Introduction 1

1
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
Turkey having US $ 20 billion deficit and annual inflartion
of 50%, Government was in process of securing US $ 5 billion loan
from IMF to enable cut deficit. However earthquake added burden
of US $ 8 billion during 1999.
All the above mentioned catastrophes have one thing in
common, i.e impact on the poor and the damage to buildings.
To understand the need for intervention in disaster mitigation
in an urban situation it is most important to understand the
magnitude of the risk involved and its likely consequenmces of
Human life and property. Risk assesment is a function of hazard
intensity and vulnerability.
RELEVANT ISSUES
We need to identify risks and the consequences of these risks-
Therefore risk assessment is the basic information that is utmost
importance. In the urban situation there is very thin line between
manmade and natural disasters.
For risk assessment there are two fundamental variables to
be identified and assessed: Hazard intensity and vulnerability, i.e
what and who is affected.
Urban part of the nation is most vulnerable to disasters. Hazard
intensity can be reduced by moving people away from hazard
locations or protecting them. Cost benefit would quantity a better
option. Reduction of vulnerability: By preparing shelters,
infrastructure and people.
VITAL FACTS OF RISKS
Risk depends on hazard intensity and vulnerability. We may
not be able to control intensity of hazards out we can intervene
to reduce vulnerability, thereby reducing the impact.
• It is the poor and weak who are most vulnerable.
• It is not the disasters that kill, it is the built environment
which kill masses, as a strong disaster finds its alley in a
weak building.
• It is the communities and human settlements which needs
to be prepared as it is the communities who need to react
first and it is the habitats which need to be strengthened
to withstand the forces of hazards.
Introduction 3
• Damage costs in urban areas is proportionately higher in
terms of number of people affected due to congestion and
value of assets in terms of infrastructure and buildings.
CASE OF DELHI
• Delhi lies in seismic zone IV which is the 2nd most active
zone in India.
• Master plan perspective 2001 nowhere recognises the fact
that Delhi lies high seismic zone.
• In the past Earthquake have been of the magnitude around
6.5 on Richter scale.
• More than 30-lakh population is living in JJ clusters and
around 2 lakh houses reported kutcha in 1991·
• With more than 50% houses built privately there has been
absolute laxity in enforcement of seismic building codes.
• Rate of population growth has been more than 50% and
85% population lives in high density areas @ 22399 persons
per sq km.
• 54% of houses have areas less than 50 sq m and 38% have
less than 30 sq m. That means availability of space is less
than 5 sq m per person.
• In terms of material of housing 42% houses are Built with
RCC roof and 72% walls in brick. Only22% are in frames.
32% of houses are built in stone. In case of low income
housing 72% is mason built.
• Maximum expenditure in low income housing is on food
(70-80%) rent is 1 - 6 %
• A study conducted by one of the NGOS on an area of
mixed group low income housing with areas 25 sqms, 12.5
sq m and JJ cluster. It was found that if an earthquake of
magnitude of 7 strikes Delhi as predicted, based on the
analysis and history in the past, damage to buildings in
such a small cluster of 9700 households would cost around
Rs.471 million for reconstruction alone (average 50000/
unit)·
• And working on same pattern for 38% housing (which are
less than 30 sqms) of Delhi in similar situation i.e around
4 Planning for Human Settlement in Disaster Prone Areas
18.62 lakhs X0.38=7.08 lakhs (1991 census) would be
damaged costing around Rs 350000 lakhs or Rs 35oo crores.
• Therefore annual plan of constructing 7 lakh houses could
be easily exhausted in Delhi alone.
WHAT WE HAVE DONE SO FAR
HUDCO is the only organisation in the country that has been
concentrating on these issues simultaneously for decades together.
Apart from its routine operations of techno-financing housing
and basic infrastructure.
• It promotes disaster resistant techniologies for human
habitat.
• It adopts villages to demonstrate how to go about building
shelters with simplicity to safety, through simple
illustration of Dos and Donts in disaster prone areas.
• It provides knowledge on spatial planning and design in
disaster prone areas keeping traditional, socio-cultural
styles intact.
• Imparts skills in improvising traditional building
techniques using local materials to masons and artisans
through its network of building centres allover the country.
• Conducts workshops to train engineers, architects, builders,
administrators and project managers the importance of
using safe technologies for construction of buildings at its
Human Settlement Management Institute at Delhi.
• Funds rehabilitation projects needing reconstruction and
retrofitting of housing and infrastructure.
• So far HUDCO has funded reconstruction / rehabilitation
of 1,911,368 dwelling units in the country with a loan
amount of Rs 1342.37 crores in disaster affected areas.
• Its total operations in housing loan commitments have
been Rs.17116 crores.
In order to meet the demand of housing Govt of India has laid
a two million housing programme in which 7lakhs of dus are to
be constructed in urban areas. Requiring an investment of Rs 4000
crores annually. As it is, this is a very ambitious plan if seen in
perspective of the resources required and the capacity of the states
Introduction 5
to take up this challenge. However, if we take cue from a pattern
of risks in urban situations like Delhi, there is tremendous need
to reconsider programme of govt. of India in terms of not only
building 7 lakh new houses annually but strengthening part of
the exchequer of rehabilitation in case of disasters. An Example
of Delhi can be seen for demonstration of how one catatosrophe
in Delhi can reverse the development plan of whole of the nation
WHAT WE CAN DO
• We can train communities right from grass root level to
professional and administrators how to build safe shelters,
retrofit them and make them disaster resistant
programmes.
• We can adopt villages and townships to demonstrate
environmentally, healthy and safe villages and townships.
• We can extend our hand to fund rehabilitation programmes
under the Government of India's schemes.
WHAT WE NEED TO DO
• With vulnerability atlas in place, we need to undertake
microzonation of each disaster prone area identified in the
atlas.
• We need to set up a techno-legal regime by enacting laws
for enforcement of codal provisions for disaster resistant
techniques
• We need to set up a techno-financial regime.
• We need to disseminate as far as possible, message of
preparedness.
• Prepare Disater Mitigation Plans and Community Action
Plans.
PROMOTING SUSTAINABLE HUMAN SETTLEMENT
DEVELOPMENT
PROVIDING ADEQUATE SHELTER FOR ALL
At least 1 billion people do not have access to safe and healthy
shelter, which is fundamental to a person's physical, psychological,
social and economic wellbeing.
6 Planning for Human Settlement in Disaster Prone Areas
Activities
Governments should:
• take immediate measures to provide shelter for the
homeless
• adopt and/or strengthen national shelter strategies
• support the shelter effort of the urban and rural poor by
facilitating access to land, finance and low-cost housing
materials and by upgrading informal housing settlements
and slums
• support and develop environmentally compatible shelter
strategies at all levels of government and initiate
partnerships with the private, public and community
sectors
• reduce the impact of rural drift to the urban areas by
improving the living conditions of the rural sector.
IMPROVING HUMAN SETTLEMENT MANAGEMENT
In the 21st Century the majority of the world's population will
be living in cities.
If properly managed, urban settlements can improve the living
conditions of the residents and manage natural resources in a
sustainable way.
Activities
Governments and local communities should:
• improve urban management
• strengthen urban data systems
• encourage intermediate city development.
PROMOTING SUSTAINABLE LAND USE PLANNING AND MANAGEMENT
Objective
To provide for the land requirements of human settlement
development through environmentally sound physical planning
and land use to ensure access to land for households and where
appropriate, the encouragement of communally and collectively
owned and managed land.
Introduction 7
Activities
Develop a national land resource management plan, by:
• establishing national legislation to guide the
implementation of public policies for environmentally
sound urban expansion, land utilisation, housing and
improved management of urban expansion
• create efficient and accessible land markets by improving
land registry systems and streamlining procedures in land
transactions
• develop fiscal incentives and land use control measures
for a more rational and environmentally sound use of
limited land resources
• encourage partnerships among the public, private and
community sectors in managing land resources for human
settlement
• strengthen community based land resource protection
practices in existing urban and rural settlements
• accelerate efforts to promote access to land by the urban
and rural poor, including credit schemes for purchase and
development schemes, improving safe and healthy shelter
and infrastructure services
• develop and support the implementation of improved
land management practices which deal comprehensively
with potentially competing land requirements for
agriculture, industry, transport, urban development, green
spaces, reserves and other vital needs
• promote understanding among policy makers of the
adverse consequences of unplanned settlements in
environmentally vulnerable areas and of the appropriate
national and local land use and settlements policies
required for this purpose.
Promoting the integrated provision of environmental
infrastructure: water, sanitation, drainage and solid waste
management There is need for an integrated approach to the
provision of infrastructure in human settlements. This should
result in improvement to the quality of life, increased productivity,
improved health and reduce the burden of investments in curative
medicine and poverty alleviation.
8 Planning for Human Settlement in Disaster Prone Areas
Activities
All countries should:
• adopt policies that minimise, or avoid, environmental
damage
• ensure that relevant decisions are preceded by
environmental impact assessments taking into account
the costs of any ecological consequences
• promote development in accordance with indigenous
practices and adopt technologies appropriate to local
conditions
• promote policies aimed at recovering the actual cost of
infrastructure services, while at the same time recognising
the need to find suitable approaches to extend basic services
to all households
• seek joint solutions to environmental problems which affect
several localities.
PROMOTING SUSTAINABLE ENERGY AND TRANSPORT SYSTEMS IN
HUMAN SETTLEMENTS
Current energy and transport systems result in pervasive air
problems. Thus, there is need for energy planning and
management, promotion of renewable and alternative energy
sources and evaluation of the costs of current systems.
Insufficient investments in urban transport planning, traffic
management and infrastructure result in inefficient use of resources
and have a severe impact on the urban population.
Activities
Governments and local communities should:
• develop research and promote public transport
• provide safe gateways and footpaths
• research the effect of emissions and the transport sector
generally on the environment
• practice integrated transport and land use planning
• consider convening, regional conferences on transport and
the environment.
Introduction 9
PROMOTING HUMAN SETTLEMENT PLANNING AND MANAGEMENT IN
DISASTER PRONE AREAS
Objective
To enable all countries, in particular those that are disaster
prone, to mitigate the negative impact of natural and manmade
disasters on human settlements, national economies and the
environment.
Activities
All countries should:
• develop a culture of safety
• develop pre-disaster planning
• initiate post-disaster reconstruction and rehabilitation
planning.
PROMOTING SUSTAINABLE CONSTRUCTION INDUSTRY ACTIVITIES
Objectives
To enable the construction sector to meet human development
goals, while avoiding harmful side effects on human health and
on the biosphere. To enhance the employment generation capacity
of the construction sector.
Activities
Governments and local communities should:
• establish and strengthen indigenous building materials
industries on inputs of locally available natural resources
• enhance the utilisation of local materials by the construction
sector
• adopt standards and other regulatory measures which
promote the increased use of
• energy efficient designs and technologies
• formulate appropriate land use policies and introduce
planning regulations aimed at
• protecting environmentally sensitive zones against physical
disruption by construction and construction related
activities
10 Planning for Human Settlement in Disaster Prone Areas
• promote the use of labour intensive construction and
maintenance technologies
• develop measures to increase the affordability of building
materials
• promote the free exchange of information on the whole
range of environmental and
• health aspects of construction
• introduce legislation and financial incentives to promote
recycling of energy
• intensive materials in the construction industry
• discourage the use of construction materials and products
which create pollution during their life cycle
• promote information exchange and appropriate technology
transfer among all countries
• promote research in construction industries and related
activities.
PROMOTING HUMAN RESOURCE DEVELOPMENT AND CAPACITY
BUILDING FOR HUMAN SETTLEMENTS DEVELOPMENT
Most countries face three human resource, development and
capacity building shortfalls.
The first is the absence of a policy environment capable of
integrating the resources and activities of the public, private and
community sectors. The second is the weakness of specialised
training and research institutions. The third is the insufficient
capacity for technical training and assistance for low-income
communities.
Activities
Governments and local communities should:
• create a policy making environment supportive of the
partnership between the public, private and community
sector
• provide enhanced training and technical assistance for
technicians, professionals and administrators, and
appointed, elected and professional members of local
governments
Introduction 11
• provide direct assistance for human settlement
development at the community level
• promote the inclusion of integrated environmental
management into general local government activities.
1. Planning is a process to achieve the goals and objectives
of national development through the rational and efficient
use of available resources. Thus plans must include clear
goals and adequate policies, objectives and strategies along
with concrete programmes.
2. Planning activities should promote and guide development
rather than restrict or simply control it. Imaginative
planning should be stimulative and anticipatory; in many
cases it might have to remain open-ended and in all cases
it should consider options and be based on the best available
information and forecasting of demographic, social,
economic and technological trends.
3. Although a strict hierarchical order is inappropriate for
understanding the network of human settlements and the
levels of decisions required to act upon them, it may be
convenient to assume that planning is conducted at
different scales of geographical coverage: national, regional,
local and neighbourhood. To achieve balanced
development, planning decisions taken at one level must
be related and complementary to those taken at other
levels, both "above" and "below", and appropriate
machinery must be devised to resolve potential conflicts
between them.
4. Planning also operates over significantly different time
spans, from a few years up to a generation and more.
Decisions taken at one level and within a time framework
may have important consequences at another level and on
a broader time perspective. The longer the horizon, the
more important it is for settlement planning to remain
flexible in order to adapt to changing priorities or
conditions.
5. In this constant process of adjustments and reconciliation,
the notion of region becomes central to settlement planning
as a unit smaller than the national whole but larger than
12 Planning for Human Settlement in Disaster Prone Areas
the individual settlement itself, however big that may be.
More and more countries are faced with the problems
posed by metropolitan regions, centred around a very
large urban complex, but sometimes spreading until they
become contiguous with others. Other regions, especially
in the third world comprise predominantly rural
populations and require equal, although different, attention
in planning terms.
6. In developing countries most people live in rural areas
and will continue to do so notwithstanding considerable
movement to urban areas. Given the urgent need to
improve the quality of life of these people, which have
been hitherto relatively neglected, planning and
development of rural settlements should become a focus
of national development policies and programmes.
National cultures have strong roots in the villages, and
form a vital resource of great potential in development
and therefore must be recognized in development
strategies. Growth, change and social transformation have
meaning only if they touch rural peoples. Planning for
rural settlement development must be holistic and on a
local basis within regions so as to mobilize and use all
available resources.
7. However, the majority of planning decisions and their
implementation will continue to occur at the level of the
individual settlement. Planning of individual settlements
is oriented to solve the problems derived from the
relationship between the environment, and the political,
social and economic context, in a continuous process of
change and mutual adjustment. The physical ambit of
planning of individual settlements is concerned with the
best use of the present stock - through renewal,
rehabilitation and other forms of improvement - and the
integration of marginal or peripheral settlements or the
creation of new ones. The relative emphasis on each
approach will depend on local circumstances, social values
and political priorities.
8. Human settlement planning must seek to improve the
quality of the life of people with full respect for indigenous,
Introduction 13
cultural and social needs. Settlement planning and
implementation for the purpose of prolonging and
consolidating occupation and subjugation in territories
and lands acquired through coercion and intimidation
must not be undertaken and must be condemned as a
violation of United Nations principles and the Universal
Declaration of Human Rights.
9. Planning is no less important at the community level where
the direct involvement of residents in the decisions affecting
their daily lives can be achieved most effectively. At this,
and the neighbourhood level, it is essential that planning
and design be at the human scale and so contribute to
good personal and social relationships in settlements.
10. Finally, planning is crucial in the wake of natural
emergencies, such as those resulting from natural or man-
made disasters, there the meeting of immediate needs
must be reconciled with the achievement of long-term
goals.
SETTLEMENT PLANNING IN NATIONAL CONTEXT
(a) Human settlements do not just happen. They are the result
of a multitude of needs and decisions, both public and
private. The challenge of planning is to see that such
decisions are explicit and coherent, are part of an over-all
effort to resolve conflicts and achieve social justice and the
best utilization of resources. These are essential to an
improved quality of life.
(b) Settlement and environmental planning and development
must occur within the framework of the economic and
social planning process at the national, regional and local
levels.
(c) Special emphasis should be placed on:
(i) Promotion of balanced development for all regions;
(ii) A unified development planning approach which
attributes to human settlements their proper place by
treating them as an integral part of the development
process rather than a residual, and by stressing the
human settlement implications of other sections of
development plans;
14 Planning for Human Settlement in Disaster Prone Areas
(iii) Recognition of the difficulties inherent in a truly
comprehensive approach and the need to evolve and
employ suitable methods and procedures, adapted to
actual conditions and subject to continual
improvement;
(iv) Planning as a continuing process and must be
effectively linked to institutions which implement the
actual development of settlements.
INDIGENOUS PLANNING MODELS
(a) The character of a nation is made visible in its settlements.
Foreign models must not dominate planning decisions
which should be guided by national goals and
implemented by local people making the best possible use
of indigenous resources, within the context of local culture
and environment.
(b) Settlement planning should reflect national regional and
local priorities and use models based on indigenous values.
(c) Special emphasis should be placed on:
(i) Ensuring that national goals and objectives are reflected
in human settlement planning, in particular social
justice, employment opportunities, economic self-
sufficiency and cultural relevancy;
(ii) Actively supporting research and training in
appropriate technologies required for settlement
planning and development;
(iii) Demonstrating the advantages of local planning
approaches based on appropriate values, in particular
through pilot projects;
(iv) Bringing planning and planners in close contact with
the people, with particular reference to the expressed
needs and aspirations of the poor and other
disadvantaged and the potential for self-determination.
AVAILABILITY OF RESOURCES
(a) Too often in the past, human settlement planning has
lacked realism. This not only fails to take account of
resource limitations but often wastes the few resources
Introduction 15
actually available, especially human initiative and
imagination.
(b) Settlement planning should be based on realistic
assessment, and management, of the resources actually
and potentially available for development.
(c) It is essential that.
(i) Availability of resources be placed in an appropriate
time context, corresponding to short, medium and
long-term development goals;
(ii) Assessment of the present situation be thorough and
frank, without minimizing difficulties, potential
conflicts or need for change;
(iii) A comprehensive national ecological and demographic
inventory be prepared to guide long-range settlement
planning;
(iv) Planning of physical and social structures and the
pursuit of socio-economic goals should be realistic but
not determined solely by current availability of
resources, although this affects the time span needed
to achieve these objectives;
(v) Evaluation of alternatives be based on broad criteria,
truly reflecting social and environmental values,
development objectives and national priorities;
(vi) Potential for innovation be recognized, particularly in
social and technical systems;
(vii) Special technical and managerial skills be developed
and motivated;
(viii) Capacities of handicapped, and other disadvantaged
groups be recognized as a resource.
SCOPE OF NATIONAL SETTLEMENT PLANNING
(a) Some planning decisions are of national importance.
Although requiring local, regional and sectoral inputs,
they must ultimately be made at the national level.
(b) Settlement planning at the national level must be concerned
with the co-ordination of those developments, activities
and resources that have national significance. These are
16 Planning for Human Settlement in Disaster Prone Areas
particularly, the general distribution of population, the
significance of development of certain economic sectors,
and certain infrastructure components.
(c) This would include:
(i) Designation of major types of land use and their
potential;
(ii) Location of major sources of sustained and productive
employment;
(iii) Definition of a coherent set of relationships between
settlements or groups over the territory;
(iv) Introduction of regions as an intermediate level of
planning, where local interest can be reconciled with
national objectives;
(v) Identification of regions or areas requiring special
attention: those that are particularly deprived, offer
unusual potential, or need special protection;
(vi) Outlining the principal infrastructure network as well
as the broad distribution of social services;
(vii) Provision for elements of vital importance for health
and survival, especially clean and safe water, clean air
and food.
REGIONAL PLANNING FOR RURAL AREAS
(a) Regional planning is an essential tool for reconciling and
co-ordinating the objective of urban and rural development.
A major planning problem in predominantly rural areas
is the economical provision of employment opportunities,
adequate services, and infrastructure to widely dispersed
populations.
(b) Planning for rural areas should aim to stimulate their
economic and social institutions, improve general living
conditions, and overcome disadvantages of scattered
populations.
(c) The following should be considered:
(i) Development of a system of intermediate settlements with
sufficient dynamism to counteract the attraction of the
great metropolises;
Introduction 17
(ii) Designation of towns of appropriate size as social, economic
and cultural centres for their rural hinterland;
(iii) Development of growth poles for relatively undeveloped
regions, contingent on development potential and local
aspirations;
(iv) Designation of rural development regions of many villages,
with boundaries reflecting socio-economic and ecological
relationships, to aid provision of efficient and economical
facilities and services;
(v) Schemes for village amalgamation and programmes of
shared services and facilities which cannot be provided to
dispersed populations;
(vi) The need to save land from excessive exploitation of
national and regional resources;
(vii) Creation of new employment opportunities and increasing
economic productivity to reduce the disparities between
rural and urban areas;
(viii) Development of rural regional institutions responsible for
settlements planning.
REGIONAL PLANNING FOR METROPOLITAN AREAS
(a) Megalopolises and other large urban areas are an increasing
phenomena. Their nature and their relationships with
surrounding rural areas, are extremely complex. Only
effective comprehensive regional planning can cope with
this complexity.
(b) Planning for metropolitan regions should aim at an
integrated approach over the territory affected by the
metropolis, and include all major functions.
(c) Urgent measures include:
(i) Provision of institutions and a revenue base
commensurate with their role. This could be a
metropolitan tier of government or a special planning
authority to deal with a cluster of interrelated problems
requiring an integrated solution;
(ii) Modification of the boundaries of metropolitan areas,
18 Planning for Human Settlement in Disaster Prone Areas
as well as of local government units within those areas,
to correspond to functional and natural limits.
(iii) Co-ordinated provision of food, water and energy
supplies, transportation, disposal of solid and fluid
waste, pollution control measures, education and
health delivery systems;
(iv) Protection of regional ecology.
SCOPE OF LOCAL PLANNING
(a) Individual settlements of all sizes must be guided in their
orderly development by plans reflecting local requirements
and conditions. This should occur within the framework
set by national and regional planning.
(b) Local planning must be concerned with social and
economic factors, and the location of activities and the use
of space over time.
(c) This means in particular:
(i) Designation of general land-use patterns and changes
over time;
(ii) Location of main activities with special attention to
their relationships;
(iii) Provision of infrastructure networks and systems
required to link activities on the basis of economy,
safety, convenience and environmental impact;
(iv) Definition of basic standards reflecting the needs of
the people, to eliminate waste and achieve an equitable
distribution;
(v) Recognition of the need to phase and direct
development through the timely provision of
concentrated infrastructure and services, and the
deferral of such provision in areas not yet appropriate
for urban development;
(vi) The need to eliminate personal alienation and isolation
and social and economic segregation;
(vii) Formulation of social and economic programmes of
development.
Introduction 19
IMPROVING EXISTING SETTLEMENTS
(a) Settlement planning cannot merely focus on new urban
development for many settlements already exist. The
improvement, renewal and rehabilitation of these
settlements should therefore be continuous. They thus
present a major challenge in improvement of quality of
life, and of the existing fabric of settlements. When ill-
conceived it may result in the destruction of the economic
and social fabric of entire neighbourhoods.
(b) Settlements must be continuously improved - renewal
and rehabilitation of existing settlements must be oriented
to improving living conditions, functional structures and
environmental qualities. The process must respect the rights
and aspirations of inhabitants, especially the least
advantaged, and preserve the cultural and social values
embodied in the existing fabric.
(c) Special attention should be paid to:
(i) Upgrading and preserving the existing stock through
the development and use of low-cost techniques, and
the direct involvement of the present inhabitants;
(ii) Undertaking major clearance operations only when
conservation and rehabilitation are not feasible and
relocation measures are made;
(iii) Providing for the welfare of the affected inhabitants
especially with respect to employment opportunities
and basic infrastructure;
(iv) Preserving the area's social and cultural fabric which
may be the only de facto source of social services
including care of children and the aged, maternity
care, apprenticeship, employment information and
security.
URBAN EXPANSION
(a) Expected population growth and migration mean that
urban expansion will be the most common and universal
development challenge. However, urban expansion can
take the form of urban sprawl, and it is then costly, wasteful
and ecologically destructive.
20 Planning for Human Settlement in Disaster Prone Areas
(b) Urban expansion should be planned within a
regional framework, and co-ordinated with urban renewal
to achieve comparable living conditions in old and new
areas.
(c) It requires special provision for:
(i) Securing legislation, legal instruments and regulations;
(ii) Institutions for management of land acquisition and
development;
(iii) Securing fiscal and financial resources;
(iv) Active participation of a well-informed public;
(v) Protection of ecosystems and critical land;
(vi) Improved development of existing urban land use
through innovative and creative measures;
(vii) Integrated development of basic services, facilities and
amenities;
(viii) Employment opportunity and access to work places;
(ix) Integration and improvement of squatter and marginal
settlements.
NEW SETTLEMENTS
(a) The expansion and renewal of existing settlements is
sometimes not appropriate, and new settlements can then
be appropriate. They can also serve to stimulate under-
developed regions or be associated with exploitation of
specific resources.
(b) New settlements should be planned within a regional
framework, to achieve national settlement strategies and
development objectives.
(c) Special attention should be paid to:
(i) The use of new settlements to improve and harmonize the
structuring of national settlements network;
(ii) Relating new settlement programmes to the renewal and
expansion of existing settlements;
(iii) Integrating the new settlements with regional and national
plans, particularly with regard to the distribution of
employment;
Introduction 21
(iv) Flexible phasing of programmes over time to accommodate
important changes in the rate of growth, age structure and
social composition of the population;
(v) Applying innovative social and physical design concepts
and technologies, including architecture at the human
scale;
(vi) Avoiding social problems, especially social segregation
and isolation;
(vii) Establishing optimum densities according to indigenous
needs and means, and in accord with the social and cultural
characteristics of the inhabitants.
INDIVIDUAL RURAL SETTLEMENTS
(a) Just as all human settlement planning must be an integral
part of national development planning, so planning for
individual rural settlements must be part and parcel of
planning for general rural development in a region or
nation.
(b) Planning for the improvement of individual rural
settlements should take into account the present and
expected structure of rural occupations, and of appropriate
distribution of employment opportunities, services and
facilities.
(c) Particular attention should be paid to:
(i) Appropriate location of market places, community
centres, potable water supply, health and education
facilities and transport services including loading
terminals;
(ii) Respect for local customs and traditions as well as to
new needs and requirements;
(iii) Use of local resources and traditional techniques and
styles of construction.
NEIGHBOURHOOD PLANNING
(a) The special interests of children and their parents, the
elderly and the handicapped, come into focus at the
neighbourhood level.
22 Planning for Human Settlement in Disaster Prone Areas
(b) Neighbourhood planning should give special attention
to the social qualities, and provision of facilities,
services and amenities, required for the daily life of the
inhabitants.
(c) Particular emphasis should be given to:
(i) Needs of children and their parents, the elderly and
the handicapped;
(ii) Community involvement in the planning,
implementation and management of neighbourhood
schemes;
(iii) Better integration of neighbourhood development,
housing and facilities;
(iv) Readily accessible facilities and services;
(v) Preservation of traditional patterns of relationships
consistent with current aspirations;
(vi) The links between neighbourhood planning and other
planning levels.
TEMPORARY SETTLEMENTS
(a) Temporary settlements, such as those for limited resource
exploitation, construction camps, and those resulting from
emergencies, are sometimes inevitable. However, such
settlements often have a tendency to survive long after
their original purpose.
(b) Planning for temporary human settlements should provide
for community needs, and the integration of such
settlements, where appropriate, into the permanent
network of settlements.
(c) This may be achieved by:
(i) Providing suitable shelter and services;
(ii) Phased integration into existing settlement networks
as appropriate;
(iii) Allowance for growth and change in functions of
buildings and related services;
(iv) Continuous assessment of the economic and social
viability of temporary settlements.
Introduction 23
PLANNING FOR DISASTERS
(a) Too many settlements are destroyed or badly damaged as
a consequence of natural or man-made disasters. Some
natural disasters can be predicted, at least in part, and
precautionary measures taken to save lives and reduce
material loss. But until methods of forestalling natural
disasters are improved, and until war is eliminated,
Governments are faced with the problems of reconstruction
and rehabilitation of severely damaged settlements.
(b) Planning for human settlements should avoid known
hazards which could lead to natural disaster. The planning
of reconstruction after natural or man-made disasters
should be used as an opportunity to improve the quality
of the whole settlement, its functional and spatial pattern
and environment.
(c) In particular by:
(i) Improving the technologies to forecast and mitigate the
effects of disasters;
(ii) Providing for pre-disaster training in disaster-prone areas;
(iii) Establishing agencies with adequate authority and skills
to undertake the immediate relief and long-term
reconstruction of the whole settlement of the area;
(iv) Providing for the basic needs of the affected population,
especially the temporary or permanent relocation of
survivors, and the involvement of survivors in related
plans and programmes.
(v) Providing for a National Disaster Fund;
(vi) Co-ordinating the use of all local, national and international
resources for prevention and reconstruction;
(vii) Learning from the lessons of similar experiences for
planning before, during and after disasters.
SETTLEMENT CONCERNS OF MOBILE GROUPS
(a) Almost all people choose to live in a fixed habitat. There
are, none the less, important groups or people in many
countries who have a traditional culture based on frequent
or regular movement from one place to another within a
24 Planning for Human Settlement in Disaster Prone Areas
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:
(i) Development of special means of identifying the needs
of these groups;
(ii) Training and counselling for those persons or groups
which choose freely to settle in one or a few locations;
(iii) Development of special facilities and techniques to
provide health and education services;
(iv) Assistance with shelter - fixed or portable - food and
water, consistent with cultural values;
(v) International co-operation in developing appropriate
government responses.
PLANNING PROCESSES
(a) If human settlement planning is conceived in static and
prescriptive terms, it can become an obstacle to balanced
development geared to meet changing realities and rising
aspirations.
(b) Planning at all scales must be a continuing, process
requiring co-ordination, monitoring evaluation and review,
both for different levels and functions as well as feedback
from the people affected.
(c) It is essential that:
(i) Planning be comprehensive, timely and action-
oriented;
(ii) Planning be backed by firm political commitment to
action;
(iii) Reviews of the planning process should not be isolated
exercises for planning must continually evolve;
(iv) Planning information be exchanged between 811 levels
of government, and sectors of society, not just officials
and professionals.
Spatial Planning and Land Management 25
2
SPATIAL PLANNING AND LAND
MANAGEMENT
INTRODUCTION
Today's society becomes ever more rapidly vulnerable to
natural disasters due to the concentration of populations in mega-
cities. Additionally, changes in the global environment threaten
us with the possibility of severe typhoons, rising sea levels,
droughts, among others. Considering these rapid changes of
ambient conditions, vulnerability has increased due to growing
urban populations, environmental degradation, and a lack of
planning, land management and preparedness. Environmental
disasters in many cases are effected by human usage of natural
resources. They take place especially because of the negative impact
of the over-exploitation of natural resources. Spatial planning and
land management provide various tools to prevent natural hazards.
The prevention of catastrophes in general is a consideration of
spatial planning and land management on the regional and local
level.
Therefore a more active role of planning and land management
is necessary. They have to support a sustainable settlement
development and a sustainable land use on consideration of the
different public and private interests because of there important
influences on environmental disasters. Yet, this duty is only being
partially recognised, at present especially in flood prevention.
Even though spatial planning provides the missing basis for taking
precautions against catastrophes. There are several reasons why
a more active role of spatial planning and land management in
26 Planning for Human Settlement in Disaster Prone Areas
this field have not been taken so far. These reasons comprise e.g.
the low frequency of catastrophic events and the difficulty of
predicting their spatial occurrence and at least also organisational
matters within spatial planning and land management. The analyse
of the interrelation between environmental catastrophes and
regional development will enable to point out the strategies and
instruments of spatial planning and land management to support
the prevention hazards.
REGIONAL AND URBAN DEVELOPMENT,
ENVIRONMENTAL IMPACTS AND DISASTERS
First it is necessary to distinguish between natural and
environmental hazards that mainly take place in the following
fields:
- Geophysical disasters like earthquake and volcanoes
- floods and dam breaks
- landslides related to unstable slopes
- fires in context with drought
- transboundary atmospheric hazards.
A lot of disasters are the result of meteorological phenomenons
such as typhoons, hurricanes, sheet flooding, of coastal and river-
based floods. These seems to be related to climatic phenomenon
such as the El Niño Southern Oscillation that results in a lower
mean sea surface temperature in the east, failure of the monsoon
rains in India, and drought in Indonesia and Australia.
Vulnerability to natural hazards has been increased in many
coastal areas as a consequence of the loss of habitat such as
mangroves and coral reefs that formerly provided natural
protection against coastal flooding and also of the loss of natural
flood areas. Landslides are very common in the hills and
mountainous parts of countries. In addition to the primary
cause - the topography - landslides are aggravated by human
activities, such as deforestation, cultivation, and construction,
which destabilize the already fragile slopes. In Nepal for
example as many as 12,000 landslides occur each year as a result
of combined actions of natural (mostly heavy rainfall) and human
factors.
Spatial Planning and Land Management 27
Environmental degradation and disasters are very closely
linked in many region. The countries that suffer most from disasters
are the same ones in which environmental degradation is
proceeding most rapidly. Similarly, poverty and vulnerability to
disasters are closely linked. There is an average of some 3,000
deaths per event in low-income countries, compared with less
than 400 per event in middle and high-income countries.
These interactions demonstrate that there is no simple
definition of natural and environmental disasters. There seems to
be an interdependence between this phenomenons. Considering
the increasinbg enviromental disasters espacially the short and
the long term impacts of urban and rural settllement on the
environment have to be discussed. Risk assessment and mapping
had not been undertaken by most countries. There is a need for
comprehensive vulnerability analysis to be undertaken for disaster-
prone areas, incorporating information about past disaster events,
the socio-economic conditions of the population living in the
affected area, and inventories of major structures liable to damage.
Risk assessment and hazard mapping would then be used to
delineate areas vulnerable to natural hazards and determine the
frequency, intensity, impact, return period and other data in
relation to each category of hazard.
A lot of countries experienced severe flood problems at
comparatively frequent intervals. Their traditional approach to
the reduction of flood losses relied upon the use of structural flood
mitigation measures such as the construction of dams, levees and
channel improvements. Most of the earlier flood mitigation
programmes adopted by individual countries had been specific
to a city or to a discrete agricultural area and had employed a
narrow range of engineering works to provide solutions to the
flooding problem.
Although some projects were successful, some of them have
actually exacerbated flood damage. In recent years, most countries
have recognized the inadequacy of programmes based solely on
structural measures. Numerous attempts had been made to employ
non-structural flood loss prevention measures to assist in
minimizing losses, principally through exercising control over
development in flood-prone areas.
28 Planning for Human Settlement in Disaster Prone Areas
These measures were usually associated with a mix of
structural measures and, in some circumstances, provided a
comprehensive means of coping with a flood problem. In many
cases, however, attempts to formulate programmes which included
some non-structural measures had met with limited success,
particularly those involving planning controls, acquisition of land
and the relocation of people.
MODELS AND STRATEGIES OF URBAN AND RURAL
DEVELOPMENT TO PREVENT ENVIRONMENTAL
DISASTERS
The environmental impacts of the settlement development
are on one hand mainly effected by the converse of open spaces
to sealed building areas and on the other hand also caused by the
specific location of new settlement areas. Therefore the quantity
and the quality use of land resources are determined as the central
indicator of the guiding principle for sustainable settlement
development. In case of expanding settlements the land
consumption and land use have to be taken into account carefully.
The resource “land” cannot be enlarged, that is why the land use
for urban development has to be defined by specific criterion. The
structure and the density of the settlements and new building
areas have to be optimised, so that the consumption of agricultural
land and open spaces and also of energy for traffic purposes is
low. The specific land used for settlement and traffic, especially
the part of the sealed space, can be used as a general indicator
for sustainable development, which also reduces the risks of
disasters.
In this context two conflicting concepts of town developments
are discussed at present:
- The “compact town” is the result of the historic town
development with high density, mixed use of land,
concentration of settlement and high quality of public
spaces.
- The “network town” is the result of the present trends in
the town and regional development with car-based
decentralisation, less density and less mixed land use in
most countries. The dispersed structures increase the
Spatial Planning and Land Management 29
specific land area used and the individual motorised private
transport.
The present situation of the settlement can be described as the
transition of the compact to the network town. This development
is not sustainable from an economical and ecological point of
view. Therefore suitable strategies of regional and town planning
are necessary, which attain a concentration of settlement within
a poly-centric structure, an optimised building density and density
of population, a variety and mix of urban land use, private and
public spaces with high ecological and social quality and a transport
system compatible with the environment and the town. This kind
of settlement structure will support at the same time the prevention
of environmental hazards and mitigate the negative effects.
Apart from the statuary framework, the regional and the
communal level have a great legal capacity to prevent
environmental disasters by the following tools and strategies:
- strengthen the decentralised urban development with poly-
centric structure - assessment framework to choose suitable
location and spaces of the future settlement development
apart from river valleys, natural retention areas and
unstable slopes
- priority of interior urban development (reactivation of
brownfield sites, mobilisation of “gap” sites, reuse of urban
wasteland and vacant buildings),
- space saving development of new residential areas with
mixed use and increased density; - cooperation between
urban and rural areas in the fields of settlement,
infrastructure and protection of the environment
- reduction of soil sealing
- safeguarding and efficient realisation of urban concepts,
- integrated planning strategies with social and
environmental aspects in addition to town, infrastructure
and traffic planning
- enhancement of vegetation and safeguarding the open
spaces within the urban areas. In absence of scientific
proofed standards to prevent disasters, there is a great
need of research to elaborate suitable guidelines and
30 Planning for Human Settlement in Disaster Prone Areas
principles of regional and urban planning and land
management in this fields.
THE CONTRIBUTION OF REGIONAL AND TOWN
PLANNING
It is necessary to use the instruments of spatial planning
contributing to the prevention of the risks and mitigating the
effects of natural and environmental disasters. In the context of
environmental disasters spatial planning and land management
have to support the following essential functions:
- Early warning system: Spatial planning needs a detailed
data base, to get sound information about the spatial
development. In practise monitoring systems have to be
extended systematically to inform about natural and
environmental risks. The efficient data acquisition needs
special measurement methods, that have to be investigated
and implemented.
- Risk assessment and mapping: Prevention of disasters
needs comprehensive information and data about the
reasons and effects of hazards. Therefore a systematically
framework of the assessment and mapping of disasters is
needed. Geological and hydrological information, such as
thematic hazard maps, have a very high potential for
reducing fatality rates and losses due to natural disasters.
- Prevention and reduction: Spatial planning has to analyse
the interrelations between the spatial influences and the
environmental disasters. On base on that, new models of
spatial development have to be discussed, improved and
established.
- Risk Management: In case of environmental disasters a
certain infrastructure (evacuation routes and spaces) and
a data base are needed to realise the emergency plan and
risk management.
- Reconstruction: Spatial planning has to provide innovative
models for regional development, which don’t limit
themselves on the status quo. Not only the damages have
to be eliminated but also the future prevention of disasters
have to be taken into account with priority.
Spatial Planning and Land Management 31
All this tasks can be met by the specific instruments of planning
and land management. They have to be studied in addition to
earth science and engineering points of view.
Significant progress has been achieved in disaster preparedness
and reduction in the region over the past decade, in terms of
improvements in planning, institutional strengthening and use of
advance technology including space technology applications.
However, the increase in the intensity of natural disasters requires
continuing and more intensive efforts at local, national and regional
levels.
Cooperation between urban and rural regions for better natural
disaster prevention, reduction and management becomes even
more important in view of such driving forces as: the rapid
urbanization process, increasing rates of economic and social
development, and other global factors that would increase the
severity of disasters, such as El Nino and potential global climate
changes. Within this context, prioritization of regional activities
for effective planning, management and development of disaster
reduction measures and for applications of space technology to
meet the urgent needs, requires wide application of strategic
approaches to natural disaster reduction and management. These
activities need to be effectively integrated into the national
economic and social development process. Such integration and
regional cooperation need to be formulated in a well-conceived
framework and well-developed regional strategy. Development
and updating such a framework and regional strategy is a priority
emerging issue for cooperation in the 21st century.
Such a regional strategy may need to address the following
priority fields:
- realistic integrated planning for disaster prevention and
mitigation;
- enhancement of disaster preparedness including real-time
information exchange;
- community participation throughout the natural disaster
reduction and management process;
- more effective transfer of disaster reduction and
management technology;
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
were injured by the earthquake. Thousands of people remain
missing and unaccounted for, and over 600,000 people were left
homeless. Extensive human and property impacts related to the
earthquake were experienced throughout Kocaeli, Sakarya and
Istanbul provinces. Damage is estimated by government sources
to be approximately $12 billion US (Gorvett, 1999).
The earthquake involved a right-lateral, strike-slip motion of
the nearly vertical North Anatolian fault between Karamürsel and
Gölyaka. The duration of the strong ground-shaking was 37
seconds (USGS, 1999). Site visits to the Gölcük-Izmit area conducted
in September and October, 1999, demonstrated an extensive range
of earthquake-related devastation: fault rupture, tectonic
displacement, plus evidence of soil liquefaction, landslides,
flooding and fire.
EARTHQUAKES AND LAND USE PLANNING
"An earthquake is the vibration of the Earth produced by the
rapid release of energy…the energy released radiates in all
directions from its source, the focus, in the form of waves" (Tarbuck
and Lutgens, 1997: 155). Earthquakes are associated with a variety
of primary and secondary effects and impacts. Primary effects
include ground-shaking, fault rupture and tectonic deformation.
Secondary effects include soil liquefaction; rock, mud or land
slides; submarine, snow or ice avalanches; fire; and flooding due
to tsunamis, seiches, and alterations to the water table or to stream
and river courses (Smith, 1996). These primary and secondary
effects can induce a range of impacts: human destabilization,
injury or death; damage to private and public property (e.g.,
homes, businesses, infrastructure); and the potential destruction
of social or economic cohesion within an affected community.
The extensive damage associated with the Gölcük-Izmit
earthquake demonstrates the need for comprehensive land use
planning in areas facing seismic risk. Land use planning is "the
process of protecting and improving the living, production and
recreation environments in a city through the proper use and
development of land" (Leung, 1989: 1). The primary concerns of
land use planning include public welfare and security, circulation,
environmental protection, beauty, comprehensiveness,
Land Use Planning in Earthquake-prone Areas 35
conservation of resources, efficiency and equity. The potential
contribution of a variety of land use strategies pertaining to both
the primary and secondary effects of earthquakes was considered
during the site visits.
Ground-shaking : The main hazard created by seismic activity
is ground-shaking, which can be explained on the basis of four
types of elastic waves: the primary or P wave, the secondary or
S wave, and the L or long waves - either Love or Raleigh waves
(Abbott, 1996). "The severity of ground-shaking at any point
depends on a complex combination of the magnitude of the
earthquake, the distance from the rupture and the local geological
conditions, which may either amplify or reduce the earthquake
waves" (Smith, 1996: 126). With strong ground-shaking, the earth
moves, buildings shift or collapse, plaster cracks, chimneys and
architectural ornamentation fail, and underground pipes can be
bent or sheared.
Perhaps the most important tool that planners have for
anticipating the potential impacts of ground-shaking is zoning,
the planning instrument that deals with the land uses and the
physical form of development on individual parcels of land (both
private and public). In other words, zoning can be used to designate
the sorts of activities and the types of buildings permitted on
specific land parcels. An earthquake-sensitive planning process
begins with a comprehensive inventory of seismic hazard that
identifies the land parcels along fault lines plus those areas subject
to the danger of soil liquefaction, landslides, flooding, fire and any
other secondary effects that make ground-shaking even more
destructive. Considerations that are central to zoning in
earthquake-prone areas include the following:
· Prohibit high-density development along active fault lines,
in fault or fracture zones, and in potential liquefaction
areas.
· Permit the following land uses in fault zones: agricultural
land uses (e.g., crops, livestock, orchards, etc.), recreational
land uses (e.g., parkland, cycling paths, golf courses) and
light industrial uses with low staff levels or those using
robotics (e.g., advanced technology firms). In some
circumstances, low-density residential may be acceptable,
36 Planning for Human Settlement in Disaster Prone Areas
but it must be recognized that there is always a risk trade-
off that must be countered with earthquake-sensitive
architecture.
· Zone high-priority infrastructure like hospitals, airports,
subways, power stations, telecommunication spines, and
bridges in areas of lower potential seismic activity.
· In site planning, encourage a variety of escape routes from
individual sites at risk. Superior access for emergency
vehicles is also a consideration.
