SLUM UPGRADING THROUGH COMMUNITY PARTICIPATION

The paper available in proceeding of CIB-W110 of ISAH Network, Solo, April 16th, 2009
ISBN : 978 – 979 – 19694 – 0 – 6, P53-64

2009, Slum Upgrading Through Community Participation, CIB Publication ISBN: 978-979-19694-0-6, Rotterdam

Andarita Rolalisasi
Ir. Ispurwono Soemarno, MArch, PhD
Putu Gde Ariastita, ST, MT


ABSTRACT
Along with the world’s growing population, the urban slum settlement also grows. One of the reasons of the slum settlement is the poverty. There are 37 centers of slum settlements in Surabaya City which are located in 23 districts. Sukolilo District of Bulak Sub District is one of the stated areas which have a slum settlement in that place. Besides there is no overall good settlement plan to this area, the slummy areas happened because of the lack of community participation in upgrading their environment. The research is aimed to formulate the concept of community participation in upgrading their slum settlement which is suitable with the conditions in Sukolilo District of Bulak Sub District in Surabaya City.

The analysis technique used in this research is a percentage quantitative descriptive analysis, correlation and descriptive qualitative analysis with triangulation technique to determine the community participation concepts. The correlation analysis is used to see the relationship between forms, process, and the deep level of community participation with its community characteristics. The triangulation analysis used is a combination of synthesis theory, stake holder’s opinions, and the people’s opinion as well.

Key Words: Community Participation, Environment Upgrading, Slum Upgrading



I. INTRODUCTION
1.1. Background of the Study
The problems of slum exist not only in Indonesia, but also in almost developed countries in Asia and Africa. The city’s slum exists because of the abundant urbanization, the growing population, globalization, poverty and inability of the city’s government in managing the growth and administering an adequate city services (Tannerfeldt, 2006). Nowadays, there are 17 millions of people who live in the city of Indonesia live below the poverty line who reside the slum 40 thousand hectare in 10 thousand locations (www.pu.go, id).
Slum could be decreased by government, community, or private sectors. Government have restricted ability to control it. Government reduced the slums of up to 2875 ha in 2004 through the central government budget and local government budget. So that to realize the "City Without Slums" in 2010, the Indonesian government must be able to handle the settlement area slums of 4739 ha/year. Besides, prevention efforts must also be the development and expansion of the slums area (www.nussp.com).
The criteria of a settlement which is considered as a slum is a physical factor, economic factor, and factor of the community who live in the slum area (Litbang PU, 2004). One of the weaknesses of the slum’s upgrading program which related to the factor of the inhabitant community is the active participation of the community and its related elements. This is related with the ability in understanding the community’s will by themselves, the unawareness of the community to their environment), and the difficulty in getting the problem-solving process in reaching the agreement (Silaban, 2003 and Dhakal, 2002).
The community who are involved in the development process is a reflection of a development strategy which oriented to the people-centred development. By the community participation, the result of the development will fit with the aspiration and the need of the community themselves. The community participation will be existed if the involved factors are people, organization, or the creditable institution, development which centred on the basic problems and will directly benefit the living welfare. The participation of community will also reinforce the community to contribute the ability and their potentials for their development program (Soekamto and friends, 2004).
Surabaya City as one of the big cities in Indonesia has a potential as a slum settlement centre. Based on the identification conducted by a team of the local neighbourhood administrative unit of Surabaya City in 2003-2013, there are 37 (thirty-seven) centres of slum settlements in Surabaya City, which located on 23 (twenty-three) districts. The big slum location part is located on the boarder of the Surabaya City, the boarder of Gresik Regency, Sidoarjo Regency, and Madura Straits(Fact Analysis of the RTRW Surabaya 2003-2013). The stated spreads can be seen in details in the appendix picture 1.
One of the slummy areas in Surabaya City is located on Sukolilo District, Bulak Sub District (Fact Analysis of RTRW Surabaya 2003-2013) which has a boundary with Madura Straits. Sukolilo District is high density area and its environment is relatively disorder. One of the causes is natural growing population and uncontrolled migration results. Besides, there is no well planned environment arrangement in all places. The biggest part of the population is fishermen and sea-harvest merchants. The settlement in this area formed clusters in accordance with its environment (The Settlement and Infrastructure Department of East Java Province, 2007).
The development and upgrading program which has been and is still going on in Sukolilo District area is the upgrading and infrastructure improvement on drainages, roads, garbage, clean water, and the like. The program is called KIP-K stands for Kampung Improvement Program-K/Comprehensive) in the year of 2003, NUSSP (Neighbourhood Upgrading and Shelter Sector Program) in the year of 2007, and the program which is still in progress in the year 2008 is P2KP or Poverty Prevention Program. The implementation of this development program of improvement environment settlement stated above is hoped to involve local community participation. After the implementation of C-KIP in the year of 2003, the wide of the slum settlement in Sukolilo District is 25,47 hectare or 30% of the total wide of its areas (The Settlement and Infrastructure Department of East Java Province,2007).
In line with the illustration above, it can be seen the importance of community participation in upgrading their environment to decrease the wide spread of the city slum significantly. The community participation concept is a crucial thing to be analyzed, mainly the analysis of the form, process, and how far the community participation involved in accordance with its local community conditions. It is hoped that the resulted concept shall be able to be the basic for the arrangement of the slum area in Sukolilo District Bulak Sub District of Surabaya City in the future.

