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Introduction 1

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INTRODUCTION

Present scenario of urbanization indicates that around 50% of


world population will be living in cities and it is the number of
mega cities which are likely to grow to 100, 90% of these would
lie in developing nations.
On the other hand increase in Natural disaster in developing
countries and lack of capacities of these countries and lack of
capacities of these countries to manage the risks have been
jeopardizing the process of development. Compared with 30 years
ago, the annual cost of natural catastrophes has increased nine
fold. Infact according to one of the World Bank estimate proportions
of credits approved for new infrastructure had to be diverted to
pay for reconstruction following catastrophic events. Over last 10
years geological events such as earthquake and volcano eruption
have occurred evenly through out.
While the atmospheric events like windstorms, hurricanes,
floding, drought, avalanches and forest fires have increased.
Windstorms and flooding are most common, each accounting for
approximately 33 percent of all events.
Sixty percent of deaths from natural disasters are the result
of floods. While economics losses from floods, windstorms and
hurricanes are almost equally divided, with each accounting for
nearly 30 percent of all losses, only 8 percent of flood damage is
insured as opposed to 67 percent of the damage from windstorms.
The reason for this is that windstorms occur in areas of the world
where there is a high level of insurance - the United States, Japan
and Australia- while floods dominate in Asia, where the insurance
level is low.
2 Planning for Human Settlement in Disaster Prone Areas Introduction 3

Turkey having US $ 20 billion deficit and annual inflartion • Damage costs in urban areas is proportionately higher in
of 50%, Government was in process of securing US $ 5 billion loan terms of number of people affected due to congestion and
from IMF to enable cut deficit. However earthquake added burden value of assets in terms of infrastructure and buildings.
of US $ 8 billion during 1999.
All the above mentioned catastrophes have one thing in CASE OF DELHI
common, i.e impact on the poor and the damage to buildings. • Delhi lies in seismic zone IV which is the 2nd most active
To understand the need for intervention in disaster mitigation zone in India.
in an urban situation it is most important to understand the • Master plan perspective 2001 nowhere recognises the fact
magnitude of the risk involved and its likely consequenmces of that Delhi lies high seismic zone.
Human life and property. Risk assesment is a function of hazard • In the past Earthquake have been of the magnitude around
intensity and vulnerability. 6.5 on Richter scale.
• More than 30-lakh population is living in JJ clusters and
RELEVANT ISSUES
around 2 lakh houses reported kutcha in 1991·
We need to identify risks and the consequences of these risks- • With more than 50% houses built privately there has been
Therefore risk assessment is the basic information that is utmost absolute laxity in enforcement of seismic building codes.
importance. In the urban situation there is very thin line between
• Rate of population growth has been more than 50% and
manmade and natural disasters.
85% population lives in high density areas @ 22399 persons
For risk assessment there are two fundamental variables to per sq km.
be identified and assessed: Hazard intensity and vulnerability, i.e
• 54% of houses have areas less than 50 sq m and 38% have
what and who is affected.
less than 30 sq m. That means availability of space is less
Urban part of the nation is most vulnerable to disasters. Hazard than 5 sq m per person.
intensity can be reduced by moving people away from hazard • In terms of material of housing 42% houses are Built with
locations or protecting them. Cost benefit would quantity a better RCC roof and 72% walls in brick. Only22% are in frames.
option. Reduction of vulnerability: By preparing shelters, 32% of houses are built in stone. In case of low income
infrastructure and people. housing 72% is mason built.
VITAL FACTS OF RISKS • Maximum expenditure in low income housing is on food
(70-80%) rent is 1 - 6 %
Risk depends on hazard intensity and vulnerability. We may
not be able to control intensity of hazards out we can intervene • A study conducted by one of the NGOS on an area of
to reduce vulnerability, thereby reducing the impact. mixed group low income housing with areas 25 sqms, 12.5
sq m and JJ cluster. It was found that if an earthquake of
• It is the poor and weak who are most vulnerable.
magnitude of 7 strikes Delhi as predicted, based on the
• It is not the disasters that kill, it is the built environment
analysis and history in the past, damage to buildings in
which kill masses, as a strong disaster finds its alley in a
such a small cluster of 9700 households would cost around
weak building.
Rs.471 million for reconstruction alone (average 50000/
• It is the communities and human settlements which needs unit)·
to be prepared as it is the communities who need to react
• And working on same pattern for 38% housing (which are
first and it is the habitats which need to be strengthened
less than 30 sqms) of Delhi in similar situation i.e around
to withstand the forces of hazards.
4 Planning for Human Settlement in Disaster Prone Areas Introduction 5

18.62 lakhs X0.38=7.08 lakhs (1991 census) would be to take up this challenge. However, if we take cue from a pattern
damaged costing around Rs 350000 lakhs or Rs 35oo crores. of risks in urban situations like Delhi, there is tremendous need
• Therefore annual plan of constructing 7 lakh houses could to reconsider programme of govt. of India in terms of not only
be easily exhausted in Delhi alone. building 7 lakh new houses annually but strengthening part of
the exchequer of rehabilitation in case of disasters. An Example
WHAT WE HAVE DONE SO FAR of Delhi can be seen for demonstration of how one catatosrophe
HUDCO is the only organisation in the country that has been in Delhi can reverse the development plan of whole of the nation
concentrating on these issues simultaneously for decades together.
WHAT WE CAN DO
Apart from its routine operations of techno-financing housing
• We can train communities right from grass root level to
and basic infrastructure.
professional and administrators how to build safe shelters,
• It promotes disaster resistant techniologies for human retrofit them and make them disaster resistant
habitat. programmes.
• It adopts villages to demonstrate how to go about building
• We can adopt villages and townships to demonstrate
shelters with simplicity to safety, through simple
environmentally, healthy and safe villages and townships.
illustration of Dos and Donts in disaster prone areas.
• We can extend our hand to fund rehabilitation programmes
• It provides knowledge on spatial planning and design in
under the Government of India's schemes.
disaster prone areas keeping traditional, socio-cultural
styles intact. WHAT WE NEED TO DO
• Imparts skills in improvising traditional building • With vulnerability atlas in place, we need to undertake
techniques using local materials to masons and artisans microzonation of each disaster prone area identified in the
through its network of building centres allover the country. atlas.
• Conducts workshops to train engineers, architects, builders, • We need to set up a techno-legal regime by enacting laws
administrators and project managers the importance of for enforcement of codal provisions for disaster resistant
using safe technologies for construction of buildings at its techniques
Human Settlement Management Institute at Delhi.
• We need to set up a techno-financial regime.
• Funds rehabilitation projects needing reconstruction and
• We need to disseminate as far as possible, message of
retrofitting of housing and infrastructure.
preparedness.
• So far HUDCO has funded reconstruction / rehabilitation
• Prepare Disater Mitigation Plans and Community Action
of 1,911,368 dwelling units in the country with a loan
Plans.
amount of Rs 1342.37 crores in disaster affected areas.
• Its total operations in housing loan commitments have PROMOTING SUSTAINABLE HUMAN SETTLEMENT
been Rs.17116 crores. DEVELOPMENT
In order to meet the demand of housing Govt of India has laid PROVIDING ADEQUATE SHELTER FOR ALL
a two million housing programme in which 7lakhs of dus are to
At least 1 billion people do not have access to safe and healthy
be constructed in urban areas. Requiring an investment of Rs 4000
shelter, which is fundamental to a person's physical, psychological,
crores annually. As it is, this is a very ambitious plan if seen in
social and economic wellbeing.
perspective of the resources required and the capacity of the states
6 Planning for Human Settlement in Disaster Prone Areas Introduction 7

Activities Activities
Governments should: Develop a national land resource management plan, by:
• take immediate measures to provide shelter for the • establishing national legislation to guide the
homeless implementation of public policies for environmentally
• adopt and/or strengthen national shelter strategies sound urban expansion, land utilisation, housing and
improved management of urban expansion
• support the shelter effort of the urban and rural poor by
• create efficient and accessible land markets by improving
facilitating access to land, finance and low-cost housing
land registry systems and streamlining procedures in land
materials and by upgrading informal housing settlements
transactions
and slums
• develop fiscal incentives and land use control measures
• support and develop environmentally compatible shelter
for a more rational and environmentally sound use of
strategies at all levels of government and initiate limited land resources
partnerships with the private, public and community
• encourage partnerships among the public, private and
sectors
community sectors in managing land resources for human
• reduce the impact of rural drift to the urban areas by settlement
improving the living conditions of the rural sector. • strengthen community based land resource protection
IMPROVING HUMAN SETTLEMENT MANAGEMENT practices in existing urban and rural settlements
• accelerate efforts to promote access to land by the urban
In the 21st Century the majority of the world's population will
and rural poor, including credit schemes for purchase and
be living in cities.
development schemes, improving safe and healthy shelter
If properly managed, urban settlements can improve the living and infrastructure services
conditions of the residents and manage natural resources in a • develop and support the implementation of improved
sustainable way. land management practices which deal comprehensively
with potentially competing land requirements for
Activities
agriculture, industry, transport, urban development, green
Governments and local communities should: spaces, reserves and other vital needs
• improve urban management • promote understanding among policy makers of the
• strengthen urban data systems adverse consequences of unplanned settlements in
• encourage intermediate city development. environmentally vulnerable areas and of the appropriate
national and local land use and settlements policies
PROMOTING SUSTAINABLE LAND USE PLANNING AND MANAGEMENT required for this purpose.
Objective Promoting the integrated provision of environmental
infrastructure: water, sanitation, drainage and solid waste
To provide for the land requirements of human settlement
management There is need for an integrated approach to the
development through environmentally sound physical planning
provision of infrastructure in human settlements. This should
and land use to ensure access to land for households and where
result in improvement to the quality of life, increased productivity,
appropriate, the encouragement of communally and collectively improved health and reduce the burden of investments in curative
owned and managed land. medicine and poverty alleviation.
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Activities PROMOTING HUMAN SETTLEMENT PLANNING AND MANAGEMENT IN


All countries should: DISASTER PRONE AREAS
• adopt policies that minimise, or avoid, environmental Objective
damage To enable all countries, in particular those that are disaster
• ensure that relevant decisions are preceded by prone, to mitigate the negative impact of natural and manmade
environmental impact assessments taking into account disasters on human settlements, national economies and the
the costs of any ecological consequences environment.
• promote development in accordance with indigenous Activities
practices and adopt technologies appropriate to local
conditions All countries should:
• promote policies aimed at recovering the actual cost of • develop a culture of safety
infrastructure services, while at the same time recognising • develop pre-disaster planning
the need to find suitable approaches to extend basic services • initiate post-disaster reconstruction and rehabilitation
to all households planning.
• seek joint solutions to environmental problems which affect
several localities. PROMOTING SUSTAINABLE CONSTRUCTION INDUSTRY ACTIVITIES
Objectives
PROMOTING SUSTAINABLE ENERGY AND TRANSPORT SYSTEMS IN
To enable the construction sector to meet human development
HUMAN SETTLEMENTS
goals, while avoiding harmful side effects on human health and
Current energy and transport systems result in pervasive air on the biosphere. To enhance the employment generation capacity
problems. Thus, there is need for energy planning and of the construction sector.
management, promotion of renewable and alternative energy
sources and evaluation of the costs of current systems. Activities
Insufficient investments in urban transport planning, traffic Governments and local communities should:
management and infrastructure result in inefficient use of resources • establish and strengthen indigenous building materials
and have a severe impact on the urban population. industries on inputs of locally available natural resources
Activities • enhance the utilisation of local materials by the construction
sector
Governments and local communities should:
• adopt standards and other regulatory measures which
• develop research and promote public transport promote the increased use of
• provide safe gateways and footpaths • energy efficient designs and technologies
• research the effect of emissions and the transport sector • formulate appropriate land use policies and introduce
generally on the environment planning regulations aimed at
• practice integrated transport and land use planning • protecting environmentally sensitive zones against physical
• consider convening, regional conferences on transport and disruption by construction and construction related
the environment. activities
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• promote the use of labour intensive construction and • provide direct assistance for human settlement
maintenance technologies development at the community level
• develop measures to increase the affordability of building • promote the inclusion of integrated environmental
materials management into general local government activities.
• promote the free exchange of information on the whole 1. Planning is a process to achieve the goals and objectives
range of environmental and of national development through the rational and efficient
• health aspects of construction use of available resources. Thus plans must include clear
• introduce legislation and financial incentives to promote goals and adequate policies, objectives and strategies along
recycling of energy with concrete programmes.
• intensive materials in the construction industry 2. Planning activities should promote and guide development
rather than restrict or simply control it. Imaginative
• discourage the use of construction materials and products
planning should be stimulative and anticipatory; in many
which create pollution during their life cycle
cases it might have to remain open-ended and in all cases
• promote information exchange and appropriate technology it should consider options and be based on the best available
transfer among all countries information and forecasting of demographic, social,
• promote research in construction industries and related economic and technological trends.
activities. 3. Although a strict hierarchical order is inappropriate for
understanding the network of human settlements and the
PROMOTING HUMAN RESOURCE DEVELOPMENT AND CAPACITY
levels of decisions required to act upon them, it may be
BUILDING FOR HUMAN SETTLEMENTS DEVELOPMENT
convenient to assume that planning is conducted at
Most countries face three human resource, development and different scales of geographical coverage: national, regional,
capacity building shortfalls. local and neighbourhood. To achieve balanced
The first is the absence of a policy environment capable of development, planning decisions taken at one level must
integrating the resources and activities of the public, private and be related and complementary to those taken at other
community sectors. The second is the weakness of specialised levels, both "above" and "below", and appropriate
training and research institutions. The third is the insufficient machinery must be devised to resolve potential conflicts
capacity for technical training and assistance for low-income between them.
communities. 4. Planning also operates over significantly different time
spans, from a few years up to a generation and more.
Activities
Decisions taken at one level and within a time framework
Governments and local communities should: may have important consequences at another level and on
• create a policy making environment supportive of the a broader time perspective. The longer the horizon, the
partnership between the public, private and community more important it is for settlement planning to remain
sector flexible in order to adapt to changing priorities or
• provide enhanced training and technical assistance for conditions.
technicians, professionals and administrators, and 5. In this constant process of adjustments and reconciliation,
appointed, elected and professional members of local the notion of region becomes central to settlement planning
governments as a unit smaller than the national whole but larger than
12 Planning for Human Settlement in Disaster Prone Areas Introduction 13

the individual settlement itself, however big that may be. cultural and social needs. Settlement planning and
More and more countries are faced with the problems implementation for the purpose of prolonging and
posed by metropolitan regions, centred around a very consolidating occupation and subjugation in territories
large urban complex, but sometimes spreading until they and lands acquired through coercion and intimidation
become contiguous with others. Other regions, especially must not be undertaken and must be condemned as a
in the third world comprise predominantly rural violation of United Nations principles and the Universal
populations and require equal, although different, attention Declaration of Human Rights.
in planning terms. 9. Planning is no less important at the community level where
6. In developing countries most people live in rural areas the direct involvement of residents in the decisions affecting
and will continue to do so notwithstanding considerable their daily lives can be achieved most effectively. At this,
movement to urban areas. Given the urgent need to and the neighbourhood level, it is essential that planning
improve the quality of life of these people, which have and design be at the human scale and so contribute to
been hitherto relatively neglected, planning and good personal and social relationships in settlements.
development of rural settlements should become a focus 10. Finally, planning is crucial in the wake of natural
of national development policies and programmes. emergencies, such as those resulting from natural or man-
National cultures have strong roots in the villages, and made disasters, there the meeting of immediate needs
form a vital resource of great potential in development must be reconciled with the achievement of long-term
and therefore must be recognized in development goals.
strategies. Growth, change and social transformation have
meaning only if they touch rural peoples. Planning for SETTLEMENT PLANNING IN NATIONAL CONTEXT
rural settlement development must be holistic and on a (a) Human settlements do not just happen. They are the result
local basis within regions so as to mobilize and use all of a multitude of needs and decisions, both public and
available resources. private. The challenge of planning is to see that such
7. However, the majority of planning decisions and their decisions are explicit and coherent, are part of an over-all
implementation will continue to occur at the level of the effort to resolve conflicts and achieve social justice and the
individual settlement. Planning of individual settlements best utilization of resources. These are essential to an
is oriented to solve the problems derived from the improved quality of life.
relationship between the environment, and the political, (b) Settlement and environmental planning and development
social and economic context, in a continuous process of must occur within the framework of the economic and
change and mutual adjustment. The physical ambit of social planning process at the national, regional and local
planning of individual settlements is concerned with the levels.
best use of the present stock - through renewal, (c) Special emphasis should be placed on:
rehabilitation and other forms of improvement - and the (i) Promotion of balanced development for all regions;
integration of marginal or peripheral settlements or the (ii) A unified development planning approach which
creation of new ones. The relative emphasis on each attributes to human settlements their proper place by
approach will depend on local circumstances, social values treating them as an integral part of the development
and political priorities. process rather than a residual, and by stressing the
8. Human settlement planning must seek to improve the human settlement implications of other sections of
quality of the life of people with full respect for indigenous, development plans;
14 Planning for Human Settlement in Disaster Prone Areas Introduction 15

(iii) Recognition of the difficulties inherent in a truly actually available, especially human initiative and
comprehensive approach and the need to evolve and imagination.
employ suitable methods and procedures, adapted to (b) Settlement planning should be based on realistic
actual conditions and subject to continual assessment, and management, of the resources actually
improvement; and potentially available for development.
(iv) Planning as a continuing process and must be (c) It is essential that.
effectively linked to institutions which implement the (i) Availability of resources be placed in an appropriate
actual development of settlements. time context, corresponding to short, medium and
INDIGENOUS PLANNING MODELS long-term development goals;
(a) The character of a nation is made visible in its settlements. (ii) Assessment of the present situation be thorough and
Foreign models must not dominate planning decisions frank, without minimizing difficulties, potential
which should be guided by national goals and conflicts or need for change;
implemented by local people making the best possible use (iii) A comprehensive national ecological and demographic
of indigenous resources, within the context of local culture inventory be prepared to guide long-range settlement
and environment. planning;
(b) Settlement planning should reflect national regional and (iv) Planning of physical and social structures and the
local priorities and use models based on indigenous values. pursuit of socio-economic goals should be realistic but
(c) Special emphasis should be placed on: not determined solely by current availability of
resources, although this affects the time span needed
(i) Ensuring that national goals and objectives are reflected
to achieve these objectives;
in human settlement planning, in particular social
justice, employment opportunities, economic self- (v) Evaluation of alternatives be based on broad criteria,
sufficiency and cultural relevancy; truly reflecting social and environmental values,
development objectives and national priorities;
(ii) Actively supporting research and training in
appropriate technologies required for settlement (vi) Potential for innovation be recognized, particularly in
planning and development; social and technical systems;
(iii) Demonstrating the advantages of local planning (vii) Special technical and managerial skills be developed
approaches based on appropriate values, in particular and motivated;
through pilot projects; (viii) Capacities of handicapped, and other disadvantaged
(iv) Bringing planning and planners in close contact with groups be recognized as a resource.
the people, with particular reference to the expressed SCOPE OF NATIONAL SETTLEMENT PLANNING
needs and aspirations of the poor and other
(a) Some planning decisions are of national importance.
disadvantaged and the potential for self-determination.
Although requiring local, regional and sectoral inputs,
AVAILABILITY OF RESOURCES they must ultimately be made at the national level.
(a) Too often in the past, human settlement planning has (b) Settlement planning at the national level must be concerned
lacked realism. This not only fails to take account of with the co-ordination of those developments, activities
resource limitations but often wastes the few resources and resources that have national significance. These are
16 Planning for Human Settlement in Disaster Prone Areas Introduction 17

particularly, the general distribution of population, the (ii) Designation of towns of appropriate size as social, economic
significance of development of certain economic sectors, and cultural centres for their rural hinterland;
and certain infrastructure components. (iii) Development of growth poles for relatively undeveloped
(c) This would include: regions, contingent on development potential and local
(i) Designation of major types of land use and their aspirations;
potential; (iv) Designation of rural development regions of many villages,
(ii) Location of major sources of sustained and productive with boundaries reflecting socio-economic and ecological
employment; relationships, to aid provision of efficient and economical
(iii) Definition of a coherent set of relationships between facilities and services;
settlements or groups over the territory; (v) Schemes for village amalgamation and programmes of
(iv) Introduction of regions as an intermediate level of shared services and facilities which cannot be provided to
planning, where local interest can be reconciled with dispersed populations;
national objectives; (vi) The need to save land from excessive exploitation of
(v) Identification of regions or areas requiring special national and regional resources;
attention: those that are particularly deprived, offer (vii) Creation of new employment opportunities and increasing
unusual potential, or need special protection; economic productivity to reduce the disparities between
(vi) Outlining the principal infrastructure network as well rural and urban areas;
as the broad distribution of social services; (viii) Development of rural regional institutions responsible for
(vii) Provision for elements of vital importance for health settlements planning.
and survival, especially clean and safe water, clean air
and food. REGIONAL PLANNING FOR METROPOLITAN AREAS
(a) Megalopolises and other large urban areas are an increasing
REGIONAL PLANNING FOR RURAL AREAS phenomena. Their nature and their relationships with
(a) Regional planning is an essential tool for reconciling and surrounding rural areas, are extremely complex. Only
co-ordinating the objective of urban and rural development. effective comprehensive regional planning can cope with
A major planning problem in predominantly rural areas this complexity.
is the economical provision of employment opportunities,
(b) Planning for metropolitan regions should aim at an
adequate services, and infrastructure to widely dispersed
integrated approach over the territory affected by the
populations.
metropolis, and include all major functions.
(b) Planning for rural areas should aim to stimulate their
(c) Urgent measures include:
economic and social institutions, improve general living
conditions, and overcome disadvantages of scattered (i) Provision of institutions and a revenue base
populations. commensurate with their role. This could be a
metropolitan tier of government or a special planning
(c) The following should be considered:
authority to deal with a cluster of interrelated problems
(i) Development of a system of intermediate settlements with
requiring an integrated solution;
sufficient dynamism to counteract the attraction of the
great metropolises; (ii) Modification of the boundaries of metropolitan areas,
18 Planning for Human Settlement in Disaster Prone Areas Introduction 19

as well as of local government units within those areas, IMPROVING EXISTING SETTLEMENTS
to correspond to functional and natural limits. (a) Settlement planning cannot merely focus on new urban
(iii) Co-ordinated provision of food, water and energy development for many settlements already exist. The
supplies, transportation, disposal of solid and fluid improvement, renewal and rehabilitation of these
waste, pollution control measures, education and settlements should therefore be continuous. They thus
health delivery systems; present a major challenge in improvement of quality of
(iv) Protection of regional ecology. life, and of the existing fabric of settlements. When ill-
conceived it may result in the destruction of the economic
SCOPE OF LOCAL PLANNING and social fabric of entire neighbourhoods.
(a) Individual settlements of all sizes must be guided in their (b) Settlements must be continuously improved - renewal
orderly development by plans reflecting local requirements and rehabilitation of existing settlements must be oriented
and conditions. This should occur within the framework to improving living conditions, functional structures and
set by national and regional planning. environmental qualities. The process must respect the rights
(b) Local planning must be concerned with social and and aspirations of inhabitants, especially the least
economic factors, and the location of activities and the use advantaged, and preserve the cultural and social values
of space over time. embodied in the existing fabric.
(c) This means in particular: (c) Special attention should be paid to:
(i) Designation of general land-use patterns and changes (i) Upgrading and preserving the existing stock through
over time; the development and use of low-cost techniques, and
the direct involvement of the present inhabitants;
(ii) Location of main activities with special attention to
their relationships; (ii) Undertaking major clearance operations only when
conservation and rehabilitation are not feasible and
(iii) Provision of infrastructure networks and systems
relocation measures are made;
required to link activities on the basis of economy,
(iii) Providing for the welfare of the affected inhabitants
safety, convenience and environmental impact;
especially with respect to employment opportunities
(iv) Definition of basic standards reflecting the needs of and basic infrastructure;
the people, to eliminate waste and achieve an equitable
(iv) Preserving the area's social and cultural fabric which
distribution;
may be the only de facto source of social services
(v) Recognition of the need to phase and direct including care of children and the aged, maternity
development through the timely provision of care, apprenticeship, employment information and
concentrated infrastructure and services, and the security.
deferral of such provision in areas not yet appropriate
for urban development; URBAN EXPANSION
(vi) The need to eliminate personal alienation and isolation (a) Expected population growth and migration mean that
and social and economic segregation; urban expansion will be the most common and universal
(vii) Formulation of social and economic programmes of development challenge. However, urban expansion can
development. take the form of urban sprawl, and it is then costly, wasteful
and ecologically destructive.
20 Planning for Human Settlement in Disaster Prone Areas Introduction 21

(b) Urban expansion should be planned within a (iv) Flexible phasing of programmes over time to accommodate
regional framework, and co-ordinated with urban renewal important changes in the rate of growth, age structure and
to achieve comparable living conditions in old and new social composition of the population;
areas. (v) Applying innovative social and physical design concepts
(c) It requires special provision for: and technologies, including architecture at the human
(i) Securing legislation, legal instruments and regulations; scale;
(ii) Institutions for management of land acquisition and (vi) Avoiding social problems, especially social segregation
development; and isolation;
(iii) Securing fiscal and financial resources; (vii) Establishing optimum densities according to indigenous
(iv) Active participation of a well-informed public; needs and means, and in accord with the social and cultural
characteristics of the inhabitants.
(v) Protection of ecosystems and critical land;
(vi) Improved development of existing urban land use INDIVIDUAL RURAL SETTLEMENTS
through innovative and creative measures; (a) Just as all human settlement planning must be an integral
(vii) Integrated development of basic services, facilities and part of national development planning, so planning for
amenities; individual rural settlements must be part and parcel of
(viii) Employment opportunity and access to work places; planning for general rural development in a region or
(ix) Integration and improvement of squatter and marginal nation.
settlements. (b) Planning for the improvement of individual rural
settlements should take into account the present and
NEW SETTLEMENTS expected structure of rural occupations, and of appropriate
(a) The expansion and renewal of existing settlements is distribution of employment opportunities, services and
sometimes not appropriate, and new settlements can then facilities.
be appropriate. They can also serve to stimulate under- (c) Particular attention should be paid to:
developed regions or be associated with exploitation of
(i) Appropriate location of market places, community
specific resources.
centres, potable water supply, health and education
(b) New settlements should be planned within a regional facilities and transport services including loading
framework, to achieve national settlement strategies and terminals;
development objectives.
(ii) Respect for local customs and traditions as well as to
(c) Special attention should be paid to: new needs and requirements;
(i) The use of new settlements to improve and harmonize the (iii) Use of local resources and traditional techniques and
structuring of national settlements network; styles of construction.
(ii) Relating new settlement programmes to the renewal and
expansion of existing settlements; NEIGHBOURHOOD PLANNING
(iii) Integrating the new settlements with regional and national (a) The special interests of children and their parents, the
plans, particularly with regard to the distribution of elderly and the handicapped, come into focus at the
employment; neighbourhood level.
22 Planning for Human Settlement in Disaster Prone Areas Introduction 23

(b) Neighbourhood planning should give special attention PLANNING FOR DISASTERS
to the social qualities, and provision of facilities, (a) Too many settlements are destroyed or badly damaged as
services and amenities, required for the daily life of the a consequence of natural or man-made disasters. Some
inhabitants. natural disasters can be predicted, at least in part, and
(c) Particular emphasis should be given to: precautionary measures taken to save lives and reduce
(i) Needs of children and their parents, the elderly and material loss. But until methods of forestalling natural
the handicapped; disasters are improved, and until war is eliminated,
(ii) Community involvement in the planning, Governments are faced with the problems of reconstruction
implementation and management of neighbourhood and rehabilitation of severely damaged settlements.
schemes; (b) Planning for human settlements should avoid known
(iii) Better integration of neighbourhood development, hazards which could lead to natural disaster. The planning
housing and facilities; of reconstruction after natural or man-made disasters
should be used as an opportunity to improve the quality
(iv) Readily accessible facilities and services;
of the whole settlement, its functional and spatial pattern
(v) Preservation of traditional patterns of relationships and environment.
consistent with current aspirations;
(c) In particular by:
(vi) The links between neighbourhood planning and other
(i) Improving the technologies to forecast and mitigate the
planning levels.
effects of disasters;
TEMPORARY SETTLEMENTS (ii) Providing for pre-disaster training in disaster-prone areas;
(a) Temporary settlements, such as those for limited resource (iii) Establishing agencies with adequate authority and skills
exploitation, construction camps, and those resulting from to undertake the immediate relief and long-term
emergencies, are sometimes inevitable. However, such reconstruction of the whole settlement of the area;
settlements often have a tendency to survive long after (iv) Providing for the basic needs of the affected population,
their original purpose. especially the temporary or permanent relocation of
(b) Planning for temporary human settlements should provide survivors, and the involvement of survivors in related
for community needs, and the integration of such plans and programmes.
settlements, where appropriate, into the permanent (v) Providing for a National Disaster Fund;
network of settlements. (vi) Co-ordinating the use of all local, national and international
(c) This may be achieved by: resources for prevention and reconstruction;
(i) Providing suitable shelter and services; (vii) Learning from the lessons of similar experiences for
(ii) Phased integration into existing settlement networks planning before, during and after disasters.
as appropriate;
SETTLEMENT CONCERNS OF MOBILE GROUPS
(iii) Allowance for growth and change in functions of
buildings and related services; (a) Almost all people choose to live in a fixed habitat. There
are, none the less, important groups or people in many
(iv) Continuous assessment of the economic and social
countries who have a traditional culture based on frequent
viability of temporary settlements.
or regular movement from one place to another within a
24 Planning for Human Settlement in Disaster Prone Areas Spatial Planning and Land Management 25

broader area. The unique habitat needs of such groups


must receive consideration taking into account their
cultural values.
(b) The spatial, social, economic and cultural needs of mobile
groups must receive special planning attention at local, as
well as regional and national levels.
(c) This must involve:
2
(i) Development of special means of identifying the needs
of these groups; SPATIAL PLANNING AND LAND
(ii) Training and counselling for those persons or groups MANAGEMENT
which choose freely to settle in one or a few locations;
(iii) Development of special facilities and techniques to
provide health and education services;
INTRODUCTION
(iv) Assistance with shelter - fixed or portable - food and
water, consistent with cultural values; Today's society becomes ever more rapidly vulnerable to
natural disasters due to the concentration of populations in mega-
(v) International co-operation in developing appropriate
cities. Additionally, changes in the global environment threaten
government responses.
us with the possibility of severe typhoons, rising sea levels,
PLANNING PROCESSES droughts, among others. Considering these rapid changes of
(a) If human settlement planning is conceived in static and ambient conditions, vulnerability has increased due to growing
prescriptive terms, it can become an obstacle to balanced urban populations, environmental degradation, and a lack of
development geared to meet changing realities and rising planning, land management and preparedness. Environmental
aspirations. disasters in many cases are effected by human usage of natural
resources. They take place especially because of the negative impact
(b) Planning at all scales must be a continuing, process
of the over-exploitation of natural resources. Spatial planning and
requiring co-ordination, monitoring evaluation and review,
land management provide various tools to prevent natural hazards.
both for different levels and functions as well as feedback
The prevention of catastrophes in general is a consideration of
from the people affected.
spatial planning and land management on the regional and local
(c) It is essential that: level.
(i) Planning be comprehensive, timely and action- Therefore a more active role of planning and land management
oriented; is necessary. They have to support a sustainable settlement
(ii) Planning be backed by firm political commitment to development and a sustainable land use on consideration of the
action; different public and private interests because of there important
(iii) Reviews of the planning process should not be isolated influences on environmental disasters. Yet, this duty is only being
exercises for planning must continually evolve; partially recognised, at present especially in flood prevention.
(iv) Planning information be exchanged between 811 levels Even though spatial planning provides the missing basis for taking
of government, and sectors of society, not just officials precautions against catastrophes. There are several reasons why
and professionals. a more active role of spatial planning and land management in
26 Planning for Human Settlement in Disaster Prone Areas Spatial Planning and Land Management 27

this field have not been taken so far. These reasons comprise e.g. Environmental degradation and disasters are very closely
the low frequency of catastrophic events and the difficulty of linked in many region. The countries that suffer most from disasters
predicting their spatial occurrence and at least also organisational are the same ones in which environmental degradation is
matters within spatial planning and land management. The analyse proceeding most rapidly. Similarly, poverty and vulnerability to
of the interrelation between environmental catastrophes and disasters are closely linked. There is an average of some 3,000
regional development will enable to point out the strategies and deaths per event in low-income countries, compared with less
instruments of spatial planning and land management to support than 400 per event in middle and high-income countries.
the prevention hazards. These interactions demonstrate that there is no simple
definition of natural and environmental disasters. There seems to
REGIONAL AND URBAN DEVELOPMENT, be an interdependence between this phenomenons. Considering
ENVIRONMENTAL IMPACTS AND DISASTERS the increasinbg enviromental disasters espacially the short and
First it is necessary to distinguish between natural and the long term impacts of urban and rural settllement on the
environmental hazards that mainly take place in the following environment have to be discussed. Risk assessment and mapping
fields: had not been undertaken by most countries. There is a need for
- Geophysical disasters like earthquake and volcanoes comprehensive vulnerability analysis to be undertaken for disaster-
- floods and dam breaks prone areas, incorporating information about past disaster events,
the socio-economic conditions of the population living in the
- landslides related to unstable slopes affected area, and inventories of major structures liable to damage.
- fires in context with drought Risk assessment and hazard mapping would then be used to
- transboundary atmospheric hazards. delineate areas vulnerable to natural hazards and determine the
A lot of disasters are the result of meteorological phenomenons frequency, intensity, impact, return period and other data in
such as typhoons, hurricanes, sheet flooding, of coastal and river- relation to each category of hazard.
based floods. These seems to be related to climatic phenomenon A lot of countries experienced severe flood problems at
such as the El Niño Southern Oscillation that results in a lower comparatively frequent intervals. Their traditional approach to
mean sea surface temperature in the east, failure of the monsoon the reduction of flood losses relied upon the use of structural flood
rains in India, and drought in Indonesia and Australia. mitigation measures such as the construction of dams, levees and
Vulnerability to natural hazards has been increased in many channel improvements. Most of the earlier flood mitigation
coastal areas as a consequence of the loss of habitat such as programmes adopted by individual countries had been specific
mangroves and coral reefs that formerly provided natural to a city or to a discrete agricultural area and had employed a
protection against coastal flooding and also of the loss of natural narrow range of engineering works to provide solutions to the
flood areas. Landslides are very common in the hills and flooding problem.
mountainous parts of countries. In addition to the primary Although some projects were successful, some of them have
cause - the topography - landslides are aggravated by human actually exacerbated flood damage. In recent years, most countries
activities, such as deforestation, cultivation, and construction, have recognized the inadequacy of programmes based solely on
which destabilize the already fragile slopes. In Nepal for structural measures. Numerous attempts had been made to employ
example as many as 12,000 landslides occur each year as a result non-structural flood loss prevention measures to assist in
of combined actions of natural (mostly heavy rainfall) and human minimizing losses, principally through exercising control over
factors. development in flood-prone areas.
28 Planning for Human Settlement in Disaster Prone Areas Spatial Planning and Land Management 29

These measures were usually associated with a mix of specific land area used and the individual motorised private
structural measures and, in some circumstances, provided a transport.
comprehensive means of coping with a flood problem. In many The present situation of the settlement can be described as the
cases, however, attempts to formulate programmes which included transition of the compact to the network town. This development
some non-structural measures had met with limited success, is not sustainable from an economical and ecological point of
particularly those involving planning controls, acquisition of land view. Therefore suitable strategies of regional and town planning
and the relocation of people. are necessary, which attain a concentration of settlement within
a poly-centric structure, an optimised building density and density
MODELS AND STRATEGIES OF URBAN AND RURAL of population, a variety and mix of urban land use, private and
DEVELOPMENT TO PREVENT ENVIRONMENTAL public spaces with high ecological and social quality and a transport
DISASTERS system compatible with the environment and the town. This kind
The environmental impacts of the settlement development of settlement structure will support at the same time the prevention
are on one hand mainly effected by the converse of open spaces of environmental hazards and mitigate the negative effects.
to sealed building areas and on the other hand also caused by the Apart from the statuary framework, the regional and the
specific location of new settlement areas. Therefore the quantity communal level have a great legal capacity to prevent
and the quality use of land resources are determined as the central environmental disasters by the following tools and strategies:
indicator of the guiding principle for sustainable settlement
- strengthen the decentralised urban development with poly-
development. In case of expanding settlements the land
centric structure - assessment framework to choose suitable
consumption and land use have to be taken into account carefully.
location and spaces of the future settlement development
The resource “land” cannot be enlarged, that is why the land use
apart from river valleys, natural retention areas and
for urban development has to be defined by specific criterion. The
unstable slopes
structure and the density of the settlements and new building
areas have to be optimised, so that the consumption of agricultural - priority of interior urban development (reactivation of
land and open spaces and also of energy for traffic purposes is brownfield sites, mobilisation of “gap” sites, reuse of urban
low. The specific land used for settlement and traffic, especially wasteland and vacant buildings),
the part of the sealed space, can be used as a general indicator - space saving development of new residential areas with
for sustainable development, which also reduces the risks of mixed use and increased density; - cooperation between
disasters. urban and rural areas in the fields of settlement,
infrastructure and protection of the environment
In this context two conflicting concepts of town developments
are discussed at present: - reduction of soil sealing
- The “compact town” is the result of the historic town - safeguarding and efficient realisation of urban concepts,
development with high density, mixed use of land, - integrated planning strategies with social and
concentration of settlement and high quality of public environmental aspects in addition to town, infrastructure
spaces. and traffic planning
- The “network town” is the result of the present trends in - enhancement of vegetation and safeguarding the open
the town and regional development with car-based spaces within the urban areas. In absence of scientific
decentralisation, less density and less mixed land use in proofed standards to prevent disasters, there is a great
most countries. The dispersed structures increase the need of research to elaborate suitable guidelines and
30 Planning for Human Settlement in Disaster Prone Areas Spatial Planning and Land Management 31

principles of regional and urban planning and land All this tasks can be met by the specific instruments of planning
management in this fields. and land management. They have to be studied in addition to
earth science and engineering points of view.
THE CONTRIBUTION OF REGIONAL AND TOWN Significant progress has been achieved in disaster preparedness
PLANNING and reduction in the region over the past decade, in terms of
It is necessary to use the instruments of spatial planning improvements in planning, institutional strengthening and use of
contributing to the prevention of the risks and mitigating the advance technology including space technology applications.
effects of natural and environmental disasters. In the context of However, the increase in the intensity of natural disasters requires
environmental disasters spatial planning and land management continuing and more intensive efforts at local, national and regional
have to support the following essential functions: levels.
- Early warning system: Spatial planning needs a detailed Cooperation between urban and rural regions for better natural
data base, to get sound information about the spatial disaster prevention, reduction and management becomes even
development. In practise monitoring systems have to be more important in view of such driving forces as: the rapid
extended systematically to inform about natural and urbanization process, increasing rates of economic and social
environmental risks. The efficient data acquisition needs development, and other global factors that would increase the
special measurement methods, that have to be investigated severity of disasters, such as El Nino and potential global climate
and implemented. changes. Within this context, prioritization of regional activities
- Risk assessment and mapping: Prevention of disasters for effective planning, management and development of disaster
needs comprehensive information and data about the reduction measures and for applications of space technology to
reasons and effects of hazards. Therefore a systematically meet the urgent needs, requires wide application of strategic
framework of the assessment and mapping of disasters is approaches to natural disaster reduction and management. These
needed. Geological and hydrological information, such as activities need to be effectively integrated into the national
thematic hazard maps, have a very high potential for economic and social development process. Such integration and
reducing fatality rates and losses due to natural disasters. regional cooperation need to be formulated in a well-conceived
- Prevention and reduction: Spatial planning has to analyse framework and well-developed regional strategy. Development
the interrelations between the spatial influences and the and updating such a framework and regional strategy is a priority
environmental disasters. On base on that, new models of emerging issue for cooperation in the 21st century.
spatial development have to be discussed, improved and Such a regional strategy may need to address the following
established. priority fields:
- Risk Management: In case of environmental disasters a - realistic integrated planning for disaster prevention and
certain infrastructure (evacuation routes and spaces) and mitigation;
a data base are needed to realise the emergency plan and - enhancement of disaster preparedness including real-time
risk management. information exchange;
- Reconstruction: Spatial planning has to provide innovative - community participation throughout the natural disaster
models for regional development, which don’t limit reduction and management process;
themselves on the status quo. Not only the damages have - more effective transfer of disaster reduction and
to be eliminated but also the future prevention of disasters management technology;
have to be taken into account with priority.
32 Planning for Human Settlement in Disaster Prone Areas Land Use Planning in Earthquake-prone Areas 33

- exchange of experiences and information on institutional


arrangements for disaster reduction and management.
In order to culminate regional efforts to realistic targets in the
development of a regional strategy for better disaster reduction,
a realistic reduction of damage, an increased disaster awareness
and an improvement of forecasting systems are needed. It may
be noted that specific targets of these common objectives depend
3
on the economic and social conditions of the respective countries.
Formulation of strategies and programmes towards meeting these LAND USE PLANNING IN
objectives is therefore of high priority.
EARTHQUAKE-PRONE AREAS

The catastrophic August 17th, 1999, earthquake in the Gölcük-


Izmit area provides a living laboratory for investigating the
implications of settlement patterns and land use in regions prone
to seismic activity. A preliminary case study approach to lessons
learned from the August 17th earthquake is provided. A proposed
range of planning strategies for earthquake-prone areas is
described, explained and prescribed. The land use planning role
in guiding settlement patterns, in conjunction with building codes,
is argued to represent one of the most important and enduring
contributions concerning the mitigation of the human consequences
of earthquakes.