· Zone the production locations and storage of hazardous
and toxic materials at safer sites.
· Identify parcels that were once landfill sites or were
reclaimed from the sea and minimize development
potential on them. And,
· Use set-backs to minimize pounding between adjacent
buildings.
Infrastructure investment is another planning tool that can be
effectively used to guide settlement patterns away from areas of
high seismic risk. Investment in highways, roads, bridges, public
transportation, sewers and water supply represent tangible
expressions of how an urban government desires future
development to be expressed across the urban landscape.
Government ownership of land in the urbanized areas of Turkey
is extensive and can conceivably be used to effectively phase long-
term infrastructure investment.
Another important implementing tool of an urban plan is the
building code. The building code establishes structural and utility
standards for the construction of homes, and commercial, industrial
and institutional facilities (ASCE, 1986). Building codes in
earthquake-prone areas need to address the functionality of
buildings over time, rather than just at one point before occupation
(Eisner et al., 1993). More specifically, building codes can be used
to specify construction details that are particularly relevant to
earthquake-based hazard. As Zebrowski (1997: 55) observes, "the
death toll from an earthquake has more to do with the type of
building construction than with the intensity of the earthquake.
Earthquakes seldom kill people; for the most part, it is our buildings
Land Use Planning in Earthquake-prone Areas 37
that kill people." The following elements of construction detail
represent rudimentary content for local building codes:
· The five primary considerations for building codes in areas
of seismic risk include building height, consolidation of
weight on the lower floors, the shape of buildings, the type
of building materials, and the degree of attachment of the
building to its foundation (Abbott, 1996).
· Height and density restrictions are essential unless
earthquake-resistant technology is used (e.g., steel frames,
shear walls). Building weight must be concentrated in the
lower stories.
· Building shapes are an important consideration. While
cantilevering and complex building massing should be
avoided, stepped building profiles appear to work well
(Smith, 1996).
· Building materials are critical and need to be both high-
quality and fire-resistant. "Strong, flexible and ductile
materials are preferred to those which are weak, stiff and
brittle" (Smith, 1996: 139). Zebrowski (1997) argues for the
use of prestressed concrete columns or walls in areas subject
to seismic stress when better but more expensive
alternatives are not feasible. Since property developers
can save money by compromising the quality of the
concrete used in construction, this possibility needs to be
carefully monitored in the application of the building code
across time (rather than in a single inspection).
· The type and reinforcement of building frames can also
be critical (e.g., wood frames for buildings up to four
stories, the prohibition of brick in a load-bearing function,
prevention of soft stories on the ground level, the anchoring
of frames to the foundation). The use of building
reinforcements like trussing, shear walls, braced frames
and moment-resisting frames needs to be stressed (Abbott,
1996). In the Gölcük-Izmit area, many buildings where
brick was used in a load-bearing function had pancaked.
And,
· 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
proximity during an earthquake (e.g., all architectural detail
or ornamentation like pediments or statuary should be
reinforced, and the use of large glass exterior walls should
be minimized). "Architectural style can contribute to
disaster if features like chimneys, parapets, balconies and
decorative stonework are inadequately secured" (Smith,
1996: 141).
Despite the wide array of concerns that can be addressed
through the building code, it is also important to recognize that
the code can be circumvented by either corruption or sanctioned
political pressure. There are a number of mechanisms that optimize
the implementation of the building code. First, close observation
of the inspection process by local politicians is mandatory. Second,
federal watch-dog organizations with the power to enforce local
codes can do spot checks to monitor code implementation as well
as the performance of local councils. Third, there are also economic
mechanisms that can be employed. Building inspectors in
earthquake-prone areas should be extremely well-trained and
rewarded for their jobs. As well, property developers with good
construction records can be rewarded with density bonuses for
future projects.
The building code priorities identified above need to be
addressed before a building can be considered habitable. For
buildings that are already built, already inhabited, and are suspect,
the urban planner still has a few instruments that can operate
retroactively. Local governments can act through land acquisition
or land swaps in order to deal with developed areas that are at
particular risk. In an arena of last resort, a local government can
use its power of eminent domain (i.e., expropriation). Expropriation
involves a municipality obtaining privately-owned land for
community purposes and paying for it at market value as assessed
by an independent land appraiser (Hodge, 1991). In other words,
if certain properties and the structures on them are at particular
risk, the municipality can intervene in the private property market
and purchase those properties that need to be relegated to a less-
intensive land use.
Liquefaction : Smith (1996, 129) states that liquefaction is "the
process by which water-saturated sediments can temporarily lose
Land Use Planning in Earthquake-prone Areas 39
strength, because of strong shaking, and behave as a fluid." During
liquefaction, soil material transforms into a fluid mass and
buildings can face subsidence and possible collapse. Planning
strategies specifically targeted to liquefaction potential include
the following:
· Prohibit high-density development (residential or
otherwise) in areas of clay or alluvial sediment unless the
building foundations are embedded into the bedrock
(Eisner et al., 1993). Previous landfill sites and lands
reclaimed from the sea represent particular hazard. Various
levels of building subsidence were observed during the
Gölcük-Izmit site visits.
· If liquefaction areas are already developed, encourage
agricultural land uses requiring irrigation in adjacent areas
so that the local water table can be lowered. Simultaneously,
the use of the underlying aquifers as drinking and industrial
water sources can also bring the water table down.
Ultimately, these strategies represent a trade-off where
the urban planner has to weigh costs against benefits. If
the urban area is adjacent to a saltwater body, then caution
must be exercised in manipulating the water table since
this may permit the infiltration of freshwater with
saltwater.
Landslides : "The severe shaking in an earthquake can cause
natural slopes to weaken and fail" (Smith, 1996: 130). Since
landslides are more of a threat when the topography is hilly, the
following strategies are important:
· Minimize hillside development, unless the unstable slope
issue is dealt with (e.g., the building code mandates that
foundations must be anchored to the bedrock).
· Preserve all natural drainage courses and maintain them
in their original state. The use of engineering solutions to
hide or redirect watercourses puts hilly topography at
risk.
· In all cases, there must be an attempt to recognize the
importance of topography "Significant [wave]
amplifications occur in steep topography, especially on
ridge crests" (Smith, 1996: 129). Although grading should
40 Planning for Human Settlement in Disaster Prone Areas
be minimized, if sloped areas are to be developed, then
blend cut and fill slopes with the existing topography by
using contour grading (Eisner et al., 1993).
Flooding : The flooding implications of earthquakes can result
from a variety of secondary effects, including tsunamies, seiches,
the courses of rivers and streams being altered, groundwater
being discharged out of its reservoirs, shorelines falling due to
fracturing, and the failure of dams during seismic stress. Anecdotal
observations in the Gölcük-Izmit area include those of a seiche at
least seven meters in height being experienced immediately after
the earthquake (McGrory, 1999). The Gölcük shoreline
demonstrated extensive displacement and flooding. In fact, during
October, 1999, the city's waterfront continued to remain submerged
under meters of water. Planning strategies for flooding include
the following:
· Urban run-off systems need to be designed for the hundred-
year storm or flood (e.g., design curbs, gutters and culverts
to carry elevated levels of run-off). Debris basins can be
constructed in valley floors and along water courses (Eisner
et al., 1993).
· If underwater or marine faults are an issue (e.g., in the Sea
of Marmara), then development in low-lying coastal areas
needs to be either prohibited or minimized. Even though
waterfront development can represent highest and best
use, low-lying coastal areas need to be developed according
to flood plain management and the reach of the 100-year
flood.
Fire : Fire is an on-going threat during the aftermath of an
earthquake. Following the Gölcük-Izmit earthquake, the largest
petroleum refinery in Turkey (owned by Tüpras) ignited. At the
site level, gas lines can rupture and burn. Fire safety has a number
of planning-related protocols:
· Open space and open space system planning is a priority
for minimizing fire-related hazard. Many cities throughout
Turkey, including the Gölcük-Izmit area, have been
developed at high density and with minimal dedicated
parkland. Provision for open space serves a number of
functions. First, open space provides a place for retreat
Land Use Planning in Earthquake-prone Areas 41
both during and after the ground-shaking. Second, open
space can slow the progress of emerging fires. Third, open
space functions best when it is part of a system or network
because the open space can then be used as an escape
route if evasive movement across terrain is necessitated.
Fourth, visual access to open space is psychologically
important during the anxiety of ground-shaking. Finally,
open space systems are optimized when they are
networked to water bodies (e.g., streams, rivers, lakes or
seas) since this improves their effectiveness in offering
escape from aggressive fires and has the added benefit of
increasing their contribution to urban biodiversity.
· Accessibility for emergency fire-fighting vehicles and
equipment is also a major concern at the site-level. As
well, toxic flammables need to be stored in low-risk areas.
CONCLUDING REMARKS
For other urban areas in Turkey that face similar levels of
seismic risk, the Gölcük-Izmit earthquake represents a window
into the sort of catastrophic damage that may occur again unless
settlement patterns become planned, and existing and improved
building codes are rigidly applied. Many opportunities for
improving the performance of Turkish buildings during and after
an earthquake exist and need to be optimized. During periods of
low seismic activity, stringent planning and building code
requirements may appear to be excessive and are infrequently
palatable in political terms. Consequently, the challenge is to
maintain the political motivation to ensure best practices in land
use planning and in building construction consistently across
time. For governments to remain credible in earthquake-prone
areas, tenable settlement patterns plus building code evolution
and implementation must recognize seismic hazard.
THE LACK OF FRESH WATER: MAIN DISTRESS DURING A
DISASTER
Access to fresh water has allowed us to settle down, reproduce
and secure both our survival and health. Along these lines, the
use of fresh water has been linked, among other things, to food
42 Planning for Human Settlement in Disaster Prone Areas
production and electric power generation. But in terms of water’s
daily use by men, women, children and elders, i.e. having access
to fresh water in order to meet the basic needs of personal hygiene,
food and drinking water, deprivation of both the quality and
quantity of fresh water puts our health and quality of life at risk.
A number of countries and cooperating bodies, citing the
above essential uses of water, have for decades been working on
related issues in order to secure the provision of drinking water
in sufficient quantities for the world population at large. This
procurement is a decisive element for people to be able to achieve
their full development.
Taking into consideration that water production for human
consumption is based on the availability of fresh water in the
environment, efforts have been devoted to work on the protection
of basins and natural water sources from degradation and
pollution. The increase in desertification processes in some regions
of theplanet makes evident that there is still much more to do in
this field, particularly because this phenomenon is not only about
the lack of water, but also about the total destruction of the
environment and its ecosystems.
Having enough fresh water during normal times is very
important for the lives, health and de velopment of peoples. One
cannot stress enough how essential fresh water can be during
extreme events such as social conflicts and disaster situations.
Although the impact of water-related threats such as floods,
hurricanes and droughts must be recognized as the main cause
of disaster situations, particularly over the last few years – due
to ongoing environmental degradation and the lack of inclusion
of these phenomena in planning and decision-making processes
related to land planning and human settlements- it is also necessary
to highlight throughout this year (2003), designated as the
“International Year of Freshwater”, that securing water provision
for human consumption during disaster situations represents a
critical issue when addressing emergencies and guaranteeing that
affected communities will return to normal as soon as possible.
The availability of water in adequate quantities and quality
after the occurrence of a disaster is then an essential issue, especially
after addressing the needs of search and rescue missions. The
Land Use Planning in Earthquake-prone Areas 43
availability of water, for example, contributes to a number of
critical tasks, including rescue work and extinguishing fires after
an earthquake. In a similar manner, fresh water helps guarantee
that adequate health care will be provided. Having fresh water
also protects the health of the population at large, and contributes
to the reactivation of different productive and commercial activities.
Despite its importance, water infrastructure frequently shows
the same weaknesses faced by the rest of the infrastructure. As
a result, water infrastructure is also exposed to the occurrence of
disasters such as floods, hurricanes, earthquakes or volcanic
eruptions, among others.
After the occurrence of a disaster, damage to the physical
infrastructure of water provision systems has posed a recurring
risk which occasionally has led to a lack of water provision for
weeks and even months. For example, during the crisis caused
by Hurricane Mitch, 75% of the population of Honduras (some
4,5 million people) was either deprived of water or, at the very
least, had difficulties accessing water and sanitary services. It has
been also noted that that, as a consequence of this damage, the
water sector there declined to a level achieved three decades
before, in terms of the work done and progress made to achieve
universal coverage of such services. Three decades of efforts were
lost in one week, and it will take years to reach the levels achieved
before Hurricane Mitch.
Though some have proposed that it may be possible to plan
and improvise water distribution among the population for an
extended period of time during disaster situations (e.g. using
tankers), this represents a logistical challenge and the utilization
of resources that our countries would hardly be able to allocate.
In general, it has been clear that not even large cities have the
logistical resources needed for water distribution during an
emergency (tankers, reservoirs, etc.), while water systems directly
affected by a disaster are restored.
The paradigm of too much water, too little water…main cause
of disasters may be reformulated when referring to the availability
of water during a disaster. This, if because the lack of fresh water
may also pose a threat to the population who has not been directly
affected by a disaster. If they lack this basic service, they will
44 Planning for Human Settlement in Disaster Prone Areas
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
in said conditions while allowing institutions to address
emergencies with all the available resources.
One critical situation that must be taken into consideration is
the fact that both technicians and decision makers in charge of
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
in areas of risk themselves, which represents the “original sin” of
any attempt to reduce vulnerability. In fact, on occasion, local
authorities “legalize” human settlements located in risk zones by
delivering basic services to these areas.
Local authorities should instead use the provision and delivery
of these services as a planning tool that will allow them to define
safe areas for population settlement. While an integral approach
for risk management at the local level is sought, authorities should
recognize that some independent sector advances might be made
with regard to the tasks of reducing the vulnerability of both
communities and infrastructure, which will lead to the synergy
needed. In this manner, and taking into consideration the
importance of fresh water infrastructure when addressing both
emergency situations caused by a disaster and the recovery phase
afterwards, local authorities should include this issue in all their
initiatives and promote it, so that they also address issues related
to reducing the vulnerability of their infrastructure and securing
water provision for the affected population, who would then be
able to give more support to authorities in times of a disaster.
Sustainable Human Settlements 45
4
SUSTAINABLE HUMAN
SETTLEMENTS
DISASTER PREVENTION, MITIGATION AND
PREPAREDNESS, AND POST-DISASTER
REHABILITATION CAPABILITIES
The impact on people and human settlements of natural and
human-made disasters is becoming greater. Disasters are frequently
caused by vulnerabilities created by human actions, such as
uncontrolled or inadequately planned human settlements, lack of
basic infrastructure and the occupation of disaster-prone areas.
Armed conflicts also have consequences that affect human
settlements and the country as a whole. Accordingly, both disasters
and armed conflicts call for specific involvement and rehabilitation
and reconstruction processes that may necessitate international
involvement, at the request of the Government of the country
concerned. The impact of such disasters and emergencies is
especially severe in countries where prevention, preparedness,
mitigation and response capacities are ineffective in dealing with
such situations.
The most efficient and effective disaster preparedness systems
and capabilities for post-disaster response are usually provided
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
all community groups, to put into place disaster preparedness
and response capacities that are coordinated in their planning but
flexible in their implementation.
The reduction of vulnerability, as well as the capacity to
respond, to disasters is directly related to the degree of
decentralized access to information, communication and decision-
making and the control of resources.
National and international cooperation networks can facilitate
rapid access to specialist expertise, which can help to build
capacities for disaster reduction, to provide early warning of
impending disasters and to mitigate their effects. Women and
children are the most affected in situations of disaster, and their
needs should be considered at all stages of disaster management.
Women's active involvement in disaster planning and management
should be encouraged.
ACTIONS
In improving natural and human-made disaster prevention,
preparedness, mitigation and response, Governments at the
appropriate levels, including local authorities, and in close
consultation and cooperation with such entities as insurance
companies, non-governmental organizations, community-based
organizations, organized communities, and the academic, health
and scientific community, should:
(a) Develop, adopt and enforce appropriate norms and by-
laws for land-use, building and planning standards that
are based on professionally established hazard and
vulnerability assessments;
(b) Ensure the participation in disaster planning and
management of all interested parties, including women,
children, the elderly and people with disabilities, in
recognition of their particular vulnerability to human-
made and natural disasters;
(c) Encourage continued mobilization of domestic and
international resources for disaster reduction activities;
(d) Promote and disseminate information on disaster-resistant
construction methods and technologies for buildings and
public works in general;
Sustainable Human Settlements 47
(e) Devise programmes to facilitate, where possible, voluntary
relocation and access by all people to areas that are less
disaster-prone;
(f) Develop training programmes on disaster-resistant
construction methods for designers, contractors and
builders. Some programmes should be directed particularly
towards small enterprises, which build the great majority
of housing and other small buildings in the developing
countries;
(g) Take measures to upgrade, where necessary, the resistance
of important infrastructure, lifelines and critical facilities,
in particular where damage can cause secondary disasters
and/or constrain emergency relief operations.
Consideration should be given by all Governments and
international organizations that have expertise in the field of clean-
up and disposal of radioactive contaminants to providing
appropriate assistance as may be requested for remedial purposes
in adversely affected areas.
With respect to the mitigation of disasters, Governments at
the appropriate levels, including local authorities, in partnership
with all interested parties, should, as appropriate:
(a) Establish a comprehensive information system that
identifies and assesses the risks involved in disaster-prone
areas and integrate it into human settlements planning
and design;
(b) Promote and support low-cost, attainable solutions and
innovative approaches to addressing critical risks of
vulnerable communities through, inter alia, risk-mapping
and community-focused vulnerability reduction
programmes;
(c) Encourage, promote and support low-cost, attainable
solutions, innovative approaches and appropriate building
standards to address critical risks of valuable communities,
through, inter alia, risk-mapping and community-focused
vulnerability reduction programmes;
(d) Introduce a clear delineation of the roles and responsibilities
of, and communication channels among, the various key
48 Planning for Human Settlement in Disaster Prone Areas
functions and actors in pre-event disaster management,
mitigation and preparedness activities, such as hazard
and risk assessment, monitoring, prediction, prevention,
relief, resettlement and emergency response;
(e) Promote and encourage all parts of society to participate
in disaster preparedness planning in such areas as water
and food storage, fuel and first-aid, and in disaster
prevention through activities that build a culture of safety;
(f) Strengthen and/or develop global, regional, national and
local early-warning systems to alert populations to
impending disasters.
In order to prevent technological and industrial disasters,
Governments at the appropriate levels, including local authorities,
as appropriate, should:
(a) Pursue the objectives of preventing major technological
accidents and limiting their consequences through, inter
alia, land-use policies and the promotion of safe technology;
(b) Take the necessary measures to control the siting of new
developments surrounding dangerous industrial activities
that may be liable to increase the risk of the effects of a
major accident through appropriate consultation
procedures to facilitate the implementation of the policies
established under subparagraph (a) above;
(c) Introduce a clear definition of roles and responsibilities
and of communication channels between the various key
functions of disaster preparedness and prevention,
including assessment, monitoring, prediction, prevention,
relief, resettlement and emergency response;
(d) Promote and encourage broad-based participation in
disaster preparedness activities by giving to the population
living in the vicinity of a dangerous activity adequate and
regular information on the potential hazards;
(e) Strengthen and/or develop global, regional and local early-
warning systems to alert populations in case of a major
technological accident.
In preparing for and implementing post-disaster relief,
rehabilitation, reconstruction, and resettlement, Governments at
Sustainable Human Settlements 49
the appropriate levels, including local authorities, in partnership
with all interested parties, should:
(a) Establish or strengthen disaster preparedness and response
systems that clearly define the roles and responsibilities
of, and communication channels between, the various
functions and actors in disaster preparedness, and in post-
event disaster management, including emergency
management, relief and rehabilitation;
(b) Devise exercises to test emergency response and relief
plans, promote research on the technical, social and
economic aspects of post-disaster reconstruction and adopt
effective strategies and guidelines for post-disaster
reconstruction;
(c) Establish reliable communications, and response and
decision-making capabilities at the national, local and
community levels;
(d) Establish contingency plans, management and assistance
systems, and arrangements for rehabilitation,
reconstruction and resettlement;
(e) Strengthen scientific and engineering capacities for damage
assessment and monitoring and for special rehabilitation
and reconstruction techniques;
(f) Support all relevant interested parties in carrying out relief,
rehabilitation and reconstruction activities;
(g) Identify and support approaches to cope with the urgent
shelter requirements of returnees and internally displaced
persons, including as appropriate, the construction of
temporary housing with basic facilities, taking into account
gender-specific needs;
(h) Identify approaches to minimize interruption to attendance
in schools;
(i) Support work for immediate removal of anti-personnel
land-mines following the cessation of armed conflict;
(j) Ensure that the particular needs of women, children,
persons with disabilities and vulnerable groups are
considered in all communications, rescue efforts, relocation,
rehabilitation and reconstruction;
50 Planning for Human Settlement in Disaster Prone Areas
(k) Promote a cultural dimension in post-disaster rehabilitation
processes;
(l) Recognize, support and facilitate the role of the
International Federation of Red Cross and Red Crescent
Societies and their member national societies in disaster
prevention, preparedness, mitigation and response at the
local, national and international levels;
(m) Encourage the International Committee of the Red Cross
to take action in periods of armed conflict in order to
reduce the suffering of the victims of conflicts and displaced
persons.
BALANCED DEVELOPMENT OF SETTLEMENTS IN RURAL
REGIONS
Urban and rural areas are interdependent economically,
socially and environmentally. At the turn of the century, a
substantial proportion of the world's population will continue to
live in rural settlements, particularly in developing countries. In
order to achieve a more sustainable future for the Earth, these
rural settlements need to be valued and supported.
Insufficient infrastructure and services, lack of environmentally
sound technology, and pollution resulting from the adverse impacts
of unsustainable industrialization and urbanization contribute
significantly to the degradation of the rural environment.
Additionally, the lack of employment opportunities in rural areas
increases rural-to-urban migration and results in a loss of human
capacity in rural communities. Policies and programmes for the
sustainable development of rural areas that integrate rural regions
into the national economy require strong local and national
institutions for the planning and management of human
settlements that place emphasis on rural-urban linkages and treat
villages and cities as two ends of a human settlements continuum.
In many countries, rural populations, including indigenous
people, play an important role in ensuring food security and in
sustaining the social and ecological balance over large tracts of
land and thus contribute significantly to the task of protecting
biodiversity and fragile ecosystems and to the sustainable use of
biological resources.
Sustainable Human Settlements 51
ACTIONS
To promote the sustainable development of rural settlements
and to reduce rural-to-urban migration, Governments at the
appropriate levels, including local authorities, should:
(a) Promote the active participation of all interested parties,
including those in isolated and remote communities, in
ensuring the integrated consideration of the environmental,
social and economic objectives of rural development efforts;
(b) Take appropriate measures to improve the living and
working conditions in regional urban centres, small towns
and rural service centres;
(c) Foster a sustainable and diversified agricultural system in
order to have vibrant rural communities;
(d) Provide infrastructure, services and incentives for
investment in rural areas;
(e) Promote education and training in rural areas to facilitate
employment and the use of appropriate technology.
To promote the utilization of new and improved technologies
and appropriate traditional practices in rural settlements
development, Governments at the appropriate levels, including
local authorities, in cooperation with the private sector, should:
(a) Improve access to information on agricultural production,
marketing and pricing in rural and remote areas by using,
inter alia, advanced and accessible communication
technologies;
(b) In cooperation with farmers' organizations, women's
groups and other interested parties, promote research and
the dissemination of research findings in traditional, new
and improved technologies for, inter alia, agriculture,
aquaculture, forestry and agro-forestry.
In establishing policies for sustainable regional development
and management, Governments at the appropriate levels, including
local authorities, should:
(a) Promote education and training programmes and establish
procedures for the full participation of rural and indigenous
people in the setting of priorities for balanced and
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
LONG-TERM MITIGATION AND PREPAREDNESS PHASE
This is a crucial period and devoted to long-term development
of disaster prone areas to minimize the impact of the hazard and
prepare the people as well as all supporting systems in the area
to face future disasters.
Long-term Planning for Preventive Measures
• Soil conservation/afforestation in river catchments
• Planting shelter belts/mangroves in coastal areas
• New cropping patterns to minimize crop loss
• Prevent human settlements in low-lying areas, relocate
settlements to safer places.
Long-term Protective Measures
• Safe construction for houses/strict implementation of safety
codes
• Hazard-proof roads, bridges, canals, water reservoirs,
power transmission lines, etc.
• Flood-protection measures
• Improvement of warning systems
• Organizing people for counter-disaster activities.
ROLE OF PANCHAYATI RAJ BODIES IN LOCAL DISASTER MANAGEMENT
While the government has the duty to help people in distress,
the latter have a greater responsibility to help the government
help them to cope with disasters. Panchayati Raj bodies are the
most appropriate local institutions for involving people in natural
disaster preparedness. Panchayati Raj bodies have a role to play
in all phases of disaster management. Panchayat role during first
phase of natural disaster management
Gram Panchayat or Village Level
• Convene meetings to ensure timely warning
• Update information on civic amenities/population, etc.
• Select safe locations for people and livestock
• Arrangements to evacuate the elderly, the disabled,
children and women
Sustainable Human Settlements 57
• Medical and sanitation facilities at relief camps
• Disconnecting power lines during high winds/gales;
storing foodgrain, drinking water, etc.
Block/Mandal Panchayat
• Supervise preparedness of Gram Panchayats (GP)
• Consolidate village-level information on items listed under
GP
• Assessing preparedness of: primary health centres/
evacuation arrangements, etc.
• Engineering staff at the Block/Mandal level should repair
drainage/canal/roads, etc.
• Contact ex-army/security forces personal/volunteers to
organize task force for assistance
• Procure and keep ready rescue material, including boats
• Function as link between district and village-level counter-
disaster activities.
Zilla Panchaya or District Level
• The District Collector/CEO should convene a meeting of
all District Heads of sectoral departments and ZP members
before the start of likely cyclone periods (May to June &
Oct. to Nov.)
• All concerned departments to take up necessary repair
and maintenance and related works for preparedness
• Organize 'Task Forces' at district, block and village levels
• Identify NGOs useful in providing assistance during
disasters
• Check inventories of items required at short notice for
rescue and relief operations
• At first warning, call meeting of Crisis Management Group
(CMG) and alert blocks/villages
• All CMG members should be asked to keep their personnel
in full preparedness
• District Collector should be CMG Leader and establish a
control room managed by senior officers round the clock
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
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
• Enforce minimum safety specifications for construction
• Assist in long-term mitigation planning and its integration
with block/district development plans
• Supervise and monitor reconstruction and long-term
mitigation projects implemented by GPs and Block
Panchayats.
Zilla Panchayat or District Level
• Planning and implementation of rehabilitation, repair and
reconstruction
• Compensation for loss of life, property, etc.
• Hazard and vulnerability mapping
• Anti-disaster measures to be integrated in all development
projects
• Special funding to use disaster-resistant construction
technologies in vulnerable areas
• Supervision of all construction and developmental
activities.
Natural Disaster Recovery Planning 61
5
NATURAL DISASTER RECOVERY
PLANNING
That aspect is post-disaster recovery planning, which is
considered to be a critical element that is seriously delaying the
actual recovery reconstruction in many affected countries, at the
regional, district and local levels of development planning. Because
planning ideally is at the front end of the development process,
it is a necessary precursor activity, often behind the scene or off-
stage as it were, giving the impression that not much is happening.
Hence this increasingly long interregnum is frustrating for all
and politically destabilising. The victims rightly want action and
a sense that generously donated aid resources are being utilised
quickly for their benefit. Aid donors begin to query the competence
and efficiency of recovery programmes.
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
better preparedness to major events, even in countries with little
previous exposure to such vulnerability, such as Sri Lanka.
The paper addresses disaster recovery planning issues in the
context of Small Island Developing States and in particular the
Barbados Programme of Action for more sustainable development.
Reference is made to recent international publications on disaster
reduction and risk management and identifies a significant gap
in the land use/built environment planning aspect of recovery,
which needs to be included in Disaster Management Plans. It then
suggests that a different approach to traditional land use planning
is essential in disaster recovery – rapid action planning. This
approach is also relevant to man-made disasters, although such
tragedies are less amenable to international assistance and
cooperation. There is not the luxury of carefully crafted strategic
and local area plans in the face of emergency rebuilding of homes,
livelihoods and communities. Successful post warfare
reconstruction efforts and rebuilding of numerous places after
major earthquakes need to be revisited in the context of
environmentally sustainable redevelopment to learn valuable
lessons form these experiences.
BARBADOS PROGRAMME OF ACTION
The Barbados Programme of Action (BpoA) for more
sustainable development in Small Island Developing States (SIDS)
noted their vulnerability to natural and environmental disasters,
the scarce land resources, ecological and economic fragility, limited
fresh water and coastal management pressures. It also noted their
potential strengths in human resources, cultural heritage and
natural assets.
The Declaration urged international cooperation with SIDS to
achieve sustainable development and a higher quality of life. For
human requirements to be met in a sustainable manner, competing
demands for the use of land resources must be resolved and more
effective and efficient ways of using those natural resources must
be developed and adopted. Currently, fifty-one small island
developing States and territories are included in the list used by
the United Nations Department of Economic and Social Affairs
in monitoring the progress in the implementation of the Barbados
Natural Disaster Recovery Planning 63
Programme of Action. The BpoA was revisited in January 2005
at the Mauritius International Meeting. A major concern was
raised that whilst they have made progress in implementing the
programme of action for sustainable development in their
respective island states, efforts have fallen short of expectations.
However, it was recognized that “the BPoA is currently being
implemented in a very different global environment from that
prevailing at the time of its adoption in 1994. In this regard, they
expressed concern that the social, economic and environmental
vulnerabilities of SIDS have increased since the adoption of the
BpoA.”
The meeting leaders also “expressed concern at the increasing
incidence and magnitude of natural disasters, such as the December
26, 2004 earthquake and tsunami, and the 2004 hurricane season
in the Caribbean, and their devastating effect on the communities
of SIDS. They called for the international community to support
appropriate initiatives and mechanisms for strengthening national
and regional capabilities for natural disaster prediction, prevention,
and mitigation, as well as postdisaster reconstruction and
rehabilitation.”
Panel One discussions on the environmental vulnerabilities
of small island developing States noted that “the vulnerability of
small island developing States is not just an environmental issue
but has immense social and economic implications, as exemplified
by the devastating consequences of many natural disasters that
have occurred in the developing world, including the latest tsunami
in East Asia. By the same token, the threat of climate change is
not only geophysical but also poses grave risks to the social and
economic viability of small island developing States.”
“Adaptation to environmental vulnerability and climate
change is vital but will force difficult choices and trade-offs in
policy-making, involving, for example, further intensive coastal
development or its possible limitation or restriction. In some SIDS,
there is no hinterland and the coast cannot be avoided. The choice
is limited to remaining on the island/atoll or not.”
These extracts are included to emphasise the need to plan for
post-disaster reconstruction and rehabilitation under difficult
circumstances with few options. The full relevant text of the
64 Planning for Human Settlement in Disaster Prone Areas
meeting is attached at Annex A. It includes a message to Panel
One from the President of Maldives, Maumoon Abdul Gayoom.
He lamented that “the tsunami waves receded within hours.
However, the waves and flooding from sea-level rise triggered by
global warming will not recede. The damage then will be
unspeakable and we will all become environmental refugees.”
This sobering observation leads to the consideration of current
best practice for disaster reduction.
DISASTER REDUCTION AND RISK MANAGEMENT PRACTICE
A brief overview of three current publications on sustainable
recovery from disasters is provided to show best practice principles
and indicate an apparent gap in the planning component of
recovery. UN Habitat Theme Paper on Sustainable relief and
reconstruction in post-crisis situations UN Habitat published a
Theme Paper on Sustainable relief and reconstruction in post-
crisis situations. “Disasters can provide opportunities for
sustainable development. But sustainable relief and reconstruction
requires that rehabilitation efforts should be integrated into long-
term development strategies. The theme of mobilizing sustainable
relief and reconstruction - transforming disasters into opportunities
for sustainable development - explores problems and possibilities
including vulnerability, risk mitigation, planning and response.
The aim is to develop guidelines for ‘sustainable relief and
reconstruction’ in order to provide a framework for development-
oriented sustainable relief and reconstruction activities.
“The changing nature of conflict and natural disasters is leading
to re-visioning of traditional approaches to relief assistance and
reconstruction process. Natural and human-caused emergencies
are increasing in regularity, and perhaps more importantly, their
impacts on populations and human settlements are rising
alarmingly. This, coupled with cycles of dependency and shortage
of resources, point to the need to develop innovative approaches
and re-examine traditional policies on relief and reconstruction
assistance ... Disaster mitigation and management needs to look
beyond the hazards alone to consider prevailing conditions of
vulnerability. It is the social, cultural, economic, and political
setting in a country that defines the level of vulnerability, or
resilience, of its people and communities to disasters ... Disaster
Natural Disaster Recovery Planning 65
management and mitigation needs to be introduced as an integral
part of any on-going development and poverty reduction plans,
to promote a 'culture of prevention'. Integration will reduce
piecemeal efforts that are not connected with the long-term
development strategy and not only aggravate precarious social
conditions creating dependency on aid, but are a critical waste of
financial and human resources invested in short-sighted emergency
relief and reconstruction plans.”
“The concept of sustainability evolves around three key
elements; economic growth, environmental protection and social
development. It means that ‘community’ is a good, safe and healthy
place for its members, offering a solid foundation for a prosperous
life with equal opportunities for all – in line with the six established
principles for enhancing community sustainability, as follows.
(a) Maintain and, if possible, enhance its residents’ quality of
life;
(b) Enhance local economic vitality;
(c) Ensure social and intergenerational equity;
(d) Maintain and, if possible, enhance environmental quality;
(e) Incorporate disaster resilience and mitigation;
(f) Use a consensus-building, participatory process when
making decisions.”
UN-HABITAT has proposed a set of specific strategies from
the transitional phase recovery to medium to long-term
development in order to promote peace building, poverty
reduction, disaster mitigation and sustainable development of
human settlements. However the strategies outlined in the Theme
Paper do not elaborate, beyond postulating a “range of mitigation
measures, for example, can be incorporated during recovery to
promote vulnerability reduction, such as land-use, environmental
and community planning, improving building codes and
construction regulations.” Hence the paper does not attempt to
set out any planning methodologies or outputs.
EMA DISASTER RECOVERY MANUAL
The Australian Agency responsible for Disaster Recovery
Management - Emergency Management Australia – has published
66 Planning for Human Settlement in Disaster Prone Areas
a Manual as a comprehensive guide on disaster recovery at all
levels. It discusses redevelopment planning key issues in the
categories of:
• sense of place and preservation of visual and historical
links with the past;
• the capacity for disaster-affected communities to cope with
change and redevelopment;
• involvement of the community in the redevelopment
process; and
• the opportunity for disaster-affected areas to be improved
rather than just restored through the
• redevelopment process.
“One of the inherent difficulties in ensuring community
participation following a disaster is the need for rapid
redevelopment. Conflict is likely to arise as a result of this tension
between the competing need for a rapid rebuilding process and
adequate community consultation in its development and
implementation. Imposing a highly centralised approach to
redevelopment and reconstruction, at the expense of community
involvement, is inappropriate and ould accentuate further the
dependence already engendered by the impact of the disaster.”
One of the positive aspects of the disaster recovery process
is considered to be “the potential for individuals and communities
to improve on their situation before the event, rather than merely
restoring things to the way they had been previously. In fact, the
impact of the disaster will usually mean that a return to the status
quo prior to the disaster is not possible; the quality of the recovery
process will determine whether affected individuals progress or
regress. Nevertheless, in the redevelopment process there is likely
to be a strong tension between elements of the community which
see the disaster as an opportunity for renewal and those which
want to see an affected area restored exactly as it was before the
disaster occurred.”
“It is in this context that the devastation wrought by disasters
provides a unique opportunity for a community to examine a
range of issues such as housing inequities, traffic problems and
inadequate infrastructure. In addition, there may be opportunities
Natural Disaster Recovery Planning 67
for modernisation of public facilities, beautification of the landscape
and built environment, and even stimulation of the local economy.”
Practical considerations include the observation that “following
a disaster the affected community will have needs ranging from
housing and reconstruction of public facilities through to
restoration of business and community activities. A critical issue
is the speed which will be required for the restoration of the
community. While the opportunities for improvement and
community involvement discussed previously will be significant,
these will be tempered with the requirement for early restoration
and redevelopment.”
The EMA Manual raises an important fact about circumstances
subsequent to a disaster - that “broader community processes set
in train by a disaster are not confined to the incident itself. It
initiates a rolling series of impacts as repercussions are felt in
different parts of the system. They continue to occur over time as
the community goes through debonding, fusion, and
differentiation. Other factors add to the disruption. Physical or
climatic changes (such as the monsoon rains after the 2004 tsunami),
creating a quagmire in the ground devoid of vegetation while
many are still living in fragile tents and cabins, provide a dramatic
increase in stress levels.
Political events, like the announcement that a state of disaster
will not be declared after a fire, may seem like a callous rejection
by government. The death of a local child in a car accident soon
after a fire seems the start of a series of tragedies. The re-
organisation of a corporation following a massacre disrupts support
networks and adds multiple losses, through retirements, to the
deaths from the disaster.
Other repercussions are evident later. The closure of businesses
ruined by a disaster reduces employment in the area. The effect
of a disaster is initiated by the event itself but the subsequent
changes are an integral part of the process and must be anticipated
by the recovery process. However, they may not be recognised
or may be ignored by the recovery system. Community
members may not realise that they are experiencing disaster
consequences and, in their despondency, simply submit to them
as cruel fate.
68 Planning for Human Settlement in Disaster Prone Areas
A broader conception of a disaster is that it is as a series of
impacts, with the physical environment as the first, followed by
others with compounding problems.
Community functioning falls sharply at impact and as it rises
in the subsequent recovery period, is met by a series of other
disaster-related repercussions, which impede recovery and reduce
community functioning in each case. In each disaster the issues
that cause such problems are different and may be hard to
anticipate. An active recovery management network is necessary
to identify and respond to them. If not done, the sense of
abandonment and helplessness so destructive to recovery are
intensified.”
This Manual is relevant to the thesis of this paper. It summarises
the findings of a symposium for urban planners held in the US
in 1990, which provides a range of lessons for those involved in
the redevelopment of communities following disaster. The lessons
derived under the heading Urban Form and Design provide a
useful summary of the key issues in redevelopment and rebuilding
following an earthquake disaster [but equally relevant to other
major events]:
a. Cities and towns are almost never relocated;
b. The rebuilt city is a safer city;
c. Earthquakes offer opportunities for specific urban redesign
projects;
d. Neighbourhood preservation can aid personal and
community recovery;
e. Preserving historic and symbolic buildings helps retain
community identity; and
f. Design is everybody's business.
The Manual considers that best practice in recovery
management is for the process “to improve upon the situation
evident before to a disaster occurring, rather than merely
attempting to return to that same situation after the event.”
The World Conference on Disaster Reduction (WCDR) held
in Kobe Japan on 18-22 January 2005 is the latest distillation of
best practice on international strategies for disaster reduction. It
adopted the Framework for Action 2005-2015: Building the
Natural Disaster Recovery Planning 69
Resilience of Nations and Communities to Disasters. It reviewed
progress made in implementing the Yokohama Strategy for a
Safer World: Guidelines for Natural Disaster Prevention,
Preparedness and Mitigation and its Plan of Action (“Yokohama
Strategy”), adopted in 1994, which provided guidance on reducing
disaster risk and the impacts of disasters.
Another objective was to “identify specific activities aimed at
ensuring the implementation of relevant provisions of the
Johannesburg Plan of Implementation of the World Summit on
Sustainable Development (WSSD 2002) on vulnerability, risk
assessment and disaster management.”
The Conference resolved to adopt the following strategic goals:
(a) The more effective integration of disaster risk
considerations into sustainable development policies,
planning and programming at all levels, with a special
emphasis on disaster prevention, mitigation, preparedness
and vulnerability reduction;
(b) The development and strengthening of institutions,
mechanisms and capacities at all levels, in particular at the
community level, that can systematically contribute to
building resilience to hazards;
(c) The systematic incorporation of risk reduction approaches
into the design and implementation of emergency
preparedness, response and recovery programmes in the
reconstruction of affected communities.
The outcome considerations echo the UN Habitat Theme Paper
in that “There is a need for proactive measures, bearing in mind
that the phases of relief, rehabilitation and reconstruction following
a disaster are windows of opportunity for the rebuilding of
livelihoods and for the planning and reconstruction of physical
and socio-economic structures, in a way that will build community
resilience and reduce vulnerability to future disaster risks.”
Priorities for action to reduce the underlying risk factors related
to changing social, economic, environmental conditions and land
use, and the impact of hazards associated with geological events,
weather, water, climate variability and climate change include
land-use planning and other technical measures to:
70 Planning for Human Settlement in Disaster Prone Areas
(n) Incorporate disaster risk assessments into the urban
planning and management of disasterprone human
settlements, in particular highly populated areas and
quickly urbanizing settlements. The issues of informal or
non-permanent housing and the location of housing in
high-risk areas should be addressed as priorities, including
in the framework of urban poverty reduction and slum-
upgrading programmes.
(o) Mainstream disaster risk considerations into planning
procedures for major infrastructure projects, including the
criteria for design, approval and implementation of such
projects and considerations based on social, economic and
environmental impact assessments.
(p) Develop, upgrade and encourage the use of guidelines
and monitoring tools for the reduction of disaster risk in
the context of land-use policy and planning.
(q) Incorporate disaster risk assessment into rural development
planning and management, in particular with regard to
mountain and coastal flood plain areas, including through
the identification of land zones that are available and safe
for human settlement,
(r) Encourage the revision of existing or the development of
new building codes, standards, rehabilitation and
reconstruction practices at the national or local levels, as
appropriate, with the aim of making them more applicable
in the local context, particularly in informal and marginal
human settlements, and reinforce the capacity to
implement, monitor and enforce such codes, through a
consensus-based approach, with a view to fostering
disaster-resistant structures.
The Final report noted that “Small Island Developing States
have undertaken to strengthen their respective national
frameworks for more effective disaster management and are
committed, with the necessary support of the international
community, to improve national disaster mitigation, preparedness
and early-warning capacity, increase public awareness about
disaster reduction, stimulate interdisciplinary and inter-sectoral
partnerships, mainstream risk management into their national
planning process.”
Natural Disaster Recovery Planning 71
POST-DISASTER RECOVERY PLANNING
The EMA Manual stated that one of the positive aspects of
the disaster recovery process is considered to be “the potential for
individuals and communities to improve on their situation before
the event, rather than merely restoring things to the way they had
been previously.” This principle has been taken up by the Sri
Lanka Task Force for Rebuilding the Nation (TAFREN). Fortunately
a National Physical Plan, nine Provincial Plans and several Local
Area Plans were in the process of being formulated prior to the
disaster. All these need to be reviewed urgently. The immediate
government reaction was to declare a Coastal Conservation (Buffer)
Zone 100/200 m wide, in which no rebuilding is to take place
(with some specified exceptions). This arbitrary limit set the
parameters for free replacement housing. Yet the east coast affected
area extended some kilometres inland. Some 70% of the coastline
was impacted and whole towns and cities were wiped out,
displacing about 520,000 people and destroying some 106,000
houses and 20,000 fishing boats. The government is receptive to
the notion to relocate communities further inland. Many Small
Island States have no such alternative.
However, six months after the tsunami, precious little evidence
has been seen of any large scale rebuilding by the government
agencies. Most action has been undertaken by international NGOs
and external agencies such as UN Habitat and USAID, etc as
emergency shelter, initial relief aid and livelihood assistance. The
sheer size of the task is clearly daunting. Yet even though nine
provinces have the framework of new development Plans, the 200
or so planners in Sri Lanka were overwhelmed by the
circumstances. The planning effort appears to be top-down, rather
than community-up (contrary to the principles espoused above),
partly because of the lack of planners at local level.
However, the seemingly slow progress will accelerate and in
this case there is no shortage of donated aid funds. The Planning
Institute of Australia has become actively involved since a
workshop in March 2005 and has received a letter from the planning
minister requesting assistance, endorsed by TAFREN. But that
has taken 4 months just to get to the starting gate for action. The
identified planning projects will take several more months to
72 Planning for Human Settlement in Disaster Prone Areas
organise and resource! To be fair, the tsunami was a major
unprecedented event in recent Sri Lankan history. Tropical
hurricanes are almost normal and expected hazards, with a history
of fast response management. It is axiomatic that while the planning
function is an essential component of disaster recovery, it should
assist reconstruction and not obstruct it. To that end, there must
be a better and faster way to initiate disaster recovery planning
action!
