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Citizen-government negotiation: Cases of in riverside informal settlements at flood risk

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Abstract

Residents of urban informal riverside settlements are regularly threatened by floods and simultaneously are facing potential eviction, particularly in multi-hazard prone cities in developing countries in Asia. Governments usually choose relocation as a preventive measure due to the high exposure of riverside communities whereas ignoring the repercussions on the resident's socio-economic conditions of these dramatical changes. However, residents, despite the vulnerabilities, aim to remain in their original homes and to pursue possibilities to negotiate with the governments and ideally achieve fair alternatives for reducing the flood risk and change the negative public image of their communities. This study explores three scenarios of which resulted in failure, success and uncertain outcomes and exposes the governance challenges for a fair citizen-government negotiation.

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... However, some of these informal communities made voices about their "unsafe housing" and "lack of urban sanitation services." They worked with figures from the Nepal Mahila Ekta Samaj-an NGO advocating for the rights of landless women in Nepal-to get gendered public attention to their alternative discourse (Carrasco & Dangol, 2019). ...
... In this context, slum community leaders and Nepal Mahila Ekta Samaj made delegations to relevant ministries to have dialogs with ministers and bureaucrats requesting them to consider the rights and issues of slum communities. Slum community leaders used their connections with ruling political parties to further pressure officials in these negotiations to put slum issues on their institutional agenda (Carrasco & Dangol, 2019). In Quinta do Mocho social housing neighborhood in Loures, Portugal, the public attention that tourism brought to the issues of the neighborhood put them in the position to request from the local authority to address "their rights to the city." ...
... However, their use of protest turns more strategic after their issues are in public attention. For example, slum communities in Kathmandu rallied along the main streets of the city to back their political bargaining with ignoring officials and push their issues onto the institutional agenda (Carrasco & Dangol, 2019). In some other cases, deprived communities used protest after their issues moved to the institutional agenda. ...
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Agenda is the list of issues or problems that policymakers agree to consider. Agenda setting is a struggle between stakeholders to define these issues. Communities suffering from pollution, homelessness, unemployment, and other unsustainabilities have the best science and most legitimate interest to define these problems for pol-icymakers. However, our knowledge about bottom-up agenda setting is limited. This study is an original, first-time investigation to explore and conceptualize how deprived communities engage in the competition to set policy agendas. The findings from analyzing secondary evidence indicate that deprived communities engage in agenda-setting competition in a three-step process of (i) defining their problems; (ii) seeking public attention to their problems; and (iii) demanding policy attention to their problems. Strategies that deprived communities use in these steps are identified and illustrated. The study produces a conceptual toolkit to research and map bottom-up agenda-setting. The toolkit might be further tested and refined, including in environmental studies. Bottom-up agenda setting is fundamental to sustainable development by ensuring that framing of social and environmental problems comes from their sufferers so that policymakers rather provide solutions.
... The exponentially high rate of population growth and the urbanization impact on the increasing demand for residential land [1][2][3][4] as in Bandar Lampung City, Indonesia. In turn, it will also trigger land cover degradation from covered with vegetation to open land which eventually becomes urban areas such as settlements and other built areas. ...
... In turn, it will also trigger land cover degradation from covered with vegetation to open land which eventually becomes urban areas such as settlements and other built areas. In line with this land use change, according to [4] in developing countries, the urban population has increased by 48%, living in some congested and unplanned areas so that public authorities are generally experiencing difficulty in providing public services. The proportion of the population living with this condition in developing countries is about 30% of the population living in urban areas under the status of informal settlement [5]. ...
... Therefore they are always in a condition of vulnerability to various livelihood problems and other social problems. The United Nations defines the vulnerability of informal settlements, including the shortage of clean water, proper sanitation, security of tenure, inadequate living space, and low quality of buildings [4,6]. ...
... Devas [26] claims that NGOs enable communities' organisation and articulate their demands. NGOs promote social mobilisation and decentralised decision-making [28]. CBOs and volunteer groups promote dialogue between local communities and governments and enable grassroots initiatives aiming to balance government-driven top-down approaches [27]. ...
... CBOs and volunteer groups promote dialogue between local communities and governments and enable grassroots initiatives aiming to balance government-driven top-down approaches [27]. These stakeholders play an essential role in bridging the existing gaps between people's priorities, governments' approaches, and the lack of mutual understanding and reconciliation of exclusion sentiments in neglected communities [28]. For instance, Rayamajhee, Storr [29] studied the roles of social entrepreneurs in disaster recovery and claim that they are crucial in keeping community members informed and enable communication with government officials to voice the communities' demands and needs. ...
... Community leadership and governance systems based on daily and face-to-face relationships are the most trustable and legitimised in communities which can be powerful actors in negotiations with government and organisations that emerge in crises [28]. ...
... The mutual trust between the organisations mentioned earlier and the migrants and refugees took time to develop. These local leadership and governance structures are commonly dismissed by governments despite being the key to community involvement, as was observed in these marginalised communities (Carrasco & Dangol, 2019;Devas, 2001). Government recognition of leaders and community groups is crucial to promote community engagement and participation, and they are also strategic partners to address emergencies. ...
... Il est nécessaire de reconnaître que l'établissement d'une confiance mutuelle entre les organisations mentionnées cidessus et les migrants et les réfugiés est un processus long mais nécessaire. Cependant, souvent, le leadership local et les structures de gouvernance locale sont souvent ignorés par les gouvernements, bien qu'ils soient la clé de la participation communautaire, comme observé dans les études menées auprès des communautés marginalisées et vulnérables (Carrasco et Dangol, 2019;Devas, 2001). La reconnaissance par les agences gouvernementales des leaders et des groupes communautaires est essentielle pour promouvoir l'engagement et la participation communautaires, et ils sont également des partenaires stratégiques pour faire face aux urgences. ...
... Es necesario reconocer que construir confianza mutua entre las organizaciones mencionadas anteriormente y los migrantes y refugiados es un proceso largo pero necesario. Sin embargo, muchas veces el liderazgo local y estructuras locales de gobernanza son frecuentemente ignorados por los gobiernos a pesar de ser la clave para la participación comunitaria, como se observó en estudios con comunidades marginadas y vulnerables (Carrasco & Dangol, 2019;Devas, 2001). El reconocimiento por parte de las agencias gubernamentales de los líderes y grupos comunitarios es fundamental para promover el compromiso y la participación de la comunidad, y también son socios estratégicos para abordar las emergencias. ...