INTRODUCTION
The Gölcük-Izmit area lies at the eastern edge of the Sea of
Marmara and straddles the North Anatolian fault running east-
west in northwestern Turkey. The Gölcük-Izmit area lies within
the Marmara Region of Turkey and is part of the nation's industrial
heartland. Of the seven regions of Turkey, the Marmara Region
has the highest population density and the highest levels of GDP
(Oxford Business Group, 1998). The local economies are dominated
by primary (e.g., agricultural) and secondary (e.g., industrial)
activities.
On August 17, 1999, a catastrophic earthquake occurred in the
Gölcük-Izmit area. The primary earthquake measured 7.4 on the
Richter scale. The United States Geological Survey or USGS (1999)
reports that at least 17,118 people were killed and that over 50,000
34 Planning for Human Settlement in Disaster Prone Areas Land Use Planning in Earthquake-prone Areas 35

were injured by the earthquake. Thousands of people remain conservation of resources, efficiency and equity. The potential
missing and unaccounted for, and over 600,000 people were left contribution of a variety of land use strategies pertaining to both
homeless. Extensive human and property impacts related to the the primary and secondary effects of earthquakes was considered
earthquake were experienced throughout Kocaeli, Sakarya and during the site visits.
Istanbul provinces. Damage is estimated by government sources Ground-shaking : The main hazard created by seismic activity
to be approximately $12 billion US (Gorvett, 1999). is ground-shaking, which can be explained on the basis of four
The earthquake involved a right-lateral, strike-slip motion of types of elastic waves: the primary or P wave, the secondary or
the nearly vertical North Anatolian fault between Karamürsel and S wave, and the L or long waves - either Love or Raleigh waves
Gölyaka. The duration of the strong ground-shaking was 37 (Abbott, 1996). "The severity of ground-shaking at any point
seconds (USGS, 1999). Site visits to the Gölcük-Izmit area conducted depends on a complex combination of the magnitude of the
in September and October, 1999, demonstrated an extensive range earthquake, the distance from the rupture and the local geological
of earthquake-related devastation: fault rupture, tectonic conditions, which may either amplify or reduce the earthquake
displacement, plus evidence of soil liquefaction, landslides, waves" (Smith, 1996: 126). With strong ground-shaking, the earth
flooding and fire. moves, buildings shift or collapse, plaster cracks, chimneys and
architectural ornamentation fail, and underground pipes can be
EARTHQUAKES AND LAND USE PLANNING bent or sheared.
"An earthquake is the vibration of the Earth produced by the Perhaps the most important tool that planners have for
rapid release of energy…the energy released radiates in all anticipating the potential impacts of ground-shaking is zoning,
directions from its source, the focus, in the form of waves" (Tarbuck the planning instrument that deals with the land uses and the
and Lutgens, 1997: 155). Earthquakes are associated with a variety physical form of development on individual parcels of land (both
of primary and secondary effects and impacts. Primary effects private and public). In other words, zoning can be used to designate
include ground-shaking, fault rupture and tectonic deformation. the sorts of activities and the types of buildings permitted on
Secondary effects include soil liquefaction; rock, mud or land specific land parcels. An earthquake-sensitive planning process
slides; submarine, snow or ice avalanches; fire; and flooding due begins with a comprehensive inventory of seismic hazard that
to tsunamis, seiches, and alterations to the water table or to stream identifies the land parcels along fault lines plus those areas subject
and river courses (Smith, 1996). These primary and secondary to the danger of soil liquefaction, landslides, flooding, fire and any
effects can induce a range of impacts: human destabilization, other secondary effects that make ground-shaking even more
injury or death; damage to private and public property (e.g., destructive. Considerations that are central to zoning in
homes, businesses, infrastructure); and the potential destruction earthquake-prone areas include the following:
of social or economic cohesion within an affected community. · Prohibit high-density development along active fault lines,
The extensive damage associated with the Gölcük-Izmit in fault or fracture zones, and in potential liquefaction
earthquake demonstrates the need for comprehensive land use areas.
planning in areas facing seismic risk. Land use planning is "the · Permit the following land uses in fault zones: agricultural
process of protecting and improving the living, production and land uses (e.g., crops, livestock, orchards, etc.), recreational
recreation environments in a city through the proper use and land uses (e.g., parkland, cycling paths, golf courses) and
development of land" (Leung, 1989: 1). The primary concerns of light industrial uses with low staff levels or those using
land use planning include public welfare and security, circulation, robotics (e.g., advanced technology firms). In some
environmental protection, beauty, comprehensiveness, circumstances, low-density residential may be acceptable,
36 Planning for Human Settlement in Disaster Prone Areas Land Use Planning in Earthquake-prone Areas 37

but it must be recognized that there is always a risk trade- that kill people." The following elements of construction detail
off that must be countered with earthquake-sensitive represent rudimentary content for local building codes:
architecture. · The five primary considerations for building codes in areas
· Zone high-priority infrastructure like hospitals, airports, of seismic risk include building height, consolidation of
subways, power stations, telecommunication spines, and weight on the lower floors, the shape of buildings, the type
bridges in areas of lower potential seismic activity. of building materials, and the degree of attachment of the
· In site planning, encourage a variety of escape routes from building to its foundation (Abbott, 1996).
individual sites at risk. Superior access for emergency · Height and density restrictions are essential unless
vehicles is also a consideration. earthquake-resistant technology is used (e.g., steel frames,
· Zone the production locations and storage of hazardous shear walls). Building weight must be concentrated in the
and toxic materials at safer sites. lower stories.
· Identify parcels that were once landfill sites or were · Building shapes are an important consideration. While
reclaimed from the sea and minimize development cantilevering and complex building massing should be
potential on them. And, avoided, stepped building profiles appear to work well
· Use set-backs to minimize pounding between adjacent (Smith, 1996).
buildings. · Building materials are critical and need to be both high-
quality and fire-resistant. "Strong, flexible and ductile
Infrastructure investment is another planning tool that can be
materials are preferred to those which are weak, stiff and
effectively used to guide settlement patterns away from areas of
brittle" (Smith, 1996: 139). Zebrowski (1997) argues for the
high seismic risk. Investment in highways, roads, bridges, public
use of prestressed concrete columns or walls in areas subject
transportation, sewers and water supply represent tangible
to seismic stress when better but more expensive
expressions of how an urban government desires future
alternatives are not feasible. Since property developers
development to be expressed across the urban landscape.
can save money by compromising the quality of the
Government ownership of land in the urbanized areas of Turkey
concrete used in construction, this possibility needs to be
is extensive and can conceivably be used to effectively phase long-
carefully monitored in the application of the building code
term infrastructure investment.
across time (rather than in a single inspection).
Another important implementing tool of an urban plan is the
· The type and reinforcement of building frames can also
building code. The building code establishes structural and utility
be critical (e.g., wood frames for buildings up to four
standards for the construction of homes, and commercial, industrial
stories, the prohibition of brick in a load-bearing function,
and institutional facilities (ASCE, 1986). Building codes in
prevention of soft stories on the ground level, the anchoring
earthquake-prone areas need to address the functionality of
of frames to the foundation). The use of building
buildings over time, rather than just at one point before occupation
reinforcements like trussing, shear walls, braced frames
(Eisner et al., 1993). More specifically, building codes can be used
and moment-resisting frames needs to be stressed (Abbott,
to specify construction details that are particularly relevant to
1996). In the Gölcük-Izmit area, many buildings where
earthquake-based hazard. As Zebrowski (1997: 55) observes, "the
brick was used in a load-bearing function had pancaked.
death toll from an earthquake has more to do with the type of
And,
building construction than with the intensity of the earthquake.
Earthquakes seldom kill people; for the most part, it is our buildings · Design restrictions also play a role in the safety of both
the building's residents and people in the building's
38 Planning for Human Settlement in Disaster Prone Areas Land Use Planning in Earthquake-prone Areas 39

proximity during an earthquake (e.g., all architectural detail strength, because of strong shaking, and behave as a fluid." During
or ornamentation like pediments or statuary should be liquefaction, soil material transforms into a fluid mass and
reinforced, and the use of large glass exterior walls should buildings can face subsidence and possible collapse. Planning
be minimized). "Architectural style can contribute to strategies specifically targeted to liquefaction potential include
disaster if features like chimneys, parapets, balconies and the following:
decorative stonework are inadequately secured" (Smith, · Prohibit high-density development (residential or
1996: 141). otherwise) in areas of clay or alluvial sediment unless the
Despite the wide array of concerns that can be addressed building foundations are embedded into the bedrock
through the building code, it is also important to recognize that (Eisner et al., 1993). Previous landfill sites and lands
the code can be circumvented by either corruption or sanctioned reclaimed from the sea represent particular hazard. Various
political pressure. There are a number of mechanisms that optimize levels of building subsidence were observed during the
the implementation of the building code. First, close observation Gölcük-Izmit site visits.
of the inspection process by local politicians is mandatory. Second, · If liquefaction areas are already developed, encourage
federal watch-dog organizations with the power to enforce local agricultural land uses requiring irrigation in adjacent areas
codes can do spot checks to monitor code implementation as well so that the local water table can be lowered. Simultaneously,
as the performance of local councils. Third, there are also economic the use of the underlying aquifers as drinking and industrial
mechanisms that can be employed. Building inspectors in water sources can also bring the water table down.
earthquake-prone areas should be extremely well-trained and Ultimately, these strategies represent a trade-off where
rewarded for their jobs. As well, property developers with good the urban planner has to weigh costs against benefits. If
construction records can be rewarded with density bonuses for the urban area is adjacent to a saltwater body, then caution
future projects. must be exercised in manipulating the water table since
The building code priorities identified above need to be this may permit the infiltration of freshwater with
addressed before a building can be considered habitable. For saltwater.
buildings that are already built, already inhabited, and are suspect, Landslides : "The severe shaking in an earthquake can cause
the urban planner still has a few instruments that can operate natural slopes to weaken and fail" (Smith, 1996: 130). Since
retroactively. Local governments can act through land acquisition landslides are more of a threat when the topography is hilly, the
or land swaps in order to deal with developed areas that are at following strategies are important:
particular risk. In an arena of last resort, a local government can · Minimize hillside development, unless the unstable slope
use its power of eminent domain (i.e., expropriation). Expropriation issue is dealt with (e.g., the building code mandates that
involves a municipality obtaining privately-owned land for foundations must be anchored to the bedrock).
community purposes and paying for it at market value as assessed
· Preserve all natural drainage courses and maintain them
by an independent land appraiser (Hodge, 1991). In other words,
in their original state. The use of engineering solutions to
if certain properties and the structures on them are at particular
hide or redirect watercourses puts hilly topography at
risk, the municipality can intervene in the private property market
risk.
and purchase those properties that need to be relegated to a less-
intensive land use. · In all cases, there must be an attempt to recognize the
importance of topography "Significant [wave]
Liquefaction : Smith (1996, 129) states that liquefaction is "the amplifications occur in steep topography, especially on
process by which water-saturated sediments can temporarily lose ridge crests" (Smith, 1996: 129). Although grading should
40 Planning for Human Settlement in Disaster Prone Areas Land Use Planning in Earthquake-prone Areas 41

be minimized, if sloped areas are to be developed, then both during and after the ground-shaking. Second, open
blend cut and fill slopes with the existing topography by space can slow the progress of emerging fires. Third, open
using contour grading (Eisner et al., 1993). space functions best when it is part of a system or network
Flooding : The flooding implications of earthquakes can result because the open space can then be used as an escape
from a variety of secondary effects, including tsunamies, seiches, route if evasive movement across terrain is necessitated.
the courses of rivers and streams being altered, groundwater Fourth, visual access to open space is psychologically
being discharged out of its reservoirs, shorelines falling due to important during the anxiety of ground-shaking. Finally,
fracturing, and the failure of dams during seismic stress. Anecdotal open space systems are optimized when they are
observations in the Gölcük-Izmit area include those of a seiche at networked to water bodies (e.g., streams, rivers, lakes or
least seven meters in height being experienced immediately after seas) since this improves their effectiveness in offering
the earthquake (McGrory, 1999). The Gölcük shoreline escape from aggressive fires and has the added benefit of
demonstrated extensive displacement and flooding. In fact, during increasing their contribution to urban biodiversity.
October, 1999, the city's waterfront continued to remain submerged · Accessibility for emergency fire-fighting vehicles and
under meters of water. Planning strategies for flooding include equipment is also a major concern at the site-level. As
the following: well, toxic flammables need to be stored in low-risk areas.
· Urban run-off systems need to be designed for the hundred-
year storm or flood (e.g., design curbs, gutters and culverts CONCLUDING REMARKS
to carry elevated levels of run-off). Debris basins can be For other urban areas in Turkey that face similar levels of
constructed in valley floors and along water courses (Eisner seismic risk, the Gölcük-Izmit earthquake represents a window
et al., 1993). into the sort of catastrophic damage that may occur again unless
· If underwater or marine faults are an issue (e.g., in the Sea settlement patterns become planned, and existing and improved
of Marmara), then development in low-lying coastal areas building codes are rigidly applied. Many opportunities for
needs to be either prohibited or minimized. Even though improving the performance of Turkish buildings during and after
waterfront development can represent highest and best an earthquake exist and need to be optimized. During periods of
use, low-lying coastal areas need to be developed according low seismic activity, stringent planning and building code
to flood plain management and the reach of the 100-year requirements may appear to be excessive and are infrequently
flood. palatable in political terms. Consequently, the challenge is to
maintain the political motivation to ensure best practices in land
Fire : Fire is an on-going threat during the aftermath of an
use planning and in building construction consistently across
earthquake. Following the Gölcük-Izmit earthquake, the largest
time. For governments to remain credible in earthquake-prone
petroleum refinery in Turkey (owned by Tüpras) ignited. At the
areas, tenable settlement patterns plus building code evolution
site level, gas lines can rupture and burn. Fire safety has a number
and implementation must recognize seismic hazard.
of planning-related protocols:
· Open space and open space system planning is a priority THE LACK OF FRESH WATER: MAIN DISTRESS DURING A
for minimizing fire-related hazard. Many cities throughout DISASTER
Turkey, including the Gölcük-Izmit area, have been
Access to fresh water has allowed us to settle down, reproduce
developed at high density and with minimal dedicated
and secure both our survival and health. Along these lines, the
parkland. Provision for open space serves a number of
use of fresh water has been linked, among other things, to food
functions. First, open space provides a place for retreat
42 Planning for Human Settlement in Disaster Prone Areas Land Use Planning in Earthquake-prone Areas 43

production and electric power generation. But in terms of water’s availability of water, for example, contributes to a number of
daily use by men, women, children and elders, i.e. having access critical tasks, including rescue work and extinguishing fires after
to fresh water in order to meet the basic needs of personal hygiene, an earthquake. In a similar manner, fresh water helps guarantee
food and drinking water, deprivation of both the quality and that adequate health care will be provided. Having fresh water
quantity of fresh water puts our health and quality of life at risk. also protects the health of the population at large, and contributes
A number of countries and cooperating bodies, citing the to the reactivation of different productive and commercial activities.
above essential uses of water, have for decades been working on Despite its importance, water infrastructure frequently shows
related issues in order to secure the provision of drinking water the same weaknesses faced by the rest of the infrastructure. As
in sufficient quantities for the world population at large. This a result, water infrastructure is also exposed to the occurrence of
procurement is a decisive element for people to be able to achieve disasters such as floods, hurricanes, earthquakes or volcanic
their full development. eruptions, among others.
Taking into consideration that water production for human After the occurrence of a disaster, damage to the physical
consumption is based on the availability of fresh water in the infrastructure of water provision systems has posed a recurring
environment, efforts have been devoted to work on the protection risk which occasionally has led to a lack of water provision for
of basins and natural water sources from degradation and weeks and even months. For example, during the crisis caused
pollution. The increase in desertification processes in some regions by Hurricane Mitch, 75% of the population of Honduras (some
of theplanet makes evident that there is still much more to do in 4,5 million people) was either deprived of water or, at the very
this field, particularly because this phenomenon is not only about least, had difficulties accessing water and sanitary services. It has
the lack of water, but also about the total destruction of the been also noted that that, as a consequence of this damage, the
environment and its ecosystems. water sector there declined to a level achieved three decades
Having enough fresh water during normal times is very before, in terms of the work done and progress made to achieve
important for the lives, health and de velopment of peoples. One universal coverage of such services. Three decades of efforts were
cannot stress enough how essential fresh water can be during lost in one week, and it will take years to reach the levels achieved
extreme events such as social conflicts and disaster situations. before Hurricane Mitch.
Although the impact of water-related threats such as floods, Though some have proposed that it may be possible to plan
hurricanes and droughts must be recognized as the main cause and improvise water distribution among the population for an
of disaster situations, particularly over the last few years – due extended period of time during disaster situations (e.g. using
to ongoing environmental degradation and the lack of inclusion tankers), this represents a logistical challenge and the utilization
of these phenomena in planning and decision-making processes of resources that our countries would hardly be able to allocate.
related to land planning and human settlements- it is also necessary In general, it has been clear that not even large cities have the
to highlight throughout this year (2003), designated as the logistical resources needed for water distribution during an
“International Year of Freshwater”, that securing water provision emergency (tankers, reservoirs, etc.), while water systems directly
for human consumption during disaster situations represents a affected by a disaster are restored.
critical issue when addressing emergencies and guaranteeing that The paradigm of too much water, too little water…main cause
affected communities will return to normal as soon as possible. of disasters may be reformulated when referring to the availability
The availability of water in adequate quantities and quality of water during a disaster. This, if because the lack of fresh water
after the occurrence of a disaster is then an essential issue, especially may also pose a threat to the population who has not been directly
after addressing the needs of search and rescue missions. The affected by a disaster. If they lack this basic service, they will
44 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 45

become victims as well. The most economic and feasible way of


securing water provision during disaster situations is to locate,
design and build infrastructure, taking into consideration the
presence of natural threats as conditional factors and assessing the
potential impact of these hazards. In a similar manner,
infrastructure related to water provision must also incorporate
mitigation measures for guaranteeing that these systems will work 4
in said conditions while allowing institutions to address
emergencies with all the available resources.
SUSTAINABLE HUMAN
One critical situation that must be taken into consideration is
the fact that both technicians and decision makers in charge of SETTLEMENTS
infrastructure planning will not always be able to locate this
infrastructure outside of disaster prone areas. This may happen
because populations receiving these services are sometimes settled DISASTER PREVENTION, MITIGATION AND
in areas of risk themselves, which represents the “original sin” of PREPAREDNESS, AND POST-DISASTER
any attempt to reduce vulnerability. In fact, on occasion, local REHABILITATION CAPABILITIES
authorities “legalize” human settlements located in risk zones by
The impact on people and human settlements of natural and
delivering basic services to these areas.
human-made disasters is becoming greater. Disasters are frequently
Local authorities should instead use the provision and delivery caused by vulnerabilities created by human actions, such as
of these services as a planning tool that will allow them to define uncontrolled or inadequately planned human settlements, lack of
safe areas for population settlement. While an integral approach basic infrastructure and the occupation of disaster-prone areas.
for risk management at the local level is sought, authorities should Armed conflicts also have consequences that affect human
recognize that some independent sector advances might be made settlements and the country as a whole. Accordingly, both disasters
with regard to the tasks of reducing the vulnerability of both and armed conflicts call for specific involvement and rehabilitation
communities and infrastructure, which will lead to the synergy and reconstruction processes that may necessitate international
needed. In this manner, and taking into consideration the involvement, at the request of the Government of the country
importance of fresh water infrastructure when addressing both concerned. The impact of such disasters and emergencies is
emergency situations caused by a disaster and the recovery phase especially severe in countries where prevention, preparedness,
afterwards, local authorities should include this issue in all their mitigation and response capacities are ineffective in dealing with
initiatives and promote it, so that they also address issues related such situations.
to reducing the vulnerability of their infrastructure and securing
The most efficient and effective disaster preparedness systems
water provision for the affected population, who would then be
and capabilities for post-disaster response are usually provided
able to give more support to authorities in times of a disaster.
through volunteer contributions and local authority actions at the
neighbourhood level. These can operate independently,
irrespective of reduced, damaged or destroyed infrastructure or
capacity elsewhere. Specific actions are also required at the
appropriate levels of government, including local authorities, in
partnership with the private sector and in close coordination with
46 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 47

all community groups, to put into place disaster preparedness (e) Devise programmes to facilitate, where possible, voluntary
and response capacities that are coordinated in their planning but relocation and access by all people to areas that are less
flexible in their implementation. disaster-prone;
The reduction of vulnerability, as well as the capacity to (f) Develop training programmes on disaster-resistant
respond, to disasters is directly related to the degree of construction methods for designers, contractors and
decentralized access to information, communication and decision- builders. Some programmes should be directed particularly
making and the control of resources. towards small enterprises, which build the great majority
National and international cooperation networks can facilitate of housing and other small buildings in the developing
rapid access to specialist expertise, which can help to build countries;
capacities for disaster reduction, to provide early warning of (g) Take measures to upgrade, where necessary, the resistance
impending disasters and to mitigate their effects. Women and of important infrastructure, lifelines and critical facilities,
children are the most affected in situations of disaster, and their in particular where damage can cause secondary disasters
needs should be considered at all stages of disaster management. and/or constrain emergency relief operations.
Women's active involvement in disaster planning and management Consideration should be given by all Governments and
should be encouraged. international organizations that have expertise in the field of clean-
up and disposal of radioactive contaminants to providing
ACTIONS appropriate assistance as may be requested for remedial purposes
In improving natural and human-made disaster prevention, in adversely affected areas.
preparedness, mitigation and response, Governments at the With respect to the mitigation of disasters, Governments at
appropriate levels, including local authorities, and in close the appropriate levels, including local authorities, in partnership
consultation and cooperation with such entities as insurance with all interested parties, should, as appropriate:
companies, non-governmental organizations, community-based
(a) Establish a comprehensive information system that
organizations, organized communities, and the academic, health
identifies and assesses the risks involved in disaster-prone
and scientific community, should:
areas and integrate it into human settlements planning
(a) Develop, adopt and enforce appropriate norms and by- and design;
laws for land-use, building and planning standards that
(b) Promote and support low-cost, attainable solutions and
are based on professionally established hazard and
innovative approaches to addressing critical risks of
vulnerability assessments;
vulnerable communities through, inter alia, risk-mapping
(b) Ensure the participation in disaster planning and and community-focused vulnerability reduction
management of all interested parties, including women, programmes;
children, the elderly and people with disabilities, in
(c) Encourage, promote and support low-cost, attainable
recognition of their particular vulnerability to human-
solutions, innovative approaches and appropriate building
made and natural disasters;
standards to address critical risks of valuable communities,
(c) Encourage continued mobilization of domestic and through, inter alia, risk-mapping and community-focused
international resources for disaster reduction activities; vulnerability reduction programmes;
(d) Promote and disseminate information on disaster-resistant (d) Introduce a clear delineation of the roles and responsibilities
construction methods and technologies for buildings and of, and communication channels among, the various key
public works in general;
48 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 49

functions and actors in pre-event disaster management, the appropriate levels, including local authorities, in partnership
mitigation and preparedness activities, such as hazard with all interested parties, should:
and risk assessment, monitoring, prediction, prevention, (a) Establish or strengthen disaster preparedness and response
relief, resettlement and emergency response; systems that clearly define the roles and responsibilities
(e) Promote and encourage all parts of society to participate of, and communication channels between, the various
in disaster preparedness planning in such areas as water functions and actors in disaster preparedness, and in post-
and food storage, fuel and first-aid, and in disaster event disaster management, including emergency
prevention through activities that build a culture of safety; management, relief and rehabilitation;
(f) Strengthen and/or develop global, regional, national and (b) Devise exercises to test emergency response and relief
local early-warning systems to alert populations to plans, promote research on the technical, social and
impending disasters. economic aspects of post-disaster reconstruction and adopt
In order to prevent technological and industrial disasters, effective strategies and guidelines for post-disaster
Governments at the appropriate levels, including local authorities, reconstruction;
as appropriate, should: (c) Establish reliable communications, and response and
(a) Pursue the objectives of preventing major technological decision-making capabilities at the national, local and
accidents and limiting their consequences through, inter community levels;
alia, land-use policies and the promotion of safe technology; (d) Establish contingency plans, management and assistance
(b) Take the necessary measures to control the siting of new systems, and arrangements for rehabilitation,
developments surrounding dangerous industrial activities reconstruction and resettlement;
that may be liable to increase the risk of the effects of a (e) Strengthen scientific and engineering capacities for damage
major accident through appropriate consultation assessment and monitoring and for special rehabilitation
procedures to facilitate the implementation of the policies and reconstruction techniques;
established under subparagraph (a) above; (f) Support all relevant interested parties in carrying out relief,
(c) Introduce a clear definition of roles and responsibilities rehabilitation and reconstruction activities;
and of communication channels between the various key (g) Identify and support approaches to cope with the urgent
functions of disaster preparedness and prevention, shelter requirements of returnees and internally displaced
including assessment, monitoring, prediction, prevention, persons, including as appropriate, the construction of
relief, resettlement and emergency response; temporary housing with basic facilities, taking into account
(d) Promote and encourage broad-based participation in gender-specific needs;
disaster preparedness activities by giving to the population (h) Identify approaches to minimize interruption to attendance
living in the vicinity of a dangerous activity adequate and in schools;
regular information on the potential hazards; (i) Support work for immediate removal of anti-personnel
(e) Strengthen and/or develop global, regional and local early- land-mines following the cessation of armed conflict;
warning systems to alert populations in case of a major (j) Ensure that the particular needs of women, children,
technological accident. persons with disabilities and vulnerable groups are
In preparing for and implementing post-disaster relief, considered in all communications, rescue efforts, relocation,
rehabilitation, reconstruction, and resettlement, Governments at rehabilitation and reconstruction;
50 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 51

(k) Promote a cultural dimension in post-disaster rehabilitation ACTIONS


processes; To promote the sustainable development of rural settlements
(l) Recognize, support and facilitate the role of the and to reduce rural-to-urban migration, Governments at the
International Federation of Red Cross and Red Crescent appropriate levels, including local authorities, should:
Societies and their member national societies in disaster (a) Promote the active participation of all interested parties,
prevention, preparedness, mitigation and response at the including those in isolated and remote communities, in
local, national and international levels; ensuring the integrated consideration of the environmental,
(m) Encourage the International Committee of the Red Cross social and economic objectives of rural development efforts;
to take action in periods of armed conflict in order to (b) Take appropriate measures to improve the living and
reduce the suffering of the victims of conflicts and displaced working conditions in regional urban centres, small towns
persons. and rural service centres;
(c) Foster a sustainable and diversified agricultural system in
BALANCED DEVELOPMENT OF SETTLEMENTS IN RURAL
order to have vibrant rural communities;
REGIONS
(d) Provide infrastructure, services and incentives for
Urban and rural areas are interdependent economically,
investment in rural areas;
socially and environmentally. At the turn of the century, a
substantial proportion of the world's population will continue to (e) Promote education and training in rural areas to facilitate
live in rural settlements, particularly in developing countries. In employment and the use of appropriate technology.
order to achieve a more sustainable future for the Earth, these To promote the utilization of new and improved technologies
rural settlements need to be valued and supported. and appropriate traditional practices in rural settlements
Insufficient infrastructure and services, lack of environmentally development, Governments at the appropriate levels, including
sound technology, and pollution resulting from the adverse impacts local authorities, in cooperation with the private sector, should:
of unsustainable industrialization and urbanization contribute (a) Improve access to information on agricultural production,
significantly to the degradation of the rural environment. marketing and pricing in rural and remote areas by using,
Additionally, the lack of employment opportunities in rural areas inter alia, advanced and accessible communication
increases rural-to-urban migration and results in a loss of human technologies;
capacity in rural communities. Policies and programmes for the (b) In cooperation with farmers' organizations, women's
sustainable development of rural areas that integrate rural regions groups and other interested parties, promote research and
into the national economy require strong local and national the dissemination of research findings in traditional, new
institutions for the planning and management of human and improved technologies for, inter alia, agriculture,
settlements that place emphasis on rural-urban linkages and treat aquaculture, forestry and agro-forestry.
villages and cities as two ends of a human settlements continuum. In establishing policies for sustainable regional development
In many countries, rural populations, including indigenous and management, Governments at the appropriate levels, including
people, play an important role in ensuring food security and in local authorities, should:
sustaining the social and ecological balance over large tracts of (a) Promote education and training programmes and establish
land and thus contribute significantly to the task of protecting procedures for the full participation of rural and indigenous
biodiversity and fragile ecosystems and to the sustainable use of people in the setting of priorities for balanced and
biological resources. ecologically viable regional development;
52 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 53

(b) Make full use of geographic information systems and An integrated approach is required to promote balanced and
environmental assessment methods for the preparation of mutually supportive urban-rural development. To achieve this
environmentally sound regional development policies; objective, Governments at the appropriate levels, including local
(c) Implement regional and rural development plans and authorities, with the support of the relevant international and
programmes based on needs and economic viability; regional institutions, should:
(a) Provide an appropriate legal, fiscal and organizational
(d) Establish an efficient and transparent system for the
framework that is suitable for strengthening the networks
allocation of resources to rural areas based on people's
of small and medium-sized settlements in rural areas;
needs.
(b) Facilitate the development of an efficient communication
To strengthen sustainable development and employment and distribution infrastructure for the exchange of
opportunities in impoverished rural areas, Governments at the information, labour, goods, services and capital between
appropriate levels, including local authorities, should: urban and rural areas;
(a) Stimulate rural development by enhancing employment (c) Promote broad cooperation among local communities to
opportunities, providing educational and health facilities find integrated solutions for land-use, transport and
and services, improving housing, strengthening technical environmental problems in an urban-rural context;
infrastructure and encouraging rural enterprises and (d) Pursue a participatory approach to balanced and mutually
sustainable agriculture; supportive urban-rural development, based on a
(b) Establish priorities for regional infrastructure investments continuous dialogue among the interested parties involved
based on opportunities for economic return, social equity in urban-rural development.
and environmental quality;
(c) Encourage the private sector to develop and strengthen TRAINING MODULE ON PLANNING FOR DISASTER
contract-based wholesale markets and marketing PREPAREDNESS AND MITIGATION
intermediaries for rural products so as to improve and/ A disaster is any event, natural or man made, which threatens
or establish a cash-flow and futures contract economy in human lives, damages private and public property and
rural areas; infrastructure, and disrupts social and economic life. Disasters
can be classified by nature, timing, predictability, response time
(d) Promote equitable and efficient access to markets as well
and type of impact.
as, where appropriate, pricing and payment systems for
rural products, especially of food items consumed in urban Table 1 Disasters according to timing and predictability
areas; SLOW QUICK
(e) Promote products from rural areas in urban markets and Predictable Unpredictable/Sudden
rural service centres by improving access to market Drought Cyclone Earthquake
information and distribution centres and networks; Famine Flood Landslide
(f) Reduce significantly or eliminate environmentally harmful Food shortage Typhoon Avalanche
subsidies and other programmes, such as those that Table 2 Disasters according to response time
stimulate the excessive use of pesticides and chemical
Long response Short response No response time
fertilizers, and price control or subsidy systems that time time
perpetuate unsustainable practices and production systems Drought Famine Cyclone Floods Earthquake
in rural and agricultural economies. Landslide
54 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 55

Table 3 Disasters according to impact management covers all aspects of preventive and protective
measures, preparedness, rescue, relief and rehabilitation
Affect all aspects Loss of life Affect Threaten only
of life and damage livelihood and lives operations. It has three phases:
to physical cause
infrastructure environmental IMPACT PHASE: THIS HAS THREE STAGES
degradation Pre-impact/response
Cyclone/Tornado Earthquake Drought/Forest Famine/Epidemic
Flood Fire • Forecast
Landslide • Early warning
Table 4 Impact of disasters on different sections of rural • Preparedness
people • Tracking/monitoring approach of disaster
Effect Impact on different sections of rural • Alertness/evacuation.
people Impact
Medium and big Small and marginal
farmers/traders farmers, artisans, • Close monitoring of impact; establishing emergency
labourers communication; deploying rescue teams; medical support
Loss of human Low as they have High as they have and other life-saving activities. Supply/air dropping of
and animal means for very little or even food, drinking water and essential items.
lives protection no means for
protection
Post-impact
Loss of High Low • Medical care
property and • Food, clothing and shelter for rescued people
economic • Estimating loss of life and property
assets
• Disposal of bodies/animal carcasses, prevention of
Loss of means Low High
epidemics
of livelihood
Recovery Short Long • Repair and restoration of essential services/infrastructure.
period
RELIEF AND REHABILITATION PHASE
Table 5 Natural disasters in India • Temporary shelter/drinking water/food/clothing/
Type of Vulnerable area in sq Population in minimum household utility goods for victims
hazard km million • Repair of roads, electricity and communication networks
1. Cyclone 180 000 110 • Salvaging damage to agriculture/distribution of seeds,
2. Flood 400 000 260 fertilizer, etc.
3. Drought 915 000 72.25
• Restoration of health/educational facilities or temporary
4. Earthquake 1 760 000 375
alternative arrangements
DISASTER MANAGEMENT • Distribution of ex-gratia relief for those killed and
Natural disasters cannot be prevented, but their impact on compensation for the losses
people's lives can be reduced to a considerable extent. Disaster • Building durable houses for victims.
56 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 57

LONG-TERM MITIGATION AND PREPAREDNESS PHASE • Medical and sanitation facilities at relief camps
This is a crucial period and devoted to long-term development • Disconnecting power lines during high winds/gales;
of disaster prone areas to minimize the impact of the hazard and storing foodgrain, drinking water, etc.
prepare the people as well as all supporting systems in the area
Block/Mandal Panchayat
to face future disasters.
• Supervise preparedness of Gram Panchayats (GP)
Long-term Planning for Preventive Measures • Consolidate village-level information on items listed under
• Soil conservation/afforestation in river catchments GP
• Planting shelter belts/mangroves in coastal areas • Assessing preparedness of: primary health centres/
• New cropping patterns to minimize crop loss evacuation arrangements, etc.
• Prevent human settlements in low-lying areas, relocate • Engineering staff at the Block/Mandal level should repair
settlements to safer places. drainage/canal/roads, etc.
• Contact ex-army/security forces personal/volunteers to
Long-term Protective Measures organize task force for assistance
• Safe construction for houses/strict implementation of safety • Procure and keep ready rescue material, including boats
codes
• Function as link between district and village-level counter-
• Hazard-proof roads, bridges, canals, water reservoirs, disaster activities.
power transmission lines, etc.
• Flood-protection measures Zilla Panchaya or District Level
• Improvement of warning systems • The District Collector/CEO should convene a meeting of
• Organizing people for counter-disaster activities. all District Heads of sectoral departments and ZP members
before the start of likely cyclone periods (May to June &
ROLE OF PANCHAYATI RAJ BODIES IN LOCAL DISASTER MANAGEMENT Oct. to Nov.)
While the government has the duty to help people in distress, • All concerned departments to take up necessary repair
the latter have a greater responsibility to help the government and maintenance and related works for preparedness
help them to cope with disasters. Panchayati Raj bodies are the • Organize 'Task Forces' at district, block and village levels
most appropriate local institutions for involving people in natural • Identify NGOs useful in providing assistance during
disaster preparedness. Panchayati Raj bodies have a role to play disasters
in all phases of disaster management. Panchayat role during first
• Check inventories of items required at short notice for
phase of natural disaster management
rescue and relief operations
Gram Panchayat or Village Level • At first warning, call meeting of Crisis Management Group
• Convene meetings to ensure timely warning (CMG) and alert blocks/villages
• Update information on civic amenities/population, etc. • All CMG members should be asked to keep their personnel
in full preparedness
• Select safe locations for people and livestock
• District Collector should be CMG Leader and establish a
• Arrangements to evacuate the elderly, the disabled,
control room managed by senior officers round the clock
children and women
during the crisis.
58 Planning for Human Settlement in Disaster Prone Areas Sustainable Human Settlements 59

PANCHAYAT ROLE IN RESCUE AND RELIEF BEFORE AND DURING Zilla Panchayat or District Level
NATURAL DISASTER IMPACT • Monitor situation, identify blocks and villages most likely
Gram Panchayat or Village Level to be affected and issue warnings
• Activate control room and keep a full watch on the situation
• Set up temporary shelters/relief camps after
initial warning/store food and water for people/ • Arrange emergency communication with the help of police
livestock wireless/ham radio, etc.
• Put CMG on the job of assisting block and village
• Evacuation of people and livestock should start
Panchayats with counter-disaster steps
immediately after final warning
• Arrange transport for evacuation of people and livestock
• Keep rescue volunteers and task forces ready
• Arrange for temporary shelters/relief camps
• District/block medical/relief teams may be asked take
• Seek assistance of the armed forces if necessary
position at strategic points and coordinate with village
volunteers/task forces • Monitor rescue and relief operations at village and block
levels
• Organize veterinary aid teams for taking care of livestock
• Assist lower panchayats in mobilizing task forces/
and removal of carcasses
volunteers/NGOs for rescue and relief.
• Disposal of dead bodies and measures to prevent likely
epidemics PANCHAYAT ROLE IN RECONSTRUCTION AND LONG-TERM MITIGATION
• Assessing loss of life, livestock and damage to farming, PLANNING
property, etc. Gram Panchayat or Village Level
Block/Mandal Panchayat • Assist in identifying victims for compensation, and then
in its distribution
• Identify vulnerable areas and send task forces/volunteers
• Formulate reconstruction plans for houses, community
to supervise safety measures
buildings, roads, etc. within GP jurisdiction with the
• Evacuate people from these areas and help GPs in assistance of technical departments at block and district
organizing relief camps levels
• Arrange for emergency communication through police • Enforce minimum specifications for safe construction
wireless/ham radio, etc. • Help district and block level organizations in arranging
• Arrange supply of food and other items to relief camps awareness camps for management and mitigation of
in adequate quantities disasters and ensure participation of the villagers
• Supervise rescue and relief activities with district-level • Organize village-level task force/volunteers and train them
officers in counter-disaster measures
• Inform CMG in case help needed from police and defence • Assist in supervising and monitoring reconstruction and
forces development projects
• Assist armed forces in rescue and relief operations • Encourage local people to insure assets/livestock, which
should be mandatory for those who can afford. Seek
• Supervise rescue and relief and coordinate with various
government help for those who are too poor to afford
agencies including NGOs.
insurance.
60 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 61

Block/Mandal Panchayat
• Assist in rehabilitation, repair and reconstruction
• Assist gram panchayats in identifying victims for payment
of compensation and in its distribution
• Prepare village and block-level mitigation plans;
consolidate/integrate these with the block plan 5
• Enforce minimum safety specifications for construction
• Assist in long-term mitigation planning and its integration
with block/district development plans
NATURAL DISASTER RECOVERY
• Supervise and monitor reconstruction and long-term PLANNING
mitigation projects implemented by GPs and Block
Panchayats.
That aspect is post-disaster recovery planning, which is
Zilla Panchayat or District Level considered to be a critical element that is seriously delaying the
• Planning and implementation of rehabilitation, repair and actual recovery reconstruction in many affected countries, at the
reconstruction regional, district and local levels of development planning. Because
• Compensation for loss of life, property, etc. planning ideally is at the front end of the development process,
it is a necessary precursor activity, often behind the scene or off-
• Hazard and vulnerability mapping
stage as it were, giving the impression that not much is happening.
• Anti-disaster measures to be integrated in all development
Hence this increasingly long interregnum is frustrating for all
projects
and politically destabilising. The victims rightly want action and
• Special funding to use disaster-resistant construction a sense that generously donated aid resources are being utilised
technologies in vulnerable areas quickly for their benefit. Aid donors begin to query the competence
• Supervision of all construction and developmental and efficiency of recovery programmes.
activities.
The normally fragile national economy, as well as the impacted
communities, suffer unduly from the secondary post-disaster
tragedy. In the case of the Indian Ocean tsunami, the coming
monsoon season will compound the disaster.
Because the magnitude of the 2004 tsunami is unprecedented
in modern times, it severely tested national and international
disaster management preparedness and will yield valuable lessons
for all kinds of future natural disaster recovery. However, no less
severe was the more localised impact of Hurricane Ivan in Grenada
and Cyclone Heta in Nuie, South Pacific Ocean in 2004. The
increasing unpredictability, severity and frequency of natural
disasters in the past decade due partly, if not mainly, to climate
change caused by global warming highlight the urgent need for
62 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 63

better preparedness to major events, even in countries with little Programme of Action. The BpoA was revisited in January 2005
previous exposure to such vulnerability, such as Sri Lanka. at the Mauritius International Meeting. A major concern was
The paper addresses disaster recovery planning issues in the raised that whilst they have made progress in implementing the
context of Small Island Developing States and in particular the programme of action for sustainable development in their
Barbados Programme of Action for more sustainable development. respective island states, efforts have fallen short of expectations.
Reference is made to recent international publications on disaster However, it was recognized that “the BPoA is currently being
reduction and risk management and identifies a significant gap implemented in a very different global environment from that
in the land use/built environment planning aspect of recovery, prevailing at the time of its adoption in 1994. In this regard, they
which needs to be included in Disaster Management Plans. It then expressed concern that the social, economic and environmental
suggests that a different approach to traditional land use planning vulnerabilities of SIDS have increased since the adoption of the
is essential in disaster recovery – rapid action planning. This BpoA.”
approach is also relevant to man-made disasters, although such The meeting leaders also “expressed concern at the increasing
tragedies are less amenable to international assistance and incidence and magnitude of natural disasters, such as the December
cooperation. There is not the luxury of carefully crafted strategic 26, 2004 earthquake and tsunami, and the 2004 hurricane season
and local area plans in the face of emergency rebuilding of homes, in the Caribbean, and their devastating effect on the communities
livelihoods and communities. Successful post warfare of SIDS. They called for the international community to support
reconstruction efforts and rebuilding of numerous places after appropriate initiatives and mechanisms for strengthening national
major earthquakes need to be revisited in the context of and regional capabilities for natural disaster prediction, prevention,
environmentally sustainable redevelopment to learn valuable and mitigation, as well as postdisaster reconstruction and
lessons form these experiences. rehabilitation.”
Panel One discussions on the environmental vulnerabilities
BARBADOS PROGRAMME OF ACTION
of small island developing States noted that “the vulnerability of
The Barbados Programme of Action (BpoA) for more small island developing States is not just an environmental issue
sustainable development in Small Island Developing States (SIDS) but has immense social and economic implications, as exemplified
noted their vulnerability to natural and environmental disasters, by the devastating consequences of many natural disasters that
the scarce land resources, ecological and economic fragility, limited have occurred in the developing world, including the latest tsunami
fresh water and coastal management pressures. It also noted their in East Asia. By the same token, the threat of climate change is
potential strengths in human resources, cultural heritage and not only geophysical but also poses grave risks to the social and
natural assets. economic viability of small island developing States.”
The Declaration urged international cooperation with SIDS to “Adaptation to environmental vulnerability and climate
achieve sustainable development and a higher quality of life. For change is vital but will force difficult choices and trade-offs in
human requirements to be met in a sustainable manner, competing policy-making, involving, for example, further intensive coastal
demands for the use of land resources must be resolved and more development or its possible limitation or restriction. In some SIDS,
effective and efficient ways of using those natural resources must there is no hinterland and the coast cannot be avoided. The choice
be developed and adopted. Currently, fifty-one small island is limited to remaining on the island/atoll or not.”
developing States and territories are included in the list used by
These extracts are included to emphasise the need to plan for
the United Nations Department of Economic and Social Affairs
post-disaster reconstruction and rehabilitation under difficult
in monitoring the progress in the implementation of the Barbados
circumstances with few options. The full relevant text of the
64 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 65

meeting is attached at Annex A. It includes a message to Panel management and mitigation needs to be introduced as an integral
One from the President of Maldives, Maumoon Abdul Gayoom. part of any on-going development and poverty reduction plans,
He lamented that “the tsunami waves receded within hours. to promote a 'culture of prevention'. Integration will reduce
However, the waves and flooding from sea-level rise triggered by piecemeal efforts that are not connected with the long-term
global warming will not recede. The damage then will be development strategy and not only aggravate precarious social
unspeakable and we will all become environmental refugees.” conditions creating dependency on aid, but are a critical waste of
This sobering observation leads to the consideration of current financial and human resources invested in short-sighted emergency
best practice for disaster reduction. relief and reconstruction plans.”
“The concept of sustainability evolves around three key
DISASTER REDUCTION AND RISK MANAGEMENT PRACTICE
elements; economic growth, environmental protection and social
A brief overview of three current publications on sustainable development. It means that ‘community’ is a good, safe and healthy
recovery from disasters is provided to show best practice principles place for its members, offering a solid foundation for a prosperous
and indicate an apparent gap in the planning component of life with equal opportunities for all – in line with the six established
recovery. UN Habitat Theme Paper on Sustainable relief and principles for enhancing community sustainability, as follows.
reconstruction in post-crisis situations UN Habitat published a
(a) Maintain and, if possible, enhance its residents’ quality of
Theme Paper on Sustainable relief and reconstruction in post-
life;
crisis situations. “Disasters can provide opportunities for
sustainable development. But sustainable relief and reconstruction (b) Enhance local economic vitality;
requires that rehabilitation efforts should be integrated into long- (c) Ensure social and intergenerational equity;
term development strategies. The theme of mobilizing sustainable (d) Maintain and, if possible, enhance environmental quality;
relief and reconstruction - transforming disasters into opportunities (e) Incorporate disaster resilience and mitigation;
for sustainable development - explores problems and possibilities (f) Use a consensus-building, participatory process when
including vulnerability, risk mitigation, planning and response. making decisions.”
The aim is to develop guidelines for ‘sustainable relief and
UN-HABITAT has proposed a set of specific strategies from
reconstruction’ in order to provide a framework for development-
the transitional phase recovery to medium to long-term
oriented sustainable relief and reconstruction activities.
development in order to promote peace building, poverty
“The changing nature of conflict and natural disasters is leading reduction, disaster mitigation and sustainable development of
to re-visioning of traditional approaches to relief assistance and human settlements. However the strategies outlined in the Theme
reconstruction process. Natural and human-caused emergencies Paper do not elaborate, beyond postulating a “range of mitigation
are increasing in regularity, and perhaps more importantly, their measures, for example, can be incorporated during recovery to
impacts on populations and human settlements are rising promote vulnerability reduction, such as land-use, environmental
alarmingly. This, coupled with cycles of dependency and shortage and community planning, improving building codes and
of resources, point to the need to develop innovative approaches construction regulations.” Hence the paper does not attempt to
and re-examine traditional policies on relief and reconstruction set out any planning methodologies or outputs.
assistance ... Disaster mitigation and management needs to look
beyond the hazards alone to consider prevailing conditions of EMA DISASTER RECOVERY MANUAL
vulnerability. It is the social, cultural, economic, and political The Australian Agency responsible for Disaster Recovery
setting in a country that defines the level of vulnerability, or Management - Emergency Management Australia – has published
resilience, of its people and communities to disasters ... Disaster
66 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 67

a Manual as a comprehensive guide on disaster recovery at all for modernisation of public facilities, beautification of the landscape
levels. It discusses redevelopment planning key issues in the and built environment, and even stimulation of the local economy.”
categories of: Practical considerations include the observation that “following
• sense of place and preservation of visual and historical a disaster the affected community will have needs ranging from
links with the past; housing and reconstruction of public facilities through to
• the capacity for disaster-affected communities to cope with restoration of business and community activities. A critical issue
change and redevelopment; is the speed which will be required for the restoration of the
community. While the opportunities for improvement and
• involvement of the community in the redevelopment
community involvement discussed previously will be significant,
process; and
these will be tempered with the requirement for early restoration
• the opportunity for disaster-affected areas to be improved and redevelopment.”
rather than just restored through the
The EMA Manual raises an important fact about circumstances
• redevelopment process. subsequent to a disaster - that “broader community processes set
“One of the inherent difficulties in ensuring community in train by a disaster are not confined to the incident itself. It
participation following a disaster is the need for rapid initiates a rolling series of impacts as repercussions are felt in
redevelopment. Conflict is likely to arise as a result of this tension different parts of the system. They continue to occur over time as
between the competing need for a rapid rebuilding process and the community goes through debonding, fusion, and
adequate community consultation in its development and differentiation. Other factors add to the disruption. Physical or
implementation. Imposing a highly centralised approach to climatic changes (such as the monsoon rains after the 2004 tsunami),
redevelopment and reconstruction, at the expense of community creating a quagmire in the ground devoid of vegetation while
involvement, is inappropriate and ould accentuate further the many are still living in fragile tents and cabins, provide a dramatic
dependence already engendered by the impact of the disaster.” increase in stress levels.
One of the positive aspects of the disaster recovery process Political events, like the announcement that a state of disaster
is considered to be “the potential for individuals and communities will not be declared after a fire, may seem like a callous rejection
to improve on their situation before the event, rather than merely by government. The death of a local child in a car accident soon
restoring things to the way they had been previously. In fact, the after a fire seems the start of a series of tragedies. The re-
impact of the disaster will usually mean that a return to the status organisation of a corporation following a massacre disrupts support
quo prior to the disaster is not possible; the quality of the recovery networks and adds multiple losses, through retirements, to the
process will determine whether affected individuals progress or deaths from the disaster.
regress. Nevertheless, in the redevelopment process there is likely Other repercussions are evident later. The closure of businesses
to be a strong tension between elements of the community which ruined by a disaster reduces employment in the area. The effect
see the disaster as an opportunity for renewal and those which of a disaster is initiated by the event itself but the subsequent
want to see an affected area restored exactly as it was before the changes are an integral part of the process and must be anticipated
disaster occurred.” by the recovery process. However, they may not be recognised
“It is in this context that the devastation wrought by disasters or may be ignored by the recovery system. Community
provides a unique opportunity for a community to examine a members may not realise that they are experiencing disaster
range of issues such as housing inequities, traffic problems and consequences and, in their despondency, simply submit to them
inadequate infrastructure. In addition, there may be opportunities as cruel fate.
68 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 69