1.2 Research Problem
Reduction of settlement area in the slums district Sukolilo can not only rely on government assistance. This is due to the limited government funds in the settlement area slums. Community participation in slum upgrading will accelerate the reduction of slum. Besides, the community participation also maintains environmental settlement does not become dirty. From the description on the research question can be formulated as follows:
• How does the concept of participation in community improvement district in the area Sukolilo slums?

1.3. Aim and Objective of the Research
The purpose of the research is to analyze the community participation in the slum upgrading in Sukolilo District. The objective of the research in order to get the aim stated above are:
1. To identify the community characteristic of Sukolilo district
2. To identify the community participation characteristic in the slum upgrading in Sukolilo District
3. To identify the constraints in carrying the community participation in the slum upgrading in Sukolilo District.
4. To explore the desired participation of the community in the slum upgrading in Sukolilo District.

1.4. Scope
This research analyzed the community participation in upgrading the slum settlement areas in Sukolilo District. So, the scope which be discussed are as follow:
1. The Scope area,
is the administrative area of Sukolilo District Bulak Sub District of Surabaya City. The wide of Sukolilo District is 0,79 hectare, consisted of 3 RW and 10 RT (Neighborhood Administrative Associations). Topographically belonged to mainland and beach areas.
2. Substantial Scope.
The substantial scope discussed in this research is the form of the community participation and the deep surface level of community participation in the slum upgrading in Sukolilo District Bulak Sub District of Surabaya City.

2. Review of Related Literature
2.1. Definition and Criteria of Slum Settlement
The criteria of the slum according to Alit (2005) consist of physical, economics and social aspects. Physical aspects is a condition in which the condition of the settlement is occasionally troubled by the floods and burns, improper settlement infrastructure, environment sanitation, clean water source. Economic aspect is a condition belongs to the low-income community, and social aspect is seen on the low educational background of the society.
As Litbang PU (2004) stated that the proper settlement is consisted of proper living, proper business, and proper improvement. The proper living is achievement of physical requirements, health, and decent as a group of socialized people. Proper business is the fulfilment of the conducive environment of social and its community economics. And proper improvement is the fulfilment of environment condition to support the improvement of its social welfare. Both Alit (2005) and Litbang PU (2004) stated that a settlement can be regarded as a proper or slum is depend on the fulfilment on physical facilities of the settlement and the continuity of the economic conditions and local social community.



2.2. View of Community Participation
Mikkelsen (2005) stated that community participation is the aim of the democracy process from the community and managed by the community itself. Adi (2008) stated that community participation is the involvement of the community in the process of the identification of the problem and the potential that exist from the community, the choice and decision making of the solution alternatives to solve the problems, efforts to solve the problems and the community involvement in evaluating the change process. The involvement of the community in various stages of the change can make the community be more powerful and even have prevention in facing the changes.
Based on the above explanations, the community participation in this research can be defined as the involvement of the community willingness in knowing the potential and problem on themselves and participating on the process of upgrading the surrounding settlement. The participation should base on the willingness or of their own wishes.
The community participation level showed how far the social activities in the process of the development. Arstein (1969) stated that level of the deep of the ideal community participation will succeed community efficiency. This matter will be achieved if there is a chance and inhabitant’s ability in controlling the development programs. The level of community participations are divided into 3 (three) stages; non-participation/passive participatory, tokenism, and active participatory. Non-participation or passive participatory is a condition in which the community is not involved or be involved at all in a process of development. The tokenism is a condition in which the community is as to be seen as if they are participated. But if it is seriously focused it showed that the community is not involved or participated in the development process. In the active participatory level or citizen power, the community has become the subject of the development process. The communities have understood and really comprehend on their self conditions and needs.
The form of community participation is used for knowing on how the community participation be carried out and shows how the community participates in slum upgrading. According to Chambers (2002, in Mikkelsen 2005) the form of community participation to be seen as a trick as if they are participated, or just gathering the power in the participation. Or can be in the stage of efficiency. The form can be seen on (1) the way the community participates, (2) the tool to be used by the community to participate, (3) the real form of the participation mentioned. The achievement of community participation indicator is used to determine the achievement level of community participation process. Marschal (1998) stated that the community participation achievement in the slum upgrading depend on: (1) how big is the represented ones, (2) how far is the effectiveness of interaction among the society members, (3) what is the role of the facilitator in the process, and (4) how far is the society can explore their need so that it really match with the need they really want.

