GeoPlanning

Journal of Geomatics and Planning Vol. 8, No. 2, 2021

e-ISSN: 2355-6544 Original Research

Received: 9 April 2020;
Accepted: 5 May 2021; Slum Upgrading Spatial Model Based on Level
Published: 30 July 2021.
of Vulnerability to Climate Change in Coastal
Keywords:
Slum upgrading, coastal
Area of Semarang City
community, vulnerability.
Khristiana Dwi Astuti 1*, P. Pangi 1, Reny Yesiana 1, Intan Muning
*Corresponding author(s) Harjanti 1
email:
[Link]@[Link] 1. Diponegoro University, Indonesia
.[Link]
DOI: 10.14710/geoplanning.8.1.23-40

Abstract
Slum settlement is one of the significant global problems which requires special concern in the discussion agenda of
Sustainable Development Goals (SDGs) of 2016-2030. The Sustainable Development Summit held in New York in
September 2015 formulated that one of SDGs goals is to build inclusive, safe, resilient, and sustainable cities and
settlements. In Indonesia, the achievement of this goal is stated in National Medium-Term Development Plan 2015-
2019, i.e. creating 0% urban slum settlement which is supported by policies expected to accommodate the achievement
of national development targets. Semarang Mayor Decree No. 050/801/2014 concerning the Determination of the
Location of Housing Environment and Slum Settlements in Semarang City has been issued as the basis to identify slum
settlements scattered throughout Semarang city, in terms of location, physical condition, and social conditions. This
study was conducted by case studies on slum settlements in Trimulyo Village and Mangkang Wetan Village, Semarang
city, Central Java Province, Indonesia, to formulate a slum upgrading model based on the resilience level of coastal
communities towards climate change. The analysis included identifying the characteristics of slum settlements, scoring
analysis to determine the resilience level possessed by coastal communities, and analysis of pentagon assets used to
formulate slum upgrading models. The results of the study showed that these two research areas had a moderate level
of vulnerability, with several different characteristics of asset ownership, particularly those related to human and social
assets. Increasing the quality of human resources and social relations in the community was more intensified in the
environment and community in Trimulyo, while improving the physical quality of the environment through housing
improvements was carried out in Mangkang Wetan.
Copyright © 2021 GJGP-Undip
This open access article is distributed under a
Creative Commons Attribution (CC-BY-NC-SA) 4.0 International license

Introduction
Trend on population growth is dominated by urban areas which not only function as centers for
development activities but also as centers of population growth (Carter et al., 2015). The increasing number
of urban residents throughout the years results from various socio-economic backgrounds and some of them
come to cities without a clear purpose (Olthuis et al., 2015).
Based on data from the UN Urbanization Prospect Projection, it was estimated that more than 54% of
the world’s population in 2016 lived in urban (Population Divisions Department of Economic and Social
Affairs, 2018). Such a high population in urban areas is often insufficiently balanced by the readiness of urban
system plans which may accommodate the developments. Consequently, the increasingly diverse activities
but not integrated with the planned urban activity system cause many implications for the emergence of
other various urban problems. The need for housing in urban areas is an essential basic need with high
demand; when housing prices are nevertheless not affordable for the poor living in cities, this certainly will
worsen the conditions in urban areas, one of which is the increasing number of developing slum settlements
(Saad et al., 2019).