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This book explores the sense of home that refugees and migrants from the Horn of Africa created in Melbourne’s public housing estates. The transition from forced migration and resettlement to making Melbourne their new home is presented through stories narrated by refugees and migrants from the Horn of Africa. These are considered one of Melbourne’s most vulnerable communities and shamefully some of the most discriminated and isolated. Thus, this book shows that despite differences in culture, customs and ways of life in their home countries, migrants and refugees from the Horn of Africa are moving towards integrating into the Australian society. This book is written for policymakers, researchers, social workers, humanitarian and non-profit organisations, religious groups and organisations and anyone interested in social justice, refugees’ studies, migrants and integration, and social equity.
... En este sentido, la acción política en Los Pinos se caracteriza por el uso creativo de las leyes, reglamentaciones y mecanismos de participación ciudadana para lograr una posición negociadora con capacidad de influir de manera vinculante, en lo que podríamos denominar como una estrategia de formalización territorial situada. Este tipo de estrategias utilizadas por poblaciones marginales para quedarse en los mismos lugares ha sido observado en el contexto de poblaciones que experimentan, además, riesgos asociados a su vida (Addo y Danso, 2017;Carrasco y Dangol, 2019). ...
... La planificación tradicional, estrechamente vinculada a políticas estatales, a menudo falla en reconocer a los habitantes de los campamentos como actores clave en la producción y transformación de la ciudad. Esta visión los considera más como una problemática que como participantes activos, razón por la que las iniciativas del estado están más preocupadas de la solución habitacional de estas poblaciones que del principio del habitar que movilizan a estos grupos (Matus et al., 2019;Carrasco y Dangol, 2019;Addo y Danso, 2017). En respuesta, enfoques contemporáneos como la planificación insurgente (Miraftab, 2018), buscan reconocer y dar valor a la capacidad de autogestión de estos grupos en sus propios procesos de habitabilidad residencial. ...
Article
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The housing encampments in Chile represent urban marginalization in the country. Due to the limited housing options the State provides, these settlements have historically developed forms of organization and struggle in search of their right to the city. Essentially, these actions focus on self-management to obtain a place to live. However, despite sharing similar needs, these groups show diverse forms of struggle. In the current context, with a growing demand for housing in the country, various strategies these groups adopt to integrate into the city can be observed. This article focuses on analyzing the occupation and spatial governance strategies implemented in two encampments located in the city of Temuco, Chile: Los Pinos and Los Ripieros, through a qualitative approach based on the application of a social mapping to the leaders of both settlements and the exploration of narratives related to past and future spatial governance. Differences were identified between these two encampments. Although they share a contiguous physical location and emerged at the same time, the results reveal that, despite initial similarities in urban development, there are differences in the motivations guiding their future actions. While Los Ripieros actively seeks to influence obtaining a permanent housing solution in other sectors of the city, Los Pinos chooses to get involved within the framework of existing urban regulations to secure a housing solution in the same place. These findings enrich the discussion on urban marginality by showing that the struggles for space of excluded groups are centered on the balance between rootedness and obtaining housing. The latter is vital for the state to consider when designing urban policies.
... In India, for instance, during the monsoon season, over 1400 people died due to various floods, and in July, the devastating Henan flood in China killed 352 individuals, while the Nuristan floods in Afghanistan killed 260 [2]. In response to the increasing number of floods, many authorities have dedicated greater pre-event investment to structural and nonstructural measures, and this has undoubtedly worked effectively in terms of decreasing fatalities and catastrophic economic losses [3]. The majority of Asia's emerging nations now devote a significant percentage of their budgets to reducing flood risk along key rivers and in coastal areas. ...
... The majority of studies, however, have ignored vulnerable people by neglecting the state of their livelihoods and the relationship between such livelihoods and the steps they take to reduce flood risk [67]. We also point out that vulnerable groups in earlier research have typically been based on the least developed nations, which is obviously crucial and essential [3,18,36]. However, in typical developing nations, we place more emphasis on the growth of metropolitan areas with economic promise, many of which contain vulnerable communities. ...
Article
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Urban flood risk communication continues to challenge governments. Community-based organizations (CBOs) aim to rapidly detect deficiencies in capacity to deal with flood risk in vulnerable communities and disseminate accessible risk information to assist in the selection and implementation of risk mitigation measures. This paper discusses the methods through which CBO members think their work is beneficial in the response to urban floods. Grounded theory is utilized to guide a mixed-method approach that included semistructured interviews with CBO members (N = 34), participatory observations, and policy document analysis. The findings show that localization of risk knowledge and the emergence of new social networks are important factors in flood risk communication in vulnerable communities. This discovery may highlight the varied aspects of creating community resilience and explain why traditional risk communication is currently unsuccessful. Our findings also shed light on the priorities associated with urban flood risk communication. Only by linking flood risk management to actual livelihoods can we ensure the smooth execution of relevant disaster mitigation measures, especially for vulnerable groups.
... The growing worldwide trend of disasters has significant impacts on housing in informal settlements (see for example, Sanderson et al., 2020;Carrasco & Dangol, 2019;Abunyewah et al., 2017;Jones, 2017;Asian Development Bank, 2016;McCallin & Scherer, 2015). The impacts are most evident in rapid-onset disasters such as earthquakes. ...
... Extensive documentation of such resettlement projects indicates a range of negative social, economic, and psychological outcomes for the displaced and resettled communities. These include disruption of social and community networks, difficulty of accessing livelihood opportunities, and trauma, isolation, and marginalisation (Carrasco & Dangol, 2019;Chapman & Maki, 2018;Jones, 2017;McCallin & Scherer, 2015;Partridge, 1989). In many cases, the new settlements are uninhabitable, abandoned, or taken over by groups with higher incomes (Bah et al., 2018;Shaw & Ahmed, 2010). ...
Chapter
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We focus on ways to facilitate acceptance of local, non-engineered building techniques in post-disaster recovery. Local building practices cover a wide range of local knowledge and practices that are absent from building codes and may be overlooked by institutional actors. The research seeks to analysis social and engineering datasets and assist decision making.
