Date post: | 03-Apr-2018 |
Category: |
Documents |
Upload: | andres-maria-ramirez |
View: | 219 times |
Download: | 0 times |
of 33
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
1/33
SUMMARY
Climate Change, Disaster Risand the Urban Poor
Cities Building Resiliencefor a Changing World
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
2/33
SUMMARY
Climate Change,Disaster Risk, andthe Urban Poor
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
3/33
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
4/33
SUMMARY
Climate Change,Disaster Risk, andthe Urban Poor
Cities Building Resiliencefor a Changing World
June 2011
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
5/33
2011 The International Bank or Reconstruction and Development/The World Bank
1818 H Street, NW
Washington, DC 20433
Telephone: 202-473-1000
Internet: www.worldbank.org
All rights reserved
First printing June 2011
This volume is a product o the sta o the International Bank or Reconstruction and
Development/The World Bank. The ndings, interpretations, and conclusions expressed in this
paper do not necessarily refect the views o the Executive Directors o The World Bank or the
governments they represent.
The World Bank does not guarantee the accuracy o the data included in this work. The
boundaries, colors, denominations, and other inormation shown on any map in this work do
not imply any judgement on the part o The World Bank concerning the legal status o anyterritory or the endorsement or acceptance o such boundaries.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
6/33
v
Contents
Acknowledgments vii
Overview 1
Vulnerable Cities: Assessing Climate Change and Disaster Risk in Urban Centers
o the Developing World 3
The Vulnerability o the Urban Poor 7
Building Resilience or the Urban Poor 11
Assessing risk at the city and community level to inorm decision making . . . . . . . . . .11
Integrating climate change and disaster risk reduction policies or the poor into
urban planning and management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Strengthening institutional capacity to deliver basic services and reduce vulnerability
to climate and disaster risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16
Bridging communities and local governments to work together on local solutions . . .20
Opening new nance opportunities or cities to nance basic services and other
needs to address climate change adaptation and disaster risk reduction . . . . . . . . . .21
Endnotes 24
Tables
1 Incremental Impacts o Climate Change and Natural Hazards on Urban
Systems and Residents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4
2a Summary o Main Findings o City Level Risk Assessments: Dar es Salaam
and Jakarta . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5
2b Summary o Main Findings o City Level Risk Assessments: Mexico City
and So Paulo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
7/33
vi Climate Change, Disaster Risk, and the Urban Poor
3 Consequences o Risk Reduction Policies in Urban Areas . . . . . . . . . . . . . . . . . . . . .14
4 Capacity Programs Aimed at Knowledge Sharing, Education, and Training or
Urban Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
8/33
vii
Acknowledgments
This study was prepared by a team led by Judy L. Baker, Lead Economist, World Bank. Key
contributions to the overall study and case studies were provided by Christa Anderson and
Catalina Ochoa. Background papers were prepared by Anthony Bigio and Stephane Hallegatte
(Planning, Policy, Synergies and Tradeos or Urban Risk Management, Climate Change
Adaptation and Poverty Reduction); JoAnne Carmin, Sabrina McCormick, Sai Balakrishnan,
and Eric Chu (Institutions and Governance in a Changing Climate: Implications or Service
Provision or the Urban Poor); Soumya Dharmavaram (Courting Hazards: Where the Urban
Poor Live); Ari Huhtala, Daniel Hoornweg and Marcus Lee (Climate Finance or Cities ),
Kristina Katich (Beyond Assessment: A Review o Global Best Practices Addressing Climate
Change and Disaster Risk Management or the Urban Poor, and The Impacts o Climate
Change and Disaster on Urban Services), David Satterthwaite (How Local Governments Can
Work with Communities in the Delivery o Basic Services). Background research was carried
out by Aarin Kidwai and Austin Kilroy.
The study was part o the work program o the Mayors Task Force on Climate
Change, Disaster Risk and Urban Poverty comprised o the Mayors o Dar es Salaam,
Jakarta, Mexico City and So Paulo and Mayor David Miller, ormer Mayor o Toronto
and ormer Head o C-40.
The preparation o city level case studies or Dar es Salaam, Jakarta, Mexico City
and So Paulo were carried out as part o the work program with teams led by each city
government. From the World Bank, these studies were led by Eric Dickson (Mexico City)
with Gisela Campillo, Marcus Lee and Peter Ellis (Jakarta), Federica Ranghieri and Andre
Herzog (So Paulo and Dar es Salaam). Each o the case studies has resulted in an indi-
vidual report which acknowledges the extensive teams involved in their preparation. We
are grateul or the considerable nancial support and insight provided by WBICC to the
Mayors Task Force work.
Peer Reviewers include Margaret Arnold, Uwe Deichmann, and Abhas Jha. Helpul
comments were also received by David Miller, Glen Pearce-Oroz, Apurva Sanghi, and team
members listed above.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
9/33
viii Climate Change, Disaster Risk, and the Urban Poor
The work is a joint eort by the Finance, Economics and Urban Department and the
World Bank Institute with support rom Cities Alliance and the Global Facility or Disaster
Risk Reduction. The Study was carried out under the overall guidance o Zoubida Allaoua,
Marianne Fay, Abha Joshi-Ghani, Christine Kessides, and Konrad von Ritter.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
10/33
1
Overview
For those that live in slums in cities throughout the developing world, the daily challenges o
accessing sae and reliable drinking water, proper sanitation acilities, transport services to
commute to and rom work, regular solid waste collection, and health and education services
can be enormous. These challenges are increasingly exacerbated by the impacts o climate
change and natural hazards. Residents, especially the poor, are increasingly exposed to the
impacts o landslides, sea level rise, fooding and other hazards, increasing risks in already
vulnerable communities and impacting health and the spread o disease, livelihoods, and the
very limited assets o the poor.
This is the reality in city ater city around the developing world. But that reality does
not have to be destiny. A set o broad actions as outlined here can help build resilience or
those at greatest risk in cities. Implementing these will involve a strong commitment by local
governments working with communities, as well as national and international institutions.
This summary provides an overview o the report on Climate Change, Disaster Risk, and
the Urban Poor: Cities Building Resilience or a Changing World. It is part o a broader e-
ort under the Mayors Task Force on Climate Change, Disaster Risk and the Urban Poor that
was launched at the Mayors Summit in Copenhagen in 2009. The Task Force is comprised
o the Mayors o Dar es Salaam, Jakarta, Mexico City and So Paulo who have recognized
the importance o these issues in their cities and demonstrated strong support. The three key
objectives o the Task Force include: i) better understanding the links among climate change,
disaster risk and the urban poor; ii) identiying good practice examples where resilience o
the urban poor has been improved; and iii) proposing policy and investment programs or
scaling up eorts to reduce risk or the urban poor. This World Bank global report, as well
as case studies in the our member cities, has been carried out to better understand climate
change and disaster risks or the urban poor, and orm the basis or developing strategies to
address those risks.
The report highlights the ollowing main messages:
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
11/33
2 Climate Change, Disaster Risk, and the Urban Poor
The urban poor are on the ront line. The poor are particularly vulnerable to climate
change and natural hazards due to where they live within cities, and the lack o reliable
basic services.