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The increasing population growth in the East Asia and Pacific (EAP) Region over time has caused this
region as the largest slum population in the world. There are approximately 75 million people (out of 250
million people) in EAP who live in slum areas living under the poverty level with income below US$
3.10/day. Cities with the highest number of urban poor people are located in China, Indonesia, and the
Philippines, while the highest rates of urban poverty are in the Pacific Island countries of Papua New Guinea
and Vanuatu, Indonesia, and the Lao People's Democratic Republic (Baker & Gadgil, 2017).
This issue does not only occur in one or two countries, but it has been a global issue. Thus, managing
slum areas has been one of the global agendas contained in Sustainable Development Goals (SDGs) 2016-
2030 (INFID, 2019; Meredith & MacDonald, 2017). The handling of slum settlements in the SDGs is the
11th of the 17 goals and 169 targets expected to be achieved by 2030. The 11th goal describes "Building
Inclusive, Safe, Resilient and Sustainable Cities and Settlements", with the first target is to ensure access for
all communities to decent, safe, and affordable housing, including slum management and access to basic urban
services. As an effort to achieve this goal, UN-Habitat formulated Participatory Slum Upgrading Program
(PSUP) in 2008 as a result of discussions conducted with several representative countries of Africa, the
Caribbean, and the Pacific (ACP), and the European Mission (EC). UN-Habitat assists countries to develop
and implement housing policies, strategies, and programs aimed at increasing access to adequate housing,
improving the living conditions of slum inhabitants, and preventing the proliferation of new slum settlements
(De Schutter, 2014).
The implementation of PSUP has been seen in various countries such as the Asia Coalition for
Community Action (ACCA) Program targeting an increase in inclusive slum settlements for the urban poor
in Thailand (Baker & Gadgil, 2017) and the Kenya Slum Upgrading Program (KENSUP) which seeks to
improve the quality of life for people living in slum neighborhoods in Kenya by improving housing quality,
community income, providing tenure security, and improving infrastructure (Meredith & MacDonald, 2017).
Moreover, under the supervision of Housing and Urban Renewal Authority Inc. (HURA), a slum upgrading
program is carried out in the Philippines by updating or rebuilding damaged slums and other urban
communities, developing resettlement sites, and mostly by improving and promoting urban development
(Minnery et al., 2013).
In Indonesia, improving the quality of slum upgrading in urban areas is one of the national priority
programs towards cities without slums (KOTAKU) based on the National Medium Term Development Plan
(local term: RPJMN) 2015-2019 (Bappenas, 2017). KOTAKU program is an effort to accelerate the handling
of slum settlements to support the achievement of the "100-0-100" target, i.e. 100% access to drinking water,
0% slum areas, and 100% access to proper sanitation by 2019 (Public Works Office/Dinas Pekerjaan Umum,
2017). According to the Central Statistic Bureau (local term: Biro Pusat Statistik/BPS) data stating that by
the end of 2013, access to drinking water achieved in urban areas was 67%, 11.6% for slum areas, and 59%
for access to proper sanitation. Since the trend for population growth continues to increase (BPS, 2017), it is
necessary to create integrated efforts to achieve the targets of this program involving the central
government, local governments (provincial, regency or city, villages), and the community. Therefore, it is
fundamentally reasonable that the government should gradually reduce the areas of slum settlement and
increase the achievement of settlement infrastructure, specifical access to drinking water and sanitation for
urban communities (Dirjen Cipta Karya, 2015a).
KOTAKU program is nationally implemented in 34 provinces involving over 268 regencies/cities in
11,067 villages (desa and kelurahan) (Dirjen Cipta Karya, 2015b). In addition, the target achievement of
KOTAKU program has been carried out moderately from 2015 until 2019. Moreover, at the end of 2015,
urban slum areas were targeted to be reduced to 8%; around 6% in 2016; and respectively reduced to 4% and
2% for the following years 2017 and 2018; until the target of 0% was achieved by the end of 2019.
Semarang city is one of the targets for the implementation of KOTAKU program in Indonesia. There
are some slum settlements scattered in this city of which are located in coastal areas. This definitely affects
the characteristics of the slum settlements in the area as seen physically from the building condition, the
existence of environmental infrastructure in the settlement, as well as disaster threat like rob (seawater
flooding) which frequently becomes an obstacle in managing slum areas problems. Furthermore, it can also
be non-physically identified from the social life pattern of the community, how they earn money (livelihoods),
and people’s daily living habits. The characteristics of the people living in coastal areas certainly cannot be

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separated from the current global phenomena which are closely related to climate change that directly or
indirectly has implications for the lives of coastal communities (Sariffuddin et al., 2017) including those who
live in the slum settlement at the coastal area. Accordingly, the efforts to improve the conditions of the slum
environment must be holistically concerned both physically and non-physically regarding the characteristics
of the community in dealing with the conditions they own. Thus, community participation can be considered
as a significantly integral approach that needs to be implemented to achieve the goals of KOTAKU program
(Yu et al., 2016).
To support the realization of the '100-0-100' program, the handling and management of slum
settlements specifically in coastal areas, therefore, needs to be carried out integratively through a slum
upgrading model considering the resilience level of coastal communities toward climate change which differs
from one region to others.

Data and Method

Scope
The scope area of this research covered Mangkang Wetan Village (local term in Semarang city:
kelurahan) located in Mangkang Village and Trimulyo Village, a part of Genuk subdistrict (Figure 1). Both
villages (Figure 2) are included in the administrative local government of Semarang City. These two areas
were selected as the research areas because these villages are listed in the Decree of Semarang city Mayor
No. 050/801/2014 about the Determination of the Location of Slum Housing and Settlements Environment
of Semarang City, and became part of the pilot projects to improve coastal community resilience by
strengthening mangrove ecosystem services and developing sustainable livelihoods in Semarang City in
collaboration between Semarang City Government and NGO (Mercy Corps Indonesia) with funding
assistance from the Rockefeller Foundation.