... The growing worldwide trend of disasters has significant impacts on housing in informal settlements (see for example, Sanderson et al., 2020;Carrasco & Dangol, 2019;Abunyewah et al., 2017;Jones, 2017;Asian Development Bank, 2016;McCallin & Scherer, 2015). The impacts are most evident in rapid-onset disasters such as earthquakes. ...
... Extensive documentation of such resettlement projects indicates a range of negative social, economic, and psychological outcomes for the displaced and resettled communities. These include disruption of social and community networks, difficulty of accessing livelihood opportunities, and trauma, isolation, and marginalisation (Carrasco & Dangol, 2019;Chapman & Maki, 2018;Jones, 2017;McCallin & Scherer, 2015;Partridge, 1989). In many cases, the new settlements are uninhabitable, abandoned, or taken over by groups with higher incomes (Bah et al., 2018;Shaw & Ahmed, 2010). ...
... The growing worldwide trend of disasters has significant impacts on housing in informal settlements (see for example, Sanderson et al., 2020;Carrasco & Dangol, 2019;Abunyewah et al., 2017;Jones, 2017;Asian Development Bank, 2016;McCallin & Scherer, 2015). The impacts are most evident in rapid-onset disasters such as earthquakes. ...
... Extensive documentation of such resettlement projects indicates a range of negative social, economic, and psychological outcomes for the displaced and resettled communities. These include disruption of social and community networks, difficulty of accessing livelihood opportunities, and trauma, isolation, and marginalisation (Carrasco & Dangol, 2019;Chapman & Maki, 2018;Jones, 2017;McCallin & Scherer, 2015;Partridge, 1989). In many cases, the new settlements are uninhabitable, abandoned, or taken over by groups with higher incomes (Bah et al., 2018;Shaw & Ahmed, 2010). ...
... The growing worldwide trend of disasters has significant impacts on housing in informal settlements (see for example, Sanderson et al., 2020;Carrasco & Dangol, 2019;Abunyewah et al., 2017;Jones, 2017;Asian Development Bank, 2016;McCallin & Scherer, 2015). The impacts are most evident in rapid-onset disasters such as earthquakes. ...
... Extensive documentation of such resettlement projects indicates a range of negative social, economic, and psychological outcomes for the displaced and resettled communities. These include disruption of social and community networks, difficulty of accessing livelihood opportunities, and trauma, isolation, and marginalisation (Carrasco & Dangol, 2019;Chapman & Maki, 2018;Jones, 2017;McCallin & Scherer, 2015;Partridge, 1989). In many cases, the new settlements are uninhabitable, abandoned, or taken over by groups with higher incomes (Bah et al., 2018;Shaw & Ahmed, 2010). ...
... Climate adaptation strategies range from efforts to control and decrease the likelihood of climate-related issues, to coping mechanisms that reduce vulnerability, and avoidance tactics that mitigate potential impacts (Few et al. 2007). In the case of urban informal settlements, social marginalisation, lack of formal recognition in policy-making, and limited access to resources are real and present challenges (Adger and Kelly 1999;Blaikie et al. 1994;Carrasco and Dangol 2019;Shatkin 2004;Wigle 2014). Despite facing political, environmental, and socio-economic challenges, residents living in informal urban settlements are seen to demonstrate dynamism and resourcefulness United Nations Economic and social Commission for Asia and the Pacific [UNESCAP] 2008) and invest in and selforganise their networks to implement adaptation strategies Ortiz and Zarate 2004). ...
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As global temperatures rise, so does the frequency and intensity of severe weather events and their risks to people and assets. These risks are especially acute for Pacific Islanders in urban informal settlements, given their socio-economic vulnerabilities and limited political influence. There is growing awareness that national adaptation strategies may not fully meet the needs of these vulnerable communities, leading to a focus on community-led adaptation. However, these approaches are in their infancy and have been criticised for fostering paternalistic tendencies, prompting calls for external institutions to facilitate rather than direct community initiatives. This research utilises Photovoice, a method recognised for its cultural relevance and ability to amplify Indigenous and marginalised voices. It involves 42 households in Fiji's Greater Suva Urban Area, using resident-led photography and interviews to explore community-based flood adaptation. Through ethnographic content analysis and inductive coding, the study captures residents’ experiences and strategies, identifying over 31 unique adaptation measures and underscoring the importance of resources, social networks, traditional knowledge, beliefs, and leadership in enhancing adaptive capacity. The findings demonstrate the complexity of factors influencing adaptation, with resource availability and social capital being crucial. The study advocates for adaptive processes that are community driven, calling for a shift in research and funding to support these programmes in a flexible, responsive, and inclusive manner. It also highlights the need to understand community dynamics to prevent paternalistic practices and integrate local insights effectively, ensuring community self-determination in adaptation efforts.
... However, because the settlers opposed the change, the objectives were not achieved (Ortega 2020). One of the cases that was studied as a successful case in terms of multi-stakeholder coordination with active community involvement was in Surabaya, Indonesia (Carrasco and Dangol 2019). It initially was understood as a model case of multistakeholder involvement for citizengovernment coordination. ...
... Daerah dataran rendah dan dataran landai seringkali berubah menjadi permukiman (Sawitri & Subiyanto, 2016). Daerah bantaran sungai yang menjadi area resapan telah banyak dialih fungsikan menjadi kawasan permukiman sehingga menimbulkan berbagai dampak negatif seperti bencana banjir (Carrasco & Dangol, 2019;Zehra et al., 2019). Keterbatasan lahan di kota memunculkan keinginan masyarakat untuk menggunakan ruang di area pinggiran kota untuk dijadikan permukiman termasuk kawasan bantaran sungai. ...