RAPID ACTION PLANNING
Rapid action planning would have the dual characteristics of:
• a pre-disaster range of anticipated scenarios, based on a
“visioning” type participatory planning framework; and
• a systematic approach to post-disaster recovery planning.
DISASTER SCENARIO FRAMEWORK
This “visioning” type framework would aim to “second guess”
the potential range of impacts within a hierarchy of possible
outcomes. Visioning has become mainstream in strategic planning
methodology, by answering a set of four strategic questions –
• What is the present situation?;
• What is the likely probable outcome if no corrective action
is taken?;
• What are the desirable long term futures for the
community?; and
• What actions are necessary to achieve these futures?
Clearly the scenarios relate to incidents where a significant
level of re-planning, rather than simply rebuilding, is a desirable
outcome. These outcomes would range from relatively local/
minor to national/catastrophic – e.g. Cat. 1 hurricanes to
catastrophic tsunamis under the 'weather' category. In other
categories, from dramatic engineering failures, to HIV/AIDS
depopulation, to mass transnational migration, different scenarios
would be developed with suitable community participation.
Simulation modelling and game playing could be a useful tool in
such scenario generation. It is reminiscent of disaster recovery in
playing the city simulator computer game “Sim City”.
Natural Disaster Recovery Planning 73
Such scenarios would try to anticipate the degrees of threats
and opportunities caused or created by the various disasters and
the consequential response, so as to bring a focus on the extent
of redevelopment at national, regional and local scales. It goes
beyond strictly spatial aspects of landuse to include the whole
triple bottom line assessment.
Each scenario would predicate a differing scale of re-
development planning. In the example of the 2004 tsunami in Sri
Lanka and Banda Aceh as an intensity scale No 5, wholesale
relocation and reconstruction of vulnerable communities would
be triggered. To some extent this has happened in Sri Lanka
because various levels of national, regional and local area plans
were in preparation prior to the tsunami event. It was a freak case
of serendipity in action, requiring a modification of these plans,
rather than a fresh start. However the enormity of even this task
has paralysed the recovery effort to move from planning to large
scale construction. Hence the objective of a Disaster Scenario
Framework would be a set of fully developed and agreed possible
futures predetermined by appropriate responses to various (and
perhaps multiple) scenarios to achieve sustainable development
goals. This would provide a sound basis for strategic re-planning
– which could in fact be gradually implemented in any case – but
would become exogenous opportunities in the event of a disaster.
For example in the case of a Cat. 5 Hurricane, vulnerable
communities would be re-planned and constructed in better
locations, probably with the financial assistance of international
aid agencies. Because the scenarios are founded upon a
participatory visioning framework, gender equity and community
ownership is reasonably assured. Even if many lives are lost and
the fabric of communities are destroyed, the essence of the
aspirations of the pre-disaster community will survive to be
implemented. This will in turn reduce the potential for social
tension and conflict that develops after the initial “debonding”
and “fusion” of the relief phase.
DISASTER RECOVERY PLANS
While such pre-disaster management preparedness is clearly
worthwhile and is actually occurring to varying degrees in SIDS
around the world, it needs to be complemented by a systematic
74 Planning for Human Settlement in Disaster Prone Areas
approach to post-disaster recovery planning. Disaster Recovery
Plans will include components to develop and document
arrangements for the effective management of the recovery
planning process.
The suggested concept is to relate or link the planning actions
to the most relevant Disaster Scenario, to anticipate the likely
threats and the opportunities for improvement. The value of this
concept is to significantly speed up the planning process by
matching the relevant Scale of Planning Effort to the most relevant
Disaster Scenario.
The actual matching of a Recovery Plan is unlikely to be a
perfect fit, so some fine tuning would be necessary to determine
usability of pre-disaster prepared plans and required resources.
However, this would reduce the reconstruction waiting period by
several months of wondering what to do.
The range of planning actions would be linked to
methodologies, generally well established in Disaster Management
literature, such as those documents quoted in this paper. Typically
these include the following activities:
• Disaster proof all the planning documentation and
duplicate it in secure depositories of relevant national and
even international agencies – including the land tenure
records cadastral database
• Appoint project coordinators and teams, request
international assistance as necessary from pre-arranged
affiliations
• Identify stakeholders and community leaders in the
particular event circumstances
• Select from the most relevant Disaster Scenario to identify
likely opportunities for improvement
• Select from the relevant matching Scale of Planning Effort
pre-disaster prepared plans to determine usability and
required resources
• Implement matched sets of responses and actions and
program construction projects at earliest time
• Mobilise aid donors for materials, equipment, personnel
and funding.
Natural Disaster Recovery Planning 75
• Build adequate shelter and community facilities if required
• Obtain early feedback from affected area and fine tune
actions and level of response
• Assess priorities for infrastructure replacement and
relocation
• Liaise with emergency relief teams for smooth transition
from relief phase to recovery phase
• Monitor the physical effects of disaster impact on
government, business and the community to reduce the
psycho-social upheaval, economic disruption and other
disaster-related repercussions, which impede recovery and
reduce community functioning
• Monitor for compounding disaster consequences and
adjust the planning recovery process
• Implement strategies to develop fully a new vision of the
future, accepting the disaster as a fact of history, review
replacement and integrate the re-establishment of what
was lost (insofar as this is possible) and new initiatives
into a single enterprise bringing together all members of
the community.
• Celebrate the survival and mourn the victims by
appropriate means
SIDS SPECIAL CIRCUMSTANCES
In relation to the special SIDS circumstances, an obvious
limitation to this concept is the lack of planning resources, which
makes even normal strategic and development planning difficult.
Apart from the small number of professional planning staff, they
are often centralised in national institutions, with limited detailed
local knowledge, which is essential to scenario or vision planning.
It therefore needs a strong local community involvement, facilitated
by people trained for that task and possibly assisted by external
planners. There is scope for international planning assistance
programs to help local communities – possibly in systematised
sister or twin city partnering programs between developed and
developing countries. This already occurs to some extent in an ad
hoc manner, but needs to be expanded on a regional scale.
76 Planning for Human Settlement in Disaster Prone Areas
So capacity building is a significant issue in the realisation of
this concept, which of course has other benefits for all levels of
planning. This is also relevant to other ministries and agencies
with built environment planning and infrastructure functions. All
these agencies need to integrate their efforts in incorporating
planning into disaster risk reduction and management. There
may be a need to amend or introduce supplementary planning
related legislation to facilitate fast track planning in declared
disaster areas, to reduce timeframes - firstly by the early adoption
of disaster scenario plans, secondly by fast tracking development
plans and reconstruction approvals.
As much as this paper is devoted to the planning function,
the special vulnerability of SIDS to natural and other disasters
raises the need for disaster awareness and risk assessment to
bring about the culture of disaster prevention noted above, through
environmentally sustainable development strategies. It also
highlights the need to plan ahead for contingencies in a wide
range of disaster categories, which are associated with, or impact
upon community survival and development. The need to sustain
the livelihoods of disaster victims can be turned into positive
opportunities for retraining and redeployment of human resources
in the post disaster recovery phase. In the case of a major
catastrophe such as the 2004 tsunami, recovery will take realistically
many years – sufficient time to train a new generation of
construction trades and professionals lost to the disaster. Fast
tracking of training in foreign countries is an obvious avenue of
assistance by developed nations to replace an enhance institutional
capacity.
CONCLUSIONS
Post-disaster recovery planning is considered to be a critical
element that appears to be deficient in Disaster Management
Manuals and Policy Papers. Poor management of the urgent land
use and environmental planning can seriously delay the actual
recovery reconstruction after a disaster, leading to a cascade of
psycho-social upheaval, economic disruption and other disaster-
related repercussions, which impede the recovery and reduce
community functioning. This in turn leads to political instability
and polarisation.
Natural Disaster Recovery Planning 77
Sustainable development goals can be incorporated into the
disaster recovery process so as to enhance the potential for
individuals and communities to improve on the situation before
the event, rather than merely restoring things to the way they had
been previously. The notion of rapid action planning would have
the dual characteristics of a pre-disaster range of anticipated
scenarios, based on a visioning type participatory framework; and
a systematic approach to post-disaster recovery planning. This
framework would aim to “second guess” the potential range of
impacts within a hierarchy of possible outcomes and pre-plan for
those contingencies. This would also provide a sound basis for
strategic re-planning – which could in fact be gradually
implemented in any case – but would become exogenous
opportunities in the event of a disaster.
Such scenario planning would try to anticipate the degrees
of threats and opportunities caused or created by the various
disasters, so as to bring a focus on the extent of re-development
planning at national, regional and local scales, incorporating triple
bottom line assessment. The concept also aims to address one of
the critical issues of disaster recovery - the time which will be
required before commencing the restoration of the community
and economic output. While the issues that cause problems for
recovery in each disaster are different and may be hard to
anticipate, the rapid action planning model would incorporate
disaster risk assessment into the urban planning and management
of disaster-prone human settlements and effectively mainstream
risk management into their national planning process, as
recommended by the 2005 World Conference on Disaster
Reduction.
Rapid action planning would be part of an active recovery
management system that can mitigate the underlying risk factors
related to changing social, economic, environmental conditions
and land use. Because it is founded upon a participatory visioning
framework, gender equity and community ownership is assured.
Even if many lives are lost and the fabric of communities destroyed,
the essence of the aspirations of the pre-disaster community will
survive to be implemented. Such a system requires an extra layer
of planning effort, which may be difficult to achieve in Small
78 Planning for Human Settlement in Disaster Prone Areas
Island Developing States without external assistance. However,
it would make the difference between sustainable recovery and
compounded catastrophe. It is therefore considered to be an
essential component of disaster management and should be
supported by the international community. One meaningful way
to deliver such assistance is by twin city partnership programs.
As change managers, land use planners have the opportunity
to make a meaningful contribution to manage and integrate the
various multi-disciplinary efforts involved in disaster recovery. It
is a challenge that is being thrust upon all environmental
professions in an increasingly fragile world.
TACKLING URBAN VULNERABILITY: AN OPERATIONAL
FRAMEWORK FOR AID ORGANISATIONS
With increasing urbanisation, cities in the developing world
are growing both in population and area. At least a billion people
worldwide live in slums. They are forced to accept dangerous and
inhuman living conditions, in which any natural event is likely
to become a disaster. Poor access to land, overcrowding and low-
quality housing – related to a complex system of socio-political,
institutional and economic processes – lie at the heart of urban
disaster risk. Nevertheless, international aid organisations accord
low priority to both urban issues and disaster risk reduction (RR).
While the need to integrate RR within the work of aid organisations
is generally acknowledged, little has been done to identify how
this could be achieved. Related operational tools are urgently
required.
In February 2006, an operational framework for integrating
RR into the work of aid organisations was published as a joint
paper by the Benfield Hazard Research Centre in the UK and the
Department of Housing Development and Management at Lund
University in Sweden. Based on three years of research, the
framework aims to support aid organisations with concrete tools
and guidelines to:
• evaluate the relevance of integrating RR within their
organisation;
• identify and prioritise the different options for integrating
RR;
Natural Disaster Recovery Planning 79
• formulate activities for the selected option(s);
• evaluate possibilities for financing these activities; and
• define an implementation strategy.
Although the operational framework was developed for
development aid organisations, its underlying ideas and concepts
also apply to organisations working in relief. The framework can
be used within a variety of cultural and geographic contexts, and
it is relevant to all types of natural hazard and disaster. In addition,
it offers more detailed guidance for aid organisations engaging
in social housing and settlement development planning by
providing sector-specific reference activities.
To validate the framework, questionnaires were distributed
to operational staff and programme managers in different aid
organisations, and three workshops were held (in Costa Rica, El
Salvador and Sweden). The workshop participants, who were
drawn from aid organisations in Africa, Asia and Latin America,
carried out practical exercises to apply the operational framework.
They were then asked to evaluate whether the tool was
comprehensible, comprehensive/complete, relevant and
applicable/useful. On average, the rating for all four aspects ranged
between four and five (on a scale of one to five, five being the
best). Finally, ways to surmount potential financial, political and
institutional barriers to the implementation of the tool were
discussed.
CLIMATE CHANGE AND DISASTER RISK IN URBAN ENVIRONMENTS
The framework is currently being tested in practice in Central
America by FUSAI (Salvadoran Integral Assistance Foundation)
and UN-HABITAT-ROLAC (UN Human Settlement Programme,
Regional Office for Latin America and the Caribbean), and in El
Salvador and the Philippines by PLAN INTERNATIONAL.
FIVE COMPLEMENTARY STRATEGIES FOR INTEGRATING RISK REDUCTION
The operational framework provides five complementary
strategies for integrating RR within aid organisations. The five
strategies are:
(a) Direct stand-alone RR: This is the implementation of
specific RR projects that are explicitly and directly aimed
80 Planning for Human Settlement in Disaster Prone Areas
at reducing disaster risk through prevention, mitigation
and/or preparedness. These stand-alone interventions are
distinct, and they are implemented separately from other
existing project work carried out by implementing
organisations. The objective is explicitly to reduce disaster
risk, for instance through establishing early-warning
systems or institutional structures for risk reduction (e.g.
specialised RR committees) and physical disaster mitigation
(e.g. embankments to reduce flooding).
(b) Direct integrated RR: This is the implementation of specific
RR activities alongside, and as part of, other project work.
The focus is still on direct and explicit RR through
prevention, mitigation and/or preparedness, but with the
difference that the work is carried out in conjunction with,
and linked to, other project components. An example of
this strategy would be the establishment of a local RR
committee within the framework of a self-help housing
project carried out by a social housing organisation.
(c) Programmatic mainstreaming: This is the modification of
sector-specific project work in such a way as to reduce the
likelihood of increasing vulnerability, and to maximise the
project’s potential to reduce risks. The focus is on the aid
organisation’s ‘normal’ project work, but in a way that
takes into account the changing context created by the
increasing frequency and severity of natural disasters. In
other words, the objective of programmatic mainstreaming
is to ensure that ongoing work is relevant to the challenges
presented by natural disasters. However, in contrast to the
two strategies described above, the project’s objectives do
not focus on RR as such. An example of such a strategy
could be a settlement upgrading project which adjusted
its loan/credit system to the needs of vulnerable
households living in a disaster-prone area.
(d) Organisational mainstreaming: This is the modification of
organisational management, policy and working structures
for project implementation in order to back up and sustain
project work in RR (direct and/or indirect), and to further
institutionalise RR. If integrating RR in project work is to
Natural Disaster Recovery Planning 81
become a standard part of what an organisation does, then
organisational systems and procedures need to be adjusted.
The objective is to ensure that the implementing
organisation is organised, managed and structured to
guarantee the sustainable integration of RR within project
work.
(e) Internal mainstreaming: This is the modification of an aid
organisation’s functioning and internal policies in order
to reduce its own vulnerability to impacts created by
disasters. The focus is on the occurrence of disasters and
their effect on organisations themselves, including staff
and head and field offices. The objective is to ensure that
the organisation can continue to operate effectively in the
event of a disaster. In practice, internal mainstreaming has
two elements: i) direct RR activities for staff and the physical
aspects of the organisation’s offices, including setting up
emergency plans and retrofitting; and ii) modifying how
the organisation is managed internally, for example in
terms of personnel planning and budgeting.
What follows is a hypothetical example of how an aid
organisation – a Mexican social housing organisation called
UNAGI– might be triggered to apply these five strategies to its
work: In response to the increased funding for RR being offered
by international donors, UNAGI employs a new staff member
with expertise in RR, and designs and implements a pilot RR
project. The project aims to raise community awareness about
disaster risk through the distribution of leaflets and the
establishment of local RR committees. Thus, UNAGI becomes
engaged in the stand-alone direct RR strategy.
With the experience gained from the pilot project, UNAGI
then starts to include RR activities in its ongoing housing projects.
For instance, it begins to raise risk awareness alongside its
community training for self-help housing. Thus, it becomes
involved in the direct integrated RR strategy.
One year later, UNAGI’s managers decide that all projects
should take greater account of disasters, and should seek to
maximise their positive effects on reducing risks. Accordingly,
UNAGI carries out research analysing the links between its social
82 Planning for Human Settlement in Disaster Prone Areas
housing activities and disaster risk. In one project area, it finds
that basing housing credits on income capacity makes it impossible
for the people most vulnerable to disasters to qualify for UNAGI
projects. Without doing any direct RR work, UNAGI responds to
this finding by offering partial housing subsidies and smaller
credits for physical mitigation measures in existing houses. In
another area, community research provides evidence that
beneficiaries are vulnerable to disasters due to their dependency
on informal vegetable trading, and that past housing projects had
increased their socio-economic vulnerabilities by resettling them
far from their income activities.
It is also discovered that these housing projects used roof tiles
that were not durable, and were very expensive. Acting on these
findings, UNAGI sets up a local material production workshop
for concrete roofing tiles, to provide a more disaster-resistant and
cheaper construction material. At the same time, the workshop
allows some households to diversify away from vegetable trading.
In both project areas, advice on disaster-resistant construction
techniques is also provided. In this way, UNAGI becomes involved
in the programmatic mainstreaming of RR.
Over time, UNAGI realises that its various efforts in RR are
not sustainable in the long term because they are not
institutionalised and/or anchored within the organisation’s general
management and project planning cycle. It thus starts to engage
in the organisational mainstreaming of RR. As an initial step, the
organisation revises its policy to formalise its commitment to
integrating RR, and develops a financial strategy to sustain this
integration. In addition, risk, hazard and vulnerability assessments
become routine tasks in the planning phase of all social housing
projects.
Several months later, there is an earthquake in Mexico.
Unexpectedly, UNAGI is affected: its head office is damaged, four
staff members are severely injured and there are problems
communicating with field offices. This forces the organisation to
engage in the final strategy: internal mainstreaming of RR. A team
is formed to predict the likely impacts of disasters on the
organisation’s finances and human resources, analysing potential
direct and indirect losses (e.g. costs related to damaged buildings
Natural Disaster Recovery Planning 83
or vehicles, reduced reputation, staff absence and sick leave).
Based on this work, UNAGI acquires an organisational insurance
policy and improves its working structure, installing an enhanced
communications system, introducing better processes for
information sharing and revising its workplace policy. In addition,
the head office is retrofitted to become more disaster-resistant.
HOW TO USE THE OPERATIONAL FRAMEWORK
Apart from the comprehensive explanation of the five strategies
for RR integration, the operational framework provides two rapid
assessment checklists which an aid organisation can use to evaluate
the relevance of integrating RR into its work, and the importance
of each strategy. Once the appropriate strategies are selected and
prioritised, the framework provides tables for the formulation of
related project activities. These include:
(a) input and process indicators to get the RR integration
process started;
(b) input and process indicators in the form of benchmarks,
i.e. the operational state which an organisation should
seek to achieve;
(c) output indicators; and
(d) reference activities and recommendations.
In addition, guidelines are offered on how international aid
organisations can support and encourage the implementation of
the framework through their local partner organisations, and how
national implementing organisations can sustain this work
financially.
DONOR SUPPORT FOR INTEGRATING RISK REDUCTION
International donor organisations can pursue essentially three
approaches in support of integrating RR. Within each of these
approaches, there are three alternatives, giving a total of nine
options.
Approach 1: Offering partner organisations training, technical
support, links to specialists and funding for:
(a) direct RR;
(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
in the Pacific based on the Global Plan of Action in the Habitat
Agenda of 1996 and the Regional Action Plan on Urbanization of
1993.
INTRODUCTION
The pattern of human settlements is changing rapidly in the
South Pacific, with increasing numbers of people moving to live
in towns and cities. The populations of the major urban areas in
most countries are growing faster than national populations. The
rates of urban growth in Solomon Islands and Vanuatu, both in
excess of 6 per cent per annum, are among the highest in the
world.
One of the effects of such rapid urban growth is that the
availability of basic services such as water supply, sanitation,
waste disposal, housing, schools, health and recreational facilities
is worsening for many poor residents. Informal and squatter
settlements are growing as more migrants come to seek a living
in the towns. In atolls such as Betio in South Tarawa and Ebeye
in the Marshall Islands, the carrying capacity of the land is stretched
to the limit. In larger urban centres such as Port Moresby and
Suva, poverty, unemployment and crime rates have been rising
constantly. Government institutions at the national and local levels,
as well as the traditional leadership structures, have been unable
to manage the transition from village to cities efficiently.
At the global level, these issues were addressed at the United
Nations Conference on Human Settlements (Habitat II), held in
1996, which followed the United Nations conferences on
environment, small islands, population, social Development and
women. Habitat II produced the Habitat Agenda, including a
Global Plan of Action that focused on ways and means of ensuring
adequate shelter for all and managing sustainable human
settlements in an urbanizing world. The Ministerial Conference
on Urbanization in Asia and the Pacific, organized by ESCAP in
1993, formulated a Regional Action Plan on Urbanization. The
broad coverage of these plans of action needs to be supplemented
by more specific subregional plans and programmes.
Many countries in the South Pacific have common urban
features and problems. For most, urbanization is a modern
Strategies for Future 87
phenomenon, which is being managed through a mixture of
western and traditional socio-cultural systems. All are attempting
to resolve the constraints on the development of customary land.
There is insufficient information flow on the current progress
being made in the region and opportunities are limited to learn
from the valuable experience acquired over many decades in the
planning, development and management of urban settlements in
the region.
Regional cooperation also needs to be strengthened to improve
the response to urban growth, particularly in terms of policies for
the provision of infrastructure, housing, land and urban
management, through the adoption of sound urban governance
practices, best suited to the socio-economic and cultural systems
common in the South Pacific.
This overview identifies the major issues in urban management
in the South Pacific developing countries and suggests options for
action at the national and regional levels. The Pacific countries are
at different stages in national and urban development. However,
there are some common areas for improving the response to
urban growth. The major elements are as follows:
• The need for a positive approach to urbanization in national
development planning.
• The need for effective urban governance.
• Urban planning to coordinate and integrate development
proposals.
• Implementation mechanisms for infrastructure, housing
and land supply.
• Public participation and human resources development.
The key recommendations, as summarized in Part Two, could
be considered for application as stated or with appropriate
adaptation to suit specific situations. These were considered at the
South Pacific Forum Economic Ministers Meeting, held in Apia
on 1 and 2 July 1999. The Meeting instructed the Forum Secretariat
to consult other regional bodies with a view to developing a
subregional plan of action based on the Habitat Agenda and the
Regional Action Plan on Urbanization, but reflecting the
circumstances of the Pacific island countries.
88 Planning for Human Settlement in Disaster Prone Areas
HUMAN SETTLEMENTS AND URBANIZATION
Rapid urbanization is a feature of human settlements globally
and the United Nations estimates that, by the year 2000, almost
50 per cent of the world population will be living in urban areas.
The Asian and Pacific region contains three-fifths of the world's
population and also a large and increasing share of its economic
activities and its urban population (UNCHS 1996a).
Urbanization is strongly correlated with economic
development. Evidence from many developing countries indicates
that an increasing proportion of the national gross domestic product
is produced in urban areas. This is not surprising if one considers
the fact that goods and services produced in towns and cities
benefit from external economies and economies of scale, and
enjoy better terms of trade compared with goods produced in
rural areas. The United Nations Conference on Human Settlements
(Habitat II), held in Istanbul, Turkey, in June 1996, drew attention
to the growth of cities, their role in national economic, social and
physical development and key issues in managing the process of
urbanization. It formulated the Habitat Agenda as a global plan
of action to address those issues.
The South Pacific region of developing countries extending
from Papua New Guinea to Cook Islands and from Niue to the
Marshall Islands accounted for a population of some 7 million in
1997 (for example, Melanesia 5.9 million, Polynesia 600,000 and
Micronesia 500,000). The region comprises Melanesia, which covers
Fiji, Papua New Guinea, Solomon Islands, and Vanuatu; Polynesia,
which covers Cook Islands, Niue, Samoa, Tokelau and Tonga; and
Micronesia, which covers the Federated States of Micronesia,
Kiribati, the Marshall Islands, Nauru and Tuvalu.
All the countries in the South Pacific have always had one or
more urban centres which have served as major administrative
and commercial hubs and which have provided a higher level of
educational and health services than rural centres. However,
urbanization is a recent phenomenon in many countries. The
faster rate of growth of urban areas and the transition from living
in villages to living in towns is creating unusual and difficult
situations for the new urban dwellers, as well as for national and
local governments and the traditional leadership structures.
Strategies for Future 89
Owing to lack of planning and investment, the physical pattern
of urban development is often haphazard and environmental
degradation is growing. Many of the major urban centres in the
South Pacific are showing the same symptoms of rapid
urbanization as those in other developing countries.
This chapter briefly describes the major aspects of urbanization
in the developing countries of the South Pacific region. The
countries covered are all members of the South Pacific Forum, the
major intergovernmental body coordinating political, economic,
social and environmental development in the Pacific islands.
THE GROWTH OF URBAN POPULATIONS
In most of the larger countries, national populations are
increasing at high levels. In Melanesia, the rate of the annual
national population growth of Solomon Islands and Vanuatu is
higher than 2.8 per cent and in Papua New Guinea it is 2.3 per
cent. In Fiji, there has been a slower rate of growth as a consequence
of political changes.
In the Polynesian countries, the level of population growth
is lower than the rest of the region, owing to the possibility of easy
migration from these countries to New Zealand. Niue and Tokalau,
being small islands, are experiencing a net decrease in population.
The annual population growth rates of Samoa and Tonga are 0.5
and 0.3 per cent respectively. In the Federated States of Micronesia,
most states have recorded annual population growth rates close
to 2 per cent. However, the Marshall Islands has recorded an
annual growth rate of 4.2 per cent. In the context of the broad
physical distribution of the population in settlement patterns, the
most important feature is that an increasing proportion of the
population is living in areas classified as urban.
Among the countries covered in this report, there is no uniform
definition of "urban" and different countries apply this classification
in the context of their own settlement patterns. A basic criterion
is the density of residential settlement and the rate of population
growth. In some of the atoll countries, because of the peculiar
circumstances of size and lack of land for rural settlement, all rural
villages and towns are classed as urban. Nauru classifies all of its
population as urban owing to the peculiar nature of the distribution
90 Planning for Human Settlement in Disaster Prone Areas
and density of its residential development. On the other hand,
Tokalau does not classify any of its population as urban. In the
larger countries, all peri-urban areas are classed as urban and in
Fiji the "un-incorporated" towns, that is,. the small urban centres
which do not have an elected local authority, are classified as
urban.
Four countries, Cook Islands, the Marshall Islands, Nauru
and Palau, now have more than 50 per cent of their population
living in urban areas. Cook Islands has a slow rate of population
growth owing to emigration. In another five countries, Fiji, Kiribati,
Niue, Tonga and Tuvalu, between 30 and 50 per cent of the
population is urban. In terms of numbers, Fiji's urbanization is
significant in Pacific terms.
In Solomon Islands and Vanuatu, the population is largely
rural but the urban portion is increasing at more than 6 per cent
per annum, one of the highest rates in the world. Some basic
information on the relative rates of population growth in the
South Pacific is provided in table 1. There is a clear transition from
a predominantly rural to a predominantly urban South Pacific
region.
An important feature of the pattern of urban growth is that
in some countries population is concentrated on the main island.
This is a result of the physical nature of the territory and the
limited level of economic activities. In Kiribati, some 60 per cent
of the national population lives in the Gilbert group, dominated
by the main island of South Tarawa. In Samoa, some 70 per cent
of the population lives on the island of Upolu (ESCAP 1991).
CONTINUING RURAL-URBAN MIGRATION
Even though the rural population is relatively large in a number
of countries, urbanization and urban living are fast becoming an
integral part of the development of the South Pacific nations. The
promotion of industrial development, the centralization of the
government bureaucracy and the growing service sector all tend
to increase urbanization and are likely to focus on capital cities.
These processes, which are essential for national economic
development, create the forces that encourage rural-urban
migration.
Strategies for Future 91
The push factors for rural-urban migration include declining
commodity prices, continuing high rates of population growth,
lack of employment, limited education opportunities and the need
to support the wider extended family financially. The pull factors
include the monetary economy, prospects for employment in
towns, education and lifestyles, recreational and social facilities,
changing expectations and the existence of family and clan support
networks.
Given the rural base of many national economies in the Pacific,
it is natural that rural development programmes will be expanded
but their capacity to absorb the increasing workforce and retain
it in the rural areas will be limited. Urban populations are increasing
through natural increase and rural-urban migration. Moreover,
the ongoing transition from subsistence economies to globally
integrated cash economies supports the trend towards
urbanization.
PRIMATE CITIES
Pacific capitals are becoming primate cities, being substantially
larger than the next largest city, and continue to attract more
growth. For example, in Fiji, there is a reasonably well-developed
hierarchy of urban centres, but in 1996 metropolitan Suva had
four times the population of the second largest city, Lautoka, and
is growing three times faster. A feature of metropolitan Suva is
that it covers not only the outer-Suva towns of Lami and Nasinu
and all the peri-urban development around them but also the
town of Nausori, which was once a major centre for sugar
production. This town still provides a large rural hinterland with
limited services but a large proportion of the population of the
town and its suburbs now depends on employment in Suva.
Apia is the only urban centre in Samoa. Similarly, in Solomon
Islands, apart from Honiara, there is no substantial urban centre.
In Vanuatu, apart from Port Vila and Luganville, there are no
urban centres.
In Papua New Guinea, because of the absence of an
interconnecting pattern of road links between urban centres, the
primacy of Port Moresby is not so marked. The city of Lae has
about 40 per cent of the population of Port Moresby, partly because
92 Planning for Human Settlement in Disaster Prone Areas
of better road connections with the rich agricultural hinterland.
In most of the Federated States of Micronesia, the shortage of land
naturally places population growth pressures on the main urban
centres.
The increasing pressure for services, employment, housing,
schooling and health in many Pacific cities is likely to put a severe
strain on national resources in the years to come. Furthermore,
people's expectations are rising and standards that proved adequate
in the past are less likely to be satisfactory in the future. The
information revolution that has enabled most South Pacific
countries to access global television networks is increasing the
desire for better housing, with a piped water supply and electricity,
road access to houses, postsecondary and technical education,
better health services and closer access to major national facilities
and sporting events. Linked with these desires is the desire for
regular paid employment.
URBANIZATION AND NATIONAL ECONOMIC DEVELOPMENT
Historically, economic growth and the level of urbanization
have been closely related. The physical and social infrastructure
provided in urban areas is essential for the development of
manufacturing and service industries. Recent World Bank and
United Nations studies show that a majority of the national GDP
is produced in urban areas (UNCHS 1996a). However, the
inefficient provision or absence of essential services such as
transportation and communications, security of land tenure,
housing, energy, water supply, sewerage and waste management
is hindering investment and sound economic development in
many countries. Urbanization also enables governments to provide
services for social development such as education, health and
recreation more efficiently than when the population is spread
thinly over the national territory. The positive aspects of
urbanization could be fully realized in government planning
processes if urbanization is approached in a proactive manner.
PHYSICAL PLANNING AND NATIONAL ECONOMIC DEVELOPMENT
PLANNING
Physical planning has had mixed experience in the Pacific. It
involves the preparation of plans for the future expansion of an
Strategies for Future 93
urban or rural settlement through a process of public consultations,
based on existing and forecast levels of population and types and
directions of physical development. The plan itself depicts, in
broad terms, future land use, densities of development,
transportation routes and other infrastructure provision, such as
water supply and sewerage. It is accompanied by a set of
regulations that control development through a process of
development approvals. In some regimes it is also accompanied
by a programme for investment in infrastructure and other aspects
of implementing the plan.
An important feature of the planning process is that
landowners must seek planning approval for any development,
change of use of the land or the density of occupation, since all
such development proposals require the provision of adequate
infrastructure and social services by the relevant public authorities.
Some countries in the region have extensive experience, based
on the British model of town and country planning, with forward
planning, land use zoning schemes, statutory planning, and
building and land subdivision bylaws (for example, Fiji, Papua
New Guinea and Solomon Islands).
LACK OF PHYSICAL PLANNING
While urban planning has brought about systematic
development in parts of some cities, in many others there is
limited application in the absence of planning legislation and the
necessary institutional framework. The land tenure system,
topography, non-availability of services and other factors have
tended to create an interrupted pattern of urban development,
with areas of undeveloped lands breaking the physical continuity
of development.
Apia in Samoa and Nuku'alofa in Tonga, and the cities in the
Federated States of Micronesia (except in Kiribati) do not have a
legally applicable town plan, even though many plans have been
prepared for directing their growth. The local authorities do not
have the authority to prepare a legally binding plan for urban
expansion and management and the issue is low in the priorities
of the relevant central government authorities. This has resulted
in uncoordinated and fragmented growth, difficulties in the
94 Planning for Human Settlement in Disaster Prone Areas
provision of services, inefficient transport planning, pollution of
the lagoon and lack of public spaces.
The practice of physical planning in the South Pacific is
probably most advanced in Fiji, where the first batch of local
authority planning schemes was approved in the early 1960s.
Many local authorities have had extensive experience in this area.
This includes:
• Preparing a provisional planning scheme, holding public
exhibitions and resolving objections and appeals.
• Obtaining legal approval of the planning scheme from the
national authority.
• Implementing a process of statutory approvals for all land
subdivision, building and other physical development.
• Undergoing a process of revising a planning scheme when
the situation so requires.
Over the years, various aspects of environmental management
have been incorporated with the land use aspects in the local
authority planning schemes. Even though the planning schemes
have had the effect of placing limits upon the development wishes
of some landowners, they have come to be accepted by the public
at large as an essential tool for efficient development of the built
environment.
Over the four decades of planning practice in Fiji, the public
has seen the benefits through planned improvements in
infrastructure and the preservation of sound residential
environments. The planning process has also raised the level of
awareness among members of the public of the social, economic
and environmental effects of different types of urban development
and has increased people's capacity to take advantage of the
opportunities for public participation in the process of preparing
a plan for the future development of their physical environment.
The processes applied now include structure planning linked
with investments in infrastructure and social services, as well as
development control. The practice of physical planning has also
helped to develop the capacity of local governments in the overall
process of urban governance. In Apia, several short-term plans
have been prepared but the preparation of long-term development
Strategies for Future 95
plans has been hindered by the lack of information, lack of town
planning expertise, lack of legislation and weak administrative
arrangements and concern over the rights of customary
landowners. The most recent development plan for Apia was
approved by Cabinet in 1992, but its implementation is slow for
the reasons stated above (UNCHS 1996b).
Several cities in the Federated States of Micronesia have
physical development plans to guide their orderly development
but there is a lack of institutional and human resource capacity
for implementation. Kiribati introduced the Land Planning Act in
1997, creating the Central Land Planning Board responsible for
the preparation of strategic plans. A unique effort is being made
in South Tarawa to develop a planning system to suit local
institutional and social structures. The Urban Management Plan
for South Tarawa has been prepared by the South Tarawa Urban
Management Committee through an extensive process of
consultations with all landowners and other stakeholders. The
consultation process and the workshops held during this planning
exercise could serve as a possible model for other countries to
consider.
In countries that still have a strong influence of traditional
leadership structures in urban management it has been difficult
to introduce statutory planning processes. This is partly due to
concern on the part of the landowners that they will become
subject to control over development of their lands. In such cases,
the considerable increase in land values that planning schemes
can generate and the potential for such increases to partly finance
the investment in infrastructure has not been fully realized.
LINKING PHYSICAL AND ECONOMIC PLANNING
In countries where urban planning has been practised for
some time, especially in Melanesia, it has mostly operated without
proper linkage with national economic planning. Even though
during the formulation of the National Economic Development
Plan adequate consultations are made with all departments and
other interests within and outside government, the very desirable
process of integrating physical planning with economic planning
has not been achieved. The result is that certain proposals for
96 Planning for Human Settlement in Disaster Prone Areas
economic development cannot proceed efficiently because an
adequate physical and social infrastructure is non-existent or
insufficient.
Efficient planning and management of urban areas could
provide a better base for economic development. Such planning
could take into account the standards for land use zoning and the
other requirements for planning permission so as to encourage
small enterprises and avoid the necessity for unduly heavy
investment constraints on new industries that are becoming
estanblished. Coordination among various agencies involved in
the physical, economic and social issues has been difficult to
achieve in spite of the long experience with national economic
development planning in some countries.
At the beginning of the decade, the United Nations
Development Programme (UNDP) set out very clearly the major
thrusts for action in urban management.
• To flesh out a people centred approach to urban policy,
we have adopted the main points of Human Development
Report 1991. We focus on the urban problems that represent
the most urgent challenges for developing countries during
the 1990s. In confronting these problems, it is critical that
five issues receive priority attention:
• Alleviate urban poverty by promoting income-generation
activities and transforming the role of the informal sector.
• Promote enabling and participatory strategies for the
provision of urban infrastructure and affordable shelter.
• Promote the protection and regeneration of the urban
physical environment, especially in low-income
settlements.
• Improve urban management, including expansion of local
governments' revenue-raising capacity and decentralize
authority and responsibility for urban development from
central government agencies and ministries to local
governments and NGOs.
To achieve the above, draw on the full complement of human
energy in cities. This means wider recognition of the role of women
and full government collaboration with the private and voluntary
Strategies for Future 97
organizations. Each of these issues is important in its own right,
but all are closely related in allowing developing countries to cope
effectively with the transition from rural to urban societies."
Although the directions outlined by UNDP need to be adapted
in the context of small South Pacific island countries, most of them
are applicable as they stand, even at the end of this decade.
THE CONCEPT OF SUSTAINABLE HUMAN SETTLEMENTS DEVELOPMENT
Since the early 1990s, there has been considerable discussion
of the issue of sustainable development. The report of the Pacific
Island developing countries to the United Nations Conference on
Environment and Development, held in Rio de Janeiro in 1992,
entitled The Pacific Way (SPREP 1992), includes some principles
of sustainable development. These include the following:
• To meet the needs of present generations without
compromising the ability of future generations to meet
their own needs.
• To promote equity in participation in sustainable
development.
• To minimize the adverse environmental impacts of
economic development through integrating environmental
considerations with economic and sectoral planning and
policies.
• To formulate resource use and development planning
policies which take into account the precautionary
principle.
These principles are very relevant to the management of
urbanization in the Pacific islands. The concept of sustainable
development has become incorporated in Agenda 21, the global
plan of action adopted at the Rio Conference, and is being applied
increasingly widely at national level and in each country's Agenda
21.
The Global Conference on the Sustainable Development of
Small Island Developing States, held in Bridgetown, Barbados, in
1994 translates Agenda 21 into specific policies, actions and
measures to be taken at the national, regional and international
levels to enable small island developing states to achieve
98 Planning for Human Settlement in Disaster Prone Areas
sustainable development (United Nations 1994). Paragraph 7.5
of Agenda 21 states that the programme areas included in this
field are:
(a) Providing adequate shelter for all;
(b) Improving human settlement management;
(c) Promoting sustainable land-use planning and
management;
(d) Promoting the integrated provision of environmental
infrastructure: water, sanitation, drainage and solid-waste
management;
(e) Promoting sustainable energy and transport systems in
human settlements;
(f) Promoting human settlement planning and management
in disaster-prone areas;
(g) Promoting sustainable construction industry activities;
(h) Promoting human resource development and capacity-
building for human settlement development.
The international movement towards the concept of sustainable
development has encouraged other sectors of national and
international development to view the issues of sustainability in
their particular spheres.
In the field of human settlements, the United Nations Centre
for Human Settlements (Habitat) (UNCHS) explored the concept
in some depth in its preparations for the Rio Conference in the
publication entitled Human Settlements and Sustainable
Development (UNCHS 1990). The concept of sustainable human
settlements became enshrined in an international programme
through the inclusion of human settlements in Agenda 21.
The many socio-economic and environmental problems
currently found in cities in the South Pacific make it imperative
that efforts are made to define the parameters for sustainable
patterns of urban management.
The Habitat II conference has elaborated on the various aspects
of sustainable human settlements management in an urbanizing
world and these, together with recommendations for adequate
shelter for all, are contained in the Habitat Agenda (UNCHS
1997a).
Strategies for Future 99
This concept of sustainable human settlements development
needs to be defined in the specific context of each country for the
efficient management of urban and rural centres and for this a
regional initiative may be necessary to guide national action. Fiji
is currently initiating the legal framework for ensuring sustainable
development in urban and rural areas and its experience could
be useful to the region.
DETERIORATING URBAN LIVING ENVIRONMENTS
Migration to the major urban centres has been so rapid that
national and local governments generally have been unable to
provide the necessary services or to set up the systems to enable
people to provide some of these services themselves. Most urban
migrants live in overcrowded conditions in squatter settlements
and slums. These settlements are often located on marginal lands
such as stream banks, mangroves, flood-prone areas, hill slopes
and lands otherwise unsuitable for development. Central and
local governments very seldom provide them with basic
infrastructure and services such as roads, water supply, sanitation
and solid waste management because the settlements are illegal.
Health issues among the poor have assumed serious
proportions owing to certain negative aspects of urbanization.
General nutrition levels among the poor are decreasing as
opportunities for urban agriculture are limited in the larger cities
and traditional food supply systems no longer function.
Overcrowded accommodation in some densely populated
atolls (for example, in the Marshall Islands) is leading to respiratory
illnesses. Inadequate sanitation causing contamination of shellfish
has led to outbreaks of gastrointestinal diseases and hepatitis in
Tarawa, Kiribati. The rate of child mortality in the Marshall Islands
is one of the highest in the Asian and Pacific region. In Apia,
despite recent improvements, many areas of the city are devoid
of drainage. The city characterizes the need for planning and a
number of factories and workshops are located in the midst of
residential areas. Some areas in the city have dense development
of the traditional house ("fales") with very limited open spaces
around them. Thus, improvement in planning in Apia has become
a prime issue that needs to be dealt with immediately, in order
to preserve the quality of life (UNCHS 1996b).
100 Planning for Human Settlement in Disaster Prone Areas
INCREASING SOCIAL PROBLEMS
Various institutional, cultural and social factors affect the
nature and pace of the adaptation from village to town living. The
national development process in the Pacific involves the movement
of people on a scale unprecedented in traditional societies.
In urban areas there is considerable strain on the traditional
social value systems developed over centuries. These traditional
leadership structures continue to serve well in the rural areas but
in the urban settlements family and clan-based authority systems
are breaking down. The social disruption caused by the division
of families between urban and rural areas and the loss of traditional
"safety nets" has contributed to higher levels of divorce, single
parent families and a rise in domestic violence. Insecurity and
rapid urban growth have caused tensions between migrant groups,
landowners and urban authorities.
Unemployment is one of the major problems associated with
urbanization in the South Pacific. Many employment policies and
programmes stress formal sector jobs instead of improvements in
the subsistence or informal sectors. The growth potential in the
small business sector remains undeveloped. In Port Moresby, up
to one third of the urban population is seeking work and in other
urban centres of Papua New Guinea unemployment is more than
10 per cent. The numbers of the unemployed are rising as new
batches of the younger generation join the workforce (Connell,
1999). Unfulfilled expectations of the urban settlers have spawned
alcohol and drug abuse, family violence and -- what has become
the most publicized social problem in Papua New Guinea --
criminal youth gangs (UNCHS 1993). Unemployment is also one
of the causes of the rising incidence of crime in the large cities.
In Port Moresby, some 69 per cent of the unemployed men are
known to be living through crime (Connell, 1999).
The concentration of people in urban areas has greatly
improved the economics of the informal sector and in many towns
micro and small businesses are thriving. The informal sector takes
different forms in different countries. In the smaller countries,
informal jobs include bottle collecting, street vending, newspaper
selling, car washing, shoe polishing. In the larger countries in the
region, many of the building trades, vehicle repairs and a whole
Strategies for Future 101
range of activities are undertaken in the informal sector. This is
an important sector of the urban economy as high population
growth, young population structure, relatively slow economic
growth rates and very limited potential for labour absorption in
the formal sectors imply that, for island countries, absorption of
the unemployed will critically rely upon the small businesses and
micro-enterprises which operate in the informal sector. However,
the informal sector operates under many constraints which arise
from central and local government legislation and administrative
procedures.