City governments are the drivers or addressing risks through ensuring basic services.
Local governments play a vital role in nancing and managing basic inrastructure and
service delivery or all urban residents. Basic services are the rst line o deense against
the impacts o climate change and natural hazards.
City ofcials build resilience by mainstreaming risk reduction into urban manage-
ment. Climate change adaptation and disaster risk reduction can be best addressed and
sustained over time through integration with existing urban planning and management
practices. Good practice examples exist and can be replicated in cities around the world.
Signifcant fnancial support is needed. Local governments need to leverage existing
and new resources to meet the shortalls in service delivery and basic inrastructure
adaptation.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
12/33
3
1Vulnerable Cities: Assessing Climate Changeand Disaster Risk in Urban Centers o theDeveloping World
Urbanization has brought tremendous opportunity to many, and will continue to do so at
an unprecedented pace throughout the developing world. Cities are centers o economic
activity, innovation, and wealth. They attract migrants in search o better jobs, services and
prospects or improved living conditions. While many who come are poor, they represent
an enormous contribution to a citys economy through employment in manuacturing,
services, and other sectors
As some 70 million people in the developing world move to urban areas each year, cities
are increasingly stretched to provide urban inrastructure, services, and sae land. Some one
billion people already live in slums, and this is projected to double by 2030.1
Further exacerbating this challenge, are the risks associated with climate-related and
natural hazards. Cities are particularly vulnerable due to the high concentration o people
and economic assets, and in many cases, their hazard-prone location in coastal areas, along
rivers, and in seismic zones. Risks are especially high in low- and middle-income countries
where a third to one-hal o the population in cities lives in slums. Rising sea levels, storm
surges, earthquakes, foods and droughts have enormous impacts in urban areas and are
likely to intensiy over time.
A number o studies have been carried out to estimate the magnitude o urban expo-
sure to natural hazards and climate impacts. While each uses a dierent approach, covering
dierent sets o cities, dierent types o hazards, dierent time rames, and dierent asset
measurements, all conrm that such risk is increasing and that with the increasing changes in
climate, risk will signicantly rise in the coming decades.
The impacts on urban residents as well as urban systems, including the built environment
and ecosystems, are signicant. In addition to the well-known disaster impacts o natural
hazards such as destruction o inrastructure and loss o lives, natural hazards and climate
change incur a wide range o less obvious incremental impacts on urban systems and resi-
dents (see table 1). Based on historical data (20022010), the number o recorded events was
highest or fooding (1501), ollowed by storm and cyclones (899), earthquake (228), ex-
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
13/33
4 Climate Change, Disaster Risk, and the Urban Poor
treme temperature (173), mass movement (landslides, subsidence, avalanche (167)), drought
(133), wildre (101), volcano (53), storm surge (25) and Tsunami (19).2
The case studies in Dar es Salaam, Jakarta, Mexico City and So Paulo carried out as
part o this report are illustrative o the vulnerability and adaptive capacity that cities are
acing. Tables 2a and 2b summarize the key issues or each city. It is evident that the our
cities are very diverse, conronting dierent types o challenges. That being said, in all our
cities, it is those living in inormal settlements that are ound to be most vulnerable to
climate-related and disaster risk.
Table 1
Incremental Impacts o Climate Change and Natural Hazards on Urban Systems and Residents
Incremental impacts on urban systems Impacts on urban residents
Built environment
Stress on building oundations
Road washouts
Changing disease vectors
Stress on stormwater and sewage systems
Stress on water treatment systems
Disruption to shipping and ports
Increased energy demand
Increased road surace damage
Increased demand or water
Natural environment
Coastal erosion, altered ecosystems and wetlands
Salinization o water sources
Slope instability
Groundwater depletion
Reduction in greenspace and growing conditions includingurban agriculture
Changes in sh populations
Increased runo contamination
Increase heat island eect
Increased air pollution
Illness: heat stress, stroke, malnutrition, water borne disease,
asthma, physical and mental disability Exposure to elements rom substandard construction
Disruption o basic service provision and access to supplies
Housing instability
Property loss and relocation
Loss o livelihoods
Community ragmentation
Exposure to food-related toxins and wastes
Disruption in availability o potable water, ood, and othersupplies
Water shortages
Food shortages; Higher ood prices
Disruptions o electricity
Source: Adapted rom Carmin and Zhang, 2009; Dickson, et al., 2010; Dodman and Satterthwaite, 2008; Wilbanks, et al., 2007
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
14/33
Vulnerable Cities 5
Table 2a
Summary o Main Findings o City Level Risk Assessments: Dar es Salaam and Jakarta
Dar es Salaam Jakarta
Ov
erview
Pop
ulation 2.5millionin1590km
2
Between48%annualpopulationgrowth
9.6millioninthemetroareain650km2
250,000immigratetoJakartayearly
Thevulnerabilityoftheurban
poor
Hazards,vulnerability,
andbasicservices
Main hazards: heavy rainall, fooding, droughts
70%percentofDaresSalaamspopulationlivesinpoor, unplanned settlements; human developmentindicators very low
Basicinfrastructureisverylow;accesstocleanwaterandsanitationisamajorproblem;lessthan60%ofthe road network is paved
Drainage channels are regularly blocked, causinghouses to be fooded by sewage-based wastewatercausing water borne diseases
Main hazards are water management and foodcontrol.About40%ofthecityisbelowsealevel.
Regular fooding aects city throughout the yearwith impacts on trac, damage to homes andeconomic losses
There is currently no city-wide solid waste-management plan or Jakarta
Poorest live close to river banks, canals, drainageareas.
