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Volume 39, Issue 3 (2024)
GeoRes 2024, 39(3): 355-367 |
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Received: 2024/06/20 | Accepted: 2024/09/8 | Published: 2024/09/29
Received: 2024/06/20 | Accepted: 2024/09/8 | Published: 2024/09/29
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Pouya J, Shokouhi M, Khakpoor B. Providing a Suitable Model for Empowering Informal Settlements in Herat, Afghanistan. GeoRes 2024; 39 (3) :355-367
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1- Department of Geography and Urban Planning, Faculty of Literature and Humanities, Ferdowsi University of Mashhad, Mashhad, Iran
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Background
The rapid growth of urbanization, especially in developing countries, has led to the expansion of informal settlements, which now accommodate a significant portion of the urban population. Empowering these settlements has become a key strategy in urban planning. The city of Herat, too, is facing the growth of informal settlements and associated challenges due to the increasing population of displaced people.
Previous Studies
Numerous studies have examined the process of urban growth and its consequences. Zhou & Wang (2011) and Tawakoli Nia et al. (2013) have emphasized the rapid pace of urbanization on a global scale. Iran Doust (2011) highlights informal settlements as a major consequence of urbanization in developing countries and pointed to the ineffectiveness of many previous approaches in organizing these areas. Gharkhlo & Mire (2007) and Morgan (2016) have introduced the concept of empowerment as a modern strategy for improving conditions in these regions. Pourmohammdi & Oskouee (2024) consider empowerment a tool for redistributing resources and power in favor of the poor, while Pourrajabi & Majdi (2023) have proposed two approaches of supportive and entrepreneurial for achieving empowerment. Moreover, UN-Habitat (2015) and Lallana (2012) have emphasized the vulnerable situation of displaced people in urban areas. These studies provide a foundation for analyzing the conditions of informal settlements in the city of Herat.
Aim(s)
This study was conducted with the aim of analytically assessing the current situation and identifying an appropriate model for the empowerment of informal settlements in the city of Herat.
Research Type
The present study is qualitative in nature.
Research Society, Place and Time
The research was carried out 2024-2025 and the research population included residents of informal settlements in Herat city, as well as experts, government officials, members of civil society organizations, staff from international institutions, and university professors familiar with the issue of informal settlement empowerment. The study was conducted in Herat, a city located in western Afghanistan, which shares a border with the Islamic Republic of Iran and is considered the second-largest city in the country.
Sampling Method and Number
The sampling method in this study was purposive, and the snowball technique was used to select participants. Sampling continued until theoretical saturation was achieved. In total, 20 informed individuals involved with the research topic—including experts, government officials, staff of international organizations, managers of civil society institutions, and university professors—were selected as the sample. These individuals were studied through semi-structured interviews.
Used Devices & Materials
The tools and materials used in this study included semi-structured interviews, a voice recorder for accurately capturing conversations, and field notes taken by the researcher. For data analysis, MaxQDA 2020 software was employed to conduct qualitative content analysis. Additionally, an interview questionnaire consisting of 42 questions covering various areas related to the empowerment of informal settlements was utilized.
Findings by Text
The present study, using the qualitative content analysis method, has proposed a model for the empowerment of informal settlements in the city of Herat. The extracted concepts are categorized into two main domains: “policy-making” and “implementation.” In total, eleven subcategories were identified within these two domains (Tables 2 & 3).
Table 2. Dimensions of the empowerment model for informal settlements in Herat: Policy-making domain- extracted categories and concepts
Table 3. Dimensions of the empowerment model for informal settlements in Herat -implementation domain: Extracted categories and concepts
In the policy-making domain, five subcategories have been identified (Table 2). The first subcategory is the formulation of laws and regulations, which emphasizes the necessity of establishing legal frameworks at both national and local levels. This category includes concepts such as preventing land speculation and misuse, enhancing order, avoiding overlaps in institutional responsibilities, and facilitating the empowerment process for residents. The second subcategory is legalization of residence and housing security, which addresses issues such as increasing resident participation, improving housing security, strengthening sense of belonging and identity, encouraging active involvement of residents in reconstruction, and persuading them to pay taxes. This category forms one of the fundamental pillars in the empowerment process. The third subcategory is integrated planning, which focuses on improving the quality of settlement management, achieving institutional success, mobilizing resources, preventing overlapping institutional actions, and realizing sustainable development. The fourth subcategory, mobilization of non-governmental organizations, highlights the role of academic institutions, foreign agencies, and local/community-based groups in achieving empowerment. Finally, the fifth subcategory is establishing mechanisms for institutional coordination, encompassing concepts such as enhancing coordination, improving program quality, increasing institutional involvement, and boosting the effectiveness of empowerment initiatives.
