Parametric Approach for Urban Slum Upgrading Program along the Riverbank in the City of Yogyakarta, Indonesia

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1 UIA 2017 Seoul World Architects Congress O Parametric Approach for Urban Slum Upgrading Program along the Riverbank in the City of Yogyakarta, Indonesia Lubis, Andre Dwi Septian * 1 ; Putra, Almajid Ari 1, and Wismadi, Arif 2 1 Student, Department of Architecture, Faculty of Civil Engineering and Planning, Universitas Islam Indonesia, Indonesia 2 Senior Lecturer, Department of Architecture, Faculty of Civil Engineering and Planning, Universitas Islam Indonesia, Indonesia Abstract To conduct urban slum up grading program along the Code river in the city of Yogyakarta a set policy for revitalization has been formulated. The local policy suggests three concepts in the land consolidation process, first is mundur (step-backward), then munggah (step-up), and madep, (face-up toward the river). This policy requires a detailed guideline to be more cost effective and socially acceptable. To formulate the guideline, we compared two approaches to operationalized the concept of mundur and munggah. With consider possible flooding in 100 years period and the guideline for riparian zone, we compare two option for stepping up and backward by increasing the safety standard for mitigating the flood. First approach is by increasing the standard vertically (adding the safety rate of 100 years flooding) and second is adding the safety of riparian zone at horizontal direction. The simulation was conducted with parametric approach simulation modelling with the input of the existing building level, water level, and the edge of the riverbank. The preferred approach is aimed to minimize the number of buildings to be revitalized. The results reveal that in general the vertical approach is more cost effective to serve revitalization program. Keywords: Urban, slum, revitalization, river, parametric 1. Introduction Urban slum is one of the issues of planning and urban design in developing countries. The increasing grow of poor urban settlements often fill in the under scrutinized development of riverbank areas (Roy et al. 2014). In such case, the riverbank area that is supposed to support green and livable city with environmental service (Vollmer & Grêt-Regamey 2013), incrementally degrades into slum area. The strategy to solve this problem could be done by offering the concept of structuring or improving the quality of slum upgrading as an alternative to the settlement of urban spatial disputes (UNHABITAT 2016). The alternative should consider the characteristics of the area, environmental factors, and the social impact of its development. Therefore, the new structure should be developed with a greater understanding of the * Contact Author: Arif Wismadi Senior Lecturer, Department of Architecture, Faculty of Civil Engineering and Planning, Universitas Islam Indonesia, Indonesia, Gedung Moh.Natsir Kampus Terpadu Jalan Kaliurang KM 14,5. Besi. Sleman Tel: wismadi@uii.ac.id (The publisher will insert here: received, accepted) UIA 2017 Seoul World Architects Congress 1