Article
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Tujuan penelitian ini adalah memantau penataan permukiman di kawasan tepian sungai Mahakam sesuai dengan PERMEN PUPR Nomor 28 Tahun 2015 untuk selanjutnya dapat diberikan rekomendasi pengembangan wilayah di Kota Samarinda dan kawasan permukiman berkelanjutan. Pengolahan data utama pada penelitian dilanjutkan dengan analisis deskriptif. Peta penutup lahan yang diperoleh dari Badan Informasi Geospasial menyajikan data penutup lahan permukiman dianalisis dengan menggunakan teknik analisis buffering dengan lebar 100 meter di kiri dan kanan sungai untuk mengetahui area sempadan sungai dan permukiman yang melanggar. Batas 100 meter dipilih berkaitan dengan ketentuan lebar, kedalaman, dan lokasi sungai menurut PERMEN PUPR Nomor 28 Tahun 2015 yang merupakan wilayah kajian peralihan perkotaan-perdesaan. Kawasan permukiman yang melanggar aturan sempadan sungai seluas 2 km2 pada sepanjang 3 kecamatan yaitu Kecamatan Loa Janan Ilir, Samarinda Seberang, dan Palaran. Arahan pengelolaan sempadan Sungai Mahakam tidak lepas dari biogeofisik, sosial-ekonomi, dan kelembagaan. Pengelolaan sempadan sungai kritis untuk keberlanjutan lingkungan dan melindungi masyarakat dari risiko banjir. Diperlukan penetapan zona tepat, penghijauan kota, partisipasi masyarakat, penegakan hukum, dan pemanfaatan teknologi untuk menjaga ekosistem sungai dan kesejahteraan masyarakat.
... The procedure usually considers resettlement of the former residents of these areas in safer locations far from the city centre and the major commercial areas that represented the people's pre-disaster livelihood opportunities. In Cagayan de Oro, the decision to relocate residents of riverside areas became controversial because the policy targeted informal settlers but allowed formal residents of equally vulnerable areas to remain in their homes [22]. Even though at least two studies considered risk assessments indicating the high exposure of these areas in the city [3], there were no actions taken, and Typhoon Washi has been considered the trigger for a long-time expected resettlement. ...
Article
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Typhoon Washi hit the southern Philippine city of Cagayan de Oro in December 2011, causing massive destruction and displacing 40 per cent of the city’s population, 85 per cent of whom were informal settlers of highly vulnerable areas on the riverbanks. Informal settlers considered by the government as the most vulnerable residents were forcibly resettled in relocation sites in the peri-urban areas. The new settlements and houses fulfilled minimum Philippine standards for emergency housing with limited understanding of local conditions and creating gaps in the residents’ needs. In the following years, residents proactively modified their houses to fill initial housing gaps. The impacts of the residents’ self-help initiatives related to construction safety and the creation of new risks associated with low construction quality, materials and increased density in the houses are major concerns for the government which is responsible for policies to guide the urban development of these sites. This paper aims to assess the impacts of policies in the urban development of the resettlement sites for low-income disaster-affected communities. To do so, this paper analyses interviews with local government officials, analysing residents’ self-help housing construction seven years after the disaster and how these were considered in the local planning policies. Furthermore, the country’s post-disaster recovery planning changes will be analysed. The findings will provide insights into government-related challenges to guarantee the technical performance of the houses and the advances and crucial remaining governance challenges for implementing urban development policies.
... Numerous studies have examined similar issues in infamous "slum" areas encroaching on river embankments in cities such as Mumbai in India (Chatterjee, 2010), Dhaka in Bangladesh (Braun & Aßheuer, 2011), Jakarta in Indonesia (Padawangi & Douglass, 2015), Durban in South Africa (Williams et al., 2018), Accra (Twum & Abubakari, 2019) and various medium-sized cities in Pakistan (Rana & Routray, 2018), Malawi (Kita, 2017;Manda & Wanda, 2017), South Africa (Ogundeji et al., 2013) and Ghana (Danso & Addo, 2017). Commonly, these encroachments of the poor on marginal lands are perceived as illegal by urban authorities and residents typically face threats of or actual execution of evictions, demolitions and resettlement measures in the name of public safety (Ajibade & McBean, 2014;Alvarez & Cardenas, 2019;Amoako, 2016;Carrasco & Dangol, 2019;Goh, 2019;Kita, 2017;Padawangi & Douglass, 2015). ...
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Urban flood risk is significantly shaped by ground conditions and the built environment , which are constantly modified and transformed by human actions. This paper examines the intertwinement of flood risk and unregulated urban expansion processes in three selected sites in Accra's expanding periphery. All three sites have been included in Accra's urban extent since the 1990s, but differ with regard to the timing of development and socioeconomic characteristics of residents. The research illuminates how flood risk is produced and "built-in" to the urban fabric through widespread practices associated with unregulated urban expansion processes, especially the persistent encroachment on water retention areas, wetlands and riparian zones and the highly fragmented provision of transport infrastructure in emerging residential areas in the periphery. Such harmful development practices are neither confined to homebuilders from poorer segments of the urban population nor spatially concentrated in low-income areas. The research highlights how the actions and inactions of a wide range of social groups and actors engaged in urban land administration and development contribute to flood risk in various ways, making flooding an increasingly alarming issue of citywide concern. Different stakeholders highlight fragmented urban governance as an underlying root cause for the obstruction of sustainable land and water management. Overall, the study calls for a more robust recognition of spatial planning and transport infrastructure provision in flood risk mitigation and highlights the urgent need for planning and governance practices that challenge the existing fragmentation of urban governance systems.
... Irrational land use leads to changes in the subsurface of the domain and an increase in impervious areas. Cities' hazard-bearing and hazard-resilient capacities have been reduced, leading to secondary urban flooding risks [43,44]. ...
Article
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The dense river network and large population in the southern region of China are vulnerable to flooding stress, which challenges the construction of human settlements. This paper analyzes the causes of flood risk and the dilemma of human settlement improvement in river-network cities, introduces the principle of resilience to human settlements, and conducts a quantitative study on the resilience of human settlements in river-network cities with the goal of flood risk management. Taking Yueyang city, a river-network city in the Yangtze River Basin, as the empirical research object, we conduct a flood resilience zoning of the human settlements based on the flood risk assessment model and use the GIS spatial overlay method to correct the resilience of the current human living space against the territorial spatial planning of Yueyang city. Ultimately, we propose a strategy for optimizing human settlements under flood risk management. The results show that (1) the highest-risk and high-risk areas of Yueyang city were mainly located in Dongting Lake and its interconnected water system, the southwest local area and the southeastern fringe, while the low-risk and lowest-risk areas were mainly located in the northeast local area and the northwestern fringe, with low flood stress risk. (2) The spatial system of human settlement resilience was constructed based on the flood risk assessment level. Among them, the human settlement flood resilience zoning of Yueyang city was divided into five categories from low to high: human settlement control zone, restriction zone, buffer zone, construction zone and expansion zone; the flood resilience zoning of Yueyang city’s current living space was divided into three categories from low to high: structure adjustment zone, flood restriction zone and development stability zone. (3) The specific control implementation and execution of the human settlements in Yueyang city mainly focus on the interrelationship between the risk of flooding in the watershed and the development of human activities through zoning regulation and collaborative management to optimize the human settlements. The study results can provide positive intervention and guidance for constructing urban and rural territorial spatial prevention planning and improving human living quality in river-network cities in China.
