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W17 – Housing and Sustainable Urbanisation in 

Developing Countries 

PLANNING IN PROCESS: AORTA AS A NEW 

INSTRUMENT FOR THE UPGRADING OF 

INFORMAL SETTLEMENTS IN DEVELOPING 

COUNTRIES 

Moritz Groba, Jochen Hansen, Christian L. Krause, Christoph 

ruckert@la.rwth-aachen.de

Planning in process: AORTA as a new instrument for the upgrading of informal settlements in developing countries 

ENHR 2007 International Conference ‘Sustainable Urban Areas’ 

Planning in process: AORTA as a new instrument for the 

upgrading of informal settlements in developing countries 

Moritz Groba, Jochen Hansen, Christian L. Krause, Christoph Ruckert 

Department of Landscape Architecture 

RWTH Aachen University, Faculty of Architecture, ruckert@la.rwth-aachen.de 

Phone +49-241-8095053 Fax +49-241-8092274 

Keywords: Informal settlements; Slum upgrading; Infrastructure; Open space; Participation 

Abstract 

Due to their strong concentration of social, economic and ecological problems, informal 

settlements are of outstanding significance for the future development of urban 

agglomerations in developing countries. These quarters are mostly characterized by existential 

indigence, insufficient infrastructure and difficult living conditions. Main problems are the 

lack of basic supply, an inadequate hygienic situation, the missing access to education, 

information and medical support. 

In most cases, the development of these settlements is neither being initiated nor controlled by 

urban planning authorities. ‘Formal’ approaches as for example official housing programs 

often fail because of their lack of adaption to the economic and social requirements of the 

residents. Therefore planning instruments which are flexible enough to react to unexpected 

changes and decision making structures which are able to integrate all participants have to be 

developed. 

Planning interventions in informal settlements means reducing the final formulation of the 

plans to a minimum: an intervention that is characterized by its continuous proceedings, 

improving with every step and based on experience. Skills and potentials of local residents 

have to be supported and brought in action within the planning and construction process. 

Therefore, the main focus is on developing a system to satisfy the basic needs of the residents: 

an elevated infrastructural element with different add-on modules which can be used in 

various urban situations, combining social, technical and security functions. Structuring and 

upgrading the open space, it will serve as a development corridor in dense urban quarters as 

well as in non-defined vacant sites. This urban ‘AORTA’ reacts in a flexible way to growing 

communities and can be easily expanded. Participative tests in different settlement 

Workshop: Housing and Sustainable Urbanisation in Developing Countries 

Author: Moritz Groba, Jochen Hansen, Christian Krause, Christoph Ruckert 

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development scenarios with an 'AORTA toolbox' generate a sustainable basis for decision 

making of planning authorities and residents. 

Fig. 1: Perspective, design example of AORTA 

1 Introduction 

Urban and landscape planning in cities worldwide always means dealing with the 

phenomenon of informal settlements. In the beginning of the 21 st century about 1.000 million 

people – 30% of the world's urban population – live in such settlements without security of 

tenure. In threshold and developing countries this value can reach up to 50%. Prognoses say 

that – due to the ongoing urbanization – the number of people living in informal settlements 

can reach 2.000 million within the next 30 years. Problems in informal settlements are 

manifold: most households have only a low and sporadic income and the inhabitants are often 

excluded from political decisions and social processes. Access to public health care, to 

information and education is difficult; crimes and violence often menace the public order as 

well as the personal safety. Living conditions are mostly characterized by inadequate hygienic 

conditions and the lack of basic supply e.g. drinking water, electricity or communication 

systems. Houses are often made of insufficient material and most quarters have a very high 

population density. Public and private open spaces e.g. squares, streets, gardens or parks – the 

most important areas for social life in many countries – are rare and often in a bad state. Due 

to this strong concentration of social, economic and ecological problems and because of their 

high dynamic – the informal housing sector produces the majority of all new housing units in 

the cities of developing countries – informal settlements are of outstanding significance for 

the future development of urban agglomerations worldwide. 