POVERTY
The South Pacific islands enjoy a reasonable level of subsistence
income in the rural areas but in urban areas the cash economy
has become dominant. Over the last decade, almost all countries
have witnessed low or stagnant economic growth while the
population has continued to grow. In a number of countries, the
available financial resources have had to be diverted to cyclone-
related rehabilitation and humanitarian relief efforts. The effects
of the slow rate of economic growth are felt most in urban areas
and are a constraint on improving the standard of living and
advancing human development.
In recent years, several countries have restructured a number
of government institutions through a process of commercialization,
corporatization or privatization. In some services this has resulted
in the removal of subsidies, with the consequent adverse effect
on the poor. A 1997 Fiji poverty study showed that one in four
households could not afford a basic standard of living, with a
majority of the poor living in urban areas (Government of Fiji and
UNDP 1997).
HUMAN DEVELOPMENT INDEX
UNDP has explored the concept of sustainable human
development, which seeks to refocus attention on the ultimate
objective of development, increasing the opportunities for people
to lead productive and satisfying lives. This implies assessing
development in terms of a range of social and economic indicators
and not just in terms of income growth (UNDP 1994). This approach
102 Planning for Human Settlement in Disaster Prone Areas
is captured in the concept of human development which is assessed
by UNDP through the compilation of the human development
index (HDI) for each country. The human development index was
first published in 1991 in the Human Development Report. The
index is based on a range of socio-economic indicators such as life
expectancy at birth, child mortality, adult literacy, access to safe
water and health services, employment and wages and the status
of women. A global ranking is undertaken based on the index.
URBAN INFRASTRUCTURE
Governments are making continuous efforts to improve
infrastructure. The advent of cars, higher levels of consumption
and changing lifestyles require improved levels of infrastructure.
However, infrastructure for urban development such as roads,
water supply, sewerage, solid waste disposal, electricity and
communications is failing to keep up with the needs of the growing
urban populations.
The installation of infrastructure requires considerable
investment, and this is beyond the reach of most countries in the
region. As well as insufficient financial resources, a number of
local management issues hinder large-scale investment. These
include the limited capacity for maintenance of the existing plant
and, in some countries, a reluctance to adopt user-pay policies
that would create possibilities for sound financial management of
the investment.
WATER SUPPLY
Most countries in the South Pacific are well endowed with
water but the level of water consumption is gradually rising in
some countries, while in others there is over-consumption. In
Samoa, for example, in some instances consumption levels have
reached 600-700 litres per capita per day, compared to the WHO
accepted average of 250 litres per capita per day. This is mainly
due to uncontrolled use, waste and leaks in the network (UNCHS
1996b). The importance of conserving water resources is not fully
appreciated in parts of the region where the water supply is free.
Some of the important issues of urban water supply systems
in the region are given below:
Strategies for Future 103
• Reservoir capacities need to be improved in many towns
to meet the growing needs of urban settlements.
• Water resources are limited in the atoll towns where water
lenses are often polluted, for example in Kiribati and
Tuvalu.
• Droughts affect parts of the larger islands of Melanesia,
as well as some of the atoll countries.
• Salt-water intrusion into freshwater lenses due to sea level
rise is a possible threat to coastal water resources.
In some countries, there is mismanagement of water supply
systems as evidenced by leakage because of lack of maintenance,
inefficient billing and poor collection of charges. Attempts to
meter the water supply have often met with protests from local
populations who believe that water is nature's gift to humans and
hence that they should not have to pay for it (UNCHS 1996b).
SEWERAGE
A very small proportion of the Pacific urban population has
satisfactory sewage services. There are few sewage treatment plants
and their coverage is limited, mainly because of the relatively
large scale of investment necessary, both for the headworks and
for the reticulation system. For the latter, the process of acquiring
right of way for sewer lines over private properties, leased lands
and unleased lands under customary tenure is cumbersome and
time-consuming. In Fiji, with its long history of urban management,
only 25 per cent of the population of metropolitan Suva is connected
to the sewerage system (UNCHS 1992). In Papua New Guinea,
only about 11 per cent of the urban population has a piped sewerage
system (Connell and Lea 1993). The few successful on-site treatment
solutions only operate on a small scale.
Many places use ocean outfalls for sewage disposal (Honiara,
South Tarawa and Kiribati). The risks of foreshore contamination
are high, with negative effects on marine resources and eventual
leaching back into the freshwater lens. The lagoons beside
Fanga'uta in Tonga, Port Vila, Suva and Tarawa have sufficiently
high fecal coliform levels to be a public health concern.
The lack of reticulated sewerage systems has resulted in a
proliferation of septic tanks and, in some cities, of pit latrines as
104 Planning for Human Settlement in Disaster Prone Areas
well. In Suva, surface pollution from septic tanks in the non-
sewered suburbs and pit latrines in squatter settlements causes
serious public health problems. In other cities, even where soil
conditions are suitable, during the rainy season septic tanks tend
to overflow, causing serious health concerns in low-lying areas.
In the Marshall Islands, surface pollution from septic tanks, pit
latrines, and household and domestic waste contaminating the
underlying water lenses is widespread.
Overall, the inadequate disposal of human waste is one of the
serious environmental problems in the Pacific.
SOLID WASTE MANAGEMENT
The amount of disposable solid waste is increasing as lifestyles
and consumption patterns in the Pacific change to western ways,
with increasing levels of non-biodegradable materials such as
cans, bottles and plastics. There are very few programmes for
solid waste reduction.
The practice of recycling waste, such as bottle collecting, is
undertaken only at a basic level. The technology required for
establishing appropriate facilities for waste recycling of paper,
cans and plastics is beyond the capacity of most Pacific island
countries. In some cases, the volume of waste cannot be
economically recycled. The usual methods of disposal are landfills,
dumping on seashores, estuaries, swamps and mangroves, often
resulting in polluted waterways, lagoons and water supply.
In many urban centres, even in the larger countries, suitable
sites for the disposal of domestic solid waste have been difficult
to obtain. In Suva, after several years of negotiations with
landowners, a new disposal site just outside the city boundary,
between the seashore and the main road, has replaced the existing
landfill site.
In Nadi, Fiji, the town council has been unable to identify a
suitable site on account of the flood-prone nature of the surrounding
areas and proximity to the international airport. It has come to
an arrangement to use the landfill site of the neighbouring Lautoka
City Council. However, this site on Crown land has been subject
to regular roadblocks mounted by the native owners of adjacent
lands as the public access to the site traverses customary land.
Strategies for Future 105
In the atoll countries, the sheer non-availability of land for
disposal of solid waste is serious, as witnessed in Funafuti, Tuvalu.
Community attitudes to disposal of wastes have not changed to
match the nature and volume of waste that need to be managed.
In the allocation of lands for different uses, solid waste disposal
is a very low priority. The disposal of industrial wastes containing
dangerous and illegal pollutants will become an issue as the level
of industrialization increases.
INFRASTRUCTURE FINANCING
Investment in urban infrastructure such as major roads, water
supply and sanitation is usually financed from central government
resources. In most urban centres there are severe backlogs in the
expansion of existing systems and to serve new urban growth.
Maintenance of the existing facilities often lags owing to lack of
planning and finance and the shortage of skills. In some cases,
there is inefficient use of financial resources caused by institutional
problems that prevent public funds from reaching the beneficiaries
who need them most. In several countries, cost recovery on services
provided is limited. Wherever costs of services are charged, the
richer suburbs pay the same rate as the poor ones. With the poor
economic performance of most countries, there is very little or no
budgetary provision for expansion of infrastructure. Financial
institutions like national development banks have low capacity.
The World Bank and the Asian Development Bank have assessed
the extent of the investment required for improving urban
infrastructure in a number of cities and sound infrastructure
management practices could facilitate the inflow of funds.
ENVIRONMENTAL MANAGEMENT
Urban areas in the Pacific countries face a number of
environmental dangers. These include:
• A precarious balance between population growth and land
capacity, with population densities in some localized areas
being very significant.
• Pollution of rivers and lagoons through indiscriminate
waste disposal.
• An expected rise in the sea level.
106 Planning for Human Settlement in Disaster Prone Areas
• Strain on the coastal ecology from the large numbers of
urban settlements located in coastal zones.
• Disaster mitigation against cyclones, earthquakes, floods
and droughts.
Environmental management is a distinct programme area in
regional and national development and the South Pacific Regional
Environmental Programme (SPREP) has assisted in developing
national environmental protection legislation in many countries.
Most countries already have national environmental management
strategies and are attempting to gradually increase their
institutional and human resource capacities for applying
environmental management practices.
HOUSING
Throughout the Pacific, rural areas do not have a serious
housing problem. The availability of secure land with a basic level
of services, usually at no cost, easy access to appropriate building
materials, community-based construction efforts and a limited
need for finance together ensure that all households have adequate
housing.
However, in urban areas these basic housing inputs either do
not exist or are unaffordable, especially for the middle and lower
income sectors of the urban population. The formal housing market
caters largely to the upper income groups because of the cost and
access to long-term loans. Those without access to affordable
housing are left to their own initiative and various ad hoc solutions
are devised in the context of the prevailing land tenure and socio-
economic situations.
INTERNATIONAL INITIATIVES
The inability of the urban poor to access adequate housing is
a universal trend and considerable efforts have been made at the
global level by the United Nations and the World Bank through
programmes such as sites and services and settlements upgrading,
to ensure adequate and affordable housing for the poor. In the last
two decades, the United Nations Centre for Human Settlements
(UNCHS) has undertaken a series of initiatives to encourage
governments to improve national housing policies.
Strategies for Future 107
The International Year of Shelter for the Homeless (IYSH),
observed in 1987 and for which UNCHS was the organizing
secretariat, marked a major change in the commitment of the
global community to improve national housing policies. The
programme for IYSH identified a number of innovative solutions
in different countries to provide adequate shelter for the poor. The
IYSH South Pacific regional workshop reviewed many of the key
issues and prepared a series of recommendations for action to
improve housing (Papua New Guinea University of Technology
1985).
The global momentum generated in the search for affordable
housing for the poor resulted in the adoption by the General
Assembly of the Global Strategy for Shelter to the Year 2000
(UNCHS 1988). This programme focused on "enabling strategies"
whereby governments were to be facilitators, enabling the
deployment of the resources of the private, household and
community sectors.
A further development for assisting governments in improving
their national housing policies was the development of the urban
and housing indicators by UNCHS and the World Bank. The
application of these has enabled all stakeholders to identify aspects
of housing policy that acted as constraints to access to affordable
housing. In the South Pacific these were thoroughly considered
at the Global Shelter Strategy South Pacific Sub-regional seminar,
held in Brisbane in 1993 (University of Queensland 1993).
These international and regional initiatives have assisted many
governments to address constraints to the orderly operation of
markets in the housing sector. The focus of international initiatives
has been on formulating enabling strategies, with governments
concentrating on establishing the institutional and legal
frameworks for land supply, planning, infrastructure and housing
finance, leaving it to people's initiatives through the operations
of the private sector, community and cooperative organizations
and household efforts to seek housing solutions.
Many examples throughout the developing countries indicate
that people, with only limited official assistance, build better and
cheaper houses than government agencies. Many squatter and
informal settlements have been transformed into regular suburbs
108 Planning for Human Settlement in Disaster Prone Areas
over time, given the support of central and local governments to
supplement people's initiatives.
HOUSING POLICY RESPONSES IN THE SOUTH PACIFIC
In the Pacific almost all governments have taken initiatives
to address the housing problems of the needy in urban areas. In
the absence of a viable private sector market, the official responses
have been varied and have gradually changed over time.
The Fiji Housing Authority and the Papua New Guinea
National Housing Corporation have accumulated extensive
experience over three decades and have come up with a range of
solutions. Their programmes provide a choice of housing solutions
for different levels of affordability and preference. Serviced sites
are provided for people to undertake self-building. The actual
building operations can be undertaken on a self-help basis by
engaging specialist trades people such as plumbers and electricians
or by letting out a contract to a small-time builder. Other choices
include complete houses or core houses for purchase, houses or
flats for rental at subsidized rates, serviced sites and cash loans
for self-building, settlements upgrading and village and rural
housing.
A variety of factors have constrained their output, in particular
the non-availability of a regular supply of land for development
and the high initial standards for infrastructure required by the
approving authorities, which place their products beyond the
financial reach of many in need of affordable housing. The subsidies
on the rental housing schemes could not be sustained for long and
the reforms introduced during the 1990s in all Pacific island
countries focus on the financial sustainability of public housing
programmes.
The Papua New Guinea National Housing Corporation's new
policies are to develop serviced plots for leasing on a self-financing
basis, to sell the existing housing stock while increasing rents on
the remaining houses to market levels, and to leave rental housing
construction to the private sector (UNCHS 1993).
In Fiji, the rental housing programme was initiated for the
very poor who were not eligible for other housing solutions because
of the levels of their income. They paid around 15 per cent of their
Strategies for Future 109
income as rent but since the rental subsidy could not be absorbed
into the financial restructuring of the Housing Authority the public
housing rental programme was transferred to a newly created
Public Rental Board.
This body does not have the financial capacity to undertake
a building programme to respond to the need. Consequently, the
urban poor have a serious housing problem and church groups
have taken some initiatives to provide housing solutions for the
poor.
Other countries have limited experience in institutional
responses to the housing need. The Kiribati Housing Corporation
caters only for civil servants. The Samoa Housing Corporation is
a financing organization. In Solomon Islands, the Housing
Authority was disbanded after some years and settlements with
basic standards were developed on sites designated as "traditional
housing areas". In Vanuatu, the Housing Corporation, established
in 1985, is trying to address serious problems with very limited
capacity.
HOUSING MARKETS
The demand for affordable housing is increasing as a result
of the growing urban populations. The demand comes from new
household formation within the existing population and from
new migrants. Existing houses are constantly being upgraded. In
almost every country, except possibly Nauru, housing market
mechanisms are not functioning due to constraints on the
development of customary lands and the absence of financial
mechanisms that meet different affordability levels. The absence
of security of tenure, which normally provides collateral or security
for a housing loan, inhibits the development of housing finance
mechanisms.
As a result of these factors, the private sector plays a limited
role in housing. The limited housing stock commands high prices
for purchase or rent. The building industry is therefore unable to
play its usual role as a generator of economic growth and creator
of employment opportunities. Additionally, those small businesses
and micro-enterprises that are dependent on the building industry
are unable to contribute to alleviating unemployment.
110 Planning for Human Settlement in Disaster Prone Areas
Towns in Papua New Guinea have inherited the colonial
tradition of employer- provided rental housing. Thus, there is
only a very small private housing market, mainly for expatriates,
and no tradition of home ownership. Moreover, both the
government (the major employer) and private enterprises want
to rid themselves of the costly role of employee housing provision.
Those urban residents who do not have an employer willing to
provide formal sector housing must either depend on relatives
who do have houses or turn to informal self-help, which usually
means squatter settlements (UNCHS 1993).
In Cook Islands and Niue, a growing number of houses have
been abandoned by the owners who have emigrated. The houses
are left in a state of disrepair but the house cannot be sold to
interested parties owing to the complexities of the customary
ownership system.
BUILDING MATERIALS
Except for the atoll islands, most of the region has adequate
timber products. However, many other types of building materials
are required to meet the growing expectations of urban dwellers.
The size of the market, even in Fiji and Papua New Guinea, is
insufficient for the level of investment required for local production
of a wide range of building materials. Thus, an important feature
of the building industry in the South Pacific is the high amount
of importation, particularly from Australia and New Zealand to
Melanesia and Polynesia, and from the United States of America
to the Federated States of Micronesia. In the Marshall Islands,
maintenance of the housing stock is becoming a serious issue.
In Papua New Guinea, the construction industry still operates
in an environment inherited from colonial days. This results in
excessive dependence on large construction companies, imported
building materials, and construction methods developed for high-
wage and high-technology societies. This situation results in a
very large gap between traditional methods and materials and
formal sector methods and materials (UNCHS 1993).
A particular aspect of residential buildings is cyclone-resistant
design and construction. Despite the many advantages of
traditional design of roofs and superstructure, there is a strong
Strategies for Future 111
desire for building houses to modern western designs and using
modern materials.
HOUSING FINANCE CAPACITY
Housing finance systems, managed by public sector
institutions, already exist in several countries and the prospects
of expanding their capacities are improving as national provident
funds mobilize more savings. Commercial banks and insurance
companies could also play a role in mobilizing capital for housing
and there is potential for community-based saving schemes.
However, most formal sector financing systems require loan
security and thus the land tenure system plays a crucial role. The
legislation and procedures for mortgage lending have to be well
established in order to enable a housing finance system to function.
In Fiji, where the housing finance system is well developed,
the Fiji National Provident Fund serves as the main provider of
investment funds and the Housing Authority as the provider of
loans for the middle income sector. The Home Finance Company,
which serves the higher income market, is more closely linked
with commercial financial markets and mobilizes capital for
housing loans from these sources.
In the absence of security of tenure for mortgage financing,
alternate approaches need to be devised. In Fiji, many village
housing schemes undertaken on lands that cannot be leased or
mortgaged are backed by legally accepted guarantees from
appropriately resourced persons or bodies. The Samoa Housing
Corporation, which functions mainly as a housing finance
institution, accepts assurances from senior clan members as security
for housing loans.
Overseas examples of community financing need to be studied
for their adaptation in the South Pacific urban culture. The Grameen
Bank, a private initiative, has provided loans to a large number
of rural poor in Bangladesh on the basis of community loan
guarantees. A small group of successful past borrowers provides
guarantees for repayment by the borrower and the loan repayment
levels achieved are higher than those of commercial banks. The
Urban Community Development Office of the Government of
Thailand operates as an independent programme out of the
112 Planning for Human Settlement in Disaster Prone Areas
National Housing Authority. Seed funding and loans to
community-based savings and credit schemes are provided for a
range of community improvement activities, among which housing
is predominant.
INFORMAL SETTLEMENTS
High construction costs, resulting from the high cost of
imported building materials, costly building regulations and high
urban wages add to affordability problems for the poor seeking
adequate shelter.
The experience of the Fiji Housing Authority over the past 30
years shows that some 70 per cent of the applicants for housing
are unable to afford the repayments for the purchase of low-cost
houses, which conform to legal requirements. The poor are left
to find solutions in overcrowded accommodation or as squatters.
The result is the haphazard growth of informal settlements on
unsuitable sites and on the urban fringes of most large cities in
the region.
In these types of settlements, the settlers make arrangements
with the landowners to occupy a building site on affordable terms
but without security of tenure. Hence, there is no incentive for
making permanent investment in housing, and corrugated iron
shacks are the standard form of construction. People tend to
expand houses incrementally, adding and improving according
to the increasing needs of the growing family. A whole new
generation of young people is growing up in these settlements
throughout the South Pacific.
In most of the larger cities there are many pockets of such
informal housing developments with very limited or no
infrastructure and services. In Suva, there are 26 squatter
settlements within the city boundaries (UNCHS 1992). In Papua
New Guinea, squatter settlements housing up to 50 per cent of
the population have developed around Port Moresby, Lae, Mount
Hagen and Rabaul (UNCHS 1993). Relatively large settlements
also exist at Blacksands and Federation in Port Vila, Vanuatu. If
this trend remains unchecked, it will result in a serious deterioration
of the living environment and will pose a serious danger to public
health.
Strategies for Future 113
EVICTION
Informal settlements are of different types. They range from
pure squatters on state lands to quasi-legal renting of customary
lands. Squatters on state lands are illegal occupiers of the land.
On customary lands, there is often proper negotiation with the
leadership of the landowning clan.
The construction of houses takes place with the explicit or
implied consent of the landowner. Sometimes, there are middlemen
operating either on behalf of the landowners or on behalf of a
particular needy group. The arrangements made are insecure and
lead to misunderstandings.
The removal of settlers is sometimes necessary to enable public
utility works to be undertaken. Wherever this happens on state-
owned land, adequate compensation and resettlement
arrangements are made. There have been cases where the owners
of customary land have evicted settlers born on their lands in
urban areas. In such cases, no resettlement arrangements are
made. Some past cases of evictions, for example in Lae, have
resulted in major calamity for the urban poor. The irony is that
evicted squatters have to go and settle elsewhere. In most such
cases the local, provincial or national governments have been
unable to offer permanent solutions.
A more sympathetic view of informal settlements is gradually
emerging. This is arising from a number of developments, which
include the following:
• Greater realization that the efforts of the poor in
constructing houses in informal settlements represent an
economic and social investment and that the bulk of the
savings of the poor are directed to housing.
• The settlers usually build up strong community
relationships as these settlements represent a mingling of
people from different parts of the country.
• Greater awareness of projects where squatters have
improved their living environments after acquiring security
of tenure.
• Increasing pressure on national governments from
international organizations such as UNDP, UNCHS and
114 Planning for Human Settlement in Disaster Prone Areas
the World Bank for upgrading informal settlements,
introducing enabling strategies and alleviating poverty.
• The growing movement on the right to adequate housing
promoted by the Centre for Human Rights and major
international NGOs such as the Habitat International
Coalition.
The whole scenario of eviction is a symptom of the failure of
governments to appreciate the dynamics at play in the economic
development and urbanization processes. Land is recognized by
economists as a basic ingredient of economic growth and the
failure of housing is largely a failure by governments to ensure
affordable and secure access to land. The need to resettle people
can be avoided by a proactive programme of sites provision.
However, where there is need for resettlement, the process needs
to conform to sound principles.
ESSENTIALS OF GOOD RESETTLEMENT PLANNING
• Fair and equitable compensation for lost assets, livelihoods
and incomes.
• Restoration (or enhancement) of living standards and
livelihoods through housing replacement and income
restoration programmes.
• Adoption of participatory planning strategies.
• Dealing with the special problems of vulnerable groups
in society.
The Asian Development Bank, in recognition of the need for
some guiding principles, organized two workshops on the subject,
one of them specifically for the Pacific island countries.
SETTLEMENT UPGRADING
Settlement upgrading has become a common practice in many
developing countries. Wherever the land occupied in informal
settlements is not required for an essential public purpose, tenure
is granted to squatters and infrastructure and services are
upgraded. The major features of such programmes are:
• Community involvement in the planning and execution
of the upgrading project.
Strategies for Future 115
• Improved security of tenure for the residents.
• Improved infrastructure services such as vehicular and
footpath access, water supply, sewerage, drainage and
electricity supply.
• Provision of social facilities such as kindergartens or
schools, health facilities, religious and community
buildings.
• Opportunities for income generation through the
establishment of market buildings.
Perhaps the most well known example of a large-scale national
settlement upgrading programme is the Kampung Improvement
Programme of Indonesia. This programme has improved the living
conditions in thousands of informal urban and rural settlements
throughout the country.
In the South Pacific region, an example of a large-scale housing
project that involved a considerable amount of settlement
upgrading and squatter resettlement is the Vitogo and Drasa
scheme at Lautoka in Fiji undertaken by the Housing Authority.
These two programmes are described in box 5, based upon
information from internal files and progress reports of the Housing
Authority.
VITOGO AND DRASA RESETTLEMENT SCHEME, LAUTOKA, FIJI
This scheme is on about 300 hectares of peri-urban land located
just outside the Lautoka town boundary. The land was freehold,
owned by the sugar company, which had allowed its employees
to build their homes on sites allotted on the basis of an annual
tenancy. Plots were not surveyed but were numbered on plans.
Over the decades many sugar mill employees and their offspring
built their houses and the area attracted a steady stream of squatters
in spite of controls. Very few houses were built with permanent
building materials.
There was a minimum of vehicular access, a haphazard system
of water supply and electricity supply, no sewerage provision, no
security of tenure for community buildings such as schools,
temples, mosques, churches and public halls. Over a thousand
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
overall rationalization of the sugar industry, around 1970, the
sugar company transferred the land to the government, which
leased it to the Fiji Housing Authority for orderly residential and
related development.
In compliance with the Lautoka town planning scheme, an
overall upgrading proposal of the whole area was prepared
showing the different residential zones, the location of all new
minor and major roads, water supply and sewerage provisions,
shopping centres, sites for schools and religious buildings, parks,
etc.
Negotiations were concluded with the Lautoka City Council
for relaxing some of the standards applying to infrastructure so
as to increase the affordability of serviced sites for the maximum
number of households. A 10-year development scheme was
prepared for investment, together with costing and pricing of the
developed sites. The detailed plans accompanying the scheme
showed the effect on each existing tenancy, house, crops and any
site improvements. The plan was executed in stages after a
considerable amount of community consultation. The major
characteristics of the scheme were:
• The preservation of the maximum number of existing
house sites and minimal dislocation of existing houses to
make way for public uses.
• An agreed formula for compensation for house relocation,
damage to valuable trees.
• Residents who were not eligible for the cheapest site were
offered subsidized rental accommodation.
• Cross-subsidy for lower income groups through the
differential pricing of higher class residential leases, some
of which were allocated through a tendering process.
• Allocation of a 99-year sublease over subdivided house
sites to existing tenants and their offspring resident in the
area but without a house.
• Replacement of the old labour lines associated with the
sugar mill.
• Employment opportunities for local residents in the land
development works. An agreement to allow the Housing
Strategies for Future 117
Authority to undertake its housing programmes on any
unallocated land.
LAND SUPPLY AND DEMAND
Land is an essential component in the urbanization process.
The increasing population in the cities requires new areas for
housing, schools, recreation areas and religious buildings. Where
suitable, affordable and secure sites are not available, these needs
are met by informal or illegal means. The pace of urbanization is
such that new attitudes and approaches to land development in
urban areas are necessary in almost every Pacific island country.
Land supply constraints are at the heart of many problems
of sound urban management in the Pacific. As noted above, there
is a clear linkage between security of tenure, the development of
housing finance systems and the performance of the building
industry. Security of tenure is thus directly linked to prospects for
employment generation and income-earning capacity and therefore
to poverty alleviation.
However, in all the countries in the region, the land market
does not function normally since a large section of national land
assets does not enter the urban land market. Approximately 80
per cent of land in the Pacific islands is under some form of
customary land tenure, which is governed by a range of policies
and practices that constrain national development.
CUSTOMARY LANDS
The customary land tenure system is based on ownership of
lands by indigenous families or social groupings. The diverse
tenure systems in the Pacific were devised for subsistence
agriculture, in situations where people produced almost all their
own food (Crocombe 1989). The systems were flexible and catered
adequately for changing needs in a rural setting. After the advent
of colonialism, western systems of rigid rights were introduced.
In most countries, a certain portion of the land was alienated
soon after contact with Europeans and this practice was stopped
by legislation. In some countries, there are restrictions on the
allocation of customary lands under leases. Land has a special
significance for the people but, in urban areas, there is now a
118 Planning for Human Settlement in Disaster Prone Areas
conflict between traditional views and the modern needs of urban
development. A major issue is the need to adapt tenure systems
to populations up to 10 times higher than they were at the time
of first contact with European cultures, and these populations are
concentrated in towns and other non-traditional centres and earn
their living from non-subsistence activities (Crocombe 1994).
DEMAND FOR LAND
Land supply is failing to keep up with the demands of
urbanization in almost all countries. Land is generally not available
for most aspects of urban development, including infrastructure,
industrial estates, housing, social facilities and recreational needs.
A number of countries have freehold land but the amount is
very limited and most of it is developed as these parcels are
located in or near urban settlements. Most countries also have
state land, known as Crown land in some countries. This is also
largely developed, in urban as well as rural areas.
Scope is limited for increasing land through reclamation in
lagoons owing to the well-documented negative impacts on the
ecology, including food sources, and therefore on nutrition and
health. Land shortage is serious in some of the atoll countries and
land reclamation is being undertaken in a number of urban centres
in the Federated States of Micronesia. In Kiribati, land is so scarce
that reclamation of lagoons is seen as a way of providing the
government with new sites for various uses.
Governments in some countries have been unable to negotiate
with the landowners for the use of land for public purposes. Some
have shown a lack of political will to exercise eminent domain
powers for compulsory land acquisition for public purposes even
though the necessary legislation exists.
In Papua New Guinea, where some 95 to 97 per cent of the
land is under customary ownership, these lands cannot be sold
outright or mortgaged, effectively disqualifying the use of the
land as collateral for loans and reducing incentives to conserve
land. Almost none of the land is surveyed or registered, so disputes
are usually settled through violent feuds rather than courts of law.
With rising demographic pressures, land disputes have become
more common (UNCHS 1993). The customary land tenure system
Strategies for Future 119
is complex due to the different levels of decision-making and the
varying interests of the different owners of a particular parcel of
land. In some countries, customary land may not be made available
to people outside the clan of the owners.
In Fiji, the administration and development of native lands
is the responsibility of the Native Lands Trust Board (NLTB). The
Board obtains consent from the landowners, subdivides the land
and leases the new plots to meet the demand. It administers
several thousand leases for all types of urban and rural uses.
NLTB has been in operation for about 50 years and retains
around 25 per cent of the rent income to defray its administration
costs. The remainder of the rent is distributed to the landowners
and their chiefs. Because it operates as a trustee organization,
NLTB has not been able to set aside a development fund. Similarly,
the landowners have not been able to allocate some of the regular
rent income towards a development fund. Sometimes, customary
lands can be obtained for urban uses through ad hoc arrangements
with the land owners without the involvement of NLTB, but the
insecurity of tenure discourages entrepreneurship and investment
by the tenant, as is witnessed in the peri-urban settlements in Fiji.
In Papua New Guinea, in recognition of the future need to
utilize customary land for development purposes, the government
developed the Land Mobilization Programme in 1989, aimed in
part at urban areas. However, success has been slow. It has become
common for land tenure to be secured through private agreements
with the customary owners rather than the official process of
government registration and lease title (UNCHS 1993). In Vanuatu,
some bold measures were taken by declaring public ownership
over urban land. Matters concerning the allocation of rental income
to the original native owners and legal contests against declaration
of public ownership over customary lands in the urban area are
being resolved. In the Marshall Islands, there is no public land
and coastal erosion is being caused by the extraction of sand and
rock.
LAND SUBDIVISION STANDARDS
The supply of land for urban uses involves more than mere
availability. A minimum level of infrastructure in terms of access
120 Planning for Human Settlement in Disaster Prone Areas
roads and water supply is essential for settlement at urban densities.
A combination of central and local government regulations and
procedures set high standards for land surveying and the
installation of infrastructure for creating smaller parcels or
subdividing land for urban settlement. Complying with the high
standards results in unaffordable costs even to middle income
groups. The standards are set high partly because local government
bodies do not have the capital resources to upgrade the
infrastructure later. This is a problem facing many urban centres
and needs to be resolved to activate the formal land market.
Solomon Islands has addressed the issue of standards by
creating "traditional housing areas". These have gravelled roads,
open drains, no sewerage system and a shared water supply. This
has enabled people to settle within their affordability limits.
CONSTRAINTS ON THE DEVELOPMENT OF CUSTOMARY LAND
Land rights are an integral part of the Pacific cultural and
social systems and a number of factors constrain an orderly land
supply to meet the demands of urban growth. These include the
following:
• Customary landowners are not culturally disposed to
alienating land and have a tendency to retain full control
of their land in case future generations have need of it.
• The procedures for leasing and development of customary
land are either not well developed or are very complex
and time-consuming.
• Those customary landowners who have responded to the
demand find difficulties in meeting the high land
subdivision standards and the cost of basic infrastructure
in order to provide potential tenants with security of tenure.
• The system does not encourage capital accumulation for
land development.
• Rent income is spread out. The owners are therefore unable
to take advantage of the growing demand for urban land.
LAND TITLING
Only a few countries have adequate cadastres showing land
parcels, ownership, rights and easements over land, charges and
Strategies for Future 121
encumbrances. Land mapping and titling is incomplete in many
countries, and this creates considerable delays in the resolution
of disputes over boundaries, ownership and user rights. There are
many advantages in having good records but the process of
establishing a system is long and costly.
In Samoa and some areas in the Federated States of Micronesia,
land titling projects have been initiated but, owing to lack of
adequate resources, little progress has been made. Modern
electronic technologies can speed up the mapping process and
facilitate these procedures but the process of clearly settling
conflicting claims needs to be undertaken through adjudication.
Fiji has benefited from continuous advances in mapping and
aerial photography of the national territory and the use of electronic
land information systems for various aspects of land management.
It also maintains the position of Commissioner for Native Lands
for the resolution of disputes concerning native lands and
associated rights.
Many countries have established a geographical information
system (GIS) unit in land management agencies. This has simplified
certain procedures but the full potential of GIS has not been
realized. The technology requires constant upgrading of skills, as
well as computer hardware and software.
COMMUNITY PARTICIPATION AND HUMAN RESOURCES
Urbanization poses new problems, as well as opportunities
for the involvement of people in resolving problems at a scale
never encountered in the rural areas.
Urban areas comprise a rich mixture of people from different
parts of the country, with different approaches to the resolution
of problems. They all have the common goal of improving their
quality of life and it is a challenge for central and local governments
to channel all public and community initiatives towards this goal.
The global trend is for greater public participation in decision-
making for urban management through public consultations, urban
and civic forums and similar organized groupings. Through the
information revolution, people are more aware of what is
achievable to meet their rising expectations. Thus, appropriate
122 Planning for Human Settlement in Disaster Prone Areas
mechanisms are necessary at the central and city levels to enable
people to articulate their needs and to contribute to solutions.
COMMUNITY PARTICIPATION
The people are a major resource in the Pacific and this resource
needs to be fully utilized. In the rural areas and villages,
participation of communities, under the traditional leadership
structures, is quite common and effective in decision-making for
local development.
However, in urban areas, the social cohesion of the rural areas
is no longer present and therefore opportunities for community
participation are rare. As problems in urban management can be
quite complex and often concern the interests of particular groups,
the involvement of communities can help to resolve complicated
issues.
In all consideration of public participation it is important to
distinguish between participation with labour or sweat equity in
a project requiring physical effort and participation in which the
participants are fully involved in the process of policy formulation,
affecting the local environment, including the raising of sensitive
issues. There are many examples of the former but not many of
the latter.
URBAN AND CIVIC FORUMS
Urban summits, along the lines of the national summits being
used widely in the Pacific, could be organized for all stakeholders
in a particular urban area or on a specific issue to consider options
and select lines of action to seek solutions.
The stakeholders include settlers, landowners, local authorities,
government agencies, NGOs, community associations, academics,
the business sector and religious organizations. Urban forums
have become a useful vehicle for public participation in many
Asian cities.
NON-GOVERNMENTAL ORGANIZATIONS
Non-governmental organizations working in housing,
infrastructure and services are active in many countries, acting
either individually or as national networks. Their actions range
Strategies for Future 123
over many aspects of human development and include the
following:
• Working with and for disadvantaged people such as
children, women, refugees, the indigenous, elderly, poor,
hungry, disabled, and disaster victims.
• Addressing disadvantage through projects and
programmes such as welfare services, education, skills
training, income generation, housing, credit and financial
services, food production, and small-scale manufacturing.
• Raising awareness through information and
communication, research and training, campaigning and
advocacy, networking and collective action.
• Taking action on issues detrimental to the well-being of
people or society such as peace, human rights, the
environment, gender issues, and economic structural
adjustment.
Among the more prominent NGOs active in the region are
the Urban Shelter Network of Lae, HART (Housing Assistance
and Relief Trust) and the Methodist Church in Fiji, the Samoan
church groups that provide housing for rural migrants and some
cooperative societies. Their work is often hampered by legal and
procedural constraints and they require support from national
and local governments in many small ways to enable them to
deliver assistance to those in need.
PRIVATE SECTOR
The real estate industry has a limited role in land development
and housing in the region owing to the limited availability of land
for urban development.
The private sector has been active in the building and
infrastructure construction and transportation areas but not in the
management of services such as water supply. Although very few
countries in the Pacific could provide the economies of scale
required for private sector operations, governments could
encourage the private sector to manage certain aspects of services.
There will be a growing demand for the private sector in housing
development if the land supply constraints could be removed.
124 Planning for Human Settlement in Disaster Prone Areas
HUMAN RESOURCE DEVELOPMENT
Trained professionals are in short supply in the fields of urban
management, urban and regional planning, urban infrastructure
and land development, and construction disciplines. The
improvement of institutional arrangements for urban development
at the central and local government levels would encourage greater
interest in these professions.
The land management and development course at the
University of the South Pacific, (USP) as well as the courses in
architecture, civil engineering and urban and regional planning
at the Papua New Guinea University of Technology (Unitech),
have trained a number of professionals but more trained
professionals are needed, and with a more holistic approach to
human settlements development.
The USP course in land management and development has
a comprehensive curriculum providing students with a choice of
urban or rural focus. This course not only covers the technical
subjects of land surveying, valuation, construction technology,
property development and GIS but also relevant aspects of
macroeconomics, commerce, accounting, law, sociology and
management, together with a full coverage of the principles and
problems of land tenure.
In addition to the land management and development course,
USP offers a basic undergraduate course in town planning for
those already working or interested in working in town and country
planning without having to leave the region. However, the courses
offered are running below capacity and USP is therefore unable
to introduce courses to cover other aspects of human settlements
management. Training is also needed in a range of skills at the
technician level (for example, for electricians, plumbers and
carpenters). This is being provided at national institutes in many
countries in the region but the volume of trainee intakes would
need to be increased to supply the demand that would be created
by positive improvements in national programmes for improving
urban development.
The training of local government councillors has been
identified by the Commonwealth Local Government Forum as
being an essential need. In the Pacific, this is a new sphere of
Strategies for Future 125
public administration and adequate training for both elected
representatives and local government personnel is essential to
develop the capacity for addressing the new situations posed by
growing urbanization.
RECOMMENDATIONS FOR LOCAL GOVERNMENT CAPACITY-BUILDING
Local government capacity-building should be undertaken
through four mechanisms:
1. Institutional strengthening, especially in the area of
capabilities in negotiating with national and provincial
governments, and with local authorities. National networks
of professional and local government practitioners should
be established and linked forward with overseas national
and regional local government associations and
organizations.
2. Improved access to and greater capacity of quality
education and training programmes in all human resource
management and human resource development areas.
Access to international and regional universities such as
Northern Territory University (NTU), University of the
South Pacific, University of Papua New Guinea, and the
Papua Guinea University of Technology of Lae, James
Cook University, etc. should be encouraged and developed.
3. Greater international linkages and partnerships should be
fostered to exchange technical and managerial skills and
knowledge between countries and organizations.
Greater access to and development of information and
databases and exchange of information in local government matters
should be undertaken.
URBAN GOVERNANCE AND MANAGEMENT
The issues briefly covered above concerning planning,
infrastructure, housing, land supply and community participation
need to be addressed in an integrated manner through a division
of responsibilities between the central and local governments.
At the central government level this calls for a high level of
coordination among the different agencies that provide services
in urban centres and a proactive interest in developing the
126 Planning for Human Settlement in Disaster Prone Areas
administrative capacity at the city level. The concept of sound
urban governance involves the establishment of effective
management systems for the mobilization and utilization of
physical, economic, cultural and human resources and for
transparency and accountability to the community.
The techniques of sound urban governance have been
thoroughly explored by the World Bank, UNDP and the United
Nations Centre for Human Settlements under the Urban
Management Programme. The principles have been applied in
many cities in the developing countries through technical assistance
programmes (UNCHS 1998).
POLITICAL COMMITMENT TO URBAN GOVERNANCE
The comparative newness of the urbanization process and the
scale and speed of urban growth have made it difficult for national,
provincial and local governments to facilitate the supply of the
key factors of urban production: land, shelter, infrastructure and
services. Inadequate planning and provision of services are felt
primarily by the poor, resulting in an increase in inequality within
towns and cities.
Increasing demand for urban services calls for sound urban
management and planning practices suited to local political and
social contexts, supported with improved technical competence
and financial inputs. Sound urban governance and management
should be considered a crucial part of the national economic
development process.
RECOMMENDATIONS FOR SUCCESSFUL DECENTRALIZATION
The following key principles are important components for
successful decentralization strategies:
1. Giving formal recognition to the role of local government,
including constitutional recognition and the enactment of
appropriate national legislation.
2. Ensuring autonomy for local government as an equal
sphere of government alongside provincial and national
government.
3. Defining clearly the distinct role and functions of local
government in relation to other spheres of government.
Strategies for Future 127
Establishing regular, open and democratic local elections,
taking account of the respective cultural context.
• Developing transparent and accountable local government.
• Ensuring that local government is properly resourced.
• Recognizing the role of traditional leaders and the relevance
of local cultural diversity.
In Samoa, the seventh national development plan proposed
to introduce new legislation for the establishment of an Apia
municipal authority with powers to control land use, improve
services and promote the economic and social development of the
city.
However, progress has been slow. Cook Islands also considered
establishing a local authority for the urban area of Rarotonga but
no concrete action has been taken. In both countries, the idea of
a western-style local government is contrary to the traditional
systems of leadership and customary land ownership patterns.
However, urban areas are modernizing at a fast rate and the
traditional structures do not have the capacity for the kind of
urban management that is needed. Perhaps a mixture of both
systems could be devised with the assistance of transitions such
as the Asia-Pacific section of the International Union of Local
Authorities (IULA-ASPAC) and the Commonwealth Local
Government Forum.
ECONOMIC REFORMS
The Pacific island states have some serious economic and
natural constraints.
These include small domestic markets and distance from larger
markets, narrow resource bases, lack of economies of scale, limited
domestic revenue-generating capacity, a high degree of
dependence on external assistance, importance of remittances, the
public sector and imports, and vulnerability to external shocks
and natural disasters.
Many governments in the region are currently implementing
economic and public sector reform measures coordinated by the
Asian Development Bank targeted towards increases in income
and employment and improvements in human development
128 Planning for Human Settlement in Disaster Prone Areas
indicators. The critical goals of the reform process that could have
a positive effect on the approaches to urban management are:
• Achieving macroeconomic stability.
• Instituting good governance with greater public
participation in government.
• Making public service more accountable for efficient and
effective service.
• Catalysing private sector investment to provide more
incomes, employment, goods and services.
CAPACITY TO ADDRESS NEW CHALLENGES
Local government in the Pacific is generally based on western
models in Melanesia and the Federated States of Micronesia. Under
the provisions of the relevant legislation, a proposal to declare a
city or a town over a defined area is publicly notified and
representations are dealt with. Local elections are organized and
the elected body forms the local government. Papua New Guinea
and Solomon Islands have a provincial system of government,
which has responsibility for local government.
In Vanuatu, the Municipalities Act of 1985 sets up
municipalities with responsibilities but capacity is lacking at the
local level. In Apia, in the absence of elected local government,
an arrangement is made based on traditional local leadership
structures of the different villages that form the urban centre.
Fiji has a well-developed system of urban local government,
with two city councils and 11 town councils. In many centres,
urban development has spread beyond the municipal boundaries
into areas under the jurisdiction of rural local authorities. These
authorities have the basic function of preserving public health and
come under the supervision of a different government ministry.
No district councils have been constituted for such areas under
the Local Government Act. For the administration of native affairs
there is a system of provincial governments.
A general characteristic is that local government bodies of
either model have insufficient capacity to manage and respond
adequately to the pace of urban growth. Usually, there is a division
of responsibilities and in most countries in the South Pacific major
Strategies for Future 129
infrastructure services are provided by central government
agencies and local authorities have the responsibility for
management of the local environment and manage public facilities
such as the markets. However, the crucial role for the local
government is the planning and coordination of local and central
government initiatives. Most do not have the legal authority or
the financial capacity or the human resources for this essential
task. This has been the experience of the Honiara Town Council
in the implementation of the Honiara Town Council Development
Plan 1988-1992.
Although most governments recognize the need for a
decentralized form of government at the urban level, political
support for the growth of local government is limited. Local
councils receive limited financial support from central governments
and external aid is seldom directed towards increasing local
government capacity. The smallness of some countries leads to
limited government interest in promoting subnational urban
government, which is seen as duplication. In some countries,
urban government is currently in the process of evolution and
democratic processes have been introduced in recent years. The
Commonwealth Local Government Forum, at its South Pacific
round table, has identified a set of useful suggestions for good
government at the local level.
RECOMMENDATIONS FOR ACHIEVING GOOD GOVERNANCE AT THE
LOCAL LEVEL
Achieving good government at the local level can be achieved
by paying attention to five factors:
1. Strengthening administrative and management skills of
staff through capacity-building, education and training.
2. Financial arrangements and resource growth through
resource-sharing with other government spheres and
increased and expanded revenue-raising authority and
capacity - there should be a freeing-up of the ability of
local government to seek access to borrowings from
financial institutions.
3. Local government and community empowerment with
statutory provision for greater openness and accountability
130 Planning for Human Settlement in Disaster Prone Areas
with access to a local government ombudsman on state
and national issues - there should also be a public education
programme in local government to encourage full
community participation.