2.3. Community Participation in Upgrading Settlement Area
In the community participation concept, the society should become the subject of the development to maintain the continuity its development process. Community participation is a process to increase the living standard of its society themselves. So, in the slum upgrading, the active participation from the society is needed so that the process will be in progress. The community participation is also one of the effective ways to increase the society living standard in the slum by themselves. The society is supposed to participate in the process of planning, carrying, and supervising. Besides that, participation and involvement from the community is needed in the process of decision making in the initial planning stage, carrying, and supervising as well.

3. RESEARCH METHODOLOGY
The aim of the research is to analyze community participation in the slum upgrading in Sukolilo Districk Bulak Sub District of Surabaya City. Based on the empiric fact on the field, this research is using rationalistic research. This research began with analyzing, and comprehending on the view of slum, community participation concept, community participation in the slum upgrading, and the society development to enhance community participation. The analysis and the comprehension are used as fundamental theory to reach the concept of community participation improvement in the slum upgrading which is suitable with the field research. Moreover, the concept will be analyzed by using the sensual empiric fact (which can be caught by the five senses), ethical empiric (the norm which carried out in the society) and logical empiric which can be achieved through the secondary data.
The kind of the research used in this study is the combination between quantitative and descriptive qualitative research. The quantitative analysis is used to conduct the counting of the received data from the field. Whereas the descriptive qualitative analysis is used to describe and to interpret the quantitative analysis result so that the analysis result is acquired suitable with the aim and the objective of the research.

4. ANALYSIS AND DISCUSSION
4.1. General Condition Sukolilo Distrrict Bulak Sub District of Surabaya City
Sukolilo District has a boarder on Madura straits. The district has a specific location characteristic among others are seaside place and fishermen settlement who tend to live in a slum, difficult to reach an access basic settlement infrastructure, unregulated sanitation with lack of sanitation infrastructure of integrated environment, and became final destination of the city’s drainage. The area of Sukolilo District consisted of 3 RW (Administrative Neighborhood Association). The association is formed automatically caused by settlement’s cluster. Based on the Report of Study Formation of the Slum Area of Surabaya City and Its Surrounding, the area of Sukolilo District which is relatively categorized as a slum is located on RW II centered on RT 1 up RT 5.
Based on the field study, in general the settlement’s condition in Sukolilo District are consisted of permanent housing, however, the settlement environment looks slum since there is lack of proper intention from its inhabitants towards its environment. The biggest part of the Sukolilo District inhabitants are migrants from the rural places and their main occupation is as a fishermen of people shipping. The migrants lived with their family so that their migration gradually had a significant effect either negative or the positive effect as well.
The additional citizens as migrants along with springing lodging houses is not accompanied by a proper infrastructure. The existed settlement did not have a proper drainage system. The water flowed from the drainage to the ditch which are made improperly from the digging land and made the drainage’s water stuck in this place so that it looks like there is no proper treatment with a view of the household drainage’s waste water which overflowed up to the terrace of the lodging houses around it. Since lack of proper drainage system, this area almost always has a flooding in the rainy season.
The study area’s settlement occupies the places of more or less 30% of all the administrative areas of Sukolilo District. The rest land are reclamation areas which are used for Kenjeran beach resort place. The environment area formed 3 clusters in which administratively are divide into 3 RWs. The growing settlement happened incrementally and grew naturally without initial control and planning. Thus, the settlement grew and developed imbalanced. The following will describe the settlement’s condition of the research study area based on the accessibility condition, building density, communal toilet, garbage storage, housing used a production place, and the unused land.