A broader conception of a disaster is that it is as a series of Resilience of Nations and Communities to Disasters. It reviewed
impacts, with the physical environment as the first, followed by progress made in implementing the Yokohama Strategy for a
others with compounding problems. Safer World: Guidelines for Natural Disaster Prevention,
Community functioning falls sharply at impact and as it rises Preparedness and Mitigation and its Plan of Action (“Yokohama
in the subsequent recovery period, is met by a series of other Strategy”), adopted in 1994, which provided guidance on reducing
disaster-related repercussions, which impede recovery and reduce disaster risk and the impacts of disasters.
community functioning in each case. In each disaster the issues Another objective was to “identify specific activities aimed at
that cause such problems are different and may be hard to ensuring the implementation of relevant provisions of the
anticipate. An active recovery management network is necessary Johannesburg Plan of Implementation of the World Summit on
to identify and respond to them. If not done, the sense of Sustainable Development (WSSD 2002) on vulnerability, risk
abandonment and helplessness so destructive to recovery are assessment and disaster management.”
intensified.” The Conference resolved to adopt the following strategic goals:
This Manual is relevant to the thesis of this paper. It summarises (a) The more effective integration of disaster risk
the findings of a symposium for urban planners held in the US considerations into sustainable development policies,
in 1990, which provides a range of lessons for those involved in planning and programming at all levels, with a special
the redevelopment of communities following disaster. The lessons emphasis on disaster prevention, mitigation, preparedness
derived under the heading Urban Form and Design provide a and vulnerability reduction;
useful summary of the key issues in redevelopment and rebuilding (b) The development and strengthening of institutions,
following an earthquake disaster [but equally relevant to other mechanisms and capacities at all levels, in particular at the
major events]: community level, that can systematically contribute to
a. Cities and towns are almost never relocated; building resilience to hazards;
b. The rebuilt city is a safer city; (c) The systematic incorporation of risk reduction approaches
c. Earthquakes offer opportunities for specific urban redesign into the design and implementation of emergency
projects; preparedness, response and recovery programmes in the
d. Neighbourhood preservation can aid personal and reconstruction of affected communities.
community recovery; The outcome considerations echo the UN Habitat Theme Paper
e. Preserving historic and symbolic buildings helps retain in that “There is a need for proactive measures, bearing in mind
community identity; and that the phases of relief, rehabilitation and reconstruction following
f. Design is everybody's business. a disaster are windows of opportunity for the rebuilding of
livelihoods and for the planning and reconstruction of physical
The Manual considers that best practice in recovery
and socio-economic structures, in a way that will build community
management is for the process “to improve upon the situation
resilience and reduce vulnerability to future disaster risks.”
evident before to a disaster occurring, rather than merely
attempting to return to that same situation after the event.” Priorities for action to reduce the underlying risk factors related
to changing social, economic, environmental conditions and land
The World Conference on Disaster Reduction (WCDR) held
use, and the impact of hazards associated with geological events,
in Kobe Japan on 18-22 January 2005 is the latest distillation of
weather, water, climate variability and climate change include
best practice on international strategies for disaster reduction. It
land-use planning and other technical measures to:
adopted the Framework for Action 2005-2015: Building the
70 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 71

(n) Incorporate disaster risk assessments into the urban POST-DISASTER RECOVERY PLANNING
planning and management of disasterprone human The EMA Manual stated that one of the positive aspects of
settlements, in particular highly populated areas and the disaster recovery process is considered to be “the potential for
quickly urbanizing settlements. The issues of informal or individuals and communities to improve on their situation before
non-permanent housing and the location of housing in the event, rather than merely restoring things to the way they had
high-risk areas should be addressed as priorities, including
been previously.” This principle has been taken up by the Sri
in the framework of urban poverty reduction and slum-
Lanka Task Force for Rebuilding the Nation (TAFREN). Fortunately
upgrading programmes.
a National Physical Plan, nine Provincial Plans and several Local
(o) Mainstream disaster risk considerations into planning Area Plans were in the process of being formulated prior to the
procedures for major infrastructure projects, including the disaster. All these need to be reviewed urgently. The immediate
criteria for design, approval and implementation of such government reaction was to declare a Coastal Conservation (Buffer)
projects and considerations based on social, economic and Zone 100/200 m wide, in which no rebuilding is to take place
environmental impact assessments.
(with some specified exceptions). This arbitrary limit set the
(p) Develop, upgrade and encourage the use of guidelines parameters for free replacement housing. Yet the east coast affected
and monitoring tools for the reduction of disaster risk in area extended some kilometres inland. Some 70% of the coastline
the context of land-use policy and planning. was impacted and whole towns and cities were wiped out,
(q) Incorporate disaster risk assessment into rural development displacing about 520,000 people and destroying some 106,000
planning and management, in particular with regard to houses and 20,000 fishing boats. The government is receptive to
mountain and coastal flood plain areas, including through the notion to relocate communities further inland. Many Small
the identification of land zones that are available and safe Island States have no such alternative.
for human settlement,
However, six months after the tsunami, precious little evidence
(r) Encourage the revision of existing or the development of has been seen of any large scale rebuilding by the government
new building codes, standards, rehabilitation and agencies. Most action has been undertaken by international NGOs
reconstruction practices at the national or local levels, as and external agencies such as UN Habitat and USAID, etc as
appropriate, with the aim of making them more applicable
emergency shelter, initial relief aid and livelihood assistance. The
in the local context, particularly in informal and marginal
sheer size of the task is clearly daunting. Yet even though nine
human settlements, and reinforce the capacity to
provinces have the framework of new development Plans, the 200
implement, monitor and enforce such codes, through a
or so planners in Sri Lanka were overwhelmed by the
consensus-based approach, with a view to fostering
circumstances. The planning effort appears to be top-down, rather
disaster-resistant structures.
than community-up (contrary to the principles espoused above),
The Final report noted that “Small Island Developing States partly because of the lack of planners at local level.
have undertaken to strengthen their respective national
frameworks for more effective disaster management and are However, the seemingly slow progress will accelerate and in
committed, with the necessary support of the international this case there is no shortage of donated aid funds. The Planning
community, to improve national disaster mitigation, preparedness Institute of Australia has become actively involved since a
and early-warning capacity, increase public awareness about workshop in March 2005 and has received a letter from the planning
disaster reduction, stimulate interdisciplinary and inter-sectoral minister requesting assistance, endorsed by TAFREN. But that
partnerships, mainstream risk management into their national has taken 4 months just to get to the starting gate for action. The
planning process.” identified planning projects will take several more months to
72 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 73

organise and resource! To be fair, the tsunami was a major Such scenarios would try to anticipate the degrees of threats
unprecedented event in recent Sri Lankan history. Tropical and opportunities caused or created by the various disasters and
hurricanes are almost normal and expected hazards, with a history the consequential response, so as to bring a focus on the extent
of fast response management. It is axiomatic that while the planning of redevelopment at national, regional and local scales. It goes
function is an essential component of disaster recovery, it should beyond strictly spatial aspects of landuse to include the whole
assist reconstruction and not obstruct it. To that end, there must triple bottom line assessment.
be a better and faster way to initiate disaster recovery planning Each scenario would predicate a differing scale of re-
action! development planning. In the example of the 2004 tsunami in Sri
Lanka and Banda Aceh as an intensity scale No 5, wholesale
RAPID ACTION PLANNING
relocation and reconstruction of vulnerable communities would
Rapid action planning would have the dual characteristics of: be triggered. To some extent this has happened in Sri Lanka
• a pre-disaster range of anticipated scenarios, based on a because various levels of national, regional and local area plans
“visioning” type participatory planning framework; and were in preparation prior to the tsunami event. It was a freak case
• a systematic approach to post-disaster recovery planning. of serendipity in action, requiring a modification of these plans,
rather than a fresh start. However the enormity of even this task
DISASTER SCENARIO FRAMEWORK has paralysed the recovery effort to move from planning to large
This “visioning” type framework would aim to “second guess” scale construction. Hence the objective of a Disaster Scenario
the potential range of impacts within a hierarchy of possible Framework would be a set of fully developed and agreed possible
outcomes. Visioning has become mainstream in strategic planning futures predetermined by appropriate responses to various (and
methodology, by answering a set of four strategic questions – perhaps multiple) scenarios to achieve sustainable development
• What is the present situation?; goals. This would provide a sound basis for strategic re-planning
– which could in fact be gradually implemented in any case – but
• What is the likely probable outcome if no corrective action
would become exogenous opportunities in the event of a disaster.
is taken?; For example in the case of a Cat. 5 Hurricane, vulnerable
• What are the desirable long term futures for the communities would be re-planned and constructed in better
community?; and locations, probably with the financial assistance of international
• What actions are necessary to achieve these futures? aid agencies. Because the scenarios are founded upon a
Clearly the scenarios relate to incidents where a significant participatory visioning framework, gender equity and community
level of re-planning, rather than simply rebuilding, is a desirable ownership is reasonably assured. Even if many lives are lost and
outcome. These outcomes would range from relatively local/ the fabric of communities are destroyed, the essence of the
minor to national/catastrophic – e.g. Cat. 1 hurricanes to aspirations of the pre-disaster community will survive to be
catastrophic tsunamis under the 'weather' category. In other implemented. This will in turn reduce the potential for social
categories, from dramatic engineering failures, to HIV/AIDS tension and conflict that develops after the initial “debonding”
depopulation, to mass transnational migration, different scenarios and “fusion” of the relief phase.
would be developed with suitable community participation. DISASTER RECOVERY PLANS
Simulation modelling and game playing could be a useful tool in
While such pre-disaster management preparedness is clearly
such scenario generation. It is reminiscent of disaster recovery in
worthwhile and is actually occurring to varying degrees in SIDS
playing the city simulator computer game “Sim City”.
around the world, it needs to be complemented by a systematic
74 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 75

approach to post-disaster recovery planning. Disaster Recovery • Build adequate shelter and community facilities if required
Plans will include components to develop and document • Obtain early feedback from affected area and fine tune
arrangements for the effective management of the recovery actions and level of response
planning process.
• Assess priorities for infrastructure replacement and
The suggested concept is to relate or link the planning actions relocation
to the most relevant Disaster Scenario, to anticipate the likely • Liaise with emergency relief teams for smooth transition
threats and the opportunities for improvement. The value of this from relief phase to recovery phase
concept is to significantly speed up the planning process by
• Monitor the physical effects of disaster impact on
matching the relevant Scale of Planning Effort to the most relevant
government, business and the community to reduce the
Disaster Scenario.
psycho-social upheaval, economic disruption and other
The actual matching of a Recovery Plan is unlikely to be a disaster-related repercussions, which impede recovery and
perfect fit, so some fine tuning would be necessary to determine
reduce community functioning
usability of pre-disaster prepared plans and required resources.
• Monitor for compounding disaster consequences and
However, this would reduce the reconstruction waiting period by
several months of wondering what to do. adjust the planning recovery process
• Implement strategies to develop fully a new vision of the
The range of planning actions would be linked to
future, accepting the disaster as a fact of history, review
methodologies, generally well established in Disaster Management
literature, such as those documents quoted in this paper. Typically replacement and integrate the re-establishment of what
these include the following activities: was lost (insofar as this is possible) and new initiatives
into a single enterprise bringing together all members of
• Disaster proof all the planning documentation and
the community.
duplicate it in secure depositories of relevant national and
even international agencies – including the land tenure • Celebrate the survival and mourn the victims by
records cadastral database appropriate means
• Appoint project coordinators and teams, request SIDS SPECIAL CIRCUMSTANCES
international assistance as necessary from pre-arranged
In relation to the special SIDS circumstances, an obvious
affiliations
limitation to this concept is the lack of planning resources, which
• Identify stakeholders and community leaders in the makes even normal strategic and development planning difficult.
particular event circumstances Apart from the small number of professional planning staff, they
• Select from the most relevant Disaster Scenario to identify are often centralised in national institutions, with limited detailed
likely opportunities for improvement local knowledge, which is essential to scenario or vision planning.
• Select from the relevant matching Scale of Planning Effort It therefore needs a strong local community involvement, facilitated
pre-disaster prepared plans to determine usability and by people trained for that task and possibly assisted by external
required resources planners. There is scope for international planning assistance
• Implement matched sets of responses and actions and programs to help local communities – possibly in systematised
program construction projects at earliest time sister or twin city partnering programs between developed and
• Mobilise aid donors for materials, equipment, personnel developing countries. This already occurs to some extent in an ad
and funding. hoc manner, but needs to be expanded on a regional scale.
76 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 77

So capacity building is a significant issue in the realisation of Sustainable development goals can be incorporated into the
this concept, which of course has other benefits for all levels of disaster recovery process so as to enhance the potential for
planning. This is also relevant to other ministries and agencies individuals and communities to improve on the situation before
with built environment planning and infrastructure functions. All the event, rather than merely restoring things to the way they had
these agencies need to integrate their efforts in incorporating been previously. The notion of rapid action planning would have
planning into disaster risk reduction and management. There the dual characteristics of a pre-disaster range of anticipated
may be a need to amend or introduce supplementary planning scenarios, based on a visioning type participatory framework; and
related legislation to facilitate fast track planning in declared a systematic approach to post-disaster recovery planning. This
disaster areas, to reduce timeframes - firstly by the early adoption framework would aim to “second guess” the potential range of
of disaster scenario plans, secondly by fast tracking development impacts within a hierarchy of possible outcomes and pre-plan for
plans and reconstruction approvals. those contingencies. This would also provide a sound basis for
As much as this paper is devoted to the planning function, strategic re-planning – which could in fact be gradually
the special vulnerability of SIDS to natural and other disasters implemented in any case – but would become exogenous
raises the need for disaster awareness and risk assessment to opportunities in the event of a disaster.
bring about the culture of disaster prevention noted above, through Such scenario planning would try to anticipate the degrees
environmentally sustainable development strategies. It also of threats and opportunities caused or created by the various
highlights the need to plan ahead for contingencies in a wide disasters, so as to bring a focus on the extent of re-development
range of disaster categories, which are associated with, or impact planning at national, regional and local scales, incorporating triple
upon community survival and development. The need to sustain bottom line assessment. The concept also aims to address one of
the livelihoods of disaster victims can be turned into positive the critical issues of disaster recovery - the time which will be
opportunities for retraining and redeployment of human resources required before commencing the restoration of the community
in the post disaster recovery phase. In the case of a major and economic output. While the issues that cause problems for
catastrophe such as the 2004 tsunami, recovery will take realistically recovery in each disaster are different and may be hard to
many years – sufficient time to train a new generation of anticipate, the rapid action planning model would incorporate
construction trades and professionals lost to the disaster. Fast disaster risk assessment into the urban planning and management
tracking of training in foreign countries is an obvious avenue of of disaster-prone human settlements and effectively mainstream
assistance by developed nations to replace an enhance institutional risk management into their national planning process, as
capacity. recommended by the 2005 World Conference on Disaster
Reduction.
CONCLUSIONS
Rapid action planning would be part of an active recovery
Post-disaster recovery planning is considered to be a critical management system that can mitigate the underlying risk factors
element that appears to be deficient in Disaster Management related to changing social, economic, environmental conditions
Manuals and Policy Papers. Poor management of the urgent land and land use. Because it is founded upon a participatory visioning
use and environmental planning can seriously delay the actual framework, gender equity and community ownership is assured.
recovery reconstruction after a disaster, leading to a cascade of Even if many lives are lost and the fabric of communities destroyed,
psycho-social upheaval, economic disruption and other disaster- the essence of the aspirations of the pre-disaster community will
related repercussions, which impede the recovery and reduce survive to be implemented. Such a system requires an extra layer
community functioning. This in turn leads to political instability of planning effort, which may be difficult to achieve in Small
and polarisation.
78 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 79

Island Developing States without external assistance. However, • formulate activities for the selected option(s);
it would make the difference between sustainable recovery and • evaluate possibilities for financing these activities; and
compounded catastrophe. It is therefore considered to be an • define an implementation strategy.
essential component of disaster management and should be
Although the operational framework was developed for
supported by the international community. One meaningful way
development aid organisations, its underlying ideas and concepts
to deliver such assistance is by twin city partnership programs.
also apply to organisations working in relief. The framework can
As change managers, land use planners have the opportunity be used within a variety of cultural and geographic contexts, and
to make a meaningful contribution to manage and integrate the it is relevant to all types of natural hazard and disaster. In addition,
various multi-disciplinary efforts involved in disaster recovery. It it offers more detailed guidance for aid organisations engaging
is a challenge that is being thrust upon all environmental in social housing and settlement development planning by
professions in an increasingly fragile world. providing sector-specific reference activities.
TACKLING URBAN VULNERABILITY: AN OPERATIONAL To validate the framework, questionnaires were distributed
FRAMEWORK FOR AID ORGANISATIONS to operational staff and programme managers in different aid
organisations, and three workshops were held (in Costa Rica, El
With increasing urbanisation, cities in the developing world
Salvador and Sweden). The workshop participants, who were
are growing both in population and area. At least a billion people
drawn from aid organisations in Africa, Asia and Latin America,
worldwide live in slums. They are forced to accept dangerous and
carried out practical exercises to apply the operational framework.
inhuman living conditions, in which any natural event is likely
They were then asked to evaluate whether the tool was
to become a disaster. Poor access to land, overcrowding and low-
comprehensible, comprehensive/complete, relevant and
quality housing – related to a complex system of socio-political,
applicable/useful. On average, the rating for all four aspects ranged
institutional and economic processes – lie at the heart of urban
between four and five (on a scale of one to five, five being the
disaster risk. Nevertheless, international aid organisations accord
best). Finally, ways to surmount potential financial, political and
low priority to both urban issues and disaster risk reduction (RR).
institutional barriers to the implementation of the tool were
While the need to integrate RR within the work of aid organisations
discussed.
is generally acknowledged, little has been done to identify how
this could be achieved. Related operational tools are urgently CLIMATE CHANGE AND DISASTER RISK IN URBAN ENVIRONMENTS
required. The framework is currently being tested in practice in Central
In February 2006, an operational framework for integrating America by FUSAI (Salvadoran Integral Assistance Foundation)
RR into the work of aid organisations was published as a joint and UN-HABITAT-ROLAC (UN Human Settlement Programme,
paper by the Benfield Hazard Research Centre in the UK and the Regional Office for Latin America and the Caribbean), and in El
Department of Housing Development and Management at Lund Salvador and the Philippines by PLAN INTERNATIONAL.
University in Sweden. Based on three years of research, the
framework aims to support aid organisations with concrete tools FIVE COMPLEMENTARY STRATEGIES FOR INTEGRATING RISK REDUCTION
and guidelines to: The operational framework provides five complementary
• evaluate the relevance of integrating RR within their strategies for integrating RR within aid organisations. The five
organisation; strategies are:
• identify and prioritise the different options for integrating (a) Direct stand-alone RR: This is the implementation of
RR; specific RR projects that are explicitly and directly aimed
80 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 81

at reducing disaster risk through prevention, mitigation become a standard part of what an organisation does, then
and/or preparedness. These stand-alone interventions are organisational systems and procedures need to be adjusted.
distinct, and they are implemented separately from other The objective is to ensure that the implementing
existing project work carried out by implementing organisation is organised, managed and structured to
organisations. The objective is explicitly to reduce disaster guarantee the sustainable integration of RR within project
risk, for instance through establishing early-warning work.
systems or institutional structures for risk reduction (e.g. (e) Internal mainstreaming: This is the modification of an aid
specialised RR committees) and physical disaster mitigation organisation’s functioning and internal policies in order
(e.g. embankments to reduce flooding). to reduce its own vulnerability to impacts created by
(b) Direct integrated RR: This is the implementation of specific disasters. The focus is on the occurrence of disasters and
RR activities alongside, and as part of, other project work. their effect on organisations themselves, including staff
The focus is still on direct and explicit RR through and head and field offices. The objective is to ensure that
prevention, mitigation and/or preparedness, but with the the organisation can continue to operate effectively in the
difference that the work is carried out in conjunction with, event of a disaster. In practice, internal mainstreaming has
and linked to, other project components. An example of two elements: i) direct RR activities for staff and the physical
this strategy would be the establishment of a local RR aspects of the organisation’s offices, including setting up
committee within the framework of a self-help housing emergency plans and retrofitting; and ii) modifying how
project carried out by a social housing organisation. the organisation is managed internally, for example in
(c) Programmatic mainstreaming: This is the modification of terms of personnel planning and budgeting.
sector-specific project work in such a way as to reduce the What follows is a hypothetical example of how an aid
likelihood of increasing vulnerability, and to maximise the organisation – a Mexican social housing organisation called
project’s potential to reduce risks. The focus is on the aid UNAGI– might be triggered to apply these five strategies to its
organisation’s ‘normal’ project work, but in a way that work: In response to the increased funding for RR being offered
takes into account the changing context created by the by international donors, UNAGI employs a new staff member
increasing frequency and severity of natural disasters. In with expertise in RR, and designs and implements a pilot RR
other words, the objective of programmatic mainstreaming project. The project aims to raise community awareness about
is to ensure that ongoing work is relevant to the challenges disaster risk through the distribution of leaflets and the
presented by natural disasters. However, in contrast to the establishment of local RR committees. Thus, UNAGI becomes
two strategies described above, the project’s objectives do engaged in the stand-alone direct RR strategy.
not focus on RR as such. An example of such a strategy With the experience gained from the pilot project, UNAGI
could be a settlement upgrading project which adjusted then starts to include RR activities in its ongoing housing projects.
its loan/credit system to the needs of vulnerable For instance, it begins to raise risk awareness alongside its
households living in a disaster-prone area. community training for self-help housing. Thus, it becomes
(d) Organisational mainstreaming: This is the modification of involved in the direct integrated RR strategy.
organisational management, policy and working structures One year later, UNAGI’s managers decide that all projects
for project implementation in order to back up and sustain should take greater account of disasters, and should seek to
project work in RR (direct and/or indirect), and to further maximise their positive effects on reducing risks. Accordingly,
institutionalise RR. If integrating RR in project work is to UNAGI carries out research analysing the links between its social
82 Planning for Human Settlement in Disaster Prone Areas Natural Disaster Recovery Planning 83

housing activities and disaster risk. In one project area, it finds or vehicles, reduced reputation, staff absence and sick leave).
that basing housing credits on income capacity makes it impossible Based on this work, UNAGI acquires an organisational insurance
for the people most vulnerable to disasters to qualify for UNAGI policy and improves its working structure, installing an enhanced
projects. Without doing any direct RR work, UNAGI responds to communications system, introducing better processes for
this finding by offering partial housing subsidies and smaller information sharing and revising its workplace policy. In addition,
credits for physical mitigation measures in existing houses. In the head office is retrofitted to become more disaster-resistant.
another area, community research provides evidence that
beneficiaries are vulnerable to disasters due to their dependency HOW TO USE THE OPERATIONAL FRAMEWORK
on informal vegetable trading, and that past housing projects had Apart from the comprehensive explanation of the five strategies
increased their socio-economic vulnerabilities by resettling them for RR integration, the operational framework provides two rapid
far from their income activities. assessment checklists which an aid organisation can use to evaluate
It is also discovered that these housing projects used roof tiles the relevance of integrating RR into its work, and the importance
that were not durable, and were very expensive. Acting on these of each strategy. Once the appropriate strategies are selected and
findings, UNAGI sets up a local material production workshop prioritised, the framework provides tables for the formulation of
for concrete roofing tiles, to provide a more disaster-resistant and related project activities. These include:
cheaper construction material. At the same time, the workshop (a) input and process indicators to get the RR integration
allows some households to diversify away from vegetable trading. process started;
In both project areas, advice on disaster-resistant construction (b) input and process indicators in the form of benchmarks,
techniques is also provided. In this way, UNAGI becomes involved i.e. the operational state which an organisation should
in the programmatic mainstreaming of RR. seek to achieve;
Over time, UNAGI realises that its various efforts in RR are (c) output indicators; and
not sustainable in the long term because they are not (d) reference activities and recommendations.
institutionalised and/or anchored within the organisation’s general
In addition, guidelines are offered on how international aid
management and project planning cycle. It thus starts to engage
organisations can support and encourage the implementation of
in the organisational mainstreaming of RR. As an initial step, the
the framework through their local partner organisations, and how
organisation revises its policy to formalise its commitment to
national implementing organisations can sustain this work
integrating RR, and develops a financial strategy to sustain this
financially.
integration. In addition, risk, hazard and vulnerability assessments
become routine tasks in the planning phase of all social housing DONOR SUPPORT FOR INTEGRATING RISK REDUCTION
projects.
International donor organisations can pursue essentially three
Several months later, there is an earthquake in Mexico. approaches in support of integrating RR. Within each of these
Unexpectedly, UNAGI is affected: its head office is damaged, four approaches, there are three alternatives, giving a total of nine
staff members are severely injured and there are problems options.
communicating with field offices. This forces the organisation to Approach 1: Offering partner organisations training, technical
engage in the final strategy: internal mainstreaming of RR. A team
support, links to specialists and funding for:
is formed to predict the likely impacts of disasters on the
(a) direct RR;
organisation’s finances and human resources, analysing potential
direct and indirect losses (e.g. costs related to damaged buildings (b) mainstreaming RR; or
84 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 85

(c) comprehensive RR integration (i.e. a) and b) combined),


but leave the partner organisations to decide whether,
how and to what extent to engage in RR.
Approach 2: Imposing funding conditions to enforce the
implementation of:
(a) direct RR;
(b) mainstreaming RR; or
6
(c) the comprehensive integration of RR (i.e. a) and b)
combined). STRATEGIES FOR FUTURE
Approach 3: Offering programmes for which interested NGOs
can apply, which include technical assistance and seed grants, for As we enter the twenty-first century, one of the key emerging
the purpose of guiding and accompanying the process of: issues in Asia and the Pacific region is urbanization. In the next
(a) integrating direct RR; few years, for the first time in human history, more people will
(b) mainstreaming RR; or be living in cities and towns than in villages. While the positive
(c) the comprehensive integration of RR (i.e. a) and b) and negative impacts of urbanization, and its linkages to economic
combined). development, environment, poverty and globalization, have been
and are being examined fairly extensively for most Asian countries,
To date, the first choice of international organisations seems
the transition from villages to towns in the Pacific island countries
to be 1a). This leads to unsustainable risk reduction activities: once
has, to a great extent, remained an issue of low priority. One of
donor funding ceases, RR activities end. International funding
the reasons for this neglect is that, compared to the sheer magnitude
organisations urgently need to recognise the importance of
of the demographic transition in Asia in terms of the numbers
mainstreaming, and must be willing to support it financially.
involved the process of urbanization in the Pacific island countries
appears miniscule. However, the impact of urbanization on these
CONCLUSION
countries is as severe and, in some cases, more severe than on
If aid organisations continue to accord low priority to urban Asian countries. Because of their small land mass and population
issues and are reluctant to look beyond the relief and reconstruction size and their distance from global markets, Pacific island countries
stages after a natural disaster occurs, the urban poor – the ones cannot benefit from the external economies or the economies of
most severely hit – will remain caught in a vicious cycle of repeated scale that most Asian countries enjoy. Policy approaches to address
disasters, relief and reconstruction. The operational framework urbanization in these countries therefore have to be different.
presented here provides a basis for the sustainable integration of
This publication outlines the unique features of urbanization
RR within aid organisations’ work. It is a significant step towards
and urban problems in the developing countries of the South
reducing the vulnerability of the urban poor, providing a
Pacific (see map). It also suggests possible approaches to address
comprehensive extension of existing RR frameworks and concepts.
those issues. An abridged version of this publication was presented,
It includes and integrates direct RR and the mainstreaming of RR,
as an issue paper, to the South Pacific Forum Economic Ministers
differentiates between three levels of mainstreaming and tackles
Meeting, held at Apia, Samoa, in July 1999. After reviewing the
physical, socio-economic, environmental and institutional aspects
paper, the Meeting endorsed a proposal to convene an expert
at both project and organisational level.
group meeting to prepare an action agenda on human settlements
86 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 87

in the Pacific based on the Global Plan of Action in the Habitat phenomenon, which is being managed through a mixture of
Agenda of 1996 and the Regional Action Plan on Urbanization of western and traditional socio-cultural systems. All are attempting
1993. to resolve the constraints on the development of customary land.
There is insufficient information flow on the current progress
INTRODUCTION being made in the region and opportunities are limited to learn
The pattern of human settlements is changing rapidly in the from the valuable experience acquired over many decades in the
South Pacific, with increasing numbers of people moving to live planning, development and management of urban settlements in
in towns and cities. The populations of the major urban areas in the region.
most countries are growing faster than national populations. The Regional cooperation also needs to be strengthened to improve
rates of urban growth in Solomon Islands and Vanuatu, both in the response to urban growth, particularly in terms of policies for
excess of 6 per cent per annum, are among the highest in the the provision of infrastructure, housing, land and urban
world. management, through the adoption of sound urban governance
One of the effects of such rapid urban growth is that the practices, best suited to the socio-economic and cultural systems
availability of basic services such as water supply, sanitation, common in the South Pacific.
waste disposal, housing, schools, health and recreational facilities This overview identifies the major issues in urban management
is worsening for many poor residents. Informal and squatter in the South Pacific developing countries and suggests options for
settlements are growing as more migrants come to seek a living action at the national and regional levels. The Pacific countries are
in the towns. In atolls such as Betio in South Tarawa and Ebeye at different stages in national and urban development. However,
in the Marshall Islands, the carrying capacity of the land is stretched there are some common areas for improving the response to
to the limit. In larger urban centres such as Port Moresby and urban growth. The major elements are as follows:
Suva, poverty, unemployment and crime rates have been rising • The need for a positive approach to urbanization in national
constantly. Government institutions at the national and local levels, development planning.
as well as the traditional leadership structures, have been unable
• The need for effective urban governance.
to manage the transition from village to cities efficiently.
• Urban planning to coordinate and integrate development
At the global level, these issues were addressed at the United proposals.
Nations Conference on Human Settlements (Habitat II), held in
• Implementation mechanisms for infrastructure, housing
1996, which followed the United Nations conferences on
and land supply.
environment, small islands, population, social Development and
women. Habitat II produced the Habitat Agenda, including a • Public participation and human resources development.
Global Plan of Action that focused on ways and means of ensuring The key recommendations, as summarized in Part Two, could
adequate shelter for all and managing sustainable human be considered for application as stated or with appropriate
settlements in an urbanizing world. The Ministerial Conference adaptation to suit specific situations. These were considered at the
on Urbanization in Asia and the Pacific, organized by ESCAP in South Pacific Forum Economic Ministers Meeting, held in Apia
1993, formulated a Regional Action Plan on Urbanization. The on 1 and 2 July 1999. The Meeting instructed the Forum Secretariat
broad coverage of these plans of action needs to be supplemented to consult other regional bodies with a view to developing a
by more specific subregional plans and programmes. subregional plan of action based on the Habitat Agenda and the
Many countries in the South Pacific have common urban Regional Action Plan on Urbanization, but reflecting the
features and problems. For most, urbanization is a modern circumstances of the Pacific island countries.
88 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 89

HUMAN SETTLEMENTS AND URBANIZATION Owing to lack of planning and investment, the physical pattern
Rapid urbanization is a feature of human settlements globally of urban development is often haphazard and environmental
and the United Nations estimates that, by the year 2000, almost degradation is growing. Many of the major urban centres in the
50 per cent of the world population will be living in urban areas. South Pacific are showing the same symptoms of rapid
The Asian and Pacific region contains three-fifths of the world's urbanization as those in other developing countries.
population and also a large and increasing share of its economic This chapter briefly describes the major aspects of urbanization
activities and its urban population (UNCHS 1996a). in the developing countries of the South Pacific region. The
Urbanization is strongly correlated with economic countries covered are all members of the South Pacific Forum, the
development. Evidence from many developing countries indicates major intergovernmental body coordinating political, economic,
that an increasing proportion of the national gross domestic product social and environmental development in the Pacific islands.
is produced in urban areas. This is not surprising if one considers
THE GROWTH OF URBAN POPULATIONS
the fact that goods and services produced in towns and cities
benefit from external economies and economies of scale, and In most of the larger countries, national populations are
enjoy better terms of trade compared with goods produced in increasing at high levels. In Melanesia, the rate of the annual
rural areas. The United Nations Conference on Human Settlements national population growth of Solomon Islands and Vanuatu is
(Habitat II), held in Istanbul, Turkey, in June 1996, drew attention higher than 2.8 per cent and in Papua New Guinea it is 2.3 per
to the growth of cities, their role in national economic, social and cent. In Fiji, there has been a slower rate of growth as a consequence
physical development and key issues in managing the process of of political changes.
urbanization. It formulated the Habitat Agenda as a global plan In the Polynesian countries, the level of population growth
of action to address those issues. is lower than the rest of the region, owing to the possibility of easy
The South Pacific region of developing countries extending migration from these countries to New Zealand. Niue and Tokalau,
from Papua New Guinea to Cook Islands and from Niue to the being small islands, are experiencing a net decrease in population.
Marshall Islands accounted for a population of some 7 million in The annual population growth rates of Samoa and Tonga are 0.5
1997 (for example, Melanesia 5.9 million, Polynesia 600,000 and and 0.3 per cent respectively. In the Federated States of Micronesia,
Micronesia 500,000). The region comprises Melanesia, which covers most states have recorded annual population growth rates close
Fiji, Papua New Guinea, Solomon Islands, and Vanuatu; Polynesia, to 2 per cent. However, the Marshall Islands has recorded an
which covers Cook Islands, Niue, Samoa, Tokelau and Tonga; and annual growth rate of 4.2 per cent. In the context of the broad
Micronesia, which covers the Federated States of Micronesia, physical distribution of the population in settlement patterns, the
Kiribati, the Marshall Islands, Nauru and Tuvalu. most important feature is that an increasing proportion of the
population is living in areas classified as urban.
All the countries in the South Pacific have always had one or
more urban centres which have served as major administrative Among the countries covered in this report, there is no uniform
and commercial hubs and which have provided a higher level of definition of "urban" and different countries apply this classification
educational and health services than rural centres. However, in the context of their own settlement patterns. A basic criterion
urbanization is a recent phenomenon in many countries. The is the density of residential settlement and the rate of population
faster rate of growth of urban areas and the transition from living growth. In some of the atoll countries, because of the peculiar
in villages to living in towns is creating unusual and difficult circumstances of size and lack of land for rural settlement, all rural
situations for the new urban dwellers, as well as for national and villages and towns are classed as urban. Nauru classifies all of its
local governments and the traditional leadership structures. population as urban owing to the peculiar nature of the distribution
90 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 91

and density of its residential development. On the other hand, The push factors for rural-urban migration include declining
Tokalau does not classify any of its population as urban. In the commodity prices, continuing high rates of population growth,
larger countries, all peri-urban areas are classed as urban and in lack of employment, limited education opportunities and the need
Fiji the "un-incorporated" towns, that is,. the small urban centres to support the wider extended family financially. The pull factors
which do not have an elected local authority, are classified as include the monetary economy, prospects for employment in
urban. towns, education and lifestyles, recreational and social facilities,
Four countries, Cook Islands, the Marshall Islands, Nauru changing expectations and the existence of family and clan support
and Palau, now have more than 50 per cent of their population networks.
living in urban areas. Cook Islands has a slow rate of population Given the rural base of many national economies in the Pacific,
growth owing to emigration. In another five countries, Fiji, Kiribati, it is natural that rural development programmes will be expanded
Niue, Tonga and Tuvalu, between 30 and 50 per cent of the but their capacity to absorb the increasing workforce and retain
population is urban. In terms of numbers, Fiji's urbanization is it in the rural areas will be limited. Urban populations are increasing
significant in Pacific terms. through natural increase and rural-urban migration. Moreover,
In Solomon Islands and Vanuatu, the population is largely the ongoing transition from subsistence economies to globally
rural but the urban portion is increasing at more than 6 per cent integrated cash economies supports the trend towards
per annum, one of the highest rates in the world. Some basic urbanization.
information on the relative rates of population growth in the
PRIMATE CITIES
South Pacific is provided in table 1. There is a clear transition from
a predominantly rural to a predominantly urban South Pacific Pacific capitals are becoming primate cities, being substantially
region. larger than the next largest city, and continue to attract more
growth. For example, in Fiji, there is a reasonably well-developed
An important feature of the pattern of urban growth is that
hierarchy of urban centres, but in 1996 metropolitan Suva had
in some countries population is concentrated on the main island.
four times the population of the second largest city, Lautoka, and
This is a result of the physical nature of the territory and the
is growing three times faster. A feature of metropolitan Suva is
limited level of economic activities. In Kiribati, some 60 per cent
that it covers not only the outer-Suva towns of Lami and Nasinu
of the national population lives in the Gilbert group, dominated
and all the peri-urban development around them but also the
by the main island of South Tarawa. In Samoa, some 70 per cent
town of Nausori, which was once a major centre for sugar
of the population lives on the island of Upolu (ESCAP 1991).
production. This town still provides a large rural hinterland with
CONTINUING RURAL-URBAN MIGRATION limited services but a large proportion of the population of the
town and its suburbs now depends on employment in Suva.
Even though the rural population is relatively large in a number
of countries, urbanization and urban living are fast becoming an Apia is the only urban centre in Samoa. Similarly, in Solomon
integral part of the development of the South Pacific nations. The Islands, apart from Honiara, there is no substantial urban centre.
promotion of industrial development, the centralization of the In Vanuatu, apart from Port Vila and Luganville, there are no
government bureaucracy and the growing service sector all tend urban centres.
to increase urbanization and are likely to focus on capital cities. In Papua New Guinea, because of the absence of an
These processes, which are essential for national economic interconnecting pattern of road links between urban centres, the
development, create the forces that encourage rural-urban primacy of Port Moresby is not so marked. The city of Lae has
migration. about 40 per cent of the population of Port Moresby, partly because
92 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 93

of better road connections with the rich agricultural hinterland. urban or rural settlement through a process of public consultations,
In most of the Federated States of Micronesia, the shortage of land based on existing and forecast levels of population and types and
naturally places population growth pressures on the main urban directions of physical development. The plan itself depicts, in
centres. broad terms, future land use, densities of development,
The increasing pressure for services, employment, housing, transportation routes and other infrastructure provision, such as
schooling and health in many Pacific cities is likely to put a severe water supply and sewerage. It is accompanied by a set of
strain on national resources in the years to come. Furthermore, regulations that control development through a process of
people's expectations are rising and standards that proved adequate development approvals. In some regimes it is also accompanied
in the past are less likely to be satisfactory in the future. The by a programme for investment in infrastructure and other aspects
information revolution that has enabled most South Pacific of implementing the plan.
countries to access global television networks is increasing the An important feature of the planning process is that
desire for better housing, with a piped water supply and electricity, landowners must seek planning approval for any development,
road access to houses, postsecondary and technical education, change of use of the land or the density of occupation, since all
better health services and closer access to major national facilities such development proposals require the provision of adequate
and sporting events. Linked with these desires is the desire for infrastructure and social services by the relevant public authorities.
regular paid employment. Some countries in the region have extensive experience, based
on the British model of town and country planning, with forward
URBANIZATION AND NATIONAL ECONOMIC DEVELOPMENT
planning, land use zoning schemes, statutory planning, and
Historically, economic growth and the level of urbanization building and land subdivision bylaws (for example, Fiji, Papua
have been closely related. The physical and social infrastructure New Guinea and Solomon Islands).
provided in urban areas is essential for the development of
manufacturing and service industries. Recent World Bank and LACK OF PHYSICAL PLANNING
United Nations studies show that a majority of the national GDP While urban planning has brought about systematic
is produced in urban areas (UNCHS 1996a). However, the development in parts of some cities, in many others there is
inefficient provision or absence of essential services such as limited application in the absence of planning legislation and the
transportation and communications, security of land tenure, necessary institutional framework. The land tenure system,
housing, energy, water supply, sewerage and waste management topography, non-availability of services and other factors have
is hindering investment and sound economic development in tended to create an interrupted pattern of urban development,
many countries. Urbanization also enables governments to provide with areas of undeveloped lands breaking the physical continuity
services for social development such as education, health and of development.
recreation more efficiently than when the population is spread
Apia in Samoa and Nuku'alofa in Tonga, and the cities in the
thinly over the national territory. The positive aspects of
Federated States of Micronesia (except in Kiribati) do not have a
urbanization could be fully realized in government planning
legally applicable town plan, even though many plans have been
processes if urbanization is approached in a proactive manner.
prepared for directing their growth. The local authorities do not
PHYSICAL PLANNING AND NATIONAL ECONOMIC DEVELOPMENT have the authority to prepare a legally binding plan for urban
PLANNING expansion and management and the issue is low in the priorities
of the relevant central government authorities. This has resulted
Physical planning has had mixed experience in the Pacific. It
in uncoordinated and fragmented growth, difficulties in the
involves the preparation of plans for the future expansion of an
94 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 95

provision of services, inefficient transport planning, pollution of plans has been hindered by the lack of information, lack of town
the lagoon and lack of public spaces. planning expertise, lack of legislation and weak administrative
The practice of physical planning in the South Pacific is arrangements and concern over the rights of customary
probably most advanced in Fiji, where the first batch of local landowners. The most recent development plan for Apia was
authority planning schemes was approved in the early 1960s. approved by Cabinet in 1992, but its implementation is slow for
Many local authorities have had extensive experience in this area. the reasons stated above (UNCHS 1996b).
This includes: Several cities in the Federated States of Micronesia have
• Preparing a provisional planning scheme, holding public physical development plans to guide their orderly development
exhibitions and resolving objections and appeals. but there is a lack of institutional and human resource capacity
• Obtaining legal approval of the planning scheme from the for implementation. Kiribati introduced the Land Planning Act in
national authority. 1997, creating the Central Land Planning Board responsible for
the preparation of strategic plans. A unique effort is being made
• Implementing a process of statutory approvals for all land
in South Tarawa to develop a planning system to suit local
subdivision, building and other physical development.
institutional and social structures. The Urban Management Plan
• Undergoing a process of revising a planning scheme when for South Tarawa has been prepared by the South Tarawa Urban
the situation so requires. Management Committee through an extensive process of
Over the years, various aspects of environmental management consultations with all landowners and other stakeholders. The
have been incorporated with the land use aspects in the local consultation process and the workshops held during this planning
authority planning schemes. Even though the planning schemes exercise could serve as a possible model for other countries to
have had the effect of placing limits upon the development wishes consider.
of some landowners, they have come to be accepted by the public In countries that still have a strong influence of traditional
at large as an essential tool for efficient development of the built leadership structures in urban management it has been difficult
environment. to introduce statutory planning processes. This is partly due to
Over the four decades of planning practice in Fiji, the public concern on the part of the landowners that they will become
has seen the benefits through planned improvements in subject to control over development of their lands. In such cases,
infrastructure and the preservation of sound residential the considerable increase in land values that planning schemes
environments. The planning process has also raised the level of can generate and the potential for such increases to partly finance
awareness among members of the public of the social, economic the investment in infrastructure has not been fully realized.
and environmental effects of different types of urban development
and has increased people's capacity to take advantage of the LINKING PHYSICAL AND ECONOMIC PLANNING
opportunities for public participation in the process of preparing In countries where urban planning has been practised for
a plan for the future development of their physical environment. some time, especially in Melanesia, it has mostly operated without
The processes applied now include structure planning linked proper linkage with national economic planning. Even though
with investments in infrastructure and social services, as well as during the formulation of the National Economic Development
development control. The practice of physical planning has also Plan adequate consultations are made with all departments and
helped to develop the capacity of local governments in the overall other interests within and outside government, the very desirable
process of urban governance. In Apia, several short-term plans process of integrating physical planning with economic planning
have been prepared but the preparation of long-term development has not been achieved. The result is that certain proposals for
96 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 97

economic development cannot proceed efficiently because an organizations. Each of these issues is important in its own right,
adequate physical and social infrastructure is non-existent or but all are closely related in allowing developing countries to cope
insufficient. effectively with the transition from rural to urban societies."
Efficient planning and management of urban areas could Although the directions outlined by UNDP need to be adapted
provide a better base for economic development. Such planning in the context of small South Pacific island countries, most of them
could take into account the standards for land use zoning and the are applicable as they stand, even at the end of this decade.
other requirements for planning permission so as to encourage
small enterprises and avoid the necessity for unduly heavy THE CONCEPT OF SUSTAINABLE HUMAN SETTLEMENTS DEVELOPMENT
investment constraints on new industries that are becoming Since the early 1990s, there has been considerable discussion
estanblished. Coordination among various agencies involved in of the issue of sustainable development. The report of the Pacific
the physical, economic and social issues has been difficult to Island developing countries to the United Nations Conference on
achieve in spite of the long experience with national economic Environment and Development, held in Rio de Janeiro in 1992,
development planning in some countries. entitled The Pacific Way (SPREP 1992), includes some principles
At the beginning of the decade, the United Nations of sustainable development. These include the following:
Development Programme (UNDP) set out very clearly the major • To meet the needs of present generations without
thrusts for action in urban management. compromising the ability of future generations to meet
• To flesh out a people centred approach to urban policy, their own needs.
we have adopted the main points of Human Development • To promote equity in participation in sustainable
Report 1991. We focus on the urban problems that represent development.
the most urgent challenges for developing countries during • To minimize the adverse environmental impacts of
the 1990s. In confronting these problems, it is critical that economic development through integrating environmental
five issues receive priority attention: considerations with economic and sectoral planning and
• Alleviate urban poverty by promoting income-generation policies.
activities and transforming the role of the informal sector. • To formulate resource use and development planning
• Promote enabling and participatory strategies for the policies which take into account the precautionary
provision of urban infrastructure and affordable shelter. principle.
• Promote the protection and regeneration of the urban These principles are very relevant to the management of
physical environment, especially in low-income urbanization in the Pacific islands. The concept of sustainable
settlements. development has become incorporated in Agenda 21, the global
• Improve urban management, including expansion of local plan of action adopted at the Rio Conference, and is being applied
governments' revenue-raising capacity and decentralize increasingly widely at national level and in each country's Agenda
authority and responsibility for urban development from 21.
central government agencies and ministries to local The Global Conference on the Sustainable Development of
governments and NGOs. Small Island Developing States, held in Bridgetown, Barbados, in
To achieve the above, draw on the full complement of human 1994 translates Agenda 21 into specific policies, actions and
energy in cities. This means wider recognition of the role of women measures to be taken at the national, regional and international
and full government collaboration with the private and voluntary levels to enable small island developing states to achieve
98 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 99

sustainable development (United Nations 1994). Paragraph 7.5 This concept of sustainable human settlements development
of Agenda 21 states that the programme areas included in this needs to be defined in the specific context of each country for the
field are: efficient management of urban and rural centres and for this a
(a) Providing adequate shelter for all; regional initiative may be necessary to guide national action. Fiji
is currently initiating the legal framework for ensuring sustainable
(b) Improving human settlement management;
development in urban and rural areas and its experience could
(c) Promoting sustainable land-use planning and be useful to the region.
management;
(d) Promoting the integrated provision of environmental DETERIORATING URBAN LIVING ENVIRONMENTS
infrastructure: water, sanitation, drainage and solid-waste Migration to the major urban centres has been so rapid that
management; national and local governments generally have been unable to
(e) Promoting sustainable energy and transport systems in provide the necessary services or to set up the systems to enable
human settlements; people to provide some of these services themselves. Most urban
(f) Promoting human settlement planning and management migrants live in overcrowded conditions in squatter settlements
in disaster-prone areas; and slums. These settlements are often located on marginal lands
such as stream banks, mangroves, flood-prone areas, hill slopes
(g) Promoting sustainable construction industry activities;
and lands otherwise unsuitable for development. Central and
(h) Promoting human resource development and capacity- local governments very seldom provide them with basic
building for human settlement development. infrastructure and services such as roads, water supply, sanitation
The international movement towards the concept of sustainable and solid waste management because the settlements are illegal.
development has encouraged other sectors of national and Health issues among the poor have assumed serious
international development to view the issues of sustainability in proportions owing to certain negative aspects of urbanization.
their particular spheres. General nutrition levels among the poor are decreasing as
In the field of human settlements, the United Nations Centre opportunities for urban agriculture are limited in the larger cities
for Human Settlements (Habitat) (UNCHS) explored the concept and traditional food supply systems no longer function.
in some depth in its preparations for the Rio Conference in the Overcrowded accommodation in some densely populated
publication entitled Human Settlements and Sustainable atolls (for example, in the Marshall Islands) is leading to respiratory
Development (UNCHS 1990). The concept of sustainable human illnesses. Inadequate sanitation causing contamination of shellfish
settlements became enshrined in an international programme has led to outbreaks of gastrointestinal diseases and hepatitis in
through the inclusion of human settlements in Agenda 21. Tarawa, Kiribati. The rate of child mortality in the Marshall Islands
The many socio-economic and environmental problems is one of the highest in the Asian and Pacific region. In Apia,
currently found in cities in the South Pacific make it imperative despite recent improvements, many areas of the city are devoid
that efforts are made to define the parameters for sustainable of drainage. The city characterizes the need for planning and a
patterns of urban management. number of factories and workshops are located in the midst of
residential areas. Some areas in the city have dense development
The Habitat II conference has elaborated on the various aspects
of the traditional house ("fales") with very limited open spaces
of sustainable human settlements management in an urbanizing
around them. Thus, improvement in planning in Apia has become
world and these, together with recommendations for adequate
a prime issue that needs to be dealt with immediately, in order
shelter for all, are contained in the Habitat Agenda (UNCHS
to preserve the quality of life (UNCHS 1996b).
1997a).
100 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 101