4. New mechanisms for service delivery, including more
cost-effective quality service provided by local government,
state/national partnerships, and greater involvement of
NGOs, the private sector and community organizations,
all in a context of promoting environmentally and socially
sustainable development.
Achieving equal opportunities and gender balance through
the encouragement and involvement of women in local
government while recognizing that, as a result of natural cultural
differences, transitional mechanisms may need to be put in place
in the move towards a greater gender balance in local government.
URBAN FINANCIAL BASE
Urban government bodies in the South Pacific operate with
insufficient funds but their responsibilities are growing. Most city
and town councils are barely able to finance regular service
functions and have little or no reserves for undertaking minor
capital works. Yet they serve a wide region beyond the municipal
boundaries.
Most local government authorities are expected to mobilize
their own finances and they rely largely upon property taxation
raised from the area within their jurisdiction. Some have the
authority to charge business licences and some, like Suva and
Nadi in Fiji, have constructed commercial buildings which are
being managed successfully and with positive financial results.
In countries that do not have a land-taxation regime, local
authorities are totally dependent on financial support from the
central government. In Apia, there is no formal local authority
and no property taxes are imposed. Additionally, there is no
requirement to register property developments with any
government agency (UNCHS 1996b).
Local governments in the region experience many problems
in the area of finance. The major ones are the collection of property
rates or taxes, especially arrears, inability to collect rates on unleased
Strategies for Future 131
customary lands and lands occupied by squatters, and political
difficulties in raising rates to the maximum level permitted in the
local government legislation. The tax-paying responsibilities of an
urban landowner are not yet fully recognized by customary
landowners in cities and towns in most countries. The land revenue
base is a potential source of finance for supporting the development
of local government in the South Pacific but it remains untapped.
Meanwhile, the provision of services in urban areas remains a
financial burden on central governments.
Local government bodies with a record of sound financial
management have the possibility of accessing capital markets but
this often requires a guarantee from central government. This
aspect clearly demonstrates the responsibility that central
governments need to discharge to encourage sound urban
development.
This type of central government support of a facilitating nature
for local governments is required not only in the area of finance
but also in the area of land supply. Effective central government
initiatives are urgently required in order to activate the land
market mechanisms that promote orderly urban growth. Such
action can have the effect of strengthening the revenue base of
local governments on a sustainable basis.
REGIONAL COOPERATION
Countries have been addressing urban management problems
with little information from or contact with other countries in the
region or outside. Many international programmes in human
settlements bypass the Pacific for a variety of reasons, including
distance, relative smallness of the problems and the absence of
a regional voice on human settlements issues. A regional
programme in human settlements would benefit countries in the
following ways
• Increasing awareness of the problems in urbanization and
the opportunities for economic and social development
that sound urban management can generate.
• Enabling a collaborative approach to seek solutions.
• Providing information on the many successful experiences
to improve national responses.
132 Planning for Human Settlement in Disaster Prone Areas
• Provide a unified position at global and major regional
forums.
Specific items for regional collaboration include improvement
of human resources in the urban development fields, urban/local
government administration, customary land development, waste
management and application of urban and housing indicators.
URBANIZATION AND PLANNING
National populations are increasing rapidly in most of the
Pacific island states and an increasing proportion of the national
populations is now living in urban centres. In spite of past and
current emphasis on rural development, the future of human
settlements in the Pacific is an urban one.
This new phenomenon in the development of the Pacific
islands needs to be recognized by governments as a reflection of
social advancement and modernization. Urbanization has many
positive social, economic and environmental aspects and these
need to be addressed in an integrated manner at the national,
provincial and local levels to ensure a constantly improving quality
of life for people.
FORMULATING NATIONAL PLANS FOR URBANIZATION
As the Pacific island economies become more closely linked
with the global economy, the pressure for efficient urban
management will increase. Governments need to consider
urbanization as a crucial part of the national economic development
process and adopt a positive and proactive approach to urban
growth by taking measures that enable towns to grow in an
orderly way.
This will be a departure for many governments but there is
sufficient experience in the Pacific to build upon. An example of
a recent national initiative is the National Plan of Action on
Urbanization submitted by the Government of Papua New Guinea
to the United Nations on Human Settlements Conference (Habitat
II). Governments should consider formulating national plans for
urbanization and include these as integral parts of the national
economic development plans or similar national planning
instrument.
Strategies for Future 133
COORDINATING PHYSICAL PLANNING WITH ECONOMIC PLANNING
Most countries have undertaken medium-term strategic
development planning but physical planning has been a relatively
neglected area. For efficient and sustainable development, physical
planning needs to be integrated or at least coordinated with
economic and social development planning. This can best be
achieved at the regional level to incorporate economic, social and
physical planning, taking into account current and projected
symbiotic relationships between the town and its surrounding
areas. Such an approach would strengthen coordination between
urban planning and national economic development planning.
Appropriate institutional arrangements and legislation would need
to be introduced suited to the national and local contexts.
PROMOTING INTEGRATED RURAL AND REGIONAL DEVELOPMENT
The promotion of rural development is essential since a
substantial proportion of the national population lives in the rural
areas but these should be complemented with urban development
policies. Regional cities and rural centres need to be strengthened
to service the rural areas and outer islands.
URBAN INFRASTRUCTURE
It is important to recognize that adequate provision of urban
services is the key to orderly development of cities and, considering
the high cost of investment, it is essential that existing assets are
rehabilitated and maintained and that the consumer base is
expanded.
CONSERVING WATER RESOURCES
Water resources need to be protected, especially catchment
areas outside the urban areas, as well as underground water
resources. Improved management practices are required to
preserve the viability of existing water supply systems.
PROVIDING SEWERAGE
Proper sewerage services are essential even for normal urban
densities and there is a limit to the efficiency of septic tanks in
the geological conditions of urban centres such as Honiara, Port
Moresby and Suva. The investment in sewerage reticulation and
134 Planning for Human Settlement in Disaster Prone Areas
treatment facilities is relatively high but the long-term costs of
avoiding such investments are much higher. Information also
needs to be disseminated on suitable on-site technologies such as
ventilated improved pit latrines, which have had some success in
Vanuatu.
IMPROVING SOLID WASTE MANAGEMENT
The gravity of the problem of waste management needs to be
recognized and the cultural constraints on sound waste
management need to be addressed. Possible action could include
the following:
• Community consultations could resolve the issue of the
availability of suitable lands for waste disposal.
• Waste minimization programmes could be launched
through public information.
• Waste recycling programmes could be encouraged.
FINANCING INFRASTRUCTURE
A number of initiatives could be undertaken to mobilize funds
for the adequate provision of services. These include:
• Making better use of existing urban infrastructure
investment, using community decision-making processes
to clarify cost-recovery and management issues, improve
arrangements for long-term maintenance and formulate
investment plans.
• Encouraging the potential role of the private sector, as
well as community associations and cooperatives, in
building and owning categories of infrastructure,
particularly in the larger island countries.
• Sharing the burden of financing between the central
government and the urban local government.
• Examining the possibility of accessing provident funds,
which now dominate the finance sector in most island
countries, to become a regular source for infrastructure
financing.
• Examining the possibility of selected urban authorities
issuing bonds, under government guarantee, for financing
the urban infrastructure.
Strategies for Future 135
HOUSING DEVELOPMENT
The growing level of urbanization will generate a constant
demand for housing at all affordability levels. Housing is an
important component of the construction industry and a recognized
generator of employment opportunities.
Global experience indicates that poor people build cheaper
and more satisfactory houses than governments through self-help
systems or through private sector initiatives. The key to solving
the urban housing problem is to enable markets to produce as
many solutions as possible in different physical, social and financial
environments.
DEVELOPING LOCAL BUILDING MATERIALS
The development of local building materials could be
encouraged and local building regulations could be adapted to
suit local affordability levels and permit incremental construction
of houses. The informal sector could have an active role.
IMPROVING HOUSING FINANCE MECHANISMS
Alternative ways for developing mechanisms for housing
finance include:
• Accessing members' credits with the provident fund for
equity for loans provided by housing corporations,
commercial banks and the development bank.
• Developing housing capital markets by encouraging the
setting-up of private housing finance entities, with or
without government equity. The Commonwealth
Development Corporation and its local partners in the
region could provide a lead in this field.
• Clan-based guarantees to housing loans, as in Samoa.
• Credit unions and similar community-based saving
schemes.
• Adapting the "banking on the poor" approach of the
Grameen Bank in Bangladesh and the Urban Community
Development Office of the Government of Thailand, to
provide small loans for housing, small businesses and
services.
136 Planning for Human Settlement in Disaster Prone Areas
PROVIDING SECURE AND SERVICED SITES FOR THE POOR
All Pacific people have the ability to construct simple shelters
through the assistance of family members and friends. For this
they need sites with basic services and a secure tenure, legal or
customary, and small loans. Thus, the meeting of housing needs
is dependent largely on improving the land supply mechanisms.
UPGRADING INFORMAL SETTLEMENTS
Policies should be put in place to safeguard the housing
investment that people have made in informal settlements and to
upgrade such settlements by providing security of tenure through
negotiation with the landowners and providing the basic services
at affordable levels. The community can manage the upgrading
process over time with support from the appropriate agencies and
NGOs. Reviewing the mandates of national housing agencies to
enable them to play a more strategic role in urban development
could do this.
LAND SUPPLY
Urbanization requires the availability of serviced land on a
regular basis for a whole range of private and public urban uses.
As most government and freehold land in and around urban
centres is built up (except for government lands in Tonga), most
of the land development will have to take place on customary
land.
Governments and landowners throughout the Pacific need to
formulate ways of adapting the management of customary land
to the modern opportunities and requirements of orderly urban
development. Moreover, there is an urgent need to optimize the
use of existing developed land through appropriate urban planning
and fiscal tools.
REVIEWING NEW INITIATIVES
New land policy initiatives to adapt customary land procedures
to modern needs and innovative approaches to bring land on to
the market would facilitate not only orderly urban development
but also economic development generally. The following
experiences in the Pacific could be reviewed to this end:
Strategies for Future 137
• Fiji's Native Land Trust Board roles as a custodian and as
a developer of customary lands.
• Landowner initiatives in the peri-urban areas of Papua
New Guinea and Fiji to meet the demand by creating
informal urban settlements.
• Vanuatu's initiatives in urban land reform.
CONSIDERING AN INCREMENTAL APPROACH TO LAND DEVELOPMENT
Land subdivision standards could be adjusted to allow
incremental development of infrastructure so as to increase
affordability by tenants and thus activate the land market. Under
such an incremental approach only the essential services would
be installed first, enabling people to settle at affordable prices.
Upgrading of infrastructure can be undertaken later through a
combination of central and local government and community
investments.
ENABLING CUSTOMARY LANDOWNERS TO BECOME ACTIVE IN THE
LAND MARKET
Governments could launch or support capacity-building
programmes to enable customary landowners to be active in the
land market. Governments could provide basic infrastructure to
guide the opening-up of land for orderly settlement. Legislation
could be introduced to facilitate long-term leasing of customary
land, with adequate protection for landowners and tenants. Land
readjustment processes could be introduced to facilitate adjoining
owners of small parcels or irregularly shaped lands to be developed
in an orderly manner.
EXPANDING THE APPLICATION OF GIS
The application of GIS could be expanded to facilitate land-
titling processes. This technology is also able to support all aspects
of urban land management at the central and local government
levels.
COMMUNITY PARTICIPATION AND HUMAN RESOURCES
The people of the Pacific have demonstrated considerable
skills in community participation for resolving issues of common
138 Planning for Human Settlement in Disaster Prone Areas
concern through traditional leadership structures. At the urban
level, community organizations, leadership structures and the
issues are different and complex. People represent a vast resource
and genuine public participation can resolve the crucial political
and institutional issues for orderly urban development.
Human resources development will be a constant requirement
as urbanization increases and the need for adequately trained
personnel at the managerial, professional and technician levels
cannot be underestimated.
ENCOURAGING COMMUNITY PARTICIPATION AND URBAN FORUMS
Community participation could be encouraged in the following
ways:
• Governments could support community participation by
holding urban forums to establish a political process that
would involve all stakeholders at the national, provincial
and local levels for developing a consensus on policies
and strategies for urban management.
• Women's groups can play an active role in community
consultations.
• Communities and landowning groups could undertake
real estate development after acquiring some knowledge
and skills in subdividing land, mobilizing finance and
producing and supplying building materials and
organizing housing construction. They could be provided
with guidance in such ventures by the relevant government
agencies and NGOs.
DEVELOPING HUMAN RESOURCES
Sustained programmes for urban management would attract
larger intakes of students in the built environment courses in the
region.
• Embark on human resources development programmes
to provide skills for land development, infrastructure
management, physical planning, housing, financial
management, local government administration and
business management within the institutions existing in
the region.
Strategies for Future 139
• A regional programme could be considered to increase
human resources in these fields.
• Technician-level training at the national technical institutes
could be strengthened.
• Information exchange on human settlement matters within
the Pacific is currently non-existent but could be initiated.
• Opportunities could be provided for staff from one national
or urban government agency to be attached to a similar
agency in another country.
ENHANCING NGO CONTRIBUTIONS
The contribution of NGOs could be enhanced through
government action to remove the many constraints on their
operations and by providing active support.
INVOLVING THE PRIVATE SECTOR IN URBAN MANAGEMENT
The private sector can play an active role in certain urban
management operations on a cost-plus basis and there are many
services which people are willing to pay for if these are reliable
and efficient. Avenues for services to be provided by the private
sector need to be explored in the context of each city since the
economic reforms currently under implementation will tend to
encourage the expansion of the private sector.
URBAN GOVERNANCE AND MANAGEMENT
The issues described above relating to planning, urban
infrastructure, land and housing need to be addressed in an
integrated manner since all are closely related. Appropriate
institutional arrangements need to be made at the national and
the urban centre level for the various aspects of the planning,
development and management of urban areas, with a clear division
of responsibilities and with adequate channels for effective public
participation. The difficult problems in urban development (except
for the investments for infrastructure) are not so much technical
but political and institutional.
It may not be necessary in all the Pacific countries to have a
distinct local government authority based on western models.
Experience in most developing countries indicates that, after a
140 Planning for Human Settlement in Disaster Prone Areas
certain size, a dedicated urban level of government is necessary
to address the growing volume and complexity of issues of a local
nature through representatives of the local residents. Any urban-
level government will be a creature of the central government and
its structure will need to take into account the social, cultural and
economic context in which it is expected to deliver governance.
GENERATING COMMITMENT TO GOOD URBAN GOVERNANCE
Governments could ensure sound urban governance by:
• Creating appropriate capacity at the ministerial level for
guiding the urban management process and for ensuring
effective government at the urban level.
• Taking a proactive role in the development and
improvement of effective local models for urban
management.
• Enabling urban governments, whether of the western
model of elected councillors or those based on traditional
leadership structures or other models, to manage efficiently.
• Encouraging the development of transparency and
accountability in urban government administrations.
• The process of generating commitment to urban
governance may be achieved through a series of
community consultations. Experiences in the Pacific that
could be referred to include:
• Kiribati's consultation process for the formation of the
Urban Management Plan for South Tarawa.
• Consultation process in Palau for the preparation of the
urban plan.
STRENGTHENING URBAN GOVERNMENTS
Greater political support could be given to develop the capacity
of urban governments by:
• Encouraging partnership programmes among different
levels of government, the private sector, NGOs and
community organizations.
• Providing training, facilitating dialogue on good urban
government and increasing information dissemination at
the national and regional levels.
Strategies for Future 141
• Achieving gender balance among local government
representatives.
• Improving the legislative framework relating to urban
government.
• Strengthening the capacity of urban government bodies to
plan, develop and manage urban centres more efficiently
and with greater involvement of local communities and
regular upgrading of human resources.
Fiji's current review of the local government legislation for
strengthening municipal management could be of interest to the
region.
IMPROVING URBAN FINANCES
Devolving power to the local level without commensurate
financial capacity is meaningless. There is a need to improve the
resource base and financial management capabilities of urban
governments to enable them to regularly undertake minor capital
development works and to mobilize finance from capital markets
for major capital works. Actions include:
• Resolving the issue of fiscal support to local governments
through effective dialogue between central and local
governments.
• Removing institutional and legal constraints to collection
of rates.
• Exploring additional means of revenue generation,
including the operation of markets and bus stations and
wider collection of business licences.
• Making arrangements for the sharing of the revenue base
and administration among urban authorities within the
urban region.
• Enabling selected local governments to borrow
development funds from capital markets.
• Generating community confidence through improved
discipline in financial management.
ENCOURAGING THE SMALL BUSINESS AND MICRO-ENTERPRISE SECTOR
A proactive approach could be taken to encourage the growth
of small businesses and micro-enterprises, which usually operate
142 Planning for Human Settlement in Disaster Prone Areas
in the informal sector, so that they can absorb some of the
unemployed. Strategies include:
• Providing serviced sites, relaxation of some regulations
and provision of small loans.
• Providing technical and marketing guidance.
• Ensuring a constant programme of land development with
basic infrastructure and incremental housing construction
that could engage the informal sector on a regular basis.
• Setting up "weekend markets".
• Encouraging the formation of profession-based
cooperatives etc.
REGIONAL COOPERATION
Countries have been addressing urban management problems
with little information from or contact with other countries in the
region or outside. Many international programmes in human
settlements bypass the Pacific for a variety of reasons, including
distance, the relative smallness of the problems and the absence
of a regional voice on human settlements issues. A regional
programme in human settlements would benefit countries through:
• Increasing awareness of the problems in urbanization and
the opportunities for economic and social development
that sound urban management can generate.
• Enabling a collaborative approach to seeking solutions.
• Providing information on the many successful experiences
to improve national responses.
• Providing a unified position at global and major regional
forums.
• Improving human resources in the urban development
fields, urban/local government administration, customary
land development, waste management and application of
urban and housing indicators.
LACK OF FRESHWATER: A PRIMARY CONCERN AT TIMES
OF DISASTERS
Freshwater is vital to ensure the health, survival and
reproduction of humanity. Freshwater has also proven important
Strategies for Future 143
to the production of food and electric power generation. In terms
of daily human consumption, access to freshwater is essential in
order to meet the basic needs of personal hygiene, food and
drinking water - without it our quality of life and development
is placed at risk. For decades, numerous countries and cooperating
bodies have been working on addressing the challenge of securing
the provision of drinking water in sufficient quantities for the
world population at large. Considering that water production for
human consumption is based on the availability of freshwater in
the environment, efforts have been mainly focused on the
protection of basins and natural water sources from degradation
and pollution.
The increase in desertification processes in various regions
suggests that there remains much to do, particularly because this
phenomenon concerns not only a lack of water, but also the
destruction of the environment and its ecosystems. Access to
freshwater during 'normal' times is important for the lives, health
and development of people. During extreme events such as social
conflicts and disaster situations, access is all the more important,
playing an integral role in the affected community's recovery and
its return to normal following the catastrophe.
The impact of water-related hazards - such as floods, hurricanes
and droughts - is recognized as the main cause of disasters,
particularly over the last few years. This is due to on-going
environmental degradation, in addition to the lack of consideration
of such phenomena in the decision-making and development
processes, often related to land-use planning and human
settlements.
It is therefore necessary to take the opportunity in 2003 - the
'International Year of Freshwater' - to highlight the fact that
securing water provision for human consumption during disaster
situations represents a critical factor when addressing emergencies.
In the aftermath of a disaster the availability of water
contributes to a number of tasks, including rescue work and
extinguishing fires after an earthquake. In a similar manner, access
to freshwater assists in ensuring that adequate community health
care and services are available, as well as prompting the reactivation
of different productive and commercial activities.
144 Planning for Human Settlement in Disaster Prone Areas
However, it is often found that freshwater infrastructure is
highly vulnerable to destruction following exposure to hazards
such as floods, hurricanes, earthquakes or volcanic eruptions,
among others. Damage to the physical infrastructure of water
provision systems poses a recurring risk which in some cases has
led to a lack of water provision for weeks and even months. For
example, during the crisis caused by Hurricane Mitch, 75 per cent
of the population of Honduras (some 4.5 million people) was
either deprived of water or, at the very least, had difficulties
accessing water and sanitary services. Mitch's destruction on
infrastructure set the Honduran water sector back in its water
coverage services to a similar level to that of three decades earlier.
Three decades of efforts were lost in one week, and it will take
years to once again reach the coverage achieved prior to Hurricane
Mitch.
While in theory planning for water distribution among the
population for extended periods during disaster situations (for
example using tankers) is certainly possible, the reality is that it
poses a significant logistical challenge, requiring the utilization of
resources that Central American countries would have great
difficulty in allocating. In the past, it was found that even large
cities did not have the logistical resources required to plan large-
scale water distribution during an emergency, and instead resorted
to simply restoring existing water systems.
Too much water, too little water…main cause of disasters' is
particularly relevant when referring to the water availability during
a disaster. This is because often the lack of access to freshwater
may pose a threat to not only those communities directly affected
(loss of lives, livelihoods, property) but also those not directly
affected by a disaster. If they lack this basic service, they too will
become victims of the disaster.
The most economically feasible way of securing water
provision during disaster situations is to geographically plan,
design and build infrastructure, taking into consideration natural
hazards as conditional factors, and assessing their potential impact
on surrounding communities. In a similar manner, infrastructure
related to water provision must also incorporate mitigation
measures for ensuring that systems will function under difficult
Strategies for Future 145
conditions while providing those addressing emergencies with
the necessary resources.
Some communities settle in known disaster-prone areas,
placing themselves at increased risk when faced with a natural
hazard. In such cases it is extremely difficult to foster a culture
of disaster reduction due to the reality that the communities should
not have settled in such areas in the first place. By providing
infrastructure and services to communities in disaster-prone areas,
local authorities are in fact endorsing human settlement in areas
at risk. Instead, authorities should use planning methods to define
and guide safe settlement, and subsequently build infrastructure
to provide essential services that will encourage communities to
live in safer areas. In order that authorities work towards reducing
the vulnerability of both communities and infrastructure, an
integral approach to risk management is needed. By being
conscious of the importance of freshwater infrastructure when
addressing both emergency situations caused by a disaster and
the recovery phase afterwards, local authorities can significantly
reduce vulnerability to natural hazards and safely secure water
provision for communities.
REDUCING THE HUMAN COST OF CLIMATE CHANGE
THE PROBLEM
Climate-related hazards such as cyclones, droughts, floods
and extreme temperatures affect more people and cause more
losses globally than all other natural hazards combined. The 21st
Century has already been marked by escalating economic losses
and human devastation associated with disasters involving natural
hazards. In 2006 alone, 426 disasters occurred in 108 countries,
affecting 143 million people and causing 34.6 billion in economic
losses. Of these, 85 percent involved climate-related hazards.
Disasters exact an enormous toll not only on lives, but also on
livelihoods, homes, basic services and infrastructure.
The destruction caused by natural disasters typically has a
disproportionate impact on the poorest, in terms of both mortality
and the impact of economic losses. According to UNDP's 2007
Human Development Report, based on data from the Center for
Research on the Epidemiology of Disasters (CRED), the number
146 Planning for Human Settlement in Disaster Prone Areas
of people in developing countries affected by climate-related
disasters has grown steadily from less than 50 million in 1975-
1979 to more than 250 million from 2000-2004. During the same
period, the number of people affected in high-income countries
has rarely exceeded one to five million in any five-year period and
the trend has remained virtually flat.
Recurrent, large-scale disasters and frequent, localized
disasters associated with natural hazards erode development gains
and compromise a country's prospects for achieving the
Millennium Development Goals (MDGs). In semi-arid Africa, for
example, there is a clear relationship between rainfall variability
- which oscillates from too little rainfall in some years to too much
in others - and disaster risk, hunger and disease. Global data
show that a disproportionate number of very poor and extremely
poor people live in drought-prone areas.
Droughts threaten water supplies for human consumption,
agriculture and livestock and impede hydropower generation.
They force women and girls to spend hours every day carrying
water, exposing them to violence and depriving them of education.
Conversely, sharp increases in rainfall may also have a costly
human toll, resulting in floods that claim lives, homes and
businesses and that lead to deadly epidemics, such as of malaria.
In such circumstances, unless something is done to reduce climate-
related risks and losses, achievement of the MDG targets is likely
to remain out of reach.
The rising number of disasters, with their disproportionate
impact on the poor and negative impact on sustainable
development and achievement of the MDGs, makes disaster
reduction and specifically the reduction of climate-related risks
essential. Trends such as increasing human settlement and
investment in high-risk coastal areas are placing greater numbers
of people and economically important assets in danger of being
affected by cyclones, storm surges and flooding of low-lying coastal
areas. Given the prospect of climate change, failing to redouble
our efforts to reduce climate-related losses is unconscionable.
The need to reduce exposure and vulnerability to climate-
related hazards such as drought, floods and cyclones becomes
even greater when climate change is taken into consideration.
Strategies for Future 147
Already rising temperatures and thermal expansion of the oceans
are responsible for a quickening pace of rising sea levels and an
overall intensification of the hydrologic cycle resulting in an
increase in variability and extreme events. Sea levels rose 20
centimeters - 1.5 millimeters annually - between 1870 and 2001.
Between the 1990s and 2006 sea-levels rose at twice that rate, just
over three millimeters per year, affecting low-lying coasts and
islands.
Melting glaciers are increasing the likelihood of hazards such
as avalanches and floods due to the buildup of potentially unstable
glacial lakes. These can burst their ice and soil dams, sending
walls of water down valleys at speeds close to that of a modern
anti-tank missile. Less snow and sea ice cover, which causes more
of the sun's heat to be absorbed by the land and the polar oceans,
may speed up global climate change, setting in motion a domino
effect on people, economies and wildlife.
Global warming is already altering the earth. And while the
receding snow cover and shrinking ice caps may seem like the
concerns of remote populations, the fate of the world's snowy and
icy locales is cause for concern for everyone. The realities of our
changing climate are expected to have far-reaching impacts for
people in the Tropics, in the Arctic, and everywhere in between.
The melting of Himalayan glaciers, for example, is occurring faster
than in any other part of the world. Half a billion people in the
Himalaya-Hindu-Kush region and a quarter billion downstream
who rely on glacial melt waters could be seriously affected. Glaciers
in these areas could, at current rates of global warming, disappear
altogether by 2035, if not sooner. This is why it is vital that we
assess future risks by taking into account regional and local climate
trends.
MEETING THE CHALLENGE
Identifying and reducing risks associated with climate-related
hazards - including drought, floods, cyclones, sea-level rise and
extreme temperatures - can help to protect people, livelihoods and
assets, thereby promoting the achievement of development goals.
This entails identifying and mitigating the factors that cause losses
and disasters. It involves identifying the degree of societal exposure
148 Planning for Human Settlement in Disaster Prone Areas
to natural hazards and the measures that can be taken to reduce
the vulnerabilities of exposed people and socio-economic assets
to the hazards they are likely to face.
With climate change, it is likely that underlying assumptions
concerning hazard frequency and severity derived from historical
experience may not be a reliable basis for evaluating even relatively
near-future risks. Factors such as rising temperatures, sea-level
rise, enhancement of the hydrologic cycle, and changes in regional
precipitation averages and variability mean that conditions that
were formerly rare and extreme could rapidly become more
frequent.
The fluidity of the situation complicates risk assessment and
planning. Increasing uncertainty suggests that planning and risk
assessment should take into account three factors: historical data,
observable trends and long-term predictions.
Early action to improve seasonal climate forecasts, food
security, freshwater supplies, disaster and emergency response,
famine early-warning systems and insurance coverage can
minimize the damage from future climate change while generating
many immediate practical benefits. Whether dealing with current
disaster risks or future climate change impacts, the essential
challenges include those areas in which UNDP has both experience
and expertise: engagement with governments and communities
in high-risk countries worldwide, risk management, building
human resilience to climate variability and the technical know-
how to adapt to possible environmental extremes and conditions.
Reliable data collection and analysis is the foundation of any
risk reduction programme. By strengthening our research and
monitoring capabilities we can gain more practical experience in
how best to adapt to our changing climate.
UNDP'S RESPONSE
The devastating impact of natural disasters on communities
is not inevitable. Scientific evidence has made it possible to identify
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
Strategies for Future 149
that will prevent the loss of life and livelihoods. These actions will
not only help protect human development now, but also help
build capacity for managing increasing risks posed by climate
change in the future.
Given the global challenges posed by climate change, UNDP
is ideally placed to assist countries to manage the multiple risks
arising across the environmental, political and socio-economic
spectrum. UNDP not only has on-going disaster reduction
programmes in approximately 50 countries and presence in 166
countries, but it is also rolling out a climate risk management
programme in 35 high- risk countries. Through its on-going work,
UNDP is already identifying communities at risk and working
closely with the affected governments to protect them from natural
disasters. These interventions, which involve identifying the factors
that cause disasters and then instituting measures to reduce the
risks and plan for post-disaster recovery, are proven and cost-
effective.
Whether dealing with current disaster risks or future impacts
associated with climate change, the essential challenges of
managing climate-related risks include those areas in which UNDP
has both experience and expertise. As the UN's global development
network, UNDP has longstanding relationships with governments
and other partners. Its experience in the field allows UNDP to
work well with countries, organizations and donors to reduce
vulnerability and risk in order to prevent disaster losses and adapt
to climate changes.
To meet the additional challenges caused by climate change,
UNDP is launching a programme over 2008-2011 to substantially
increase the agency's commitment to climate risk management -
an endeavor that will require additional capacity and technical
and financial resources. This programme aims to reduce climate
related risks in approximately 35 high-risk countries through an
integrated approach to climate risk management developed and
demonstrated by UNDP.
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
• Population displacements
• Climatic exposure
• Food and nutrition
• Water supply and sanitation
• Mental health
• Damage to health infrastructure
India's Natural Disasters Proneness
On the basis of geographic and climatic considerations, India
can be divided into 5 Zones according to its disaster proneness
to natural disasters;
1. Northern mountain region including foot hills; this region
is prone to strong Snow Storms leading to Land slides and
strong Cold waves and also is Earthquake prone belt with
violent subterranean Volcanic activity.
2. Indo-gangetic plains; heavy rains during monsoon make
these plains vulnerable to Floods.
3. Deccan plateau; a Drought prone area.
4. The western desert; a Drought prone area.
5. Coastal areas; they are prone to Sea erosion, Cyclones and
Tidal waves
INDIA’S DISASTER RIDDEN HISTORY
• About 60% of India’s land mass is prone to Earth Quakes
• Over 40 million Hectares are prone to Floods
• Nearly 3 lakh sq. km are at risk of Cyclones
• The Earth quake in Bhuj killed 14,000 people
• Cyclone in Orissa took away 10,000 lives.
• Between 1990 and 2000 an average of about 3400 people
lost their lives annually.
• About 3 crore people were affected by Disasters every
year.
• About 17,000 people perished by the Tsunami on 26 Dec.04
This is reason enough for Governments to give more priority
to Disaster Management But it has not been the case so far.
Disaster and After 153
POPULATION GROWTH AND DISASTERS
Hardly a day passes without news about a major or complex
emergency happening in some part of the World.
Disasters continue to strike and cause destruction in developing
and developed countries alike, raising peoples concern about their
vulnerability to occurrences that can gravely affect their day to
day life and their future.
Major disasters have had a big impact on the migration of
populations and related health problems, and many millions are
struggling for minimum vital health and sanitation needs and
suffer from malnutrition.
Vulnerable Populations
Emergencies, especially those that occur in Nature, only
become catastrophic events when they combine with vulnerability
factors such as human settlements and population density.
An earthquake occurring in a deserted area would be
considered a natural hazard; but if it occurred in a mega city it
would be recognized as a major disaster.
Man made emergencies and another type of emergency that
has to do with population vulnerability concerns technological
disasters such as those of a Chemical or Radiological or Nuclear
in nature. E.g. Bhopal Gas Tragedy and Chernobyl nuclear disaster.
These examples demonstrate that major and complex
emergencies are closely linked to anarchic population growth,
leading to unplanned population settlement, environmental
degradation and poverty.
The lack of minimum health services and basic health
education are aggravating factors which could make a disaster
out of an emergency and a complex emergency out of social
tension.
"An earthquake is a sudden motion or trembling of the ground
produced by the abrupt displacement of rock masses".
Most earthquakes result from the movement of one rock mass
past another in response to tectonic forces.
The focus is the point where the earthquake's motion starts,
154 Planning for Human Settlement in Disaster Prone Areas
The epicenter is the point on the earth's surface that is directly
above the focus.
Earthquake Magnitude is a measure of the strength of an
earthquake as calculated from records of the event made on a
calibrated seismograph. In 1935, Charles Richter first defined local
magnitude, and the Richter scale is commonly used today to
describe an earthquake's magnitude.
EARTHQUAKE INTENSITY
In contrast, earthquake intensity is a measure of the effects
of an earthquake at a particular place. It is determined from
observations of the earthquake's effects on people, structures and
the earth's surface.
Among the many existing scales, the Modified Mercalli
Intensity Scale of 12 degrees, symbolized as MM, is frequently
used
EARTHQUAKE HAZARDS
Earthquake hazards can be categorized as either direct hazards
or indirect hazards.
Direct Hazards
• Ground shaking;
• Differential ground settlement;
• Soil liquefaction;
• Immediate landslides or mud slides, ground lurching and
avalanches;
• Permanent ground displacement along faults;
• Floods from tidal waves, Sea Surges & Tsunamis
Indirect Hazards
• Dam failures;
• Pollution from damage to industrial plants;
• Delayed landslides.
Most of the damage due to earthquakes is the result of strong
ground shaking. For large magnitude events, trembling has been
felt over more than 5 million sq. km.
Disaster and After 155
SITE RISKS
Some common site risks are:
(i) Slope Risks - Slope instability, triggered by strong shaking
may cause landslides. Rocks or boulders can roll
considerable distances.
(ii) Natural Dams - Landslides in irregular topographic areas
may create natural dams which may collapse when they
are filled. This can lead to potentially catastrophic
avalanches after strong seismic shaking.
(iii) Volcanic Activity - Earthquakes may be associated with
potential volcanic activity and may occasionally be
considered as precursory phenomena.
Explosive eruptions are normally followed by ash falls and/
or pyroclastic flows, volcanic lava or mud flows, and volcanic
gases.
CYCLONE
The term "cyclone" refers to all classes of storms with low
atmospheric pressure at the centre, are formed when an organized
system of revolving winds, clockwise in the Southern Hemisphere,
anti-clockwise in the Northern Hemisphere, develops over tropical
waters. Cyclones are classified on the basis of the average speed
of the wind near the centre of the system as follows:
Wind Speed Classification
¨ Up to 61 km/hr Tropical Depression
¨ 61 km/hr - 115 km/hr Tropical Storm
¨ Greater than 115 km/hr Hurricane
Hurricane
A hurricane is a low pressure, large scale weather system
which derives its energy from the latent heat of condensation of
water vapor over warm tropical seas. A mature hurricane may
have a diameter ranging from 150 to 1000 km with sustained wind
speeds often exceeding 180 km/hr near the centre with still higher
gusts. A unique feature of a hurricane is the Eye. The eye provides
a convenient frame of reference for the system, and can be tracked
with radar, aircraft or satellite.
156 Planning for Human Settlement in Disaster Prone Areas
Classification
The Saffir/Simpson scale is often used to categorize hurricanes
based on their wind speed and damage potential. Five categories
of hurricanes are recognized:
• Minimal, Moderate, Extensive, Extreme & Catastrophic
The destructive potential of a hurricane is significant due to
the high wind speeds, accompanying torrential rains which
produce flooding, and storm surges along the coastline
TSUNAMIS
Tsunamis are Ocean Waves produced by Earth Quakes or
Underwater land slides.
The word is Japanese and means “Harbor Waves”
Tsunami is actually a series of waves that can travel at speeds
from 400-600 mph in the open ocean. As the waves approach the
coast, their speed decreases, but their amplitude increases.
Unusual wave heights of 10-20 ft high can be very destructive
and cause many deaths and injuries.
Most deaths caused by Tsunamis are because of Drowning.
Associated risks include
• Flooding
• Contamination of Drinking Water
• Fires from ruptured gas lines and tanks
• Loss of vital Community Infrastructure [police, fire,
medical]
• Areas of greatest risks are
• Less than 25 feet above sea level
• Within 1 mile of the shore line.
Environmental Conditions left by the Tsunamis may contribute
to the transmission of the following diseases
From Food or Water
• Diarrhea illnesses; Cholera, Acute Diarrhea, Dysentery
• Hepatitis-A, Hepatitis-E
• Typhoid Fever
Disaster and After 157
• Food borne illnesses;Bacterial;Viral;Parasitic;Non-
infections;
From Animals or Mosquitoes
Leptospirosis, Plague, Malaria, J.E, Dengue, Rabies
Respiratory Diseases; Avian flu, Influenza, Measles
EFFECTS OF NUCLEAR HOLOCAUST
The effects of nuclear holocaust will result into blasts, heat
storms, secondary fires, fire, ionizing radiation and fall outs.
These effects fall into 3 categories;
1). Immediate, 2). Short term and 3). Long term effects.
• The immediate effects include blast effects, heat effects,
electromagnetic pulse (EMP) effects and radiation effects.
• The short term effects include problems connected with
water supply, sanitation, food, dispersal of excreta, wastes
and dead bodies, break down of vector control measures
and outbreak of infections. Radioactive contamination of
water and food are major concerns. The affected area
creates a lot of other problems for the survivors and the
rescue teams.
Major problem among survivors is of bone marrow depression
resulting in leucopenia, which increases their susceptibility to
infections.
Long term effects; the knowledge about the long-term effects
is still incomplete. Some well known effects include radiation
injuries due to radiation fallout, suppression of body immunity,
chronic infection and other associated illnesses.
Persistent radiation hazards will lead to prolonged
contamination of water supply, increased ultraviolet radiation,
climatic and ecological disturbances, psychological disturbances
and genetic abnormalities.
CURRENT WORLD CONCERN
In the light of the above facts the current world concern about
the use of nuclear weapons is justified. The world already possess
an estimated total of 30,000 megatons of nuclear weapons with
158 Planning for Human Settlement in Disaster Prone Areas
a total explosive power 50-100 times greater than that of all the
explosives used during the Second World War.
Even if 1% of the nuclear weapons now possessed are used
on urban populations, they can cause more deaths in a few hours
than during the entire period of the Second World War.
The fundamental aspects of Disaster Management Program
• Disaster Prevention
• Disaster preparedness
• Disaster response
• Disaster mitigation
• Rehabilitation
• Reconstruction
FUNDAMENTAL ASPECTS OF DISASTER MANAGEMENT
1. Disaster response
2. Disaster Preparedness
3. Disaster Mitigation
These 3 aspects of Disaster Management corresponds to the
2 phases in the Disaster Cycle, ie,
1. Risk Reduction Phase, before a Disaster
2. Recovery Phase, after a Disaster
DISASTER RESPONSE
• Appropriate application of current technology can prevent
much of the death, injury, and economic disruption
resulting from disasters
• Morbidity and mortality resulting from disasters differ
according to the type and location of the event.
• In any disaster, prevention should be directed towards
reducing
(1) Losses due to the disaster event itself
(2) Losses resulting from the Mismanagement of disaster
relief.
Therefore, the public health objectives of disaster management
can be stated as follows:
Disaster and After 159
1. Prevent unnecessary morbidity, mortality, and economic
loss resulting directly from the disaster.
2. Eliminate morbidity, mortality, and economic loss directly
attributable to Mismanagement of disaster relief efforts.
NATURE AND EXTENT OF THE PROBLEM
Morbidity and mortality, which result from a disaster situation,
can be classified into four types:
1. Injuries,
2. Emotional stress,
3. Epidemics of diseases,
4. Increase in indigenous diseases.
The relative numbers of deaths and injuries differ on the type
of disaster.
Injuries usually exceed deaths in explosions, typhoons,
hurricanes, fires, famines, tornadoes, and epidemics.
Deaths frequently exceed injuries in landslides, avalanches,
volcanic eruptions, tidal waves, floods, and earthquakes.
Disaster victims often exhibit emotional stress or the "disaster
shock" syndrome. The syndrome consists of successive stages of
shock, suggestibility, euphoria and frustration.
Each of these stages may vary in extent and duration
depending on other factors.
Epidemics are included in the definition of disaster; however,
they can also be the result of other disaster situations.
Diseases, which may be associated with disasters, include
¨ specific food and/or water bone illnesses (e.g., typhoid,
gastroenteritis and cholera),
¨ vector bone illnesses (e.g., plague and malaria),
¨ diseases spread by person-to-person contact (e.g., hepatitis
A and shigellosis)
¨ Diseases spread by the respiratory route (e.g., measles and
influenza).
• The current status of environmental sanitation, disease
surveillance, and preventive medicine has led to a
160 Planning for Human Settlement in Disaster Prone Areas
significant reduction in the threat of epidemics
following disaster.
• Immunization programs are rarely indicated as a
specific post disaster measure.
• A disaster is often followed by an increase in the
prevalence of diseases indigenous to the area due to
the disruption of medical and other health facilities
and programs.
MORBIDITY AND MORTALITY FROM MISMANAGEMENT OF RELIEF
Ideally, attempts to mitigate the results of a disaster would
not add to the negative consequences;
However, there have been many instances in which
inappropriate and/or incomplete management actions taken after
a disaster contributed to unnecessary morbidity, mortality, and
a waste of resources.
Many of the Causalities and much more of the Destruction
occurring to natural disaster are due to ignorance and neglect on
the part of the individuals and public authorities.
There is a plethora of literature describing the inappropriate
actions taken to manage past disasters. Many of the same
mismanagement problems tend to recur.
¨ Medical and paramedical personnel have often been
hampered by the lack of the specific supplies they need
to apply their skills to the disaster situation.
¨ In some disasters, available supplies have not been
inventoried until well after the disaster, resulting in the
importation of material which is used or needed.
In a study of past disaster mismanagement problems and
their causes, these problems were categorized as follows:
1. Inadequate appraisal of damages
2. Inadequate problem ranking
3. Inadequate identification of resources
4. Inadequate location of resources
5. Inadequate transportation of resources
6. Inadequate utilization of resources
Disaster and After 161
DISASTER RELIEF
An effective plan for public health and other personnel during
a disaster would outline activities designed to minimize the effects
of the catastrophe.
These efforts can be summarized as closely situation analysis
and response; the two types of activities are interrelated.
Although many relief workers may be needed to obtain
surveillance information, analyze the data, provide relief services,
evaluate results, and provide information to the public, it is essential
that a single person with managerial experience be placed in
absolute charge of the entire disaster relief operation.
Following a disaster, the desire to provide immediate relief
may lead to hasty decisions which are not based on the actual
needs of the affected population.
The disaster relief managers can determine the actual needs
of the population and make responsible relief decisions.
Reliable information must be obtained on problems occurring
in the disaster stricken area, relief resources available and relief
activities already in progress.For This, a Surveillance systems
must be set up immediately.
The objective of Surveillance in a disaster situation is to obtain
information required for making relief decisions.
The specific information required would vary from disaster
to disaster, but a basic, three -step processes includes:
(1) Collect data,
(2) Analyze data,
(3) Respond to data.
The analysis involves collating and interpreting the data and
can include asking questions as the following:
• What problems are occurring? Why are they occurring?
• Where are problems occurring?
• Who is affected?
• What problems are causing the greatest morbidity and
mortality?
• What problems are increasing or decreasing?
162 Planning for Human Settlement in Disaster Prone Areas
• What problems will subside on their own?
• What problems will increase if unattended?
• What relief resources are available?
• Where are relief resources available?
• How can relief resources be used most efficiently?
• What relief activities are in progress?
• Are relief activities meeting relief needs?
• What additional information is needed for decision
making?
After answering such questions one can carry out the third
part, i.e., planning an appropriate Response to the situation
described in the surveillance data.
In developing this plan one will decide what types of relief
responses are appropriate and what the relative priorities are
among the relief activities.
This 3-step process of Data Collection, Analysis and Response
can be described as a closed feedback system involving re-
evaluation of relief needs and their effects.
Surveillance following a disaster evolves in phases:
1. Immediate Assessment
2. Short term assessment
3. Ongoing Surveillance
Immediate Assessment
The object of this phase of surveillance is to obtain as much
general information as possible and as quickly as possible.
The most basic information needed at this point is the
following:
(1) The geographical extent of the disaster-stricken area,
(2) The major problems occurring in the area,
(3) The number of people effected.