1.1 Change of strategy 

In most cases, the emergence of these settlements is neither being initiated nor controlled by 

urban planning authorities. In many countries disregard or rejection of informal settlers have 

been the only reactions to the ongoing process of urbanization. Also many 'formal' planning 

approaches such as official housing programs failed because of their lack of adaption to the 

economic and social requirements of the residents. But changes in the strategy of problem 

solving appear: meanwhile more and more importance is attached to the upgrading of living 

conditions within existing informal settlements. The active involvement of local communities 

and their potentials and resources thereby become an existential part of the planning, 

implementation, monitoring and management process. 

1.2 A new instrument 

Considering the living conditions in informal settlements there are two aspects of increased 

significance for further development steps: 

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Author: Moritz Groba, Jochen Hansen, Christian Krause, Christoph Ruckert


• there is a fundamental need for basic infrastructure 

• the major part of private and public life in most developing countries takes part in 

open spaces 

On this basis a research team at RWTH Aachen University, Institute of Landscape 

Architecture developed AORTA as a new approach to the challenges of informal settlement 

upgrading: a linear infrastructural system which can be used in different urban situations, 

combining technical functions and social as well as economic components. It reacts to the 

dynamics and changes of growing communities in a flexible way. Defining, structuring and 

vitalising open space, it can serve as an initial development corridor for existing urban 

quarters as well as for non-defined vacant sites. 

2 The AORTA-CONCEPT 

The AORTA basically consists of an elevated infrastructural element, built on stilts, 

combined with different add-on modules. This elevated infrastructure creates a base pattern, 

which provides the basic needs, and at the same time defines and upgrades the public space in 

the settlements. Since crime is at an alarmingly high level in many informal settlements, 

upgrading the public space has to be seen as a very important step for generating a higher 

identification with the quarter and simultaneously strengthening the passive surveillance. In 

significant places, the AORTA extends to small squares with public facilities animating 

habitants to spend more time in public spaces. 

2.1 Basic infrastructure 

As water and electricity supply cannot be granted to every shack itself, the 

distribution is organized in several access stations along the AORTA, 

emphasizing the public places as focus points with strong attractiveness for the 

public. The construction of the infrastructural element is based on available resources. 

Recycled materials and retransformed elements are supposed to serve for its installation. It is 

low-tech enough to be set up by unskilled workers, but high-tech enough to serve its 

determination. 

Fig. 2: Collage 

In addition to the distribution of the basic needs like water and electricity, the AORTA can be 

equipped with various add-ons. 

2.2 Add-ons 

- Lighting and public phones 

Streetlights mounted on top in combination with the new public spaces will help to 

increase the passive surveillance along the AORTA and to lower the risk of getting 



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into crime trouble. A dense network of public phones attached to the structure will also serve 

both purposes: to support the idea of the AORTA as a centre of social attraction and as a SOS 

beacon for emergency situations. 

- Transportation 

The lack of public transport and the general transportation problems in 

informal settlements handicaps habitants’ access to work, accommodation and 

education. Increasing the speed of moving forward from 5 km/h by foot to 15 

km/h by bike, the area to be reached in one hour is multiplied by factor 9. Along the aorta, a 

network of bicycle repair shops can be installed, to give sufficient support for bicycle users. 

The repair shops offer courses in bicycle repair and provide new employment places for the 

local inhabitants. Adjacent to the bicycle–network, a system of shuttle buses will work along 

the aorta. Sufficient light for a safe waiting process is given by the AORTA lighting system. 

Bus stops can be integrated and sheltered by small AORTA roofs. 

- Community cooling devices 

As a reaction to the very bad hygienic situation, especially concerning food storage, 

community cooling devices, powered by solar energy, can be installed as part of the 

AORTA. Cooling is one of the few applications that consume the most energy when 

solar panels are most efficient: at daytime. The devices can be made up of second hand reefer 

container, a mass product, used all over the world to transport delicate goods such as fruits, 

meat or flowers. These reefer containers are the ideal application for solar cells: provided with 

the maximum energy output at daytime and keeping the coldness inside at night by isolation. 