INCREASING SOCIAL PROBLEMS range of activities are undertaken in the informal sector. This is
Various institutional, cultural and social factors affect the an important sector of the urban economy as high population
nature and pace of the adaptation from village to town living. The growth, young population structure, relatively slow economic
national development process in the Pacific involves the movement growth rates and very limited potential for labour absorption in
of people on a scale unprecedented in traditional societies. the formal sectors imply that, for island countries, absorption of
the unemployed will critically rely upon the small businesses and
In urban areas there is considerable strain on the traditional
micro-enterprises which operate in the informal sector. However,
social value systems developed over centuries. These traditional
the informal sector operates under many constraints which arise
leadership structures continue to serve well in the rural areas but
from central and local government legislation and administrative
in the urban settlements family and clan-based authority systems
procedures.
are breaking down. The social disruption caused by the division
of families between urban and rural areas and the loss of traditional
POVERTY
"safety nets" has contributed to higher levels of divorce, single
parent families and a rise in domestic violence. Insecurity and The South Pacific islands enjoy a reasonable level of subsistence
rapid urban growth have caused tensions between migrant groups, income in the rural areas but in urban areas the cash economy
landowners and urban authorities. has become dominant. Over the last decade, almost all countries
have witnessed low or stagnant economic growth while the
Unemployment is one of the major problems associated with
population has continued to grow. In a number of countries, the
urbanization in the South Pacific. Many employment policies and
available financial resources have had to be diverted to cyclone-
programmes stress formal sector jobs instead of improvements in
related rehabilitation and humanitarian relief efforts. The effects
the subsistence or informal sectors. The growth potential in the
of the slow rate of economic growth are felt most in urban areas
small business sector remains undeveloped. In Port Moresby, up
and are a constraint on improving the standard of living and
to one third of the urban population is seeking work and in other
advancing human development.
urban centres of Papua New Guinea unemployment is more than
10 per cent. The numbers of the unemployed are rising as new In recent years, several countries have restructured a number
batches of the younger generation join the workforce (Connell, of government institutions through a process of commercialization,
1999). Unfulfilled expectations of the urban settlers have spawned corporatization or privatization. In some services this has resulted
alcohol and drug abuse, family violence and -- what has become in the removal of subsidies, with the consequent adverse effect
the most publicized social problem in Papua New Guinea -- on the poor. A 1997 Fiji poverty study showed that one in four
criminal youth gangs (UNCHS 1993). Unemployment is also one households could not afford a basic standard of living, with a
of the causes of the rising incidence of crime in the large cities. majority of the poor living in urban areas (Government of Fiji and
In Port Moresby, some 69 per cent of the unemployed men are UNDP 1997).
known to be living through crime (Connell, 1999).
HUMAN DEVELOPMENT INDEX
The concentration of people in urban areas has greatly
UNDP has explored the concept of sustainable human
improved the economics of the informal sector and in many towns
development, which seeks to refocus attention on the ultimate
micro and small businesses are thriving. The informal sector takes
objective of development, increasing the opportunities for people
different forms in different countries. In the smaller countries,
to lead productive and satisfying lives. This implies assessing
informal jobs include bottle collecting, street vending, newspaper
development in terms of a range of social and economic indicators
selling, car washing, shoe polishing. In the larger countries in the
and not just in terms of income growth (UNDP 1994). This approach
region, many of the building trades, vehicle repairs and a whole
102 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 103

is captured in the concept of human development which is assessed • Reservoir capacities need to be improved in many towns
by UNDP through the compilation of the human development to meet the growing needs of urban settlements.
index (HDI) for each country. The human development index was • Water resources are limited in the atoll towns where water
first published in 1991 in the Human Development Report. The lenses are often polluted, for example in Kiribati and
index is based on a range of socio-economic indicators such as life Tuvalu.
expectancy at birth, child mortality, adult literacy, access to safe • Droughts affect parts of the larger islands of Melanesia,
water and health services, employment and wages and the status as well as some of the atoll countries.
of women. A global ranking is undertaken based on the index.
• Salt-water intrusion into freshwater lenses due to sea level
rise is a possible threat to coastal water resources.
URBAN INFRASTRUCTURE
In some countries, there is mismanagement of water supply
Governments are making continuous efforts to improve
systems as evidenced by leakage because of lack of maintenance,
infrastructure. The advent of cars, higher levels of consumption
inefficient billing and poor collection of charges. Attempts to
and changing lifestyles require improved levels of infrastructure.
meter the water supply have often met with protests from local
However, infrastructure for urban development such as roads,
populations who believe that water is nature's gift to humans and
water supply, sewerage, solid waste disposal, electricity and
hence that they should not have to pay for it (UNCHS 1996b).
communications is failing to keep up with the needs of the growing
urban populations. SEWERAGE
The installation of infrastructure requires considerable A very small proportion of the Pacific urban population has
investment, and this is beyond the reach of most countries in the satisfactory sewage services. There are few sewage treatment plants
region. As well as insufficient financial resources, a number of and their coverage is limited, mainly because of the relatively
local management issues hinder large-scale investment. These large scale of investment necessary, both for the headworks and
include the limited capacity for maintenance of the existing plant for the reticulation system. For the latter, the process of acquiring
and, in some countries, a reluctance to adopt user-pay policies right of way for sewer lines over private properties, leased lands
that would create possibilities for sound financial management of and unleased lands under customary tenure is cumbersome and
the investment. time-consuming. In Fiji, with its long history of urban management,
WATER SUPPLY only 25 per cent of the population of metropolitan Suva is connected
to the sewerage system (UNCHS 1992). In Papua New Guinea,
Most countries in the South Pacific are well endowed with only about 11 per cent of the urban population has a piped sewerage
water but the level of water consumption is gradually rising in system (Connell and Lea 1993). The few successful on-site treatment
some countries, while in others there is over-consumption. In solutions only operate on a small scale.
Samoa, for example, in some instances consumption levels have
Many places use ocean outfalls for sewage disposal (Honiara,
reached 600-700 litres per capita per day, compared to the WHO
South Tarawa and Kiribati). The risks of foreshore contamination
accepted average of 250 litres per capita per day. This is mainly
are high, with negative effects on marine resources and eventual
due to uncontrolled use, waste and leaks in the network (UNCHS
leaching back into the freshwater lens. The lagoons beside
1996b). The importance of conserving water resources is not fully
Fanga'uta in Tonga, Port Vila, Suva and Tarawa have sufficiently
appreciated in parts of the region where the water supply is free.
high fecal coliform levels to be a public health concern.
Some of the important issues of urban water supply systems
The lack of reticulated sewerage systems has resulted in a
in the region are given below:
proliferation of septic tanks and, in some cities, of pit latrines as
104 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 105

well. In Suva, surface pollution from septic tanks in the non- In the atoll countries, the sheer non-availability of land for
sewered suburbs and pit latrines in squatter settlements causes disposal of solid waste is serious, as witnessed in Funafuti, Tuvalu.
serious public health problems. In other cities, even where soil Community attitudes to disposal of wastes have not changed to
conditions are suitable, during the rainy season septic tanks tend match the nature and volume of waste that need to be managed.
to overflow, causing serious health concerns in low-lying areas. In the allocation of lands for different uses, solid waste disposal
In the Marshall Islands, surface pollution from septic tanks, pit is a very low priority. The disposal of industrial wastes containing
latrines, and household and domestic waste contaminating the dangerous and illegal pollutants will become an issue as the level
underlying water lenses is widespread. of industrialization increases.
Overall, the inadequate disposal of human waste is one of the
INFRASTRUCTURE FINANCING
serious environmental problems in the Pacific.
Investment in urban infrastructure such as major roads, water
SOLID WASTE MANAGEMENT supply and sanitation is usually financed from central government
The amount of disposable solid waste is increasing as lifestyles resources. In most urban centres there are severe backlogs in the
and consumption patterns in the Pacific change to western ways, expansion of existing systems and to serve new urban growth.
with increasing levels of non-biodegradable materials such as Maintenance of the existing facilities often lags owing to lack of
cans, bottles and plastics. There are very few programmes for planning and finance and the shortage of skills. In some cases,
solid waste reduction. there is inefficient use of financial resources caused by institutional
problems that prevent public funds from reaching the beneficiaries
The practice of recycling waste, such as bottle collecting, is
who need them most. In several countries, cost recovery on services
undertaken only at a basic level. The technology required for
provided is limited. Wherever costs of services are charged, the
establishing appropriate facilities for waste recycling of paper,
richer suburbs pay the same rate as the poor ones. With the poor
cans and plastics is beyond the capacity of most Pacific island
economic performance of most countries, there is very little or no
countries. In some cases, the volume of waste cannot be
budgetary provision for expansion of infrastructure. Financial
economically recycled. The usual methods of disposal are landfills,
institutions like national development banks have low capacity.
dumping on seashores, estuaries, swamps and mangroves, often
The World Bank and the Asian Development Bank have assessed
resulting in polluted waterways, lagoons and water supply.
the extent of the investment required for improving urban
In many urban centres, even in the larger countries, suitable infrastructure in a number of cities and sound infrastructure
sites for the disposal of domestic solid waste have been difficult management practices could facilitate the inflow of funds.
to obtain. In Suva, after several years of negotiations with
landowners, a new disposal site just outside the city boundary, ENVIRONMENTAL MANAGEMENT
between the seashore and the main road, has replaced the existing Urban areas in the Pacific countries face a number of
landfill site. environmental dangers. These include:
In Nadi, Fiji, the town council has been unable to identify a • A precarious balance between population growth and land
suitable site on account of the flood-prone nature of the surrounding capacity, with population densities in some localized areas
areas and proximity to the international airport. It has come to being very significant.
an arrangement to use the landfill site of the neighbouring Lautoka • Pollution of rivers and lagoons through indiscriminate
City Council. However, this site on Crown land has been subject waste disposal.
to regular roadblocks mounted by the native owners of adjacent
• An expected rise in the sea level.
lands as the public access to the site traverses customary land.
106 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 107

• Strain on the coastal ecology from the large numbers of The International Year of Shelter for the Homeless (IYSH),
urban settlements located in coastal zones. observed in 1987 and for which UNCHS was the organizing
• Disaster mitigation against cyclones, earthquakes, floods secretariat, marked a major change in the commitment of the
and droughts. global community to improve national housing policies. The
programme for IYSH identified a number of innovative solutions
Environmental management is a distinct programme area in
in different countries to provide adequate shelter for the poor. The
regional and national development and the South Pacific Regional
IYSH South Pacific regional workshop reviewed many of the key
Environmental Programme (SPREP) has assisted in developing
issues and prepared a series of recommendations for action to
national environmental protection legislation in many countries.
improve housing (Papua New Guinea University of Technology
Most countries already have national environmental management
1985).
strategies and are attempting to gradually increase their
institutional and human resource capacities for applying The global momentum generated in the search for affordable
environmental management practices. housing for the poor resulted in the adoption by the General
Assembly of the Global Strategy for Shelter to the Year 2000
HOUSING (UNCHS 1988). This programme focused on "enabling strategies"
Throughout the Pacific, rural areas do not have a serious whereby governments were to be facilitators, enabling the
housing problem. The availability of secure land with a basic level deployment of the resources of the private, household and
of services, usually at no cost, easy access to appropriate building community sectors.
materials, community-based construction efforts and a limited A further development for assisting governments in improving
need for finance together ensure that all households have adequate their national housing policies was the development of the urban
housing. and housing indicators by UNCHS and the World Bank. The
However, in urban areas these basic housing inputs either do application of these has enabled all stakeholders to identify aspects
not exist or are unaffordable, especially for the middle and lower of housing policy that acted as constraints to access to affordable
income sectors of the urban population. The formal housing market housing. In the South Pacific these were thoroughly considered
caters largely to the upper income groups because of the cost and at the Global Shelter Strategy South Pacific Sub-regional seminar,
access to long-term loans. Those without access to affordable held in Brisbane in 1993 (University of Queensland 1993).
housing are left to their own initiative and various ad hoc solutions These international and regional initiatives have assisted many
are devised in the context of the prevailing land tenure and socio- governments to address constraints to the orderly operation of
economic situations. markets in the housing sector. The focus of international initiatives
has been on formulating enabling strategies, with governments
INTERNATIONAL INITIATIVES concentrating on establishing the institutional and legal
The inability of the urban poor to access adequate housing is frameworks for land supply, planning, infrastructure and housing
a universal trend and considerable efforts have been made at the finance, leaving it to people's initiatives through the operations
global level by the United Nations and the World Bank through of the private sector, community and cooperative organizations
programmes such as sites and services and settlements upgrading, and household efforts to seek housing solutions.
to ensure adequate and affordable housing for the poor. In the last Many examples throughout the developing countries indicate
two decades, the United Nations Centre for Human Settlements that people, with only limited official assistance, build better and
(UNCHS) has undertaken a series of initiatives to encourage cheaper houses than government agencies. Many squatter and
governments to improve national housing policies. informal settlements have been transformed into regular suburbs
108 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 109

over time, given the support of central and local governments to income as rent but since the rental subsidy could not be absorbed
supplement people's initiatives. into the financial restructuring of the Housing Authority the public
housing rental programme was transferred to a newly created
HOUSING POLICY RESPONSES IN THE SOUTH PACIFIC Public Rental Board.
In the Pacific almost all governments have taken initiatives This body does not have the financial capacity to undertake
to address the housing problems of the needy in urban areas. In a building programme to respond to the need. Consequently, the
the absence of a viable private sector market, the official responses urban poor have a serious housing problem and church groups
have been varied and have gradually changed over time. have taken some initiatives to provide housing solutions for the
The Fiji Housing Authority and the Papua New Guinea poor.
National Housing Corporation have accumulated extensive Other countries have limited experience in institutional
experience over three decades and have come up with a range of responses to the housing need. The Kiribati Housing Corporation
solutions. Their programmes provide a choice of housing solutions caters only for civil servants. The Samoa Housing Corporation is
for different levels of affordability and preference. Serviced sites a financing organization. In Solomon Islands, the Housing
are provided for people to undertake self-building. The actual Authority was disbanded after some years and settlements with
building operations can be undertaken on a self-help basis by basic standards were developed on sites designated as "traditional
engaging specialist trades people such as plumbers and electricians housing areas". In Vanuatu, the Housing Corporation, established
or by letting out a contract to a small-time builder. Other choices in 1985, is trying to address serious problems with very limited
include complete houses or core houses for purchase, houses or capacity.
flats for rental at subsidized rates, serviced sites and cash loans
for self-building, settlements upgrading and village and rural HOUSING MARKETS
housing. The demand for affordable housing is increasing as a result
A variety of factors have constrained their output, in particular of the growing urban populations. The demand comes from new
the non-availability of a regular supply of land for development household formation within the existing population and from
and the high initial standards for infrastructure required by the new migrants. Existing houses are constantly being upgraded. In
approving authorities, which place their products beyond the almost every country, except possibly Nauru, housing market
financial reach of many in need of affordable housing. The subsidies mechanisms are not functioning due to constraints on the
on the rental housing schemes could not be sustained for long and development of customary lands and the absence of financial
the reforms introduced during the 1990s in all Pacific island mechanisms that meet different affordability levels. The absence
countries focus on the financial sustainability of public housing of security of tenure, which normally provides collateral or security
programmes. for a housing loan, inhibits the development of housing finance
The Papua New Guinea National Housing Corporation's new mechanisms.
policies are to develop serviced plots for leasing on a self-financing As a result of these factors, the private sector plays a limited
basis, to sell the existing housing stock while increasing rents on role in housing. The limited housing stock commands high prices
the remaining houses to market levels, and to leave rental housing for purchase or rent. The building industry is therefore unable to
construction to the private sector (UNCHS 1993). play its usual role as a generator of economic growth and creator
In Fiji, the rental housing programme was initiated for the of employment opportunities. Additionally, those small businesses
very poor who were not eligible for other housing solutions because and micro-enterprises that are dependent on the building industry
of the levels of their income. They paid around 15 per cent of their are unable to contribute to alleviating unemployment.
110 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 111

Towns in Papua New Guinea have inherited the colonial desire for building houses to modern western designs and using
tradition of employer- provided rental housing. Thus, there is modern materials.
only a very small private housing market, mainly for expatriates,
and no tradition of home ownership. Moreover, both the HOUSING FINANCE CAPACITY
government (the major employer) and private enterprises want Housing finance systems, managed by public sector
to rid themselves of the costly role of employee housing provision. institutions, already exist in several countries and the prospects
Those urban residents who do not have an employer willing to of expanding their capacities are improving as national provident
provide formal sector housing must either depend on relatives funds mobilize more savings. Commercial banks and insurance
who do have houses or turn to informal self-help, which usually companies could also play a role in mobilizing capital for housing
means squatter settlements (UNCHS 1993). and there is potential for community-based saving schemes.
In Cook Islands and Niue, a growing number of houses have However, most formal sector financing systems require loan
been abandoned by the owners who have emigrated. The houses security and thus the land tenure system plays a crucial role. The
are left in a state of disrepair but the house cannot be sold to legislation and procedures for mortgage lending have to be well
interested parties owing to the complexities of the customary established in order to enable a housing finance system to function.
ownership system. In Fiji, where the housing finance system is well developed,
the Fiji National Provident Fund serves as the main provider of
BUILDING MATERIALS
investment funds and the Housing Authority as the provider of
Except for the atoll islands, most of the region has adequate loans for the middle income sector. The Home Finance Company,
timber products. However, many other types of building materials which serves the higher income market, is more closely linked
are required to meet the growing expectations of urban dwellers. with commercial financial markets and mobilizes capital for
The size of the market, even in Fiji and Papua New Guinea, is housing loans from these sources.
insufficient for the level of investment required for local production
In the absence of security of tenure for mortgage financing,
of a wide range of building materials. Thus, an important feature
alternate approaches need to be devised. In Fiji, many village
of the building industry in the South Pacific is the high amount
housing schemes undertaken on lands that cannot be leased or
of importation, particularly from Australia and New Zealand to
mortgaged are backed by legally accepted guarantees from
Melanesia and Polynesia, and from the United States of America
appropriately resourced persons or bodies. The Samoa Housing
to the Federated States of Micronesia. In the Marshall Islands,
Corporation, which functions mainly as a housing finance
maintenance of the housing stock is becoming a serious issue.
institution, accepts assurances from senior clan members as security
In Papua New Guinea, the construction industry still operates for housing loans.
in an environment inherited from colonial days. This results in
Overseas examples of community financing need to be studied
excessive dependence on large construction companies, imported
for their adaptation in the South Pacific urban culture. The Grameen
building materials, and construction methods developed for high-
Bank, a private initiative, has provided loans to a large number
wage and high-technology societies. This situation results in a
of rural poor in Bangladesh on the basis of community loan
very large gap between traditional methods and materials and
guarantees. A small group of successful past borrowers provides
formal sector methods and materials (UNCHS 1993).
guarantees for repayment by the borrower and the loan repayment
A particular aspect of residential buildings is cyclone-resistant levels achieved are higher than those of commercial banks. The
design and construction. Despite the many advantages of Urban Community Development Office of the Government of
traditional design of roofs and superstructure, there is a strong Thailand operates as an independent programme out of the
112 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 113

National Housing Authority. Seed funding and loans to EVICTION


community-based savings and credit schemes are provided for a Informal settlements are of different types. They range from
range of community improvement activities, among which housing pure squatters on state lands to quasi-legal renting of customary
is predominant. lands. Squatters on state lands are illegal occupiers of the land.
On customary lands, there is often proper negotiation with the
INFORMAL SETTLEMENTS
leadership of the landowning clan.
High construction costs, resulting from the high cost of
The construction of houses takes place with the explicit or
imported building materials, costly building regulations and high
implied consent of the landowner. Sometimes, there are middlemen
urban wages add to affordability problems for the poor seeking
operating either on behalf of the landowners or on behalf of a
adequate shelter.
particular needy group. The arrangements made are insecure and
The experience of the Fiji Housing Authority over the past 30 lead to misunderstandings.
years shows that some 70 per cent of the applicants for housing
The removal of settlers is sometimes necessary to enable public
are unable to afford the repayments for the purchase of low-cost
utility works to be undertaken. Wherever this happens on state-
houses, which conform to legal requirements. The poor are left
owned land, adequate compensation and resettlement
to find solutions in overcrowded accommodation or as squatters.
arrangements are made. There have been cases where the owners
The result is the haphazard growth of informal settlements on
of customary land have evicted settlers born on their lands in
unsuitable sites and on the urban fringes of most large cities in
urban areas. In such cases, no resettlement arrangements are
the region.
made. Some past cases of evictions, for example in Lae, have
In these types of settlements, the settlers make arrangements resulted in major calamity for the urban poor. The irony is that
with the landowners to occupy a building site on affordable terms evicted squatters have to go and settle elsewhere. In most such
but without security of tenure. Hence, there is no incentive for cases the local, provincial or national governments have been
making permanent investment in housing, and corrugated iron unable to offer permanent solutions.
shacks are the standard form of construction. People tend to
A more sympathetic view of informal settlements is gradually
expand houses incrementally, adding and improving according
emerging. This is arising from a number of developments, which
to the increasing needs of the growing family. A whole new
include the following:
generation of young people is growing up in these settlements
throughout the South Pacific. • Greater realization that the efforts of the poor in
constructing houses in informal settlements represent an
In most of the larger cities there are many pockets of such
economic and social investment and that the bulk of the
informal housing developments with very limited or no
savings of the poor are directed to housing.
infrastructure and services. In Suva, there are 26 squatter
settlements within the city boundaries (UNCHS 1992). In Papua • The settlers usually build up strong community
New Guinea, squatter settlements housing up to 50 per cent of relationships as these settlements represent a mingling of
the population have developed around Port Moresby, Lae, Mount people from different parts of the country.
Hagen and Rabaul (UNCHS 1993). Relatively large settlements • Greater awareness of projects where squatters have
also exist at Blacksands and Federation in Port Vila, Vanuatu. If improved their living environments after acquiring security
this trend remains unchecked, it will result in a serious deterioration of tenure.
of the living environment and will pose a serious danger to public • Increasing pressure on national governments from
health. international organizations such as UNDP, UNCHS and
114 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 115

the World Bank for upgrading informal settlements, • Improved security of tenure for the residents.
introducing enabling strategies and alleviating poverty. • Improved infrastructure services such as vehicular and
• The growing movement on the right to adequate housing footpath access, water supply, sewerage, drainage and
promoted by the Centre for Human Rights and major electricity supply.
international NGOs such as the Habitat International • Provision of social facilities such as kindergartens or
Coalition. schools, health facilities, religious and community
The whole scenario of eviction is a symptom of the failure of buildings.
governments to appreciate the dynamics at play in the economic • Opportunities for income generation through the
development and urbanization processes. Land is recognized by establishment of market buildings.
economists as a basic ingredient of economic growth and the Perhaps the most well known example of a large-scale national
failure of housing is largely a failure by governments to ensure settlement upgrading programme is the Kampung Improvement
affordable and secure access to land. The need to resettle people Programme of Indonesia. This programme has improved the living
can be avoided by a proactive programme of sites provision. conditions in thousands of informal urban and rural settlements
However, where there is need for resettlement, the process needs throughout the country.
to conform to sound principles.
In the South Pacific region, an example of a large-scale housing
ESSENTIALS OF GOOD RESETTLEMENT PLANNING project that involved a considerable amount of settlement
• Fair and equitable compensation for lost assets, livelihoods upgrading and squatter resettlement is the Vitogo and Drasa
and incomes. scheme at Lautoka in Fiji undertaken by the Housing Authority.
These two programmes are described in box 5, based upon
• Restoration (or enhancement) of living standards and
information from internal files and progress reports of the Housing
livelihoods through housing replacement and income
Authority.
restoration programmes.
• Adoption of participatory planning strategies. VITOGO AND DRASA RESETTLEMENT SCHEME, LAUTOKA, FIJI
• Dealing with the special problems of vulnerable groups This scheme is on about 300 hectares of peri-urban land located
in society. just outside the Lautoka town boundary. The land was freehold,
The Asian Development Bank, in recognition of the need for owned by the sugar company, which had allowed its employees
some guiding principles, organized two workshops on the subject, to build their homes on sites allotted on the basis of an annual
one of them specifically for the Pacific island countries. tenancy. Plots were not surveyed but were numbered on plans.
Over the decades many sugar mill employees and their offspring
SETTLEMENT UPGRADING built their houses and the area attracted a steady stream of squatters
Settlement upgrading has become a common practice in many in spite of controls. Very few houses were built with permanent
developing countries. Wherever the land occupied in informal building materials.
settlements is not required for an essential public purpose, tenure There was a minimum of vehicular access, a haphazard system
is granted to squatters and infrastructure and services are of water supply and electricity supply, no sewerage provision, no
upgraded. The major features of such programmes are: security of tenure for community buildings such as schools,
• Community involvement in the planning and execution temples, mosques, churches and public halls. Over a thousand
of the upgrading project. households resided on the usable portion of the land. About a
third of the area was steep and not easy to occupy. As part of the
116 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 117

overall rationalization of the sugar industry, around 1970, the Authority to undertake its housing programmes on any
sugar company transferred the land to the government, which unallocated land.
leased it to the Fiji Housing Authority for orderly residential and
related development. LAND SUPPLY AND DEMAND
In compliance with the Lautoka town planning scheme, an Land is an essential component in the urbanization process.
overall upgrading proposal of the whole area was prepared The increasing population in the cities requires new areas for
showing the different residential zones, the location of all new housing, schools, recreation areas and religious buildings. Where
minor and major roads, water supply and sewerage provisions, suitable, affordable and secure sites are not available, these needs
shopping centres, sites for schools and religious buildings, parks, are met by informal or illegal means. The pace of urbanization is
etc. such that new attitudes and approaches to land development in
Negotiations were concluded with the Lautoka City Council urban areas are necessary in almost every Pacific island country.
for relaxing some of the standards applying to infrastructure so Land supply constraints are at the heart of many problems
as to increase the affordability of serviced sites for the maximum of sound urban management in the Pacific. As noted above, there
number of households. A 10-year development scheme was is a clear linkage between security of tenure, the development of
prepared for investment, together with costing and pricing of the housing finance systems and the performance of the building
developed sites. The detailed plans accompanying the scheme industry. Security of tenure is thus directly linked to prospects for
showed the effect on each existing tenancy, house, crops and any employment generation and income-earning capacity and therefore
site improvements. The plan was executed in stages after a to poverty alleviation.
considerable amount of community consultation. The major However, in all the countries in the region, the land market
characteristics of the scheme were: does not function normally since a large section of national land
• The preservation of the maximum number of existing assets does not enter the urban land market. Approximately 80
house sites and minimal dislocation of existing houses to per cent of land in the Pacific islands is under some form of
make way for public uses. customary land tenure, which is governed by a range of policies
• An agreed formula for compensation for house relocation, and practices that constrain national development.
damage to valuable trees.
CUSTOMARY LANDS
• Residents who were not eligible for the cheapest site were
offered subsidized rental accommodation. The customary land tenure system is based on ownership of
lands by indigenous families or social groupings. The diverse
• Cross-subsidy for lower income groups through the
tenure systems in the Pacific were devised for subsistence
differential pricing of higher class residential leases, some
agriculture, in situations where people produced almost all their
of which were allocated through a tendering process.
own food (Crocombe 1989). The systems were flexible and catered
• Allocation of a 99-year sublease over subdivided house adequately for changing needs in a rural setting. After the advent
sites to existing tenants and their offspring resident in the of colonialism, western systems of rigid rights were introduced.
area but without a house.
In most countries, a certain portion of the land was alienated
• Replacement of the old labour lines associated with the soon after contact with Europeans and this practice was stopped
sugar mill. by legislation. In some countries, there are restrictions on the
• Employment opportunities for local residents in the land allocation of customary lands under leases. Land has a special
development works. An agreement to allow the Housing significance for the people but, in urban areas, there is now a
118 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 119

conflict between traditional views and the modern needs of urban is complex due to the different levels of decision-making and the
development. A major issue is the need to adapt tenure systems varying interests of the different owners of a particular parcel of
to populations up to 10 times higher than they were at the time land. In some countries, customary land may not be made available
of first contact with European cultures, and these populations are to people outside the clan of the owners.
concentrated in towns and other non-traditional centres and earn In Fiji, the administration and development of native lands
their living from non-subsistence activities (Crocombe 1994). is the responsibility of the Native Lands Trust Board (NLTB). The
Board obtains consent from the landowners, subdivides the land
DEMAND FOR LAND
and leases the new plots to meet the demand. It administers
Land supply is failing to keep up with the demands of several thousand leases for all types of urban and rural uses.
urbanization in almost all countries. Land is generally not available
NLTB has been in operation for about 50 years and retains
for most aspects of urban development, including infrastructure,
around 25 per cent of the rent income to defray its administration
industrial estates, housing, social facilities and recreational needs.
costs. The remainder of the rent is distributed to the landowners
A number of countries have freehold land but the amount is and their chiefs. Because it operates as a trustee organization,
very limited and most of it is developed as these parcels are NLTB has not been able to set aside a development fund. Similarly,
located in or near urban settlements. Most countries also have the landowners have not been able to allocate some of the regular
state land, known as Crown land in some countries. This is also rent income towards a development fund. Sometimes, customary
largely developed, in urban as well as rural areas. lands can be obtained for urban uses through ad hoc arrangements
Scope is limited for increasing land through reclamation in with the land owners without the involvement of NLTB, but the
lagoons owing to the well-documented negative impacts on the insecurity of tenure discourages entrepreneurship and investment
ecology, including food sources, and therefore on nutrition and by the tenant, as is witnessed in the peri-urban settlements in Fiji.
health. Land shortage is serious in some of the atoll countries and In Papua New Guinea, in recognition of the future need to
land reclamation is being undertaken in a number of urban centres utilize customary land for development purposes, the government
in the Federated States of Micronesia. In Kiribati, land is so scarce developed the Land Mobilization Programme in 1989, aimed in
that reclamation of lagoons is seen as a way of providing the part at urban areas. However, success has been slow. It has become
government with new sites for various uses. common for land tenure to be secured through private agreements
Governments in some countries have been unable to negotiate with the customary owners rather than the official process of
with the landowners for the use of land for public purposes. Some government registration and lease title (UNCHS 1993). In Vanuatu,
have shown a lack of political will to exercise eminent domain some bold measures were taken by declaring public ownership
powers for compulsory land acquisition for public purposes even over urban land. Matters concerning the allocation of rental income
though the necessary legislation exists. to the original native owners and legal contests against declaration
In Papua New Guinea, where some 95 to 97 per cent of the of public ownership over customary lands in the urban area are
land is under customary ownership, these lands cannot be sold being resolved. In the Marshall Islands, there is no public land
outright or mortgaged, effectively disqualifying the use of the and coastal erosion is being caused by the extraction of sand and
land as collateral for loans and reducing incentives to conserve rock.
land. Almost none of the land is surveyed or registered, so disputes
LAND SUBDIVISION STANDARDS
are usually settled through violent feuds rather than courts of law.
With rising demographic pressures, land disputes have become The supply of land for urban uses involves more than mere
more common (UNCHS 1993). The customary land tenure system availability. A minimum level of infrastructure in terms of access
120 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 121

roads and water supply is essential for settlement at urban densities. encumbrances. Land mapping and titling is incomplete in many
A combination of central and local government regulations and countries, and this creates considerable delays in the resolution
procedures set high standards for land surveying and the of disputes over boundaries, ownership and user rights. There are
installation of infrastructure for creating smaller parcels or many advantages in having good records but the process of
subdividing land for urban settlement. Complying with the high establishing a system is long and costly.
standards results in unaffordable costs even to middle income In Samoa and some areas in the Federated States of Micronesia,
groups. The standards are set high partly because local government land titling projects have been initiated but, owing to lack of
bodies do not have the capital resources to upgrade the adequate resources, little progress has been made. Modern
infrastructure later. This is a problem facing many urban centres electronic technologies can speed up the mapping process and
and needs to be resolved to activate the formal land market. facilitate these procedures but the process of clearly settling
Solomon Islands has addressed the issue of standards by conflicting claims needs to be undertaken through adjudication.
creating "traditional housing areas". These have gravelled roads, Fiji has benefited from continuous advances in mapping and
open drains, no sewerage system and a shared water supply. This aerial photography of the national territory and the use of electronic
has enabled people to settle within their affordability limits. land information systems for various aspects of land management.
It also maintains the position of Commissioner for Native Lands
CONSTRAINTS ON THE DEVELOPMENT OF CUSTOMARY LAND
for the resolution of disputes concerning native lands and
Land rights are an integral part of the Pacific cultural and associated rights.
social systems and a number of factors constrain an orderly land
Many countries have established a geographical information
supply to meet the demands of urban growth. These include the
system (GIS) unit in land management agencies. This has simplified
following:
certain procedures but the full potential of GIS has not been
• Customary landowners are not culturally disposed to realized. The technology requires constant upgrading of skills, as
alienating land and have a tendency to retain full control well as computer hardware and software.
of their land in case future generations have need of it.
• The procedures for leasing and development of customary COMMUNITY PARTICIPATION AND HUMAN RESOURCES
land are either not well developed or are very complex Urbanization poses new problems, as well as opportunities
and time-consuming. for the involvement of people in resolving problems at a scale
• Those customary landowners who have responded to the never encountered in the rural areas.
demand find difficulties in meeting the high land Urban areas comprise a rich mixture of people from different
subdivision standards and the cost of basic infrastructure parts of the country, with different approaches to the resolution
in order to provide potential tenants with security of tenure. of problems. They all have the common goal of improving their
• The system does not encourage capital accumulation for quality of life and it is a challenge for central and local governments
land development. to channel all public and community initiatives towards this goal.
• Rent income is spread out. The owners are therefore unable The global trend is for greater public participation in decision-
to take advantage of the growing demand for urban land. making for urban management through public consultations, urban
and civic forums and similar organized groupings. Through the
LAND TITLING
information revolution, people are more aware of what is
Only a few countries have adequate cadastres showing land achievable to meet their rising expectations. Thus, appropriate
parcels, ownership, rights and easements over land, charges and
122 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 123

mechanisms are necessary at the central and city levels to enable over many aspects of human development and include the
people to articulate their needs and to contribute to solutions. following:
• Working with and for disadvantaged people such as
COMMUNITY PARTICIPATION
children, women, refugees, the indigenous, elderly, poor,
The people are a major resource in the Pacific and this resource hungry, disabled, and disaster victims.
needs to be fully utilized. In the rural areas and villages,
• Addressing disadvantage through projects and
participation of communities, under the traditional leadership
programmes such as welfare services, education, skills
structures, is quite common and effective in decision-making for
training, income generation, housing, credit and financial
local development.
services, food production, and small-scale manufacturing.
However, in urban areas, the social cohesion of the rural areas
• Raising awareness through information and
is no longer present and therefore opportunities for community
communication, research and training, campaigning and
participation are rare. As problems in urban management can be
advocacy, networking and collective action.
quite complex and often concern the interests of particular groups,
the involvement of communities can help to resolve complicated • Taking action on issues detrimental to the well-being of
issues. people or society such as peace, human rights, the
environment, gender issues, and economic structural
In all consideration of public participation it is important to
adjustment.
distinguish between participation with labour or sweat equity in
a project requiring physical effort and participation in which the Among the more prominent NGOs active in the region are
participants are fully involved in the process of policy formulation, the Urban Shelter Network of Lae, HART (Housing Assistance
affecting the local environment, including the raising of sensitive and Relief Trust) and the Methodist Church in Fiji, the Samoan
issues. There are many examples of the former but not many of church groups that provide housing for rural migrants and some
the latter. cooperative societies. Their work is often hampered by legal and
procedural constraints and they require support from national
URBAN AND CIVIC FORUMS and local governments in many small ways to enable them to
Urban summits, along the lines of the national summits being deliver assistance to those in need.
used widely in the Pacific, could be organized for all stakeholders
in a particular urban area or on a specific issue to consider options
PRIVATE SECTOR
and select lines of action to seek solutions. The real estate industry has a limited role in land development
The stakeholders include settlers, landowners, local authorities, and housing in the region owing to the limited availability of land
government agencies, NGOs, community associations, academics, for urban development.
the business sector and religious organizations. Urban forums The private sector has been active in the building and
have become a useful vehicle for public participation in many infrastructure construction and transportation areas but not in the
Asian cities. management of services such as water supply. Although very few
countries in the Pacific could provide the economies of scale
NON-GOVERNMENTAL ORGANIZATIONS required for private sector operations, governments could
Non-governmental organizations working in housing, encourage the private sector to manage certain aspects of services.
infrastructure and services are active in many countries, acting There will be a growing demand for the private sector in housing
either individually or as national networks. Their actions range development if the land supply constraints could be removed.
124 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 125

HUMAN RESOURCE DEVELOPMENT public administration and adequate training for both elected
Trained professionals are in short supply in the fields of urban representatives and local government personnel is essential to
management, urban and regional planning, urban infrastructure develop the capacity for addressing the new situations posed by
and land development, and construction disciplines. The growing urbanization.
improvement of institutional arrangements for urban development
RECOMMENDATIONS FOR LOCAL GOVERNMENT CAPACITY-BUILDING
at the central and local government levels would encourage greater
interest in these professions. Local government capacity-building should be undertaken
through four mechanisms:
The land management and development course at the
University of the South Pacific, (USP) as well as the courses in 1. Institutional strengthening, especially in the area of
architecture, civil engineering and urban and regional planning capabilities in negotiating with national and provincial
at the Papua New Guinea University of Technology (Unitech), governments, and with local authorities. National networks
have trained a number of professionals but more trained of professional and local government practitioners should
professionals are needed, and with a more holistic approach to be established and linked forward with overseas national
human settlements development. and regional local government associations and
organizations.
The USP course in land management and development has
2. Improved access to and greater capacity of quality
a comprehensive curriculum providing students with a choice of
education and training programmes in all human resource
urban or rural focus. This course not only covers the technical
management and human resource development areas.
subjects of land surveying, valuation, construction technology,
Access to international and regional universities such as
property development and GIS but also relevant aspects of
Northern Territory University (NTU), University of the
macroeconomics, commerce, accounting, law, sociology and
South Pacific, University of Papua New Guinea, and the
management, together with a full coverage of the principles and
Papua Guinea University of Technology of Lae, James
problems of land tenure.
Cook University, etc. should be encouraged and developed.
In addition to the land management and development course,
3. Greater international linkages and partnerships should be
USP offers a basic undergraduate course in town planning for
fostered to exchange technical and managerial skills and
those already working or interested in working in town and country
knowledge between countries and organizations.
planning without having to leave the region. However, the courses
offered are running below capacity and USP is therefore unable Greater access to and development of information and
to introduce courses to cover other aspects of human settlements databases and exchange of information in local government matters
management. Training is also needed in a range of skills at the should be undertaken.
technician level (for example, for electricians, plumbers and
carpenters). This is being provided at national institutes in many URBAN GOVERNANCE AND MANAGEMENT
countries in the region but the volume of trainee intakes would The issues briefly covered above concerning planning,
need to be increased to supply the demand that would be created infrastructure, housing, land supply and community participation
by positive improvements in national programmes for improving need to be addressed in an integrated manner through a division
urban development. of responsibilities between the central and local governments.
The training of local government councillors has been At the central government level this calls for a high level of
identified by the Commonwealth Local Government Forum as coordination among the different agencies that provide services
being an essential need. In the Pacific, this is a new sphere of in urban centres and a proactive interest in developing the
126 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 127

administrative capacity at the city level. The concept of sound Establishing regular, open and democratic local elections,
urban governance involves the establishment of effective taking account of the respective cultural context.
management systems for the mobilization and utilization of • Developing transparent and accountable local government.
physical, economic, cultural and human resources and for • Ensuring that local government is properly resourced.
transparency and accountability to the community.
• Recognizing the role of traditional leaders and the relevance
The techniques of sound urban governance have been of local cultural diversity.
thoroughly explored by the World Bank, UNDP and the United
In Samoa, the seventh national development plan proposed
Nations Centre for Human Settlements under the Urban
to introduce new legislation for the establishment of an Apia
Management Programme. The principles have been applied in
municipal authority with powers to control land use, improve
many cities in the developing countries through technical assistance
services and promote the economic and social development of the
programmes (UNCHS 1998).
city.
POLITICAL COMMITMENT TO URBAN GOVERNANCE However, progress has been slow. Cook Islands also considered
The comparative newness of the urbanization process and the establishing a local authority for the urban area of Rarotonga but
scale and speed of urban growth have made it difficult for national, no concrete action has been taken. In both countries, the idea of
provincial and local governments to facilitate the supply of the a western-style local government is contrary to the traditional
key factors of urban production: land, shelter, infrastructure and systems of leadership and customary land ownership patterns.
services. Inadequate planning and provision of services are felt However, urban areas are modernizing at a fast rate and the
primarily by the poor, resulting in an increase in inequality within traditional structures do not have the capacity for the kind of
towns and cities. urban management that is needed. Perhaps a mixture of both
Increasing demand for urban services calls for sound urban systems could be devised with the assistance of transitions such
management and planning practices suited to local political and as the Asia-Pacific section of the International Union of Local
social contexts, supported with improved technical competence Authorities (IULA-ASPAC) and the Commonwealth Local
and financial inputs. Sound urban governance and management Government Forum.
should be considered a crucial part of the national economic
ECONOMIC REFORMS
development process.
The Pacific island states have some serious economic and
RECOMMENDATIONS FOR SUCCESSFUL DECENTRALIZATION natural constraints.
The following key principles are important components for These include small domestic markets and distance from larger
successful decentralization strategies: markets, narrow resource bases, lack of economies of scale, limited
1. Giving formal recognition to the role of local government, domestic revenue-generating capacity, a high degree of
including constitutional recognition and the enactment of dependence on external assistance, importance of remittances, the
appropriate national legislation. public sector and imports, and vulnerability to external shocks
2. Ensuring autonomy for local government as an equal and natural disasters.
sphere of government alongside provincial and national Many governments in the region are currently implementing
government. economic and public sector reform measures coordinated by the
3. Defining clearly the distinct role and functions of local Asian Development Bank targeted towards increases in income
government in relation to other spheres of government. and employment and improvements in human development
128 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 129

indicators. The critical goals of the reform process that could have infrastructure services are provided by central government
a positive effect on the approaches to urban management are: agencies and local authorities have the responsibility for
• Achieving macroeconomic stability. management of the local environment and manage public facilities
• Instituting good governance with greater public such as the markets. However, the crucial role for the local
participation in government. government is the planning and coordination of local and central
government initiatives. Most do not have the legal authority or
• Making public service more accountable for efficient and
the financial capacity or the human resources for this essential
effective service.
task. This has been the experience of the Honiara Town Council
• Catalysing private sector investment to provide more in the implementation of the Honiara Town Council Development
incomes, employment, goods and services. Plan 1988-1992.
CAPACITY TO ADDRESS NEW CHALLENGES Although most governments recognize the need for a
decentralized form of government at the urban level, political
Local government in the Pacific is generally based on western
support for the growth of local government is limited. Local
models in Melanesia and the Federated States of Micronesia. Under
councils receive limited financial support from central governments
the provisions of the relevant legislation, a proposal to declare a
and external aid is seldom directed towards increasing local
city or a town over a defined area is publicly notified and
government capacity. The smallness of some countries leads to
representations are dealt with. Local elections are organized and
limited government interest in promoting subnational urban
the elected body forms the local government. Papua New Guinea
government, which is seen as duplication. In some countries,
and Solomon Islands have a provincial system of government,
urban government is currently in the process of evolution and
which has responsibility for local government.
democratic processes have been introduced in recent years. The
In Vanuatu, the Municipalities Act of 1985 sets up Commonwealth Local Government Forum, at its South Pacific
municipalities with responsibilities but capacity is lacking at the round table, has identified a set of useful suggestions for good
local level. In Apia, in the absence of elected local government, government at the local level.
an arrangement is made based on traditional local leadership
structures of the different villages that form the urban centre. RECOMMENDATIONS FOR ACHIEVING GOOD GOVERNANCE AT THE
Fiji has a well-developed system of urban local government, LOCAL LEVEL
with two city councils and 11 town councils. In many centres, Achieving good government at the local level can be achieved
urban development has spread beyond the municipal boundaries by paying attention to five factors:
into areas under the jurisdiction of rural local authorities. These 1. Strengthening administrative and management skills of
authorities have the basic function of preserving public health and staff through capacity-building, education and training.
come under the supervision of a different government ministry.
2. Financial arrangements and resource growth through
No district councils have been constituted for such areas under
resource-sharing with other government spheres and
the Local Government Act. For the administration of native affairs
increased and expanded revenue-raising authority and
there is a system of provincial governments.
capacity - there should be a freeing-up of the ability of
A general characteristic is that local government bodies of local government to seek access to borrowings from
either model have insufficient capacity to manage and respond financial institutions.
adequately to the pace of urban growth. Usually, there is a division
3. Local government and community empowerment with
of responsibilities and in most countries in the South Pacific major
statutory provision for greater openness and accountability
130 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 131

with access to a local government ombudsman on state customary lands and lands occupied by squatters, and political
and national issues - there should also be a public education difficulties in raising rates to the maximum level permitted in the
programme in local government to encourage full local government legislation. The tax-paying responsibilities of an
community participation. urban landowner are not yet fully recognized by customary
4. New mechanisms for service delivery, including more landowners in cities and towns in most countries. The land revenue
cost-effective quality service provided by local government, base is a potential source of finance for supporting the development
state/national partnerships, and greater involvement of of local government in the South Pacific but it remains untapped.
NGOs, the private sector and community organizations, Meanwhile, the provision of services in urban areas remains a
all in a context of promoting environmentally and socially financial burden on central governments.
sustainable development. Local government bodies with a record of sound financial
Achieving equal opportunities and gender balance through management have the possibility of accessing capital markets but
the encouragement and involvement of women in local this often requires a guarantee from central government. This
government while recognizing that, as a result of natural cultural aspect clearly demonstrates the responsibility that central
differences, transitional mechanisms may need to be put in place governments need to discharge to encourage sound urban
in the move towards a greater gender balance in local government. development.
This type of central government support of a facilitating nature
URBAN FINANCIAL BASE for local governments is required not only in the area of finance
Urban government bodies in the South Pacific operate with but also in the area of land supply. Effective central government
insufficient funds but their responsibilities are growing. Most city initiatives are urgently required in order to activate the land
and town councils are barely able to finance regular service market mechanisms that promote orderly urban growth. Such
functions and have little or no reserves for undertaking minor action can have the effect of strengthening the revenue base of
capital works. Yet they serve a wide region beyond the municipal local governments on a sustainable basis.
boundaries.
Most local government authorities are expected to mobilize REGIONAL COOPERATION
their own finances and they rely largely upon property taxation Countries have been addressing urban management problems
raised from the area within their jurisdiction. Some have the with little information from or contact with other countries in the
authority to charge business licences and some, like Suva and region or outside. Many international programmes in human
Nadi in Fiji, have constructed commercial buildings which are settlements bypass the Pacific for a variety of reasons, including
being managed successfully and with positive financial results. distance, relative smallness of the problems and the absence of
In countries that do not have a land-taxation regime, local a regional voice on human settlements issues. A regional
authorities are totally dependent on financial support from the programme in human settlements would benefit countries in the
central government. In Apia, there is no formal local authority following ways
and no property taxes are imposed. Additionally, there is no • Increasing awareness of the problems in urbanization and
requirement to register property developments with any the opportunities for economic and social development
government agency (UNCHS 1996b). that sound urban management can generate.
Local governments in the region experience many problems • Enabling a collaborative approach to seek solutions.
in the area of finance. The major ones are the collection of property • Providing information on the many successful experiences
rates or taxes, especially arrears, inability to collect rates on unleased to improve national responses.
132 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 133

• Provide a unified position at global and major regional COORDINATING PHYSICAL PLANNING WITH ECONOMIC PLANNING
forums. Most countries have undertaken medium-term strategic
Specific items for regional collaboration include improvement development planning but physical planning has been a relatively
of human resources in the urban development fields, urban/local neglected area. For efficient and sustainable development, physical
government administration, customary land development, waste planning needs to be integrated or at least coordinated with
management and application of urban and housing indicators. economic and social development planning. This can best be
achieved at the regional level to incorporate economic, social and
URBANIZATION AND PLANNING physical planning, taking into account current and projected
National populations are increasing rapidly in most of the symbiotic relationships between the town and its surrounding
Pacific island states and an increasing proportion of the national areas. Such an approach would strengthen coordination between
populations is now living in urban centres. In spite of past and urban planning and national economic development planning.
current emphasis on rural development, the future of human Appropriate institutional arrangements and legislation would need
settlements in the Pacific is an urban one. to be introduced suited to the national and local contexts.
This new phenomenon in the development of the Pacific PROMOTING INTEGRATED RURAL AND REGIONAL DEVELOPMENT
islands needs to be recognized by governments as a reflection of
The promotion of rural development is essential since a
social advancement and modernization. Urbanization has many
substantial proportion of the national population lives in the rural
positive social, economic and environmental aspects and these
areas but these should be complemented with urban development
need to be addressed in an integrated manner at the national,
policies. Regional cities and rural centres need to be strengthened
provincial and local levels to ensure a constantly improving quality
to service the rural areas and outer islands.
of life for people.

