making and thus are able help craft efforts to address the needs central to reducing poverty and disadvantage (UN Habitat, 2012). Slum upgrading seeks to mobilize residents’ existing resources and to pair these with technical or material assistance from NGOs or civic organizations, with the goal of helping people living in slums to improve their shelters and the physical environment of the broader community.
Right to the City Policies in Developed Countries
The “right to the city” concept is used to explore mechanisms for social inclusion. In higher-income countries, it has been a rallying cry for activists concerned with movement building to end urban poverty (Brown & Kristiansen, 2009). Key policies that promote affordable housing are inclusionary zoning and housing subsidies.
Inclusionary zoning is a policy tool that has been used in Canada, Europe, the United States, and Australia (Metro Vancouver Policy and Planning Department, 2007) to ensure that housing developments targeting people with moderate to high incomes include a specific percentage of housing units that are affordable to low-income or very low-income individuals or families (Brunick, 2004; Nolon & Bacher, 2007; Rusk, 2006). The required percentage is written into the zoning code for a given area, which may be a section of a locality, an entire city, or a county (Chang, 2009; Damewood & Young Laing, 2011; Rusk, 2006). In return, the developer can be granted benefits that decrease the cost to build low-cost units or the development as whole. Developers may also have key fees waived or gain access to faster project review by local officials.
Creating affordable housing is one of the key strategies to combat slums. Yet in addition to creating quality affordable units, UN Habitat calls for more comprehensive strategy that employs rehabilitation and prevention. The rehabilitation portion of the approach includes leasing and regularizing land, improving infrastructure and housing through public funding, and relocating slums by utilizing public–private partnerships and transferable development rights, which allows for higher density development (UN Habitat, 2010, 2012; World Bank Institute, 2008). The prevention portion of the approach aims to keep new slums from developing by building more affordable housing, regulating urbanization, encouraging decentralization, and improving public transport. Building affordable housing also includes a public–private partnership model that pairs developers and governments or NGOs to create housing using charitable or government funds otherwise not available to for-profits. Also included in this approach are remedial efforts. This strategy includes mobilizing the residents of the target slum community to discuss their needs and wants in regard to housing and infrastructure improvements as well as what efforts the residents could complete themselves with the appropriate materials, training, and other resources. Finally, residents would be engaged in selecting key projects to complete using their own effort (Affordable Housing Institute, 2013).
In the United States, tax credits to developers have been a longstanding approach to encouraging the creation of affordable housing (USHUD, 2019). Emerging solutions for addressing the lack of affordable housing involve giving tax credits directly to families who need help to secure safe and affordable housing (Tracy, 2019). These family-directed tax credits would help to bridge the gap between amounts in excess of 30% of income spent by those with low or moderate incomes. In other words, families would be able to claim any amount above 30% spent on housing as a dollar for dollar deduction on their tax return (Tolan, 2019).
Living Wage Standard
In the United States, workers who earn the federal minimum wage ($7.25 in 2021) will need to spend nearly 50% of their pay to secure adequate housing (NLIHC, 2020; Smith, 2018). Thus, earning a “living wage” is a key strategy to ensure access to affordable housing. A living wage is the minimum rate per hour a person needs to earn to secure basic necessities such as housing, food, and other critical resources that would allow someone to live according to the basic standard of living for the nation in which they reside (MIT, 2020). In Europe wage standards vary greatly, with the United Kingdom operating a graduated pay system that depends on the age of the worker and on employers voluntarily paying a higher living wage (Living Foundation, n.d.). Conversely, workers in Central and Eastern Europe are less likely to earn a wage that meets the living standard (Clean Clothes Campaign, 2016). In essence, the key challenge is that without a wage that pays enough for workers to secure quality housing, they must make tough choices between a safe and adequate living space and fundamental necessities such as food, utilities, or medicine.
Some groups of renters have used tenant ownership as mechanism to promote affordability. Tenant ownership allows for collective ownership of a property, in such cases renters own a share or portion of the property they can make decisions about the future use of the property and/or share any profits made from the increased value or the selling of a property (Damewood & Young Laing, 2011). The method of setting the tenant ownership structure can be carried out in several ways. Limited equity cooperatives give tenants cooperative ownership and control over their housing. A lease purchase agreement gives individual tenants the right to purchase their home for a set buyout price after a set amount of time, while an installment land sale contract allows tenants to build equity and purchase their home over time. A right of first refusal gives a tenant association the right to decide if they wish to buy their housing before it can be sold to anyone else.
Global Social Work Interventions
A key challenge in social work practice is to help those who reside in slum communities gain the power to fulfill their needs for safe and sanitary affordable housing, as well as the regular resources to provide for those needs, while honoring the fact that slums, for many residents, may be valued spaces where they feel rooted and whole. Removing the barriers that inhibit access to safe, affordable housing is a social justice issue (NASW, 2007). The impediments to achieving this goal are firmly ingrained in the social, cultural, and economic power structures of a given society (Fox, 2013). However, in this review on social work literature on slums, no writing specifically exploring social work practice in slums was located. It appears that only normative approaches to addressing needs of slums dwellers have been developed. Table 2 shows global social work interventions and how these might be directed toward slum improvement.