The use of expensive storage batteries can be reduced to a minimum or even cancelled. 

- Orphanage modules 

Due to the alarming spreading of AIDS, more and more children have to grow up 

without their biological parents, often also infected with the HI virus. This growing 

group and other children living without their parents for different reasons on the 

street, needs to be reintegrated into the society and adequately supplied with medical and 

social attendance. Therefore special orphanage modules shall be set up along the AORTA, 

supervised by a social worker. In strong correlation with for instance the bike repair network 

or the community cooling devices, training programs shall be set up, to show the adolescents 

how to assume responsibility and prevent them from engaging in criminal activities. These 

orphanage modules can be made out of used TFU (twenty feet units) ship containers, piled up 

shifted, to form small balconies and shaded open-air spaces. 

- Internet Boxes 

The internet grants access to uncensored information from all over the world and 

facilitates global communication. That is the reason why the AORTA takes on the 

project of the “community–chat” internet–boxes, already applied in South African 

informal settlements. With the AORTA a network of internet boxes will be set up, allowing 

the habitants to benefit from the manifold and independent information sources the internet is 

providing. 

- Community Centres 

At important public focus points community–centres will be installed. These 

are assembly spaces where general meetings can be held and social workers 

transmit information regularly. The habitants shall be introduced to a 

sustainable treatment of their living area, concerning waste treatment, food gardening, solar 

cooking and the construction of biogas–plants for instance. These technologies have already 



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been successfully applied in different developing countries. Therefore, it is important to 

mediate such projects tending to support the self–sufficiency and a more agreeable 

environment. The centres shall be points of exchange of ideas and experiences, as well as 

meeting points where public events such as conferences, culture happenings or concerts can 

take place. 

- Medical Centres 

To guarantee sufficient medical provision, such as help in small emergencies or 

selling medicine, as well as giving information on medical topics, e.g. the very urgent 

AIDS problem, small medical centres can be added to the AORTA structure. 

- Community Kitchen 

In informal settlements cooking is mainly done with open fire. This endangers not 

only the health of the user and the safety of the whole closely tilled quarter, but also 

wastes valuable resources. As a part of the AORTA, small community-kitchen will be 

added, where people can organize cooking in groups, using the electricity delivered by the 

AORTA. In that way cooking is more effective and lowers the risk of a major fire. In further 

steps, the kitchen modules can be equipped with cookers, powered by regenerative energy. 

This energy could be gained from biogas, produced by the habitants themselves, or with the 

help of focused solar radiation. Information on both techniques will be given by the 

community centers. 

- Grey water system 

An additional third strand, beside electricity and fresh water, can be attached for the transport 

of grey water. Collected from purification plants and rain, grey water will be used to irrigate 

small urban agriculture fields and will serve as an emergency system to extinguish fires in 

dense quarters. 

3 Intervention process 

3.1 Groundwork principles of the AORTA 

Intervening in an existing urban formation is a delicate but challenging venture. Its complex 

structure always reacts unpredictably and fragile equilibrations can easily become unbalanced. 

The planning of ready-made settlements like the South African 'Matchbox House' projects has 

to be seen critically, as for often neither acceptance nor identification is achieved within the 

artificial urban quarters. Therefore the AORTA intervention process must be a strategy of 

small steps according to the needs and major problems of the people. An intervention that is 

characterized by its continuous proceeding, improving with every step, based on experience. 

The strategy of small steps and “grassroots technology” helps to ensure, that the basic 

decisions are kept within the community and its people. Instead of presenting ready-made 

recipes, solutions developed together, shall be qualified further on. 

3.2 Involving the habitants 

The squatters` high level of talents and potentials, ranging from self-sufficiency, creativity, 

motivation to self-reliance and organisation-ingeniousness, has to be supported and brought in 

action. This means organizing the habitants in effective basic-networks and developing a 

group spirit, which is for the benefit of everyone. Social integration and responsibility has to 

be a must, guiding to identification with the group and its community. An important focus has 

to be set on caring together for the needs of the socially disadvantaged, like AIDS-orphans, 

children and older people. 