Buildingresiliencefor
theurbanpoor
Achievements
The government is identiying all properties ininormal settlements in Dar es Salaam and issuingland/property licenses or right o occupancy to
improve security o tenure, which could be used ascollateral or economic empowerment
Signicant slum upgrading program is alsounderway
Large-scale adaptation inrastructure projects beingdeveloped including: Jakarta Coastal Deense toprotect rom tidal surges, and Jakarta Urgent Flood
Mitigation Plan Innovative early warning systems via SMS at the
urban ward level inorm people o upcoming foods
Challenges
Disaster risk management has largely been ignoredand needs to be integrated in all aspects o urbanplanning in Dar es Salaam
Limited capacity in city planning departments toassess the long-term sectoral impacts o climatechange or the city
Adaptation plans to cope with extreme weatherevents and sea level rise are not coordinated acrossmultiple agencies
Lack o comprehensive disaster risk managementprogram or disaster response plan or the City oJakarta
Source:CityLevelRiskAssessments,MayorsTaskForce.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
15/33
6 Climate Change, Disaster Risk, and the Urban Poor
Table 2b
Summary o Main Findings o City Level Risk Assessments: Mexico City and So Paulo
Mexico City So Paulo
Overview
Population 21.2millioninthemetroareain4250km
2
3%annualpopulationgrowthrate
19.7millionmetroareain2140km2
Increasing population in the periphery withhousehold incomes three times lower than cityaverage
Th
evulnerabilityoftheurbanpoor
Hazards,vulnerability,
andbasicservices
High seismic risk, no natural drainage or runorom the surrounding mountains, and vulnerable tofooding. Regularly aected by severe storms, heatwaves and droughts
Projections estimate rise in mean temperature by23Cbyendofthiscentury;extremeprecipitationepisodes expected to increase
By2015waterconsumptionrateswillincreaseby20%comparedto2000levels
Inrastructure and public services are stretched thin
Citysgenerationofgarbageisincreasingatarateof5%/year
15%ofthepopulationisrankedwithhighlevelofhousing and population vulnerability
Main hazards include heavy rains, fooding,landslides and washouts
13%ofthepopulationareconsideredashavinghigh or very high social vulnerability
Over85%ofhighriskhouseholds(890,000)arelocated in slums across the city
Morethan5%ofslumareasarehighlypronetobeaected by destructive events
52%ofhouseholdsinslumsarewithoutaccesstosanitationfacilitiesand33%ofhouseholdsinslumswithout access to paved roads close to their homes
20%ofsewagelackspropertreatment
Buildin
gresilience
forthe
urbanpoor
Achievements
First city in Latin America to introduce a localclimate action strategy to reduce emissions by sevenmillion MT between 2008 and 2012
Strategyispartofa15-yearplanwherecityisinvestingUS$1billionayear(9%oftheyearlybudget)on:landconservation,publicspaces,airpollution, waste management and recycling, watersupply and sanitation, transportation and mobility
The So Paulo Agenda 2012 and the MunicipalClimate Law sets out targets by sector to be takenby the municipality, private actors and other publicbodies
Risky areas or landslides are already identied andgeo-reerenced by the municipality, allowing theprioritization o adaptation actions
Major slum upgrading eorts based on socialvulnerability index and incidence o areas subjectto landslidesThe So Paulo Agenda 2012 and theMunicipal Climate Law sets out targets by sectorto be taken by the municipality, private actors andother public bodies
Risky areas or landslides are already identied andgeo-reerenced by the municipality, allowing theprioritization o adaptation actions
Major slum upgrading eorts based on socialvulnerability index and incidence o areas subject tolandslides
Challenges
Disaster risk in Mexico City is primarily handled in areactive manner and limited preventative measureshave been implemented
Evident need to improve the sharing o inormationamong the relevant government agencies
Additional eorts are needed to increase coverageo sewage system and avoid illegal disposal osewage into water courses
Mitigate risks in food and landslide prone areas andconsider relocating amilies where mitigation provesnot to work
Source:CityLevelRiskAssessments,MayorsTaskForce.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
16/33
7
2The Vulnerability o the Urban Poor
The urban poor living in slumsnow estimated at approximately one billion peopleare
at particularly high risk rom the impacts o climate and natural hazards in large part due
to where they live. As cities grow, land becomes scarcer and thus more expensive. The
choice o where to live is driven by a series o tradeos between what is aordable, prox-
imity to income earning opportunities, and where individuals may have social networks
and kinship ties. The areas that are aordable to the poor are typically on hazard-prone
lands, in areas that are deemed undesirable to others. They are also oten inormal settle-
ments with insecure tenure.
People in low-income neighborhoods are made even more vulnerable by overcrowded
living conditions, the lack o adequate inrastructure and services, unsae housing, inad-
equate nutrition and poor health. These conditions can easily turn a natural hazard into a
disaster, with impacts including the loss o basic services, damage or destruction o homes,
reduction or loss o livelihoods, the rapid spread o water- and vector-borne diseases, dis-
ability, and loss o lie.
The impacts o natural hazards and climate change can vary substantially with impor-
tant distinction in spatial and location characteristics. For example, inner city slums which
are typically located in the historic core o a city and are highly dense, such as in Delhi,
Dhaka, Cairo and Istanbul, ace risks due to the dilapidated condition o structures, over-
crowded conditions, and diculty in evacuating and getting services, including emergency
vehicles through narrow roads.3 Peri-urban slums such as in many cities in Latin America
and elsewhere may ace other challenges such as poor services, haphazard layout, drainage
problems, limited accessibility and proximity to environmental hazards.
For the poor, it is oten the more requently occurring low or moderate intensity events
such as localized fooding and res that have the most signicant impact. In Katmandu,
Nepal, rapidly growing squatter settlements are located along the banks o the citys three
rivers on steep slopes. Because there is no solid waste collection services, waste is regularly
thrown in the rivers. The existing stormwater and sewage networks operate at only 40 per-
cent o their capacity because they are blocked by sludge and debris. During the monsoon
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
17/33
8 Climate Change, Disaster Risk, and the Urban Poor
season, approximately 25 percent o the households there food regularly due to inadequate
drainage. These residents are also susceptible to water-borne diseases that then go untreated
because o the lack o aordable medical treatment.4
In Dhaka, Bangladesh, the situation is similar. Only 10 percent o slum dwellers have su-
cient drainage to avoid waterlogging during heavy rains.5 In most low income settlements,
the existence o open drains results in accumulated garbage, preventing drainage systems
rom working during heavy rains. Where there is insucient drainage, stagnant foodwater
provides an ideal breeding ground or parasites and mosquitoes, which may lead to an in-
crease in malaria and other vector-transmitted diseases.
Other issues such as tenure security, employment and nancial insecurity and social
networks also aect the sensitivity o the urban poor to climate change and disaster risk. The
lack o tenure hampers investments in services and housing improvements. The urban poor
rely on the inormal sector or their income and thus they have limited access to ormal saety
nets. Strong social networks are important or some communities where residents work to-
gether to build resilience at the local level.
Traditionally vulnerable individuals and communities have managed risk through ad hoc
coping mechanisms that draw on their local knowledge o hazards and community resources.
In slums where social networks and kinship ties are stronger, communities tend to be more
resilient. Older communities tend to have stronger social networks than newer settlements
where residents may be more transient. Active internal leadership in close-knit communities
can organize relie and rehabilitation more eectively and eciently. This is especially the
case or ast-onset events that require temporary relocation; at these times residents rely on
their existing social capital and existing networks.
In Mombasa, Kenya and Esteli, Nicaragua one study shows that the asset that the poor
value and tend to protect the most during extreme events is their house.6 Other important
assets were businesses and electrical appliances. The study also ound that the majority o the
households were resourceul at developing resilience measures (e.g. 91% o the households
implement some kind o adaptation action beore a severe weather event, 100% during the
event, and 91% ater the event).
Furthermore, the study revealed that the most critical dimension o vulnerability o the
poor was weak or unclear tenure rights, and that owner occupiers tend to invest more re-
sources in adaptation measures than tenants, especially in reinorcing the house structure
beore heavy rains.
Access to sae shelter, water, sanitation, proper drainage, and reliable solid waste re-
moval, transport, roads and public health services remains an elusive goal or many o the
urban poor. Cities typically do not have the resources or capacity to keep up with the growing
needs o service provision. Issues o inormality urther exacerbate the challenges given that
many governments, non-governmental organizations (NGOs) and the private sector are re-
luctant to invest in areas without secure tenure as they perceive this as risky. There is also a
perception that the urban poor are unable to pay or basic services, yet in many cities, the
urban poor pay more than the non-poor as they have to rely on expensive delivery systems.