Table 2. Global Social Work Practice Methods by System Level, Practice Method, and Correspondence with UN World Bank Slum Intervention Models
Global Social Work Practice Approach
UN/World Bank Model
Micro resource management and consultancy
Provision of material support, direct aid to address basic safety needs
Empowerment/conscientization: helping individuals and families understand the causes of their oppression and gain access to the power holders, self-groups, and other institutions they can participate in to make permanent change
Conflict resolution and management
Efforts to build consensus
Create peace among community factions and larger-scale institutions
Truth and reconciliation processes
Promoting good governance
Shack and People Who Live in slums Alliance
Nation building/global world building
Shack and People Who Live in slums Alliance
Table 2 shows the interventions social workers use to address the personal, familial, group, organizational, and community needs of people who live in slums by system levels. At the micro level social workers help clients make changes in their level of personal empowerment via consciousness raising, coaching, and training, while also using advocacy and brokering skills to help secure material supports (relief). At the meso level social workers help clients apply empowerment skills to participation in varying types of self-help groups and also help with conflict resolution between individuals and groups. At the exo level, social workers help clients communicate their needs to power holders (political, cultural, or social). At the macro level they help to formulate domestic and international policy change and consult with domestic and international bodies such as the UN to provide material resources to alleviate the impact of absolute poverty and to create safe, sanitary, and affordable housing (Guo & Tsui, 2010).
In assessing the situation of a particular set of clients, one may be forced to consider whether the inequality of people who live in slums is a natural product of capitalism (Park & Pellow, 2011). If so, this creates some ethical challenges. Social workers committed to achieving social justice may need to choose between notions of empowerment and whether that includes struggling to wrest the power to secure basic resources and rights from power elites and modifications to the social order (Ritter, 2012) or working to build awareness of elites with regard to the conditions faced by people who live in slums, so that they can act to bring resources or other changes to bear to make housing safe, sanitary, and affordable.
Challenges and Future Trends (Directions)
The challenge of addressing the poverty and the lack of affordable housing that creates slums has garnered concentrated attention from some of the world’s most influential and well-resourced institutions. Bodies including the UN and the World Bank are developing models for planning and economic policy that are designed to include the perspectives of poor people in housing development. In addition, people living in slums have created a variety of creative self-help approaches to improve their quality of life.
In accordance with the International Federation of Social Work (IFSW) ethical principle 3: “Social workers advocate and work toward access and the equitable distribution of resources and wealth” (IFSW, 2018). As work to improve the quality of life of people who live in slums goes forward, social workers will need to consider what opportunities may be present to develop intervention models and/or policies that increase access to safe and sanitary affordable housing. A significant contribution social workers working in communities with slum conditions could make is to foster dialogue among people who live in slums, policymakers, social work practitioners, and academics to in order craft models to guide social work practice in slums, and, further, to assess effectiveness of these models.
In working to develop models, it is essential to keep in mind that slums are not the unfortunate product of too many poor people living in the same area coupled with a lack of affordable housing. Slums result from a multitude of factors including the historical legacies of colonialism, poor planning, and economic policy (i.e., SAPs and peasant modernization efforts). Slums also result from policies of “benign neglect” that do not offer comprehensive solutions to address the tangled web of social, economic, and educational challenges facing poor and otherwise marginalized people.
Removing the barriers that inhibit access to safe affordable housing is a social justice issue (NASW, 2007). Thus it is imperative to help those that reside in slum communities to gain the power to meet their need for safe and sanitary affordable housing.
In keeping with the age-old practice directive to meet clients where they are, it is important to honor the fact that for many of the people who reside within slum communities these are valued spaces where they feel rooted and whole. Many of those who live in slums have developed a host of survival and self-help strategies to transcend their social and economic challenges. For example, some have made use traditional models of financing with familial or communal groups. People who live in slums are also using creative and, in some cases, eco-friendly efforts to improve their dwellings and surrounding spaces and have also advocated for and won land rights and other policy reforms that increase opportunities for affordable housing (subsidies, inclusionary zoning, and other policy reforms).
In some cases, people who live in slums have used civil disobedience and other measures to try to prevent the destruction of existing affordable housing. The response of governmental bodies has sometimes been severe enough to result in the injury or death of protesters and professionals who support their efforts. A key implication here is that working with clients to bring about the necessary change to address their housing needs may involve real personal and professional risk, as the factors that create slums are firmly ingrained in the social, cultural, and economic power structures of the various countries where such communities exist (Fox, 2013). Social workers will need to determine whether they are willing to take the risk of working in this arena, given that it may mean challenging ingrained power relationships. The position any given social worker takes in response to this concern may literally mean the difference between life and death for people who live in slums.
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