This information can be obtained by whatever means seems
most efficient. Listening carefully and asking questions is the best
way to begin. An Arial survey may be useful in defining the
geographical extent of the disaster-stricken area and in observing
Disaster and After 163
major damage and destruction. Census data can be examined to
determine how many people previously lived in the disaster-
stricken area and thus were at risk.
Hospitals, clinics, and morgues, which were in operation,
may be able to obtain numbers of known deaths and injuries.
It is useful to determine the most frequent causes of deaths
and types of injuries in order to predict whether demands for
medical care will be increasing or decreasing. Some problems
likely to occur after a disaster can be predicted according to past
experience with that particular type of disaster.
For example, experience has shown that disruption of water
supplies has often been a problem following earthquakes.
New types of disasters, such as chemical emergencies and
nuclear accidents, still present many unknown problems.
Short-term Assessment
The short-term assessment involves more systematic methods
of collecting data and is likely to result in more detailed reliable
information on problems, relief resources, and relief information
on problems, relief resources and relief activities in progress.
One way to organize data collection during this phase of
assessment is to divide the disaster-stricken area into smaller
areas or "blocks" to be surveyed simultaneously by different
workers or teams of workers.
Simple reporting forms can be developed and workers sent
out to survey the different areas and report at a specified time.
The following is a list of Information, which may be needed
in order to make relief decisions
• The geographical extent of the affected area as defined by
streets and other clear boundaries.
• The number of persons known to be dead, possibly
according to age groups and sex.
• The estimated number of persons severely injured and /
requiring medical care, possibly according to age group,
sex, and type of injury or medical problem.
• Estimated number of homes destroyed, homes
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.
• Condition and extent of water supply.
• Condition and extent of food supply.
• Condition of roads, bridges, communication facilities and
public utilities.
• Location and condition of health facilities
• Estimates of medical personnel, equipment's and supplies
available
· Description of relief activities already in progress (E.g.
search and rescue, first aid, food relief etc).
ONGOING SURVEILLANCE
Depending on the factors above, short-term assessment may
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
scale relief activities initiated.
Once the short-term assessment is complete and appropriate
relief is in progress, surveillance becomes an ongoing system.
When information obtained by the ongoing surveillance is
analyzed, new problems may become apparent, requiring
investigation.
The surveillance report is one way of coordinating different
agencies and preventing duplication of relief efforts.
A relief plan developed during any of the surveillance cycle
may include some or all of the following activities:
• Rescue of victims
• Provision of emergency medical care
• Elimination of physical dangers (fire, gas leak etc)
• Evacuation of the population ( nuclear and chemical
emergencies)
• Provision of preventive and routine medical care
• Provision of water
• Provision of food
• Provision of clothing
• Disposal of human waste
• Control of vector born diseases
• Disposal of human bodies
• Disposal of solid waste
MASS CASUALTY MANAGEMENT
Management of mass casualties is divided into three main
areas
1. Pre-Hospital Emergency Care
¨ Search and Rescue
¨ First Aid
¨ Field Care
¨ Stabilization of the victims
¨ Triage
¨ Tagging
2. Hospital Reception and Treatment
¨ Organizational structure in the hospital with a disaster
management team consists of senior officers in the
medical, nursing and administrative fields
¨ Standardized simple therapeutic procedures followed
3. Re-distribution of Patients between Hospitals
DISASTER PREPAREDNESS
The objectives of the disaster preparedness is to ensure that
appropriate systems, procedures and resources are in place to
provide prompt, effective assistance to disaster victims, thus
facilitating relief measures and rehabilitation services.
Disaster preparedness is an ongoing, multi-sectoral activity to
carry out the following activities;
¨ Evaluate the risk of the country or particular region to
disasters.
¨ Adopt standards and regulations
¨ Organize communication, information and warning
systems
166 Planning for Human Settlement in Disaster Prone Areas
¨ Ensure coordination and response mechanisms
¨ Adopt measures to ensure that financial and other resources
are available for increased readiness and can be mobilized
in disaster situations.
¨ Develop public education programs
¨ Coordinate information sessions with news media
¨ Organize disaster simulation exercises that test response
mechanisms
For the Health Sectors Disaster Preparedness plan to be
successful, clear mechanisms for coordinating with other sectors
and internationally must be in place.
The Health Disaster Coordinator is in charge of preparedness
activities and coordinating plans with
• Govt. Agencies
• Foreign Relations- UN,UNICEF.WHO & other
international agencies
• NGO’s- Red Cross etc
• Those responsible for power, communication, Housing,
water services etc
• Civil Protection agencies-Police, armed forces
EMERGENCY PREPAREDNESS
Agents, Diseases and Other Threats
1. Natural Disasters: Earthquakes, Floods, Cyclones, Typhoons,
Tsunamis, Winter
2. Bio-Terrorism Agents: Anthrax, Plague, Smallpox
3. Chemical Emergencies: Ricin, Phosgene, Bromine, Sarin
4. Radioactive Emergencies:
5. Mass Trauma: Explosions, Blasts, Burns, Injuries
6. Recent Outbreaks and Incidents: Bird flu, SARS, West Nile
Virus, Mad Cow Disease
DISASTER MITIGATION
It is virtually impossible to prevent occurrence of most Natural
Disasters, but it is possible to minimize or mitigate their damage
Disaster and After 167
effects. Mitigation measures aim to reduce the Vulnerability of the
System [ eg. By improving & enforcing building codes etc]
Disaster prevention implies complete elimination of damages
from a hazard, but it is not realistic in most hazards. [eg. Relocating
a population from a flood plain or from beach front]
Medical Casualty could be drastically reduced by improving
the Structural Quality of Houses, Schools, Public or Private
buildings. Also ensuring the Safety of Health facilities, Public
Health Services, Water Supply, Sewerage System etc.
Mitigation complements the Disaster Preparedness and
Disaster Response activities.
A Specialised Unit within the National Health Disaster
Management Program should coordinate the works of experts in
the field of
• Health, Public Policy & Public Health
• Hospital Administration
• Water Systems
• Engineering & Architecture
• Planning, Education etc
The Mitigation Program will direct the following activities
1. Identify areas exposed to Natural Hazards and determine
the vulnerability of key health facilities and water systems
2. Coordinate the work of Multi Disciplinary teams in
designing and developing building codes and protect the
water distribution from damages
3. Hospitals must remain operational to attend to disaster
victims
4. Include Disaster Mitigation Measures in the planning and
development of New facilities
5. Identify priority hospitals and critical health facilities that
complies with current building codes and standards
6. Ensure that mitigation measures are taken into account in
a facility’s maintenance plans
7. Inform, sensitize and train those personnel’s who are
involved in planning, administration, operation,
maintenance and use of facilities about disaster mitigation
168 Planning for Human Settlement in Disaster Prone Areas
8. Promote the inclusion of Disaster Mitigation in the curricula
of Professional training institutes
TECHNICAL HEALTH PROGRAMS
• Treatment of casualties
• Identification and disposal of bodies
• Epidemiological surveillance and disease control
• Basic sanitation and sanitary engineering
• Health management in shelters or temporary settlements
• Training health personnel and the public
• Logistical resources and support
• Simulation exercises / Mock Exercises
1. Desktop simulation exercises[ war games ]
2. Field exercises
3. Drills designed to impart skills
EPIDEMIOLOGIC SURVEILLANCE AND DISEASE
CONTROL
Natural disasters may increase the risk of preventable diseases
due to adverse changes in the following areas
• Population density
• Population displacement
• Disruption and contamination of water supply and
sanitation services
• Disruption of public health programs
• Ecological changes that favor breeding of vectors
• Displacement of domestic and wild animals
• Provision of emergency food, water and shelter in disaster
situation
The principles of preventing and controlling communicable
diseases after a disaster are to;
• Implement as soon as possible all public health measures
to reduce the risk of disease transmission
• Organize a reliable disease reporting system to identify
outbreaks and to promptly initiate control measures
Disaster and After 169
• Investigate all reports of disease outbreaks rapidly. Early
clarification of the situation may prevent unnecessary
dispersion of scarce resources and disruption of normal
progress
ENVIRONMENTAL HEALTH MANAGEMENT
Post disaster environmental health measures can be divided
into two priorities
1. Ensuring that there are adequate amounts of safe drinking
water, basic sanitation facilities, disposal of excreta, waste
water and solid wastes and adequate shelter
2. Providing food protection measures, establishing or
continuing vector control measures, and promoting
personal hygiene
• Water Supply
ALTERNATE WATER SOURCES
Mass Distribution of Disinfectants
• Food Safety
• Basic Sanitation and Personal Hygiene
• Solid Waste Management
• Vector Control
• Burial of the Dead
• Public information and the Media
EVALUATION
In the case of disaster management, the Evaluator will be
looking at the " actual" verses the "desired" on two levels, i.e. the
overall outcome of disaster management efforts and the impact
of each discrete category of relief efforts (Provision of food, shelter,
management of communications etc)
A critical step in the management of any disaster relief is the
setting of objectives, which specify the intended outcome of the
relief.
The general objectives of the disaster management will be the
elimination of unnecessary morbidity, mortality and economic
170 Planning for Human Settlement in Disaster Prone Areas
loss directly and indirectly attributable to mismanagement of
disaster relief.
The comparison of the "actual" with "desired" is the first
critical step of evaluation. If the objectives were met, those who
have participated in the relief have demonstrated that they have
accomplished what they set out to do.
On the other hand, if the objectives were not met, it is desirable
for those conducting the evaluation to continue with the evaluation
process, identify the reasons for the discrepancy and suggest
corrective action.
Simulated Disaster Preparedness Operations should be
undertaken to test the various components before actual need
arise.
Evaluation of the health disaster management program
• Evaluation of the preparedness program
• Evaluation of the mitigation measures
• Evaluation of the training
PREVENTION OF DISASTERS
Existing knowledge that might reduce the undesirable effects
of disasters is often not applied.
¨ Hurricane/Tornado/ Cyclone warning systems
¨ Legislation preventing building in the flood prone areas
¨ Requirement of protective cellars/shelters in disaster prone
areas
¨ A Seismic housing code for earthquake-prone area
¨ Strict procedural code followed to prevent Nuclear,
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;
Disaster and After 171
• the elimination of the preventable consequences of the
disaster
• The prevention of losses due to disaster mismanagement.
Appropriate disaster relief follows a specific pattern;
• Gathering information on the situation
• Analysis of this information
• Developing and implementing an appropriate response
This pattern occurs at various levels;
• immediate assessment,
• short-term assessment
• ongoing assessment,
Through study of the past disasters, their effects and their
relief efforts [what has been effective and what have been
mismanaged] better plans are now available for effective disaster
management as well as for the reduction of preventable losses.
• The disaster proneness varies widely from State to State.
• The country will have to pay more attention towards
creating public awareness and preparedness in respect of
people living in known disaster prone areas.
• Special training is required to the medical, paramedical,
voluntary workers in the relief and rescue work.
• Any Disaster is an emergency situation and the health
sector alone cannot tackle it in isolation.
• It must have Coordination with the local community, civil
defense, army, police, fire brigade and with various
governmental and non-governmental bodies including
voluntary organizations like Red Cross.
172 Planning for Human Settlement in Disaster Prone Areas
8 recovery, are linked to longer-term development strategies in
SUSTAINABLE RELIEF AND
RECONSTRUCTION
INTRODUCTION
For more than 10 years, UN-HABITAT has been operating in
humanitarian and crisis situations, supporting national
governments, local authorities and civil society in strengthening
their capacity to manage and recover from human-made and
natural disasters and mitigate future disasters. Understanding the
discontinuity within the international aid community between
the short term humanitarian imperative, and longer term
reconstruction and development priorities, UN-HABITAT has
engaged and offered its perspectives on bridging this divide.
Conceptually, disaster management and reconstruction
encompass many dimensions; exploring the roles of various
institutions at civic, municipal, national and international levels,
addressing the impacts of natural and human caused disasters
from the perspectives of reducing their impacts, and assisting in
the sustainable reconstruction of settlements following disaster.
The Disaster Management Programme of UN-HABITAT has
focused on its normative responsibilities, using the Agency's
experiences in the field, forging alliances with key partners, and
engaging in dialogue as a means of refining and defining the role
of the agency in the arena of humanitarian response and
vulnerability reduction.
When hazards turn into disasters or a struggle for political
and economic control turns into an armed conflict, it is always
human settlements, people and property that are worst hit. The
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
disaster hit countries.
Paradoxically, disaster can also be an opportunity. Recovery
phases offer a unique chance to revisit past practices and rewrite
policies affecting future development in disaster-prone areas. A
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
for the society at large to strengthen local organizational capacities,
and to promote networks, awareness and political mechanisms
facilitating economic, social and physical development long after
a disaster - that is, to build its own sustainability.
UN-HABITAT is in deed in a strong position to act in a
technical advisory function in two key areas: the development of
local capacity for managing and mitigating disasters and
supporting capacities of outside actors to provide operational
response within a sustainable development context. In recognition
of this contribution, in April 2004 UN-HABITAT was invited to
bring to the Executive Committee for Humanitarian Affairs
(ECHA) its perspectives and support to international interventions
within the context of shelter and human settlements.
UN-HABITAT will use this operational experience to generate
normative products to be recycled into future disaster response,
including vulnerability reduction, preparedness and mitigation in
general. UN-HABITAT will continue drawing on practical
experiences and extracting lessons with a view to continuous
learning both internally as well as in support of sister agencies
and humanitarian actors. These normative products will be
integrated in future response strategies for human settlements in
crisis.
Through its involvement from the outset of the crisis as a
supporting partner in reconstruction, shelter, infrastructure and
governance, UN-HABITAT is in a crucial position as an institutional
174 Planning for Human Settlement in Disaster Prone Areas
partner to help humanitarian agencies, local and national
governments - and most importantly the affected and most
vulnerable communities. Through this approach the recent
emergency response activities have made a mark throughout the
affected countries, and UN-HABITAT has managed to introduce
the perspective that short term humanitarian support to human
settlements in crisis can and should be used in a manner that
promotes and facilitates longer term gain and reduces future
risks.
THE PROCESS
In response to the deliberations of the 19th session of the
Governing Council of 2003, and its recommendation for a report
on the theme 'Post conflict, natural and human-made disasters
assessment and reconstruction' UN-HABITAT's conceptual
framework entitled 'Sustainable Relief and Reconstruction' has
been formulated. This concept, as introduced in the pre-session
document HSP/GC/20/5, is derived from key elements of the
Habitat Agenda, and the Agency's experience, methodologies and
principles of involvement in support of human settlements in
crisis.
The development of the concept has been a consultative
process, through which the primary elements have been critically
reviewed and debated with UN-HABITAT's partners and
colleagues both during the second session of the World Urban
Forum in 2004 as well as during the third session in 2006.
The Networking Event entitled 'Sustainable Relief and
Reconstruction - turning discussions into operational reality''
during the World Urban Forum III explored a range of issues
pertaining to the concept of 'Sustainable Relief and Reconstruction'
ranging from land administration in post conflict environs, through
the importance of integrating community and in particular women,
as well a global issues pertaining to risk and vulnerability reduction.
The networking event continued the momentum built up in WUF
II in 2004 and during the Governing Council in April 2005,
concentrating on operationalising the conceptual framework and
the guiding principle of Sustainable Relief and Reconstruction.
The event introduced good practices and lessons learnt from the
Sustainable Relief and Reconstruction 175
field, all within the context of reflecting and reviewing the precision
of the conceptual SRR framework, and further elaborating it. This
process also supports the formal commitment of development of
a strategic UN-HABITAT Policy on human settlements in crisis
as requested by the 20th session of the GC in Res. HSP/GC/20/
17. For the way forward, our hope is to obtain a commitment from
the partners and colleagues to working collectively with UN-
HABITAT to ensure the implementation of sustainable recovery
both in prevention and in response to human settlements in crisis.
THE APPROACH
The changing nature of conflict and natural disasters is leading
to re-visioning of traditional approaches to recovery assistance.
Natural and human-caused emergencies are increasing in
regularity, and perhaps more importantly, their impacts on
populations and human settlements are rising alarmingly. This,
coupled with cycles of dependency and shortage of resources, all
point to the need to develop innovative approaches and re-examine
traditional policies on relief, recovery and mitigation assistance.
The international community is performing an ever-widening
range of recovery and rehabilitation activities. This exacerbates
the fundamental challenges of the crisis management and recovery
processes; how to bridge the gaps that have repeatedly emerged
between emergency recovery and sustainable development efforts,
and how to provide national and local government, civil society
and business organizations with practical strategies to mitigate
and recover from crises, and also to prevent lapsing back into
crisis. It is equally critical to build the capacity of national and
international aid agencies to deliver rapid response services that
integrate a longer term developmental strategy. Based on these
changing dynamics in international assistance, it is clear that a
new approach is required. Through analysis of these needs, the
concept of sustainable relief and reconstruction has emerged.
DISASTER MITIGATION - BUILDING A CULTURE OF PREVENTION
Mitigation is the first step towards a comprehensive approach
to managing disasters. Communities are often unaware of 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
need arises. Sustainable relief and reconstruction encompasses all
phases of disaster management, from mitigation to response; with
a view to improving communities' and governments' capacities
to prevent and mitigate disaster events so that needs during
response are reduced.
Concepts of sustainability and sustainable development offer
a crucial framework for integrating vulnerability reduction plans
in the context of disaster recovery. Sustainable human settlements
development does not necessarily prevent disasters, but it should
mitigate their impact. Disaster mitigation and management needs
to look beyond the hazards alone to consider prevailing conditions
of vulnerability. It is the social, cultural, economic, and political
setting in a country that defines the level of vulnerability or
resilience, of its people and communities.
A better understanding and emphasis on capacity development
during mitigation will increase the ability of local actors - civil
society, local and national government - to respond effectively to
disasters.
The cornerstone of the implementation strategy is to build a
"culture of prevention" among society at large. Such a culture will
not only save lives but will enhance the economic and social
fabric, through working with cities and civil societies to reduce
their vulnerability to natural and human-caused disasters, as well
as providing sustainable solutions for the re-construction of war-
torn and post-crisis societies. Disaster management and mitigation
therefore needs to be introduced as an integral part of any on-
going development and poverty reduction plans.
It is essential that the community as a whole be involved in
developing and implementing mitigation and sustainable
development programmes.
Civil empowerment is a fundamental complement to any
mitigation exercise undertaken within cities or by civil society.
Without a common understanding of the necessity for mitigation
measures, without the active participation of civil society in
execution, and without community's sense of ownership, such
measures stand a slim chance of reducing disasters or resolving
conflicts.
Sustainable Relief and Reconstruction 177
CRISIS RESPONSE - MEETING THE LONG TERM NEEDS OF MANY, WHILE
SUPPORTING THE EMERGENCY NEEDS OF FEW
When conflicts occur or hazards turn into disasters, human
settlements - people and property - are the most affected. Therefore,
any recovery process irrespective of its short- or long-term planning
horizon has to consider, in addition to meeting urgent human
needs, the physical infrastructure and human settlements problems
that arise, including adequate shelter for all and sustainable human
settlements development. In many post-crisis scenarios, experience
has shown that interventions are most effective when they are
designed to begin simultaneously; consideration of long term
impacts of short term interventions can add value to the latter,
and depth to the former. A process of long-term reconstruction
and economic recovery should therefore begin while post-
emergency actions aimed at restoring normality for the affected
populations returning home or settling in new places are being
undertaken. In this manner, strategic investment during emergency
and relief stages can contribute significantly to building
foundations for development.
Post-crisis responses by national governments, bilaterals,
NGOs and UN agencies have been characterized by rapid
rehabilitation projects including water and sanitation, housing,
irrigation, food-security measures and health. These tend to be
ad-hoc, palliative and not linked to overall development objectives
of disaster-hit countries. Piecemeal efforts that are not connected
with the long-term development strategy can not only aggravate
precarious social conditions creating dependency on aid, but are
a critical waste of financial and human resources invested in
short-sighted emergency relief plans. Humanitarian agencies can
no longer operate in isolation; instead they require active
participation from development-oriented agencies. The real
challenge lies in broadening the portfolios of humanitarian and
developmental actors and in bringing them together in shared
realization of recovery processes for sustainable development.
The recovery phase can also offer a unique opportunity to
revisit past practices and rewrite policies affecting future
development in disaster-prone areas. A range of mitigation
measures, for example, can be incorporated during recovery to
178 Planning for Human Settlement in Disaster Prone Areas
promote vulnerability reduction, such as land-use, environmental
and community planning, improving building codes and
construction regulations. Beyond the physical aspects of
rehabilitation, the recovery period also offers an opportunity for
the society at large to strengthen local organizational capacities,
and to promote networks, awareness and political mechanisms
facilitating economic, social and physical development long after
a disaster - that is, to build its own sustainability.
THE AIM
'Ensuring the development, in line with the principles of
sustainable human settlements, of a disaster-resistant environment
for residents of cities, towns and villages to live, work and invest''.
UN-HABITAT's conceptual framework entitled Sustainable
Relief and Reconstruction together with the guiding principles,
developed as part of the broader framework, aim to provide a
robust framework for action. The concept and principles represent
a substantive and achievable set of objectives, culminating in its
twin goals of ensuring investments in the emergency and recovery
phases are leveraged for longer term impacts, and integrating the
essential elements of disaster risk reduction in the process. The
development of guiding principles serves to articulate the basic
practice philosophy that actors must adopt to ensure that relief
and reconstruction assistance is having a positive effect on the
sustainable and equal development of human settlements in post
conflict and disaster environments. The principles establish
important baselines and priority areas of focus considered
necessary for the implementation of truly sustainable relief and
reconstruction activities.
For sustainable recovery to be achieved it will require a shift
in thinking about relief, reconstruction and development at all
levels. These guiding principles offer a realistic, forward thinking
approach to recovering from crisis. Developing these guidelines
on sustainable relief and reconstruction is the first step in turning
these discussions and debates into operational realities. However,
for this to be truly effective, commitment must be sought from
international agencies, governments (local and national) and civil
society on these guidelines and the direction of change that they
Sustainable Relief and Reconstruction 179
represent. It has been our objective to establish a set of principles
for approaching humanitarianism in a human settlements context.
The next vital step is that these guidelines are translated into
action at all levels.
Guiding Principles for Sustainable Relief and Reconstruction
are the following:
a. Permanent links between emergency relief and
reconstruction and the transitional phase of development
are established
b. The capacities of local governments to be developed as
necessary, to operate as active partners in the process.
c. Building and engaging capacities at all levels and of all
actors to be a priority from the earliest stages and
throughout the process from relief and reconstruction to
recovery and development.
d. Utilisation of participatory planning and inclusive decision-
making models, ensuring involvement of all actors, women
in particular, in all planning and implementation activities.
e. Developing productive economic activities the earliest
stages of recovery to assist consolidation of peace and
security.
f. Facilitation of safety and security of affected populations
as a critical pre-condition of any humanitarian or
development activities.
g. Developing broad-based and long-term reconstruction and
shelter strategies from the earliest stages ensuring more
effective use of emergency resources.
h. Ensuring the protection of land and property rights of
affected populations, and developing longer-term solutions
for land and property dispute resolution to reduce potential
for (further) conflict.
i. Incorporating vulnerability reduction and disaster
management into on-going national and local development
and poverty reduction plans.
j. Redirecting the focus on disaster risk reduction and
mitigation rather than preparedness and response related
strategies in the human settlements context.
180 Planning for Human Settlement in Disaster Prone Areas
k. Operating within a human rights framework, particularly
in terms of land rights and security of tenure, and the
equal rights of women.
l. The creation of strategic partnerships and alliances at all
levels within the relief and reconstruction to development
continuum.
m. Decentralisation of responsibility for prevention of, and
recovery from, crises in human settlements is essential to
ensure appropriate, balanced and sustainable vulnerability
and risk reduction.
n. Building a culture of prevention entails a cross sectoral,
multi-dimensional approach integrating participatory
analysis of risk, implementation of programmes, and
development of policy and legal frameworks with all
stakeholders including civil society, private sector, local,
national and international government, in a gendered and
comprehensive process.
o. Effective peace-building requires due attention to clear
and understandable legal and regulatory frameworks,
effective and impartial land and property administration,
a functional interface between local government and its
citizens in a dialogue that builds trust and commitment
(with capacity building where essential), a common vision,
and coordination of international actors.
p. Understanding that crises, and in particular conflicts,
virtually always creates displacement, sustainable
strategies integrating rights based approaches to shelter,
tenure, and protection of the most vulnerable, need
implementation at the earliest stages.
THE ACTION
'Preventing man-made disasters… and reducing the impacts
of natural disasters and other emergencies on human settlements,
inter alia, through appropriate planning mechanisms and resources
for rapid, people-centred responses that promote a smooth
transition from relief, through rehabilitation, to reconstruction to
development…' Further discussion and debate is necessary to
review the proposed concept, principles and means for their
Sustainable Relief and Reconstruction 181
operationalisation. How can the implementation of the guiding
principles become an operational reality? Is this the right starting
place? Who becomes the custodian of the principles and how does
one apply them? Do we sufficiently integrate the issues of
vulnerability reduction and sustainable disaster management in
human settlements development, incorporating them into the
national and local policies and actions?
The purpose of these principles is to articulate the basic practice
philosophy that actors must adopt to ensure that sustainable
assistance and interventions. Giving serious consideration in these
aspects during planning and decision-making can assist
communities, authorities and support agencies to realize that
decisions made during the earliest stages of recovery will have
long-term impacts on the success and sustainability of the joint
efforts in recovery.
This conceptual change needs to be backed up with new
operational approaches from international agencies, governments,
and in communities. Sustainable recovery in human settlements
is a process, combining the following key elements;
a. Bridging the gap between emergency relief and sustainable
development
b. Integration of mitigation and vulnerability reduction into
sustainable development and recovery
c. Creating appropriate human settlements conditions for
facilitating the transition from emergency to sustainable
development
d. Building and engaging capacities at all levels, in all sectors
and of all actors to be a priority from the earliest stages
and throughout the process.
PARTNER CONSULTATIONS
The concept and principles have been the subject of scrutiny,
assessment, and subsequent shaping with our partners; and
capitalizing on their advice, the following sections introduce some
elaborated elements and practical recommendations to guide us
in formulating our future programming and implementation. The
objective of the consultative Networking Events in both sessions
of the World Urban Forum has been to draw together partners
182 Planning for Human Settlement in Disaster Prone Areas
of UN-HABITAT for an informal, provocative sessions
concentrating on both reviewing the conceptual framework and
the guiding principles and exploring new operational approaches
for implementation sustainable support. The partner consultations
have introduced good practices and lessons learnt from the field,
all within the context of reflecting and reviewing the precision of
the conceptual SRR framework, and further elaborating it towards
sustainable realization.
As identified, the key thematic areas of Sustainable Relief and
Reconstruction are:
a. Disaster Mitigation and vulnerability reduction
b. Land and property administration
c. Longer-term shelter strategies
d. Economic recovery
e. Participation and good governance
f. Partnerships
g. Capacity building
DISASTER MITIGATION AND VULNERABILITY REDUCTION
Deficient urban management practices, inadequate planning
and construction, unregulated population density, exploitation of
the environment, dependency on inadequate infrastructure and
services, 'absent' or incompetent local governments and institutions
all contribute to increasing vulnerability. Disaster is a result of the
combination of natural hazards and an accumulation of the above
factors. Sadly, it is only after the occurrence of disaster that
awareness is raised on the importance of reducing vulnerabilities.
When disaster strikes, it ironically provides an opportunity
to dimension vulnerabilities, and rethink how to address these
during the recovery and reconstruction stages, avoiding past
weaknesses within and around human settlements. Recovery
efforts supported by the international community, must in any
case integrate risk reduction to ensure that reconstruction takes
place wherever possible in safer locations and according to robust
building codes and safety standards. Particular attention needs
to be paid to schools, hospitals, and other critical infrastructure
needs, as well as environmental vulnerabilities. Agencies,
Sustainable Relief and Reconstruction 183
companies and professionals who work in reconstruction, need
to be trained/advised to understand how recovery efforts can
help reduce vulnerabilities and make communities more resilient
to disasters.
Building a 'culture of prevention' at all levels in society is a
challenge often not met until after the devastation wrought by
disaster. However, the international aid community, governments,
the media, and communities, together in partnership can and
should use every opportunity including post disaster recovery
programmes for awareness campaigns to create a culture of
prevention, and ensure those most vulnerable need not remain
that way indefinitely.
a. Increasing investment in disaster risk reduction -
redirecting priorities from visible and short-term
development projects to abstract long term potential threats
and risks. Finance and planning authorities need also to
be sensitized to the importance of investing in disaster
resilient interventions as more cost-effective than post-
crisis reconstruction.
b. Addressing the root causes of disasters - inadequate
development practices increase the vulnerability of
communities, and more focus on pre-disaster risk reduction
needs to be integrated in all development planning.
c. Translating technical knowledge into action - despite
extensive knowledge on hazards and risks, not enough
efforts are made to prepare cities and people for their
worst impacts.
d. Coordination - professionals are often fragmented, working
inside institutional boundaries. Risk reduction and
mitigation are a cross cutting issue, requiring coordination
mechanisms that bring a sufficiently wide group of
stakeholders together.
SRR GUIDING PRINCIPLES
a. Incorporating vulnerability reduction and disaster
management into on-going national and local development
and poverty reduction plans.
184 Planning for Human Settlement in Disaster Prone Areas
b. Redirecting the focus on disaster risk reduction and
mitigation rather than preparedness and response related
strategies in the human settlements context.
c. Building a culture of prevention entails a cross sectoral,
multi-dimensional approach integrating participatory
analysis of risk, implementation of programmes, and
development of policy and legal frameworks with all
stakeholders including civil society, private sector, local,
national and international government, in a gendered and
comprehensive process.
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
a. Disaster risk reduction is everybody's business, being
integral part of everyday life. Mitigation is not only a
responsibility of experts and disaster managers, and all
sectors of the society needs to be involved. Emphasize
public awareness as the key to create proper behavior
with long term goals in mind, applicable specifically to
children as future decision-makers.
b. The SRR Guiding Principles should give more emphasis
to the pre-disaster phase and support the incorporation of
risk reduction consideration into development planning.
c. Recommendations of the Hyogo Framework for Action
are acknowledged as part the Sustainable Relief and
Reconstruction Framework.
LAND AND PROPERTY ADMINISTRATION
One of the major threats to stability in the post-disaster context
is the question of housing, land and property rights within the
reconciliation and reconstruction process. Access to land and water
resources can be a new cause of conflict following disaster or war
displacement. With high potential for destruction and looting of
property, secondary occupation of both residential and agricultural
land and housing, and the disintegration of the institutions
governing and protecting land and property rights, the potential
for further conflict, or the undermining of peace processes, are
likely as displaced populations return to re-occupy their homes,
farms, and properties.
Sustainable Relief and Reconstruction 185
Of the numerous housing, land and property (HLP) challenges
arising in the aftermath of disaster and conflict, the demand for
restitution and compensation are increasingly sought. Restitution
mechanisms addressing the rights of displaced persons to return
to their original homes and lands have increased considerably in
recent years, and these developments have slowly been matched
by concrete actions in the field.
Protecting housing, land and property rights is always a
challenging enterprise as recent attempts have clearly shown. In
the past two years alone, structural restitution problems requiring
resolution arose following the 2004 Asian tsunami in several
countries (most notably Sri Lanka and Indonesia), the 2005 floods
in New Orleans (US), the 2005 SE Asian Earthquake (Pakistan)
and in a range of other disasters. In terms of conflict, the attempted
resolution of housing land and property issues arose during the
same period in; Somalia, Sudan, and Uganda, while contingency
planning work continues on a range of other countries where
conflict has yet to come to an end, but where restitution themes
loom large over any eventual peace arrangements. Whilst UN-
Habitat through its Global Campaign for Secure Tenure, has
considerable expertise; globally the capacity of deployable experts
is alarmingly low and there is much scope for building and
coordinating this. Furthermore, in spite of repeated threats to
sustainable peace, indeterminate displacement from disasters,
looming conflicts over land and property rights, the issue remains
relatively low on the humanitarian and donor agendas.
CHALLENGES
a. Inadequate financial and human resources in the field
operations to match the necessary capacity for operational
credibility and delivery.
b. Lack of political and commitment at both local and
international levels remains a fundamental challenge in
attempting to secure housing, land and property rights.
c. The scale and scope of HLP issues may dampen the
enthusiasm for devoting resources together with the
sometimes long periods of time required to adequately
address lost rights.
186 Planning for Human Settlement in Disaster Prone Areas
SRR GUIDING PRINCIPLES
a. Ensuring the protection of land and property rights of
affected populations, and developing longer-term solutions
for land and property dispute resolution to reduce potential
for (further) conflict.
b. Operating within a human rights framework, particularly
in terms of land rights and security of tenure, and the
equal rights of women.
c. Understanding that crises, and in particular conflicts,
virtually always creates displacement, sustainable
strategies integrating rights based approaches to shelter,
tenure, and protection of the most vulnerable, need
implementation at the earliest stages.
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
a. The adoption of a comprehensive global Housing, Land
and Property Rights Policy for application in post-conflict
and post-disaster settings. Such a policy - which would
cover all HLP issues, and not only restitution - would help
prevent the largely ad hoc responses of the international
community in both post-disaster and post-conflict field
operations in addressing the wide range of HLP crises that
invariably come about in all such circumstances.
b. Policy-makers need to be given access to information on
successful examples of past restitution programmes and
how these worked in practice, as a means of removing
apprehensions concerning restitution.
LONGER-TERM SHELTER STRATEGIES
Shelter is one of the most visible and immediate needs in post-
crisis settings. Providing shelter and infrastructure after a disaster
or post-conflict situation, however, is not as simple as counting
the houses lost and building replacements. There are many other
issues to consider in the reconstruction of shelter. Relief efforts
are often focused on providing shelter quickly, without taking
into account the impact of short-term shelter strategies. The format
of rebuilding houses has often been to develop cheap, easily
transportable prefabricated housing, which can be quickly erected,
Sustainable Relief and Reconstruction 187
yet has no bearing on traditional styles of housing of the region.
In the planning of projects dealing with providing shelter and
infrastructure, it is vital to consider the long-term effects of the
programmes.
Long-term shelter strategies not only focus on development
and implementation of realistic and permanent reconstruction for
affected communities, but also assist rebuilding community
confidence, and support structure for civic responsibility and urban
governance, through participatory planning and delivery of
reconstruction processes.
Shelter issues are closely bound to mitigation aspects as well,
particularly in disaster-prone areas. The development of disaster-
resistant housing is a major factor in reducing vulnerability to
natural catastrophes.
But shelter issues in mitigation go beyond the structural aspect.
Rights to ownership and security of tenure make an enormous
difference to the development, management and maintenance of
shelter, particularly in urban areas. When people have security
where they live, they are better able to manage space and invest
in safety, and engage in activities that will reduce rather than
increase their vulnerability.
CHALLENGES
a. The demand for speedy response is still dominating over
proper planning, detailed consultations, reviews of safety
and environmental requirements, quality controls and
opportunities for participatory work, i.e. sustainable
reconstruction.
b. Permanent reconstruction often remains uncoordinated,
inefficiently managed and slow to get off the ground,
particularly as local government capacity to plan and
participate in recovery strategies is usually limited as a
result of a disaster.
c. Unmet demands for professional and impartial support
for establishing and restoring property rights.
d. To use the opportunity of disaster recovery to make things
better than before - Build Back Better, incorporating risk
reduction elements in the process.
188 Planning for Human Settlement in Disaster Prone Areas
e. Inflexible and short-term focused funding resources hinder
a smooth and rapid transition to longer-term reconstruction
and recovery.
f. Regarding disaster survivors as passive victims awaiting
the arrival of assistance can yield a long-term legacy of
dependency.
SRR GUIDING PRINCIPLES
a. Permanent links between emergency relief and
reconstruction and the transitional phase of development
are established.
b. Developing broad-based and long-term reconstruction and
shelter strategies from the earliest stages ensuring more
effective use of emergency resources.
c. Understanding that crises, and in particular conflicts,
virtually always creates displacement, sustainable
strategies integrating rights based approaches to shelter,
tenure, and protection of the most vulnerable, need
implementation at the earliest stages.
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
a. Raise awareness among all players of their roles, inter-
dependence within the overall recovery system, and long-
term consequences of their actions
b. Facilitate double accountability, upwards to international
financial institutions, donors and the government and
downwards to the beneficiaries of assistance.
c. Adopt demand-driven approach with continual assessment
and monitoring of changing needs and capacities, rather
than supply-driven, donor-oriented approach
d. Adopt a development approach while supporting capacity
development in all sectors and at all levels.
e. Create a single point of overall responsibility in
government, assigning a dedicated organisation at the
apex of political power and decision making, with a clear
mandate supported by appropriate legislation, adequate
resources, direct links to all line ministries and knowledge
of the dynamics of the disaster recovery process
Sustainable Relief and Reconstruction 189
ECONOMIC RECOVERY
Natural and human-caused disasters destroy investments,
infrastructure and livelihoods. Poverty and lack of resources
increases vulnerability, weakens coping strategies and delays the
recovery process. A vibrant local economy is one of the key elements
in sustainable recovery and development, yet economic recovery
is also recognized as one of the most difficult aspects of the
process. Despite disasters, many communities have resources that
can be tapped such as the availability of local building materials,
the existence of a labour force, and most importantly the eagerness
of local communities and the private sector to participate in the
recovery process.
It is necessary to identify and exploit the potential within the
community to use skills or resources that are at hand. This not
only makes the best use of limited external assistance, but also
reduces the risk of external dependency.
This is also an important consideration for local organisations
and governments, as the redevelopment of their economic potential
must be a key priority. Re-establishing small scale production in
the affected areas, creating employment opportunities for local
entrepreneurs and the community it self-both affected and host
communities-and reinforcing local building sector can have a
huge impact on the rebuilding of the economy from a very early
stage in the programming. The encouragement of economic
activities in a post-crisis situation is a crucial objective in the long-
term context of development and rehabilitation.
CHALLENGES
a. Destruction of infrastructure, facilities and services
hampers revitalization of economic activities.
b. Decreased production and buying capacities, weakened
institutional frameworks (legal and regulatory) for local
economic development, such as judicial systems, business
licensing, land allocations, etc.
c. Lack of organizations and institutions specialized in local
economy and labor skills development, i.e. micro-finance
and credit services, vocational training and public
employment programmes, etc.
190 Planning for Human Settlement in Disaster Prone Areas
d. Lack of social capital and stable social structures and
dynamics in post-crisis environment, i.e. mistrust, lack of
confidence and resources.
SRR GUIDING PRINCIPLES
a. Developing productive economic activities the earliest
stages of recovery to assist consolidation of peace and
security.
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
a. Utilizing local resources for recovery and reconstruction
interventions, both material and human resources.
b. Strengthen local capacities to deliver responsive business
and technical services to actors in production sectors and
enterprise activities with growth potential (technical and
business skills training and upgrading, institution/
association capacity strengthening, transfer of appropriate
technology, etc) and support creative interim delivery of
credit to actors in production sector, pending the arrival
of micro-finance services.
c. Strengthen the capacity of local institutions and a broad-
based representation of economic actors to establish,
manage and develop a local economic development
process.
d. Assist local economic stakeholders to identify new and
improved market opportunities.
e. Rehabilitation of basic services and infrastructure is
essential for revitalization of economic activities at any
level.
PUBLIC PARTICIPATION AND GOOD GOVERNANCE
Cities are managed and communities interact at the local
level. At no time is the opportunity for public involvement in
planning and decision-making greater than when a community
is faced with post-crisis recovery process. Civil society plays a
major role in disaster management, conflict prevention,
reconciliation and post-conflict reconstruction. They are much
more than recipients of relief assistance, and must be viewed as
Sustainable Relief and Reconstruction 191
such for developmentally focused relief and recovery programmes
to be successful. Civil society acts as an important channel for
awareness raising and education, for promoting a climate of peace
and reconciliation, and for preventing and mitigating conflicts
and crises.
Empowerment of essential governance actors such as
community based organisations, volunteer groups and NGOs is
important - empowered civil society can play an active role not
only in planning and forming policies for risk reduction and
sustainable recovery strategies but particularly during their
implementation at the local level. It is crucial to address the issues
at their root causes. In order to do so, an assessment of vulnerability
of communities to hazards and disasters is crucial. An effective
disaster risk assessment will identify activities to reduce the
likelihood of a threat event as well as activities to reduce the
impact of a threat event.
Inclusive decision-making, including women in particular, is
a key element in a strategy in building consensus among difference
participants in the emergency phase, ensuring an active
participation of affected populations, community groups, and
local authorities also in the subsequent recovery phases.
Ownership at the local level in response and recovery is
important if these activities are to contribute to the longer term
development and reduction of vulnerability of the population.
However, truly participatory involvement of all segments of people
is not simple.
It is a process that requires substantive support to local
governments in strengthening their technical and institutional
capacities and in understanding the main principles of people's
participation and good governance.
CHALLENGES
a. Most of the capacities created and resources invested in
disaster management are lodged with professionals, who
leave once their project is completed. Sustainable relief
and reconstruction requires substantial investments in
capacity building of local communities and processes that
look beyond the project framework.
192 Planning for Human Settlement in Disaster Prone Areas
b. Women's participation does not necessarily follow when
there is a mandate for community participation. Women's
contribution to disaster management is usually informal
and invisible, thus unrecognized and un-resourced in
policies and programmes.
c. Insufficient capacities of authorities in facilitating the
consultative dialogue between private and public interests.
SRR GUIDING PRINCIPLES
a. The capacities of local governments to be developed as
necessary, to operate as active partners in the process of
recovery and reconstruction following crisis.
b. Utilization of participatory planning and inclusive decision-
making models, ensuring involvement of all actors, women
in particular, in all planning and implementation activities.
ADDITIONAL RECOMMENDATIONS FOR THE GUIDING PRINCIPLES
a. Mobilize a critical mass of affected people to take on
multiple roles and active leadership in rebuilding their
communities and play active roles at all stages of disaster
management
b. Gain greater understanding of communities as the key
drivers, playing multiple roles: as planners, problem
solvers, information providers and in implementing and
overseeing risk reduction and recovery initiatives.
c. Strengthen the mandate for women's participation in
disaster recovery and reconstruction, by making women's
contributions visible, allocating clear roles and
responsibilities to women, and strengthening grassroots
women's capacities to advance their priorities in risk
reduction and recovery.
d. Building mechanisms for dialogue with government, local
authorities and civil society, strengthen accountability and
build partnerships.
PARTNERSHIPS
The human settlements component is integral to post-crisis
solutions, from refugee settlements planning to development of
Sustainable Relief and Reconstruction 193
strengthened municipal and national institutional capacities, good
governance and reviving local economy.
However, in order to develop an integrated approach to
sustainable rehabilitation of human settlements, limited resources
must be better coordinated to achieve the maximum possible
effect. The multi-sectoral and interdisciplinary nature of disaster
reduction and response requires continuous interaction, co-
operation and partnerships among related institutions and
stakeholders to achieve global objectives of disaster mitigation
and sustainable post-crisis recovery. Solutions to insure sustainable
recovery are interwoven in such a manner that activities cannot
be implemented in isolation.
Building strategic partnerships among all stakeholders; civil
society, national/local governments, private sector, media and
national/international support agencies, is therefore a shared
challenge and responsibility. In combination, this contributes to
the development of a coherent framework for sustainable recovery
of human settlements in post-crisis situations.
CAPACITY BUILDING
Post-crisis activities provide unique opportunities for
increasing capacities among all national and local actors involved
in the recovery process.
At the national level this may require strengthening policy
making capacities and formulating legal instruments for
implementation of national vulnerability reduction plans that
promote sustainable development. Municipality authorities can
be introduced to the sustainable rehabilitation and recovery
process, re-directing the focus from technical and conventional
response actions towards incorporation of mitigation measures in
disaster management plans, introducing proper land use planning
and building regulations, protection of land and property rights,
effective project management and improved governance, among
others, all within the framework of longer-term reconstruction
strategy. Along the process, national professionals at different
levels improve their technical and managerial skills and know-
how; civil society and communities are empowered through their
active participation in recovery efforts and development of a self-
194 Planning for Human Settlement in Disaster Prone Areas
sustaining process; local small business, building contractors and
organizations have the opportunity to grow and gain experience;
and individuals, women in particular, can be trained in income
generating activities in the housing and infrastructure sector.
CONCLUSION
UN-HABITAT Sustainable Relief and Reconstruction
principles, the Good Humanitarian Donorship Initiative, the Hyogo
Framework for Action as well as International Recovery Platform
all confirm the importance that governments join forces with both
humanitarian and development actors to achieving sound and
sustainable recovery.