With poor basic services, the eects o climate related and natural hazard risk can turn
a heavy rain into a disastrous food with the spread o disease. Destruction or damage to
inrastructure can lead to water scarcity or contamination. Lack o access to sae housing
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
18/33
The Vulnerability o the Urban Poor 9
with good provision or water, sanitation, health care and education aects the capacity o
slum residents to recover.
Many o the impacts o climate change and natural hazards on the urban poor are most
notable in the area o risks to public health. Exposure to changing weather patterns in tem-
perature, precipitation, sea-level rise and more requent extreme events (such as earthquakes
and landslides) have direct consequences or peoples health: morbidity and mortality. Many
communicable diseases are highly sensitive to changing temperatures and precipitation.
These include vector-borne diseases such as malaria and dengue and water-borne diseases
such as diarrhea and cholera. The pathogens that cause these diseases thrive in poor living
conditions typically ound in slums. Worse, their impact is also likely to be more severe in
populations with pre-existing burden o disease.7
There are also indirect consequences rom climate change and natural hazards on health
via exposure to declining water, air and ood quality, alterations in ecosystems, agriculture,
industry and settlements and the economy (such as migration and poverty), and eects on
ood security. To complicate things urther, this direct and indirect exposure also has short
and long term implications or human health. For instance, a landslide not only kills people,
but also leaves some people physically and mentally disabled or the rest o their lives.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
19/33
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
20/33
11
3Building Resilience or the Urban Poor
The challenges o service delivery in slums outlined above are not new, however, the risks
rom changes in climate and increasing exposure to natural hazards accentuate the growing
urgency in proactively addressing them. There is much accumulated experience in eorts to
improve living conditions or the urban poor, yet many cities have not been able to achieve
these goals largely due to the pace o urbanization, ineective policies, resource constraints,
lack o political will and weak capacity.
This report underscores several recommended actions based on experience to help cities
build resilience or those at greatest risk. These recommendations are rooted in the need
or strong institutions or better urban planning and management, and sustainable urban
policies that consider the positive and negative outcomes o the dicult decisions which city
ocials must make.
In implementing these actions, it is city governments that are the drivers or addressing
risks, through the provision o public inrastructure, delivery o basic services and main-
streaming climate change adaptation and disaster risk reduction into urban planning and
management practices. Such investments will have the biggest impact when implemented in
partnership with communities that have much to contribute to the process.
Assessing risk at the city and community level to inorm decision making
The case studies carried out as part o this report have demonstrated the importance o
understanding hazards, socioeconomic and institutional risks or any city as an important
rst step to developing adaptation and disaster risk reduction plans. A risk assessment
can defne the nature o risks, answer questions about characteristics o potential hazards,
and identiy vulnerabilities o communities and potential exposure to given hazard events.
Risk evaluation helps in the prioritization o risk measures, giving due consideration to
the probability and impact o potential events, the cost eectiveness o the measures and
resource availability.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
21/33
12 Climate Change, Disaster Risk, and the Urban Poor
Relevant and up to date inormation can allow all stakeholders to assess risk and make
inormed policy and investment decisions. Such inormation will aect zoning, property
markets, location choices and adaptation investments. Investing in regular data collection is
necessary or monitoring changes over time and continually updating risk reduction plans.
Mapping inormal settlements can be a rst step to assessing risk or the urban poor. In a
growing number o communities, the poor themselves are carrying out this work. In Cuttack,
India, community-driven data gathering includes the preparation o digital maps at the city
scale or city authorities with input rom an NGO.8 The work begins with residents mapping
their communities with a GPS device, commenting on boundaries and characteristics (risk pro-
le, services, etc.) that help the visiting NGO team understand the settlement. Points marked
with the GPS are uploaded to Google Earth and when aggregated into a city-wide map, provide
the location and boundaries o all inormal settlements, as well as their risk prole.
The process o carrying out a risk assessment can be equally as important as the results.
The experiences rom the Dar es Salaam, Jakarta, Mexico City, and So Paulo cases point to
a ew lessons:
i) High level support rom the mayors and heads o key agencies was essential to giv-
ing priority and support to the work. Working level ocal points were key to ensur-
ing accountability and getting the work done.
ii) In all o the cities, an inter-agency working group was set up to carry out the risk
assessments. This included agencies working on urban development, service provi-
sion, poverty reduction, disaster management and climate change. In some cases, this
was the rst time these agencies worked together which created synergies or a more
integrated and comprehensive risk assessment and began the process or adapta-
tion planning. However, it is unclear that these inter-agency working groups will be
sustained without a more ormal working arrangement.
iii) In some o the cities, there was a big disconnect between knowledge at the institu-
tional and community level. This was addressed by involving city ocials in site
visits to poor neighborhoods, and in two cases, involving stakeholders in the work-
shops. Communicating in a language that all stakeholders could understand was
undamental. In that regard, producing materials in a simple ormat and local lan-
guage was important or communicating results. In Jakarta and Mexico City, short
lms have been produced or broad dissemination o key messages.
iv) Across the our cities, accessing data, maps, and climate projections was problematic.
Inormation is scattered across many dierent agencies, departments, organizations,
and research institutions, with some reluctant to share data. Enormous eort went
into collecting the inormation that was made available. To benet rom and sustain
this eort, setting up a permanent institutional home to maintain and update this
inter-agency inormation in each city would be benecial or any uture work.
v) The risk assessments were perceived as a useul ramework or understanding cli-
mate change, disaster risk and impacts on residents. The multidimensional approach
to assessing hazards, socioeconomic and institutional risks brought together key
issues in a comprehensive way. This was, however, ound to be only the rst step.
Stakeholder workshops held in all o the cities were useul in discussing key issues,
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
22/33
Building Resilience or the Urban Poor 13
but ollow up will be needed to integrate these ndings into adaptation and risk
reduction planning across city agencies.
Integrating climate change and disaster risk reduction policies or the poor into
urban planning and management
Better urban planning and management is imperative to reducing disaster risk and climate
change impacts on the urban poor. Policies to mitigate such risks have links to multiple
sectors and thus can come with important synergies. For example, urban policies can be de-
signed to be pro-poor with positive impacts on poverty reduction policies. Similarly policies
can be designed to have co-benets with climate change mitigation policy goals. Such policy
choices also, however, come with tradeos and oten dicult decisions. The outcomes o
policy choices will have both positive and negative consequences that decision makers must
careully weigh.
Urban systems have long time scales and physical orm cannot be changed easily, thus
decisions made now will have impacts or decades to come. This is due to i) the long lie
span o urban inrastructure and buildings, which can be as much as one hundred years or
more or high value buildings, bridges, or water systems; and ii) the location decisions o
inrastructure and buildings typically goes well beyond their lie span. For example, when
railways reach their replacement time, they are almost always replaced at the same location.
In the same way, new urban development is a somewhat irreversible choice as it is economi-
cally and politically dicult to relocate people.