Overall, these five subcategories in the policy-making domain illustrate that without comprehensive legal frameworks, participatory mechanisms, and effective institutional coordination, the realization of a sustainable empowerment model for informal settlements in the city of Herat will not be possible (Table 2).
Main Comparisons to Similar Studies
The findings of the present study are aligned with many previous studies in the field of informal settlement empowerment. In the policy-making domain, the identification of dimensions such as the formulation of laws, residence formalization, and institutional coordination corresponds with the findings of Nguyen et al. (2015) and Moshiri et al. (2013), who emphasized the importance of legal frameworks and integrated planning for the success of these settlements. Similarly, studies such as Jalili Sadrabadi et al. (2023) and Moshkini et al. (2013) also confirmed challenges such as the lack of unified guidelines and housing security. In the implementation domain, the identified dimensions, such as social empowerment, improvement of infrastructure, and service provision are consistent with the perspectives of Asadi Mahalchali (2014), Shamai & Pourahmad (2005), and Narayan (2002), who highlighted the importance of physical upgrading and public participation. Moreover, the emphasis on local capacities in the present study echoes the findings of Hashempour et al. (2022) and Sharifinia et al. (2011), who stressed the role of social capital, technical education, and resident participation in improving services and employment opportunities
Suggestions
Given the lack of appropriate actions in empowering informal settlements in Afghanistan, despite the rapid urbanization in major cities, the necessity of this study is evident. Without a suitable empowerment model, such settlements may pose serious risks to the country’s infrastructure. Therefore, the findings are expected to inform urban management authorities and serve as a useful resource for students, scholars, and practitioners in the field.
Conclusion
Empowering informal settlements in Herat requires a dual-approach model that addresses both policy-making and implementation. On the policy level, it is essential to establish clear laws and regulations, formalize residency and housing security, promote integrated urban planning, ensure coordination among governmental and non-governmental institutions, and develop mechanisms to support such coordination. On the implementation level, key priorities include strengthening management institutions, improving residents’ socio-cultural and legal status, developing physical infrastructure, delivering essential urban services, empowering residents through education and skill-building, and boosting the local economy by creating employment opportunities.
Acknowledgments: The interviewees in this study have made valuable contributions. We sincerely thank all of them who, despite their busy work schedules, patiently and thoroughly participated in the interviews and assisted us in the success of this research
Ethical Permission: No ethical issues were reported by the authors.
Conflict of Interest: There is no conflict of interest between the authors and the study community.
Authors’ Contributions: Pouya JA (First author), Main Researcher/ Introduction Writer/Methodologist/Statistical Analyst (60%); Shokouhi MA (Second author), Introduction Writer/Statistical Analyst (25%); Khakpoor B (Third author), Assistant Researcher/Discussion Writer (15%).
Funding: The financial resources for this research were provided by the first author.
The rapid growth of urbanization, especially in developing countries, has led to the expansion of informal settlements, which now accommodate a significant portion of the urban population. Empowering these settlements has become a key strategy in urban planning. The city of Herat, too, is facing the growth of informal settlements and associated challenges due to the increasing population of displaced people.
Previous Studies
Numerous studies have examined the process of urban growth and its consequences. Zhou & Wang (2011) and Tawakoli Nia et al. (2013) have emphasized the rapid pace of urbanization on a global scale. Iran Doust (2011) highlights informal settlements as a major consequence of urbanization in developing countries and pointed to the ineffectiveness of many previous approaches in organizing these areas. Gharkhlo & Mire (2007) and Morgan (2016) have introduced the concept of empowerment as a modern strategy for improving conditions in these regions. Pourmohammdi & Oskouee (2024) consider empowerment a tool for redistributing resources and power in favor of the poor, while Pourrajabi & Majdi (2023) have proposed two approaches of supportive and entrepreneurial for achieving empowerment. Moreover, UN-Habitat (2015) and Lallana (2012) have emphasized the vulnerable situation of displaced people in urban areas. These studies provide a foundation for analyzing the conditions of informal settlements in the city of Herat.
Aim(s)
This study was conducted with the aim of analytically assessing the current situation and identifying an appropriate model for the empowerment of informal settlements in the city of Herat.
Research Type
The present study is qualitative in nature.
Research Society, Place and Time
The research was carried out 2024-2025 and the research population included residents of informal settlements in Herat city, as well as experts, government officials, members of civil society organizations, staff from international institutions, and university professors familiar with the issue of informal settlement empowerment. The study was conducted in Herat, a city located in western Afghanistan, which shares a border with the Islamic Republic of Iran and is considered the second-largest city in the country.
Sampling Method and Number
The sampling method in this study was purposive, and the snowball technique was used to select participants. Sampling continued until theoretical saturation was achieved. In total, 20 informed individuals involved with the research topic—including experts, government officials, staff of international organizations, managers of civil society institutions, and university professors—were selected as the sample. These individuals were studied through semi-structured interviews.