2 dynamics of adaptation and risk reduction at the level of the community (Thorn et al. 2015). To establish the alternative structure, even though unintended to involve evictions, the redevelopment process might involve a displacement of houses. Without a proper communication strategy, this action could be interpreted as a forced eviction (Goetz 2012). City of Yogyakarta, Indonesia is among urbanized region in Indonesia facing the issues of informal settlement in the riverbank across the city. This area consists of slum dweller and also very vulnerable to flood and mudflow of Merapi Volcano eruption (Mei et al. 2013). To avoid a forced eviction that exacerbate the psychological, social, and material deprivations of people living in poverty (Goetz 2012), Yogyakarta has introduce a revitalization concept derived into a very local language of mundur (step-backward), then munggah (step-up), and madep, (face-up toward the river) (National Geographic 2015). Yogyakarta is a Special Province in Indonesia, where the Governor is the Sultan of Yogyakarta. The Sultan has a privilege to directly appointed as the Governor without an election process. The region is governed with a very local wisdom, and therefore limits themselves with urban revitalization process which involve forced eviction. The concept of mundur, munggah and madep represent a soft-touch regulation to encourage the people in the riverbank to voluntary adapt with revitalization policy. A such approach is similar to the attempt to mediate authoritarian and empowerment policy for converting slums to higher value use (Arandel & Wetterberg 2013). With the transforming decentralized systems, there is also new room for local government to apply similar approach for their inclusive governance in flood-prone management. However, the issue arises when they lack of means or capacity (van Voorst 2016). While some scholars tried to provide tools enhancing government capacity with decision support systems, the provided computer simulation is often too focused for understanding slum formation (Roy et al. 2014). Even, for the issue driven tools the social side is overlooked. Therefore, it lacks of adoption by local government (Rodela et al. 2017). With concern to bridge the policy formulation derived from local language, we aim to translate this cultural communication strategy into rational decision-making process. The concept, especially madep has been socially accepted, nevertheless the implementation still leaves a question about how to operationalize the concept of mundur and munggah that provide the greatest benefit with the lowest cost. This study therefore aims to obtain an operationalizing concept of mundur (step-backward) and munggah (step-up). Here, we formulate two approaches for the guideline for shifting some houses in the most vulnerable areas into a new zone. First approach is by increasing the flood safety standard vertically, and the second is adding the safety rate of riparian zone at horizontal direction. We select the approach which results the safe and secure but displacing a minimum number of houses. The specific purpose of the study is to compare the vertical and horizontal approach and evaluate its benefit and cost implication. The evaluation employ computer simulation to calculate number of houses and households in the most flood-prone area to be the main target beneficiaries of the slum upgrading program. The rational choice aims to maximize number of beneficiaries while keep the minimum cost for implementation. 2 UIA 2017 Seoul World Architects Congress

3 2. Methods To compare the approaches, we conducted a series simulation of Parametric Approach (Eltaweel & SU 2017) with the input of the location and level of existing building, water level, and river edge boundary, and application of vertical and horizontal approach which resulted in number of building and head of household which will be the beneficiary of revitalization program of Code riverbank. The simulations were carried out in 3 locations along the riverbank of Kali Code (Code River), in the urban area of Yogyakarta, Indonesia Mapping The process was started with mapping the conditions of the case study. The topographic and geographical data, including houses that potentially affected by floods becomes the basis of data of parametric input in the simulation using Rhinocheros and Grasshopper software. The river flow and settlement is used as line or point attractor to simulate the affected area due to the observed policy. In this study 3 sites along the riverbank (Fig.1) were simulated with two scenarios, the Scenario 1: retreat 15 meters + 50% and 2 meters up, and Scenario 2: retreat 15 meters and 2 meters + 50% up. Fig.1. Maps of Yogyakarta and Site of A, B, C in Kleringan at Code Riverbank. 2.2 Parametric Script The simplified parametric workflow is provided in Fig.2. The detailed script is illustrated in Fig.3. Input Geolocation of Houses River boundary Topographic of site Revitalization Policies Model Rhinoceros & Grasshopper Simulation - Retreated 15 M - Raised 2 M + 50% - Raised 2 M - Retreated 15 M + 50% Output Retreated Houses Stepped-up Houses Total number of affected household Fig.2. Parametric Work Flow. UIA 2017 Seoul World Architects Congress 3

4 Fig.3. Parametric Script 3. Results Fig. 4 present the result of simulation of two scenarios in Site A, B, and C. The number of relocated houses from each of scenario is outlined in Table 1. Fig.4. Simulation results: Scenario 1 (left), Scenario 2 (right) 4. Discussion Table 1. Simulation Results Site Scenarios Total Area (M2) Number of Houses Relocated Houses A Scenario 1: 15 meters back, and 2 meters + 50% up Scenario 2: 15 meters back + 50%, and 2 meters up B Scenario 1: 15 meters back, and 2 meters + 50% up Scenario 2: 15 meters back + 50%, and 2 meters up C Scenario 1: 15 meters back, and 2 meters + 50% up Scenario 2: 15 meters back + 50%, and 2 meters up To operationalize concept of mundur (step-backward) and munggah (step-up) we compare two approaches for shifting some houses in the most vulnerable areas, by first, increasing the flood safety standard vertically, and the second is adding the safety rate of riparian zone at horizontal direction. 4 UIA 2017 Seoul World Architects Congress