... Successful stories of formalising informal settlements do exist, be they water and sanitation [30], land tenure [31], participatory process [32], risk management [33] or inclusiveness of spaces [34]. However, solutions are incomparably less evident than the growth of new informal settlements worldwide [35]. ...
Article
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This paper addresses the challenges faced by planning and design education programmes when focusing on more sustainable ways of dealing with global changes. While the dominant discourse addresses the fact that planning programmes discuss the Global South through the lens of planning theory and practice from the Global North, the proposal is to shift the debate and recognise that, from a complexity perspective, planning problems are not so different from region to region. The argument is that, although the theory has moved on, when discussing conceptual aspects of planning, spatial planning practice is still focused on objects rather than the relationship between them (be they buildings, streets, neighbourhoods or even cities). Assuming that urban territories are not objects and do not develop in a linear way, but rather evolve, the proposal is to reflect on how planning and design education addresses urban evolution. This paper suggests a revision of planning and design approaches to informality, given the participation in recent years of a joint studio in Bandung, Indonesia. The alternative perspective offered here involves a re-examination of concepts and deconstruction of dichotomies. The main findings rely on the interpretation of formalisation processes (in the Global North) through the lens of complexity theory, which has facilitated understanding of today's informal settlements (in the Global South). It suggests the deconstruction of dichotomies, such as informal versus formal, thus, positing the need for a major shift on planning and design rules that focus less on objects and more on the relationship between them.
... However, both academia and public policy have made advances in recent decades in terms of adopting an integrated approach to disaster risk, and the focus of responsibility for the impact of the event has been expanded to include not only the natural hazard itself, but all of the physical, social and political factors that contribute to the threat, thus acknowledging that disasters are the product of interaction between both natural and social elements [15][16][17]. This new approach to risk brings together by definition a variety of scientific disciplines to interact and collaborate in the construction of knowledge [18][19][20], leading to new research perspectives such as the link between informality and disaster risk construction [21][22][23], the role of land planning and urban design consideration in risk production [24,25], multivariate approach incorporating physical, environmental, and social indicators [26][27][28], risk perception [29,30]. ...
... Davao City, during the mid-'90s in its further increase in population, had already become an unfriendly host. This Residents of urban informal riverside settlements threatened by floods and simultaneously are facing potential eviction, particularly in multi-hazard prone cities in developing countries in Asia (Carrasco & Dangol, 2019). The Davao River and inundating riverside residential areas such as Jade Valley and Matina Gravahan are just some of the few riverside informal settlements in Davao city affected by the cascading flooding (Alama, 2013). ...
Article
This paper explores the relation between the population and crimes that are relatively rampant in congested communities. The target location of this study is in Barangay. Gravahan, New Matina 74-A, Davao City, a riverside community diverse with legal dwellers and informal settlers. This research aims to determine how can the increase or decrease in population density affect the safety and security of the place. Since Gravahan is very dense and has a massive population of diverse citizens, it expected that except for health problems, crimes are also widespread. Population data and crime statistic were gathered and concluded that population indeed affects safety and security.
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Informal settlements are characterised by inadequate infrastructure and overcrowding. Making up a major portion of the urban fabric of Asia, they are the result of ineffective policies, unsuitable regulations and a lack of political will. Informal settlements are vulnerable to climate hazards, burdened with land tenure insecurity and dependence on the informal economy for livelihoods. As they expand, coastal informal settlements occupy environmentally vulnerable spaces, such as low-lying marshy swamps alongside water. The most frequent risk is flooding, which is made worse by sea-level rise and excessive precipitation brought on by climate change. In the absence of adequate institutional interventions and exacerbated by the impact of climate change, inhabitants are forced to develop local parsimonious coping strategies to forge a harmonious coexistence with water. The objective of the article is to find space for water, that is, identifying physical space that serves for flood adaptation within informal settlements. This involves spatial assessment of embedded shared space in informal settlements. Spatial analysis based on the occupation of space and its relation with water is carried out through drawings, direct observations and interpretation from the cases of Dharavi in Mumbai, India, and Dili in Timor-Leste. The findings reveal the intricate relation between water and informal settlements, laying the groundwork for a proposition of typologies for water-related public spaces that could be of significant use for formulating flood adaptation strategies.
Chapter
In this chapter, building resilience of informal housing is explored based on the case of Honiara, Solomon Islands. Informal housing is severely impacted by natural hazards throughout the world. Institutional approaches towards informal housing vary widely, but there is now growing consensus that instead of eviction and relocation, in-situ upgrading offers positive outcomes. Given the limited work on informal settlements in the Pacific region compared to other parts of the Global South, a research agenda is identified focusing on this region. Much of the discourse on the Pacific region deals with coastal climate change impacts relating to global activities within the current Anthropocene Epoch, however, inland floods with damaging impacts, as evident for example in Honiara, is less covered, however, they are also related to the Anthropocene. This chapter thus focuses on the case study of Honiara, a rapidly urbanising city with a significant proportion of its population residing in informal housing. This is an issue that is strongly linked to global frameworks; there is of course a direct connection to the Sendai Framework for Disaster Risk Reduction, and also to the Sustainable Development Goals (SDGs), especially SDG 13 on Climate Action, and also SDG 10 on Reduced Inequalities and SDG 11 on Sustainable Cities and Communities. Flood impacts on informal housing built without legal tenure on exposed sites are pronounced because of the use of vulnerable building materials without following resilient construction guidelines. Local land-use planning and building codes largely do not recognise informal housing. There are nonetheless opportunities for building resilience of informal housing by drawing on the initiatives, networks and skills of informal housing residents. Thus, a potential framework for informal housing improvement is proposed based on such contextual factors. There is a need for further research to develop a comprehensive suite of design and construction guidelines specifically applicable for informal settlements in Honiara, which could also have relevance for the wider Pacific region.KeywordsFloodsHoniaraInformal housingResilienceSDGsUpgrading
Article
This study examined the effect of water conservation projects on the economic and ecological development of a city from the perspective of different stakeholders. We used Xiling Gorge as a case study and recruited people in Yichang as the study respondents. The study was conducted using a mixed research method. Samples were collected and analyzed through fieldwork, a questionnaire survey, and structured interviews using intentional sampling and snowball sampling. The study revealed that modern water conservation projects could improve convenience by stabilizing water sources, increasing the government’s willingness to invest, and improving public infrastructure and transportation facilities. The projects can also lead to developing special products, creating business opportunities, raising awareness, and attracting young people to return to their hometowns. However, industries and projects cannot be differentiated because of the lack of funds for urban development, lack of necessary considerations in decision-making, and lack of entrepreneurial skills among the public. Additionally, population aging could lead to a labor shortage, which may prevent tourism areas from improving the quality of services and meeting the needs of tourists. Consequently, the perceptions of residents and tourists on the current state of economic, social, environmental, and ecological development in the village diverge.