Figure 1. Location of Study Area

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Figure 2. Map of Mangkang Wetan and Trimulyo Villages

Method
The method used in this study was quantitative. The method was used to analyze the vulnerability level
of the community toward the climate change in the coastal area and formulate the slum upgrading strategy
based on-field characteristics. Data gathering was performed using questionnaires and observation, also
document assessment. Samples were taken using simple random sampling, with 18 respondents from
Mangkang Wetan Village and 14 respondents from Trimulyo Village. There were 3 stages to answer the
aim of the study:
a. Slum settlement characteristic identification
Slum settlement characteristic identification was based on few aspects which had been determined by
Dirjen Cipta Karya which consists of: building condition, road condition, drainage condition, water supply
condition, wastewater management, waste management, and fire extinguish system condition. Those aspects
and criteria could be seen in Table 1.
b. Vulnerability level of community in the coastal area
The analysis technique used to identify the vulnerability level of the community in the coastal area was
scoring. This analysis technique was performed to identify the score of every sub-variable (Table 2) in each
exposure variable, sensitivity variable, and adaptation capability variable (Boer, 2012). The highest score
from each sub-variable was different, the score was based on how much the indicator used for the scoring. In
the exposure variable, the highest score was 5 points, while in the sensitivity variable the highest score was
3 and 4 points for the adaptation capability variable. However, the lowest score from every variable was all
the same as, i.e. 1 point. Thus, after counting each variable, there would be 3 scores for each respondent. The
formula for each respondent could be seen at equation (1) and (2):
Variable cumulative score = Sub variable score amount ……………………………… (1)
Sub variable highest score amount
As explained previously, the vulnerability was affected by the exposure level, sensitivity, and adaptation
capability. The vulnerability formula could be seen below:
Vulnerability rate = exposure score x sensitivity score ……………………………………... (2)
Adaptation capability score

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Table 1. Slum Settlements Criteria (Dirjen Cipta Karya, 2015a)

No Aspects Criteria
1. Building condition Building regularity (dimension, orientation, footprint, and building form)
Building compactness
Building technical requirement (structure system, lighting safety, weather control, lighting, sanitation, and
building material)
2. Road condition Service area
Road condition
3. Drainage condition Inundation presence (inundation duration, inundation frequency)
Service area
4. Water supply Technical requirement (pipe network, non-pipe network)
condition Service area
5. Wastewater Technical requirement (personal wastewater management, communal and center wastewater management)
management Service area
6. Waste management Technical requirement (warehouse, sorting, gathering, and management)
Service area
7. Fire extinguish Water supply to extinguish the fire (natural resource: pond, lake, river, deep well; artificial resource: water tank,
system condition pool, water reservoir, water tank car, hydrant)
The road for the fire truck

Table 2. Sub Variable and Scoring that Affected Vulnerability Level (Analysis, 2018)
No Variable Sub Variable Weight No Variable Sub Variable Weight
Exposure Variable Adaptation Capability Variable
1 Occupation Fishpond owner 5 1 Group program Exist 2
Fishpond worker 4 Nothing 1
Fisherman 3 2 Group program involvement Often 4
Processing fishery products 2 Sometimes 3
Don’t have a job 1 Never 2
2 Fishpond Yes 2 Not active 1
ownership No 1 3 Skill training involvement Yes 2
3 Fishpond Not productive 2 No 1
productivity Productive 1 4 Training advantages Yes 2
4 Fishpond is stricken Yes 2 No 1
by flood No 1 5 Training result utilization for Yes 2
5 Home is stricken by Yes 2 income resource alternative No 1
flood No 1 6 Routine meeting involvement Yes 2
6 Flood frequency in >2x 2 No 1
every house in a <2x 1 7 Routine meeting frequency Once a week 3
month.
7 Flood duration in > 2 hour 3 Once a month 2
every house 1-2 hour 2 More than 1
once a month
< 1 hour 1 8 Routine meeting benefits Exist 2
8 Source of clean Well 3 Nothing 1
water artesian well 2 9 Media information (group >4 of media 3
PDAM 1 meeting, meeting in RT/RW, 2-3 of media 2
9 Family member >4 people 3 Radio, SMS) <2 of media 1
amount 2-3 people 2 10 Group meeting Very effective 4
< 2 people 1 Effective 3
Number of 24 Less effective 2
Exposure Not effective 1
Sensitivity Variable Meeting (RT/RW) Very effective 4
1 Monthly income < IDR 1.500.000 3 Effective 3
IDR 1.500.000- IDR 2 Less effective 2
2.000.000
> IDR 2.000.000 1 Not effective 1
2 Monthly outcome > IDR 2.000.000 3 Radio Very effective 4
IDR 1.500.000- IDR 2 Effective 3
2.000.000
< IDR 1.500.000 1 Less effective 2
3 Asset ownership < 1 asset 3 Not effective 1
(Land, House, Boat, 1-3 assets 2 SMS/ WA Very effective 4
Fishpond, Etc.) > 4 assets 1 Effective 3
4 Capital access/ loan No 2 Less effective 2
Yes 1 Not effective 1
Number of 11 11 Information media usage Yes 2
Sensitivity No 1
12 Weather information needs Yes 2
No 1
13 Media used to spread the >4 of media 3
information 2-3 of media 2
<2 of media 1
Number of Adaptation Capability 45