Used Devices & Materials
The tools and materials used in this study included semi-structured interviews, a voice recorder for accurately capturing conversations, and field notes taken by the researcher. For data analysis, MaxQDA 2020 software was employed to conduct qualitative content analysis. Additionally, an interview questionnaire consisting of 42 questions covering various areas related to the empowerment of informal settlements was utilized.
Findings by Text
The present study, using the qualitative content analysis method, has proposed a model for the empowerment of informal settlements in the city of Herat. The extracted concepts are categorized into two main domains: “policy-making” and “implementation.” In total, eleven subcategories were identified within these two domains (Tables 2 & 3).
Table 2. Dimensions of the empowerment model for informal settlements in Herat: Policy-making domain- extracted categories and concepts
Table 3. Dimensions of the empowerment model for informal settlements in Herat -implementation domain: Extracted categories and concepts
In the policy-making domain, five subcategories have been identified (Table 2). The first subcategory is the formulation of laws and regulations, which emphasizes the necessity of establishing legal frameworks at both national and local levels. This category includes concepts such as preventing land speculation and misuse, enhancing order, avoiding overlaps in institutional responsibilities, and facilitating the empowerment process for residents. The second subcategory is legalization of residence and housing security, which addresses issues such as increasing resident participation, improving housing security, strengthening sense of belonging and identity, encouraging active involvement of residents in reconstruction, and persuading them to pay taxes. This category forms one of the fundamental pillars in the empowerment process. The third subcategory is integrated planning, which focuses on improving the quality of settlement management, achieving institutional success, mobilizing resources, preventing overlapping institutional actions, and realizing sustainable development. The fourth subcategory, mobilization of non-governmental organizations, highlights the role of academic institutions, foreign agencies, and local/community-based groups in achieving empowerment. Finally, the fifth subcategory is establishing mechanisms for institutional coordination, encompassing concepts such as enhancing coordination, improving program quality, increasing institutional involvement, and boosting the effectiveness of empowerment initiatives.
Overall, these five subcategories in the policy-making domain illustrate that without comprehensive legal frameworks, participatory mechanisms, and effective institutional coordination, the realization of a sustainable empowerment model for informal settlements in the city of Herat will not be possible (Table 2).
Main Comparisons to Similar Studies
The findings of the present study are aligned with many previous studies in the field of informal settlement empowerment. In the policy-making domain, the identification of dimensions such as the formulation of laws, residence formalization, and institutional coordination corresponds with the findings of Nguyen et al. (2015) and Moshiri et al. (2013), who emphasized the importance of legal frameworks and integrated planning for the success of these settlements. Similarly, studies such as Jalili Sadrabadi et al. (2023) and Moshkini et al. (2013) also confirmed challenges such as the lack of unified guidelines and housing security. In the implementation domain, the identified dimensions, such as social empowerment, improvement of infrastructure, and service provision are consistent with the perspectives of Asadi Mahalchali (2014), Shamai & Pourahmad (2005), and Narayan (2002), who highlighted the importance of physical upgrading and public participation. Moreover, the emphasis on local capacities in the present study echoes the findings of Hashempour et al. (2022) and Sharifinia et al. (2011), who stressed the role of social capital, technical education, and resident participation in improving services and employment opportunities
Suggestions
Given the lack of appropriate actions in empowering informal settlements in Afghanistan, despite the rapid urbanization in major cities, the necessity of this study is evident. Without a suitable empowerment model, such settlements may pose serious risks to the country’s infrastructure. Therefore, the findings are expected to inform urban management authorities and serve as a useful resource for students, scholars, and practitioners in the field.
Conclusion
Empowering informal settlements in Herat requires a dual-approach model that addresses both policy-making and implementation. On the policy level, it is essential to establish clear laws and regulations, formalize residency and housing security, promote integrated urban planning, ensure coordination among governmental and non-governmental institutions, and develop mechanisms to support such coordination. On the implementation level, key priorities include strengthening management institutions, improving residents’ socio-cultural and legal status, developing physical infrastructure, delivering essential urban services, empowering residents through education and skill-building, and boosting the local economy by creating employment opportunities.
Acknowledgments: The interviewees in this study have made valuable contributions. We sincerely thank all of them who, despite their busy work schedules, patiently and thoroughly participated in the interviews and assisted us in the success of this research
Ethical Permission: No ethical issues were reported by the authors.
Conflict of Interest: There is no conflict of interest between the authors and the study community.
Authors’ Contributions: Pouya JA (First author), Main Researcher/ Introduction Writer/Methodologist/Statistical Analyst (60%); Shokouhi MA (Second author), Introduction Writer/Statistical Analyst (25%); Khakpoor B (Third author), Assistant Researcher/Discussion Writer (15%).
Funding: The financial resources for this research were provided by the first author.
Keywords:
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