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3.2.1 The basic networks 

First of all, the community spirit is to be encouraged to convince everyone that the future 

intervention is for the best of every single inhabitant. Then spokesmen are elected to start the 

planning phase. Depending on the size of the community their number should be large enough 

to prevent decisions that are based on specific personal interests, but small enough to keep up 

a high spirit of community and the possibility for an effective operation potential. Together 

with specialists for urban planning and technical engineers, they form a council to deliberate 

on further steps. 

4 The AORTA toolbox 

4.1 Communication problems during the planning process 

A great obstacle in communication between planners and habitants is the lacking capability of 

the habitants in reading and understanding technical plans. 3d Computer animations may be 

impressive for presentation, but create a fixed final state which is difficult to accommodate to 

the circumstances, as the handling of the software requires high specification and skills. For 

involving the public in the decisions, a new platform for communication and discussion has to 

be developed: The “AORTA toolbox”, a communication tool, easy to handle, applicable 

intuitively, that fills the gap and allows both parties to express themselves, putting their ideas 

across. It provides a collection of materials and icons to act as a construction kit in a selfmade 

demonstration model. 

4.2 Getting started 

With today's internet technology, satellite and aerial photographs of nearly every point of the 

earth are easily available and at hand in an excellent quality. The satellite photo of the 

operational area is glued in a reasonable scale, e.g. 1:200, on a soft material, like a plate of 

cork or styrofoam. 

First of all the existing urban structure is rebuilt with semiabstract items. These items are as 

close as possible to the archetype to be understood by everyone, but abstract enough to act as 

a symbol. E.g. a single shack, in the model made out of folded beverage cans, underlines the 

coherency of the archetype to be pictured, but still can be read as a simple geometric volume. 

a.beverage can b.cut to open c.winding off d.cutting out e.folding f.pricked needle into the “shack” 

Fig. 3: Building a shack model 



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Furthermore, all used items are made on site and produced out of low-cost materials which 

are easily disposable in the operational area. 

a. loudspeaker double core cable b. car grille c. car air filter d. old pharmaceuticals e. sponge brush f. beverage can g. eraser h. plastic wine bottle sealing i. sponge j. electronic component 

k. cork l. charcoal m. used computer keyboard n. styrodur m. styrofoam p. wax 

Fig. 4: Material proposals 

After all dwellings have been rebuilt in the model, existing infrastructure has to be 

symbolized and decisive points of special interest displayed. As streets and foot paths can be 

seen in the aerial photograph, just important elements for the daily life are accentuated, e.g. 

water access points, bus stops, groceries, schools, dumping places etc. Therefore a set of icons 

has been developed, precise enough to be understood by everyone, abstract enough to be 

grasped very quickly. This icon-set is extendable or modifiable by the planning crew to adapt 

to the prevalent imagination of the archetype. A first set of proposals can be printed out of the 

internet. 

4.3 Intervening 

When the status quo is mapped sufficiently, people can start to give several settings a try. 

Therefore the “AORTA toolbox” holds various elements ready to be pricked into the model. 

a. community-centre b. orphanage-module c. cooling-device d. internet-box e. bike-repair f. medical-centre g. community-kitchen h. bus-stop i. roof-outstanding j. AORTA 

Fig. 5: Selection of prepared add-on items 

Different add-ons are proposed to be made out of different materials. To underline the specific 

intervention, symbols from the icon-set are pricked on top of the elements. Now the user can 

simulate different scenarios, figuring out the correlation between each intervention step and 

realizing the direct consequences for him and his neighborhood. 



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5 Scenarios 

The upgrading of informal settlements – as well as city development in general – is a 

continuous process that can never be fixed in a certain state. For this reason, an intervention 

instrument like AORTA cannot be 'planned' in a conventional way: as we have shown in 

previous chapters, different factors influence the conceptual design and the implementation 

phase. For this reason, every development step has to be adapted to the current situation and 

changes must be made according to relevant monitoring results. 