These good practices are unfortunately too often overlooked
when the support actors are faced with pressure to deliver short-
term, visible quick fix recovery solutions, at the same time when
it is widely known that sustainable recovery is a process of several
months in its minimum.
The partner consultations during the two sessions of the World
Urban Forum, among others, is a cause for optimism, however,
as a clear shift in thinking is starting to take shape among some
of the key players of the international community. The Pakistan
and Yogyakarta earthquakes, for example, are affirmative cases
that serious effort has been put into trying to improve our collective
track record.
Further, the recent Humanitarian Reform and its new cluster
approach framework is a strong effort to make the post-crisis
response more predictable, effective and accountable through
establishment of nine clusters where significant gaps in the
humanitarian response had been identified, including early
recovery and improved disaster preparedness.
In the new humanitarian cluster system, it envisaged that
UN-HABITAT will add value through its comprehensive and
specialized knowledge, expertise and experience in shelter, land
and property. UN-HABITAT is in a principal position to propose
coherent response frameworks, which can help close the continued
gap between emergency shelter and shelter in recovery and longer-
term development, combining the unique capacities of the agency
as both humanitarian and development actor.
Sustainable Relief and Reconstruction 195
Resilient communities may bend but don't break when crisis
strikes - by adopting policies which make livelihoods more secure,
vulnerability reduction part of everyday life, institutions more
responsive, public-private partnerships more effective,
communities more sustainable and poverty less prevalent,
resiliency of our settlements are dramatically enhanced. Beyond
the physical aspects of rehabilitation, the recovery period also
offers an opportunity for the society at large to strengthen local
organizational capacities, and to promote networks, awareness
and political mechanisms facilitating economic, social and physical
development long after a disaster - that is, to build its own
sustainability.
CONTRIBUTIONS AND BENEFITS FOR ASIAN COUNTRIES
What is the impact of these practical considerations on a real-
world situation? In this section we discuss space activities in Asia
as a sample case study.
The status of space technology and its application in Asia is
rapidly changing. The earlier space race between the USA and
Soviet Union had great influence upon the development of space
technology of Asian countries, especially China, India and Japan.
These three countries now have many space programs including
space science and technology research. In addition, a number of
Asian countries have the potential to participate in space activities
or have different uses of space technology that are aimed to
support their country's development. However, their contribution
of space technologies may differ considerably. The contribution
to the strategy depends on each country's level of space activity.
This section describes how countries in Asia can contribute to the
Step-by-step strategy and how they benefit from space activities.
The countries of Asia can be divided into three groups based
on their level of space development and participation. The first
group includes China, India, and Japan which, as stated above,
have space agencies and space-related technologies. China's space
program seeks to develop its capability in space technology,
especially satellite applications, focusing on national economic
and social development. China has promoted the transfer of space
research and technology to other areas of science and technology,
196 Planning for Human Settlement in Disaster Prone Areas
and has plans to launch its first human space flight. The Indian
program was organized in 1972 under the government's
Department of Space and aimed at the self-reliant development
of space technology and its applications for the rapid economic
improvement of the country. India has high quality remote sensing
capabilities and therefore could participate in remote sensing
activities on the Moon and Mars. Additionally, contributions can
come from the three types of launchers that have been developed
by India for space missions. These are the Augmented Satellite
Launch Vehicle, the Polar Satellite Launch Vehicle, and the Geo-
synchronous Launch Vehicle.
Japan has the most comprehensive national space program in
Asia, including activities that range from space science to
preparation for human spaceflights. Therefore, Japan has the
potential to play a leadership role in the preparation for human
spaceflight with not only NASA or ESA, but also Asian countries.
This preparation will generate great benefits for other Asian
countries. Furthermore, Japan is the only country in Asia that
participates in the International Space Station program, and has
plans to conduct sample return missions from a Near Earth
Asteroid. These three countries can contribute to our international
strategy by utilizing these technologies.
The second group includes countries that have a potential to
develop space activities and can contribute to the strategy. These
are Malaysia, Pakistan, Singapore, Thailand, Indonesia, Iran,
Philippines, and South Korea. Countries in the second group do
not yet have the capability to launch satellites, but nevertheless
mostly enjoy good relationships with the first group and can
participate in collaborative space activities. For example, space
activities in Malaysia in the past revolved around the use of
satellite technology for communications and meteorological
purposes.
Currently, these activities have expanded to include satellite
remote sensing, global positioning systems, and astronomy.
Pakistan's activities in space science include atmospheric research
and tropospheric/stratospheric studies using satellites, rockets,
and balloons. Current space activities in the Philippines lean toward
the use of satellite meteorology, remote sensing, global positioning
Sustainable Relief and Reconstruction 197
systems, and Geographic Information Systems (GIS). Space
technology applications in Singapore are focused on satellite
communications, satellite meteorology, and remote sensing. Space
activity plans in Thailand over the next ten years include the
promotion of scientific research, the study of satellite and rocketry
technology, and the formation of a strong foundation for the use
of space technology.
Almost all Asian countries have plans for space activities that
include remote sensing, satellite meteorology, and satellite
communication. Asian countries have many ground receiving
stations near the equator, and they have the capability to operate
them. Furthermore, these countries have capabilities to produce
very inexpensive computer hardware or software, compared with
the other countries of the world. This is because they have large
spaces for building factories and many people, providing cheap
manpower. These capabilities can contribute to our strategy.
The third group includes the other Asian countries that have
no ground receiving stations but use satellite data for remote
sensing. Satellite data are used for making maps, studying
vegetation, weather forecasting, and so on. These countries can
contribute to the strategy because they have the ability to process
satellite data. They can participate in our international strategy
by processing data from other planets. Additional details of how
these countries may participate in space activities can be found
in the United Nations report, SPACE TECHNOLOGY AND
APPLICATIONS FOR SUSTAINABLE DEVELOPMENT IN ASIA
AND THE PACIFIC, published in 1994.
Many Asian countries benefit greatly from space activities in
the areas of international cooperation, policy and technology.
These areas are described below.
INTERNATIONAL COOPERATION
Until recently, the Asian and Pacific regions were surging
ahead towards a new era of technological expansion and economic
development. With its phenomenal economic growth and vast
market potential, it had become the focus of attention of the world
and was on its way to becoming a new center of gravity for
technology and trade. Several countries of the region registered
198 Planning for Human Settlement in Disaster Prone Areas
phenomenal economic growth rates. Based on ESCAP's Economic
and Social survey of Asia and the Pacific 1993, the developing
countries of the region achieved an average economic growth rate
of 6.7 per cent in 1992 and 1993, compared with only 0.7 and 1.0
percent in a corresponding period for the entire global economy.
This economic growth was associated with the establishment
of high technology industries in sectors such as computer
microelectronics, telecommunication, and information technology.
Unfortunately, the economic crisis that occurred in 1997 greatly
affected the science and technology activities in the region.
Investments in technology related to telecommunication and space
activities were delayed as was research and development in small
satellite programs.
Nevertheless, many countries in the region have begun to
realize the consequences of ill-informed development planning
and are increasingly recognizing the value of space technology
and its applications to social and economic development.
Countries are beginning to take advantage of modern,
sophisticated technology such as satellite remote sensing and GIS
for natural resources accounting and natural environment
monitoring. Consequently, there has been a rapid increase in
space application activities in recent years.
The countries in Asia are aware that by pooling their resources
and collaborating in the uses of space technology, the benefits
could be more cost-effective and accessible to all. Because of
development in the Asia-Pacific region, there are many
opportunities and scope for transfer of knowledge and technology
within the region.
Such situations, therefore, require the formulation of strategies
and mechanisms to facilitate cooperation for space technology
applications among the countries of the region and to ensure good
coordination and harmonization of these activities.
To promote regional cooperation in space it is therefore
important to be aware of the issues relating to space technology
and its applications. Cooperation and coordination among the
various technology developer and user sectors, human resource
development, capacity building (adoption and adaptation of
Sustainable Relief and Reconstruction 199
technologies), and private-sector involvement, among other things,
are important factors to be considered at the national level. At the
regional level, the issues to be considered include: the recognition
of current initiatives, the sustained promotion of cooperation and
coordination among countries, restriction on the transfer of
technology, and human resource development and
standardization. The design and implementation of a strategy for
regional cooperation in the space world therefore has to consider
these issues, while taking into account the individual capacities
and capabilities of the countries involved.
THE POLITICAL BENEFITS FROM COOPERATION BETWEEN ASIAN
COUNTRIES
A number of countries are already operating their own national
communications systems (Insat, Palapa, and Thaicom) and remote
sensing (JERS, MOS and IRS) satellites. China, India and Japan
have very advanced space programs. Several countries conduct
experiments with a variety of sounding rockets, small satellites,
and balloons. Other countries, however, will need assistance to
begin space applications work or to expand their existing space
application program.
China has cooperated on a number of projects with other
countries in the region. China has implemented a project with
Malaysia to apply remote sensing and GIS to monitor soil erosion.
China has investigated the use of remote sensing with Mongolia.
With Bangladesh, China conducted a study on the use of remote
sensing and GIS for flood monitoring.
Through the Japan International Cooperation Agency (JICA),
Japan has provided financial assistance to help establish a
laboratory for agriculture and soil research at the Philippines
Bureau of Soils and Water Management. Here, facilities for remote
sensing and GIS have been set up. Since the late 1970s, the Science
and Technology Agency has conducted an annual group-training
course in remote sensing technology.
TECHNOLOGICAL BENEFITS (UTILIZATION OF SPACE TECHNOLOGY)
Several organizations are also promoting and enhancing
regional cooperation in space applications. Under the auspices of
200 Planning for Human Settlement in Disaster Prone Areas
the Asian Association of Remote Sensing and GIS many initiatives
have been implemented. Activities such as regional conferences,
thematic seminars, and meetings have also been organized to
foster closer interactions between member countries. Satellite
owners may contemplate providing data and products at special
rates to benefit the region.
In the field of satellite communication, Japan introduced the
PARTNERS program whereby ETS-V is used for experimental
transmission of Earth observation data for an area covering
Thailand, Indonesia, Papua New Guinea, Fiji, and Cambodia.
In the field of space science, Japan has individual cooperative
projects with six experiments and rocket launches, as well as an
ambitious multi-country project (DANA-Dynamics Adopted
Network for Atmosphere). To study global meteorological
phenomena and the effect of atmospheric processes on the
ionosphere, Japan has also assisted Mongolia in developing and
improving the country's satellite communication facilities.
Asian countries have rapidly accumulated experience in
implementing major space application projects such as
telecommunications, Earth observation satellites, and satellite
meteorology, among others, through technology transfer projects.
Indonesia and Thailand are good examples of the countries in this
category.
These countries, based on their comparative advantages and
capacity though long-term policies and future strategies, have
broadened the exciting use and applications of space technology.
In addition, they have increased the pool of high technology
personnel, implemented a sustained technology research and
development program, and established a national space application
program with support infrastructure.
EDUCATIONAL BENEFITS
Ideally, research and development should be conducted in
industry with appropriate investment and in close coordination
with academic institutions and universities. Unfortunately, for
the developing countries in the region, research and development
is conducted mostly in the government and public sectors, and
very little is really absorbed by industry for actual production.
Sustainable Relief and Reconstruction 201
Universities rely mostly on government funding, with very little
sponsorship by industry.
With the severe financial constraints facing these developing
nations, most of their universities are not equipped with the latest
instruments and infrastructure, and recent technical journals on
space research and technology are unavailable. Limited funding,
a lack of sponsors, and the requirement for lengthy preparations
are some of the problems facing universities in introducing space
technology-related studies and projects.
Research and development activities conducted by
government agencies are not in any better position.
These activities are also limited by funding with no assurance
of continuity. Only a few countries, particularly those with
institutionalized space programs such as China, India, North Korea
and Thailand, undertake research and development activities with
considerable support from the government.
An example of educational benefits in Thailand is the small
satellite for education (TMSAT), which is the first Thai micro-
satellite. It was constructed by Thai engineers and now operates
in Low-Earth Orbit.
CONCLUSIONS
Every Asian country can contribution to and benefit from the
strategy. The countries in the first tier can contribute to the strategy
with the utilization of their technologies.
The countries in the second group have the capability to
operate ground-receiving stations and to produce inexpensive
computers. They have the potential to participate in both space
activities and international collaboration. Therefore, they could
play an important role in our international strategy. The countries
in the third group have the ability to process satellite data, and
for this and other reasons, can also contribute to our international
strategy.
In the near future, Asian countries should organize an Asian
Space Agency (ASA) to contribute to our international strategy
and to get benefits from the strategy. This year at ISU, the ISU
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
'sustainable development' inevitably ensures the human security
encompassing the three dimensions of economic efficiency, social
equity and environmental protection, all three of which contribute
to, and are affected by natural disasters.
In order to reduce the vulnerability, various resources i.e.
demographic, social, physical, etc have to be utilized properly so
that maximum benefits can be extracted from them and
vulnerability can be minimized. Unfortunately, due to rapid
population growth and development of human settlements in
disaster-prone areas, more and more people and their assets are
vulnerable to the natural hazards. Mitigation focuses on the hazard
that causes the disaster and attempts to minimize the adverse
impacts of the hazard or communities. The reason to focus on
mitigation disaster impacts include rising economic and social
costs of disasters, existence of technical/indigenous know-how to
reduce disaster impacts and costs. Pre-disaster mitigation helps
to ensure faster recovery of a community from the economic and
other impacts of disasters.
Potential mitigation measures should be evaluated for cost-
benefit and should be consistent with the desires and priorities
of the affected community, both those who will pay and those
who will be benefited. An effective mitigation programme for
human security is based on partnerships involving the government,
the private sector, and the community under the community
based disaster management programmes at various spatial scales
like slums, tribal and marginal regions. The paper also discusses
role played by the local knowledge for achieving human security
through monitoring, predicting and mitigating disasters in
economically backward and socially deprived regions.
INTRODUCTION
Human security and disaster mitigation are linked in India.
Initially human security was interpreted as meaning threats to the
physical security of a person but now the concept is understood
to include economic, health, and disaster concerns as well (IHDP,
1999). Disaster vulnerability is a function of the enforced exposure
to hazard, combined with the restricted capacity to cope. It is an
outcome of powerlessness; it is created as people face hazard
Disaster Mitigation for Achieving Human Security in India 205
beyond their control. Disasters accelerate the process of human
deprivation and challenges to human security. Human security
has two main components: freedom from fear and freedom from
want. Access to food, in contrast to its production, is the most
important variable in food security and the resilience of human
populations.
Sen (1981) has promoted this into a theory of "entitlements".
He explains that entitlements are actual or potential bundles of
commodities which individuals can access and that most famines
are caused by human-political action. Thus, he argues how all the
major famines of the past century, such as the Bengal famine
beginning in 1943 and the famine in China in 1958-60 was a result
of lack of access to food, not of absolute scarcity. Taking lessons
from his thesis, the underlying connection between vulnerability
of societies and the poverty and human security in the context of
disaster become important. It is social groups and individuals that
are vulnerable to changes in their socio-economic and
environmental conditions as a result of disasters.
A geographical perspective explains that region and areas can
be defined as vulnerable or critical based on the environmental
and socio-economic pressures incident (Kasperson et al., 1995).
They argue that identifying criticality brings about opportunities
to overcome pressures through the focused application of
technology and new institutional means. The onset of criticality
is a manifestation of ill-adapted institutional arrangements, acting
without consideration for the vulnerable population (Smith, 1992;
Wisner et al., 2004).
Different types of vulnerabilities like social, system,
institutional or infrastructural, are all inter-related. Chambers
(1989) highlights that vulnerability is increasing in developing
countries because of a decline in patron-client obligations (except
in South India) due to decline in the support of an extended
family, the rising costs of social events such as weddings, and the
localised scale of the means of livelihood. The main asset of poor
people is their physical strength, therefore, health especially of the
employed person, is a crucial issue for all members of households.
Bohle et al. (1994) frame a causal structure including the human
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
Reducing vulnerability to disasters will be tied up with
increased resource access and empowerment. If the quality of
population is good, developmental process can be regulated
properly. Health and age are monitored as important drivers of
famine vulnerability in many studies. Pankhurst (1984) lists the
elderly, the disabled, pregnant women or mothers, the chronically
ill and children as particularly the vulnerable groups. Their groups
have particular nutritional needs or disadvantages and may be
more sensitive to food shortages, climate change and other
extremes.
POVERTY AND SOCIAL VULNERABILITY
Poverty continues to be significant threat to the human security.
Analysis of the political economy is, therefore, an essential
component of any assessment and thus formulating strategies for
the reduction of vulnerability.
Migration and population movement are important aspects
of social stability and in many circumstances, contribute to
livelihood security and resilience at the household level through
wage earnings as these provide opportunities for diversification
and reduction in resource dependency. Following steps may be
taken up to reduce social vulnerability in order to contribute
towards human security:
a. Poverty reduction clearly must be a priority to ensure the
wider access to reduce vulnerability.
b. Risk spreading through diversification of economy can be
promoted for poor community.
c. The decline of common property resource represents
serious challenges to the human security and compensatory
measures should be implemented wherever needed.
d. The reduced efficiency or decline in collective action affects
the community as a whole and this process needs careful
monitoring with efforts to promote the local forms of
community knowledge.
These are critical features of the exposure, safety and resilience
of people in the face of disasters. A major concern is that how
social change and patterns of development can affect vulnerability.
Therefore, a long term and sustainable solution to the problem of
Disaster Mitigation for Achieving Human Security in India 209
disaster lies in tackling the problem of poverty, which makes
human life insecure.
STATE OF NATURAL HAZARDS AND DISASTERS IN INDIA
India has a highly diversified range of natural environments.
Its unique geo-climatic conditions make this country among the
most vulnerable to natural disasters in the world spreading on 85
per cent of the geographical area. Disasters occur with high
frequency and while the community at large has adapted itself
to these regular occurrences, the economic and social costs continue
to increase. Disasters have always posed a threat to human security
and their impact on humans has increased in spatial scale
considerably as poor and marginal people moved into disaster
prone areas. It is highly vulnerable to drought, floods, cyclones,
earthquakes, tsunamis, and landslides, etc. Almost all parts of
India experience one or more of these events (Singh, 1994, 2002).
CASE OF FLOODS
In the case of flooding in India (annually about 32 million
people affected; 11,683 house damaged), there are three levels of
vulnerability: relative invulnerability towards the upper socio-
economic group; a highly vulnerable category of marginal and
small landholders; and an effectively 'sub-vulnerable' category of
landless households. This can be understood by an enquiry of
flood damage to the material household. The material possessions
of the households are very few, often consisting of no more than
a few items of clothing and domestic utensils, that they are easily
carried to safe areas in times of severe flooding.
Larger landholders may suffer more crop damage in absolute
terms due to their larger landholdings but they are able to recover
from their crop loses, by getting in a better crop as soon as the
floodwater recedes.
Those marginal and small landholders with an alternative
occupation in addition to farming may have an additional source
of income, until such time as they are able to re-start their
agricultural practices. Landless households are by definition
exempt from crop damage, other than through its impact on
labour demand. It is only for the farmers in the small and the
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
Critical changes in agricultural practices, emerging out of the
Green Revolution have resulted into intensive irrigation practices
and promoted water intensive crops. This has phased out
traditional crops with inherent drought proofing mechanisms to
survive fluctuations in rainfall.
HUMAN SECURITY: CASE OF TRIBALS DOMINATED
STATES
CASE OF MADHYA PRADESH STATE
Madhya Pradesh is home to some of the poorest tribes in
India. Literacy levels are far below acceptable standards. Holistic
analysis of poverty of these regions is needed for comprehensive
preparedness to drought. Poverty is both a social and an economic
phenomenon and social inequalities are a major determinant of
economic deprivation.
According to Dreze, (2003), the Chambal area of Madhya
Pradesh has islands of irrigated land, owned mainly by Thakurs,
Sikhs, Jats and other powerful communities.
"Elsewhere, there are only vast stretches of rocky land,
degraded forest and ravines. Marooned in this inhospitable terrain
are hundreds of thousands of Sahariyas, who eke out a living from
survival activities like selling wood, making baskets and seasonal
migration. Gwalior to Shivpuri and then on to Pohri and finally
Chharch is like descending deeper and deeper into a dark well
of poverty and hunger. People in this area suffer from terrible
levels of hunger and malnutrition, and that many recent deaths
are hunger-related. The real issue is not just a few deaths, but
the appalling living conditions in the whole area, lies a trail of
chilling under nourishment. Yet, health facilities are virtually
invisible in the area."
CASE OF ORISSA
Kalahandi-Bolangir-Koraput (kbk) region in Orissa displays
dismal pace of development in the region (Ghate, 2005). "Extreme
poverty persists side by side with bad infrastructure and poor
health. Orissa is one of the slowest growing Indian states today.
Poverty rates, which have a high spatial concentration in the state,
have hardly budged since the mid-1990s and are amongst the
Disaster Mitigation for Achieving Human Security in India 213
highest in India. The percentage of population living below the
poverty line is 47 per cent compared to the nation-wide average
of 26 per cent." As brought out in the Economic Survey, 2003-04,
there are some special features of poverty in Orissa:
1. Poverty is more concentrated in some regions such as
southern Orissa
2. A large proportion of Scheduled Tribes (ST) and Scheduled
Caste (SC) population in western and southern Orissa are
highly vulnerable especially women and children. The
districts of Bargarh, Bolangir and Nuapada in Western
Orissa, covering an area of 23,988 sq km in the Eastern
Ghats was once covered with dense forests of sal, teak,
and bamaboo. Village forests and agricultural land consist
of timber trees and in mahua, neem, mango, and other
horticulture trees. The original inhabitants of this area
were the Kondh, Binjhal,Saora and Gond Tribes. Today
these people are the poorest in the region and the rich
agricultural communities are the Kultha, Agharia, and
Kurmi castes and the Brahmins. Replacements of
traditional drought resistant crop varieties were gradually
replaced by wetland rice and 'outsiders' gradually replaced
the tribals (IGNOU, 2005).
3. A large number of rural communities, particularly in hilly
terrains of western and southern Orissa are deprived of
connectivity and other infra-structural support i.e, markets,
urban areas. As a result, the poor in general and ST and
SC people in particular lack access to growth centers and
services (i.e. schools, hospitals etc.).
4. Rural poverty is the highest in Orissa. Rural people depend
mostly on agriculture and forest resources for their
subsistence. However, agricultural growth in Orissa is
virtually stagnant. Agricultural productivity is roughly
half that of the national average. Use of improved inputs
(e.g., better seeds and fertilizers) is also far below the
national average.
5. Employment opportunities are rather very limited.
6. Though extensive forest resources are an important source
of sustenance to a majority of rural poor, they are highly
214 Planning for Human Settlement in Disaster Prone Areas
degraded and lack desired financial and managerial inputs.
Large forest areas are devoid of regeneration and therefore,
cannot provide livelihood support on a sustained basis
unless substantial investments are made in them.
7. Need of adequate irrigation facilities is another limiting
factor that keeps agriculture underdeveloped. Orissa is
also deficient in infrastructure (e.g., railways, paved roads,
ports and telecommunication).
8. For providing specialist technical aspects of administration
like rural development and disaster management, drought
prone blocks came under a central scheme known as
Drought Prone Areas Programme (DPAP). Bringing blocks
is profitable activity since funds under various related
schemes flows in such as the Employment Assurance
Scheme, desertification control projects, drinking water
missions and other benefits.
9. The positive side is the reported success of self help
initiatives at mobilizing the savings of the poor. Orissa is
rich in minerals "If the political leadership had the desire
to do so, it could wipe out poverty in the state within five
years" (Ghate, 2005).
DEVELOPMENT PLANNING AND POLICY MAKING FOR ACHIEVING
HUMAN SECURITY
For vulnerability reduction, developmental planning has to
be done in strategic way. There should be proper land-use planning
and regulations for sustainable development of the area and
minimization of vulnerability. Preventing or modifying the
occurrence of disaster, such as in the case of floods can reduce the
physical impact of hazards. This can be done very efficiently at
relatively small catchments by land-use planning and management,
particularly in the areas where structural measures would be too
expensive to implement. Rapid urbanization has led to higher
concentration of people living in hazardous areas and consequently
to higher losses when disasters occur. As urbanization also alters
the response of watershed to rainfall, many large cities of the
region are becoming increasingly vulnerable to flooding (Davis,
2000; Carter, 1991).
Disaster Mitigation for Achieving Human Security in India 215
Long-term disaster reduction efforts should, therefore, aims
at promoting appropriate land-use in the disaster prone areas, by
harmonizing land suitability with agricultural development
strategies. High investment industries and establishments, as well
as important infrastructure elements should not be located in
areas that are susceptible to disaster impact.
Fire and industrial accidents can be reduced if the land-use
planning ensures separation of industrial units from residential
areas and fire-prone industries from other industries. Proper, long-
term land use planning by incorporating all geography-related
data available would identify and allocate hazard free areas for
industrial and urban development and thus, be by far the most
effective way of dealing with disasters. Large concentrations of
people living in hazardous zones, not capable or willing to be
moved to safer areas, deserve to have at least a fighting chance
of survival in the event of a disaster. Policy makers in charge of
disaster management should, therefore, have at their disposal
reliable estimates of the type, severity and location of the damage
likely to occur.
Although there is an argument that responsible public policy
must try to manage key environmental dimensions, planning
alone is not enough. Neither rational environmental policy nor
planned economic growth necessarily guarantees fundamental
human rights such as livelihood security, freedom, dignity, or
opportunity; nor do they enhance human security, particularly for
marginal or depressed sections of society.
TECHNOLOGY: INTEGRATING MODERN AND INDIGENOUS INITIATIVES
There should be more effective use of technology so that new
technologies transferred from the developed world will have a
real impact on the safety of the people. With this background, we
see that the important challenge is how to make present mitigation
programmes work effectively and efficiently.
Irrigation and reservoirs may buffer agriculture and other
sector against precipitation deficit but may actually increase the
catastrophic potential of major droughts on intensive agriculture,
which relies on limited water storage. Improved seeds and
fertilizers may play in vulnerability of producer and countries to
216 Planning for Human Settlement in Disaster Prone Areas
climatic variability and other changes. High-yielding varieties
and other technological changes may have increased the variability
of cereal yields (and the sensitivity to weaker variations), other
believe that the Green Revolution has reduced ecological and
social vulnerability to environmental change.
Majority of the lands owned by the rural poor are categorized
as wastelands where yields are about 0.5 to 1 ton of grain per
hectare Forests and pastures have been highly degraded, and the
top soil has been eroded or deprived of nutrients.
Usually one crop per year (with poor yield) is cultivated in
these areas due to inadequate irrigation facilities. According to
Datye, (2005) alternative energy sources and structural engineering
using traditional bamboo -wood composites and innovative joining
techniques can give a major boost to rural infrastructure
development in India.
The target is five tons of coal-equivalent energy supply per
family per year. "We currently make available only 0.5-1 ton.
However, there is capacity to provide this level of energy with
50 per cent from solar and other 50 per cent from materials such
as bamboo, small timber chemical intermediates from plants (such
as non-edible oils, phenols, starch, ethanol) etc."
Changes are necessary in the land and water use and allocation
policy. A biomass strategy must be implemented to raise the
biomass production by use of funds currently available for
wasteland development with a condition to create and sustain
biomass pools.
COMMUNITY BASED DISASTER MITIGATION PLAN: ROLE OF CIVIL
SOCIETIES
In the recent past, NGO sector has played a major role in
strengthening the community to face the disasters. The trend is
based on a long-term experience of the need of maximum self-
reliance at the lowest level.
It has been revealed that the community as an institution in
itself is emerging as the most powerful in the entire mechanism
of disaster administration. In the event of actual disasters, the
community of well aware of the preventive actions it is required
to take can substantially reduce the disaster damage. Awareness
Disaster Mitigation for Achieving Human Security in India 217
and training of the community is particularly useful in areas,
which are prone to frequent disasters.
It is evident to note the well targeted effort made in certain
areas where communities have formed their own organizations,
which take right initiative in such situations. One such community-
based organization's the village task force formed in villages of
Andhra Pradesh by the Church Auxiliary for Social Action (CASA).
The village task force has been trained in emergency evacuation
and relief within the village.
The people elect it themselves and during disasters it serves
as the nodal body at village level, which has to mobilize resources
for the community and disseminates necessary information
While the community as an effective institution, is yet to take
shape in this country mainly due to low literacy levels and
widespread poverty considerable effort are being made to fords
and strengthen community based organized at grassroots levels
(ISDR, 2002).
ROLE OF INSTITUTIONS AND INFRASTRUCTURE
Institutions can be considered as social tools for the
management of disaster vulnerability. Institutions also minimise
vulnerability and conflicts and enhance human security through
sustainable management of resources (Casale and Margottini,
2004). The level of institutions contributes to mitigate the
vulnerability.
The more assets people control, the less vulnerable they are
and the greater are their capacities to successfully cope with risks.
Despite the rapid growth of India's industrial and service sectors
over the past decade, agriculture continues to dominate the
economy.
With respect to infrastructure provision, India's regional
disparities in agriculture productivity and growth can be partially
traced to differences in the levels of public investment in
infrastructure for agriculture, particularly investments in irrigation
technologies and rural credit. In such areas like Punjab, Haryana
and Maharashtra, farmers and people are more easily coping with
disasters. The main reason is high level of human security in
terms of per capita income and a good standard of social and
218 Planning for Human Settlement in Disaster Prone Areas
economic well being. However, poor regions like Orissa and
Bihar in respect to infrastructure are prone to disasters with high
risk of lives and property.
The week economic infrastructure is making human life
insecure. The main determining components of vulnerability of
local institutions and regions are access to natural resources like
energy, food and water, access to productive resources for income
generation, access to social infrastructures like education and health
and the availability of adequate institutional arrangements in the
form of panchayats (local government) and good governance etc.
Thus, there is need to focus on the concepts of vulnerabilities from
an economic, social, ecological and institutional perspective in an
integrated and holistic way.
With an increase in the perception towards spreading a culture
of prevention in the disaster management scenario, considerable
emphasis is being placed on research and development activities.
In India, a number of research institutes are involved in conducting
active research in the field of disaster management. Valuable
inputs in technical, social, economic as well as management areas
of the field are being investigated.
Different ministries depending on the type and level of research
are coordinating research activities. In this regard the National
Institute of Disaster Management, National Disaster Management
Authority, and Universities are playing an important role. There
is a strong need to put emphasis on the issue of disaster
management and human security.
These two must be dealt with holistically. This means to
promote the efforts of economic development of the local
community and they will affect the disaster situation and human
security at local and other level.
ACHIEVING HUMAN SECURITY THROUGH LOCAL SELF GOVERNANCE
The traditional role of local and municipal bodies had been
one of providing basic amenities of civic life. In addition, they
performed certain regulatory functions relating construction of
buildings, public health areas, etc. The 73rd and 74th Constitutional
amendments have substantially broadened the range of functions
to be performed by the elected urban local bodies (ULBs). The
Disaster Mitigation for Achieving Human Security in India 219
Twelfth Schedule brings into the municipal domain, among others,
such areas as rural, urban and town planning, regulation of land-
use, planning for economic and social development, 'safeguarding
the interests of weaker sections of society including the
handicapped and mentally retarded,' slum improvement and up-
gradation, urban poverty alleviation, and 'promotion of cultural,
educational and aesthetic aspects'.
Constitution thus envisages urban local bodies as being totally
responsible for all aspects of development, civic services, and
environment in the cities, going far beyond the traditional role
(Economic Survey, 2003-04).
During the Tenth Plan, some key areas of water supply and
sanitation, urban transport, alleviation of urban poverty, the
housing needs of slum-dwellers, and reforms in the urban sector
with a view to strengthening the institutional and resource base
of ULBs will have to be taken up for special attention.
CONCLUSION
In a developing country like India, the real challenge remains
tackling the root causes of underdevelopment, viz. poverty,
unemployment, low purchasing power, low investment and poor
supply and demand situations in the economy. Disaster
Vulnerability is an outcome of these deep rooted causes of
vulnerability. Mitigation refers to effort for reducing the actual
or probable effects of a disaster on people, structures, economic
and social systems and the environment. Mitigation seeks to reduce
risk, that is, vulnerability to damages or losses. In this way
mitigation focuses on the human security by minimizing the
adverse impacts of the hazard or communities.
The reason to focus on mitigation disaster impacts include
rising economic and social costs of disasters, existence of technical
know-how to reduce disaster impacts and costs, and the fact that
mitigation is an integral part of sustainable development. Several
basic principles, based on successful stories can guide mitigation
efforts:
• Pre-disaster mitigation helps ensure faster recovery of a
community from the economic and other impacts of
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
Central America. Not least, this is because “in the 1990s, Central
America has played a pilot role in efforts aimed at reducing
natural disasters and has thereby achieved important progress
not only in conceptual but also in practical terms. For this to occur,
one of the essential features is the acknowledgement of the local-
, and, especially, the local government, level in preventing natural
disasters and the involvement of local stakeholders that this
implies” (Bollin, 2003: 5 [transl. by author]). To this must be added
the tremendous impact in 1998 of hurricane Mitch and of the 2001
El Salvador earthquakes which, widely covered by the media,
boosted awareness and catalysed changes in attitudes towards
more proactive stances.
BACKGROUND AND JUSTIFICATION
There is evidence to suggest that in many countries there has
been an increase in the risk of natural disasters occurring - natural
hazard risk - due to environmental degradation (World Bank
2002). Natural disasters are complex and multifaceted events
resulting from mismanaged and unmanaged risks that reflect
current conditions and historical factors (Alexander 2000). Disaster
risk is collective in its origin and remains mainly a ‘public,’ shared
risk that makes finding individual, and often community solutions,
difficult (Comfort 1999). A disaster is said to take place precisely
because the losses originated by a given event overwhelm the
capacity of a population (local, regional or national) to respond
and recover from it. Disaster risk emerges from the interaction
between a natural hazard - the external risk factor - and
vulnerability - the internal risk factor (Cardona 2001).
International consciousness raising about integrated disaster
risk management (of which disaster risk mitigation is a part) was
given a boost by the recently concluded United Nations
International Decade for Natural Disaster Reduction (IDNDR -
1990-1999). The World Food Summit in 1996 recommended
‘support for disaster prevention and preparedness’ as a priority
area of intervention. The FAO of the UN, through its Rural
Institutions and Participation Service (SDAR) “promotes
community based approaches and bottom-up capacity building
processes through participatory analysis and the dissemination
The Role of Local Institutions and their Interaction 223
(and facilitating adaptation) of new concepts and training materials
that help strengthening local public institutions and civil society
organisations such as farmer organisations, pastoral herder
associations, cooperatives, and water user associations” (FAO,
n.d.: 4).
It is within this context that increases in natural hazard risk
are addressed, given that there is growing evidence of the urgent
need to involve human resources, local population groups and
their organisations, in more vertically and horizontally integrated
efforts at DRM. The task of exploring avenues for doing so, based
on existing experiences and distilling lessons there from, thus lies
with the mandate of FAO/SDAR, who commissioned the present
literature review, and who are also carrying out a series of
complementary field-level case studies in a number of countries
in several disaster-prone developing regions.
CONCEPTUAL BACKGROUND AND WORKING DEFINITIONS
The conceptual and methodological underpinning (see FAO,
n.d.) of this report recognises that the effectiveness of any risk
mitigation strategy will depend on the nature of the risks,
household, population group and institutional characteristics, and
the availability and range of risk management alternatives. In
reference to local institutions, risk strategies are assessed
considering the type of instruments used by the poor and near
poor, the degree of formality or informality of these instruments,
and the type of actors and institutions that have typically supplied
or supported these instruments. The issues (listed in the six bullet
points in the next section) below are thus approached with a clear
commitment towards improving rural livelihoods by better
understanding and supporting people’s organisations.
The International Strategy for Disaster Reduction (Geneva
2001) defines a ‘disaster’ as ‘a serious disruption of the functioning
of society, causing widespread human, material or environmental
losses which exceed the ability of affected society to cope using
only its own resources’.
Disaster risk is usually conceptualised as being made up of
two elements, hazard and vulnerability, which can be expressed
in an equation: disaster risk = hazard x vulnerability. Risk is
224 Planning for Human Settlement in Disaster Prone Areas
therefore dependent on the existence of a household’s vulnerability
to a natural event.
Disaster Risk Mitigation (DRM) strategies refer to a household’s
or local institution’s preparedness to reduce the impact of a risk
event, either one that has already occurred or one that may occur
in future. Mitigation includes prevention and preparedness (WFP,
1998: 4).
The concept of Disaster risk management implies a notion of
household vulnerability, which is often said to contain a ‘risk
chain’: the risk itself, the options for managing risk and the outcome
- in terms of welfare loss, in the case of households, and of financial
loss and adverse consequences for sustainability in the case of
local institutions (Alwang et al. 2001).
A paper by the WFP (1998) claims that:
“A review of donor practices and the literature reveals
that there are no universally accepted definitions of the
terms [...] mitigation, prevention and preparedness.
Moreover, the distinction of terms is often blurred. In
one situation an activity may be considered to be an
act of preparedness, and in another it is prevention.
For this reason, many of the definitions found in the
literature are vague and all-encompassing.”
For lack of space, readers are referred to the literature (e.g.,
FAO 2003, IFAD 2002, Uphoff 1997) for a definition of the term
‘local institution’, as both ‘local’ and ‘institution’ are concepts that
are difficult to unpack.
The usage of the latter conforms, in the broad sense of the
term, to the widely accepted definition of ‘the rules, organisations
and social norms that facilitate the coordination of human action’.
The fact that to some large extent they are context-specific helps
us fend off the unappealing prospect of getting embroiled in long-
winding conceptualisations: for the intents and purposes of this
review we may unworriedly hope to get away with employing
the term loosely to refer to ‘an organisation of local actors’.
For lack of space (see the next Section below), the emphasis
in this endeavour is on their displaying some degree of “formality”
The Role of Local Institutions and their Interaction 225
(read as: “visibility”, for a proxy) and on their containing some
element of collective (i.e., supra-household) action.
THE DISASTER MANAGEMENT CYCLE (FAO N.D.)
The Disaster Management Cycle is illustrated in the below
diagram. It consists of a number of phases, each requiring a
different range of response activities.
The different phases, however, are often grouped together
under three main categories: the pre-emergency phase, the
emergency phase and the post-emergency phase. In the course of
this paper, the activities of UN entities in the disaster management
cycle will be examined under these three broad categories.
PRE-EMERGENCY PHASE
The emphasis in the pre-emergency phase is on reducing the
vulnerability of communities to suffer from the impact of natural
phenomena. Measures to achieve this objective include risk-
mapping, application of building codes, land zoning as well as
structural measures such as the construction of dams against
flooding. They are grouped under the heading risk reduction,
comprising prevention, mitigation and preparedness.
Prevention
Includes all measures aimed at avoiding that natural
phenomena turn into disasters for settlements, economies and the
infrastructures of communities.
Mitigation
Involves measures taken to limit the adverse impact of natural
hazards and related environmental and technological disasters.
Examples of mitigation are the retrofitting of buildings or the
installation of flood-control dams, and specific legislation.
Preparedness
Involves measures taken to ensure effective response to the
impact of disasters. Preparedness measures include, for example,
evacuation plans, early warning systems, pre-stocking of relief
items - all being part of a national disaster relief plan.
226 Planning for Human Settlement in Disaster Prone Areas
Emergency Phase
In the emergency phase of a natural disaster, response
mechanisms are automated. This phase is normally short-lived
and may be over within days or weeks.
Response
Involves measures taken immediately prior to and following
the disaster impact. Response measures are directed towards saving
life and protecting property. They deal with the immediate
disruption caused by the disaster. They include search and rescue,
and the provision of emergency food, shelter, medical assistance.
The effectiveness of responding to disasters largely depends on
the level of preparedness.
POST-EMERGENCY PHASE
The transition from relief to rehabilitation is rarely clear-cut.
On the one hand, the foundations of recovery and reconstruction
are usually laid in the immediate aftermath of a major disaster,
while emergency response activities are still ongoing. On the
other hand, there is often, in the aftermath of a natural disaster,
a phase when basic needs must still be met as the long-term
benefits of rehabilitation and reconstruction projects have not yet
been fully realised. As a result, the phasing-out of relief assistance
must be managed carefully.
Recovery
Is the process by which communities are assisted in returning
to their proper level of functioning. The recovery process can be
very protracted, in some cases up to a decade or more. Typical
activities undertaken under this phase include: restoration of
essential services and installations, and long-term measures of
reconstruction, including the replacement of buildings and
infrastructure that have been destroyed by the disaster.
Development
Its inclusion in the disaster cycle is intended to ensure that
following the natural disaster, countries factor hazard and
vulnerability considerations into their development policies and
plans, in the interest of national progress.
The Role of Local Institutions and their Interaction 227
The rationale behind the use of the expression ‘disaster
management cycle’ is that disaster and its management is a
continuum of inter-linked activities. Yet, the expression is slightly
deceiving in that it suggests that the periodic occurrence of natural
disasters is something inevitable, always requiring the same
response. On the contrary, if effective prevention and preparedness
measures are implemented, natural disasters may be avoided by
limiting the adverse impact of inevitable natural phenomena.
OBJECTIVE, METHODOLOGY AND SCOPE
The objective of this review is to demonstrate whether, on the
basis of literature available, local institutions play a role in natural
DRM at the household and at several institutional levels, and, if
they do, to understand how this occurs, and what are the strengths
and weaknesses of the actors and stakeholders involved in
increasing DRM capacity at several levels. Achieving this objective
implied:
Investigating how local institutions have dealt with actual
disaster events and/or mitigated their impact on their members/
constituencies;
Analysing how population groups in disaster-prone areas
have usually dealt with and are dealing with disaster risk,
rehabilitation and development through local institutions;
Assessing the implications of mitigating disaster risk for local
institutions and their effectiveness at doing so as well the impact
of the wider institutional environment;
Identifying lessons learnt from local institutions’ involvement
in DRM, focusing on potential improvements in terms of their role
and organisational development needs;
Providing elements of a pro-poor DRM strategy that highlights
and strengthens the role played by local institutions, and that
leaves local actors better equipped to deal with the disaster
management cycle; and
Elaborating how policy and operational support at sub-
national, national and international level can better sustain local
institutions in DRM and longer-term development. This literature
review focuses less on the myriad of “informal” local institutions
228 Planning for Human Settlement in Disaster Prone Areas
that are also standard local practices such as those derived from
custom (like, e.g., certain context-specific agricultural traditions
within a given farming system that have evolved and become
adapted over many generations to suit local exposure to potential
natural disasters). In looking at existing local institutions, emphasis
was placed on those with relatively more potential to bridge the
mitigation-development continuum, and microfinance institutions
(MFIs) were singled out as promising to that effect.
With respect to natural disasters, the present paper
concentrates on rapid onset phenomena such as floods, hurricanes,
snowstorms and earthquakes and their associated effects (e.g.,
landslides, heavy rains, etc.), rather than slow onset phenomena
such as droughts, or some other often protracted events such as
rodents, predators and pests, or human and animal epidemics -
which is another reason for more examples coming from Asia and
Latin America rather than from Africa. Neither included are
volcanic eruptions, because of their more localised effects, nor
bush and grassland fires and other such events, because these are
mostly man-made (and thus not ‘purely natural’), rather than
predominantly meteorological and seismic in origin.
The secondary data collected comes from all developing
regions and sources; the way to access the material has been
mostly through the internet, where a range of studies, project
documents, strategy briefs, newsletters, etc. has been downloaded
in either English, French, Spanish, Portuguese or German. Other
information was provided by colleagues working in or with projects
that contain DRM components.
THE PROMISE OF DECENTRALISATION
Much has been written about decentralisation and the local
civil society institutions-local governments interface, although the
political character of the process, particularly in developing
countries, has often been underestimated. “Decentralization and
participation are both means of bringing a broader section of a
given population into public decision-making processes - in a role
of informing and/or controlling those processes” (Ribot, 1999: 1).
The assumption is that greater participation in public decision
making is a positive good in itself, and/or that it can improve
The Role of Local Institutions and their Interaction 229
efficiency, equity, and, especially important in the context of local
institutions involved in DRM, development and resource
management. By bringing government decision-making closer to
the citizenry, decentralisation is widely believed to increase public
sector accountability and therefore effectiveness, whilst
contributing to the strengthening of a genuinely people-centred
type of democratic culture.