Article
Water is essential for human activities and economic development, and the water environment significantly influences ecological balance and global climate. China and Southeast Asia are the most populous areas in the world, and their water resources are deteriorating day by day. We focus on five representative cities such as, Beijing, Jakarta, Hanoi, Kathmandu and Manila to investigate water-environmental problems with the ultimate goal of providing recommendations for sustainable urban water management. The study found that (1) the water environment of all cities has been polluted to varying levels, while the pollution has improved in Beijing and Jakarta, and the situation in other regions is severe. (2) The aquatic biodiversity has reduced, and its pollution is mainly caused by organic pollutants and decreasing river flow. In addition, numerous people live in megacities without access to clean surface water or piped drinking water, which greatly increases the use of groundwater. Further, frequent floods in the world leads to serious damage to urban infrastructure and further deterioration of water environment quality. To address these problems, countries and organizations have begun to construct wastewater treatment plants and develop water-saving technology to ensure healthy and sustainable development of water environment. The results and practical recommendations of this study can provide scientific insights for future research and management strategies to address water quality challenges during ongoing policy debates and decision-making processes.
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Disaster risk refers to the likelihood of loss or harm due to a serious disruption of the community's normal functioning; it is not only dictated by the strength of a hazard like earthquake, but also on how vulnerable the community is. This study developed a tool for quantifying the Seismic Risk Index (SRi) of a community at micro-scale. The SRi is taken as a function of various parameters including the severity of earthquake in the area, population density, structural vulnerability, as well as other physical and socioeconomic factors. An actual application has been made to the case of Barangay Carmen, Cagayan de Oro City, Philippines. The basic unit is the barangay's political zone since it is the most fundamental unit in government where policy change may be enacted. Results show that Zones 2, 5 and 9 are at High Risk. These same zones are also the top three densely populated areas. In addition, Zones 2 and 5 are swarmed with structures literally adjacent to the Cagayan de Oro River, while Zone 9's slopes are mushroomed with structures. Also, the Structural Seismic Vulnerability Score (SSVs) of Zones 2 and 5 are beyond the cutoff score, which suggests that many of the structures in these zones are potentially seismically hazardous; and this is mainly due to the presence of many non-engineered structures. To aid in the presentation to the local stakeholders, maps have been generated. To reduce the community's vulnerability, it is highly recommended that a committed and conscientious effort in implementing strict code compliance be done. To empower the economically marginalized members of society will give them a chance to build structurally sound infrastructures, and having the option to avoid slopes and flood-prone areas. In turn, majority of the community will have a better share of a truly beneficial sustainable development.
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There is an increased interest among architects, urban specialists and design professionals to contribute to solve ‘the housing problem’ in developing countries. The Invisible Houses takes us on a journey through the slums and informal settlements of South Africa, India, Colombia, Honduras, El Salvador, Cuba, Haiti and many other countries of the global south, revealing the challenges of, and opportunities for, improving the fate of millions of poor families. Stressing the limitations of current approaches to housing development, Gonzalo Lizarralde examines the short, mid, and long term consequences of housing intervention. The book covers the issues of planning, design, infrastructure and project management, explaining the different variables that need to be addressed and the causes of common failures and mistakes, while outlining successful strategies based on embracing a sustained engagement with the complexity of processes that are generally invisible.
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Flooding has been a problem worldwide that contributes negative impacts to environment and lives of many individuals. Flooding in Cagayan de Oro City is one of the major environmental dilemmas affecting properties and lives of local communities especially in areas along Bitan-ag Creek. The purpose of this study was to know the households’ coping strategies in dealing with different stages of flood. This objective was attained through conduct of survey, analysis and identification of coping mechanisms. This study was conducted in Cagayan de Oro City at communities nearby Bitan-ag Creek. An inventory of households coping mechanisms can be used by the Local Government Unit in defining the policies for recommendations on flood management. Results showed that the households’ behavior towards flood was influenced by the following factors: flood depth, flood duration and economic capacity of the household to cope with its impacts. The viable coping mechanisms employed by the households in the area are the economic and social coping mechanisms. The local knowledge of people should be included in the objectives of the existing disaster management plan of Cagayan de Oro City. This could provide more directives for disaster managers to plan measures and policies to improve the effectiveness of risk reduction activities. Raise awareness of the community on impact of flood, increase of public participation in flood management, and strict solid waste management should be implemented.
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The Tropical Storm Washi (locally known as Sendong) hit the major cities in the region of Northern Mindanao in Southern Philippines between December 16th and 17th, 2011. The flash floods brought by Washi resulted in a massive and unprecedented destruction of urban areas, causing, only in Cagayan de Oro, the displacement of 228,576 persons that represents almost 40% of the total city population, 5,801 houses were totally destroyed and 12,635 were partially damaged. Approximately 85% of the affected households were informal settlers of highly vulnerable and marginal areas located near the river banks. As a result, the post-disaster housing recovery projects focused on the resettlement of these communities as a priority for permanent housing.