The policy area that is most instrumental is land use planning and management. As cities
in developing countries grow, they oten expand into marginal areas such as food plains, water
catchments, and steep hillsides. Poor urban planning and management policies exacerbate
this. At the city scale, there is a need or land use planning to consider food, seismic, and
other hazard zones when determining where new development should be permitted. Ecient
transport systems can increase land supply in new areas by enabling access and mobility, thus
reducing incentives to develop in vulnerable locations. Preventing building and settlements in
high risk areas can save lives and prevent destruction. A ramework or the regularization o
land tenure, including partial or incremental solutions, can spawn investments and encourage
improvements in inrastructure. Proactive policies aimed at the prevention o new slums which
may involve changes in the legal and regulatory ramework and draw on lessons o the past
experiences with sites and services projects can help to curtail the rapid growth o new slums
on vulnerable lands. In some cases, governments and municipalities would acquire land or
block-level inrastructure rights o way around the peripheries o rapidly growing cities.
Table 3 outlines some o the policy choices and actions cities can consider when ad-
dressing climate change, disaster risk and the urban poor, along with the positive co-benets
and possible negative consequences o each. From an operational perspective, governments
must make these policy choices in the context o broader priorities which include quality
o lie or city residents, economic competitiveness and attractiveness or investors, other
environmental goals such as greenhouse gas emissions and protection o natural areas, public
health and social concerns such as equity and social capital.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
23/33
14 Climate Change, Disaster Risk, and the Urban Poor
Table 3
Consequences o Risk Reduction Policies in Urban Areas
Risk reduction policy Actions Positive co-beneftsPotential negative
consequences
1 Protection or many areasagainst extensive risk (versusew areas against intensiverisk)
Investments in basic servicessuch as water, sanitation,waste, drainage, transportin poor areas
Investments in earlywarning systems, insuranceschemes
Regulations to mitigateincreases in exposurethrough land-use planning,zoning and building norms
Delay large, costly,investments againstextreme events such asdrainage, urban transportand buildings
Large quality o lie benetsrom improved basicservices
Most cost-eective givenmajority o risks or urbanpoor are extensive
Improvements in cityeconomy rom increasesin productivity andcompetitiveness
Reduction in overall riskrom requent events
Reductions in local air andwater pollution
Large health co-benets
Improvements in socialequity rom pro-poorinvestments
Increase in vulnerability tothe most extreme events
Increase in population andasset risk
2 In-situ upgrading in at-riskinormal settlements (versusrelocation to saer areas)
Investments in basicservices in at-risk inormalsettlements
Avoid more costlyinvestments in dykes anddrainage systems
Avoid relocation to newareas(couldbecost-neutral)
Similar benets as listed in1.
Residents may benet romlocation choice close to jobsand services
Avoid new urbanization,and reduce urban sprawland destruction opreserved areas.
Avoid negative socialimpacts o relocationprograms(lossofjobs,social
networks,culture)
Investments may urtherattract people to high riskareas and increase thepopulation and assets at risk
Increase in vulnerability toextreme events
Poor population investmentsmade at risk o extremeweather events; Risk opoverty trap i disasters toorequent
3 Zoning to preventoccupation o at-risk areas
Regulations to preventdevelopment, investmentsand hosing in at-risk areas.
Reduction in overall risk andpotential losses
Decrease in population andassetatrisk(i.e.,smallerlikelihood o large-scaledisasters with signicanteffects)
Avoid negative healtheects rom occupyingunsae or polluted land
Protect mainly pooresthouseholds which generallyoccupy the most at-riskareas
Decrease in overall availableland, increase in landpressure, general increasein housing and oce-spaceprices in the city
Possible accelerationo urban sprawl; soilconsumption and water-proong; loss in naturalareas and biodiversity;competition with agriculture
May increase travel distancesin the city and commutingtimes
Environmental concerns rom
additional mobility needsand energy consumption
Perverse incentive oattracting illegal settlementsin no-building zones
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
24/33
Building Resilience or the Urban Poor 15
Table 3
Consequences o Risk Reduction Policies in Urban Areas
Risk reduction policy Actions Positive co-beneftsPotential negative
consequences
4 Develop new, less riskyland with efcient transport
Investinurbaninrastructure and basicservices in new areas
Investinnewtransportationnetworks which areecient and aordable(train,metro,dedicatedbusline,highways)
Creation o new urbanarea with provision obasic services and highaccessibility
Increase in available land,reduction in land pressure,and general reductionin housing prices in thecity; development andcompetitiveness benets.
Reduced pressure tourbanize at-risk areas(ood,landslide,subsidence)incitycenters;reduction in overall risk andaverage losses
Avoid undesireddevelopment in naturalareas and ecosystem losses
Improve access to adequatehousing and basic services;poverty reduction benets
Increased car use, energyconsumption, local and noisepollution and congestionparticularly i based onindividual-vehicle transport
Environmental concernsrom additional energyconsumption
High cost o newinfrastructure(transportandotherservices)
Accelerated urban sprawlwith higher cost to providepublic services; possiblehigher property taxes
Additional soil water-proong, increased run-oand possible increase infood risks.
Accelerated urban sprawl;loss in natural areas andbiodiversity; competitionwith agriculture
Risk or the poor to berelocated causing socialsegregation
5 Promote denseurbanization
Containment policies thatdetermine where growthcan and cannot happen
Modal shit to publictransport yields reductionsin noise and trac
Lower cost o providingpublicservices(water
and sanitation, electricity,education,health)
Gain in competitivenessthrough reduced energyexpenditures and lowertaxes
Higher density acilitateszoning to avoiddevelopment in at-risk areas
Reduce mobility needs andenergy consumption
Reduced urban sprawl andprotected natural areas;increased competition withagriculture.
Improved social equity
through reducingsegregation
Reduced access to housing,dwelling size
Reduction in available landor construction, increase inconstruction costs, increase
in housing prices in thecity; possible reduction incompetitiveness
Potentially larger urbanheat island and largervulnerability to heat waves
Possible increase in naturalhazard risk i containmentland-use plans do not controlor additional density infood-prone or landslideareas
(continued)
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
25/33
16 Climate Change, Disaster Risk, and the Urban Poor
To help with prioritization and decision making, robust, multi-criteria decision-making
tools can be useul. This approach can be used to ensure that any given policy, has no un-
acceptable consequences or stakeholders. The approach helps build policy mixes that are
robust in most possible uture scenarios. The application o robust decision making strategies
can be a lengthy process, requiring the involvement o many stakeholders including city o-
cials, multiple agencies, private developers and community residents. The process o such
decision making, however, can help stakeholders assess their own choices towards higher
resilience and lower vulnerability.
New York City has completed a city-wide adaptation plan, as well as comprehensive sus-
tainability plan and update to that plan.9 The plans use spatial planning in conjunction with
risk mapping to understand and regulate how the city will be aected by climate change.
The process included extensive public engagement. In the case o New York, unlike in many
other cities, planning ocuses on improvement o current buildings, building codes, and the
strategic placement o public acilities, rather than guiding outward urban expansion. The
plan calls or a community-based approach to deal with the most vulnerable communities.
As a response, the city is now also working on site-specic adaptation plans through a com-
munity planning process with stakeholder groups.
Jakartas plan or 20102030 calls or incorporating risk reduction activities into
long-term spatial planning or the city.10 Such approaches include restoration o mangrove
orests, improvement in public acilities and mass transit, renement o building and en-
vironmental regulations that consider hazard risk, redesign o technology and engineering
in disaster areas, and improvements o provision o open space or anticipated increases in
intense rainall.