FORMULATING NATIONAL PLANS FOR URBANIZATION URBAN INFRASTRUCTURE


As the Pacific island economies become more closely linked It is important to recognize that adequate provision of urban
with the global economy, the pressure for efficient urban services is the key to orderly development of cities and, considering
management will increase. Governments need to consider the high cost of investment, it is essential that existing assets are
urbanization as a crucial part of the national economic development rehabilitated and maintained and that the consumer base is
process and adopt a positive and proactive approach to urban expanded.
growth by taking measures that enable towns to grow in an CONSERVING WATER RESOURCES
orderly way.
Water resources need to be protected, especially catchment
This will be a departure for many governments but there is areas outside the urban areas, as well as underground water
sufficient experience in the Pacific to build upon. An example of resources. Improved management practices are required to
a recent national initiative is the National Plan of Action on preserve the viability of existing water supply systems.
Urbanization submitted by the Government of Papua New Guinea
to the United Nations on Human Settlements Conference (Habitat PROVIDING SEWERAGE
II). Governments should consider formulating national plans for Proper sewerage services are essential even for normal urban
urbanization and include these as integral parts of the national densities and there is a limit to the efficiency of septic tanks in
economic development plans or similar national planning the geological conditions of urban centres such as Honiara, Port
instrument. Moresby and Suva. The investment in sewerage reticulation and
134 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 135

treatment facilities is relatively high but the long-term costs of HOUSING DEVELOPMENT
avoiding such investments are much higher. Information also The growing level of urbanization will generate a constant
needs to be disseminated on suitable on-site technologies such as demand for housing at all affordability levels. Housing is an
ventilated improved pit latrines, which have had some success in important component of the construction industry and a recognized
Vanuatu. generator of employment opportunities.
IMPROVING SOLID WASTE MANAGEMENT Global experience indicates that poor people build cheaper
and more satisfactory houses than governments through self-help
The gravity of the problem of waste management needs to be
systems or through private sector initiatives. The key to solving
recognized and the cultural constraints on sound waste
the urban housing problem is to enable markets to produce as
management need to be addressed. Possible action could include
many solutions as possible in different physical, social and financial
the following:
environments.
• Community consultations could resolve the issue of the
availability of suitable lands for waste disposal. DEVELOPING LOCAL BUILDING MATERIALS
• Waste minimization programmes could be launched The development of local building materials could be
through public information. encouraged and local building regulations could be adapted to
• Waste recycling programmes could be encouraged. suit local affordability levels and permit incremental construction
of houses. The informal sector could have an active role.
FINANCING INFRASTRUCTURE
A number of initiatives could be undertaken to mobilize funds IMPROVING HOUSING FINANCE MECHANISMS
for the adequate provision of services. These include: Alternative ways for developing mechanisms for housing
• Making better use of existing urban infrastructure finance include:
investment, using community decision-making processes • Accessing members' credits with the provident fund for
to clarify cost-recovery and management issues, improve equity for loans provided by housing corporations,
arrangements for long-term maintenance and formulate commercial banks and the development bank.
investment plans. • Developing housing capital markets by encouraging the
• Encouraging the potential role of the private sector, as setting-up of private housing finance entities, with or
well as community associations and cooperatives, in without government equity. The Commonwealth
building and owning categories of infrastructure, Development Corporation and its local partners in the
particularly in the larger island countries. region could provide a lead in this field.
• Sharing the burden of financing between the central • Clan-based guarantees to housing loans, as in Samoa.
government and the urban local government. • Credit unions and similar community-based saving
• Examining the possibility of accessing provident funds, schemes.
which now dominate the finance sector in most island • Adapting the "banking on the poor" approach of the
countries, to become a regular source for infrastructure Grameen Bank in Bangladesh and the Urban Community
financing. Development Office of the Government of Thailand, to
• Examining the possibility of selected urban authorities provide small loans for housing, small businesses and
issuing bonds, under government guarantee, for financing services.
the urban infrastructure.
136 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 137

PROVIDING SECURE AND SERVICED SITES FOR THE POOR • Fiji's Native Land Trust Board roles as a custodian and as
All Pacific people have the ability to construct simple shelters a developer of customary lands.
through the assistance of family members and friends. For this • Landowner initiatives in the peri-urban areas of Papua
they need sites with basic services and a secure tenure, legal or New Guinea and Fiji to meet the demand by creating
customary, and small loans. Thus, the meeting of housing needs informal urban settlements.
is dependent largely on improving the land supply mechanisms. • Vanuatu's initiatives in urban land reform.

UPGRADING INFORMAL SETTLEMENTS CONSIDERING AN INCREMENTAL APPROACH TO LAND DEVELOPMENT


Policies should be put in place to safeguard the housing Land subdivision standards could be adjusted to allow
investment that people have made in informal settlements and to incremental development of infrastructure so as to increase
upgrade such settlements by providing security of tenure through affordability by tenants and thus activate the land market. Under
negotiation with the landowners and providing the basic services such an incremental approach only the essential services would
at affordable levels. The community can manage the upgrading be installed first, enabling people to settle at affordable prices.
process over time with support from the appropriate agencies and Upgrading of infrastructure can be undertaken later through a
NGOs. Reviewing the mandates of national housing agencies to combination of central and local government and community
enable them to play a more strategic role in urban development investments.
could do this.
ENABLING CUSTOMARY LANDOWNERS TO BECOME ACTIVE IN THE
LAND SUPPLY LAND MARKET
Urbanization requires the availability of serviced land on a Governments could launch or support capacity-building
regular basis for a whole range of private and public urban uses. programmes to enable customary landowners to be active in the
As most government and freehold land in and around urban land market. Governments could provide basic infrastructure to
centres is built up (except for government lands in Tonga), most guide the opening-up of land for orderly settlement. Legislation
of the land development will have to take place on customary could be introduced to facilitate long-term leasing of customary
land. land, with adequate protection for landowners and tenants. Land
Governments and landowners throughout the Pacific need to readjustment processes could be introduced to facilitate adjoining
formulate ways of adapting the management of customary land owners of small parcels or irregularly shaped lands to be developed
to the modern opportunities and requirements of orderly urban in an orderly manner.
development. Moreover, there is an urgent need to optimize the
EXPANDING THE APPLICATION OF GIS
use of existing developed land through appropriate urban planning
and fiscal tools. The application of GIS could be expanded to facilitate land-
titling processes. This technology is also able to support all aspects
REVIEWING NEW INITIATIVES of urban land management at the central and local government
New land policy initiatives to adapt customary land procedures levels.
to modern needs and innovative approaches to bring land on to
the market would facilitate not only orderly urban development COMMUNITY PARTICIPATION AND HUMAN RESOURCES
but also economic development generally. The following The people of the Pacific have demonstrated considerable
experiences in the Pacific could be reviewed to this end: skills in community participation for resolving issues of common
138 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 139

concern through traditional leadership structures. At the urban • A regional programme could be considered to increase
level, community organizations, leadership structures and the human resources in these fields.
issues are different and complex. People represent a vast resource • Technician-level training at the national technical institutes
and genuine public participation can resolve the crucial political could be strengthened.
and institutional issues for orderly urban development. • Information exchange on human settlement matters within
Human resources development will be a constant requirement the Pacific is currently non-existent but could be initiated.
as urbanization increases and the need for adequately trained • Opportunities could be provided for staff from one national
personnel at the managerial, professional and technician levels or urban government agency to be attached to a similar
cannot be underestimated. agency in another country.
ENCOURAGING COMMUNITY PARTICIPATION AND URBAN FORUMS ENHANCING NGO CONTRIBUTIONS
Community participation could be encouraged in the following The contribution of NGOs could be enhanced through
ways: government action to remove the many constraints on their
• Governments could support community participation by operations and by providing active support.
holding urban forums to establish a political process that
would involve all stakeholders at the national, provincial INVOLVING THE PRIVATE SECTOR IN URBAN MANAGEMENT
and local levels for developing a consensus on policies The private sector can play an active role in certain urban
and strategies for urban management. management operations on a cost-plus basis and there are many
• Women's groups can play an active role in community services which people are willing to pay for if these are reliable
consultations. and efficient. Avenues for services to be provided by the private
• Communities and landowning groups could undertake sector need to be explored in the context of each city since the
real estate development after acquiring some knowledge economic reforms currently under implementation will tend to
and skills in subdividing land, mobilizing finance and encourage the expansion of the private sector.
producing and supplying building materials and
organizing housing construction. They could be provided URBAN GOVERNANCE AND MANAGEMENT
with guidance in such ventures by the relevant government The issues described above relating to planning, urban
agencies and NGOs. infrastructure, land and housing need to be addressed in an
integrated manner since all are closely related. Appropriate
DEVELOPING HUMAN RESOURCES institutional arrangements need to be made at the national and
Sustained programmes for urban management would attract the urban centre level for the various aspects of the planning,
larger intakes of students in the built environment courses in the development and management of urban areas, with a clear division
region. of responsibilities and with adequate channels for effective public
• Embark on human resources development programmes participation. The difficult problems in urban development (except
to provide skills for land development, infrastructure for the investments for infrastructure) are not so much technical
management, physical planning, housing, financial but political and institutional.
management, local government administration and It may not be necessary in all the Pacific countries to have a
business management within the institutions existing in distinct local government authority based on western models.
the region. Experience in most developing countries indicates that, after a
140 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 141

certain size, a dedicated urban level of government is necessary • Achieving gender balance among local government
to address the growing volume and complexity of issues of a local representatives.
nature through representatives of the local residents. Any urban- • Improving the legislative framework relating to urban
level government will be a creature of the central government and government.
its structure will need to take into account the social, cultural and • Strengthening the capacity of urban government bodies to
economic context in which it is expected to deliver governance. plan, develop and manage urban centres more efficiently
and with greater involvement of local communities and
GENERATING COMMITMENT TO GOOD URBAN GOVERNANCE
regular upgrading of human resources.
Governments could ensure sound urban governance by:
Fiji's current review of the local government legislation for
• Creating appropriate capacity at the ministerial level for strengthening municipal management could be of interest to the
guiding the urban management process and for ensuring region.
effective government at the urban level.
• Taking a proactive role in the development and IMPROVING URBAN FINANCES
improvement of effective local models for urban Devolving power to the local level without commensurate
management. financial capacity is meaningless. There is a need to improve the
• Enabling urban governments, whether of the western resource base and financial management capabilities of urban
model of elected councillors or those based on traditional governments to enable them to regularly undertake minor capital
leadership structures or other models, to manage efficiently. development works and to mobilize finance from capital markets
• Encouraging the development of transparency and for major capital works. Actions include:
accountability in urban government administrations. • Resolving the issue of fiscal support to local governments
• The process of generating commitment to urban through effective dialogue between central and local
governance may be achieved through a series of governments.
community consultations. Experiences in the Pacific that • Removing institutional and legal constraints to collection
could be referred to include: of rates.
• Kiribati's consultation process for the formation of the • Exploring additional means of revenue generation,
Urban Management Plan for South Tarawa. including the operation of markets and bus stations and
wider collection of business licences.
• Consultation process in Palau for the preparation of the
urban plan. • Making arrangements for the sharing of the revenue base
and administration among urban authorities within the
STRENGTHENING URBAN GOVERNMENTS urban region.
Greater political support could be given to develop the capacity • Enabling selected local governments to borrow
of urban governments by: development funds from capital markets.
• Encouraging partnership programmes among different • Generating community confidence through improved
levels of government, the private sector, NGOs and discipline in financial management.
community organizations.
ENCOURAGING THE SMALL BUSINESS AND MICRO-ENTERPRISE SECTOR
• Providing training, facilitating dialogue on good urban
government and increasing information dissemination at A proactive approach could be taken to encourage the growth
the national and regional levels. of small businesses and micro-enterprises, which usually operate
142 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 143

in the informal sector, so that they can absorb some of the to the production of food and electric power generation. In terms
unemployed. Strategies include: of daily human consumption, access to freshwater is essential in
• Providing serviced sites, relaxation of some regulations order to meet the basic needs of personal hygiene, food and
and provision of small loans. drinking water - without it our quality of life and development
• Providing technical and marketing guidance. is placed at risk. For decades, numerous countries and cooperating
bodies have been working on addressing the challenge of securing
• Ensuring a constant programme of land development with
the provision of drinking water in sufficient quantities for the
basic infrastructure and incremental housing construction
world population at large. Considering that water production for
that could engage the informal sector on a regular basis.
human consumption is based on the availability of freshwater in
• Setting up "weekend markets". the environment, efforts have been mainly focused on the
• Encouraging the formation of profession-based protection of basins and natural water sources from degradation
cooperatives etc. and pollution.
The increase in desertification processes in various regions
REGIONAL COOPERATION
suggests that there remains much to do, particularly because this
Countries have been addressing urban management problems phenomenon concerns not only a lack of water, but also the
with little information from or contact with other countries in the destruction of the environment and its ecosystems. Access to
region or outside. Many international programmes in human freshwater during 'normal' times is important for the lives, health
settlements bypass the Pacific for a variety of reasons, including and development of people. During extreme events such as social
distance, the relative smallness of the problems and the absence conflicts and disaster situations, access is all the more important,
of a regional voice on human settlements issues. A regional playing an integral role in the affected community's recovery and
programme in human settlements would benefit countries through: its return to normal following the catastrophe.
• Increasing awareness of the problems in urbanization and The impact of water-related hazards - such as floods, hurricanes
the opportunities for economic and social development and droughts - is recognized as the main cause of disasters,
that sound urban management can generate. particularly over the last few years. This is due to on-going
• Enabling a collaborative approach to seeking solutions. environmental degradation, in addition to the lack of consideration
• Providing information on the many successful experiences of such phenomena in the decision-making and development
to improve national responses. processes, often related to land-use planning and human
• Providing a unified position at global and major regional settlements.
forums. It is therefore necessary to take the opportunity in 2003 - the
• Improving human resources in the urban development 'International Year of Freshwater' - to highlight the fact that
fields, urban/local government administration, customary securing water provision for human consumption during disaster
land development, waste management and application of situations represents a critical factor when addressing emergencies.
urban and housing indicators. In the aftermath of a disaster the availability of water
contributes to a number of tasks, including rescue work and
LACK OF FRESHWATER: A PRIMARY CONCERN AT TIMES extinguishing fires after an earthquake. In a similar manner, access
OF DISASTERS to freshwater assists in ensuring that adequate community health
Freshwater is vital to ensure the health, survival and care and services are available, as well as prompting the reactivation
reproduction of humanity. Freshwater has also proven important of different productive and commercial activities.
144 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 145

However, it is often found that freshwater infrastructure is conditions while providing those addressing emergencies with
highly vulnerable to destruction following exposure to hazards the necessary resources.
such as floods, hurricanes, earthquakes or volcanic eruptions, Some communities settle in known disaster-prone areas,
among others. Damage to the physical infrastructure of water placing themselves at increased risk when faced with a natural
provision systems poses a recurring risk which in some cases has hazard. In such cases it is extremely difficult to foster a culture
led to a lack of water provision for weeks and even months. For of disaster reduction due to the reality that the communities should
example, during the crisis caused by Hurricane Mitch, 75 per cent not have settled in such areas in the first place. By providing
of the population of Honduras (some 4.5 million people) was infrastructure and services to communities in disaster-prone areas,
either deprived of water or, at the very least, had difficulties local authorities are in fact endorsing human settlement in areas
accessing water and sanitary services. Mitch's destruction on at risk. Instead, authorities should use planning methods to define
infrastructure set the Honduran water sector back in its water and guide safe settlement, and subsequently build infrastructure
coverage services to a similar level to that of three decades earlier. to provide essential services that will encourage communities to
Three decades of efforts were lost in one week, and it will take live in safer areas. In order that authorities work towards reducing
years to once again reach the coverage achieved prior to Hurricane the vulnerability of both communities and infrastructure, an
Mitch. integral approach to risk management is needed. By being
While in theory planning for water distribution among the conscious of the importance of freshwater infrastructure when
population for extended periods during disaster situations (for addressing both emergency situations caused by a disaster and
example using tankers) is certainly possible, the reality is that it the recovery phase afterwards, local authorities can significantly
poses a significant logistical challenge, requiring the utilization of reduce vulnerability to natural hazards and safely secure water
resources that Central American countries would have great provision for communities.
difficulty in allocating. In the past, it was found that even large
cities did not have the logistical resources required to plan large- REDUCING THE HUMAN COST OF CLIMATE CHANGE
scale water distribution during an emergency, and instead resorted THE PROBLEM
to simply restoring existing water systems.
Climate-related hazards such as cyclones, droughts, floods
Too much water, too little water…main cause of disasters' is and extreme temperatures affect more people and cause more
particularly relevant when referring to the water availability during losses globally than all other natural hazards combined. The 21st
a disaster. This is because often the lack of access to freshwater Century has already been marked by escalating economic losses
may pose a threat to not only those communities directly affected and human devastation associated with disasters involving natural
(loss of lives, livelihoods, property) but also those not directly hazards. In 2006 alone, 426 disasters occurred in 108 countries,
affected by a disaster. If they lack this basic service, they too will affecting 143 million people and causing 34.6 billion in economic
become victims of the disaster. losses. Of these, 85 percent involved climate-related hazards.
The most economically feasible way of securing water Disasters exact an enormous toll not only on lives, but also on
provision during disaster situations is to geographically plan, livelihoods, homes, basic services and infrastructure.
design and build infrastructure, taking into consideration natural The destruction caused by natural disasters typically has a
hazards as conditional factors, and assessing their potential impact disproportionate impact on the poorest, in terms of both mortality
on surrounding communities. In a similar manner, infrastructure and the impact of economic losses. According to UNDP's 2007
related to water provision must also incorporate mitigation Human Development Report, based on data from the Center for
measures for ensuring that systems will function under difficult Research on the Epidemiology of Disasters (CRED), the number
146 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 147

of people in developing countries affected by climate-related Already rising temperatures and thermal expansion of the oceans
disasters has grown steadily from less than 50 million in 1975- are responsible for a quickening pace of rising sea levels and an
1979 to more than 250 million from 2000-2004. During the same overall intensification of the hydrologic cycle resulting in an
period, the number of people affected in high-income countries increase in variability and extreme events. Sea levels rose 20
has rarely exceeded one to five million in any five-year period and centimeters - 1.5 millimeters annually - between 1870 and 2001.
the trend has remained virtually flat. Between the 1990s and 2006 sea-levels rose at twice that rate, just
Recurrent, large-scale disasters and frequent, localized over three millimeters per year, affecting low-lying coasts and
disasters associated with natural hazards erode development gains islands.
and compromise a country's prospects for achieving the Melting glaciers are increasing the likelihood of hazards such
Millennium Development Goals (MDGs). In semi-arid Africa, for as avalanches and floods due to the buildup of potentially unstable
example, there is a clear relationship between rainfall variability glacial lakes. These can burst their ice and soil dams, sending
- which oscillates from too little rainfall in some years to too much walls of water down valleys at speeds close to that of a modern
in others - and disaster risk, hunger and disease. Global data anti-tank missile. Less snow and sea ice cover, which causes more
show that a disproportionate number of very poor and extremely of the sun's heat to be absorbed by the land and the polar oceans,
poor people live in drought-prone areas. may speed up global climate change, setting in motion a domino
Droughts threaten water supplies for human consumption, effect on people, economies and wildlife.
agriculture and livestock and impede hydropower generation. Global warming is already altering the earth. And while the
They force women and girls to spend hours every day carrying receding snow cover and shrinking ice caps may seem like the
water, exposing them to violence and depriving them of education. concerns of remote populations, the fate of the world's snowy and
Conversely, sharp increases in rainfall may also have a costly icy locales is cause for concern for everyone. The realities of our
human toll, resulting in floods that claim lives, homes and changing climate are expected to have far-reaching impacts for
businesses and that lead to deadly epidemics, such as of malaria. people in the Tropics, in the Arctic, and everywhere in between.
In such circumstances, unless something is done to reduce climate- The melting of Himalayan glaciers, for example, is occurring faster
related risks and losses, achievement of the MDG targets is likely than in any other part of the world. Half a billion people in the
to remain out of reach. Himalaya-Hindu-Kush region and a quarter billion downstream
The rising number of disasters, with their disproportionate who rely on glacial melt waters could be seriously affected. Glaciers
impact on the poor and negative impact on sustainable in these areas could, at current rates of global warming, disappear
development and achievement of the MDGs, makes disaster altogether by 2035, if not sooner. This is why it is vital that we
reduction and specifically the reduction of climate-related risks assess future risks by taking into account regional and local climate
essential. Trends such as increasing human settlement and trends.
investment in high-risk coastal areas are placing greater numbers
MEETING THE CHALLENGE
of people and economically important assets in danger of being
affected by cyclones, storm surges and flooding of low-lying coastal Identifying and reducing risks associated with climate-related
areas. Given the prospect of climate change, failing to redouble hazards - including drought, floods, cyclones, sea-level rise and
our efforts to reduce climate-related losses is unconscionable. extreme temperatures - can help to protect people, livelihoods and
assets, thereby promoting the achievement of development goals.
The need to reduce exposure and vulnerability to climate-
This entails identifying and mitigating the factors that cause losses
related hazards such as drought, floods and cyclones becomes
and disasters. It involves identifying the degree of societal exposure
even greater when climate change is taken into consideration.
148 Planning for Human Settlement in Disaster Prone Areas Strategies for Future 149

to natural hazards and the measures that can be taken to reduce that will prevent the loss of life and livelihoods. These actions will
the vulnerabilities of exposed people and socio-economic assets not only help protect human development now, but also help
to the hazards they are likely to face. build capacity for managing increasing risks posed by climate
With climate change, it is likely that underlying assumptions change in the future.
concerning hazard frequency and severity derived from historical Given the global challenges posed by climate change, UNDP
experience may not be a reliable basis for evaluating even relatively is ideally placed to assist countries to manage the multiple risks
near-future risks. Factors such as rising temperatures, sea-level arising across the environmental, political and socio-economic
rise, enhancement of the hydrologic cycle, and changes in regional spectrum. UNDP not only has on-going disaster reduction
precipitation averages and variability mean that conditions that programmes in approximately 50 countries and presence in 166
were formerly rare and extreme could rapidly become more countries, but it is also rolling out a climate risk management
frequent. programme in 35 high- risk countries. Through its on-going work,
The fluidity of the situation complicates risk assessment and UNDP is already identifying communities at risk and working
planning. Increasing uncertainty suggests that planning and risk closely with the affected governments to protect them from natural
assessment should take into account three factors: historical data, disasters. These interventions, which involve identifying the factors
observable trends and long-term predictions. that cause disasters and then instituting measures to reduce the
risks and plan for post-disaster recovery, are proven and cost-
Early action to improve seasonal climate forecasts, food
effective.
security, freshwater supplies, disaster and emergency response,
famine early-warning systems and insurance coverage can Whether dealing with current disaster risks or future impacts
minimize the damage from future climate change while generating associated with climate change, the essential challenges of
many immediate practical benefits. Whether dealing with current managing climate-related risks include those areas in which UNDP
disaster risks or future climate change impacts, the essential has both experience and expertise. As the UN's global development
challenges include those areas in which UNDP has both experience network, UNDP has longstanding relationships with governments
and expertise: engagement with governments and communities and other partners. Its experience in the field allows UNDP to
in high-risk countries worldwide, risk management, building work well with countries, organizations and donors to reduce
human resilience to climate variability and the technical know- vulnerability and risk in order to prevent disaster losses and adapt
how to adapt to possible environmental extremes and conditions. to climate changes.
Reliable data collection and analysis is the foundation of any To meet the additional challenges caused by climate change,
risk reduction programme. By strengthening our research and UNDP is launching a programme over 2008-2011 to substantially
monitoring capabilities we can gain more practical experience in increase the agency's commitment to climate risk management -
how best to adapt to our changing climate. an endeavor that will require additional capacity and technical
and financial resources. This programme aims to reduce climate
UNDP'S RESPONSE related risks in approximately 35 high-risk countries through an
The devastating impact of natural disasters on communities integrated approach to climate risk management developed and
is not inevitable. Scientific evidence has made it possible to identify demonstrated by UNDP.
countries that are at exceptionally high risk. By examining current
patterns of risk and what is known about probable future trends
in climate, population growth, urbanization, water demand, and
other socio-economic drivers, we can take certain actions today
150 Planning for Human Settlement in Disaster Prone Areas Disaster and After 151

Disasters include
• Tornadoes,
• Fires
• Hurricanes,
• Floods / Sea Surges / Tsunamis
7 • Snow storms,
• Earthquakes,
DISASTER AND AFTER • Landslides,
• Severe air pollution (smog)
• Heat waves,
INTRODUCTION • Epidemics,
WHO defines Disaster as "any occurrence, that causes damage, • Building collapse,
ecological disruption, loss of human life, deterioration of health • Toxicological accidents (e.g. release of hazardous
and health services, on a scale sufficient to warrant an extraordinary substances),
response from outside the affected community or area" • Nuclear accidents,
- Disasters can be defined in different ways. • Explosions
¨ A disaster is an overwhelming ecological disruption • Civil disturbances,
occurring on a scale sufficient to require outside assistance
• Water contamination and
¨ A disaster is an event located in time and space which
• Existing or anticipated food shortages.
produces conditions whereby the continuity of structure
and process of social units becomes problematic
EFFECTS OF MAJOR DISASTERS
¨ It is an event or series of events which seriously disrupts
normal activities Disasters throughout history have had significant impact on
the numbers, health status and life style of populations.
The magnitude of the effects of the event will be viewed
differently. • Deaths
Disasters are classified in various ways. • Severe injuries, requiring extensive treatments
¨ Natural disasters and Man made disasters • Increased risk of communicable diseases
¨ Sudden disasters and Slow onset disasters • Damage to the health facilities
The dividing line between these types of disasters is imprecise • Damage to the water systems
Activities related to man may exacerbate natural disasters. • Food shortage
• Population movements
Disaster means Sudden or Great Misfortune
Although experts may differ in their definitions of disaster, Health problems common to all Disasters
many public health practitioners would characterize a disaster as • Social reactions
a "sudden, extraordinary calamity or catastrophe, which affects • Communicable diseases
or threatens health".
152 Planning for Human Settlement in Disaster Prone Areas Disaster and After 153

• Population displacements POPULATION GROWTH AND DISASTERS


• Climatic exposure Hardly a day passes without news about a major or complex
• Food and nutrition emergency happening in some part of the World.
• Water supply and sanitation Disasters continue to strike and cause destruction in developing
• Mental health and developed countries alike, raising peoples concern about their
vulnerability to occurrences that can gravely affect their day to
• Damage to health infrastructure
day life and their future.
India's Natural Disasters Proneness Major disasters have had a big impact on the migration of
On the basis of geographic and climatic considerations, India populations and related health problems, and many millions are
can be divided into 5 Zones according to its disaster proneness struggling for minimum vital health and sanitation needs and
to natural disasters; suffer from malnutrition.
1. Northern mountain region including foot hills; this region Vulnerable Populations
is prone to strong Snow Storms leading to Land slides and
Emergencies, especially those that occur in Nature, only
strong Cold waves and also is Earthquake prone belt with
become catastrophic events when they combine with vulnerability
violent subterranean Volcanic activity.
factors such as human settlements and population density.
2. Indo-gangetic plains; heavy rains during monsoon make
An earthquake occurring in a deserted area would be
these plains vulnerable to Floods.
considered a natural hazard; but if it occurred in a mega city it
3. Deccan plateau; a Drought prone area. would be recognized as a major disaster.
4. The western desert; a Drought prone area. Man made emergencies and another type of emergency that
5. Coastal areas; they are prone to Sea erosion, Cyclones and has to do with population vulnerability concerns technological
Tidal waves disasters such as those of a Chemical or Radiological or Nuclear
in nature. E.g. Bhopal Gas Tragedy and Chernobyl nuclear disaster.
INDIA’S DISASTER RIDDEN HISTORY
These examples demonstrate that major and complex
• About 60% of India’s land mass is prone to Earth Quakes
emergencies are closely linked to anarchic population growth,
• Over 40 million Hectares are prone to Floods leading to unplanned population settlement, environmental
• Nearly 3 lakh sq. km are at risk of Cyclones degradation and poverty.
• The Earth quake in Bhuj killed 14,000 people The lack of minimum health services and basic health
• Cyclone in Orissa took away 10,000 lives. education are aggravating factors which could make a disaster
• Between 1990 and 2000 an average of about 3400 people out of an emergency and a complex emergency out of social
lost their lives annually. tension.
• About 3 crore people were affected by Disasters every "An earthquake is a sudden motion or trembling of the ground
year. produced by the abrupt displacement of rock masses".
• About 17,000 people perished by the Tsunami on 26 Dec.04 Most earthquakes result from the movement of one rock mass
past another in response to tectonic forces.
This is reason enough for Governments to give more priority
to Disaster Management But it has not been the case so far. The focus is the point where the earthquake's motion starts,
154 Planning for Human Settlement in Disaster Prone Areas Disaster and After 155

The epicenter is the point on the earth's surface that is directly SITE RISKS
above the focus. Some common site risks are:
Earthquake Magnitude is a measure of the strength of an (i) Slope Risks - Slope instability, triggered by strong shaking
earthquake as calculated from records of the event made on a may cause landslides. Rocks or boulders can roll
calibrated seismograph. In 1935, Charles Richter first defined local considerable distances.
magnitude, and the Richter scale is commonly used today to (ii) Natural Dams - Landslides in irregular topographic areas
describe an earthquake's magnitude. may create natural dams which may collapse when they
EARTHQUAKE INTENSITY are filled. This can lead to potentially catastrophic
avalanches after strong seismic shaking.
In contrast, earthquake intensity is a measure of the effects
(iii) Volcanic Activity - Earthquakes may be associated with
of an earthquake at a particular place. It is determined from
potential volcanic activity and may occasionally be
observations of the earthquake's effects on people, structures and
considered as precursory phenomena.
the earth's surface.
Explosive eruptions are normally followed by ash falls and/
Among the many existing scales, the Modified Mercalli
or pyroclastic flows, volcanic lava or mud flows, and volcanic
Intensity Scale of 12 degrees, symbolized as MM, is frequently
gases.
used

EARTHQUAKE HAZARDS CYCLONE


Earthquake hazards can be categorized as either direct hazards The term "cyclone" refers to all classes of storms with low
or indirect hazards. atmospheric pressure at the centre, are formed when an organized
system of revolving winds, clockwise in the Southern Hemisphere,
Direct Hazards anti-clockwise in the Northern Hemisphere, develops over tropical
• Ground shaking; waters. Cyclones are classified on the basis of the average speed
• Differential ground settlement; of the wind near the centre of the system as follows:
• Soil liquefaction; Wind Speed Classification
¨ Up to 61 km/hr Tropical Depression
• Immediate landslides or mud slides, ground lurching and
avalanches; ¨ 61 km/hr - 115 km/hr Tropical Storm
¨ Greater than 115 km/hr Hurricane
• Permanent ground displacement along faults;
• Floods from tidal waves, Sea Surges & Tsunamis Hurricane
Indirect Hazards A hurricane is a low pressure, large scale weather system
which derives its energy from the latent heat of condensation of
• Dam failures;
water vapor over warm tropical seas. A mature hurricane may
• Pollution from damage to industrial plants; have a diameter ranging from 150 to 1000 km with sustained wind
• Delayed landslides. speeds often exceeding 180 km/hr near the centre with still higher
Most of the damage due to earthquakes is the result of strong gusts. A unique feature of a hurricane is the Eye. The eye provides
ground shaking. For large magnitude events, trembling has been a convenient frame of reference for the system, and can be tracked
felt over more than 5 million sq. km. with radar, aircraft or satellite.
156 Planning for Human Settlement in Disaster Prone Areas Disaster and After 157

Classification • Food borne illnesses;Bacterial;Viral;Parasitic;Non-


The Saffir/Simpson scale is often used to categorize hurricanes infections;
based on their wind speed and damage potential. Five categories From Animals or Mosquitoes
of hurricanes are recognized:
Leptospirosis, Plague, Malaria, J.E, Dengue, Rabies
• Minimal, Moderate, Extensive, Extreme & Catastrophic
Respiratory Diseases; Avian flu, Influenza, Measles
The destructive potential of a hurricane is significant due to
the high wind speeds, accompanying torrential rains which EFFECTS OF NUCLEAR HOLOCAUST
produce flooding, and storm surges along the coastline The effects of nuclear holocaust will result into blasts, heat
storms, secondary fires, fire, ionizing radiation and fall outs.
TSUNAMIS
These effects fall into 3 categories;
Tsunamis are Ocean Waves produced by Earth Quakes or
Underwater land slides. 1). Immediate, 2). Short term and 3). Long term effects.
The word is Japanese and means “Harbor Waves” • The immediate effects include blast effects, heat effects,
electromagnetic pulse (EMP) effects and radiation effects.
Tsunami is actually a series of waves that can travel at speeds
• The short term effects include problems connected with
from 400-600 mph in the open ocean. As the waves approach the
water supply, sanitation, food, dispersal of excreta, wastes
coast, their speed decreases, but their amplitude increases.
and dead bodies, break down of vector control measures
Unusual wave heights of 10-20 ft high can be very destructive and outbreak of infections. Radioactive contamination of
and cause many deaths and injuries. water and food are major concerns. The affected area
Most deaths caused by Tsunamis are because of Drowning. creates a lot of other problems for the survivors and the
Associated risks include rescue teams.
• Flooding Major problem among survivors is of bone marrow depression
• Contamination of Drinking Water resulting in leucopenia, which increases their susceptibility to
infections.
• Fires from ruptured gas lines and tanks
• Loss of vital Community Infrastructure [police, fire, Long term effects; the knowledge about the long-term effects
medical] is still incomplete. Some well known effects include radiation
injuries due to radiation fallout, suppression of body immunity,
• Areas of greatest risks are
chronic infection and other associated illnesses.
• Less than 25 feet above sea level
Persistent radiation hazards will lead to prolonged
• Within 1 mile of the shore line. contamination of water supply, increased ultraviolet radiation,
Environmental Conditions left by the Tsunamis may contribute climatic and ecological disturbances, psychological disturbances
to the transmission of the following diseases and genetic abnormalities.
From Food or Water CURRENT WORLD CONCERN
• Diarrhea illnesses; Cholera, Acute Diarrhea, Dysentery In the light of the above facts the current world concern about
• Hepatitis-A, Hepatitis-E the use of nuclear weapons is justified. The world already possess
• Typhoid Fever an estimated total of 30,000 megatons of nuclear weapons with
158 Planning for Human Settlement in Disaster Prone Areas Disaster and After 159

a total explosive power 50-100 times greater than that of all the 1. Prevent unnecessary morbidity, mortality, and economic
explosives used during the Second World War. loss resulting directly from the disaster.
Even if 1% of the nuclear weapons now possessed are used 2. Eliminate morbidity, mortality, and economic loss directly
on urban populations, they can cause more deaths in a few hours attributable to Mismanagement of disaster relief efforts.
than during the entire period of the Second World War.
NATURE AND EXTENT OF THE PROBLEM
The fundamental aspects of Disaster Management Program Morbidity and mortality, which result from a disaster situation,
• Disaster Prevention can be classified into four types:
• Disaster preparedness 1. Injuries,
• Disaster response 2. Emotional stress,
• Disaster mitigation 3. Epidemics of diseases,
• Rehabilitation 4. Increase in indigenous diseases.
• Reconstruction The relative numbers of deaths and injuries differ on the type
of disaster.
FUNDAMENTAL ASPECTS OF DISASTER MANAGEMENT
1. Disaster response Injuries usually exceed deaths in explosions, typhoons,
hurricanes, fires, famines, tornadoes, and epidemics.
2. Disaster Preparedness
Deaths frequently exceed injuries in landslides, avalanches,
3. Disaster Mitigation
volcanic eruptions, tidal waves, floods, and earthquakes.
These 3 aspects of Disaster Management corresponds to the
2 phases in the Disaster Cycle, ie, Disaster victims often exhibit emotional stress or the "disaster
shock" syndrome. The syndrome consists of successive stages of
1. Risk Reduction Phase, before a Disaster
shock, suggestibility, euphoria and frustration.
2. Recovery Phase, after a Disaster
Each of these stages may vary in extent and duration
DISASTER RESPONSE depending on other factors.
• Appropriate application of current technology can prevent Epidemics are included in the definition of disaster; however,
much of the death, injury, and economic disruption they can also be the result of other disaster situations.
resulting from disasters Diseases, which may be associated with disasters, include
• Morbidity and mortality resulting from disasters differ ¨ specific food and/or water bone illnesses (e.g., typhoid,
according to the type and location of the event. gastroenteritis and cholera),
• In any disaster, prevention should be directed towards ¨ vector bone illnesses (e.g., plague and malaria),
reducing ¨ diseases spread by person-to-person contact (e.g., hepatitis
(1) Losses due to the disaster event itself A and shigellosis)
(2) Losses resulting from the Mismanagement of disaster ¨ Diseases spread by the respiratory route (e.g., measles and
relief. influenza).
Therefore, the public health objectives of disaster management • The current status of environmental sanitation, disease
can be stated as follows: surveillance, and preventive medicine has led to a
160 Planning for Human Settlement in Disaster Prone Areas Disaster and After 161

significant reduction in the threat of epidemics DISASTER RELIEF


following disaster. An effective plan for public health and other personnel during
• Immunization programs are rarely indicated as a a disaster would outline activities designed to minimize the effects
specific post disaster measure. of the catastrophe.
• A disaster is often followed by an increase in the These efforts can be summarized as closely situation analysis
prevalence of diseases indigenous to the area due to and response; the two types of activities are interrelated.
the disruption of medical and other health facilities Although many relief workers may be needed to obtain
and programs.
surveillance information, analyze the data, provide relief services,
MORBIDITY AND MORTALITY FROM MISMANAGEMENT OF RELIEF evaluate results, and provide information to the public, it is essential
that a single person with managerial experience be placed in
Ideally, attempts to mitigate the results of a disaster would
absolute charge of the entire disaster relief operation.
not add to the negative consequences;
Following a disaster, the desire to provide immediate relief
However, there have been many instances in which
may lead to hasty decisions which are not based on the actual
inappropriate and/or incomplete management actions taken after
needs of the affected population.
a disaster contributed to unnecessary morbidity, mortality, and
a waste of resources. The disaster relief managers can determine the actual needs
of the population and make responsible relief decisions.
Many of the Causalities and much more of the Destruction
occurring to natural disaster are due to ignorance and neglect on Reliable information must be obtained on problems occurring
the part of the individuals and public authorities. in the disaster stricken area, relief resources available and relief
activities already in progress.For This, a Surveillance systems
There is a plethora of literature describing the inappropriate
must be set up immediately.
actions taken to manage past disasters. Many of the same
mismanagement problems tend to recur. The objective of Surveillance in a disaster situation is to obtain
information required for making relief decisions.
¨ Medical and paramedical personnel have often been
hampered by the lack of the specific supplies they need The specific information required would vary from disaster
to apply their skills to the disaster situation. to disaster, but a basic, three -step processes includes:
¨ In some disasters, available supplies have not been (1) Collect data,
inventoried until well after the disaster, resulting in the (2) Analyze data,
importation of material which is used or needed. (3) Respond to data.
In a study of past disaster mismanagement problems and The analysis involves collating and interpreting the data and
their causes, these problems were categorized as follows: can include asking questions as the following:
1. Inadequate appraisal of damages • What problems are occurring? Why are they occurring?
2. Inadequate problem ranking • Where are problems occurring?
3. Inadequate identification of resources • Who is affected?
4. Inadequate location of resources • What problems are causing the greatest morbidity and
5. Inadequate transportation of resources mortality?
6. Inadequate utilization of resources • What problems are increasing or decreasing?
162 Planning for Human Settlement in Disaster Prone Areas Disaster and After 163

• What problems will subside on their own? major damage and destruction. Census data can be examined to
• What problems will increase if unattended? determine how many people previously lived in the disaster-
• What relief resources are available? stricken area and thus were at risk.
• Where are relief resources available? Hospitals, clinics, and morgues, which were in operation,
may be able to obtain numbers of known deaths and injuries.
• How can relief resources be used most efficiently?
• What relief activities are in progress? It is useful to determine the most frequent causes of deaths
and types of injuries in order to predict whether demands for
• Are relief activities meeting relief needs?
medical care will be increasing or decreasing. Some problems
• What additional information is needed for decision likely to occur after a disaster can be predicted according to past
making? experience with that particular type of disaster.
After answering such questions one can carry out the third For example, experience has shown that disruption of water
part, i.e., planning an appropriate Response to the situation supplies has often been a problem following earthquakes.
described in the surveillance data.
New types of disasters, such as chemical emergencies and
In developing this plan one will decide what types of relief nuclear accidents, still present many unknown problems.
responses are appropriate and what the relative priorities are
among the relief activities. Short-term Assessment
This 3-step process of Data Collection, Analysis and Response The short-term assessment involves more systematic methods
can be described as a closed feedback system involving re- of collecting data and is likely to result in more detailed reliable
evaluation of relief needs and their effects. information on problems, relief resources, and relief information
Surveillance following a disaster evolves in phases: on problems, relief resources and relief activities in progress.
1. Immediate Assessment One way to organize data collection during this phase of
assessment is to divide the disaster-stricken area into smaller
2. Short term assessment
areas or "blocks" to be surveyed simultaneously by different
3. Ongoing Surveillance workers or teams of workers.
Immediate Assessment Simple reporting forms can be developed and workers sent
out to survey the different areas and report at a specified time.
The object of this phase of surveillance is to obtain as much
general information as possible and as quickly as possible. The following is a list of Information, which may be needed
in order to make relief decisions
The most basic information needed at this point is the
following: • The geographical extent of the affected area as defined by
streets and other clear boundaries.
(1) The geographical extent of the disaster-stricken area,
• The number of persons known to be dead, possibly
(2) The major problems occurring in the area,
according to age groups and sex.
(3) The number of people effected.
• The estimated number of persons severely injured and /
This information can be obtained by whatever means seems requiring medical care, possibly according to age group,
most efficient. Listening carefully and asking questions is the best sex, and type of injury or medical problem.
way to begin. An Arial survey may be useful in defining the
• Estimated number of homes destroyed, homes
geographical extent of the disaster-stricken area and in observing
uninhabitable, and homes, which are still habitable.
164 Planning for Human Settlement in Disaster Prone Areas Disaster and After 165