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c. Spatial Analysis of community in the coastal area

Spatial analysis was carried out on the results of the questionnaire in two research locations. In addition
to using random sampling to determine the number of samples, the location of the sample is determined by
spatial sampling. Spatial sampling is a sampling activity based on geographic/coordinate locations (Buchori
& Pangi, 2015; Thompson, 1997). Respondents are marked based on their location coordinates. The results
of the questionnaire answers were mapped based on sample locations and continued with interpolation
analysis. The results of the interpolation analysis of the questionnaire data were used to perform spatial
analysis based on the vulnerability criteria.

Results and Discussion

Slum settlements characteristic
The slum settlements area used in this study was the settlements in Mangkang Wetan village and
Trimulyo village. Mangkang Wetan village is part of the Tugu subdistrict which is located in the western
part of Semarang City, while Trimulyo village is one of the coastal areas located in Genuk subdistrict,
Semarang City.
a. Mangkang Wetan Village
The location distribution of slum settlements in Mangkang Wetan village is in RW 5, 6, and 7 with a
total slum settlements area of 13,59 hectares. The distribution of slum locations in Mangkang Wetan Village
can be seen in Figure 3 and Table 6 (Appendices).

Figure 3. Map of Slum Settlements Distribution in Mangkang Wetan Village (BKM, 2017)

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There were approximately 388 units of houses in the slum settlements area. Some of them were
permanent units with plaster (cemented floor) or ceramic made floor, brick or wood mass wall and the roof
was constructed by using the tin roof and/or wavy tile roof. The rest, 136 units, were semi-permanent
buildings and 46 units were non-permanent buildings. Generally, the status of the houses in the slum
settlements was personal ownership.
Based on the identification results during the field research, infrastructure in the slum area in Mangkang
Wetan includes a road network in the form of footpaths and some of which were already damaged, especially
in RW 05 and RW 07. The drainage system in the slum settlements area was in the form of the open canal
and close canal. The drainage system of the settlements mostly had got shallower and some of the canals
were already damaged. The inundation from flood location or the area with the high frequency of
precipitation was the effect of this suboptimal drainage system. In addition, the clean water supply system is
fulfilled through drilled wells because the PDAM (drinking water regional company – a company owned by
the city government) piping system has not yet reached the location. Meanwhile, concerning wastewater
treatment infrastructure (Sanitation), approximately 92% of the houses already had sanitation
facilities/toileting; however, 8% of the community which does not possess the toileting yet still use the
communal sanitation facilities.
b. Trimulyo Village
The location distribution of slum settlements area in Trimulyo village is in RW 3, particularly in RT 3
and RT 4 with 3.55-hectare total slum settlements area. The distribution of slum locations in Trimulyo
Village can be seen in Figure 4 and Table 7 (Appendices).

Figure 4. Map of Slum Settlements Distribution in Trimulyo Village (BKM, 2017)

The houses in slum settlements area of Trimulyo village were entirely permanent units with
plaster/ceramic made floor, brick or wood mass wall and the roof was constructed by a tin roof and wavy tile
roof. The status of the houses in the slum settlement was personal ownership. The road network was in the
form of local environmental roads and they were generally in good condition and usable, while the drainage
network was dominated by soil and masonry construction but less optimal function due to silting. As the
supply of clean water in Mangkang Wetan Village, Trimulyo has not been reached by the local drinking
water company (PDAM) network; thus, the community meets their clean water needs by using drilled wells.
However, for sanitation, all of the people in Trimulyo Village already have their own sanitation facilities.