In three cities in Vietnam, Dong Hoi, Can Tho, and Hanoi, local governments have
extended the work o risk assessment to a second phase in resilience planning, completing a
Local Resilience Action Plan (LRAP).11 This includes not only a vulnerability assessment and
spatial planning, but also an inventory o planned capital investments and policy changes
to address high-risk areas, gap analysis, and a multi-stakeholder priority-setting based on
comparison o alternatives in light o limited budgets and undraising prospects. The LRAP
identies short, medium, and long-term adaptation priorities or project investment with
specic costs, timelines, and responsible actors. In the case o Can Tho, the outcomes o the
LRAP process are currently being integrated into local urban planning eorts.
Other good examples where adaptation plans are being integrated into urban planning
include Boston, Cape Town, Ho Chi Minh City, London, Quito, Rotterdam, and Toronto.12
At a minimum, these cities have identied risk-prone areas and through urban planning
discouraged new construction in these areas.
Strengthening institutional capacity to deliver basic services and reduce vulnerabil-
ity to climate and disaster risk
Cities have a range o institutional structures and capacity or dealing with service delivery,
disasters, and climate change. The institutions that are typically involved with the response
and management o disasters include departments o public health, security, police, re and
those that serve vulnerable populations like the elderly and young. Plans oten provide a
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
26/33
Building Resilience or the Urban Poor 17
structure through which departments communicate with one another and many cities pre-
pare by running simulations.
The institutional arrangements to cope with and plan or climate change, particularly
adaptation, are somewhat less developed as it is a relatively new eld o policy and planning.
Furthermore, the institutional structures or delivering services to the urban poor have the
longest history, yet in many cities they are weak. A major constraint has been capacity as
local governments struggle with inadequate stang, technical skills or nancial resources.
This is urther complicated in many places by the lack o legal tenure which means that gov-
ernments are reluctant or unable to invest in services in inormal areas.
In the absence o strong ormal institutions, inormal institutions such as NGOs and
community-based organizations (CBOs) play an important role in responding to the needs o
the urban poor. In many cities they address gaps in service delivery, and at times are the rst
responders in disaster events. In Mombasa, local religious organizations are recognized as
key players when extreme events occur and acilitate evacuation, emergency relie assistance
and provisional shelter. The earthquake in Haiti in 2010 saw the emergence o volunteer
technology communities who mobilized through the Global Watch Observation Catastrophe
Assessment Network (GEO-CAN) to develop a comprehensive and rigorous damage analysis
to assist with relie and recovery eorts.13
There are also numerous examples where progress has been made in addressing risks
or the poor through slum upgrading programs, service delivery improvements in slums,
emergency warning systems, and other initiatives. Such eorts were implemented with strong
political commitment, community participation, and institutional support.
In Dar es Salaam, the local government has successully implemented the Community
Inrastructure Upgrading Program which has targeted unplanned areas in three municipali-
ties.14 Through a structured process communities have prioritized technical improvements
in roads, drains and public toilets. The new community inrastructure allows sae access
to homes on a regular and emergency basis, and improved drainage dramatically decreases
fooding in the aected areas.
A relatively well-known eort in Pakistan through the Orangi Pilot Project Research and
Training Institute supports local governments as well as slum dwellers in building capacity
or the planning, implementation and nancing o basic sanitation provisionat ar lower
costs than government built inrastructurewhich have brought major benets to large sec-
tions o the urban poor in more than 300 communities in Karachi.
There are also a number o good examples o disaster planning and climate adaptation
planning. For example, plans in Istanbul, Ho Chi Minh and Cape Town have identied
risk-prone areas and discourage new construction in these areas.15 They have called or the
resettlement o communities in the most risk-prone areas, in addition to improved construc-
tion and regulation o low income and inormal housing.
Saety nets can be critical in building resilience or the urban poor as well as in post-
disaster recovery. Saety nets have traditionally ocused on the chronic poor through targeted
cash transers, both conditional and unconditional, workare programs, and in-kind trans-
ers. In Bangladesh, under the National Disaster Management Prevention Strategy, an early
warning system triggered saety nets in response to Cyclone Sidr in 2007. 16 The program
began distributing cash, rice and house building grants even beore the main impacts o the
cyclone were elt.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
27/33
18 Climate Change, Disaster Risk, and the Urban Poor
Programs can be designed to also assist at-risk households and communities to help
people cope with hazard risk. For example, social unds, community-driven development
and slum upgrading programs can be designed to support adaptation and risk reduction in
low income communities by scaling up their work on actions most relevant or creating re-
silience such as improving drainage, water supply and sanitation, and setting up community-
maintenance programs. Indonesias National Community Empowerment Program (PNPM)
which currently operates in all urban areas o the country, nances investments in food
prevention, water retention and storage acility and slope stabilization to prevent landslides
as well as building emergency evacuation routes.
Such programs have been instrumental in post-disaster recovery as well. In Indonesia,
eorts were rapidly mobilized ollowing the disasters in Aceh (2004 Tsunami), Yogyakarta
and Central Java (2006 Earthquake) and most recently in Central Java (2010 Mt. Merapi
eruption) via community-driven development programs. On the very day the government
says it is sae or residents to return to their neighbourhoods, trained acilitators that are
already working in the communities are available to work with beneciaries in identiying
needs, preparing community settlement plans and allocating block grants. The key is to
Table 4
Capacity Programs Aimed at Knowledge Sharing, Education, and Training or Urban Resilience
Agency/program Capacity building
AfricanCentreforCities(ACC) Interdisciplinary research and teaching program or sustainable urbanization in Arica
C-40 Establishing activity-specic sub committees which include city resilience planning andocus on the unique needs o port cities
International City/County ManagementCouncil(ICMA)
Provides knowledge-based assistance in disaster mitigation and preparedness orvulnerable communities, and recovery and restoration o basic municipal services
International Institute or EnvironmentandDevelopment(IIED)CapacityStrengthening o Least DevelopingCountries or Adaptation to ClimateChange Network.
Experts work to strengthen organizations through publications and capacity-buildingworkshops mostly in Arica, South Asia, and active support or Conerence o the Parties(COP)negotiations
International Strategy or DisasterReduction(ISDR)MyCityisGettingReady Campaign
Focuses on raising political commitment to disaster risk reduction and climate changeadaptation among local governments including high prole media and publicawareness activities, and develops technical tools or capacity building.
International Organization orStandardization
DevelopmentofISO31000asetofprincipleandguidelinesforriskmanagement.
Local governments or Sustainability
(ICLEI)
Works with U.S. cities to conduct climate resiliency studies and develop adaptation
plans
Rockeeller Foundation AsianCitiesClimateChangeResilienceNetwork(ACCRN)helpscitiestodevelopadaptationplanswithcivilsociety(10citiesinVietnam,IndonesiaandThailand)
UCLG/Metropolis UnitedCitiesandLocalGovernments(UCLG)representsanddefendstheinterestso local governments on the world stage. In the area o cities and climate change,Metropolis is working on a range o projects and knowledge products
WorldBankGroup
Urbanization Knowledge Platorm(UKP)
WorldBankInstitute
New UKP which includes extensive provisions or peer-to-peer exchange and knowledgesharing
Global capacity building programs include:
E-Learning Sae and Resilient Cities Course
Networking
Mentoring
On-DemandKnowledgeandCapacityBuilding
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
28/33
Building Resilience or the Urban Poor 19
have programs in place beore the onset o natural disasters, with fexible targeting, fexible
nancing, and fexible implementation arrangements.