• Condition of schools, churches, temples and other public • Provision of shelter


buildings etc. • Disposal of human waste
• Condition and extent of water supply. • Control of vector born diseases
• Condition and extent of food supply. • Disposal of human bodies
• Condition of roads, bridges, communication facilities and • Disposal of solid waste
public utilities.
• Location and condition of health facilities MASS CASUALTY MANAGEMENT
• Estimates of medical personnel, equipment's and supplies Management of mass casualties is divided into three main
available areas
· Description of relief activities already in progress (E.g. 1. Pre-Hospital Emergency Care
search and rescue, first aid, food relief etc). ¨ Search and Rescue
¨ First Aid
ONGOING SURVEILLANCE
¨ Field Care
Depending on the factors above, short-term assessment may
¨ Stabilization of the victims
take as little as 5-6 hours or up to 3-4 days. As early as possible,
relief priorities should be determined, resources ordered and full ¨ Triage
scale relief activities initiated. ¨ Tagging
Once the short-term assessment is complete and appropriate 2. Hospital Reception and Treatment
relief is in progress, surveillance becomes an ongoing system. ¨ Organizational structure in the hospital with a disaster
When information obtained by the ongoing surveillance is management team consists of senior officers in the
analyzed, new problems may become apparent, requiring medical, nursing and administrative fields
investigation. ¨ Standardized simple therapeutic procedures followed
The surveillance report is one way of coordinating different 3. Re-distribution of Patients between Hospitals
agencies and preventing duplication of relief efforts.
A relief plan developed during any of the surveillance cycle DISASTER PREPAREDNESS
may include some or all of the following activities: The objectives of the disaster preparedness is to ensure that
• Rescue of victims appropriate systems, procedures and resources are in place to
• Provision of emergency medical care provide prompt, effective assistance to disaster victims, thus
facilitating relief measures and rehabilitation services.
• Elimination of physical dangers (fire, gas leak etc)
Disaster preparedness is an ongoing, multi-sectoral activity to
• Evacuation of the population ( nuclear and chemical
carry out the following activities;
emergencies)
¨ Evaluate the risk of the country or particular region to
• Provision of preventive and routine medical care
disasters.
• Provision of water
¨ Adopt standards and regulations
• Provision of food
¨ Organize communication, information and warning
• Provision of clothing systems
166 Planning for Human Settlement in Disaster Prone Areas Disaster and After 167

¨ Ensure coordination and response mechanisms effects. Mitigation measures aim to reduce the Vulnerability of the
¨ Adopt measures to ensure that financial and other resources System [ eg. By improving & enforcing building codes etc]
are available for increased readiness and can be mobilized Disaster prevention implies complete elimination of damages
in disaster situations. from a hazard, but it is not realistic in most hazards. [eg. Relocating
¨ Develop public education programs a population from a flood plain or from beach front]
¨ Coordinate information sessions with news media Medical Casualty could be drastically reduced by improving
¨ Organize disaster simulation exercises that test response the Structural Quality of Houses, Schools, Public or Private
mechanisms buildings. Also ensuring the Safety of Health facilities, Public
Health Services, Water Supply, Sewerage System etc.
For the Health Sectors Disaster Preparedness plan to be
successful, clear mechanisms for coordinating with other sectors Mitigation complements the Disaster Preparedness and
and internationally must be in place. Disaster Response activities.
The Health Disaster Coordinator is in charge of preparedness A Specialised Unit within the National Health Disaster
activities and coordinating plans with Management Program should coordinate the works of experts in
• Govt. Agencies the field of
• Foreign Relations- UN,UNICEF.WHO & other • Health, Public Policy & Public Health
international agencies • Hospital Administration
• NGO’s- Red Cross etc • Water Systems
• Those responsible for power, communication, Housing, • Engineering & Architecture
water services etc • Planning, Education etc
• Civil Protection agencies-Police, armed forces The Mitigation Program will direct the following activities
1. Identify areas exposed to Natural Hazards and determine
EMERGENCY PREPAREDNESS the vulnerability of key health facilities and water systems
Agents, Diseases and Other Threats 2. Coordinate the work of Multi Disciplinary teams in
1. Natural Disasters: Earthquakes, Floods, Cyclones, Typhoons, designing and developing building codes and protect the
Tsunamis, Winter water distribution from damages
2. Bio-Terrorism Agents: Anthrax, Plague, Smallpox 3. Hospitals must remain operational to attend to disaster
3. Chemical Emergencies: Ricin, Phosgene, Bromine, Sarin victims
4. Radioactive Emergencies: 4. Include Disaster Mitigation Measures in the planning and
development of New facilities
5. Mass Trauma: Explosions, Blasts, Burns, Injuries
5. Identify priority hospitals and critical health facilities that
6. Recent Outbreaks and Incidents: Bird flu, SARS, West Nile complies with current building codes and standards
Virus, Mad Cow Disease
6. Ensure that mitigation measures are taken into account in
a facility’s maintenance plans
DISASTER MITIGATION
7. Inform, sensitize and train those personnel’s who are
It is virtually impossible to prevent occurrence of most Natural
involved in planning, administration, operation,
Disasters, but it is possible to minimize or mitigate their damage
maintenance and use of facilities about disaster mitigation
168 Planning for Human Settlement in Disaster Prone Areas Disaster and After 169

8. Promote the inclusion of Disaster Mitigation in the curricula • Investigate all reports of disease outbreaks rapidly. Early
of Professional training institutes clarification of the situation may prevent unnecessary
dispersion of scarce resources and disruption of normal
TECHNICAL HEALTH PROGRAMS progress
• Treatment of casualties
• Identification and disposal of bodies ENVIRONMENTAL HEALTH MANAGEMENT
• Epidemiological surveillance and disease control Post disaster environmental health measures can be divided
into two priorities
• Basic sanitation and sanitary engineering
1. Ensuring that there are adequate amounts of safe drinking
• Health management in shelters or temporary settlements
water, basic sanitation facilities, disposal of excreta, waste
• Training health personnel and the public water and solid wastes and adequate shelter
• Logistical resources and support 2. Providing food protection measures, establishing or
• Simulation exercises / Mock Exercises continuing vector control measures, and promoting
1. Desktop simulation exercises[ war games ] personal hygiene
2. Field exercises • Water Supply
3. Drills designed to impart skills
ALTERNATE WATER SOURCES
EPIDEMIOLOGIC SURVEILLANCE AND DISEASE Mass Distribution of Disinfectants
CONTROL • Food Safety
Natural disasters may increase the risk of preventable diseases • Basic Sanitation and Personal Hygiene
due to adverse changes in the following areas • Solid Waste Management
• Population density • Vector Control
• Population displacement • Burial of the Dead
• Disruption and contamination of water supply and • Public information and the Media
sanitation services
• Disruption of public health programs EVALUATION
• Ecological changes that favor breeding of vectors In the case of disaster management, the Evaluator will be
• Displacement of domestic and wild animals looking at the " actual" verses the "desired" on two levels, i.e. the
• Provision of emergency food, water and shelter in disaster overall outcome of disaster management efforts and the impact
situation of each discrete category of relief efforts (Provision of food, shelter,
management of communications etc)
The principles of preventing and controlling communicable
diseases after a disaster are to; A critical step in the management of any disaster relief is the
• Implement as soon as possible all public health measures setting of objectives, which specify the intended outcome of the
to reduce the risk of disease transmission relief.
• Organize a reliable disease reporting system to identify The general objectives of the disaster management will be the
outbreaks and to promptly initiate control measures elimination of unnecessary morbidity, mortality and economic
170 Planning for Human Settlement in Disaster Prone Areas Disaster and After 171

loss directly and indirectly attributable to mismanagement of • the elimination of the preventable consequences of the
disaster relief. disaster
The comparison of the "actual" with "desired" is the first • The prevention of losses due to disaster mismanagement.
critical step of evaluation. If the objectives were met, those who Appropriate disaster relief follows a specific pattern;
have participated in the relief have demonstrated that they have • Gathering information on the situation
accomplished what they set out to do.
• Analysis of this information
On the other hand, if the objectives were not met, it is desirable
• Developing and implementing an appropriate response
for those conducting the evaluation to continue with the evaluation
process, identify the reasons for the discrepancy and suggest This pattern occurs at various levels;
corrective action. • immediate assessment,
Simulated Disaster Preparedness Operations should be • short-term assessment
undertaken to test the various components before actual need • ongoing assessment,
arise. Through study of the past disasters, their effects and their
Evaluation of the health disaster management program relief efforts [what has been effective and what have been
• Evaluation of the preparedness program mismanaged] better plans are now available for effective disaster
• Evaluation of the mitigation measures management as well as for the reduction of preventable losses.
• Evaluation of the training • The disaster proneness varies widely from State to State.
• The country will have to pay more attention towards
PREVENTION OF DISASTERS creating public awareness and preparedness in respect of
Existing knowledge that might reduce the undesirable effects people living in known disaster prone areas.
of disasters is often not applied. • Special training is required to the medical, paramedical,
¨ Hurricane/Tornado/ Cyclone warning systems voluntary workers in the relief and rescue work.
¨ Legislation preventing building in the flood prone areas • Any Disaster is an emergency situation and the health
sector alone cannot tackle it in isolation.
¨ Requirement of protective cellars/shelters in disaster prone
areas • It must have Coordination with the local community, civil
defense, army, police, fire brigade and with various
¨ A Seismic housing code for earthquake-prone area
governmental and non-governmental bodies including
¨ Strict procedural code followed to prevent Nuclear, voluntary organizations like Red Cross.
Toxicological and Chemical disasters
¨ Early warning systems, and Disaster preparedness which
will help to minimize morbidity, mortality and economic
loss

SUMMARY
Disasters have resulted in significant morbidity, mortality
and economic loss. Public health is concerned with two objectives
in disaster management;
172 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 173

cornerstone of UN-HABITAT's strategy is to leverage investment


in the emergency and recovery phases into the longer term
development of human settlements. Through UN-HABITAT
participation at the earliest stages, we ensure that human
settlements interventions, either immediate emergency or transition

8 recovery, are linked to longer-term development strategies in


disaster hit countries.
Paradoxically, disaster can also be an opportunity. Recovery
SUSTAINABLE RELIEF AND phases offer a unique chance to revisit past practices and rewrite
policies affecting future development in disaster-prone areas. A
RECONSTRUCTION range of mitigation measures can be incorporated during recovery
to promote vulnerability reduction. Beyond the physical aspects
of rehabilitation, the recovery period also offers an opportunity
INTRODUCTION for the society at large to strengthen local organizational capacities,
and to promote networks, awareness and political mechanisms
For more than 10 years, UN-HABITAT has been operating in
facilitating economic, social and physical development long after
humanitarian and crisis situations, supporting national
a disaster - that is, to build its own sustainability.
governments, local authorities and civil society in strengthening
their capacity to manage and recover from human-made and UN-HABITAT is in deed in a strong position to act in a
natural disasters and mitigate future disasters. Understanding the technical advisory function in two key areas: the development of
discontinuity within the international aid community between local capacity for managing and mitigating disasters and
the short term humanitarian imperative, and longer term supporting capacities of outside actors to provide operational
reconstruction and development priorities, UN-HABITAT has response within a sustainable development context. In recognition
engaged and offered its perspectives on bridging this divide. of this contribution, in April 2004 UN-HABITAT was invited to
bring to the Executive Committee for Humanitarian Affairs
Conceptually, disaster management and reconstruction
(ECHA) its perspectives and support to international interventions
encompass many dimensions; exploring the roles of various
within the context of shelter and human settlements.
institutions at civic, municipal, national and international levels,
addressing the impacts of natural and human caused disasters UN-HABITAT will use this operational experience to generate
from the perspectives of reducing their impacts, and assisting in normative products to be recycled into future disaster response,
the sustainable reconstruction of settlements following disaster. including vulnerability reduction, preparedness and mitigation in
The Disaster Management Programme of UN-HABITAT has general. UN-HABITAT will continue drawing on practical
focused on its normative responsibilities, using the Agency's experiences and extracting lessons with a view to continuous
experiences in the field, forging alliances with key partners, and learning both internally as well as in support of sister agencies
engaging in dialogue as a means of refining and defining the role and humanitarian actors. These normative products will be
of the agency in the arena of humanitarian response and integrated in future response strategies for human settlements in
vulnerability reduction. crisis.
When hazards turn into disasters or a struggle for political Through its involvement from the outset of the crisis as a
and economic control turns into an armed conflict, it is always supporting partner in reconstruction, shelter, infrastructure and
human settlements, people and property that are worst hit. The governance, UN-HABITAT is in a crucial position as an institutional
174 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 175

partner to help humanitarian agencies, local and national field, all within the context of reflecting and reviewing the precision
governments - and most importantly the affected and most of the conceptual SRR framework, and further elaborating it. This
vulnerable communities. Through this approach the recent process also supports the formal commitment of development of
emergency response activities have made a mark throughout the a strategic UN-HABITAT Policy on human settlements in crisis
affected countries, and UN-HABITAT has managed to introduce as requested by the 20th session of the GC in Res. HSP/GC/20/
the perspective that short term humanitarian support to human 17. For the way forward, our hope is to obtain a commitment from
settlements in crisis can and should be used in a manner that the partners and colleagues to working collectively with UN-
promotes and facilitates longer term gain and reduces future HABITAT to ensure the implementation of sustainable recovery
risks. both in prevention and in response to human settlements in crisis.

THE PROCESS THE APPROACH


In response to the deliberations of the 19th session of the The changing nature of conflict and natural disasters is leading
Governing Council of 2003, and its recommendation for a report to re-visioning of traditional approaches to recovery assistance.
on the theme 'Post conflict, natural and human-made disasters Natural and human-caused emergencies are increasing in
assessment and reconstruction' UN-HABITAT's conceptual regularity, and perhaps more importantly, their impacts on
framework entitled 'Sustainable Relief and Reconstruction' has populations and human settlements are rising alarmingly. This,
been formulated. This concept, as introduced in the pre-session coupled with cycles of dependency and shortage of resources, all
document HSP/GC/20/5, is derived from key elements of the point to the need to develop innovative approaches and re-examine
Habitat Agenda, and the Agency's experience, methodologies and traditional policies on relief, recovery and mitigation assistance.
principles of involvement in support of human settlements in The international community is performing an ever-widening
crisis. range of recovery and rehabilitation activities. This exacerbates
The development of the concept has been a consultative the fundamental challenges of the crisis management and recovery
process, through which the primary elements have been critically processes; how to bridge the gaps that have repeatedly emerged
reviewed and debated with UN-HABITAT's partners and between emergency recovery and sustainable development efforts,
colleagues both during the second session of the World Urban and how to provide national and local government, civil society
Forum in 2004 as well as during the third session in 2006. and business organizations with practical strategies to mitigate
The Networking Event entitled 'Sustainable Relief and and recover from crises, and also to prevent lapsing back into
Reconstruction - turning discussions into operational reality'' crisis. It is equally critical to build the capacity of national and
during the World Urban Forum III explored a range of issues international aid agencies to deliver rapid response services that
pertaining to the concept of 'Sustainable Relief and Reconstruction' integrate a longer term developmental strategy. Based on these
ranging from land administration in post conflict environs, through changing dynamics in international assistance, it is clear that a
the importance of integrating community and in particular women, new approach is required. Through analysis of these needs, the
as well a global issues pertaining to risk and vulnerability reduction. concept of sustainable relief and reconstruction has emerged.
The networking event continued the momentum built up in WUF
DISASTER MITIGATION - BUILDING A CULTURE OF PREVENTION
II in 2004 and during the Governing Council in April 2005,
concentrating on operationalising the conceptual framework and Mitigation is the first step towards a comprehensive approach
the guiding principle of Sustainable Relief and Reconstruction. to managing disasters. Communities are often unaware of the
The event introduced good practices and lessons learnt from the hazards they face, do not put much trust in mitigation strategies,
and rely heavily upon emergency responses from others when the
176 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 177

need arises. Sustainable relief and reconstruction encompasses all CRISIS RESPONSE - MEETING THE LONG TERM NEEDS OF MANY, WHILE
phases of disaster management, from mitigation to response; with SUPPORTING THE EMERGENCY NEEDS OF FEW
a view to improving communities' and governments' capacities When conflicts occur or hazards turn into disasters, human
to prevent and mitigate disaster events so that needs during settlements - people and property - are the most affected. Therefore,
response are reduced. any recovery process irrespective of its short- or long-term planning
Concepts of sustainability and sustainable development offer horizon has to consider, in addition to meeting urgent human
a crucial framework for integrating vulnerability reduction plans needs, the physical infrastructure and human settlements problems
in the context of disaster recovery. Sustainable human settlements that arise, including adequate shelter for all and sustainable human
development does not necessarily prevent disasters, but it should settlements development. In many post-crisis scenarios, experience
mitigate their impact. Disaster mitigation and management needs has shown that interventions are most effective when they are
to look beyond the hazards alone to consider prevailing conditions designed to begin simultaneously; consideration of long term
of vulnerability. It is the social, cultural, economic, and political impacts of short term interventions can add value to the latter,
setting in a country that defines the level of vulnerability or and depth to the former. A process of long-term reconstruction
resilience, of its people and communities. and economic recovery should therefore begin while post-
A better understanding and emphasis on capacity development emergency actions aimed at restoring normality for the affected
during mitigation will increase the ability of local actors - civil populations returning home or settling in new places are being
society, local and national government - to respond effectively to undertaken. In this manner, strategic investment during emergency
disasters. and relief stages can contribute significantly to building
foundations for development.
The cornerstone of the implementation strategy is to build a
"culture of prevention" among society at large. Such a culture will Post-crisis responses by national governments, bilaterals,
not only save lives but will enhance the economic and social NGOs and UN agencies have been characterized by rapid
fabric, through working with cities and civil societies to reduce rehabilitation projects including water and sanitation, housing,
their vulnerability to natural and human-caused disasters, as well irrigation, food-security measures and health. These tend to be
as providing sustainable solutions for the re-construction of war- ad-hoc, palliative and not linked to overall development objectives
torn and post-crisis societies. Disaster management and mitigation of disaster-hit countries. Piecemeal efforts that are not connected
therefore needs to be introduced as an integral part of any on- with the long-term development strategy can not only aggravate
going development and poverty reduction plans. precarious social conditions creating dependency on aid, but are
a critical waste of financial and human resources invested in
It is essential that the community as a whole be involved in
short-sighted emergency relief plans. Humanitarian agencies can
developing and implementing mitigation and sustainable
no longer operate in isolation; instead they require active
development programmes.
participation from development-oriented agencies. The real
Civil empowerment is a fundamental complement to any challenge lies in broadening the portfolios of humanitarian and
mitigation exercise undertaken within cities or by civil society. developmental actors and in bringing them together in shared
Without a common understanding of the necessity for mitigation realization of recovery processes for sustainable development.
measures, without the active participation of civil society in
The recovery phase can also offer a unique opportunity to
execution, and without community's sense of ownership, such revisit past practices and rewrite policies affecting future
measures stand a slim chance of reducing disasters or resolving development in disaster-prone areas. A range of mitigation
conflicts. measures, for example, can be incorporated during recovery to
178 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 179

promote vulnerability reduction, such as land-use, environmental represent. It has been our objective to establish a set of principles
and community planning, improving building codes and for approaching humanitarianism in a human settlements context.
construction regulations. Beyond the physical aspects of The next vital step is that these guidelines are translated into
rehabilitation, the recovery period also offers an opportunity for action at all levels.
the society at large to strengthen local organizational capacities, Guiding Principles for Sustainable Relief and Reconstruction
and to promote networks, awareness and political mechanisms are the following:
facilitating economic, social and physical development long after
a. Permanent links between emergency relief and
a disaster - that is, to build its own sustainability.
reconstruction and the transitional phase of development
THE AIM are established
'Ensuring the development, in line with the principles of b. The capacities of local governments to be developed as
sustainable human settlements, of a disaster-resistant environment necessary, to operate as active partners in the process.
for residents of cities, towns and villages to live, work and invest''. c. Building and engaging capacities at all levels and of all
actors to be a priority from the earliest stages and
UN-HABITAT's conceptual framework entitled Sustainable
throughout the process from relief and reconstruction to
Relief and Reconstruction together with the guiding principles,
recovery and development.
developed as part of the broader framework, aim to provide a
robust framework for action. The concept and principles represent d. Utilisation of participatory planning and inclusive decision-
a substantive and achievable set of objectives, culminating in its making models, ensuring involvement of all actors, women
twin goals of ensuring investments in the emergency and recovery in particular, in all planning and implementation activities.
phases are leveraged for longer term impacts, and integrating the e. Developing productive economic activities the earliest
essential elements of disaster risk reduction in the process. The stages of recovery to assist consolidation of peace and
development of guiding principles serves to articulate the basic security.
practice philosophy that actors must adopt to ensure that relief f. Facilitation of safety and security of affected populations
and reconstruction assistance is having a positive effect on the as a critical pre-condition of any humanitarian or
sustainable and equal development of human settlements in post development activities.
conflict and disaster environments. The principles establish g. Developing broad-based and long-term reconstruction and
important baselines and priority areas of focus considered shelter strategies from the earliest stages ensuring more
necessary for the implementation of truly sustainable relief and effective use of emergency resources.
reconstruction activities.
h. Ensuring the protection of land and property rights of
For sustainable recovery to be achieved it will require a shift affected populations, and developing longer-term solutions
in thinking about relief, reconstruction and development at all for land and property dispute resolution to reduce potential
levels. These guiding principles offer a realistic, forward thinking for (further) conflict.
approach to recovering from crisis. Developing these guidelines i. Incorporating vulnerability reduction and disaster
on sustainable relief and reconstruction is the first step in turning management into on-going national and local development
these discussions and debates into operational realities. However, and poverty reduction plans.
for this to be truly effective, commitment must be sought from
j. Redirecting the focus on disaster risk reduction and
international agencies, governments (local and national) and civil
mitigation rather than preparedness and response related
society on these guidelines and the direction of change that they
strategies in the human settlements context.
180 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 181

k. Operating within a human rights framework, particularly operationalisation. How can the implementation of the guiding
in terms of land rights and security of tenure, and the principles become an operational reality? Is this the right starting
equal rights of women. place? Who becomes the custodian of the principles and how does
l. The creation of strategic partnerships and alliances at all one apply them? Do we sufficiently integrate the issues of
levels within the relief and reconstruction to development vulnerability reduction and sustainable disaster management in
continuum. human settlements development, incorporating them into the
m. Decentralisation of responsibility for prevention of, and national and local policies and actions?
recovery from, crises in human settlements is essential to The purpose of these principles is to articulate the basic practice
ensure appropriate, balanced and sustainable vulnerability philosophy that actors must adopt to ensure that sustainable
and risk reduction. assistance and interventions. Giving serious consideration in these
n. Building a culture of prevention entails a cross sectoral, aspects during planning and decision-making can assist
multi-dimensional approach integrating participatory communities, authorities and support agencies to realize that
analysis of risk, implementation of programmes, and decisions made during the earliest stages of recovery will have
development of policy and legal frameworks with all long-term impacts on the success and sustainability of the joint
stakeholders including civil society, private sector, local, efforts in recovery.
national and international government, in a gendered and This conceptual change needs to be backed up with new
comprehensive process. operational approaches from international agencies, governments,
o. Effective peace-building requires due attention to clear and in communities. Sustainable recovery in human settlements
and understandable legal and regulatory frameworks, is a process, combining the following key elements;
effective and impartial land and property administration, a. Bridging the gap between emergency relief and sustainable
a functional interface between local government and its development
citizens in a dialogue that builds trust and commitment b. Integration of mitigation and vulnerability reduction into
(with capacity building where essential), a common vision, sustainable development and recovery
and coordination of international actors. c. Creating appropriate human settlements conditions for
p. Understanding that crises, and in particular conflicts, facilitating the transition from emergency to sustainable
virtually always creates displacement, sustainable development
strategies integrating rights based approaches to shelter, d. Building and engaging capacities at all levels, in all sectors
tenure, and protection of the most vulnerable, need and of all actors to be a priority from the earliest stages
implementation at the earliest stages. and throughout the process.
THE ACTION PARTNER CONSULTATIONS
'Preventing man-made disasters… and reducing the impacts The concept and principles have been the subject of scrutiny,
of natural disasters and other emergencies on human settlements, assessment, and subsequent shaping with our partners; and
inter alia, through appropriate planning mechanisms and resources capitalizing on their advice, the following sections introduce some
for rapid, people-centred responses that promote a smooth elaborated elements and practical recommendations to guide us
transition from relief, through rehabilitation, to reconstruction to in formulating our future programming and implementation. The
development…' Further discussion and debate is necessary to objective of the consultative Networking Events in both sessions
review the proposed concept, principles and means for their of the World Urban Forum has been to draw together partners
182 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 183

of UN-HABITAT for an informal, provocative sessions companies and professionals who work in reconstruction, need
concentrating on both reviewing the conceptual framework and to be trained/advised to understand how recovery efforts can
the guiding principles and exploring new operational approaches help reduce vulnerabilities and make communities more resilient
for implementation sustainable support. The partner consultations to disasters.
have introduced good practices and lessons learnt from the field, Building a 'culture of prevention' at all levels in society is a
all within the context of reflecting and reviewing the precision of challenge often not met until after the devastation wrought by
the conceptual SRR framework, and further elaborating it towards disaster. However, the international aid community, governments,
sustainable realization. the media, and communities, together in partnership can and
As identified, the key thematic areas of Sustainable Relief and should use every opportunity including post disaster recovery
Reconstruction are: programmes for awareness campaigns to create a culture of
a. Disaster Mitigation and vulnerability reduction prevention, and ensure those most vulnerable need not remain
b. Land and property administration that way indefinitely.
c. Longer-term shelter strategies a. Increasing investment in disaster risk reduction -
d. Economic recovery redirecting priorities from visible and short-term
development projects to abstract long term potential threats
e. Participation and good governance
and risks. Finance and planning authorities need also to
f. Partnerships be sensitized to the importance of investing in disaster
g. Capacity building resilient interventions as more cost-effective than post-
crisis reconstruction.
DISASTER MITIGATION AND VULNERABILITY REDUCTION
b. Addressing the root causes of disasters - inadequate
Deficient urban management practices, inadequate planning
development practices increase the vulnerability of
and construction, unregulated population density, exploitation of
communities, and more focus on pre-disaster risk reduction
the environment, dependency on inadequate infrastructure and
needs to be integrated in all development planning.
services, 'absent' or incompetent local governments and institutions
all contribute to increasing vulnerability. Disaster is a result of the c. Translating technical knowledge into action - despite
combination of natural hazards and an accumulation of the above extensive knowledge on hazards and risks, not enough
factors. Sadly, it is only after the occurrence of disaster that efforts are made to prepare cities and people for their
awareness is raised on the importance of reducing vulnerabilities. worst impacts.
When disaster strikes, it ironically provides an opportunity d. Coordination - professionals are often fragmented, working
to dimension vulnerabilities, and rethink how to address these inside institutional boundaries. Risk reduction and
during the recovery and reconstruction stages, avoiding past mitigation are a cross cutting issue, requiring coordination
weaknesses within and around human settlements. Recovery mechanisms that bring a sufficiently wide group of
efforts supported by the international community, must in any stakeholders together.
case integrate risk reduction to ensure that reconstruction takes
SRR GUIDING PRINCIPLES
place wherever possible in safer locations and according to robust
building codes and safety standards. Particular attention needs a. Incorporating vulnerability reduction and disaster
to be paid to schools, hospitals, and other critical infrastructure management into on-going national and local development
needs, as well as environmental vulnerabilities. Agencies, and poverty reduction plans.
184 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 185

b. Redirecting the focus on disaster risk reduction and Of the numerous housing, land and property (HLP) challenges
mitigation rather than preparedness and response related arising in the aftermath of disaster and conflict, the demand for
strategies in the human settlements context. restitution and compensation are increasingly sought. Restitution
c. Building a culture of prevention entails a cross sectoral, mechanisms addressing the rights of displaced persons to return
multi-dimensional approach integrating participatory to their original homes and lands have increased considerably in
analysis of risk, implementation of programmes, and recent years, and these developments have slowly been matched
development of policy and legal frameworks with all by concrete actions in the field.
stakeholders including civil society, private sector, local, Protecting housing, land and property rights is always a
national and international government, in a gendered and challenging enterprise as recent attempts have clearly shown. In
comprehensive process. the past two years alone, structural restitution problems requiring
resolution arose following the 2004 Asian tsunami in several
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES countries (most notably Sri Lanka and Indonesia), the 2005 floods
a. Disaster risk reduction is everybody's business, being in New Orleans (US), the 2005 SE Asian Earthquake (Pakistan)
integral part of everyday life. Mitigation is not only a and in a range of other disasters. In terms of conflict, the attempted
responsibility of experts and disaster managers, and all resolution of housing land and property issues arose during the
sectors of the society needs to be involved. Emphasize same period in; Somalia, Sudan, and Uganda, while contingency
public awareness as the key to create proper behavior planning work continues on a range of other countries where
with long term goals in mind, applicable specifically to conflict has yet to come to an end, but where restitution themes
children as future decision-makers. loom large over any eventual peace arrangements. Whilst UN-
b. The SRR Guiding Principles should give more emphasis Habitat through its Global Campaign for Secure Tenure, has
to the pre-disaster phase and support the incorporation of considerable expertise; globally the capacity of deployable experts
risk reduction consideration into development planning. is alarmingly low and there is much scope for building and
c. Recommendations of the Hyogo Framework for Action coordinating this. Furthermore, in spite of repeated threats to
are acknowledged as part the Sustainable Relief and sustainable peace, indeterminate displacement from disasters,
Reconstruction Framework. looming conflicts over land and property rights, the issue remains
relatively low on the humanitarian and donor agendas.
LAND AND PROPERTY ADMINISTRATION
CHALLENGES
One of the major threats to stability in the post-disaster context
is the question of housing, land and property rights within the a. Inadequate financial and human resources in the field
reconciliation and reconstruction process. Access to land and water operations to match the necessary capacity for operational
resources can be a new cause of conflict following disaster or war credibility and delivery.
displacement. With high potential for destruction and looting of b. Lack of political and commitment at both local and
property, secondary occupation of both residential and agricultural international levels remains a fundamental challenge in
land and housing, and the disintegration of the institutions attempting to secure housing, land and property rights.
governing and protecting land and property rights, the potential c. The scale and scope of HLP issues may dampen the
for further conflict, or the undermining of peace processes, are enthusiasm for devoting resources together with the
likely as displaced populations return to re-occupy their homes, sometimes long periods of time required to adequately
farms, and properties. address lost rights.
186 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 187

SRR GUIDING PRINCIPLES yet has no bearing on traditional styles of housing of the region.
a. Ensuring the protection of land and property rights of In the planning of projects dealing with providing shelter and
affected populations, and developing longer-term solutions infrastructure, it is vital to consider the long-term effects of the
for land and property dispute resolution to reduce potential programmes.
for (further) conflict. Long-term shelter strategies not only focus on development
b. Operating within a human rights framework, particularly and implementation of realistic and permanent reconstruction for
in terms of land rights and security of tenure, and the affected communities, but also assist rebuilding community
equal rights of women. confidence, and support structure for civic responsibility and urban
c. Understanding that crises, and in particular conflicts, governance, through participatory planning and delivery of
virtually always creates displacement, sustainable reconstruction processes.
strategies integrating rights based approaches to shelter, Shelter issues are closely bound to mitigation aspects as well,
tenure, and protection of the most vulnerable, need particularly in disaster-prone areas. The development of disaster-
implementation at the earliest stages. resistant housing is a major factor in reducing vulnerability to
natural catastrophes.
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES But shelter issues in mitigation go beyond the structural aspect.
a. The adoption of a comprehensive global Housing, Land Rights to ownership and security of tenure make an enormous
and Property Rights Policy for application in post-conflict difference to the development, management and maintenance of
and post-disaster settings. Such a policy - which would shelter, particularly in urban areas. When people have security
cover all HLP issues, and not only restitution - would help where they live, they are better able to manage space and invest
prevent the largely ad hoc responses of the international in safety, and engage in activities that will reduce rather than
community in both post-disaster and post-conflict field increase their vulnerability.
operations in addressing the wide range of HLP crises that
invariably come about in all such circumstances. CHALLENGES
b. Policy-makers need to be given access to information on a. The demand for speedy response is still dominating over
successful examples of past restitution programmes and proper planning, detailed consultations, reviews of safety
how these worked in practice, as a means of removing and environmental requirements, quality controls and
apprehensions concerning restitution. opportunities for participatory work, i.e. sustainable
reconstruction.
LONGER-TERM SHELTER STRATEGIES b. Permanent reconstruction often remains uncoordinated,
Shelter is one of the most visible and immediate needs in post- inefficiently managed and slow to get off the ground,
crisis settings. Providing shelter and infrastructure after a disaster particularly as local government capacity to plan and
or post-conflict situation, however, is not as simple as counting participate in recovery strategies is usually limited as a
the houses lost and building replacements. There are many other result of a disaster.
issues to consider in the reconstruction of shelter. Relief efforts c. Unmet demands for professional and impartial support
are often focused on providing shelter quickly, without taking for establishing and restoring property rights.
into account the impact of short-term shelter strategies. The format
d. To use the opportunity of disaster recovery to make things
of rebuilding houses has often been to develop cheap, easily
better than before - Build Back Better, incorporating risk
transportable prefabricated housing, which can be quickly erected,
reduction elements in the process.
188 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 189

e. Inflexible and short-term focused funding resources hinder ECONOMIC RECOVERY


a smooth and rapid transition to longer-term reconstruction Natural and human-caused disasters destroy investments,
and recovery. infrastructure and livelihoods. Poverty and lack of resources
f. Regarding disaster survivors as passive victims awaiting increases vulnerability, weakens coping strategies and delays the
the arrival of assistance can yield a long-term legacy of recovery process. A vibrant local economy is one of the key elements
dependency. in sustainable recovery and development, yet economic recovery
is also recognized as one of the most difficult aspects of the
SRR GUIDING PRINCIPLES process. Despite disasters, many communities have resources that
a. Permanent links between emergency relief and can be tapped such as the availability of local building materials,
reconstruction and the transitional phase of development the existence of a labour force, and most importantly the eagerness
are established. of local communities and the private sector to participate in the
b. Developing broad-based and long-term reconstruction and recovery process.
shelter strategies from the earliest stages ensuring more It is necessary to identify and exploit the potential within the
effective use of emergency resources. community to use skills or resources that are at hand. This not
c. Understanding that crises, and in particular conflicts, only makes the best use of limited external assistance, but also
virtually always creates displacement, sustainable reduces the risk of external dependency.
strategies integrating rights based approaches to shelter, This is also an important consideration for local organisations
tenure, and protection of the most vulnerable, need and governments, as the redevelopment of their economic potential
implementation at the earliest stages. must be a key priority. Re-establishing small scale production in
the affected areas, creating employment opportunities for local
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
entrepreneurs and the community it self-both affected and host
a. Raise awareness among all players of their roles, inter-
communities-and reinforcing local building sector can have a
dependence within the overall recovery system, and long-
huge impact on the rebuilding of the economy from a very early
term consequences of their actions
stage in the programming. The encouragement of economic
b. Facilitate double accountability, upwards to international activities in a post-crisis situation is a crucial objective in the long-
financial institutions, donors and the government and term context of development and rehabilitation.
downwards to the beneficiaries of assistance.
c. Adopt demand-driven approach with continual assessment CHALLENGES
and monitoring of changing needs and capacities, rather a. Destruction of infrastructure, facilities and services
than supply-driven, donor-oriented approach hampers revitalization of economic activities.
d. Adopt a development approach while supporting capacity b. Decreased production and buying capacities, weakened
development in all sectors and at all levels. institutional frameworks (legal and regulatory) for local
e. Create a single point of overall responsibility in economic development, such as judicial systems, business
government, assigning a dedicated organisation at the licensing, land allocations, etc.
apex of political power and decision making, with a clear c. Lack of organizations and institutions specialized in local
mandate supported by appropriate legislation, adequate economy and labor skills development, i.e. micro-finance
resources, direct links to all line ministries and knowledge and credit services, vocational training and public
of the dynamics of the disaster recovery process employment programmes, etc.
190 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 191

d. Lack of social capital and stable social structures and such for developmentally focused relief and recovery programmes
dynamics in post-crisis environment, i.e. mistrust, lack of to be successful. Civil society acts as an important channel for
confidence and resources. awareness raising and education, for promoting a climate of peace
and reconciliation, and for preventing and mitigating conflicts
SRR GUIDING PRINCIPLES and crises.
a. Developing productive economic activities the earliest Empowerment of essential governance actors such as
stages of recovery to assist consolidation of peace and community based organisations, volunteer groups and NGOs is
security. important - empowered civil society can play an active role not
only in planning and forming policies for risk reduction and
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
sustainable recovery strategies but particularly during their
a. Utilizing local resources for recovery and reconstruction
implementation at the local level. It is crucial to address the issues
interventions, both material and human resources.
at their root causes. In order to do so, an assessment of vulnerability
b. Strengthen local capacities to deliver responsive business of communities to hazards and disasters is crucial. An effective
and technical services to actors in production sectors and disaster risk assessment will identify activities to reduce the
enterprise activities with growth potential (technical and likelihood of a threat event as well as activities to reduce the
business skills training and upgrading, institution/ impact of a threat event.
association capacity strengthening, transfer of appropriate
Inclusive decision-making, including women in particular, is
technology, etc) and support creative interim delivery of
a key element in a strategy in building consensus among difference
credit to actors in production sector, pending the arrival
participants in the emergency phase, ensuring an active
of micro-finance services.
participation of affected populations, community groups, and
c. Strengthen the capacity of local institutions and a broad- local authorities also in the subsequent recovery phases.
based representation of economic actors to establish,
Ownership at the local level in response and recovery is
manage and develop a local economic development
important if these activities are to contribute to the longer term
process.
development and reduction of vulnerability of the population.
d. Assist local economic stakeholders to identify new and However, truly participatory involvement of all segments of people
improved market opportunities. is not simple.
e. Rehabilitation of basic services and infrastructure is
It is a process that requires substantive support to local
essential for revitalization of economic activities at any
governments in strengthening their technical and institutional
level.
capacities and in understanding the main principles of people's
PUBLIC PARTICIPATION AND GOOD GOVERNANCE participation and good governance.
Cities are managed and communities interact at the local CHALLENGES
level. At no time is the opportunity for public involvement in a. Most of the capacities created and resources invested in
planning and decision-making greater than when a community disaster management are lodged with professionals, who
is faced with post-crisis recovery process. Civil society plays a leave once their project is completed. Sustainable relief
major role in disaster management, conflict prevention, and reconstruction requires substantial investments in
reconciliation and post-conflict reconstruction. They are much capacity building of local communities and processes that
more than recipients of relief assistance, and must be viewed as look beyond the project framework.
192 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 193

b. Women's participation does not necessarily follow when strengthened municipal and national institutional capacities, good
there is a mandate for community participation. Women's governance and reviving local economy.
contribution to disaster management is usually informal However, in order to develop an integrated approach to
and invisible, thus unrecognized and un-resourced in sustainable rehabilitation of human settlements, limited resources
policies and programmes. must be better coordinated to achieve the maximum possible
c. Insufficient capacities of authorities in facilitating the effect. The multi-sectoral and interdisciplinary nature of disaster
consultative dialogue between private and public interests. reduction and response requires continuous interaction, co-
operation and partnerships among related institutions and
SRR GUIDING PRINCIPLES stakeholders to achieve global objectives of disaster mitigation
a. The capacities of local governments to be developed as and sustainable post-crisis recovery. Solutions to insure sustainable
necessary, to operate as active partners in the process of recovery are interwoven in such a manner that activities cannot
recovery and reconstruction following crisis. be implemented in isolation.
b. Utilization of participatory planning and inclusive decision- Building strategic partnerships among all stakeholders; civil
making models, ensuring involvement of all actors, women society, national/local governments, private sector, media and
in particular, in all planning and implementation activities. national/international support agencies, is therefore a shared
challenge and responsibility. In combination, this contributes to
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
the development of a coherent framework for sustainable recovery
a. Mobilize a critical mass of affected people to take on of human settlements in post-crisis situations.
multiple roles and active leadership in rebuilding their
communities and play active roles at all stages of disaster CAPACITY BUILDING
management Post-crisis activities provide unique opportunities for
b. Gain greater understanding of communities as the key increasing capacities among all national and local actors involved
drivers, playing multiple roles: as planners, problem in the recovery process.
solvers, information providers and in implementing and At the national level this may require strengthening policy
overseeing risk reduction and recovery initiatives. making capacities and formulating legal instruments for
c. Strengthen the mandate for women's participation in implementation of national vulnerability reduction plans that
disaster recovery and reconstruction, by making women's promote sustainable development. Municipality authorities can
contributions visible, allocating clear roles and be introduced to the sustainable rehabilitation and recovery
responsibilities to women, and strengthening grassroots process, re-directing the focus from technical and conventional
women's capacities to advance their priorities in risk response actions towards incorporation of mitigation measures in
reduction and recovery. disaster management plans, introducing proper land use planning
d. Building mechanisms for dialogue with government, local and building regulations, protection of land and property rights,
authorities and civil society, strengthen accountability and effective project management and improved governance, among
build partnerships. others, all within the framework of longer-term reconstruction
strategy. Along the process, national professionals at different
PARTNERSHIPS levels improve their technical and managerial skills and know-
The human settlements component is integral to post-crisis how; civil society and communities are empowered through their
solutions, from refugee settlements planning to development of active participation in recovery efforts and development of a self-
194 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 195

sustaining process; local small business, building contractors and Resilient communities may bend but don't break when crisis
organizations have the opportunity to grow and gain experience; strikes - by adopting policies which make livelihoods more secure,
and individuals, women in particular, can be trained in income vulnerability reduction part of everyday life, institutions more
generating activities in the housing and infrastructure sector. responsive, public-private partnerships more effective,
communities more sustainable and poverty less prevalent,
CONCLUSION resiliency of our settlements are dramatically enhanced. Beyond
UN-HABITAT Sustainable Relief and Reconstruction the physical aspects of rehabilitation, the recovery period also
principles, the Good Humanitarian Donorship Initiative, the Hyogo offers an opportunity for the society at large to strengthen local
Framework for Action as well as International Recovery Platform organizational capacities, and to promote networks, awareness
all confirm the importance that governments join forces with both and political mechanisms facilitating economic, social and physical
humanitarian and development actors to achieving sound and development long after a disaster - that is, to build its own
sustainable recovery. sustainability.
These good practices are unfortunately too often overlooked
CONTRIBUTIONS AND BENEFITS FOR ASIAN COUNTRIES
when the support actors are faced with pressure to deliver short-
term, visible quick fix recovery solutions, at the same time when What is the impact of these practical considerations on a real-
it is widely known that sustainable recovery is a process of several world situation? In this section we discuss space activities in Asia
months in its minimum. as a sample case study.
The partner consultations during the two sessions of the World The status of space technology and its application in Asia is
Urban Forum, among others, is a cause for optimism, however, rapidly changing. The earlier space race between the USA and
as a clear shift in thinking is starting to take shape among some Soviet Union had great influence upon the development of space
of the key players of the international community. The Pakistan technology of Asian countries, especially China, India and Japan.
and Yogyakarta earthquakes, for example, are affirmative cases These three countries now have many space programs including
that serious effort has been put into trying to improve our collective space science and technology research. In addition, a number of
track record. Asian countries have the potential to participate in space activities
or have different uses of space technology that are aimed to
Further, the recent Humanitarian Reform and its new cluster
support their country's development. However, their contribution
approach framework is a strong effort to make the post-crisis
of space technologies may differ considerably. The contribution
response more predictable, effective and accountable through
to the strategy depends on each country's level of space activity.
establishment of nine clusters where significant gaps in the
This section describes how countries in Asia can contribute to the
humanitarian response had been identified, including early
Step-by-step strategy and how they benefit from space activities.
recovery and improved disaster preparedness.
The countries of Asia can be divided into three groups based
In the new humanitarian cluster system, it envisaged that
on their level of space development and participation. The first
UN-HABITAT will add value through its comprehensive and
group includes China, India, and Japan which, as stated above,
specialized knowledge, expertise and experience in shelter, land
have space agencies and space-related technologies. China's space
and property. UN-HABITAT is in a principal position to propose
program seeks to develop its capability in space technology,
coherent response frameworks, which can help close the continued
especially satellite applications, focusing on national economic
gap between emergency shelter and shelter in recovery and longer-
and social development. China has promoted the transfer of space
term development, combining the unique capacities of the agency
research and technology to other areas of science and technology,
as both humanitarian and development actor.
196 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 197

and has plans to launch its first human space flight. The Indian systems, and Geographic Information Systems (GIS). Space
program was organized in 1972 under the government's technology applications in Singapore are focused on satellite
Department of Space and aimed at the self-reliant development communications, satellite meteorology, and remote sensing. Space
of space technology and its applications for the rapid economic activity plans in Thailand over the next ten years include the
improvement of the country. India has high quality remote sensing promotion of scientific research, the study of satellite and rocketry
capabilities and therefore could participate in remote sensing technology, and the formation of a strong foundation for the use
activities on the Moon and Mars. Additionally, contributions can of space technology.
come from the three types of launchers that have been developed Almost all Asian countries have plans for space activities that
by India for space missions. These are the Augmented Satellite include remote sensing, satellite meteorology, and satellite
Launch Vehicle, the Polar Satellite Launch Vehicle, and the Geo- communication. Asian countries have many ground receiving
synchronous Launch Vehicle. stations near the equator, and they have the capability to operate
Japan has the most comprehensive national space program in them. Furthermore, these countries have capabilities to produce
Asia, including activities that range from space science to very inexpensive computer hardware or software, compared with
preparation for human spaceflights. Therefore, Japan has the the other countries of the world. This is because they have large
potential to play a leadership role in the preparation for human spaces for building factories and many people, providing cheap
spaceflight with not only NASA or ESA, but also Asian countries. manpower. These capabilities can contribute to our strategy.
This preparation will generate great benefits for other Asian The third group includes the other Asian countries that have
countries. Furthermore, Japan is the only country in Asia that no ground receiving stations but use satellite data for remote
participates in the International Space Station program, and has sensing. Satellite data are used for making maps, studying
plans to conduct sample return missions from a Near Earth vegetation, weather forecasting, and so on. These countries can
Asteroid. These three countries can contribute to our international contribute to the strategy because they have the ability to process
strategy by utilizing these technologies. satellite data. They can participate in our international strategy
The second group includes countries that have a potential to by processing data from other planets. Additional details of how
develop space activities and can contribute to the strategy. These these countries may participate in space activities can be found
are Malaysia, Pakistan, Singapore, Thailand, Indonesia, Iran, in the United Nations report, SPACE TECHNOLOGY AND
Philippines, and South Korea. Countries in the second group do APPLICATIONS FOR SUSTAINABLE DEVELOPMENT IN ASIA
not yet have the capability to launch satellites, but nevertheless AND THE PACIFIC, published in 1994.
mostly enjoy good relationships with the first group and can Many Asian countries benefit greatly from space activities in
participate in collaborative space activities. For example, space the areas of international cooperation, policy and technology.
activities in Malaysia in the past revolved around the use of These areas are described below.
satellite technology for communications and meteorological
purposes. INTERNATIONAL COOPERATION
Currently, these activities have expanded to include satellite Until recently, the Asian and Pacific regions were surging
remote sensing, global positioning systems, and astronomy. ahead towards a new era of technological expansion and economic
Pakistan's activities in space science include atmospheric research development. With its phenomenal economic growth and vast
and tropospheric/stratospheric studies using satellites, rockets, market potential, it had become the focus of attention of the world
and balloons. Current space activities in the Philippines lean toward and was on its way to becoming a new center of gravity for
the use of satellite meteorology, remote sensing, global positioning technology and trade. Several countries of the region registered
198 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 199