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Vulnerability Level Analysis of Coastal Area Community in Mangkang Wetan Village and Trimulyo
Village
As one of the global warming effects, the rise of sea surface has caused a change in sea current and also
made the land near the seashore logged, and thus it often affects the settlements in the coastal area (Susandi
et al., 2008). The settlements near the shore/river are commonly more susceptible than any other settlements
far from the shore/river. It could happen since the land far from the shore/river or any waters would spend
a longer duration to get logged (Wulandari et al., 2013).
A damaged mangrove ecosystem is another effect of the rising sea surface. Therefore, if mangrove
existence cannot be revived anymore, the abrasion of the land will occur more frequently than before because
there is no backup when the wave comes. This phenomenon will affect the economic condition of the
community in the coastal area; thus the coastal community will be more susceptible the climate change. In
concordance, the relative escalation of sea surface would bring some consequences toward the coastal area,
such as littoral area would be logged (1 cm escalation of the sea surface would decrease 1 cm of the shore),
erosion would occur more frequently, the salt concentration of the soil will increase so it would no longer
suitable for human to consume, and also the escalation of the sea in estuary area (Suhelmi & Prihatno, 2014).
This study aimed to assess the vulnerability level of coastal areas in Semarang city by considering
Mangkang Wetan (west coastal area) and Trimulyo Genuk (east coastal area) as the location of this case
study. There were 3 variables analyzed in this study, i.e. exposure, sensitivity, and adaptation capability.
Based on the data acquired in the field study, the result of those variables can be described as follow:
a. Exposure
Gallopin (2006) stated that exposure level represents the level, duration, and/or chance of a system to
contact with disturbance or shock (Boer, 2012). The exposure level in Trimulyo and Mangkang Wetan
villages was categorized as high, i.e. 76% and 74% respectively. Moreover, the exposure level in Mangkang
Wetan village was affected by the occupation of the people living mostly as pond owners. Since the expense
of pond maintenance was quite high, when the abrasion came it would bring more disadvantages toward the
people. Meanwhile, the vulnerability of Trimulyo village was affected by the community occupation as
fishermen. Trimulyo community had no land to make a pond and there were only 2-3 people of Trimulyo
village whose pond for fish cultivation. However, the land used as a pond was a government-owned one. In
addition, the majority of the community worked as fishermen. Furthermore, another indicator of
vulnerability level was that there were more houses damaged by the flood in Trimulyo village than those in
Mangkang Wetan village. Nevertheless, in some points, flood duration in Mangkang Wetan village was
much longer than in Trimulyo village. The exposure levels are depicted spatially in Figure 5. The spatial
characteristics of exposure levels between Mangkang Wetan and Trimulyo village are different since
Mangkang Wetan exposure level is higher than that of Trimulyo (Appendices-Table 8).
b. Sensitivity
Sensitivity was the internal condition of the system representing the vulnerability level toward any
disasters (Boer, 2012). The sensitivity level of Trimulyo village was lower than that of Mangkang Wetan
village (Figure 6). Moreover, Mangkang Wetan village’s sensitivity level was affected by higher monthly
income gained by the community than that in Trimulyo village. Furthermore, Mangkang Wetan village
income ranged from IDR 1,874,931, while Trimulyo village was only ranging from IDR 1,438,889,-.
Therefore, the community in Mangkang Wetan village had generally more assets than Trimulyo village’s
community. The assets were mostly in the form of land, house, boat, fishpond, etc. In addition, the sensitivity
level of these two villages is illustrated in Table 9 (Appendices).

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Figure 5. Map of Exposure Level in Mangkang Wetan and Trimulyo Villages

Figure 6. Map of Sensitivity Level in Mangkang Wetan and Trimulyo Villages

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c. Adaptation capability
Adaptation capability represents the ability of a system to adapt toward the climate change phenomenon
to reduce the negative effect and to maximize the positive effect or in other words, it could handle the
consequences of climate change (Boer, 2012). The approach conducted to fishing groups was by doing some
attempts to increase the community's adaptive capability toward disaster vulnerability such as training to
improve skills in processing fishery products and mangrove tourism entrepreneurship as alternative sources
of income for the community. Regular meetings and the use of information media are some means used by
the community to respond to disasters as they live in coastal areas. Table 10 (Appendices) describes the level
of adaptation capability found in this study. Map of adaptation capability in both of study area can be seen in
Figure 7. Based on the result of three variables, the vulnerability level of both villages was then being
counted. Vulnerability level was categorized in 3 groups: High vulnerability ( >0,6), moderate vulnerability
(0,3-0,6), and low vulnerability ( <0,3).