At the institutional level, success translates to good leadership, good governance and
good management. These elements can be built through changes in incentive systems to
promote reorm and improve perormance, or example through better accountability, nan-
cial management and coordination across agencies, with a structured reward system. Other
methods that have proven successul are proessional certication programs or municipal
sta that elevate, proessionalize and promote their development.
There are several programs available which provide advisory assistance to decision
makers such as city technicians and city managers, and key actors in civil society. These
programs range in levels o engagement and development, but all have the common goal o
building capacity among decision makers.
There is also much capacity building that can happen as cities learn rom each other.
Successul experiences include city and local government networks at the country, regional
and international level, training programs, and knowledge exchange through twinning and
other programs that allow cities to share knowledge and inormation.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
29/33
20 Climate Change, Disaster Risk, and the Urban Poor
Bridging communities and local governments to work together on local solutions
It is clear that the urban poor are on the ront line in addressing the impacts o climate
change and disaster risk. There is much already happening at the household and community
level that local governments can draw upon. For example, in Esteli, Nicaragua and Mom-
basa, Kenya, over 90 percent o households took some kind o adaptation action beore,
during and ater a severe weather event.17 Such actions included repairing roos, building
stronger oundations, digging trenches, clearing drainage and ditches, repairing leaks, chan-
neling water and planting trees. These eorts are especially important or cities that have
limited capacity and resources.
At the same time, much o what is needed to reduce risk in low income urban com-
munities depends on the availability o inrastructure that residents cannot provide them-
selves. Storm and surace drainage, road and path networks, links to water networks, and
health care services require specialized skills and substantial resources that communities
may not have.
Despite the obvious benets o partnerships between local governments and communi-
ties, this does not always happen in part due to negative perceptions particularly around
policies related to inormal settlements. There are a number o good examples o partner-
ships between community organizations and local governments in working in poor urban
communities on risk reduction.
In the Philippines, a partnership between a grass roots organization, the Philippines Home-
less Peoples Federation (PHPF), and local governments has worked to secure land tenure, build
or improve homes, and increasingly to design and implement risk reduction strategies.18 Fol-
lowing the devastation caused by Typhoon Frank in 2008, the local government in the city o
Iloilo worked closely with PHPF in technical working groups, mapping o high risk areas, and
identication and prioritization o communities to be given post-disaster assistance.
In one o the oldest and largest slum areas in Jakarta, Kampung Melayu, residents have
responded to an increase in the severity and requency o fooding by developing an early
warning food system. Neighborhood and village heads receive SMS messages on their mo-
bile phones rom foodgate areas upriver when the water level is getting high. They can then
spread the news in the community by broadcasting rom the minaret o the local mosque so
that residents can prepare or the coming inundation.
One o the more complex but impressive examples is in Quelimane City, Mozambique,
where local communities have partnered with the City Council and several international or-
ganizations to work on upgrading or communities particularly aected by cyclical foods.19
The city and community worked together on developing an upgrading strategy that had a spe-
cial ocus on water and sanitation conditions. In implementing the strategy, the City Council
provided an in-kind contribution o US$100,000 by providing oce space, equipment, a
meeting room, technical and administrative sta, and vehicles. The community provided
an in-kind contribution o US$150,000 through provision o subsidized labor, conducting
awareness campaigns, orming operational management teams, and reducing their plot size
or, in extreme cases, moving to another area because o improvement works. UN-HABITAT,
the World Bank, DANIDA, UNICEF, and WaterAid in combination contributed US$440,000
in cash and in-kind. Other in-kind contributions totaling US$30,000 were secured rom a
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
30/33
Building Resilience or the Urban Poor 21
state water supply institution, and rom a private-sector rm which made its trucks available
during weekends in exchange or paying only or uel and or the driver.
Among the lessons learned rom experience o partnerships between communities and
local governments are that such cooperation can be acilitated through mutual recognition
o the role that each group plays; improving the dialogue and discussion to dispel misunder-
standings; understanding and recognizing what is happening at the local level and orming
partnerships with local organizations.
For the poor, understanding what the city can and ca cannot provide and what its con-
straints are is a rst step. Strong community groups and detailed community-level inorma-
tion systems can be extremely eective or initiating engagement in such partnerships. For
local governments, this means recognizing the contribution that the urban poor make to a
citys economy and society and involving them in discussions about needs and priorities.
Local participation is crucial to ensure that the approach taken suits the needs o residents,
and in ensuring quality standards. Many o the examples o local government-community
organization partnerships in Arica and Asia have been initiated by ederations o slum
dwellers who are engaged in initiatives to upgrade slums, secure land tenure, develop new
housing that low-income households can aord, and to improve provision o inrastructure
and services.
Opening new fnance opportunities or cities to fnance basic services and other
needs to address climate change adaptation and disaster risk reduction
The analysis o the risks or the urban poor associated with climate change and natural
hazards point to signicant nancing needs or cities. Adaptation and risk reduction costs in-
clude both physical investments such as urban inrastructure and basic services in slum areas,
but equally important are investments in good inormation systems and tools or integrating
climate change and disaster risk management into urban planning, saety nets, and capacity
building to help local governments better deliver services and manage risk or their residents.
Cities in developing countries currently rely on national and local tax revenues, the
private sector, public-private partnerships, and loans and concessional sources through the
World Bank and other multilateral development banks to nance inrastructure and social
needs. There are also a number o existing programs that provide smaller-scale grants or
technical assistance or projects and programs at the city level. In practice, such resources are
vastly insucient to meet the service needs o the population, particularly in slums.
When reviewing potential nancing needs or climate adaptation and disaster risk re-
duction, it is important to consider that not all investments are necessarily high and some
can have more direct impacts on the poor than others. Large scale city-wide inrastructure
investments or food protection or measures to make roads, ports and power generation
acilities more resilient to extreme events may be necessary in many cities over time, but they
are expensive and will not improve conditions or those living with the debilitating impacts
o the more requent less extreme events.
Smaller-scale investments in drainage and improvements in basic inrastructure need not
be expensive, and are catalytic in building resilience or the urban poor. Slum upgrading pro-
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
31/33
22 Climate Change, Disaster Risk, and the Urban Poor
grams take a neighborhood approach and in addition to local inrastructure improvements,
oten include social programs aimed at community development. Such programs are most
eective when coupled with policies that tackle dicult issues related to land. Innovative ap-
proaches to nancing such as output-based aid, oering pro-poor incentives to utilities and
the private sector, and policies that promote an enabling environment or small private sector
service providers while ensuring quality and aordability or residents oer much potential
or scaling up.