phenomenal economic growth rates. Based on ESCAP's Economic technologies), and private-sector involvement, among other things,
and Social survey of Asia and the Pacific 1993, the developing are important factors to be considered at the national level. At the
countries of the region achieved an average economic growth rate regional level, the issues to be considered include: the recognition
of 6.7 per cent in 1992 and 1993, compared with only 0.7 and 1.0 of current initiatives, the sustained promotion of cooperation and
percent in a corresponding period for the entire global economy. coordination among countries, restriction on the transfer of
This economic growth was associated with the establishment technology, and human resource development and
of high technology industries in sectors such as computer standardization. The design and implementation of a strategy for
microelectronics, telecommunication, and information technology. regional cooperation in the space world therefore has to consider
these issues, while taking into account the individual capacities
Unfortunately, the economic crisis that occurred in 1997 greatly
and capabilities of the countries involved.
affected the science and technology activities in the region.
Investments in technology related to telecommunication and space THE POLITICAL BENEFITS FROM COOPERATION BETWEEN ASIAN
activities were delayed as was research and development in small COUNTRIES
satellite programs.
A number of countries are already operating their own national
Nevertheless, many countries in the region have begun to communications systems (Insat, Palapa, and Thaicom) and remote
realize the consequences of ill-informed development planning sensing (JERS, MOS and IRS) satellites. China, India and Japan
and are increasingly recognizing the value of space technology have very advanced space programs. Several countries conduct
and its applications to social and economic development. experiments with a variety of sounding rockets, small satellites,
Countries are beginning to take advantage of modern, and balloons. Other countries, however, will need assistance to
sophisticated technology such as satellite remote sensing and GIS begin space applications work or to expand their existing space
for natural resources accounting and natural environment application program.
monitoring. Consequently, there has been a rapid increase in China has cooperated on a number of projects with other
space application activities in recent years. countries in the region. China has implemented a project with
The countries in Asia are aware that by pooling their resources Malaysia to apply remote sensing and GIS to monitor soil erosion.
and collaborating in the uses of space technology, the benefits China has investigated the use of remote sensing with Mongolia.
could be more cost-effective and accessible to all. Because of With Bangladesh, China conducted a study on the use of remote
development in the Asia-Pacific region, there are many sensing and GIS for flood monitoring.
opportunities and scope for transfer of knowledge and technology Through the Japan International Cooperation Agency (JICA),
within the region. Japan has provided financial assistance to help establish a
Such situations, therefore, require the formulation of strategies laboratory for agriculture and soil research at the Philippines
and mechanisms to facilitate cooperation for space technology Bureau of Soils and Water Management. Here, facilities for remote
applications among the countries of the region and to ensure good sensing and GIS have been set up. Since the late 1970s, the Science
coordination and harmonization of these activities. and Technology Agency has conducted an annual group-training
To promote regional cooperation in space it is therefore course in remote sensing technology.
important to be aware of the issues relating to space technology
and its applications. Cooperation and coordination among the
TECHNOLOGICAL BENEFITS (UTILIZATION OF SPACE TECHNOLOGY)
various technology developer and user sectors, human resource Several organizations are also promoting and enhancing
development, capacity building (adoption and adaptation of regional cooperation in space applications. Under the auspices of
200 Planning for Human Settlement in Disaster Prone Areas Sustainable Relief and Reconstruction 201

the Asian Association of Remote Sensing and GIS many initiatives Universities rely mostly on government funding, with very little
have been implemented. Activities such as regional conferences, sponsorship by industry.
thematic seminars, and meetings have also been organized to With the severe financial constraints facing these developing
foster closer interactions between member countries. Satellite nations, most of their universities are not equipped with the latest
owners may contemplate providing data and products at special instruments and infrastructure, and recent technical journals on
rates to benefit the region. space research and technology are unavailable. Limited funding,
In the field of satellite communication, Japan introduced the a lack of sponsors, and the requirement for lengthy preparations
PARTNERS program whereby ETS-V is used for experimental are some of the problems facing universities in introducing space
transmission of Earth observation data for an area covering technology-related studies and projects.
Thailand, Indonesia, Papua New Guinea, Fiji, and Cambodia. Research and development activities conducted by
In the field of space science, Japan has individual cooperative government agencies are not in any better position.
projects with six experiments and rocket launches, as well as an These activities are also limited by funding with no assurance
ambitious multi-country project (DANA-Dynamics Adopted of continuity. Only a few countries, particularly those with
Network for Atmosphere). To study global meteorological institutionalized space programs such as China, India, North Korea
phenomena and the effect of atmospheric processes on the and Thailand, undertake research and development activities with
ionosphere, Japan has also assisted Mongolia in developing and considerable support from the government.
improving the country's satellite communication facilities.
An example of educational benefits in Thailand is the small
Asian countries have rapidly accumulated experience in satellite for education (TMSAT), which is the first Thai micro-
implementing major space application projects such as satellite. It was constructed by Thai engineers and now operates
telecommunications, Earth observation satellites, and satellite in Low-Earth Orbit.
meteorology, among others, through technology transfer projects.
Indonesia and Thailand are good examples of the countries in this CONCLUSIONS
category. Every Asian country can contribution to and benefit from the
These countries, based on their comparative advantages and strategy. The countries in the first tier can contribute to the strategy
capacity though long-term policies and future strategies, have with the utilization of their technologies.
broadened the exciting use and applications of space technology. The countries in the second group have the capability to
In addition, they have increased the pool of high technology operate ground-receiving stations and to produce inexpensive
personnel, implemented a sustained technology research and computers. They have the potential to participate in both space
development program, and established a national space application activities and international collaboration. Therefore, they could
program with support infrastructure. play an important role in our international strategy. The countries
EDUCATIONAL BENEFITS in the third group have the ability to process satellite data, and
for this and other reasons, can also contribute to our international
Ideally, research and development should be conducted in
strategy.
industry with appropriate investment and in close coordination
with academic institutions and universities. Unfortunately, for In the near future, Asian countries should organize an Asian
the developing countries in the region, research and development Space Agency (ASA) to contribute to our international strategy
is conducted mostly in the government and public sectors, and and to get benefits from the strategy. This year at ISU, the ISU
very little is really absorbed by industry for actual production. Asian Alumni Association (IAAA) was formed. The IAAA could
202 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 203

provide the initial inspiration and creativity that may be required


to form the International Asian Space Agency. This agency will
facilitate the future space activities in Asian countries. For example,
Asian countries can collaborate to create a regional launch system
that could more effectively compete in the world market than
current Asian systems.
Furthermore, an Asian Space Agency could provide
9
opportunities for many countries to fly astronauts who might not
otherwise be able. This agency should play an important role in DISASTER MITIGATION FOR
Asian space activities, especially for future missions of human
exploration away from Earth. ACHIEVING HUMAN SECURITY IN
INDIA

India has been experiencing natural disasters every year


affecting 85 per cent of the geographical area. Natural disasters
claim a significant toll of population, destroy more than 2 million
houses and convert many thousand hectares of land into infertile
land annually. Thus, a disaster poses severe threat to human
security. Disaster mitigation is emerging as multi-disciplinary
and multi-sectoral components for achieving human security. There
is also an emphasis on mainstreaming disaster management in
governance by treating it as an integral part to policy formation.
Shift of emphasis from disaster response to risk reduction has
opened up areas of exploratory research in the subject of disaster
mitigation.
Vulnerability analysis seeks to predict disasters by ensuring
timely preparedness on the part of poor people and institutions
and concerned government agencies. Disaster mitigation as a
growing arena of state action raises human security questions
related to new public management and public choice paradigms.
Though civil society has taken an active part in restorative and
rehabilitation measures, it is the government agency that is
expected to function as the prime mover besides being the regulator
and the facilitator. The past few years witnessed a gradual shift
towards a more proactive, mitigation-based approach, as it was
being proved time and again that reactive mechanism yielded
only temporary results, at a very high cost. In this context
204 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 205

'sustainable development' inevitably ensures the human security beyond their control. Disasters accelerate the process of human
encompassing the three dimensions of economic efficiency, social deprivation and challenges to human security. Human security
equity and environmental protection, all three of which contribute has two main components: freedom from fear and freedom from
to, and are affected by natural disasters. want. Access to food, in contrast to its production, is the most
In order to reduce the vulnerability, various resources i.e. important variable in food security and the resilience of human
demographic, social, physical, etc have to be utilized properly so populations.
that maximum benefits can be extracted from them and Sen (1981) has promoted this into a theory of "entitlements".
vulnerability can be minimized. Unfortunately, due to rapid He explains that entitlements are actual or potential bundles of
population growth and development of human settlements in commodities which individuals can access and that most famines
disaster-prone areas, more and more people and their assets are are caused by human-political action. Thus, he argues how all the
vulnerable to the natural hazards. Mitigation focuses on the hazard major famines of the past century, such as the Bengal famine
that causes the disaster and attempts to minimize the adverse beginning in 1943 and the famine in China in 1958-60 was a result
impacts of the hazard or communities. The reason to focus on of lack of access to food, not of absolute scarcity. Taking lessons
mitigation disaster impacts include rising economic and social from his thesis, the underlying connection between vulnerability
costs of disasters, existence of technical/indigenous know-how to of societies and the poverty and human security in the context of
reduce disaster impacts and costs. Pre-disaster mitigation helps disaster become important. It is social groups and individuals that
to ensure faster recovery of a community from the economic and are vulnerable to changes in their socio-economic and
other impacts of disasters. environmental conditions as a result of disasters.
Potential mitigation measures should be evaluated for cost- A geographical perspective explains that region and areas can
benefit and should be consistent with the desires and priorities be defined as vulnerable or critical based on the environmental
of the affected community, both those who will pay and those and socio-economic pressures incident (Kasperson et al., 1995).
who will be benefited. An effective mitigation programme for They argue that identifying criticality brings about opportunities
human security is based on partnerships involving the government, to overcome pressures through the focused application of
the private sector, and the community under the community technology and new institutional means. The onset of criticality
based disaster management programmes at various spatial scales is a manifestation of ill-adapted institutional arrangements, acting
like slums, tribal and marginal regions. The paper also discusses without consideration for the vulnerable population (Smith, 1992;
role played by the local knowledge for achieving human security Wisner et al., 2004).
through monitoring, predicting and mitigating disasters in Different types of vulnerabilities like social, system,
economically backward and socially deprived regions. institutional or infrastructural, are all inter-related. Chambers
(1989) highlights that vulnerability is increasing in developing
INTRODUCTION countries because of a decline in patron-client obligations (except
Human security and disaster mitigation are linked in India. in South India) due to decline in the support of an extended
Initially human security was interpreted as meaning threats to the family, the rising costs of social events such as weddings, and the
physical security of a person but now the concept is understood localised scale of the means of livelihood. The main asset of poor
to include economic, health, and disaster concerns as well (IHDP, people is their physical strength, therefore, health especially of the
1999). Disaster vulnerability is a function of the enforced exposure employed person, is a crucial issue for all members of households.
to hazard, combined with the restricted capacity to cope. It is an Bohle et al. (1994) frame a causal structure including the human
outcome of powerlessness; it is created as people face hazard ecology of production, expanded entitlements in market exchanges
206 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 207

and political economy. It is pertinent to mention World terms of insurance, credit facilities for renewing livelihood and
Development Report 2000-01 which has stressed on human security other factors.
to be promoted during disaster mitigation:
POPULATION PRESSURE, VULNERABILITY AND HUMAN SECURITY
- Expending Livelihood opportunity; through promoting
economic opportunity for poor people by stimulating The population quality factor is important in many biophysical
overall growth and by building up their assets and assessments of human security. A study by UN-Food and
increasing the returns on these assets, through a Agriculture Organisation (1984) on the food production potential
combination of market and non-market actions. and population-carrying capacity of lands in the developing world
- Promoting empowerment; through making state is an example. This process identifies certain regions and countries
institutions more accountable and responsive to poor as 'critical zones' in which current demands for food already
people, strengthening the participation of poor people in exceed the agricultural production potential i.e. the carrying
political processes and local decision-making, and capacity. The number of critical zones in the FAO study increased
removing the social barriers that result from distinctions dramatically when population growth is included in the estimates
of sex, ethnicity, race, and social status. of carrying capacity, in the year 2000. The consequence of
population growth in the context of highly unequal access to land
- Enhancing security; implying reducing poor people's
is that more and more marginal land is being encroached. This
vulnerability to ill-health, economic shocks, policy-induced
is particularly true of the low-lying islands of the lower Ganga
dislocations, natural disasters, and violence, as well as
valley that emerge as a result of silt deposition in the river estuaries
helping them, cope with the adverse shocks whenever
of the delta regions. This poses serious risks to the occupants from
they occur.
both cyclones and riverine floods and making them economically
Every year hundreds of natural disasters affect communities insecure.
across the world, mostly in developing countries. While developed
The population size of India is increasing at a high growth
countries cope better with these extreme events, developing
rate of 1.9 per cent per annum. India is experiencing massive and
countries bear irreparable loss and damage due to disasters. Large-
rapid urbanization particularly in mega cities. The urban
scale natural disasters increase people's socio-economic
population size has increased from 109 million in 1971 to 217
vulnerabilities, and hit the human security. Thus, it can be said
million in 1991 and 285 million in 2001. A more than second urban
that economic and social well-being is directly link to human
India is added in a period of just three decades. These trends put
security. The disastrous events can cause sharp rise in poverty and
immense anthropogenic pressures on marginal lands. Economic
bring long-term impact on the economy and society. In India,
pressures drive the population to move themselves on such fragile
where the states have to deal with disasters, the impact of disasters
and risky locations, thereby rendering them vulnerable to disasters.
depends on two factors: the magnitude of direct losses due to
In order to reduce disasters, it is thus important to minimise
disaster and the economic resilience of the state at the time of the
population growth.
event (Singh, 2006).
The more the population density means more will be the
Deaths and economic losses have shown an increasing trend
vulnerability and insecurity, because high density with low
over the years. The reasons for this are varied, including increasing
purchasing power will lead vulnerable environments. There is a
population pressures in urban areas, increase in poor people
need to develop methods for the disaster mitigation and
occupying marginal lands, e.g., area surrounding river beds which
identification of "critical regions" of potential insecurity so, that
are susceptible to disasters (Singh, 1996), poor or ignored land use
the risk or degree of insecurity can be minimized.
zoning laws and policies, lack of proper risk management in
208 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 209

Reducing vulnerability to disasters will be tied up with disaster lies in tackling the problem of poverty, which makes
increased resource access and empowerment. If the quality of human life insecure.
population is good, developmental process can be regulated
properly. Health and age are monitored as important drivers of STATE OF NATURAL HAZARDS AND DISASTERS IN INDIA
famine vulnerability in many studies. Pankhurst (1984) lists the India has a highly diversified range of natural environments.
elderly, the disabled, pregnant women or mothers, the chronically Its unique geo-climatic conditions make this country among the
ill and children as particularly the vulnerable groups. Their groups most vulnerable to natural disasters in the world spreading on 85
have particular nutritional needs or disadvantages and may be per cent of the geographical area. Disasters occur with high
more sensitive to food shortages, climate change and other frequency and while the community at large has adapted itself
extremes. to these regular occurrences, the economic and social costs continue
to increase. Disasters have always posed a threat to human security
POVERTY AND SOCIAL VULNERABILITY and their impact on humans has increased in spatial scale
Poverty continues to be significant threat to the human security. considerably as poor and marginal people moved into disaster
Analysis of the political economy is, therefore, an essential prone areas. It is highly vulnerable to drought, floods, cyclones,
component of any assessment and thus formulating strategies for earthquakes, tsunamis, and landslides, etc. Almost all parts of
the reduction of vulnerability. India experience one or more of these events (Singh, 1994, 2002).
Migration and population movement are important aspects
CASE OF FLOODS
of social stability and in many circumstances, contribute to
livelihood security and resilience at the household level through In the case of flooding in India (annually about 32 million
wage earnings as these provide opportunities for diversification people affected; 11,683 house damaged), there are three levels of
and reduction in resource dependency. Following steps may be vulnerability: relative invulnerability towards the upper socio-
taken up to reduce social vulnerability in order to contribute economic group; a highly vulnerable category of marginal and
towards human security: small landholders; and an effectively 'sub-vulnerable' category of
landless households. This can be understood by an enquiry of
a. Poverty reduction clearly must be a priority to ensure the
flood damage to the material household. The material possessions
wider access to reduce vulnerability.
of the households are very few, often consisting of no more than
b. Risk spreading through diversification of economy can be a few items of clothing and domestic utensils, that they are easily
promoted for poor community. carried to safe areas in times of severe flooding.
c. The decline of common property resource represents
Larger landholders may suffer more crop damage in absolute
serious challenges to the human security and compensatory
terms due to their larger landholdings but they are able to recover
measures should be implemented wherever needed.
from their crop loses, by getting in a better crop as soon as the
d. The reduced efficiency or decline in collective action affects floodwater recedes.
the community as a whole and this process needs careful
Those marginal and small landholders with an alternative
monitoring with efforts to promote the local forms of
occupation in addition to farming may have an additional source
community knowledge.
of income, until such time as they are able to re-start their
These are critical features of the exposure, safety and resilience agricultural practices. Landless households are by definition
of people in the face of disasters. A major concern is that how exempt from crop damage, other than through its impact on
social change and patterns of development can affect vulnerability. labour demand. It is only for the farmers in the small and the
Therefore, a long term and sustainable solution to the problem of
210 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 211

marginal landholdings and without any additional occupation per cent of its population is drought prone. Droughts are caused
that the 100 per cent crop damage automatically means 100 per by shortfall in precipitation, by disruptions in conveyance and
cent loss of their livelihood (Sharma, 2003). storage of water. Mostly, it is a consequence of the failure of rains
Table 1 while urbanisation, overgrazing, deforestation and even farming
can reduce the water retention of soil. Droughts cause severe
Sl. State Districts No. of No. of Crop No. of
No. People Cattle areas villages reduction in water- availability and soil moisture to levels below
affected affected affected affected the minimum necessary for sustaining plant, animal and human
(lakhs) (lakhs) (lakh) life.
Total Affected
1. Chhatishgarh 16 25 94 NA 11.36 10,252 Their effects depend on severity, duration and the extent of
the area affected. Their impacts depend on the level of socio-
2. Gujarat 25 22 291 107 13.50 11,240
economic development and administrative, financial and technical
3. M.P. 45 32 127 87.7 39.52 22,490 capacity of the country or the state to respond to them. The Table
2 depicts damage caused by droughts in India.
4. Orissa 30 28 119 399 11.00 15,000
This can be supplemented by reference to the periodicity of
5. Rajasthan 32 31 330 399 89.47 31,000
drought in different meteorological subdivisions. In India, the
6. Himachal 12 12 46 NA 0.88 NA states of Rajasthan and Gujarat are severely affected by drought
Pradesh while Madhya Pradesh, Orissa and Andhra Pradesh are moderately
455 2.5 45.09 20,000
7. Maharashtra 35 26 affected. Starvation deaths and stories of abject poverty regularly
emanate from these states, particularly Orissa. Thus, poverty as
8 J &K severe drought; 72% NA background in disaster prone states brings out challenging issue
less
rainfall of human security in India.
A household with large landholdings may use their savings Table 2 Drought Frequency in different Meteorological
to cope with impacts. For a household already landless and Subdivisions
agricultural labour, flood damage might mean short-term hardship,
Meteorological subdivision Recurrence of very deficient
with their livelihood restored as soon as their village land owners
begin to engage wage laborers. Small and the marginal farmers rainfall
are forced to adopt a range of options in their attempts to recover Assam Once in 15 years
from flood damage. These might include incurring debt, sending
West Bengal, Madhya Pradesh, Once in 4 years
all household members into the labour market, perhaps for no
payment other than food; selling productive assets such as livestock Coastal Andhra Pradesh, Kerela,
and agricultural implements; and mortgaging or even selling land. Bihar, Orissa,
Such measures are likely to involve substantial and often North Karnataka, Esatern U.P , Once in 3 years
irreversible decline in the household's economic base.
Vidarbha, Gujarat,
CASE OF DROUGHTS Eastern Rajasthan, , Western U.P. Once in 2.5 years
In India droughts affect annually 50 million people and during TN, Kashmir Rayalaseema,
1999-2000 in 11 states, 37 million people together with 13 million
Telengana, Western Rajasthan
ha land affected. Nineteen per cent of India's total area with 12
212 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 213

Critical changes in agricultural practices, emerging out of the highest in India. The percentage of population living below the
Green Revolution have resulted into intensive irrigation practices poverty line is 47 per cent compared to the nation-wide average
and promoted water intensive crops. This has phased out of 26 per cent." As brought out in the Economic Survey, 2003-04,
traditional crops with inherent drought proofing mechanisms to there are some special features of poverty in Orissa:
survive fluctuations in rainfall. 1. Poverty is more concentrated in some regions such as
southern Orissa
HUMAN SECURITY: CASE OF TRIBALS DOMINATED
2. A large proportion of Scheduled Tribes (ST) and Scheduled
STATES
Caste (SC) population in western and southern Orissa are
CASE OF MADHYA PRADESH STATE highly vulnerable especially women and children. The
Madhya Pradesh is home to some of the poorest tribes in districts of Bargarh, Bolangir and Nuapada in Western
India. Literacy levels are far below acceptable standards. Holistic Orissa, covering an area of 23,988 sq km in the Eastern
analysis of poverty of these regions is needed for comprehensive Ghats was once covered with dense forests of sal, teak,
preparedness to drought. Poverty is both a social and an economic and bamaboo. Village forests and agricultural land consist
phenomenon and social inequalities are a major determinant of of timber trees and in mahua, neem, mango, and other
economic deprivation. horticulture trees. The original inhabitants of this area
According to Dreze, (2003), the Chambal area of Madhya were the Kondh, Binjhal,Saora and Gond Tribes. Today
Pradesh has islands of irrigated land, owned mainly by Thakurs, these people are the poorest in the region and the rich
Sikhs, Jats and other powerful communities. agricultural communities are the Kultha, Agharia, and
Kurmi castes and the Brahmins. Replacements of
"Elsewhere, there are only vast stretches of rocky land, traditional drought resistant crop varieties were gradually
degraded forest and ravines. Marooned in this inhospitable terrain replaced by wetland rice and 'outsiders' gradually replaced
are hundreds of thousands of Sahariyas, who eke out a living from the tribals (IGNOU, 2005).
survival activities like selling wood, making baskets and seasonal
3. A large number of rural communities, particularly in hilly
migration. Gwalior to Shivpuri and then on to Pohri and finally
terrains of western and southern Orissa are deprived of
Chharch is like descending deeper and deeper into a dark well
connectivity and other infra-structural support i.e, markets,
of poverty and hunger. People in this area suffer from terrible
urban areas. As a result, the poor in general and ST and
levels of hunger and malnutrition, and that many recent deaths
SC people in particular lack access to growth centers and
are hunger-related. The real issue is not just a few deaths, but
services (i.e. schools, hospitals etc.).
the appalling living conditions in the whole area, lies a trail of
chilling under nourishment. Yet, health facilities are virtually 4. Rural poverty is the highest in Orissa. Rural people depend
invisible in the area." mostly on agriculture and forest resources for their
subsistence. However, agricultural growth in Orissa is
CASE OF ORISSA virtually stagnant. Agricultural productivity is roughly
Kalahandi-Bolangir-Koraput (kbk) region in Orissa displays half that of the national average. Use of improved inputs
dismal pace of development in the region (Ghate, 2005). "Extreme (e.g., better seeds and fertilizers) is also far below the
poverty persists side by side with bad infrastructure and poor national average.
health. Orissa is one of the slowest growing Indian states today. 5. Employment opportunities are rather very limited.
Poverty rates, which have a high spatial concentration in the state, 6. Though extensive forest resources are an important source
have hardly budged since the mid-1990s and are amongst the of sustenance to a majority of rural poor, they are highly
214 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 215

degraded and lack desired financial and managerial inputs. Long-term disaster reduction efforts should, therefore, aims
Large forest areas are devoid of regeneration and therefore, at promoting appropriate land-use in the disaster prone areas, by
cannot provide livelihood support on a sustained basis harmonizing land suitability with agricultural development
unless substantial investments are made in them. strategies. High investment industries and establishments, as well
7. Need of adequate irrigation facilities is another limiting as important infrastructure elements should not be located in
factor that keeps agriculture underdeveloped. Orissa is areas that are susceptible to disaster impact.
also deficient in infrastructure (e.g., railways, paved roads, Fire and industrial accidents can be reduced if the land-use
ports and telecommunication). planning ensures separation of industrial units from residential
8. For providing specialist technical aspects of administration areas and fire-prone industries from other industries. Proper, long-
like rural development and disaster management, drought term land use planning by incorporating all geography-related
prone blocks came under a central scheme known as data available would identify and allocate hazard free areas for
Drought Prone Areas Programme (DPAP). Bringing blocks industrial and urban development and thus, be by far the most
is profitable activity since funds under various related effective way of dealing with disasters. Large concentrations of
schemes flows in such as the Employment Assurance people living in hazardous zones, not capable or willing to be
Scheme, desertification control projects, drinking water moved to safer areas, deserve to have at least a fighting chance
missions and other benefits. of survival in the event of a disaster. Policy makers in charge of
9. The positive side is the reported success of self help disaster management should, therefore, have at their disposal
initiatives at mobilizing the savings of the poor. Orissa is reliable estimates of the type, severity and location of the damage
rich in minerals "If the political leadership had the desire likely to occur.
to do so, it could wipe out poverty in the state within five Although there is an argument that responsible public policy
years" (Ghate, 2005). must try to manage key environmental dimensions, planning
alone is not enough. Neither rational environmental policy nor
DEVELOPMENT PLANNING AND POLICY MAKING FOR ACHIEVING planned economic growth necessarily guarantees fundamental
HUMAN SECURITY human rights such as livelihood security, freedom, dignity, or
For vulnerability reduction, developmental planning has to opportunity; nor do they enhance human security, particularly for
be done in strategic way. There should be proper land-use planning marginal or depressed sections of society.
and regulations for sustainable development of the area and
minimization of vulnerability. Preventing or modifying the TECHNOLOGY: INTEGRATING MODERN AND INDIGENOUS INITIATIVES
occurrence of disaster, such as in the case of floods can reduce the There should be more effective use of technology so that new
physical impact of hazards. This can be done very efficiently at technologies transferred from the developed world will have a
relatively small catchments by land-use planning and management, real impact on the safety of the people. With this background, we
particularly in the areas where structural measures would be too see that the important challenge is how to make present mitigation
expensive to implement. Rapid urbanization has led to higher programmes work effectively and efficiently.
concentration of people living in hazardous areas and consequently Irrigation and reservoirs may buffer agriculture and other
to higher losses when disasters occur. As urbanization also alters sector against precipitation deficit but may actually increase the
the response of watershed to rainfall, many large cities of the catastrophic potential of major droughts on intensive agriculture,
region are becoming increasingly vulnerable to flooding (Davis, which relies on limited water storage. Improved seeds and
2000; Carter, 1991). fertilizers may play in vulnerability of producer and countries to
216 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 217

climatic variability and other changes. High-yielding varieties and training of the community is particularly useful in areas,
and other technological changes may have increased the variability which are prone to frequent disasters.
of cereal yields (and the sensitivity to weaker variations), other It is evident to note the well targeted effort made in certain
believe that the Green Revolution has reduced ecological and areas where communities have formed their own organizations,
social vulnerability to environmental change. which take right initiative in such situations. One such community-
Majority of the lands owned by the rural poor are categorized based organization's the village task force formed in villages of
as wastelands where yields are about 0.5 to 1 ton of grain per Andhra Pradesh by the Church Auxiliary for Social Action (CASA).
hectare Forests and pastures have been highly degraded, and the The village task force has been trained in emergency evacuation
top soil has been eroded or deprived of nutrients. and relief within the village.
Usually one crop per year (with poor yield) is cultivated in The people elect it themselves and during disasters it serves
these areas due to inadequate irrigation facilities. According to as the nodal body at village level, which has to mobilize resources
Datye, (2005) alternative energy sources and structural engineering for the community and disseminates necessary information
using traditional bamboo -wood composites and innovative joining While the community as an effective institution, is yet to take
techniques can give a major boost to rural infrastructure shape in this country mainly due to low literacy levels and
development in India. widespread poverty considerable effort are being made to fords
The target is five tons of coal-equivalent energy supply per and strengthen community based organized at grassroots levels
family per year. "We currently make available only 0.5-1 ton. (ISDR, 2002).
However, there is capacity to provide this level of energy with
50 per cent from solar and other 50 per cent from materials such ROLE OF INSTITUTIONS AND INFRASTRUCTURE
as bamboo, small timber chemical intermediates from plants (such Institutions can be considered as social tools for the
as non-edible oils, phenols, starch, ethanol) etc." management of disaster vulnerability. Institutions also minimise
Changes are necessary in the land and water use and allocation vulnerability and conflicts and enhance human security through
policy. A biomass strategy must be implemented to raise the sustainable management of resources (Casale and Margottini,
biomass production by use of funds currently available for 2004). The level of institutions contributes to mitigate the
wasteland development with a condition to create and sustain vulnerability.
biomass pools. The more assets people control, the less vulnerable they are
and the greater are their capacities to successfully cope with risks.
COMMUNITY BASED DISASTER MITIGATION PLAN: ROLE OF CIVIL Despite the rapid growth of India's industrial and service sectors
SOCIETIES over the past decade, agriculture continues to dominate the
In the recent past, NGO sector has played a major role in economy.
strengthening the community to face the disasters. The trend is With respect to infrastructure provision, India's regional
based on a long-term experience of the need of maximum self- disparities in agriculture productivity and growth can be partially
reliance at the lowest level. traced to differences in the levels of public investment in
It has been revealed that the community as an institution in infrastructure for agriculture, particularly investments in irrigation
itself is emerging as the most powerful in the entire mechanism technologies and rural credit. In such areas like Punjab, Haryana
of disaster administration. In the event of actual disasters, the and Maharashtra, farmers and people are more easily coping with
community of well aware of the preventive actions it is required disasters. The main reason is high level of human security in
to take can substantially reduce the disaster damage. Awareness terms of per capita income and a good standard of social and
218 Planning for Human Settlement in Disaster Prone Areas Disaster Mitigation for Achieving Human Security in India 219

economic well being. However, poor regions like Orissa and Twelfth Schedule brings into the municipal domain, among others,
Bihar in respect to infrastructure are prone to disasters with high such areas as rural, urban and town planning, regulation of land-
risk of lives and property. use, planning for economic and social development, 'safeguarding
The week economic infrastructure is making human life the interests of weaker sections of society including the
insecure. The main determining components of vulnerability of handicapped and mentally retarded,' slum improvement and up-
local institutions and regions are access to natural resources like gradation, urban poverty alleviation, and 'promotion of cultural,
energy, food and water, access to productive resources for income educational and aesthetic aspects'.
generation, access to social infrastructures like education and health Constitution thus envisages urban local bodies as being totally
and the availability of adequate institutional arrangements in the responsible for all aspects of development, civic services, and
form of panchayats (local government) and good governance etc. environment in the cities, going far beyond the traditional role
Thus, there is need to focus on the concepts of vulnerabilities from (Economic Survey, 2003-04).
an economic, social, ecological and institutional perspective in an During the Tenth Plan, some key areas of water supply and
integrated and holistic way. sanitation, urban transport, alleviation of urban poverty, the
With an increase in the perception towards spreading a culture housing needs of slum-dwellers, and reforms in the urban sector
of prevention in the disaster management scenario, considerable with a view to strengthening the institutional and resource base
emphasis is being placed on research and development activities. of ULBs will have to be taken up for special attention.
In India, a number of research institutes are involved in conducting
active research in the field of disaster management. Valuable CONCLUSION
inputs in technical, social, economic as well as management areas In a developing country like India, the real challenge remains
of the field are being investigated. tackling the root causes of underdevelopment, viz. poverty,
Different ministries depending on the type and level of research unemployment, low purchasing power, low investment and poor
are coordinating research activities. In this regard the National supply and demand situations in the economy. Disaster
Institute of Disaster Management, National Disaster Management Vulnerability is an outcome of these deep rooted causes of
Authority, and Universities are playing an important role. There vulnerability. Mitigation refers to effort for reducing the actual
is a strong need to put emphasis on the issue of disaster or probable effects of a disaster on people, structures, economic
management and human security. and social systems and the environment. Mitigation seeks to reduce
These two must be dealt with holistically. This means to risk, that is, vulnerability to damages or losses. In this way
promote the efforts of economic development of the local mitigation focuses on the human security by minimizing the
community and they will affect the disaster situation and human adverse impacts of the hazard or communities.
security at local and other level. The reason to focus on mitigation disaster impacts include
rising economic and social costs of disasters, existence of technical
ACHIEVING HUMAN SECURITY THROUGH LOCAL SELF GOVERNANCE know-how to reduce disaster impacts and costs, and the fact that
The traditional role of local and municipal bodies had been mitigation is an integral part of sustainable development. Several
one of providing basic amenities of civic life. In addition, they basic principles, based on successful stories can guide mitigation
performed certain regulatory functions relating construction of efforts:
buildings, public health areas, etc. The 73rd and 74th Constitutional • Pre-disaster mitigation helps ensure faster recovery of a
amendments have substantially broadened the range of functions community from the economic and other impacts of
to be performed by the elected urban local bodies (ULBs). The disasters.
220 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 221

• Hazard reduction measures should take into account the


various hazards faced by the community, including
technological hazard.
• Potential mitigation measures should be evaluated for
cost-benefit and should be consistent with the desires and
priorities of the affected community.
• Mitigation measures should protect natural and cultural
10
resources of the community.
• An effective community based mitigation programme THE ROLE OF LOCAL INSTITUTIONS
which is based on partnerships involving the government,
the private sector, and the community groups, will ensure
AND THEIR INTERACTION
human security.
The present chapter is a non-academic and thus, hopefully,
unpretentious, attempt at reviewing the literature on the role of
local institutions and their interaction in disaster risk mitigation
(DRM). The motivation for immediately cautioning the reader
from the outset about the less than revolutionary character of this
review is twofold: first, it is based on the appreciation that,
unfortunately, there exist relatively few documented local
experiences which are, honestly speaking, innovative and “worth
writing home about” - a lot of disaster management is still organised
almost exclusively by the military and/or central government;
second, a deliberate attempt is made to keep away from the “dev-
speak” jargon that has come to beset many recent laudible
contributions to the development policy debate (such as the
Sustainable Livelihoods framework), so that those (under pressure
to keep) looking for new frameworks and methodologies will
remain largely disappointed. On the other hand, what will be
found on the following pages is a non-exhaustive compendium
of strengths and limitations of local institutions involved in DRM
and some suggestions for tapping the former and tackling the
latter.
As recently as the late 1990s, scholars complained of “the
absence of much social science research on disasters in developing
countries” (Quarantelli, 1998: 35). There is still a relative dearth
of research and (electronically available) information, in particular
from Sub-Saharan Africa, and, while the situation is better in the
case of Asia, the present review draws a lot of examples from
222 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 223

Central America. Not least, this is because “in the 1990s, Central (and facilitating adaptation) of new concepts and training materials
America has played a pilot role in efforts aimed at reducing that help strengthening local public institutions and civil society
natural disasters and has thereby achieved important progress organisations such as farmer organisations, pastoral herder
not only in conceptual but also in practical terms. For this to occur, associations, cooperatives, and water user associations” (FAO,
one of the essential features is the acknowledgement of the local- n.d.: 4).
, and, especially, the local government, level in preventing natural It is within this context that increases in natural hazard risk
disasters and the involvement of local stakeholders that this are addressed, given that there is growing evidence of the urgent
implies” (Bollin, 2003: 5 [transl. by author]). To this must be added need to involve human resources, local population groups and
the tremendous impact in 1998 of hurricane Mitch and of the 2001 their organisations, in more vertically and horizontally integrated
El Salvador earthquakes which, widely covered by the media, efforts at DRM. The task of exploring avenues for doing so, based
boosted awareness and catalysed changes in attitudes towards on existing experiences and distilling lessons there from, thus lies
more proactive stances. with the mandate of FAO/SDAR, who commissioned the present
literature review, and who are also carrying out a series of
BACKGROUND AND JUSTIFICATION complementary field-level case studies in a number of countries
There is evidence to suggest that in many countries there has in several disaster-prone developing regions.
been an increase in the risk of natural disasters occurring - natural
hazard risk - due to environmental degradation (World Bank CONCEPTUAL BACKGROUND AND WORKING DEFINITIONS
2002). Natural disasters are complex and multifaceted events The conceptual and methodological underpinning (see FAO,
resulting from mismanaged and unmanaged risks that reflect n.d.) of this report recognises that the effectiveness of any risk
current conditions and historical factors (Alexander 2000). Disaster mitigation strategy will depend on the nature of the risks,
risk is collective in its origin and remains mainly a ‘public,’ shared household, population group and institutional characteristics, and
risk that makes finding individual, and often community solutions, the availability and range of risk management alternatives. In
difficult (Comfort 1999). A disaster is said to take place precisely reference to local institutions, risk strategies are assessed
because the losses originated by a given event overwhelm the considering the type of instruments used by the poor and near
capacity of a population (local, regional or national) to respond poor, the degree of formality or informality of these instruments,
and recover from it. Disaster risk emerges from the interaction and the type of actors and institutions that have typically supplied
between a natural hazard - the external risk factor - and or supported these instruments. The issues (listed in the six bullet
vulnerability - the internal risk factor (Cardona 2001). points in the next section) below are thus approached with a clear
International consciousness raising about integrated disaster commitment towards improving rural livelihoods by better
risk management (of which disaster risk mitigation is a part) was understanding and supporting people’s organisations.
given a boost by the recently concluded United Nations The International Strategy for Disaster Reduction (Geneva
International Decade for Natural Disaster Reduction (IDNDR - 2001) defines a ‘disaster’ as ‘a serious disruption of the functioning
1990-1999). The World Food Summit in 1996 recommended of society, causing widespread human, material or environmental
‘support for disaster prevention and preparedness’ as a priority losses which exceed the ability of affected society to cope using
area of intervention. The FAO of the UN, through its Rural only its own resources’.
Institutions and Participation Service (SDAR) “promotes Disaster risk is usually conceptualised as being made up of
community based approaches and bottom-up capacity building two elements, hazard and vulnerability, which can be expressed
processes through participatory analysis and the dissemination in an equation: disaster risk = hazard x vulnerability. Risk is
224 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 225

therefore dependent on the existence of a household’s vulnerability (read as: “visibility”, for a proxy) and on their containing some
to a natural event. element of collective (i.e., supra-household) action.
Disaster Risk Mitigation (DRM) strategies refer to a household’s
THE DISASTER MANAGEMENT CYCLE (FAO N.D.)
or local institution’s preparedness to reduce the impact of a risk
event, either one that has already occurred or one that may occur The Disaster Management Cycle is illustrated in the below
in future. Mitigation includes prevention and preparedness (WFP, diagram. It consists of a number of phases, each requiring a
1998: 4). different range of response activities.
The concept of Disaster risk management implies a notion of The different phases, however, are often grouped together
household vulnerability, which is often said to contain a ‘risk under three main categories: the pre-emergency phase, the
chain’: the risk itself, the options for managing risk and the outcome emergency phase and the post-emergency phase. In the course of
- in terms of welfare loss, in the case of households, and of financial this paper, the activities of UN entities in the disaster management
loss and adverse consequences for sustainability in the case of cycle will be examined under these three broad categories.
local institutions (Alwang et al. 2001).
PRE-EMERGENCY PHASE
A paper by the WFP (1998) claims that:
The emphasis in the pre-emergency phase is on reducing the
“A review of donor practices and the literature reveals vulnerability of communities to suffer from the impact of natural
that there are no universally accepted definitions of the phenomena. Measures to achieve this objective include risk-
terms [...] mitigation, prevention and preparedness. mapping, application of building codes, land zoning as well as
Moreover, the distinction of terms is often blurred. In structural measures such as the construction of dams against
one situation an activity may be considered to be an flooding. They are grouped under the heading risk reduction,
act of preparedness, and in another it is prevention. comprising prevention, mitigation and preparedness.
For this reason, many of the definitions found in the
literature are vague and all-encompassing.” Prevention
For lack of space, readers are referred to the literature (e.g., Includes all measures aimed at avoiding that natural
FAO 2003, IFAD 2002, Uphoff 1997) for a definition of the term phenomena turn into disasters for settlements, economies and the
‘local institution’, as both ‘local’ and ‘institution’ are concepts that infrastructures of communities.
are difficult to unpack. Mitigation
The usage of the latter conforms, in the broad sense of the Involves measures taken to limit the adverse impact of natural
term, to the widely accepted definition of ‘the rules, organisations hazards and related environmental and technological disasters.
and social norms that facilitate the coordination of human action’. Examples of mitigation are the retrofitting of buildings or the
The fact that to some large extent they are context-specific helps installation of flood-control dams, and specific legislation.
us fend off the unappealing prospect of getting embroiled in long-
winding conceptualisations: for the intents and purposes of this Preparedness
review we may unworriedly hope to get away with employing Involves measures taken to ensure effective response to the
the term loosely to refer to ‘an organisation of local actors’. impact of disasters. Preparedness measures include, for example,
For lack of space (see the next Section below), the emphasis evacuation plans, early warning systems, pre-stocking of relief
in this endeavour is on their displaying some degree of “formality” items - all being part of a national disaster relief plan.
226 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 227