Table 3. Result of Vulnerability Calculation in Mangkang Wetan dan Trimulyo Villages

(Analysis, 2018)
Village
Vulnerability Variable
Mangkang Wetan Trimulyo
Exposure (K) 76% 74%
Sensitivity (S) 54% 49%
Adaptation(A) 74% 69%
Vulnerability Level (KxS/A) 0,56 0.53

The level of vulnerability in Mangkang Wetan and Trimulyo villages was categorized in moderate, i.e.
0.56 and 0.53 respectively (Tabel 3). However, the vulnerability level of Mangkang Wetan village showed a
higher rate (74%) than Trimulyo village (69%). This result showed that the vulnerability of Mangkang
Wetan community was stronger than that of Trimulyo village. In addition, the vulnerability level represents
the survival rate of the community in handling the climate change phenomenon. Map of vulnerability in both
of study area can be seen in Figure 8.

Figure 7. Map of Adaptation capability in Mangkang Wetan and Trimulyo Villages

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Figure 8. Map of Vulnerability in Mangkang Wetan and Trimulyo Villages

Slum Upgrading Spatial Model

The formulation of the slum upgrading model is based on the characteristics of the slum settlements in
Mangkang Wetan and Trimulyo Villages by paying attention to the level of community vulnerability to
climate change. This is done considering that both villages (local term: kelurahan) are coastal areas that are
at risk from the impacts of climate change. This is in line with the implementation of the Asian Cities Climate
Change Resilience Network (ACCCRN) program which seeks to make Semarang a resilient city through
increasing attitudes and behavior as well as knowledge and skills capabilities, building networks to increase
knowledge and skills for the community (Sariffuddin et al., 2017).
Vulnerability and risks to climate change are influenced by the existence of social relations between the
community and its surrounding environment, both related to their physical, social and economic conditions
(Folke, 2006). Various asset limitations and conditions in accessing existing resources become obstacles in
improving the quality of slum settlements (Olotuah, 2012). Therefore, strategic efforts as a solution to
improve the quality of the slum environment are needed to involve all relevant stakeholders. Slum upgrading,
which is an effort to improve the quality of the slum environment, is realized through the community's active
participation and involvement. This is because slum upgrading is realized through a social program and a
series of democratic activities with a clear direction of communication (deliberation for instance) to
accommodate the aspirations of the community, as well as to increase the capacity of its human resources.
Improving the quality of the environment in slum settlements is also inappropriate if it is carried out through
a top-down approach by ignoring the role of the community (Meredith & MacDonald, 2017; Olotuah, 2012;
UN Habitat, 2016).
The pattern of activities in the community is influenced by asset ownership and community livelihoods
(Singh & Gilman, 2000). In this study, asset ownership was identified from 5 components: human capital,
physical capital, social capital, finance capital, and natural capital, which were obtained through observations
and questionnaires. Human capital represents the ability of someone in acquiring better access to their
lifestyle (Nugroho et al., 2017). Human capital assessment in this study was measured by education,
involvement, and creativity inside the group, using the training result as an income alternative (Singh &
Gilman, 2000). In addition, social capital was identified through social connections or relations among the

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community to support their social lives. In this study social capital was being assessed using 6 indicators:
group program, group program involvement in both villages, routine meeting involvement, group meeting,
and media usage for transferring information in daily life, especially for the matters related to coastal area
community adaptation toward the vulnerability of each region also how much the network of stakeholders
involved in giving training in every village.
Slum settlement area of the coastal area had a physical characteristic which may be seen from their
dwelling or the infrastructure. The physical capital in this study was identified using 5 indicators, i.e. house
condition assessed from the permanence of their building, road condition seen from the damage of the road
itself, drainage system, clean water accommodation, and also sanitation system. Then, financial capital was
related to income or salary acquired by the individuals of the community each month, monthly outcome, and
access to get capital or loan for their business or their asset ownership. That financial capital can encourage
community participation in improving the quality of their lives (Das, 2015). Natural capital assessed in this
study was based on 5 indicators: Fishpond productivity, Fishpond damaged by flood, house damaged or
stricken by flood, flood duration in every house, and flood frequency in a month.