In low income communities in western Jakarta, a scheme developed through the Global
Partnership on Output Based Aid (GPOBA), the city government, and the local water utility,
PALYJA, is designed to subsidize the cost o water supply connections or almost 12,000
households in a number o poor areas, including 2,200 in inormal settlements where
PALYJA had previously not been authorized to provide services.20 Concessionaires are given
grants or the cost o installing connections to the networks provisional on two measureable
outputsthe provision o a working household connection, and the delivery o acceptable
service or a period o three months. While the project has aced some dicult challenges
in implementation related to water availability, and problems dealing with existing inormal
water suppliers, these eventually were resolved, with the help o the NGO Mercy Corps,
paving the way or urther expansion to other communities.
Another nancing approach used is individuals and communities spreading the cost o
risk across a population through the establishment o insurance or catastrophic risk pools.
These instruments are generally or upper- and middle-income amilies, large businesses and
wealthy governments, but not or the urban poor. Micronance schemes, however, can be used
to nance risk reduction and recovery eorts by the poor. They have been used to improve re-
silience through housing improvements, and livelihoods assets. In low-income communities in
El Salvador sel insurance schemes include encouraging amily members to migrate to provide
remittance income, and stockpiling building materials which can either be used or resold.21
One study estimated that residents spend approximately nine percent o their income on risk
reduction measures. At the community level, many contribute to community emergency unds
or join religious institutions that traditionally oer post disaster help.
In Manizales Colombia, the city has arranged or insurance coverage to cover the urban
poor through municipal tax collection. Any city resident may purchase insurance coverage
or their property, and once 30 percent o the insurable buildings participate, the insurance
coverage is extended to tax exempted properties, including properties with a value o 25
monthly salaries or less (estimated at US$3400).22 Despite the municipal administration col-
lecting a handling ee o six percent, the insurance company has a direct contractual relation-
ship with the individual taxpayer and bears responsibility or all the claims.
In the context o the Mayors Task Force on Climate Change, Disaster Risk and the
Urban Poor, a Program or Climate Finance and Assistance or Cities is proposed. This
Program would bring together many o the existing resources that are available and draw
on some innovative instruments such as green bonds or cities and results based nancing
or basic services. With regard to climate support alone, the World Bank oers more than
30 potential programs including capacity building and technical assistance programs, and
unding initiatives. An ecient combination o such instruments could leverage public and
private sources while encouraging low carbon development. One approach to acilitating ac-
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
32/33
Building Resilience or the Urban Poor 23
cess would be creating one access window or the programs. This would enable city-specic
partnerships similar to the Banks Country Partnership Strategies.
To encourage cities to achieve specied targets, such a program could consider a more
standardized approach to benchmarking and monitoring through a set o metrics commonly
agreed upon by the international community such as a City Level GHG index, urban risk
assessments, or Local Resilience Action Plans. By meeting specied targets, cities would then
be eligible or accessing such nancing through the designated window.
In conclusion, the challenges are great or cities around the world conronting the risks
associated with climate change and natural hazards, but understanding the challenges is the
rst step in overcoming them. As is apparent in this summary and in the report, there are
examples in cities all over the world, good practices that show how cities can help build
resilience or their urban poor in the ace o risk. In doing so, cities are beneting not just the
poor, but uture generations.
7/28/2019 Banco Mundial 2011.Climate Change, Disaster Risk, And the Urban Poor
33/33
24 Climate Change, Disaster Risk, and the Urban Poor
Endnotes
1 UN-HABITAT. 2008. Harmonious Cities: State o the Worlds Cities 2008/9. Earthscan Publica-
tions Ltd., London and Sterling, VA.
2 EM-DAT, OFDA/CRED International Disaster Database, 2011. An event is dened as a disaster
in which a) atality>9; or b) 100 people reported aected; or c) a call or international assistance isissued; or d) a state o emergency is declared. Event occurrence is captured at the country level.
3 UN-HABITAT. 2003. The Challenge o Slums: Global Report on Human Settlements. London/
Sterling, VA: Earthscan Publications Ltd.
4 IIED, Undated.
5 Center or Urban Studies, 2006.
6 World Bank. 2010. Pro-Poor Adaptation to Climate change in Urban Centers: Case Studies o
Vulnerability and Resilience in Kenya and Nicaragua.
7 IPCC, 2007
8 This is drawn rom Livengood, Avery (2011), Enabling participatory planning with GIS: a case
study o settlement mapping in Cuttack, India, Environment and Urbanization, Vol. 23, No. 2
and rom eld visits to Cuttack by David Satterthwaite in June and October 2010
9 City o New York. PlaNYC: Climate Change, New York, New York Mayors Oce, 2008, and
2011 http://www.nyc.gov/html/planyc2030/html/home/home.shtml
10 Jakarta Risk Assessment, 2011, Mayors Task Force Report.
11 World Bank, 2010. A Workbook on Local Resilience Action Planning in Vietnam.
12 Birkmann, Jrn, et al. Adaptive Urban Governance: New Challenges or the Second Generation o
Urban Adaptation Strategies to Climate Change, Sustain Sci, vol. 5, pp. 185-206, June 2010 http://
www.springerlink.com/content/3715767841514733/
13 GFDRR, 2011. Volunteer Technology Communities: Open Development. A Global Facility or
Disaster Reduction and Recovery Publication, Washington DC.
14 Dar es Salaam Risk Assessment, Mayors Task Force, 2011.
15 Birkmann, Jrn, et al. Adaptive Urban Governance: New Challenges or the Second Generation o
Urban Adaptation Strategies to Climate Change, Sustain Sci, vol. 5, pp. 185206, June 201016 Pelham, L., Clay, E., and T. Braunholz, 2011, Natural Disasters, What is the Role o Saety Nets?
Social Protection Discussion Paper, World Bank, Washington, D.C.
17 World Bank. 2010. Pro-Poor Adaptation to Climate change in Urban Centers: Case Studies o
Vulnerability and Resilience in Kenya and Nicaragua.
18 Homeless Peoples Federation o the Philippines (2010), Addressing Vulnerabilities through Sup-
port Mechanisms: HPFPIs Ground Experience in Enabling the Poor to Implement Community-
rooted Interventions on Disaster Response and Risk Reduction, A background paper prepared or
the 2011 Global Assessment Report on Disaster Risk Reduction, 16 pages.
19 City Council o Quelimane (2006), Improving Water and Sanitation in Quelimane City, Mozam-
bique, Program Proposal to the Cities Alliance. Cities Alliance (2008), Comments on Progress Re-
port, Improving Water and Sanitation in Quelimane City, P101077. Grimard, Alain (2006, 2007,
2008), Grant Progress Report, Improving Water and Sanitation in Quelimane City, P101077.20 Menzies, I. and I. Setiono, 2010, Output-Based Aid in Indonesia: Improved Access to Water Ser-
vices or Poor Households in Western Jakarta, GPOBA Approaches Note, Washington, D.C.
21 Watch Institute. State o the World 2007: Our Urban Future. Norton: New York.
22 Velasquez Barrero Luz Stella (2010) La gestin del riesgo en el contexto ambiental urbano local:
Un reto permanente y compartido. Caso Manizales, Colombia. Background paper prepared or the
2011 Global Assessment Report on Disaster Risk Reduction.