4.2 The Population Characteristic of Sukolilo District
Almost two-third of the Sukolio District population earned for their living from the sea products among others as a fisherman, fishermen’s labor, and sea product and its variance businessmen. The business is in the form of a sea-product supplier to the company, sea-product industry, and sea product merchants. The earning business are from the catching fish, sea plants or animal, and various kind of shells. Some biggest part of the sea products were reprocessed as a processed food or snacks and handicrafts, which were sold along the street of Sukolilo and the nearest local seashore resort known as Kenjeran Park. Two years before, fishermen only had abundant catching fish only in a certain season, that is in the month of September up to April, while in the other months the catching were very low, even almost nothing. However, ever since Porong’s hot mud were flowed to the Porong’s river, this killed the sea inhabitants in the place where the fishermen catch the fish indirectly. The catching fish on the month of November, 2008 (when the survey were being conducted), only of 10% from the usual catching. While one-third of Sukolilo’s population have various kinds of jobs among others are house servants to TNI AL complex which has 1 km distance, brick layer laborers, store clerks, and private institution and teachers.
Based on the result’s field survey, it showed that the biggest part of the community houses in Sukolilo District are privately owned (77% of the population). Whereas the rest were living on their parents’ home (3%), residents from other places who lease the house from the local inhabitans (13%), and there were people who only lease the empty land and built the house by themselves (7%). This indicated that the community of Sukolilo District are the local inhabitans of the research areas.

4.3. Community Participation Characteristic in the Slum Upgrading in
Sukolilo District
Characteristic of community participation in the slum upgrading in Sukolilo District is divided into 2 (two), these are based on their kind of occupation and the status where they lived.
The fishermen and labors in Sukolilo District tend to have participation labor characteristic and a low depth on the initial implementation stage and after the implementation one. Private businessmen and teachers tend to have labor participation characteristic forms. The depths on the implementation stage tend to be low and average, and tend to be low on the stage of the implementation. Whereas the clerks tend to have labor participation and non-participation. The depths on the implementation stage tend to be low and high, and tend to low and average on the implementation stage.
Sukolilo District’s community who resided on their own house and rent the land and the house tend to have labor participation characteristic and the depths are relatively low. The residents who just stay tend to have labor participation characteristic forms. The depths of the residents who just stay were average and high on the implementation stage and tend to be low and average after the implementation stage.

4.4. Community Participation Implementation Constraints
The community participation implementation constraints in the slum upgrading in Sukolilo District are from factors of (1) economics, (2) social, (3) education, and (4) commitment implementation. The society economic conditions influenced the awareness to the surrounding settlement environment. The lower the economic level is, the fewer the awareness of the community toward its surrounding environment since most of the time were being used for earning the living.
The social factor are derived from the background and the customs and traditions. The social factor influenced the way the family thinks, or the society in facing the surrounding environment. The condition of Sukolilo District society is influenced by the condition of their kinds of occupation, that is society who work in the land and the sea. This matter is caused by the different working hours between both of them so that it is difficult to unite if there is a problem which has to be done together. Community who work in the land area (some of them are laborers, private businessmen, employees and teachers) have the working hour from morning to afternoon. Whereas those who work at the sea ( fishermen, fishermen’s labors, and some are private businessmen) work from the evening until morning while the day time is used for taking a rest. This matter made the fishermen community seldom follow the local activities in the day and night time.
The education factors are derived from the formal and informal education which have been accepted by the community of Sukolilo Distric. The lower the educational background is the fewer participation in the development process. Besides, the educational background also influenced how a person or society in realizing the organized plan to realize the commitment they have been planned before. The higher the educational background is the higher the person or society in realizing their wishes.
Sukolilo District’s community who have a job as fishermen and labor tend to consider that social factor is a constraint in implement community participation in the slum upgrading. The private businessmen and the employees tend to consider the social factors and the educational background are the constraints. Whereas teachers think that the constraints of community participation is the economic and social factors.
The community of Sukolilo District who resides in their own and rented house tend to consider that the constraints of community participation is the social factor. The inhabitans who resides at the rented house tend to consider that the economic factor, social, commitment realization, and educational background are the constraints. Whereas the inhabitans who just stay think that the social factor and education are the constraints in community participation.