Table 4. Result of Pentagon Asset Assessment (Analysis, 2018)

Mangkang Mangkang
No Indicator Trimulyo No Indicator Trimulyo
Wetan Wetan
1 Human Capital 0.88 0.53 4 Finance Capital 0.69 0.75
Education 0.26 0.11 Monthly income 0.13 0.13
Involvement inside the group 0.22 0.20 Monthly outcome 0.13 0.13
Creativity (using the training 0.18 0.11 Capital access/ loan 0.06 0.06
result as income alternative)
Participation in skill training 0.22 0.11 Fishpond ownership 0.13 0.06
2 Social Capital 1.00 0.78 Land ownership 0.06 0.13
Group program 0.17 0.11 House ownership 0.13 0.13
Group program Involvement 0.17 0.17 Boat ownership 0.06 0.13
Routine meeting involvement 0.17 0.17 5 Natural Capital 0.12 0.15
Group meeting 0.17 0.17 Fishpond productivity 0.17 0.08
Media usage for information 0.17 0.11 Fishpond damaged by 0.17 0.08
transfer in daily life flood
Network (government and 0.17 0.06 Damaged houses 0.08 0.17
NGO) because they were
stricken by flood,
3 Physical Capital 0.80 0.73 Flood duration in 0.10 0.25
every house
House condition 0.20 0.20 Flood frequency in 0.08 0.17
every house in a
month.
Road condition 0.20 0.13
Drainage system 0.07 0.07
Clean water accommodation 0.13 0.13
Sanitation system 0.20 0.20

Based on vulnerability analysis of the community in the coastal area, Mangkang Wetan Village and
Trimulyo Village both had moderate vulnerability levels. Mangkang Wetan village represented the coastal
area of West Semarang, while Trimulyo village represented the coastal area of North Semarang. Although
both villages were categorized as slum settlement areas with similar vulnerability levels, the slum upgrading
model for these two villages was different. The result of the pentagon asset analysis (Figure 9) showed that
Human Capital and Social Capital aspects in Mangkang Wetan village were higher than those in Trimulyo
village, while the other capital conditions were almost similar both in Mangkang Wetan and Trimulyo
villages. The result of pentagon asset assesment can be seen in Table 4.

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Mangkang Wetan Trimulyo

Human
Capital
1,00
Natural 0,50
Social Capital
Capital
0,00

Finance Physical
Capital Capital

Figure 9. Analysis of Pentagon Asset in Mangkang Wetan and Trimulyo Villages (Analysis, 2018)

Slum upgrading strategy in slum settlement of study area can be seen in Table 5.

Table 5. Slum Upgrading Strategy in slum settlements of Mangkang Wetan and Trimulyo Villages
(Analysis, 2018)
No. Pentagon Asset Mangkang Wetan Trimulyo
1. Human Capital Training improvement should be Increasing the training and skill among the
maintained to support the creativity of community in Trimulyo village. This program was
Mangkang Wetan community. aimed to increase the creativity of the people to take
every benefit from the training activity.
2. Social Capital Innovation in group programs so that Increasing the government network involvement
people are not bored and increasingly and NGO in the village was necessary. Along with
interested in engaging in the program the improvement of the network, it could open the
access to increase the training process toward the
community.
3. Physical Capital  Building regulation and physical  Road quality and access improvement.
condition refinement of the house  Fire hydrant availability for fire safety.
 Reducing inundation spots and  Reducing inundation spots and increasing the
increasing the capacity also the capacity also the quality of drainage in the
quality of drainage in the settlements
settlements.
 House system improvement to access
decent sanitation.
 Fire hydrant availability for fire
safety.
4. Financial Capital Capital access improvement. Capital access improvement.
5. Natural Capital Pond protection using APO (wave House protection through mangrove cultivation on
breaker equipment) the side shore.

Conclusion
Slum upgrading as a program to improve the environmental quality of slum settlements area should
consider various aspects such as physical, social, and economic aspects. However, besides these three aspects,
it is necessary to observe human resource quality in the area and also natural resource availability which
could be used for the community interests. Pentagon asset analysis was used in this study to assess those five
aspects based on the existing condition in the research location.
Based on the analysis result, it showed that there was a difference in the characteristic of Mangkang
Wetan village in Mangkang village and Trimulyo village in Genuk subdistrict. The vulnerability level of the
coastal area community toward climate change, social capital, and human capital in Mangkang Wetan village
was relatively higher than Trimulyo village. This result was affected by various programs which had been
performed to handle the effect of climate change along with intensive involvement of the community in
Mangkang Wetan village.