Unwittingly, local population groups themselves often do
their part to further increase their risk exposure, for example,
through unsafe settlements on steep slopes, unsustainable
deforestation leading to soil degradation, etc. This has been the
unintended outcome of a lot of spontaneous household relocation
and formal resettlement programmes promoted by government,
in which newcomers lack the necessary local agro-ecological and
farming systems knowledge to devise risk coping strategies suited
to their novel surroundings. This constitutes all the more reason
to inform local population groups about the risks they are exposed
to, involving them as responsible actors in disaster prevention
activities - usually, everyone has something to contribute to the
reduction of disaster risk hazard and should be provided with the
opportunity of doing so. It is a way of increasing the self-reliance
of the population at risk and the sustainability of disaster
prevention measures, all of which is more easily achieved at the
decentralised, local government level, and below.
As Crook and Manor (1998) argue, bringing government closer
to people increases efficiency by helping to “...tap the creativity
and resources of local communities...”. Decentralisation is believed
to increase coordination, vertical linkages (discussed in the Section
8 below) and flexibility among administrative agencies and
effectiveness in development and conservation planning and
implementation. Where it is real, local government bureaucrats
and technocrats are in a position to invest in DRM as they have
been devolved the power and provided with sufficient funds to
do so. It is however often difficult to use scarce public funds for
environmental conservation - which contains elements useful to
natural disaster prevention - given the unattractiveness of such
activities in political terms; on the other hand, it is the aftermath
of catastrophic events that provides opportunities to accumulate
230 Planning for Human Settlement in Disaster Prone Areas
political capital through (donor-funded) infrastructure
reconstruction.
In sum, if participatory, decentralisation can increase
managerial and economic efficiency by: allowing local population
groups who bear the costs of resource use decisions to make those
decisions, rather than leaving them in the hands of outsiders or
unaccountable locals, increasing efficiency by internalising
economic, social and ecological costs and benefits; reducing
administrative and management transaction costs via the proximity
of local participants, access to local skills and local information;
and using local knowledge and aspirations in project design,
implementation, management and evaluation for better matching
of actions to needs (adapted from Ribot 1999). Given that natural
disasters rarely hit whole countries, but, rather hazard risk often
varies even from one micro-region to another, it becomes essential
to use local knowledge for effective prevention measures and to
adapt these to local threats and vulnerabilities. Whereas this tends
to happen within the confines of DRM project frameworks, (as we
will see further below) this is far from being institutionalised in
the public sector.
National disaster plans may mention mitigation and
preparedness, but often lack detail and dedicated resources. Social,
political and macroeconomic pressures can undermine the capacity
of state authorities to reduce risks. Cash-strapped central
governments may simply abdicate their responsibilities, leaving
disaster management to local governments and NGOs, even
though they (know they) lack the skills and resources to do so.
In many parts of the world, fiscal and financial decentralisation
have in fact not kept up with the pace of politico-administrative
decentralisation. Local governments can thus often only count on
a narrow tax base and are not usually devolved sufficient central
funds to be able to afford “luxurious” expenses such as those
committed to NRM, let alone ex-ante investments in DRM, which
remain difficult to justify vis-à-vis local constituencies often angry
at continuing budgetary cuts in the health and education[8] sectors,
for example.
Notwithstanding this state of affairs, initiatives have been
taken in many regions, although it appears to have happened
The Role of Local Institutions and their Interaction 231
mostly through externally-financed projects and programmes.
Where these keep on occurring repeatedly, contributing to the
creation of a “handout syndrome”, government post-disaster relief
compensation programmes and international assistance may also
act as ‘incentives’ for people to locate to disaster-prone areas
(Charveriat, 2000). Certain more recently instituted local
government arrangements serve, amongst other objectives, to
contribute to alleviate the plight befalling the coffers of the local
administration: beyond their role in cross-cultural exchange,
twinning programmes between municipalities in the South and
the North, for example, seek to also bring together all types of
resources and experiences to that effect. They are often among the
first channels to be appealed to in order to mobilise supplementary
external funds to deal with emergencies such as those caused by
natural disasters, and, often more importantly, play an important
advocacy role vis-à-vis regional and national governments as well
as, sometimes, the international community.
As intermediaries with more affluent urban or industrialised
rural environments, often in Europe and in the USA, migrant
associations have sometimes also been carrying out comparable
functions. The impact of their activities tends to be more localised,
at the intra-community level, not least because of the influence
of clan-based and other kinship related social networks within
them. Although this is yet another area in which research data
are scarce, it appears that the commitment of such associations
to play a prominent role in DRM depends partly on their degree
of politicisation, both vis-à-vis their host countries and those of
their origin. With diasporas acting as financiers and fund-raisers
for the immediate rehabilitation needs of the households to whom
they are connected through familial ties, the bulk of such assistance
however tends to take place at the individual level, a phenomenon
facilitated by the increasing international outreach of commercial
money transfer services and the concomitant diversification of
transfer options.
LOCAL EMERGENCY COMMITTEES
In Costa Rica there exist more than 60 Local Emergency
Committees, at the local administrative level of the ‘canton’,
composed of the delegates of various institutions, with each
232 Planning for Human Settlement in Disaster Prone Areas
member being assigned a role in case of an emergency; these
bodies are integrated into Regional Committees.
The local committees aspire to be facilitators of community
mobilisation and organisation. Only some few institutions are
however represented permanently on the committees, which limits
their possibilities of planification and action. In certain instances,
activities are carried out such as the laying out the inventory of
resources available to face emergencies and the establishing of
several brigades (rescue, first aid, food distribution, transport,
etc.). These activities lead to the drafting of Local or Regional
Emergency Plans. The latter provide the population with
information on where to go in case of an evacuation alarm, who
will assist and be assisted, and which other activities are to be
joined.
Unsurprisingly, the extent to which DRM measures are
institutionalised and streamlined within local government systems
depends largely on the regularity and intensity with which their
constituencies keep being affected by extreme natural events. In
many parts of the world, during periods of heavy rainfall for
example, clogged up drains can have a dam effect preventing
water from flowing freely, thus creating overflows and ultimately
giving rise to flooding. In most of Latin America and the Caribbean,
like in Jamaica, drains maintenance is carried out by government
and local parish councils, which include the Parish Disaster
Committees. These are local government bodies providing
residents with evacuation procedures and are responsible for
organising and directing local disaster preparedness and
emergency relief operations in collaboration with other voluntary
agencies and the government’s emergency services.
In coastal Asia where flood risk is severe, for example in
Bangladesh and Cambodia, several projects have been built around
the concept of specifically focusing on: people’s perception of
flood risk; the purpose and tools of community flood risk
assessment; the strategies for community organisation; and
resource mobilisation and capacity building. In these cases, the
rationale for doing so can be traced back to the sequencing of
DRM activities, with an emphasis on local scoping studies and
capacity building that are to precede community interventions. In
The Role of Local Institutions and their Interaction 233
North-West China, extension mediation groups were to be used
in a similar fashion. With the exception of flood-prone
Mozambique, most of the relatively few examples of local
government involvement in DRM in Sub-Saharan Africa, on the
other hand, are not related to rapid onset phenomena such as
floods; rather, they can be found in the Sahel, where the recurrent
droughts and a strong associational culture coupled with advanced
decentralisation have led to some degree of success in coping with
these slow onset disasters.
In Mozambique, clients of the ‘Fondo de Crédito
Communitário’ (FCC), which applies a village or community
banking methodology, were facing unprecedented floods when
a cyclone hit on February 22, 2000. The flooding, considered the
worst in 50 years, caused more destruction to infrastructure than
the whole civil war experienced by the country until the early
1990s. Most FCC clients were displaced for about two months and
the emergency response phase took two more months after they
returned to their homes. As a pilot test during the emergency,
cash grants were offered directly to these households by another
organisation; FCC clients had the option of using this grant to pay
off their outstanding debt or restructure their loan in order to keep
the grant. Of a total of 89 community banks targeted, only 3 chose
to restructure. The community banks that chose to repay, paid the
loans before the anticipated repayment date. Evaluations suggest
that the cash grants did not have any negative impact on the credit
culture of FCC clients since, first, the grants were offered by a
different organisation, and second, most used the grant to repay
their loans in order to obtain a new loan.
COMMUNITY-BASED SELF-HELP APPROACHES AND OTHER CIVIL
SOCIETY INITIATIVES
In collaboration with central and local governments, one of
the first things that international project and programme assistance
as well as international and local NGOs tend to do as a response
to natural disaster is to initiate Food-For-Work (FFW) programmes.
These seek to provide people in affected villages with interim
food security and to facilitate the rehabilitation or construction of
community assets such as water sources, irrigation facilities (canals
and earthen check-dams), roads, and other civic infrastructure,
234 Planning for Human Settlement in Disaster Prone Areas
economic and social (schools, health centres, etc.). Community
based self-help approaches to DRM are rare where there is
widespread poverty, which makes such not immediately tangible
investments almost a luxury, and rarely a priority. Investments
in disaster mitigation and preparedness in particular tend to be
less than optimal due to the public good nature of safety and the
differences in levels of risks and risk perception among community
members (Charveriat 2000). Whilst the latter is correlated, beyond
basic human safety and security, with asset ownership, even where
it would be desirable that line agencies support the coping strategies
of the rural poor, the absence and fluidity of household typologies
for DRM planning entails the risk of the government providing
‘club goods’. Drought response programmes, for example, should
not distribute feed indiscriminately but target core breeding
animals that can be circulated as part of customary solidarity
schemes on a community-wide basis. Whereas some more in-
depth information is available since the 1990s in particular on the
household strategies adopted to face chronic or seasonal poverty,
much less research has been done regarding hazard risk exposure
and the endogenous responses thereto.
In North-West China, informal herder groups counteract risk
and manage disaster situations by jointly preparing emergency
plans and organising pasture movements should an emergency
situation such as a snow storm occur (Yongong et al. 1999).
“According to the herders, village leaders and production team
leaders are the most active persons in dealing with the risk
management (...). They even fulfil extension tasks, since there are
no township and village extension line agencies (...). (...) In those
townships which have no concentrated village settlement pattern,
there is another non governmental informal organization locally
called “zhangquan” situated between the production team and
households. A “zhangquan” normally composes about 4-5 herder's
households on average. In general, they are comprised of families
or of neighboring families settled in the same area. Generally,
these individuals collaborate as unofficially formed herders groups.
Such groups jointly organize the grazing, they exchange their
labor force, share information, protect animals from theft, address
risk avoidance, organize meetings and make decisions together”
(Yongong et al. 1999: 11).
The Role of Local Institutions and their Interaction 235
Yongong et al. (1999) further find that during a disaster
situation, the first action of herders is to contact the nearest
households, which are normally the family relatives or herder
group members for mutual assistance. The next step is to procure
assistance from the community leaders, village leaders or
production team leaders, who have contact with outside
institutions. In cases of severe emergencies and damage,
governmental relief actions from the upper levels have to be
obtained through township governors, village leaders and
production team leaders.
In the African Great Lakes Region, there exists a traditional
local institution similar to the “zhangquan”, the “nyumbakumi”
(originally a Kiswahili word, meaning literally “ten houses”). The
household heads of the houses of ten families elect what may be
referred to as a “focal point”, namely, someone to take up
management responsibility over a broad range of issues affecting
their everyday lives: first and foremost, the security concerns of
humans, animals, and crops. The “nyumbakumi” are, in a way,
the civil society equivalent to what at the lowest level of Rwanda’s
local government system are called the Secretaries in charge of
Security, who are members of what is referred to as the Cell
Executive Committee. Given the region’s sad track record of social
conflict and genocidal crime, these customary leaders have had
much less to do with DRM than with the threat of armed groups
attacking their constituencies. Depending on how the attitude
governments take vis-à-vis these local institutions will evolve,
however, their role holds much potential for the provision of
support to community-driven DRM initiatives.
If we include ‘organising practices’ under the umbrella term
of ‘customary local institutions’ in the agricultural sector, examples
of elements in DRM become countless, having evolved from
generation to generation as locality-specific responses to natural
hazard risk.
To give but one illustration from what is perhaps the country
worst affected anywhere in the world by flash floods, Bangladesh,
there, traditional cropping patterns are normally closely adapted
to seasonal flooding characteristics. Farmers have selected many
rice varieties adapted to local micro-environments, considering
236 Planning for Human Settlement in Disaster Prone Areas
flooding depth and duration as well as brackish water conditions.
To take advantage of the fish spread over large areas of the flood
plains during seasonal flooding, rural households also engage in
casual fishing in artificial stock ponds next to their houses (Wood
1999). Floods have thus become part and parcel of rural livelihood
strategies, and new ways continue to be found for better coping
with their impact on food security and human welfare. The
investigation of rural livelihood strategies through the Sustainable
Livelihoods ‘lens’ can provide an important means of learning
more about how to strengthen household resilience to cope with
shocks.
A recent review of IFRC (2003) finds that: “..., the main
weakness of community-based initiatives is their limited outreach.
Scaling up to achieve greater impact needs the participation of
government. Yet the state and its apparatus are often seen as part
of the problem”.
HORIZONTAL AND VERTICAL INSTITUTIONAL INTERACTIONS AT LOCAL-
, MESO-, AND MACRO LEVELS
Disaster risk mitigation is a cyclical, dynamic process that
requires continuous adjustments, decision making and interaction
at different yet interrelated levels and among a variety of
institutions and actors, including individuals, households,
communities, non-governmental organizations, market
institutions, and government (World Bank, 2001; Mileti, 1999).
Local institutions may thus appear on the scene at various stages;
regrettably, not many case studies exist on the role they play or
may play during the different phases or throughout the DRM
cycle.
Following the latest earthquake in Gujarat (India), the
decentralised and well coordinated nature of its relief distribution
network enabled SEWA to provide adequate and timely post-
disaster assistance. A three tier mechanism, with teams working
from the village through the district to the state level, was adopted
by the institution to carry out its earthquake response and assistance
programme. At the community and district level, teams ensured
that the distribution of relief materials was adequate and timely.
At the State level - which in smaller countries could be said to
The Role of Local Institutions and their Interaction 237
correspond to the national level - mechanisms were established
to ensure coordination with concerned actors such as officials
from the Government control room and external aid cell, donors,
United Nations agencies, NGOs, and the private sector. SEWA,
an already much respected and inspiring institution, thus gave
further proof of its logistical capacity and technical competence.
Demand-driven (and often project-confined) processes of
participation do not always meet the supply-driven (and often
top-down) processes of decentralisation, and in some cases both
are mostly externally driven. Even in historically relatively more
inward-looking countries such as China, Yongong et al. (1999)
find for the North-West that “since the establishment of the
household responsibility system, herders' groups are even playing
important roles in risk management actively mediating between
household and production team level. Village leaders and
production team leaders play important roles in risk management,
poverty alleviation and extension as agents of the administrative
line agencies at the community level. They hold both coordinating
and management functions during disaster emergencies as well
as during disaster prevention and recovering periods. [Yet,]
although the Chinese institutional reform was launched in 1998,
the community organizations have not yet been reached by the
reform taking place at the higher institutional levels” (pp. 7, 18).
Helping to provide better access to information and its flow
between different levels of the administrative system, in Orissa
(India), some NGOs ran Legal Aid Centres with the aim of
sensitising cyclone-affected people about their legal rights to
compensation by government.
The authors of the report describe constraints experienced by
responding to disaster through local government in Orissa, India
as follows: “Within most governments there are real difficulties
in achieving integration between sectors at the policy making
level. In India integrated planning does occur to a certain degree
at the district levels where district and block level planning brings
the line ministries together in a more coordinated and harmonised
way. DfID India did encourage a more geographical basis for
planning but this did not emerge. Had this been taken forward
with support to develop proposals on a district-by-district basis
238 Planning for Human Settlement in Disaster Prone Areas
it may have created the conditions required for the desired level
of sectoral integration. This in turn would have been a significant
opportunity to build experience and awareness within government
of a more integrated and holistic approach which would have
provided longer-term benefits in the implementation of the
Western Orissa Livelihoods Project” (p32).
MAPPING LOCAL INSTITUTIONS IN THE DISASTER RISK MITIGATION
CYCLE
Preparedness: Insurance
In developing countries, it is difficult to establish the link
between insurance and mitigation. The need for mitigation is high
as many structures are completely uninsurable since they are not
only located in settlements without basic services and/or in flood
plains or other places with high probability of disaster occurrence.
In addition, many of these structures are not built with solid
materials and appropriate building standards, while their
occupants often lack legal ownership title (World Bank 1999). The
poor, in addition, do not have adequate financial incentives, let
alone the means to take mitigation actions. Local governments,
at the same time, lack the capacity to develop and enforce land
use management plans and building standards to improve the
conditions of these settlements.
Insurers wanting to provide insurance services to the poor
face the challenge of setting up affordable rates which can also
ensure the financial sustainability of the programme. In the end,
even if a risk is considered insurable, it may not be profitable or
sustainable, since, as Kunreuther (1998) puts it,”...it may be
impossible to specify a rate for which there is sufficient demand
and incoming revenue to cover the development, marketing, and
claim costs of the insurance and still yield a net positive profit”
(p27). This was precisely the experience of insurance companies
in the USA that led them to declare flood risk as unmarketable.
Without a mandatory requirement it is difficult to spread the risk
among a large number of people in order to provide affordable
insurance rates.
Under certain circumstances, even when risks are technically
insurable, there may be alternative risk management products
The Role of Local Institutions and their Interaction 239
that are more adequate, such as savings and emergency funds.
It may be feasible to provide disaster insurance services, but given
high risk exposure levels, insurance premiums will most likely
have to be set at a rate that only few can afford. In countries like
Mexico, for instance, low coverage stems in part from the high
premium prices that the insurance industry has to charge in zones
that are highly prone to earthquakes (World Bank 1999). In low
risk exposure areas, people do not have the incentive to buy
insurance coverage, which further reduces the insurer’s scope to
bring down costs to a viable level through cross-subsidisation.
Proshika
Proshika in Bangladesh has developed some relatively simple
yet effective insurance mechanisms as part of its policies for risk
and vulnerability management. These mechanisms include
Proshika Savings Scheme (PSS) and Participatory Livestock
Compensation Fund (PLCF). The PLCF was introduced in 1990,
and it covers the loss caused by sudden death of farm animals
and poultry, specifically cattle, goats and chickens. Each group of
borrowers contributes 3 to 5 percent of the purchase value of the
animals to this fund.
SEWA (see Section 6 above) provides comprehensive coverage
to its members. SEWA started its integrated insurance programme
in 1992, as a collaboration between SEWA, SEWA Bank and the
nationalised insurance companies. Eventually, SEWA established
its own insurance company, VimoSEWA, which according to the
most recent figures, has insured about 90,000 women and men in
Gujarat. The current insurance programme offered by this
institution consists of a group insurance package linked with
other insurance companies. Specifically, the programme has three
different insurance packages including life, accidental death,
hospitalisation and maternity, and loss of housing and other assets.
In terms of asset protection, SEWA provides coverage to members
for losses related to natural disasters such as fire and flood, and
man made disasters such as riots. Interestingly, the insurance
scheme is linked with savings: women who want to become long-
term members of the insurance scheme can deposit a certain
amount in SEWA Bank and the annual premium is paid from the
interest accrued from this deposit. Over the last five years, SEWA
240 Planning for Human Settlement in Disaster Prone Areas
members have had to cope with one flood, two cyclones, three
droughts, one epidemic and a catastrophic earthquake.
An approach seen as very promising are index and area-
based contracts to insure natural disasters. Area-based index
insurance is provided through contracts written against specific
perils or events such as area yield loss, drought, or flood, defined
and recorded at a regional level via, for example, local weather
stations. The insurance is sold in standard units, with a standard
contract or certificate for each unit sold (known as a Standard Unit
Contract). All buyers are free to buy as many units of the insurance
as they want, pay the same premium rate for a Standard Unit
Contract in a given region, and receive the same indemnity if the
insured event takes place. A good example of this type of insurance
is area-based crop yield insurance. Usually, for example, in India,
insurance is written against the average yield of a region, and a
payment is made if the measured yield for the region falls below
the pre-defined limit. Area-based yield insurance requires long
and reliable series of area-yield data, a kind of data not usually
available in many countries. Alternative indices such as rainfall
and soil moisture can be used instead of historical area-yield data.
The same borrowing groups used for savings and lending services
can be used as conduit to sell area-based index insurance.
Disaster insurance, although not a mitigation strategy per se
- as it redistributes rather than reduces losses - should promote
the adoption of loss reduction measures. Pantoja (2002) finds that
for the most part, MFIs have not managed to tap into the potential
of insurance as an instrument to assist clients in their risk
management efforts.
MITIGATION: MICROFINANCE INSTITUTIONS
Local MFIs can undertake a wide range of complementary
activities to mitigate disaster risk, and thereby contribute to ensure
that emergency responses become more community-based and
sustainable. MFIs have an important role to play by promoting
disaster risk and vulnerability assessments of their clients. Although
further research is required, several factors seem to influence the
effectiveness of MFIs during disasters. Those institutions with
good leadership, sound financial management and accounting
The Role of Local Institutions and their Interaction 241
systems, and a certain level of disaster preparedness manage to
respond faster and better to the disaster situation. Rapid access
to cash, made available in the form of emergency funds or through
efficient transfer of external funds, are particularly critical.
Having committed and easy to deploy field staff allows certain
MFIs to carry out damage assessments rapidly and to monitor the
situation closely. In turn, damage assessments and close monitoring
of the situation enables these institutions to respond better to their
clients’ needs, and the assessments provide them later on with
more accurate estimates of the funds needed for the recovery
process. Another critical factor influencing the relative success of
MFIs’ assistance during disasters is the level of engagement with,
and relative dependency on donors and international NGOs.
Currently, involvement of microfinance in disaster risk
management in many countries remains highly vulnerable to the
ebbs and flows of donor funding. Given ongoing relationships,
donors and governments have typically found it practical to
channel emergency and recovery funds through MFIs. In fact, the
major source of funds for the products and services offered by
MFIs in post-disaster situations has been grants from donors.
Setting up new MFIs as a post-disaster response, however, may
not be effective because these institutions would lack experience,
and knowledge of the area and of the affected households.
Most MFIs today would not consider debt forgiveness as part
of their post-disaster efforts. Past experiences indicate that, even
though debt forgiveness brought immediate relief to affected
borrowers, it undermined years of work of the microfinance sector
aimed at fighting the “handout syndrome” and creating a culture
of repayment and financial discipline. At the same time, debt
forgiveness may increase the losses suffered by the institutions
and exacerbate their liquidity constraints, while making them
more dependent on donors or government support. Although
context-specific, the long-term negative consequences on the impact
and sustainability of the microfinance institution may often
probably be higher than the immediate benefits enjoyed by
borrowers.
In Nicaragua, the ‘Asociación de Consultores para el Desarrollo
de la Pequeña, Mediana y Micro-Empresa’ (ACODEP), one of the
242 Planning for Human Settlement in Disaster Prone Areas
largest MFIs in the country, has been learning from the experience
of hurricane Mitch in 1998 and more recent disasters. The
association has developed a ‘Disaster Prevention Plan’ whose
objectives are to identify, prepare for and mitigate natural and
manmade disasters in order to protect the institution, its clients
and staff from possible losses. The Plan is rather comprehensive,
including measures to protect the institution’s staff, portfolio,
facilities, equipment and information systems and records, as well
as measures to better respond to the many disasters that affect
Nicaragua. The Plan recognises that priority should be given to
assisting clients in finding medical aid, contacting relief
organisations and joining FFW programmes, but, in keeping with
the sector’s orthodox ‘best practices’, it does not consider that the
institution should provide relief directly.
THE PALLI KARMA SAHAYAK FOUNDATION
Albeit specific to the context of Bangladesh and its
characteristics, the ‘disaster management fund’ provided by the
Palli Karma Sahayak Foundation (PKSF) is an interesting example
of a well regarded apex organisation providing low cost funds to
poverty-oriented MFIs, and helping to set norms and standards
for the sector. Because of its relatively good performance since it
was established by the government in 1990, PKSF has increasingly
received donor funds. In 2000, PKSF had about 172 partner
organisations (POs), which were providing microfinance services
to 1.8 million poor people.
After the 1998 floods in Bangladesh, many partner
organisations turned to PKSF for badly needed funds since it is
the premier refinancing body for most of them. PKSF met the
challenge by rapidly disbursing close to 1 billion taka, a
considerable amount of its regular funds. PKSF also set apart a
relatively small amount (10 million taka or US $200,000) as a grant
contribution to establish a more permanent ‘disaster management
fund.’ The POs are expected to help increase the size of the fund
by contributing a portion of their income from service charges.
In future, POs will be able to access the fund when they consider
it necessary for localised disasters affecting a small number of
clients, and not just when a national disaster is officially declared.
Simultaneously, PKSF approached the government and donors to
The Role of Local Institutions and their Interaction 243
promote the involvement of its POs in the flood response and
recovery process (Pantoja 2002).
ACODEP’s plan is interesting in that it further outlines a
basic, flexible credit policy for disaster emergency and recovery,
and the creation of a disaster loan fund, to help the association
prepare for possible cash flow demands and control credit and
liquidity risks.
Specifically, the plan establishes that the institution will, inter
alia, stop collecting payments during the emergency period; allow
clients to withdraw their deposits (which are normally used as
collateral); stop lending (short-term loans of 1 or 2 months, with
special interest rates, would be granted in cases of severe
emergencies for household needs such as food or medicines); and,
on the basis of a field damage assessment, prepare loan
restructuring and refinancing plans, considering two types of
situations: restructuring loans where clients lose their housing but
productive assets are not affected and/or they are severely injured,
and refinancing loans when productive assets are lost but clients
escaped the disaster unharmed (Pantoja 2002). Most disaster or
emergency loan funds have at least two levels of terms and
conditions, as money needs to be transferred from them to MFIs
and from there to clients.
In Bangladesh, the Grameen Bank has set up a comprehensive
system to mitigate possible liquidity shortages after a disaster,
based on three mechanisms operating at different levels: the group
level, the centre level and the institutional level. Each lending
group has to create an emergency fund towards which each
member pays 5 percent of each loan; in each of the 65,000 centres,
borrowers have to contribute approximately 25 percent of the
total interest they owe into a centre disaster fund; and the Grameen
Bank keeps US $100 m as a disaster fund.
Disaster Risk Management strategies of Microfinance
Institutions (MFIs) (source: Pantoja 2002)
(1) Systematic identification, reduction and transfer of disaster
risks faced by the MFI itself
- Identification and assessment of disaster risk and
vulnerability of staff, facilities, equipment, and information
systems and records
244 Planning for Human Settlement in Disaster Prone Areas
- Preparation of Institutional Disaster Response Plan
- Train staff on disaster emergency and damage assessment
- Agree with donors and government agencies on disaster
response role
- Relocation and/or retrofitting of vulnerable facilities,
equipment, and information systems
- Protection of financial and other historical records
- Purchase of own insurance and reinsurance
- Help staff retrofit their housing/find safer locations
- Conduct damage and need assessments of staff and affected
branches
- Assist affected staff
(2) Integration of disaster risk into overall risk management
system
Institutional Risks
- Ensure balance between humanitarian assistance and
financial health
- Develop sound management information systems
- Strengthen financial viability of products and services
- Minimise reputation risk by providing adequate assistance
to clients
- Ensure balance between humanitarian assistance and
financial health
Operational Risks
- Prepare Operational Disaster Response Plan
- Monitor portfolio quality
- Maintain sound internal control systems
- Introduce flexibility into lending methodology
- Establish clear refinancing/debt restructuring policies and
savings withdrawals limits, if applicable
- Diversify portfolio geographically and sectorally
- Maintain flow of credit open and allow debt restructuring
under pre-established terms
- Monitor security risks
The Role of Local Institutions and their Interaction 245
Financial Management Risks
- Estimate probable cash flow needs
- Ensure availability of funds through disaster fund, or rapid
access to commercial or donor funds
- Mobilise savings
- Ensure availability of funds through disaster fund, or rapid
access to commercial or donor funds
- Mobilise savings
- Avoid over-reliance on savings to fund loans
- Monitor efficiency levels (costs per unit per output)
- Avoid subsidised interest rates
(3) Development of products and services to assist clients in
disaster risk management
- Promote assessment of clients’ disaster risk exposure
- Promote training of clients on disaster emergency response
- Mobilise savings
- Raise disaster awareness
- Promote sound land use and natural resource management
- Provide products for housing improvements and
construction in safer locations
- Offer savings and insurance products
- Maintain flow of credit open and allow debt restructuring
under pre-established terms
- Promote mitigation practices and technologies
In the same country and in a manner similar to ACODEP,
although on a smaller scale, the Association for Social Advancement
(ASA) has established a permanent disaster loan product to offer
to their clients after a disaster: loans range from 500 to 1,000 taka
each, are interest free, and must be paid back within two years
through 100 equal weekly instalments (Rahman 1999).
Faced by natural disasters, many MFIs have consistently
managed to maintain discipline in their existing projects and
sometimes even been able to use these events as opportunities to
strengthen the sector. In several cases, they have been found to
come together in an informal manner to avoid the impact of
246 Planning for Human Settlement in Disaster Prone Areas
adverse decisions such as government directives to forgive debts
- a relief strategy often resorted to in the past. Thus, “their efforts
would be supported greatly if donors and governments agree on
disaster response and recovery policies for the microfinance sector
before a disaster occurs” (Pantoja, 2002: 31). Vulnerabilities will
change over time as MFIs evolve and expand, and their portfolio
changes.
Governments and donors have an important role to play in
promoting the adoption of DRM strategies in the microfinance
sector, and evaluate their results, in order to maintain appropriate
policies and procedures.
MFIs can carry out important functions in preparedness,
reduction or mitigation and risk transfer, and response (coping)
and recovery. Unfortunately, they have been doing this much less
than would be desirable, so that these examples are drawn from
relatively few practical experiences.
Similar to the rescheduling of compulsory savings, loan
rescheduling may help clients and protect the MFI by allowing
clients to repay loans in a flexible manner.
By giving affected clients the option to delay repayments on
their loans for a specified time, MFIs can counteract the probability
of defaults and reduce financial losses (Nagarajan and Brown
2000). Empirical evidence indicates that disaster-stricken borrowers
do not necessarily insist on debt forgiveness, and are willing to
accept assistance to improve their liquidity through, for instance,
cash or in-kind relief loans, and access to savings.
Emergency loans might be a good mechanism to help affected
households, and other demand-based financial services, such as
channelling remittances, which can be offered to everybody across
the affected area and which would ease cash flow problems of
clients and non-clients.
The provision of technical supervision is an unavoidable
requirement of a housing programme if one of the objectives is
to improve building standards and practices that take disaster risk
reduction into consideration. Experienced MFIs do not recommend
using the solidarity group lending methodology for home
improvement loans.
The Role of Local Institutions and their Interaction 247
ELEMENTS OF A TYPOLOGY OF SUCCESSFUL LOCAL INSTITUTIONS IN
DISASTER RISK MITIGATION
At the institutional level, disaster risk exposure - and eventually
disaster impact - is related to the size, age and level of financial
and operational sustainability of a local organisation. Yet, the
picture emerging from the literature is too patchy and thin to
allow more conjectures about what a “typical” local institution
that is successful at DRM looks like, mostly, because the vast
heterogeneity of actors involved defies such extrapolative attempts.
Common traits are definitely transparency and flexibility, in
technical, administrative and financial terms (see the Box in this
Section).
One area where some work has been carried out is in the
realm of MFIs. Pantoja (2002) suggests that, at a general level, the
potential of microfinance institutions to deal with their own disaster
risk exposure and to assist their clients in disaster risk management
will depend on sector and institutional level factors. At the level
of individual institutions, these factors include the degree of
formality or informality, the dependence on donor or government
funds, the level of financial and operational sustainability, and the
decision to offer subsidised credit for poverty alleviation. Overall,
small, locally based MFIs are thus likely to be more vulnerable
to natural disasters or fluctuations in agricultural yields than
larger, more geographically dispersed institutions (World Bank
2000). Pantoja (2002) concludes that although it is likely that a
microfinance institution which is a good micro lender and good
in micro savings will have more alternatives at hand to mainstream
disaster risk management strategies to protect its clients, its
portfolio and its facilities, convincing evidence has not yet been
collected.
FLEXIBILITY AT WORK (1): ACK-MDO, KENYA
In the Marsabit Drought Relief Project (implemented by the
Anglican Church of Kenya-Marsabit Develop-ment Office, funded
by DfID), the ability to switch from animal destocking to restocking
in response to changing needs was critical. One of the lessons of
the intervention was the importance of donor flexibility: without
the need for a second proposal, DFID was able to approve the
248 Planning for Human Settlement in Disaster Prone Areas
implementing agency’s switch from destocking to restocking
within two weeks.
FLEXIBILITY AT WORK (2): PRO-MUJER, NICARAGUA
Pro-Mujer is a medium-sized institution in Nicaragua with
direct international links providing financial and non-financial
services such as basic health services and technical assistance in
business skills to about 5,800 women. After hurricane Mitch
devastated the region in October 1998, it assumed a relief agency
role as, for about two weeks, the focal centres of Pro-Mujer became
relief facilities. Pro-Mujer staff temporarily stopped credit and
training operations, postponed disbursements to new associations,
and used training centres to counsel clients and distribute food
donations. Moreover, it quickly managed to deploy trainers who
could teach clients and their families on hygienic strategies and
preventive health measures for a post-disaster situation. Pro-Mujer
staff also worked directly with clients to determine their needs
and reassure them that the programme would continue, and
brought in a consultant to conduct workshops on emotional
recovery (Pantoja 2002).
Local institutions including very poor members or reaching
very poor clients will tend to be more vulnerable to disasters. The
client profile, at the same time, is affected by the lending
methodology of the organisation, which in turn may affect financial
viability of its programmes. Mostly, a trade off exists between
reaching poorer groups and financial sustainability. In this respect,
some have questioned the financial viability of village banking
institutions, while others have found these institutions to be more
vulnerable than solidarity group or individual lending institutions
due to their focus on rural areas and on delivering small loans
to very poor clients. Typically, for instance, the younger and/or
smaller institutions have a more difficult time in responding to
disasters, in operating during the emergency period, and in
implementing effective disaster risk preparedness and mitigation
strategies.
In the case of MFIs, the characteristics described above
underline another important factor: outreach, which influences
external risks related to clients’ socio-economic profile, competition
The Role of Local Institutions and their Interaction 249
environment, and the physical environment where the institution
delivers its services and its clients live. The scale or breadth of
outreach will also influence risk exposure of the institution
depending on whether its clients tend to concentrate in economic
sectors and activities that are highly exposed to disaster risk. As
experience suggests, geographical diversification through a wide
network allows MFIs to cross-subsidise (through risk-pooling)
disaster risk management activities. On the other hand,
geographical dispersion may increase risk exposure of an institution
if most of its network is located in remote, disadvantaged areas
that under normal circumstances represent higher operational
costs.
When MFIs link credit directly with nonfinancial services
such as training in disaster preparedness, to borrowers these costs
are very rarely recovered by revenues. Provision of auxiliary
services such as disaster preparedness training tends to be
negatively correlated with financial sustainability, which is vital
for any microfinance institution to face future disasters and to
develop a viable disaster risk management strategy. In practice,
many NGOs in the process of becoming formal financial institutions
have chosen to transfer the majority of their microfinance portfolio
to the formal institution they have created, while keeping the
original NGO structure to address credit needs of the poorer
clients and implement developmental activities.
HOW TO FACILITATE INSTITUTIONAL LINKAGES AND FOSTER A
COLLABORATIVE APPROACH
The recent hurricane Mitch In Latin America (which is said
to have set back the development of Honduras by 20 years) and
Orissa cyclone in South Asia have had major impacts on the
countries’ respective institutional environments and organisational
set-ups. These regulate the collaboration among civil society and
government stakeholders, and, ideally, should seek to exploit the
comparative advantages of both. “Experience in Orissa and in
other parts of India shows that NGO focus on sector-specific
issues such as livelihood, community organisation, community
asset creation, women group formation, etc. accelerates social and
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
252 Planning for Human Settlement in Disaster Prone Areas
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254 Planning for Human Settlement in Disaster Prone Areas
INDEX
A Cyclone, 57, 61, 101, 110, 152,
155, 170, 233, 237, 249, 250.
Administration, 119, 125, 128,
132, 138, 141, 142, 167, 174,
D Financial Management Risks, 245.
180, 182, 184, 214, 216, 231.
Disaster Management, 46, 48, 49,
Agency, 65, 130, 139, 172, 194,
54, 56, 61, 62, 64, 69, 70,
199, 201, 202, 203, 248, 250.
73, 74, 76, 78, 152, 158, 165,
Authority, 17, 23, 45, 90, 93,
167, 169, 170, 171, 172, 176,
94, 96, 100, 108, 109, 111,
179, 181, 183, 190, 191, 192,
112, 115, 116, 117, 127, 129,
193, 203, 204, 214, 215, 218,
130, 139, 218, 250.
221, 225, 227, 230, 242, 250.
B Disaster Prevention, 31, 45, 46,
48, 50, 69, 76, 158, 167, 222,
Business, 33, 67, 68, 75, 100,
229, 237, 242.
122, 130, 138, 141, 175, 184,
Disaster Prone Areas, 4, 9, 44, 56,
189, 190, 194, 248.
170, 171, 209, 215.
C Disaster Risk, 69, 70, 76, 77, 78,
79, 80, 81, 82, 146, 178, 179,
Casualty Management, 165.
183, 184, 191, 221, 222, 223,
Communication, 46, 47, 48, 49,
224, 227, 229, 236, 238, 240,
51, 53, 55, 58, 59, 123, 164,
241, 243, 244, 245, 246, 247,
165, 166, 197, 200.
248, 249.
Company, 111, 115, 116, 239.
Consumer, 133.
E I
Cooperation, 29, 31, 46, 51, 53,
Earthquake, 1, 2, 3, 26, 33, 34,
62, 87, 131, 142, 197, 198,
35, 36, 37, 38, 39, 40, 41,
199.
43, 63, 68, 82, 143, 152, 153,
Corporation, 67, 108, 109, 111,
154, 170, 185, 236, 240.
135.
Energy, 8, 9, 10, 18, 28, 34,
Culture, 9, 14, 23, 48, 76, 111,
92, 96, 98, 155, 216, 218.
145, 175, 176, 180, 183, 184,
Environmental Disasters, 25, 27,
218, 229, 233, 241.
28, 29, 30, 62.
Customary Land, 87, 104, 113,
Environmental Management, 11, 94,
117, 118, 119, 120, 127, 132,
105, 106.
136, 137, 142.
Index
Environments, 34, 79, 94, 99,
113, 135, 178, 207, 209, 231,
235, 249.
Evaluation, 8, 15, 24, 162, 169,
170, 230.
Evidence, 34, 71, 82, 88, 148,
222, 223, 246, 247.
F 128, 133, 134, 136, 146,
Finance, 6, 95, 105, 106, 107,
109, 111, 117, 130, 131, 134,
135, 138, 141, 183, 189, 190.
G
Governance, 87, 94, 125, 126,
128, 129, 139, 140, 173, 182,
187, 190, 191, 193, 203, 218.
Gram Panchayat, 56, 58, 59, 250.
H Mechanisms, 38, 63, 69, 87, 109,
Housing Development, 78, 123, 135.
Human Resource Development, 10,
98, 124, 125, 198, 199.
Human Security, 203, 204, 205,
206, 207, 208, 209, 211, 212,
214, 215, 217, 218, 219, 220.
Human Settlement Development, 5,
6, 11, 98.
Human Settlement Planning, 9, 12,
14, 21, 24, 98.
Industry, 7, 9, 10, 98, 109, 110,
116, 117, 123, 135, 200, 201,
239.
Information, 2, 10, 11, 19, 24,
27, 30, 31, 32, 46, 47, 48,
51, 52, 53, 56, 57, 83, 87,
90, 92, 95, 115, 121, 123,
125, 131, 134, 139, 140, 142,
161, 162, 163, 164, 165, 166,
169, 171, 186, 192, 197, 198,
255
217, 221, 228, 230, 232, 234,
237, 242, 243, 244.
Insurance, 1, 46, 59, 83, 111,
148, 207, 238, 239, 240, 244,
245.
Investment, 4, 36, 51, 89, 92,
93, 95, 96, 102, 103, 105,
110, 111, 112, 113, 116, 119,
173,
177, 183, 200, 215, 217, 219.
L
Land Development, 116, 117, 120,
123, 124, 132, 136, 137, 138,
142.
Land Management, 7, 25, 26, 30,
31, 121, 124, 137.
M
Mandal Panchayat, 57, 58, 60.
122, 125, 130, 131, 135, 136,
166, 173, 178, 180, 183, 185,
192, 195, 198, 212, 226, 237,
239, 243.
Methodology, 72, 227, 233, 244,
247, 248.
N
National Economic Development, 90,
92, 95, 96, 126, 132, 133.
Natural Disaster, 1, 23, 31, 56,
58, 61, 63, 69, 84, 160, 222,
226, 229, 233.
Nature, 17, 53, 64, 89, 90, 100,
104, 105, 131, 140, 153, 159,
175, 193, 223, 234, 236.
Network, 4, 11, 16, 20, 22, 28,
29, 41, 68, 102, 123, 149,
200, 236, 249, 250.
O
Operations, 4, 19, 47, 55, 57,
256 Planning for Human Settlement in Disaster Prone Areas
58, 59, 107, 108, 123, 139,
170, 185, 186, 232, 248.
Ownership, 36, 73, 77, 110, 117,
118, 119, 120, 121, 127, 176,
187, 191, 234, 238.
P Sustainable Energy, 8, 98.
Panchayat Role, 56, 58, 59.
Performance, 38, 41, 105, 117,
242.
Physical Planning, 6, 92, 93, 94,
95, 133, 138.
Private Sector, 45, 51, 52, 107,
108, 109, 123, 128, 130, 134,
135, 139, 140, 180, 184, 189,
193, 204, 220, 237.
Project, 4, 74, 80, 81, 82, 83,
84, 114, 115, 122, 191, 193,
199, 200, 228, 230, 233, 237,
238, 247.
Protection, 7, 16, 18, 20, 26, 29,
34, 42, 56, 65, 96, 106, 137,
143, 166, 169, 179, 180, 186,
188, 193, 204, 239, 244.
Provisions, 5, 69, 116, 128.
R Human Security in India
Regional Planning, 16, 17, 18,
124.
Risk Avoidance, 234, 251.
Risk Management, 30, 44, 62, 64,
70, 77, 145, 148, 149, 206,
222, 223, 224, 234, 237, 238,
240, 241, 243, 244, 245, 247,
249, 250, 251.
Risk Mitigation, 64, 221, 222, 223,
224, 236, 238, 247.
Rural Development, 16, 17, 21, 28,
51, 52, 53, 70, 91, 132, 133,
214.
Planning for Human Settlement in Disaster Prone Areas 257
S
Solid Waste Management, 7, 99,
104, 134, 169.
Spatial Planning, 4, 25, 26, 30.
Sustainable Construction, 9, 98.
Sustainable Human Settlements, 45,
CONTENTS
86, 98, 97, 99, 176, 177, 178.
T Preface
Technology, 10, 31, 35, 37, 48,
50, 51, 104, 107, 110, 121, 1. Introduction 1
124, 125, 137, 158, 190, 195,
2. Spatial Planning and Land Management 25
196, 197, 198, 199, 200, 201,
205, 215. 3. Land Use Planning in Earthquake-prone Areas 33
Treatments, 151.
Tsunamis, 34, 72, 151, 154, 156, 4. Sustainable Human Settlements 45
166, 209.
5. Natural Disaster Recovery Planning 61
U
6. Strategies for Future 85
Urban Development, 7, 18, 19, 26,
28, 29, 87, 89, 91, 93, 94, 7. Disaster and After 150
96, 102, 118, 123, 124, 128,
131, 132, 133, 136, 138, 139, 8. Sustainable Relief and Reconstruction 172
142, 215.
Urban Expansion, 7, 19, 20, 93.
9. Disaster Mitigation for Achieving
203
Urban Infrastructure, 96, 102, 105,
124, 133, 134, 139.
10. The Role of Local Institutions and their Interaction 221
Urban Management, 6, 87, 95, 96,
98, 103, 117, 121, 122, 124, Bibliography 252
126, 127, 128, 131, 132, 138,
139, 140, 142, 182. Index 254
W
Waste Management, 7, 92, 98, 99,
104, 132, 134, 142, 169.
Welfare, 19, 34, 123, 224, 236.
Z
Zilla Panchaya, 57.
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