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This paper describes initiatives in two Indonesian cities to reduce flood risks for those living in informal riverbank settlements. In Solo, the mayor encouraged dialogue with riverbank households, which evolved into government grants available to households prepared to relocate so that they could choose and purchase land sites in safer locations and build their homes. The government provided services and, where needed, official identity cards to those who moved. As a result of this process 993 households relocated – another 578 with legal tenure of their riverbank plots have not moved and are seeking higher compensation. In Surabaya, the mayor also encouraged dialogue with riverbank communities but no agreement was reached on tenure or alternative accommodation and compensation for those who were to move. Although neither initiative was a response to climate change, both highlight the importance of development solutions that increase resilience and that work with those most at risk from flooding and other risks that climate change is likely to create or exacerbate in Indonesia.
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This article details the evolving social and spatial dynamics of a planning approach that is now being used to regulate irregular or informal settlements in the conservation zone of Xochimilco in the Federal District of Mexico City. As part of the elaboration of ‘normative’ planning policies and practices, this approach counts, maps and then classifies irregular settlements into different categories with distinct land‐use regularization possibilities. These spatial calculations establish a continuum of ‘gray’ spaces, placing many settlements in a kind of planning limbo on so‐called ‘green’ conservation land. The research suggests that these spatial calculations are now an important part of enacting land‐use planning and presenting a useful ‘technical’ veneer through which the state negotiates competing claims to space. Based on a case study of an irregular settlement, the article examines how the state is implicated in the production and regulation of irregularity as part of a larger strategy of spatial governance. The research explores how planning ‘knowledges’ and ‘techniques’ help to create fragmented but ‘governable’ spaces that force communities to compete for land‐use regularization. The analysis raises questions about the conception of informality as something that, among other things, simply takes place outside of the formal planning system.
Article
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The riverside communities devised a community-based program to negotiate with the local government so that they are not evicted. As an intervention package, -which aims to upgrade the living environment and increase the residents’ pro-environmental behaviour-, this program consists of organization and information, combined with social interaction, commitment and feedback performance. Intensive observations were used to examine the effectiveness of the program to environmental behaviour change and upgrading settlement. The finding reveals that having common objective of renovation is the most influential variable in motivating individuals to increase environmentally friendly behaviour on the upgrading environment.
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Institutional aspects of flood hazards significantly affect their outcomes in Malaysia. Institutional arrangements to deal with floods include: legislative activity, organisational structures, attitudes and sub-culture, and policies and instruments. When assessed in terms of four specific criteria, institutional aspects of flood hazards are found to be largely inadequate. Disaster reduction programmes are over-dependent on a reactive approach based largely on technology and not even aimed at floods specifically. Structual flood reduction measures are the predominant management tool and, although the importance of non-structural measures is recognised, thus far they have been under-employed. Current laws and regulations with regard to flood management are also insufficient and both the financial and human resources of flood hazard organisations are generally found to be wanting. Finally, economic efficiency, equity and public accountability issues are not adequately addressed by institutional arrangements for flood hazards.
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The challenge of meeting human development needs while protecting the earth's life support systems confronts scientists, technologists, policy makers, and communities from local to global levels. Many believe that science and technology (S&T) must play a more central role in sustainable development, yet little systematic scholarship exists on how to create institutions that effectively harness S&T for sustainability. This study suggests that efforts to mobilize S&T for sustainability are more likely to be effective when they manage boundaries between knowledge and action in ways that simultaneously enhance the salience, credibility, and legitimacy of the information they produce. Effective systems apply a variety of institutional mechanisms that facilitate communication, translation and mediation across boundaries.
Article
This paper describes shelter and related deprivations that poor migrants to Surabaya, Indonesia, endure. Surabaya is renowned as the pioneer of the Kampung Improvement Program (KIP)—a type of citywide slum upgrading, an effective pro-poor shelter intervention. Although Surabaya has ostensibly embraced inclusive planning and governance, this paper argues it still unjustly burdens poor migrants with policies that are exclusionary and iniquitous. Qualitative evidence from a decade of field research in Surabaya points out that shelter accessibility discriminates between its eligible and ineligible poor, that is, the city’s so-called citizens and outsiders. It posits that Surabaya’s contemporary shelter interventions comprises two phases, KIP and post-KIP. Extensive settlement upgrading marked the pre-decentralization KIP-phase. After decentralization in 1999, the post-KIP phase saw the city prioritize rental flats for the poor. Curiously, it is because of the KIP-phase, which did not address housing per se, that Surabaya’s migrants still find affordable shelter. The post-KIP phase has done little to alleviate the shelter woes of the city’s poor migrants despite their demonstrated potential to produce sustainable and inclusive alternatives. The analysis suggests that political will and civil society participation can alter the shelter status quo of Surabaya’s migrant poor.
Article
This paper reviewed 42 studies of how local knowledge contributes to adaptation to climate and climate change in the Asia-Pacific Region. Most studies focused on traditional ecological or indigenous knowledge. Three simple questions were addressed: (1) How are changes in climate recognized? (2) What is known about how to adapt to changes in climate? (3) How do people learn about how to adapt? Awareness of change is an important element of local knowledge. Changes in climate are recognized at multiple time scales from observations that warn of imminent extreme weather through expectations for the next season to identification of multi-year historical trends. Observations are made of climate, its impact on physical resources, and bio-indicators. Local knowledge about how to adapt can be divided into four major classes: land and water management, physical infrastructure, livelihood strategies, and social institutions. Adaptation actions vary with time scale of interest from dealing with risks of disaster from extreme weather events, through slow onset changes such as seasonal droughts, to dealing with long-term multi-year shifts in climate. Local knowledge systems differ in the capacities and ways in which they support learning. Many are dynamic and draw on information from other places, whereas others are more conservative and tightly institutionalized. Past experience of events and ways of learning may be insufficient for dealing with a novel climate. Once the strengths and limitations of local knowledge (like those of science) are grasped the opportunities for meaningful hybridization of scientific and local knowledge for adaptation expand.
Article
This paper describes the changes in official policy on riverside development in Surabaya, negotiated by the residents of low-income riverside settlements through their organization, Paguyuban Warga Strenkali Surabaya (PWS). They shifted the official policy from relocation to redevelopment by organizing the riverside communities and by developing their own proposals to show how flooding could be avoided and city development promoted through upgrading. As a member of the province’s parliament noted, there is a large difference between communities threatened with eviction saying: “Help us because we are poor” and “Listen, we have this problem and here is a possible solution.” The riverside communities now have five years to upgrade their homes and work with the government to clean up the rivers and clear space for riverside roads without evicting residents. The paper describes the work that is underway and how it is supported by savings groups. It also describes the constraints, which still include eviction threats and the lack of funding available to support the communities’ own processes and priorities. PWS plans to develop a revolving fund to support house renovation.