5 The results show that the vertical approach is more effective than the horizontal approach. Fig. 6 and Table 1 provide evidence that a vertical approach that implements 15 meters backward and 2 meters + 50% of safety rate is more effective than a horizontal approach that implements 15 meters backward + 50% of the safe number is continued 2 meters up. The vertical approach could result the safe and secure but displacing a minimum number of houses. Table 1 provide detailed comparison where in all sites the vertical approach required investment for houses for only 56 (Site A), 45 (Site B) and 32 (Site C) whereas the horizontal approach require investment of 63, 84, and 79 respectively. Both approaches have accommodated local regulations or riparian zone protection as well as 100-years annual flood events anticipation. Determination of 15 meters back and 2 meters + 50% up and 15 meters + 50% back and 2 meters up, obtained from local regulation to limit a building or house at the minimum distant of 15 meters from the water level, and the base level of house above 100-years of flood risk. Here, we secure the community in riparian zone, and provide new green open space to be utilized by the community of Code River and can be utilized to increase tourism support capacity in Yogyakarta. The relocated household will be provided with multistoried apartments with facilities and commercial access to the main road. This approach provides an opportunity for local governments to undertake revitalization that provides simultaneous benefits to people (communities), profit (business activities) and planets (green open spaces and riverbanks). 5. Conclusions In this study, we aim to translate cultural communication strategy into rational decision-making process in slum-upgrading program. He we operationalize very local concept of mundur (step-backward) and munggah (step-up) to shift some houses in the most vulnerable areas into a new zone. It is done by comparing two approaches to increase safety standard, in vertical and horizontal direction, and evaluate against its benefit and cost implication. The rational choice aims to maximize number of beneficiaries who live in the most flood-prone area while keep the minimum cost for implementation. This study discloses that to apply the concept of munggah, mundur, and madep, the most effective is with vertical approach. Moreover, this study provides an alternative to the development of riverbank areas that based on local-wisdom and local language approach. With the parametric approach, we could observe the alternative concepts to solve existing problems in the slums and to generate the design of the area to obtain the most positive impacts for all parties, both the public and the government, especially to improve the ecological function of the area. References 1) Arandel, C. & Wetterberg, A., Between Authoritarian and Empowered slum relocation: Social mediation in the case of Ennakhil, Morocco. Cities, 30(1), pp ) Eltaweel, A. & SU, Y., Parametric design and daylighting: A literature review. Renewable and Sustainable Energy Reviews, 73, pp Available at: [Accessed May 27, 2017]. 3) Goetz, E.G., Slum Clearance. In International Encyclopedia of Housing and Home. pp Available at: [Accessed May 27, 2017]. UIA 2017 Seoul World Architects Congress 5

6 4) Mei, E.T.W. et al., Lessons learned from the 2010 evacuations at Merapi volcano. Journal of Volcanology and Geothermal Research, 261, pp Available at: [Accessed May 27, 2017]. 5) National Geographic, Desakan untuk Memuliakan Pusat Peradaban Semesta. Lingkungan, p.1. Available at: [Accessed August 30, 2015]. 6) Rodela, R. et al., The social side of spatial decision support systems: Investigating knowledge integration and learning. Environmental Science & Policy, 76(June), pp Available at: 7) Roy, D. et al., The emergence of slums: A contemporary view on simulation models. Environmental Modelling and Software, 59(2014), pp Available at: 8) Thorn, J., Thornton, T.F. & Helfgott, A., Autonomous adaptation to global environmental change in peri-urban settlements: Evidence of a growing culture of innovation and revitalisation in Mathare Valley Slums, Nairobi. Global Environmental Change, 31, pp Available at: [Accessed May 27, 2017]. 9) Vollmer, D. & Grêt-Regamey, A., Rivers as municipal infrastructure: Demand for environmental services in informal settlements along an Indonesian river. Global Environmental Change, 23(6), pp Available at: [Accessed May 27, 2017]. 10) van Voorst, R., Formal and informal flood governance in Jakarta, Indonesia. Habitat International, 52, pp Available at: 6 UIA 2017 Seoul World Architects Congress