4.5. The Prefered Characteristic of Participation by the Community in the Slum Upgrading in Sukolilo District
The fishermen in Sukolilo District tend to prefered a low deep participation and the party who decides are the community themselves. The prefered form of the participation from the fishermen of Sukolilo District in the planning is non-participation. In the stage of implementation, the wanted are in the combined participation form of labor, money, and so on. Whereas on the stage after the implementation, the labors want labor participation form.
As the fishermen, the laborers in Sukolilo District also tend to unwilling to be participated in the planning stage. While on the implementation stage, the laborers tend to prefered labor participation form and money. Whereas after the implementation stage, the form of labor participation are the prefered form from the laborers.
Private businessmen and teachers in Sukolilo District also tend to prefered not to participate on the planning stage. While on the implementation stage and after implementation, tend to prefered the labor participation form. The businessmen and teachers tend to prefered low deep participation on the planning and after the implementation, and tend to have average deep participation on the implementation stage. Teachers tend to prefered the society or do not know who decides in community participation in all stages. Whereas private businessmen tend to wish the party who decides is the government on the planning stage, collaboration of government and the community on the stage of implementation and after implementation.
The employees in Sukolilo District tend to prefered labor participation form and non-participation on the stage of planning and after the implementation. On the implementation stage, employees tend to wish combined participation forms of labor, money and so on. The employees tend to prefered low deep participation on the planning stage and after implementation stage, and low and high deep participation on the implementation stage. As the party who decides in community participation, the employees tend to prefered the collaboration between the government and the community in all stages.
Inhabitans who lived in rented house tend to prefered not to participate on the planning stage and labor participation form. On the implementation stage tend to prefered the combined participation of labor, money and so on, and the deep participation is average. Besides that they tend to prefered the collaboration between the government and the communty as the party who decides in the participation are the community themselves in all stages.
Whereas Sukolilo District’s community who just stay in the lodging house tend to wish not to participate and labor participation form on the planning stage. On the implementation stage, tend to prefered combined participation form of labor, money, and so on and the deep participation tend to be low and high. The prefered party as the decision maker by the community who just stay in one’s house is the combination between the government and the community in all stages.

5. CONCLUSSION
The characteristic of community participation of slum upgrading at Sukolilo District Bulak Sub District of Surabaya City are: the biggest part of community participation characteristic forms in the form of voluntary labor service; the biggest part of the deep characteristic of community participation is low caused by lack of self initiative in the community; the constraints of the realization of community participation are economic factor, social , education, and commitment realization; the community tend to prefere not to participate on the planning on the implementation stage, tend to prefered to participate. Whereas after the implementation stage want have to collaborate with the government to handle slum condition.
The concepts to increase community participation of slum upgrading at Sukolilo District Bulak Sub District of Surabaya City are promoting the technical assistant, increasing awareness of surounding, sugesting independency on decision making process, and increasing human capital and social capital of the community.

6. REFERENCES
Adi, Isbandi Rukminto, (2008), Intervensi Komunitas Pengembangan Masyarakat Sebagai Upaya Pemberdayaan Masyarakat, Jakarta
Alit, IK (2005), Pemberdayaan Masyarakat Dalam Peningkatan Kualitas Permukiman Kumuh di Propinsi Bali, Jurnal Permukiman Natah Vol. 3 No. 1st Pebruary 2005
Anonim (2007), Fact Analysis of the RTRW Surabaya 2003-2013, Planning Board of Surabaya
Anonim (2004), Kajian Penataan Rumah Kumuh di Kota Bandung, Reasearch and Development Office of Public Work Department, Bandung
Anonim (2007) Penyusunan Studi Penanganan Kawasan Kumuh Perkotaan Surabaya dan Sekitarnya, The Settlement and Infrastructure Department of East Java Province, Surabaya
Arnstein, Sherry R (1969), A Ladder of Citizen Participation, JAIP Vol. 35 No. 4th Jully 1969
Department of Public Work, Penanganan Permukiman Kumuh Perkotaan Melalui NUSSP Targetkan 841 Kelurahan,
http://www.pu.go.id/index.asp?link=Humas/news2003/ppw220307gtz.htm download 23th October 2008
Mikkelsen, Britha, 2005, Methods for Development Work and Research. 2nd edition, SAGE Publications, New Delhi
NUSSP, 2009, Profil NUSSP, http://nussp.com, download 12nd February 2009
Silaban, Togar Arifin, (1999) “Comprehensive Kampung Improvement Program”, submitted to ICLEI in Ottawa for application of Local Initatives Awards. http://www.togarsilaban.com/2007/03/22/comprehensive-kampung-improvement-program/. Download 17th March 2008
Soekamto, H; Soeprapto, R; Noor, I; (2004) ”Partisipasi Masyarakat Dalam Penanggulangan Kemiskinan (Studi Implementasi Program Penanggulangan Kemiskinan Perkotaan di Kel. Bandulan Kec. Sukun Kota Malang), Malang,” Jurnal Ilmiah Administrasi Publik FIA – Unibraw, Vol. IV No. 2 Maret-Agustus 2004
Tannerfeldt, Goran; Ljung, Per; 2006, More Urban Less Poor an introduction to urban development and management, London, ISBN-13. 978-1-84407-381-3