Article
As Metro Manila's economy has become increasingly integrated into global flows of trade and investment, it has also experienced a shelter crisis, as the number of people who cannot afford legal housing and consequently illegally settle in informal settlements has increased in both absolute and percentage terms. This paper discusses such informal settlements as 'forgotten places' in the global era. It makes two arguments. First, it argues that this shelter crisis is inherent to globalising cities in developing countries, as a contradiction emerges between the extensive redevelopment and rising property values that accompany 'global city' development and the shelter needs of low-income people. The second is that informal settlements have increasingly been forgotten by urban planners despite this housing crisis, as planners have consciously abandoned place-based poverty alleviation efforts based on the rationale that they are no longer tenable in the global era.
Article
Decentralization has focused attention on city government but, at the same time, the growth of civil society means that urban governance is not limited to city government. Little attention has been paid, either in the literature or in practice, to the institutional and political processes which determine whether and how the poor benefit, or how the poor can influence the agenda of city governance. Drawing on studies of nine cities in Africa, Asia and Latin America, this paper identifies three broad areas which are of importance: a political system in which the votes of the poor count; a city government system with some capacity to deliver; and a dynamic civil society which can press the case of the poor. After reviewing what is involved in each of these areas, the paper identifies a number of specific policies and practices which impact on the urban poor.
Article
.Peripheral squatter settlements may play a negative or a positive role in the urbanization of developing countries. Squatter settlements in Cagayan de Oro, an intermediate-sized city in the southern Philippines, reveal that the role such settlements play depends largely on their age and location relative to urban jobs and amenities. Other significant socioeconomic variables are related to the age of the settlement. Older squatter settlements have the best locations, they are more productive, and they have closer ties to the city. Although most squatter inmigrants are from rural origins, assimilation into smaller cities, such as Cagayan de Oro, apparently is not as difficult as assimilation into primate cities. Most peripheral urban squatter settlements have the potential to play a positive and productive role in cities. Factors such as age of settlement and location should be evaluated carefully before governments decide to evict or relocate squatter populations.
Article
Recent scientific outputs suggest that climate change is likely to cause shifts in the global pattern and intensity of flood events, in some regions increasing the exposure of populations to severe flooding. Potential future risks underline the importance of research and intervention work aimed at strengthening local capacity to cope with flooding, especially for the poor in developing countries. This paper reviews recent theoretical and applied research on vul-nerability and adaptive capacity of households and communities in flood-prone areas. It traces the growing tendency for interventions to prioritize action at the local scale and suggests directions for further research to deepen understanding of actual and potential coping strategies.
Article
The purpose of this paper is to review the role of construction industry and built environment disciplines in disaster risk reduction. There is much evidence to show that every year natural disasters cause a substantial amount of damage throughout the whole world. This brought forward the importance of disaster risk reduction to prevent or mitigate the adverse impacts of disasters. The construction industry has a strong relationship with disaster management and therefore there is a high need in identifying how the construction industry and its related disciplines can contribute towards disaster risk reduction. Therefore the paper focuses on the role of the construction industry and the built environment professionals in disaster risk reduction. The literature review method has been used to address this emerging topic and therefore the paper is based on the academic literature, journal and conference papers and reports produced by various institutions.The review of literature reveals that there is a clear relationship between disaster risk reduction and the built environment disciplines. It has been identified that the construction industry and built environment professionals have a significant role to play in disaster risk reduction in both pre and post disaster situations. The risk reduction strategies can be incorporated in to all phases of construction projects, including planning, designing, construction and maintenance in addition to town and country planning and policy making.
Article
Cultures and climate are changing. These changes interact with local knowledge and practice. Research has focused on technical questions, such as how small farmers and livestock keepers understand seasonal forecasts, veterinary problems or market conditions. However, there is a more holistic way of engaging local knowledge. Rural people utilise external technical ideas and tools, even complex ones, that complement their own concepts and experience of change. However, there are obstacles to overcome in generating such hybrid local knowledge. Firstly, there is a long history of domination of rural people by urban elites, including the assumed superiority of urban or high culture versus rural, vernacular or low culture. A second obstacle comes from the frequent use of science as justification to force rural people to do what governments want. Experience of exclusion and displacement has left a residue of bitterness and suspicion among many rural people. A third obstacle involves misuse of one-size-fits-all methods. No single, homogeneous knowledge exists in a locality. Rather there are women's forms of knowledge and the knowledge of men and elders and the knowledge of young people and children, which are differentiated also by occupation and by ethnicity. In the face of such cultural diversity an incompetent use of standardised participatory methods yields poor results and may alienate residents.
Article
In this article I examine the problem of the resettlement of populations after disaster. After considering the complexity of the resettlement process in general and the reasons resettlement is often chosen by authorities following disaster, I discuss a theoretical perspective from development project resettlement which may have relevance for disaster research. This is followed by an examination of those factors in post-disaster resettlement projects which have proved important in affecting successful or unsuccessful outcomes. Site, layout, housing and popular input are presented as crucial issues in the determination of success or failure in post-disaster resettlement. Case material from Turkey, Iran and Peru is presented to illustrate how failure to attend to these issues produces unsuccessful resettlement villages. Case material from Turkey is used to illustrate how attention to these factors improves chances of success in resettlement. Material from cases of voluntary, spontaneous post-disaster resettlement in Guatemala is also presented to underscore the importance of popular participation for successful resettlement despite insufficiencies in design and material inputs. The article ends with a brief consideration of resistance to resettlement and alternative policies.
Article
Los desastres naturales, tales como inundaciones, terremotos y huracanes, son fenómenos extremos de la naturaleza que en un tiempo se tomaron como destino venido del cielo, pero son más peligrosos por los actos, el descuido de las personas y por la falta de prevención ante tales eventos. En la actualidad las políticas de prevención han reducido las muertes, pero queda dentro de la responsabilidad del hombre la localización de los asentamientos de población en zonas de riesgo.
Urbanization and Development Emerging Futures
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