The following scenarios are therefore just examples for the application of the AORTA 

toolbox. Nevertheless they are based on an existing informal settlement in Cape Town, South 

Africa. The flexibility of the AORTA concept will be pointed out by means of two different 

development scenarios. 

Fig. 6: Initial situation 

5.1 Scenario 1: Upgrading with caution 

In the first phase, the main strand is applied to 'important' streets of the quarter. Each 'block' is 

pervaded or surrounded by an AORTA line and street crossings form a central public square. 

Along this course basic supply is being provided with distribution stations for water and 

electricity. The latter can also be used by a semi-public kitchen for several neighbouring 

houses. The square in the middle of the quarter is being equipped with public facilities e.g. an 

internet-box, an information bureau and a community centre for public meetings. 

Fig. 7: Step 1 

In a second step, the AORTA can be led into the blocks so that shacks in second and third row 

can also be provided with water and electricity. The public infrastructure is being expanded 



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by community cooling devices, a medical centre and an orphanage module. First tree 

plantings contribute to the design and the upgrading of green open spaces. 


In the course of the process, the coverage of the whole quarter with public infrastructure can 

be completed. Roofing along the AORTA provides distribution stations for water and 

electricity as well as places for markets or small shops. The design of open squares is being 

upgraded with trees and seating-accommodations. 


5.2 Scenario 2: Forming and vitalising space 

This scenario simulates a spatial decongestion of the quarter. In the first step, the AORTA is 

also being geared to main streets, but sporadically shacks have been removed to create new 

public spaces and to provide more infrastructural supply. In the beginning mainly water and 

electricity distribution as well as a community centre with several services for the public are 

made available. 




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The second phase is characterized by the development of the AORTA into the quarter. The 

AORTA's course, in combination with further displacement of shacks forms small squares or 

'pocket-parks'. The infrastructural offer such as internet boxes is being enlarged and 

supplemented by small private businesses. 


'Finally', the AORTA completes the quarter's infrastructural supply and the formation of open 

spaces. The utilisation of these green spaces varies from small sport fields to playgrounds or 

community food gardens. Additional public devices as well as private shops and markets join 

the AORTA's infrastructural nucleus: a momentum has been established, which assures the 

self-contained further development of the quarter. 


6 Conclusions 

The aim of AORTA as an instrument of urban development is to improve the living 

conditions of people in informal settlements in a fast and uncomplicated way. This threedimensional 

infrastructural element is able to provide the basic energy and water supply 

without the need for big encroachment in the existing settlement structure. Optional add-on 

modules assure a development that is continuously adapted to the particular circumstances, 

amending the existing infrastructure. Besides its functional quality, the AORTA helps to 

define and upgrade public open spaces, creating a higher identification with the quarter. The 

decisions in the process of planning and intervening are assigned to the local people by means 

of the AORTA „toolbox“, a new instrument of communication between planning specialists 

and habitants. 

Only by realizing that the support of the whole community is needed, sustainable 

improvements can be achieved. Team spirit and community motivation are key factors for a 

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Author: Moritz Groba, Jochen Hansen, Christian Krause, Christoph Ruckert


development to the better. The AORTA concept is the fundament for an autonomous activity 

within the community, taking advantage of the existing human, technical and material 

resources and generating a vitalised base for future perspectives. 

References 

Günter Meinert (2005). Slum-Upgrading – die Verbesserung von Lebensbedingungen in 

informellen Siedlungen. Available: www.gtz.de/de/dokumente/de.flyer-slumsanierung.pdf 

Rainer Nordberg (2005). Alleviating Poverty Through Housing Development. Available: 

www.unhabitat.org/HD/hdv6n4/alleviating_poverty.htm 

Sylvie Lacroux & Laura Petrella (2005). The Informal City and Security of Tenure. 

Available: www.unhabitat.org/programmes/ifup/tenure.htm 



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