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Therefore, slum upgrading can be conducted by concerning the improvement of human resource
quantity and quality and making social relation in the community more intensively to the community of
Trimulyo village. Physical quality improvement of the environment may be established by repairing and
refining houses in Mangkang Wetan village as there are still 30% non-permanent houses. Meanwhile,
drainage quality network improvement is necessary for both villages since the drainage function is not
optimal yet because of the silting which causes inundation formation.
Previous studies have discussed more the resilience of coastal communities, but have not yet been
concerned about how the resilience of these communities affects the efforts to improve slum settlements.
However, through this research, the output of the analysis shows that differences in community
characteristics, including the community's response to the disasters they face in coastal areas, will affect the
efforts to improve the quality of life.

Acknowledgments
The authors would like to express their gratitude to UNDIP Vocational School which has funded this
research.

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APPENDICES

Table 6. The Location Distribution of Slum Settlements in Mangkang Wetan Village (BKM, 2017)
Slum Population Poor Population House Building*
No. Slum Area (RW/RT) Wide House- House-
People People Number Slum
(Ha) hold hold
1. RW.05 1 3,81 74 252 43 171 35 4
2 62 216 31 123 35 6
3 49 177 18 70 38 3
4 44 162 13 51 30 2
5 44 162 13 52 19 2
2 RW.06 1 4,34 39 147 8 32 23 1
2 43 159 12 47 22 3
3 41 153 10 40 20 1
4 36 138 5 18 25 1
5 43 159 12 46 40 3
6 42 156 11 42 27 3
3 RW.07 1 5,43 41 153 10 39 22 5
2 48 174 17 67 23 4
3 39 177 8 32 27 2
4 44 162 13 51 23 3
5 52 186 21 83 31 6
6 57 201 26 104 39 18
7 61 213 30 119 39 8
8 49 177 21 85 30 11
9 40 150 9 37 24 7
Total 13,59 948 3474 331 1309 572 91
*) Slum building is a house that is not a decent place to stay review by the main building construction (roof, floor, and building
wall)

Table 7. The Location Distribution of Slum Settlements in Trimulyo Village (BKM, 2017)
Slum Area Slum Wide Population Poor Population House Building*
No.
(RW/RT) (Ha) Household People Household People Number
1. 03/03 0.64 138 138 19 100 33
2. 03/04 0.68 136 136 23 103 47
Total 3.55 415 415 66 286 117

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Table 8. Exposure Level of Mangkang Wetan and Trimulyo Villages (analysis, 2018)
No Indicator Mangkang Wetan Trimulyo
1 Occupation 20.83% 12.50%
2 Fishpond ownership 6.55% 4.17%
3 Fishpond productivity 5.65% 8.33%
4 Fishpond is stricken by flood 7.44% 4.17%
5 Houses are stricken by flood 5.95% 8.33%
6 Frequency of houses stricken by flood 3.27% 8.10%
7 Duration of houses stricken by flood 7.74% 9.49%
8 Source of clean water 7.44% 7.41%
9 Family member amount 11.31% 11.34%
Number of Exposure 76 % 74%

Table 9. Sensitivity Level of Mangkang Wetan and Trimulyo Villages (analysis, 2018)
No Indicators Mangkang Wetan Trimulyo
1 Monthly income 12.34% 13.64%
2 Monthly outcome 19.48% 15.66%
3 Asset ownership 5.56% 2.72%
(Land, House, Boat, Fishpond, Etc.)
4 Capital access/ loan 16.88% 17.17%
Number of Sensitivity 54% 49%

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Table 10. Adaptation capability Level of Mangkang Wetan and Trimulyo Villages (analysis, 2018)
No Indicators Mangkang Wetan Trimulyo
1 Group program 2.22% 2.22%
2 Group program involvement 7.46% 8.89%
3 Skill training involvement 3.33% 2.47%
4 Training advantages 3.65% 2.47%
5 Training result utilization for income resource 3.17% 2.22%
alternative
6 Routine meeting involvement 3.17% 1.98%
7 Routine meeting frequency 4.29% 4.07%
8 Routine meeting benefits 6.03% 4.44%
9 Information media (group meeting, meeting RT/RW, 4.29% 4.44%
Radio, SMS)
10 Information media 4.29% 4.44%
11 Group meeting 6.67% 8.64%
12 Meeting (RT/RW) 7.46% 6.67%
13 Radio 2.22% 2.22%
14 SMS/Whatsapp text messaging 4.44% 2.47%
15 Information media usage 4.29% 4.44%
16 Weather information needs 4.44% 4.44%
17 Media used to spread the information 2.38% 2.22%
Number of Adaptation Capability 74% 69%

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