Emergency Phase The rationale behind the use of the expression ‘disaster
In the emergency phase of a natural disaster, response management cycle’ is that disaster and its management is a
mechanisms are automated. This phase is normally short-lived continuum of inter-linked activities. Yet, the expression is slightly
and may be over within days or weeks. deceiving in that it suggests that the periodic occurrence of natural
disasters is something inevitable, always requiring the same
Response response. On the contrary, if effective prevention and preparedness
Involves measures taken immediately prior to and following measures are implemented, natural disasters may be avoided by
the disaster impact. Response measures are directed towards saving limiting the adverse impact of inevitable natural phenomena.
life and protecting property. They deal with the immediate
OBJECTIVE, METHODOLOGY AND SCOPE
disruption caused by the disaster. They include search and rescue,
and the provision of emergency food, shelter, medical assistance. The objective of this review is to demonstrate whether, on the
The effectiveness of responding to disasters largely depends on basis of literature available, local institutions play a role in natural
the level of preparedness. DRM at the household and at several institutional levels, and, if
they do, to understand how this occurs, and what are the strengths
POST-EMERGENCY PHASE and weaknesses of the actors and stakeholders involved in
The transition from relief to rehabilitation is rarely clear-cut. increasing DRM capacity at several levels. Achieving this objective
On the one hand, the foundations of recovery and reconstruction implied:
are usually laid in the immediate aftermath of a major disaster, Investigating how local institutions have dealt with actual
while emergency response activities are still ongoing. On the disaster events and/or mitigated their impact on their members/
other hand, there is often, in the aftermath of a natural disaster, constituencies;
a phase when basic needs must still be met as the long-term Analysing how population groups in disaster-prone areas
benefits of rehabilitation and reconstruction projects have not yet have usually dealt with and are dealing with disaster risk,
been fully realised. As a result, the phasing-out of relief assistance rehabilitation and development through local institutions;
must be managed carefully.
Assessing the implications of mitigating disaster risk for local
Recovery institutions and their effectiveness at doing so as well the impact
of the wider institutional environment;
Is the process by which communities are assisted in returning
to their proper level of functioning. The recovery process can be Identifying lessons learnt from local institutions’ involvement
very protracted, in some cases up to a decade or more. Typical in DRM, focusing on potential improvements in terms of their role
activities undertaken under this phase include: restoration of and organisational development needs;
essential services and installations, and long-term measures of Providing elements of a pro-poor DRM strategy that highlights
reconstruction, including the replacement of buildings and and strengthens the role played by local institutions, and that
infrastructure that have been destroyed by the disaster. leaves local actors better equipped to deal with the disaster
management cycle; and
Development
Elaborating how policy and operational support at sub-
Its inclusion in the disaster cycle is intended to ensure that national, national and international level can better sustain local
following the natural disaster, countries factor hazard and institutions in DRM and longer-term development. This literature
vulnerability considerations into their development policies and review focuses less on the myriad of “informal” local institutions
plans, in the interest of national progress.
228 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 229

that are also standard local practices such as those derived from efficiency, equity, and, especially important in the context of local
custom (like, e.g., certain context-specific agricultural traditions institutions involved in DRM, development and resource
within a given farming system that have evolved and become management. By bringing government decision-making closer to
adapted over many generations to suit local exposure to potential the citizenry, decentralisation is widely believed to increase public
natural disasters). In looking at existing local institutions, emphasis sector accountability and therefore effectiveness, whilst
was placed on those with relatively more potential to bridge the contributing to the strengthening of a genuinely people-centred
mitigation-development continuum, and microfinance institutions type of democratic culture.
(MFIs) were singled out as promising to that effect. Unwittingly, local population groups themselves often do
With respect to natural disasters, the present paper their part to further increase their risk exposure, for example,
concentrates on rapid onset phenomena such as floods, hurricanes, through unsafe settlements on steep slopes, unsustainable
snowstorms and earthquakes and their associated effects (e.g., deforestation leading to soil degradation, etc. This has been the
landslides, heavy rains, etc.), rather than slow onset phenomena unintended outcome of a lot of spontaneous household relocation
such as droughts, or some other often protracted events such as and formal resettlement programmes promoted by government,
rodents, predators and pests, or human and animal epidemics - in which newcomers lack the necessary local agro-ecological and
which is another reason for more examples coming from Asia and farming systems knowledge to devise risk coping strategies suited
Latin America rather than from Africa. Neither included are to their novel surroundings. This constitutes all the more reason
volcanic eruptions, because of their more localised effects, nor to inform local population groups about the risks they are exposed
bush and grassland fires and other such events, because these are to, involving them as responsible actors in disaster prevention
mostly man-made (and thus not ‘purely natural’), rather than activities - usually, everyone has something to contribute to the
predominantly meteorological and seismic in origin. reduction of disaster risk hazard and should be provided with the
The secondary data collected comes from all developing opportunity of doing so. It is a way of increasing the self-reliance
regions and sources; the way to access the material has been of the population at risk and the sustainability of disaster
mostly through the internet, where a range of studies, project prevention measures, all of which is more easily achieved at the
documents, strategy briefs, newsletters, etc. has been downloaded decentralised, local government level, and below.
in either English, French, Spanish, Portuguese or German. Other As Crook and Manor (1998) argue, bringing government closer
information was provided by colleagues working in or with projects to people increases efficiency by helping to “...tap the creativity
that contain DRM components. and resources of local communities...”. Decentralisation is believed
to increase coordination, vertical linkages (discussed in the Section
THE PROMISE OF DECENTRALISATION 8 below) and flexibility among administrative agencies and
Much has been written about decentralisation and the local effectiveness in development and conservation planning and
civil society institutions-local governments interface, although the implementation. Where it is real, local government bureaucrats
political character of the process, particularly in developing and technocrats are in a position to invest in DRM as they have
countries, has often been underestimated. “Decentralization and been devolved the power and provided with sufficient funds to
participation are both means of bringing a broader section of a do so. It is however often difficult to use scarce public funds for
given population into public decision-making processes - in a role environmental conservation - which contains elements useful to
of informing and/or controlling those processes” (Ribot, 1999: 1). natural disaster prevention - given the unattractiveness of such
The assumption is that greater participation in public decision activities in political terms; on the other hand, it is the aftermath
making is a positive good in itself, and/or that it can improve of catastrophic events that provides opportunities to accumulate
230 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 231

political capital through (donor-funded) infrastructure mostly through externally-financed projects and programmes.
reconstruction. Where these keep on occurring repeatedly, contributing to the
In sum, if participatory, decentralisation can increase creation of a “handout syndrome”, government post-disaster relief
managerial and economic efficiency by: allowing local population compensation programmes and international assistance may also
groups who bear the costs of resource use decisions to make those act as ‘incentives’ for people to locate to disaster-prone areas
decisions, rather than leaving them in the hands of outsiders or (Charveriat, 2000). Certain more recently instituted local
unaccountable locals, increasing efficiency by internalising government arrangements serve, amongst other objectives, to
economic, social and ecological costs and benefits; reducing contribute to alleviate the plight befalling the coffers of the local
administrative and management transaction costs via the proximity administration: beyond their role in cross-cultural exchange,
of local participants, access to local skills and local information; twinning programmes between municipalities in the South and
and using local knowledge and aspirations in project design, the North, for example, seek to also bring together all types of
implementation, management and evaluation for better matching resources and experiences to that effect. They are often among the
of actions to needs (adapted from Ribot 1999). Given that natural first channels to be appealed to in order to mobilise supplementary
disasters rarely hit whole countries, but, rather hazard risk often external funds to deal with emergencies such as those caused by
varies even from one micro-region to another, it becomes essential natural disasters, and, often more importantly, play an important
to use local knowledge for effective prevention measures and to advocacy role vis-à-vis regional and national governments as well
adapt these to local threats and vulnerabilities. Whereas this tends as, sometimes, the international community.
to happen within the confines of DRM project frameworks, (as we As intermediaries with more affluent urban or industrialised
will see further below) this is far from being institutionalised in rural environments, often in Europe and in the USA, migrant
the public sector. associations have sometimes also been carrying out comparable
National disaster plans may mention mitigation and functions. The impact of their activities tends to be more localised,
preparedness, but often lack detail and dedicated resources. Social, at the intra-community level, not least because of the influence
political and macroeconomic pressures can undermine the capacity of clan-based and other kinship related social networks within
of state authorities to reduce risks. Cash-strapped central them. Although this is yet another area in which research data
governments may simply abdicate their responsibilities, leaving are scarce, it appears that the commitment of such associations
disaster management to local governments and NGOs, even to play a prominent role in DRM depends partly on their degree
though they (know they) lack the skills and resources to do so. of politicisation, both vis-à-vis their host countries and those of
In many parts of the world, fiscal and financial decentralisation their origin. With diasporas acting as financiers and fund-raisers
have in fact not kept up with the pace of politico-administrative for the immediate rehabilitation needs of the households to whom
decentralisation. Local governments can thus often only count on they are connected through familial ties, the bulk of such assistance
a narrow tax base and are not usually devolved sufficient central however tends to take place at the individual level, a phenomenon
funds to be able to afford “luxurious” expenses such as those facilitated by the increasing international outreach of commercial
committed to NRM, let alone ex-ante investments in DRM, which money transfer services and the concomitant diversification of
remain difficult to justify vis-à-vis local constituencies often angry transfer options.
at continuing budgetary cuts in the health and education[8] sectors,
LOCAL EMERGENCY COMMITTEES
for example.
In Costa Rica there exist more than 60 Local Emergency
Notwithstanding this state of affairs, initiatives have been
Committees, at the local administrative level of the ‘canton’,
taken in many regions, although it appears to have happened
composed of the delegates of various institutions, with each
232 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 233

member being assigned a role in case of an emergency; these North-West China, extension mediation groups were to be used
bodies are integrated into Regional Committees. in a similar fashion. With the exception of flood-prone
The local committees aspire to be facilitators of community Mozambique, most of the relatively few examples of local
mobilisation and organisation. Only some few institutions are government involvement in DRM in Sub-Saharan Africa, on the
however represented permanently on the committees, which limits other hand, are not related to rapid onset phenomena such as
their possibilities of planification and action. In certain instances, floods; rather, they can be found in the Sahel, where the recurrent
activities are carried out such as the laying out the inventory of droughts and a strong associational culture coupled with advanced
resources available to face emergencies and the establishing of decentralisation have led to some degree of success in coping with
several brigades (rescue, first aid, food distribution, transport, these slow onset disasters.
etc.). These activities lead to the drafting of Local or Regional In Mozambique, clients of the ‘Fondo de Crédito
Emergency Plans. The latter provide the population with Communitário’ (FCC), which applies a village or community
information on where to go in case of an evacuation alarm, who banking methodology, were facing unprecedented floods when
will assist and be assisted, and which other activities are to be a cyclone hit on February 22, 2000. The flooding, considered the
joined. worst in 50 years, caused more destruction to infrastructure than
Unsurprisingly, the extent to which DRM measures are the whole civil war experienced by the country until the early
institutionalised and streamlined within local government systems 1990s. Most FCC clients were displaced for about two months and
depends largely on the regularity and intensity with which their the emergency response phase took two more months after they
constituencies keep being affected by extreme natural events. In returned to their homes. As a pilot test during the emergency,
many parts of the world, during periods of heavy rainfall for cash grants were offered directly to these households by another
example, clogged up drains can have a dam effect preventing organisation; FCC clients had the option of using this grant to pay
water from flowing freely, thus creating overflows and ultimately off their outstanding debt or restructure their loan in order to keep
giving rise to flooding. In most of Latin America and the Caribbean, the grant. Of a total of 89 community banks targeted, only 3 chose
like in Jamaica, drains maintenance is carried out by government to restructure. The community banks that chose to repay, paid the
and local parish councils, which include the Parish Disaster loans before the anticipated repayment date. Evaluations suggest
Committees. These are local government bodies providing that the cash grants did not have any negative impact on the credit
residents with evacuation procedures and are responsible for culture of FCC clients since, first, the grants were offered by a
organising and directing local disaster preparedness and different organisation, and second, most used the grant to repay
emergency relief operations in collaboration with other voluntary their loans in order to obtain a new loan.
agencies and the government’s emergency services.
COMMUNITY-BASED SELF-HELP APPROACHES AND OTHER CIVIL
In coastal Asia where flood risk is severe, for example in SOCIETY INITIATIVES
Bangladesh and Cambodia, several projects have been built around
In collaboration with central and local governments, one of
the concept of specifically focusing on: people’s perception of
the first things that international project and programme assistance
flood risk; the purpose and tools of community flood risk
as well as international and local NGOs tend to do as a response
assessment; the strategies for community organisation; and
to natural disaster is to initiate Food-For-Work (FFW) programmes.
resource mobilisation and capacity building. In these cases, the
These seek to provide people in affected villages with interim
rationale for doing so can be traced back to the sequencing of
food security and to facilitate the rehabilitation or construction of
DRM activities, with an emphasis on local scoping studies and
community assets such as water sources, irrigation facilities (canals
capacity building that are to precede community interventions. In
and earthen check-dams), roads, and other civic infrastructure,
234 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 235

economic and social (schools, health centres, etc.). Community Yongong et al. (1999) further find that during a disaster
based self-help approaches to DRM are rare where there is situation, the first action of herders is to contact the nearest
widespread poverty, which makes such not immediately tangible households, which are normally the family relatives or herder
investments almost a luxury, and rarely a priority. Investments group members for mutual assistance. The next step is to procure
in disaster mitigation and preparedness in particular tend to be assistance from the community leaders, village leaders or
less than optimal due to the public good nature of safety and the production team leaders, who have contact with outside
differences in levels of risks and risk perception among community institutions. In cases of severe emergencies and damage,
members (Charveriat 2000). Whilst the latter is correlated, beyond governmental relief actions from the upper levels have to be
basic human safety and security, with asset ownership, even where obtained through township governors, village leaders and
it would be desirable that line agencies support the coping strategies production team leaders.
of the rural poor, the absence and fluidity of household typologies In the African Great Lakes Region, there exists a traditional
for DRM planning entails the risk of the government providing local institution similar to the “zhangquan”, the “nyumbakumi”
‘club goods’. Drought response programmes, for example, should (originally a Kiswahili word, meaning literally “ten houses”). The
not distribute feed indiscriminately but target core breeding household heads of the houses of ten families elect what may be
animals that can be circulated as part of customary solidarity referred to as a “focal point”, namely, someone to take up
schemes on a community-wide basis. Whereas some more in- management responsibility over a broad range of issues affecting
depth information is available since the 1990s in particular on the their everyday lives: first and foremost, the security concerns of
household strategies adopted to face chronic or seasonal poverty, humans, animals, and crops. The “nyumbakumi” are, in a way,
much less research has been done regarding hazard risk exposure the civil society equivalent to what at the lowest level of Rwanda’s
and the endogenous responses thereto. local government system are called the Secretaries in charge of
In North-West China, informal herder groups counteract risk Security, who are members of what is referred to as the Cell
and manage disaster situations by jointly preparing emergency Executive Committee. Given the region’s sad track record of social
plans and organising pasture movements should an emergency conflict and genocidal crime, these customary leaders have had
situation such as a snow storm occur (Yongong et al. 1999). much less to do with DRM than with the threat of armed groups
“According to the herders, village leaders and production team attacking their constituencies. Depending on how the attitude
leaders are the most active persons in dealing with the risk governments take vis-à-vis these local institutions will evolve,
management (...). They even fulfil extension tasks, since there are however, their role holds much potential for the provision of
no township and village extension line agencies (...). (...) In those support to community-driven DRM initiatives.
townships which have no concentrated village settlement pattern, If we include ‘organising practices’ under the umbrella term
there is another non governmental informal organization locally of ‘customary local institutions’ in the agricultural sector, examples
called “zhangquan” situated between the production team and of elements in DRM become countless, having evolved from
households. A “zhangquan” normally composes about 4-5 herder's generation to generation as locality-specific responses to natural
households on average. In general, they are comprised of families hazard risk.
or of neighboring families settled in the same area. Generally,
To give but one illustration from what is perhaps the country
these individuals collaborate as unofficially formed herders groups.
worst affected anywhere in the world by flash floods, Bangladesh,
Such groups jointly organize the grazing, they exchange their
there, traditional cropping patterns are normally closely adapted
labor force, share information, protect animals from theft, address
to seasonal flooding characteristics. Farmers have selected many
risk avoidance, organize meetings and make decisions together”
rice varieties adapted to local micro-environments, considering
(Yongong et al. 1999: 11).
236 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 237

flooding depth and duration as well as brackish water conditions. correspond to the national level - mechanisms were established
To take advantage of the fish spread over large areas of the flood to ensure coordination with concerned actors such as officials
plains during seasonal flooding, rural households also engage in from the Government control room and external aid cell, donors,
casual fishing in artificial stock ponds next to their houses (Wood United Nations agencies, NGOs, and the private sector. SEWA,
1999). Floods have thus become part and parcel of rural livelihood an already much respected and inspiring institution, thus gave
strategies, and new ways continue to be found for better coping further proof of its logistical capacity and technical competence.
with their impact on food security and human welfare. The Demand-driven (and often project-confined) processes of
investigation of rural livelihood strategies through the Sustainable participation do not always meet the supply-driven (and often
Livelihoods ‘lens’ can provide an important means of learning top-down) processes of decentralisation, and in some cases both
more about how to strengthen household resilience to cope with are mostly externally driven. Even in historically relatively more
shocks. inward-looking countries such as China, Yongong et al. (1999)
A recent review of IFRC (2003) finds that: “..., the main find for the North-West that “since the establishment of the
weakness of community-based initiatives is their limited outreach. household responsibility system, herders' groups are even playing
Scaling up to achieve greater impact needs the participation of important roles in risk management actively mediating between
government. Yet the state and its apparatus are often seen as part household and production team level. Village leaders and
of the problem”. production team leaders play important roles in risk management,
poverty alleviation and extension as agents of the administrative
HORIZONTAL AND VERTICAL INSTITUTIONAL INTERACTIONS AT LOCAL- line agencies at the community level. They hold both coordinating
, MESO-, AND MACRO LEVELS and management functions during disaster emergencies as well
Disaster risk mitigation is a cyclical, dynamic process that as during disaster prevention and recovering periods. [Yet,]
requires continuous adjustments, decision making and interaction although the Chinese institutional reform was launched in 1998,
at different yet interrelated levels and among a variety of the community organizations have not yet been reached by the
institutions and actors, including individuals, households, reform taking place at the higher institutional levels” (pp. 7, 18).
communities, non-governmental organizations, market Helping to provide better access to information and its flow
institutions, and government (World Bank, 2001; Mileti, 1999). between different levels of the administrative system, in Orissa
Local institutions may thus appear on the scene at various stages; (India), some NGOs ran Legal Aid Centres with the aim of
regrettably, not many case studies exist on the role they play or sensitising cyclone-affected people about their legal rights to
may play during the different phases or throughout the DRM compensation by government.
cycle.
The authors of the report describe constraints experienced by
Following the latest earthquake in Gujarat (India), the responding to disaster through local government in Orissa, India
decentralised and well coordinated nature of its relief distribution as follows: “Within most governments there are real difficulties
network enabled SEWA to provide adequate and timely post- in achieving integration between sectors at the policy making
disaster assistance. A three tier mechanism, with teams working level. In India integrated planning does occur to a certain degree
from the village through the district to the state level, was adopted at the district levels where district and block level planning brings
by the institution to carry out its earthquake response and assistance the line ministries together in a more coordinated and harmonised
programme. At the community and district level, teams ensured way. DfID India did encourage a more geographical basis for
that the distribution of relief materials was adequate and timely. planning but this did not emerge. Had this been taken forward
At the State level - which in smaller countries could be said to with support to develop proposals on a district-by-district basis
238 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 239

it may have created the conditions required for the desired level that are more adequate, such as savings and emergency funds.
of sectoral integration. This in turn would have been a significant It may be feasible to provide disaster insurance services, but given
opportunity to build experience and awareness within government high risk exposure levels, insurance premiums will most likely
of a more integrated and holistic approach which would have have to be set at a rate that only few can afford. In countries like
provided longer-term benefits in the implementation of the Mexico, for instance, low coverage stems in part from the high
Western Orissa Livelihoods Project” (p32). premium prices that the insurance industry has to charge in zones
that are highly prone to earthquakes (World Bank 1999). In low
MAPPING LOCAL INSTITUTIONS IN THE DISASTER RISK MITIGATION risk exposure areas, people do not have the incentive to buy
CYCLE insurance coverage, which further reduces the insurer’s scope to
Preparedness: Insurance bring down costs to a viable level through cross-subsidisation.
In developing countries, it is difficult to establish the link Proshika
between insurance and mitigation. The need for mitigation is high
Proshika in Bangladesh has developed some relatively simple
as many structures are completely uninsurable since they are not
yet effective insurance mechanisms as part of its policies for risk
only located in settlements without basic services and/or in flood
and vulnerability management. These mechanisms include
plains or other places with high probability of disaster occurrence.
Proshika Savings Scheme (PSS) and Participatory Livestock
In addition, many of these structures are not built with solid
Compensation Fund (PLCF). The PLCF was introduced in 1990,
materials and appropriate building standards, while their
and it covers the loss caused by sudden death of farm animals
occupants often lack legal ownership title (World Bank 1999). The
and poultry, specifically cattle, goats and chickens. Each group of
poor, in addition, do not have adequate financial incentives, let
borrowers contributes 3 to 5 percent of the purchase value of the
alone the means to take mitigation actions. Local governments,
animals to this fund.
at the same time, lack the capacity to develop and enforce land
use management plans and building standards to improve the SEWA (see Section 6 above) provides comprehensive coverage
conditions of these settlements. to its members. SEWA started its integrated insurance programme
in 1992, as a collaboration between SEWA, SEWA Bank and the
Insurers wanting to provide insurance services to the poor
nationalised insurance companies. Eventually, SEWA established
face the challenge of setting up affordable rates which can also
its own insurance company, VimoSEWA, which according to the
ensure the financial sustainability of the programme. In the end,
most recent figures, has insured about 90,000 women and men in
even if a risk is considered insurable, it may not be profitable or
Gujarat. The current insurance programme offered by this
sustainable, since, as Kunreuther (1998) puts it,”...it may be
institution consists of a group insurance package linked with
impossible to specify a rate for which there is sufficient demand
other insurance companies. Specifically, the programme has three
and incoming revenue to cover the development, marketing, and
different insurance packages including life, accidental death,
claim costs of the insurance and still yield a net positive profit”
hospitalisation and maternity, and loss of housing and other assets.
(p27). This was precisely the experience of insurance companies
In terms of asset protection, SEWA provides coverage to members
in the USA that led them to declare flood risk as unmarketable.
for losses related to natural disasters such as fire and flood, and
Without a mandatory requirement it is difficult to spread the risk
man made disasters such as riots. Interestingly, the insurance
among a large number of people in order to provide affordable
scheme is linked with savings: women who want to become long-
insurance rates.
term members of the insurance scheme can deposit a certain
Under certain circumstances, even when risks are technically amount in SEWA Bank and the annual premium is paid from the
insurable, there may be alternative risk management products interest accrued from this deposit. Over the last five years, SEWA
240 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 241

members have had to cope with one flood, two cyclones, three systems, and a certain level of disaster preparedness manage to
droughts, one epidemic and a catastrophic earthquake. respond faster and better to the disaster situation. Rapid access
An approach seen as very promising are index and area- to cash, made available in the form of emergency funds or through
based contracts to insure natural disasters. Area-based index efficient transfer of external funds, are particularly critical.
insurance is provided through contracts written against specific Having committed and easy to deploy field staff allows certain
perils or events such as area yield loss, drought, or flood, defined MFIs to carry out damage assessments rapidly and to monitor the
and recorded at a regional level via, for example, local weather situation closely. In turn, damage assessments and close monitoring
stations. The insurance is sold in standard units, with a standard of the situation enables these institutions to respond better to their
contract or certificate for each unit sold (known as a Standard Unit clients’ needs, and the assessments provide them later on with
Contract). All buyers are free to buy as many units of the insurance more accurate estimates of the funds needed for the recovery
as they want, pay the same premium rate for a Standard Unit process. Another critical factor influencing the relative success of
Contract in a given region, and receive the same indemnity if the MFIs’ assistance during disasters is the level of engagement with,
insured event takes place. A good example of this type of insurance and relative dependency on donors and international NGOs.
is area-based crop yield insurance. Usually, for example, in India, Currently, involvement of microfinance in disaster risk
insurance is written against the average yield of a region, and a management in many countries remains highly vulnerable to the
payment is made if the measured yield for the region falls below ebbs and flows of donor funding. Given ongoing relationships,
the pre-defined limit. Area-based yield insurance requires long donors and governments have typically found it practical to
and reliable series of area-yield data, a kind of data not usually channel emergency and recovery funds through MFIs. In fact, the
available in many countries. Alternative indices such as rainfall major source of funds for the products and services offered by
and soil moisture can be used instead of historical area-yield data. MFIs in post-disaster situations has been grants from donors.
The same borrowing groups used for savings and lending services Setting up new MFIs as a post-disaster response, however, may
can be used as conduit to sell area-based index insurance. not be effective because these institutions would lack experience,
Disaster insurance, although not a mitigation strategy per se and knowledge of the area and of the affected households.
- as it redistributes rather than reduces losses - should promote Most MFIs today would not consider debt forgiveness as part
the adoption of loss reduction measures. Pantoja (2002) finds that of their post-disaster efforts. Past experiences indicate that, even
for the most part, MFIs have not managed to tap into the potential though debt forgiveness brought immediate relief to affected
of insurance as an instrument to assist clients in their risk borrowers, it undermined years of work of the microfinance sector
management efforts. aimed at fighting the “handout syndrome” and creating a culture
of repayment and financial discipline. At the same time, debt
MITIGATION: MICROFINANCE INSTITUTIONS forgiveness may increase the losses suffered by the institutions
Local MFIs can undertake a wide range of complementary and exacerbate their liquidity constraints, while making them
activities to mitigate disaster risk, and thereby contribute to ensure more dependent on donors or government support. Although
that emergency responses become more community-based and context-specific, the long-term negative consequences on the impact
sustainable. MFIs have an important role to play by promoting and sustainability of the microfinance institution may often
disaster risk and vulnerability assessments of their clients. Although probably be higher than the immediate benefits enjoyed by
further research is required, several factors seem to influence the borrowers.
effectiveness of MFIs during disasters. Those institutions with In Nicaragua, the ‘Asociación de Consultores para el Desarrollo
good leadership, sound financial management and accounting de la Pequeña, Mediana y Micro-Empresa’ (ACODEP), one of the
242 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 243

largest MFIs in the country, has been learning from the experience promote the involvement of its POs in the flood response and
of hurricane Mitch in 1998 and more recent disasters. The recovery process (Pantoja 2002).
association has developed a ‘Disaster Prevention Plan’ whose ACODEP’s plan is interesting in that it further outlines a
objectives are to identify, prepare for and mitigate natural and basic, flexible credit policy for disaster emergency and recovery,
manmade disasters in order to protect the institution, its clients and the creation of a disaster loan fund, to help the association
and staff from possible losses. The Plan is rather comprehensive, prepare for possible cash flow demands and control credit and
including measures to protect the institution’s staff, portfolio, liquidity risks.
facilities, equipment and information systems and records, as well Specifically, the plan establishes that the institution will, inter
as measures to better respond to the many disasters that affect alia, stop collecting payments during the emergency period; allow
Nicaragua. The Plan recognises that priority should be given to clients to withdraw their deposits (which are normally used as
assisting clients in finding medical aid, contacting relief collateral); stop lending (short-term loans of 1 or 2 months, with
organisations and joining FFW programmes, but, in keeping with special interest rates, would be granted in cases of severe
the sector’s orthodox ‘best practices’, it does not consider that the emergencies for household needs such as food or medicines); and,
institution should provide relief directly. on the basis of a field damage assessment, prepare loan
THE PALLI KARMA SAHAYAK FOUNDATION restructuring and refinancing plans, considering two types of
situations: restructuring loans where clients lose their housing but
Albeit specific to the context of Bangladesh and its productive assets are not affected and/or they are severely injured,
characteristics, the ‘disaster management fund’ provided by the and refinancing loans when productive assets are lost but clients
Palli Karma Sahayak Foundation (PKSF) is an interesting example escaped the disaster unharmed (Pantoja 2002). Most disaster or
of a well regarded apex organisation providing low cost funds to emergency loan funds have at least two levels of terms and
poverty-oriented MFIs, and helping to set norms and standards conditions, as money needs to be transferred from them to MFIs
for the sector. Because of its relatively good performance since it and from there to clients.
was established by the government in 1990, PKSF has increasingly
In Bangladesh, the Grameen Bank has set up a comprehensive
received donor funds. In 2000, PKSF had about 172 partner
system to mitigate possible liquidity shortages after a disaster,
organisations (POs), which were providing microfinance services
based on three mechanisms operating at different levels: the group
to 1.8 million poor people.
level, the centre level and the institutional level. Each lending
After the 1998 floods in Bangladesh, many partner group has to create an emergency fund towards which each
organisations turned to PKSF for badly needed funds since it is member pays 5 percent of each loan; in each of the 65,000 centres,
the premier refinancing body for most of them. PKSF met the borrowers have to contribute approximately 25 percent of the
challenge by rapidly disbursing close to 1 billion taka, a total interest they owe into a centre disaster fund; and the Grameen
considerable amount of its regular funds. PKSF also set apart a Bank keeps US $100 m as a disaster fund.
relatively small amount (10 million taka or US $200,000) as a grant
Disaster Risk Management strategies of Microfinance
contribution to establish a more permanent ‘disaster management
Institutions (MFIs) (source: Pantoja 2002)
fund.’ The POs are expected to help increase the size of the fund
by contributing a portion of their income from service charges. (1) Systematic identification, reduction and transfer of disaster
In future, POs will be able to access the fund when they consider risks faced by the MFI itself
it necessary for localised disasters affecting a small number of - Identification and assessment of disaster risk and
clients, and not just when a national disaster is officially declared. vulnerability of staff, facilities, equipment, and information
Simultaneously, PKSF approached the government and donors to systems and records
244 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 245

- Preparation of Institutional Disaster Response Plan Financial Management Risks


- Train staff on disaster emergency and damage assessment - Estimate probable cash flow needs
- Agree with donors and government agencies on disaster - Ensure availability of funds through disaster fund, or rapid
response role access to commercial or donor funds
- Relocation and/or retrofitting of vulnerable facilities, - Mobilise savings
equipment, and information systems - Ensure availability of funds through disaster fund, or rapid
- Protection of financial and other historical records access to commercial or donor funds
- Purchase of own insurance and reinsurance - Mobilise savings
- Help staff retrofit their housing/find safer locations - Avoid over-reliance on savings to fund loans
- Conduct damage and need assessments of staff and affected - Monitor efficiency levels (costs per unit per output)
branches - Avoid subsidised interest rates
- Assist affected staff (3) Development of products and services to assist clients in
(2) Integration of disaster risk into overall risk management disaster risk management
system - Promote assessment of clients’ disaster risk exposure
Institutional Risks - Promote training of clients on disaster emergency response
- Ensure balance between humanitarian assistance and - Mobilise savings
financial health - Raise disaster awareness
- Develop sound management information systems - Promote sound land use and natural resource management
- Strengthen financial viability of products and services - Provide products for housing improvements and
- Minimise reputation risk by providing adequate assistance construction in safer locations
to clients - Offer savings and insurance products
- Ensure balance between humanitarian assistance and - Maintain flow of credit open and allow debt restructuring
financial health under pre-established terms
- Promote mitigation practices and technologies
Operational Risks
In the same country and in a manner similar to ACODEP,
- Prepare Operational Disaster Response Plan
although on a smaller scale, the Association for Social Advancement
- Monitor portfolio quality (ASA) has established a permanent disaster loan product to offer
- Maintain sound internal control systems to their clients after a disaster: loans range from 500 to 1,000 taka
- Introduce flexibility into lending methodology each, are interest free, and must be paid back within two years
- Establish clear refinancing/debt restructuring policies and through 100 equal weekly instalments (Rahman 1999).
savings withdrawals limits, if applicable Faced by natural disasters, many MFIs have consistently
- Diversify portfolio geographically and sectorally managed to maintain discipline in their existing projects and
- Maintain flow of credit open and allow debt restructuring sometimes even been able to use these events as opportunities to
under pre-established terms strengthen the sector. In several cases, they have been found to
come together in an informal manner to avoid the impact of
- Monitor security risks
246 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 247

adverse decisions such as government directives to forgive debts ELEMENTS OF A TYPOLOGY OF SUCCESSFUL LOCAL INSTITUTIONS IN
- a relief strategy often resorted to in the past. Thus, “their efforts DISASTER RISK MITIGATION
would be supported greatly if donors and governments agree on At the institutional level, disaster risk exposure - and eventually
disaster response and recovery policies for the microfinance sector disaster impact - is related to the size, age and level of financial
before a disaster occurs” (Pantoja, 2002: 31). Vulnerabilities will and operational sustainability of a local organisation. Yet, the
change over time as MFIs evolve and expand, and their portfolio picture emerging from the literature is too patchy and thin to
changes. allow more conjectures about what a “typical” local institution
Governments and donors have an important role to play in that is successful at DRM looks like, mostly, because the vast
promoting the adoption of DRM strategies in the microfinance heterogeneity of actors involved defies such extrapolative attempts.
sector, and evaluate their results, in order to maintain appropriate Common traits are definitely transparency and flexibility, in
policies and procedures. technical, administrative and financial terms (see the Box in this
MFIs can carry out important functions in preparedness, Section).
reduction or mitigation and risk transfer, and response (coping) One area where some work has been carried out is in the
and recovery. Unfortunately, they have been doing this much less realm of MFIs. Pantoja (2002) suggests that, at a general level, the
than would be desirable, so that these examples are drawn from potential of microfinance institutions to deal with their own disaster
relatively few practical experiences. risk exposure and to assist their clients in disaster risk management
Similar to the rescheduling of compulsory savings, loan will depend on sector and institutional level factors. At the level
rescheduling may help clients and protect the MFI by allowing of individual institutions, these factors include the degree of
clients to repay loans in a flexible manner. formality or informality, the dependence on donor or government
funds, the level of financial and operational sustainability, and the
By giving affected clients the option to delay repayments on
decision to offer subsidised credit for poverty alleviation. Overall,
their loans for a specified time, MFIs can counteract the probability
small, locally based MFIs are thus likely to be more vulnerable
of defaults and reduce financial losses (Nagarajan and Brown to natural disasters or fluctuations in agricultural yields than
2000). Empirical evidence indicates that disaster-stricken borrowers larger, more geographically dispersed institutions (World Bank
do not necessarily insist on debt forgiveness, and are willing to 2000). Pantoja (2002) concludes that although it is likely that a
accept assistance to improve their liquidity through, for instance, microfinance institution which is a good micro lender and good
cash or in-kind relief loans, and access to savings. in micro savings will have more alternatives at hand to mainstream
Emergency loans might be a good mechanism to help affected disaster risk management strategies to protect its clients, its
households, and other demand-based financial services, such as portfolio and its facilities, convincing evidence has not yet been
channelling remittances, which can be offered to everybody across collected.
the affected area and which would ease cash flow problems of
clients and non-clients. FLEXIBILITY AT WORK (1): ACK-MDO, KENYA
The provision of technical supervision is an unavoidable In the Marsabit Drought Relief Project (implemented by the
requirement of a housing programme if one of the objectives is Anglican Church of Kenya-Marsabit Develop-ment Office, funded
to improve building standards and practices that take disaster risk by DfID), the ability to switch from animal destocking to restocking
reduction into consideration. Experienced MFIs do not recommend in response to changing needs was critical. One of the lessons of
using the solidarity group lending methodology for home the intervention was the importance of donor flexibility: without
improvement loans. the need for a second proposal, DFID was able to approve the
248 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 249

implementing agency’s switch from destocking to restocking environment, and the physical environment where the institution
within two weeks. delivers its services and its clients live. The scale or breadth of
outreach will also influence risk exposure of the institution
FLEXIBILITY AT WORK (2): PRO-MUJER, NICARAGUA depending on whether its clients tend to concentrate in economic
Pro-Mujer is a medium-sized institution in Nicaragua with sectors and activities that are highly exposed to disaster risk. As
direct international links providing financial and non-financial experience suggests, geographical diversification through a wide
services such as basic health services and technical assistance in network allows MFIs to cross-subsidise (through risk-pooling)
business skills to about 5,800 women. After hurricane Mitch disaster risk management activities. On the other hand,
devastated the region in October 1998, it assumed a relief agency geographical dispersion may increase risk exposure of an institution
role as, for about two weeks, the focal centres of Pro-Mujer became if most of its network is located in remote, disadvantaged areas
relief facilities. Pro-Mujer staff temporarily stopped credit and that under normal circumstances represent higher operational
training operations, postponed disbursements to new associations, costs.
and used training centres to counsel clients and distribute food When MFIs link credit directly with nonfinancial services
donations. Moreover, it quickly managed to deploy trainers who such as training in disaster preparedness, to borrowers these costs
could teach clients and their families on hygienic strategies and are very rarely recovered by revenues. Provision of auxiliary
preventive health measures for a post-disaster situation. Pro-Mujer services such as disaster preparedness training tends to be
staff also worked directly with clients to determine their needs negatively correlated with financial sustainability, which is vital
and reassure them that the programme would continue, and for any microfinance institution to face future disasters and to
brought in a consultant to conduct workshops on emotional develop a viable disaster risk management strategy. In practice,
recovery (Pantoja 2002). many NGOs in the process of becoming formal financial institutions
Local institutions including very poor members or reaching have chosen to transfer the majority of their microfinance portfolio
very poor clients will tend to be more vulnerable to disasters. The to the formal institution they have created, while keeping the
client profile, at the same time, is affected by the lending original NGO structure to address credit needs of the poorer
methodology of the organisation, which in turn may affect financial clients and implement developmental activities.
viability of its programmes. Mostly, a trade off exists between
reaching poorer groups and financial sustainability. In this respect, HOW TO FACILITATE INSTITUTIONAL LINKAGES AND FOSTER A
some have questioned the financial viability of village banking COLLABORATIVE APPROACH
institutions, while others have found these institutions to be more The recent hurricane Mitch In Latin America (which is said
vulnerable than solidarity group or individual lending institutions to have set back the development of Honduras by 20 years) and
due to their focus on rural areas and on delivering small loans Orissa cyclone in South Asia have had major impacts on the
to very poor clients. Typically, for instance, the younger and/or countries’ respective institutional environments and organisational
smaller institutions have a more difficult time in responding to set-ups. These regulate the collaboration among civil society and
disasters, in operating during the emergency period, and in government stakeholders, and, ideally, should seek to exploit the
implementing effective disaster risk preparedness and mitigation comparative advantages of both. “Experience in Orissa and in
strategies. other parts of India shows that NGO focus on sector-specific
In the case of MFIs, the characteristics described above issues such as livelihood, community organisation, community
underline another important factor: outreach, which influences asset creation, women group formation, etc. accelerates social and
external risks related to clients’ socio-economic profile, competition economic recovery after disasters. Such initiatives meaningfully
supplement larger infrastructure reconstruction initiatives of the
250 Planning for Human Settlement in Disaster Prone Areas The Role of Local Institutions and their Interaction 251

government” (Behera, 2002: 3). The latter has set up the Orissa as part of a risk management strategy in order to gain value added
State Disaster Mitigation Authority (OSDMA), a registered society from their comparative strengths and good connections” (Yongong
that took on a major coordination role from January 2000, drafting et al., 1999: 17).
a “Community Contingency Plan for Floods and Cyclones, Orissa”. The real functions of herder's groups seem to be overlooked
OSDMA and the UNDMT (United Nations Disaster by the county-level extension agents, who normally have no direct
Management Team) initiated NGO coordination meetings at the contact with them, but rather contact village leaders and production
State level (through the State Level Coordination Committee team leaders when they visit a community. The “zhangquan”
Meetings) whilst coordination at the District (through monthly traditional groups (see Section 8.2 above) tend to include
District Level Co-ordination Committees), block and Gram “innovative herders or the village veterinarians who have more
Panchayat (local government) levels was achieved through both contact with outside organizations and community leaders. (p11).
coordination meetings and by assigning “lead agency” status to On the other hand, conversely, governmental organisations, such
a main NGO in each Gram Panchayat. Their function was to avoid as Provincial Department of Animal Husbandry, Prefecture Animal
duplication of effort and to facilitate co-operation. Following the Husbandry Bureau and County Animal Husbandry Bureau,
establishment of a livelihoods database by the UN, 38 areas of Poverty Alleviation Bureau, Civil Affairs Office and the county
duplication of effort were nonetheless identified and 150 cases of government continue to play dominant roles in risk avoidance,
unrepresented Gram Panchayats discovered; all inputs into each risk relief and recovery procedures. Thus, whilst emergencies
village in the affected areas have been entered into an extensive represent good opportunities for overcoming a series of
database. About 40 local and international NGOs set up an institutional constraints that may be hampering collaboration at
emergency response network called Orissa Disaster Mitigation the local level, studies may point out the importance of collaborative
Mission (ODMM) to coordinate their post-cyclone relief and efforts and coordination, especially where no disaster-specific body
rehabilitation work, establishing a Volunteers Hub at the state such as OSDMA exists.
capital and running a volunteers base camp.
It appears that the “tapping” of social (or ‘societal’) capital
and of synergies between communities and local governments is
rarely achieved in practice, as institutional configurations and
professional mentalities may not necessarily be conducive in this
respect. In North-West China, according to Yongong et al. (1999),
community leaders such as township, village and production
team leaders, and herders' households have played insufficient
and passive roles and functions in the different stages of pastoral
risk management. Yet, “village/community leaders and production
team leaders have (...) the trust of local community members
which allow them to play a key role as intermediaries between
herders and the extension service. However, the visits of village
leaders to households are normally only for collecting animal
taxes, arranging the children's school enrolment and forwarding
the policy instructions to herders. Their role of assisting the
extension service should, therefore, be reconsidered and reworked
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254 Planning for Human Settlement in Disaster Prone Areas Index 255

Environments, 34, 79, 94, 99, 217, 221, 228, 230, 232, 234,
113, 135, 178, 207, 209, 231, 237, 242, 243, 244.
235, 249. Insurance, 1, 46, 59, 83, 111,
Evaluation, 8, 15, 24, 162, 169, 148, 207, 238, 239, 240, 244,
170, 230. 245.
Evidence, 34, 71, 82, 88, 148, Investment, 4, 36, 51, 89, 92,
INDEX 222, 223, 246, 247. 93, 95, 96, 102, 103, 105,
110, 111, 112, 113, 116, 119,
F 128, 133, 134, 136, 146, 173,
A Cyclone, 57, 61, 101, 110, 152, Finance, 6, 95, 105, 106, 107, 177, 183, 200, 215, 217, 219.
155, 170, 233, 237, 249, 250. 109, 111, 117, 130, 131, 134,
Administration, 119, 125, 128, L
135, 138, 141, 183, 189, 190.
132, 138, 141, 142, 167, 174,
D Financial Management Risks, 245. Land Development, 116, 117, 120,
180, 182, 184, 214, 216, 231.
Disaster Management, 46, 48, 49, 123, 124, 132, 136, 137, 138,
Agency, 65, 130, 139, 172, 194, G
54, 56, 61, 62, 64, 69, 70, 142.
199, 201, 202, 203, 248, 250.
73, 74, 76, 78, 152, 158, 165, Governance, 87, 94, 125, 126, Land Management, 7, 25, 26, 30,
Authority, 17, 23, 45, 90, 93,
167, 169, 170, 171, 172, 176, 128, 129, 139, 140, 173, 182, 31, 121, 124, 137.
94, 96, 100, 108, 109, 111,
179, 181, 183, 190, 191, 192, 187, 190, 191, 193, 203, 218.
112, 115, 116, 117, 127, 129, M
193, 203, 204, 214, 215, 218, Gram Panchayat, 56, 58, 59, 250.
130, 139, 218, 250.
221, 225, 227, 230, 242, 250. Mandal Panchayat, 57, 58, 60.
B Disaster Prevention, 31, 45, 46, H Mechanisms, 38, 63, 69, 87, 109,
48, 50, 69, 76, 158, 167, 222, Housing Development, 78, 123, 135. 122, 125, 130, 131, 135, 136,
Business, 33, 67, 68, 75, 100,
229, 237, 242. Human Resource Development, 10, 166, 173, 178, 180, 183, 185,
122, 130, 138, 141, 175, 184,
Disaster Prone Areas, 4, 9, 44, 56, 98, 124, 125, 198, 199. 192, 195, 198, 212, 226, 237,
189, 190, 194, 248.
170, 171, 209, 215. Human Security, 203, 204, 205, 239, 243.
C Disaster Risk, 69, 70, 76, 77, 78, 206, 207, 208, 209, 211, 212, Methodology, 72, 227, 233, 244,
79, 80, 81, 82, 146, 178, 179, 214, 215, 217, 218, 219, 220. 247, 248.
Casualty Management, 165.
183, 184, 191, 221, 222, 223, Human Settlement Development, 5,
Communication, 46, 47, 48, 49, N
224, 227, 229, 236, 238, 240, 6, 11, 98.
51, 53, 55, 58, 59, 123, 164,
241, 243, 244, 245, 246, 247, Human Settlement Planning, 9, 12, National Economic Development, 90,
165, 166, 197, 200.
248, 249. 14, 21, 24, 98. 92, 95, 96, 126, 132, 133.
Company, 111, 115, 116, 239.
Consumer, 133. Natural Disaster, 1, 23, 31, 56,
E I 58, 61, 63, 69, 84, 160, 222,
Cooperation, 29, 31, 46, 51, 53,
Earthquake, 1, 2, 3, 26, 33, 34, Industry, 7, 9, 10, 98, 109, 110, 226, 229, 233.
62, 87, 131, 142, 197, 198,
35, 36, 37, 38, 39, 40, 41, 116, 117, 123, 135, 200, 201, Nature, 17, 53, 64, 89, 90, 100,
199.
43, 63, 68, 82, 143, 152, 153, 239. 104, 105, 131, 140, 153, 159,
Corporation, 67, 108, 109, 111,
154, 170, 185, 236, 240. Information, 2, 10, 11, 19, 24, 175, 193, 223, 234, 236.
135.
Energy, 8, 9, 10, 18, 28, 34, 27, 30, 31, 32, 46, 47, 48, Network, 4, 11, 16, 20, 22, 28,
Culture, 9, 14, 23, 48, 76, 111,
92, 96, 98, 155, 216, 218. 51, 52, 53, 56, 57, 83, 87, 29, 41, 68, 102, 123, 149,
145, 175, 176, 180, 183, 184,
Environmental Disasters, 25, 27, 90, 92, 95, 115, 121, 123, 200, 236, 249, 250.
218, 229, 233, 241.
28, 29, 30, 62. 125, 131, 134, 139, 140, 142,
Customary Land, 87, 104, 113, O
Environmental Management, 11, 94, 161, 162, 163, 164, 165, 166,
117, 118, 119, 120, 127, 132,
105, 106. 169, 171, 186, 192, 197, 198, Operations, 4, 19, 47, 55, 57,
136, 137, 142.
256 Planning for Human Settlement in Disaster Prone Areas Planning for Human Settlement in Disaster Prone Areas 257

58, 59, 107, 108, 123, 139, S


170, 185, 186, 232, 248. Solid Waste Management, 7, 99,
Ownership, 36, 73, 77, 110, 117, 104, 134, 169.
118, 119, 120, 121, 127, 176, Spatial Planning, 4, 25, 26, 30.
187, 191, 234, 238. Sustainable Construction, 9, 98.
P Sustainable Energy, 8, 98.
Sustainable Human Settlements, 45,
CONTENTS
Panchayat Role, 56, 58, 59. 86, 98, 97, 99, 176, 177, 178.
Performance, 38, 41, 105, 117,
242. T Preface
Physical Planning, 6, 92, 93, 94, Technology, 10, 31, 35, 37, 48,
95, 133, 138. 50, 51, 104, 107, 110, 121, 1. Introduction 1
Private Sector, 45, 51, 52, 107, 124, 125, 137, 158, 190, 195,
108, 109, 123, 128, 130, 134, 2. Spatial Planning and Land Management 25
196, 197, 198, 199, 200, 201,
135, 139, 140, 180, 184, 189, 205, 215. 3. Land Use Planning in Earthquake-prone Areas 33
193, 204, 220, 237. Treatments, 151.
Project, 4, 74, 80, 81, 82, 83, Tsunamis, 34, 72, 151, 154, 156, 4. Sustainable Human Settlements 45
84, 114, 115, 122, 191, 193, 166, 209.
199, 200, 228, 230, 233, 237, 5. Natural Disaster Recovery Planning 61
238, 247. U
Protection, 7, 16, 18, 20, 26, 29, 6. Strategies for Future 85
Urban Development, 7, 18, 19, 26,
34, 42, 56, 65, 96, 106, 137, 28, 29, 87, 89, 91, 93, 94, 7. Disaster and After 150
143, 166, 169, 179, 180, 186, 96, 102, 118, 123, 124, 128,
188, 193, 204, 239, 244. 131, 132, 133, 136, 138, 139, 8. Sustainable Relief and Reconstruction 172
Provisions, 5, 69, 116, 128. 142, 215.
Urban Expansion, 7, 19, 20, 93.
9. Disaster Mitigation for Achieving
R Human Security in India 203
Urban Infrastructure, 96, 102, 105,
Regional Planning, 16, 17, 18, 124, 133, 134, 139.
124. 10. The Role of Local Institutions and their Interaction 221
Urban Management, 6, 87, 95, 96,
Risk Avoidance, 234, 251. 98, 103, 117, 121, 122, 124, Bibliography 252
Risk Management, 30, 44, 62, 64, 126, 127, 128, 131, 132, 138,
70, 77, 145, 148, 149, 206, 139, 140, 142, 182. Index 254
222, 223, 224, 234, 237, 238,
240, 241, 243, 244, 245, 247, W
249, 250, 251. Waste Management, 7, 92, 98, 99,
Risk Mitigation, 64, 221, 222, 223, 104, 132, 134, 142, 169.
224, 236, 238, 247. Welfare, 19, 34, 123, 224, 236.
Rural Development, 16, 17, 21, 28,
51, 52, 53, 70, 91, 132, 133, Z
214. Zilla Panchaya, 57.

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