Meeting Humanitarian Challenges in Urban Areas

1. Meeting Humanitarian Challenges in Urban Areas Draft Assessment and Strategy for the IASC MHCUA TF Meeting/Workshop Rome, 07-09 September 2009

2. The challenges of rapid urbanization and the potential for humanitarian crises

3. Key findings • Cities are susceptible to humanitarian crises due to location, density, and unplanned, ill-managed, exclusionary processes of urbanisation. • Unless issues of urban poverty and slums are addressed effectively, large segments of the urban population will remain vulnerable. 1 billion people currently live in slums worldwide. • Within cities, poorer areas and communities suffer the most. Epidemics and pandemics, urban violence often unfold in poor settlements. • The limited ability of the poor to regroup, restart their lives and livelihoods, prolongs crises and the need for humanitarian assistance. • 53% of the 3.3 billion live in urban areas of under 500,000 residents. But small and medium-sized cities least equipped to deal with the problems of urbanisation, or natural and man-made disasters.

4. Key findings …[2] • At regional, national and local levels, the links between forced migration, rapid urbanization and humanitarian crises are significant. • Even if the numbers of displaced persons are proportionately small, they take cities to a new tipping point of vulnerability. • Yet, cities present both challenges/opportunities. MDGs and climate change can be effectively addressed only if addressed in cities.

5. Typology of crises caused or exacerbated by rapid urbanisation • Natural disasters, e.g. cyclones, hurricanes, flooding - differentially impacting the urban poor who live in the most hazard prone locations • Damage caused by earthquakes, largely due to governance failures and the lack of community preparedness • Health crises and the spread of epidemics in urban areas, especially those which spread due to overcrowded and insanitary living conditions, lack of potable water or poor sanitation • Related health crises concern poor nutrition, food and water insecurities, due to widespread urban poverty and inequity, and inaccessible, unaffordable or inadequate health infrastructure • Urban violence, civil disorder and conflict caused by the influx of migrants, the proximity of different population groups, intense competition for scarce social resources, and social marginalization of large sections of the urban population • Climate change threatens to enhance, extend and generally exacerbate the natural disasters currently being faced by the world.

6. Regional trends Africa • Fastest urbanising (annual growth 3.3%); sub-saharan Africa 4.58%. • Current urban population of 349 million set to explode to 1.2 billion by 2050. • Nearly 85% of Africa’s urban population concentrated in cities of less than 5 million inhabitants. Small cities growing at over 4% per annum. • Displacement induced by a combination of conflict, natural disasters and rural impoverishment seen across sub-Saharan Africa. Asia • Largest urban population - 1.5 billion, will rise to 3.3 billion by 2050. • Overall growth rate 2.6%, south-eastern Asia 3.82%. • Displacement due to natural disasters seen predominantly across southern and south-eastern Asia. Conflict-related displacement seen in southern/western Asia. Latin America and the Caribbean • Most urbanised (77% urban). Overall growth rate - 1.7% • Vulnerable to natural disasters (hurricanes, cyclones, flooding, earthquakes). • High levels of inequality in cities also a trigger for recurrent and high levels of urban violence and insecurity. • Although most conflicts in the region have subsided or are dormant, Colombia hosts one of the largest displaced populations in the world

7. Regional trends …[2] North America • Hurricanes and windstorms most recurrent natural disasters • Poorer and most disadvantaged communities bear the brunt of natural disasters (e.g. Katrina) due to their precarious locations, livelihoods, inability to escape prior to the disaster as well as regroup after disaster • Technical capacity for early warning/prevention high; disaster management and recovery capacities relatively less effective Europe • Recent natural disasters such as heat waves and flooding have demonstrated vulnerability of certain populations, especially the elderly and those with limited means and mobility. • Conflict and displacement issues not yet fully resolved, e.g. in former Yugoslavia.

8. A preliminary mapping of urban crisis ‘hotspots’ • A few crisis ‘hotspots’ emerge as a result of the preliminary mapping of regional patterns of urbanization and urban poverty, natural disasters and conflict, and the impact of climate change. • Sub-saharan Africa (fastest urbanising, high levels of urban poverty, fast growing small and medium-sized cities, high levels of displacement, extensive and recurrent conflict etc.); • Parts of southern and south-eastern Asia (maximum number of urban residents, fast-growing small and medium-sized cities, high risk of climate-related disasters, continuing conflict); • Western Asia (mainly due to conflict and urban displacement due to conflict); • Latin America (due to natural disasters affecting coastal cities, continuing conflict in some countries, widespread urban violence and insecurity). • A detailed risk analysis model needs to be developed to identify and monitor hotspots based on clearly defined and agreed criteria.

9. Implications for IASC • Small and medium-sized urban centres in developing and least-developed countries should be a particular focus on the IASC and its preparedness efforts. This is mainly because of: • High growth rates • Low capacities in terms of human and financial resources, weaker urban management and planning capability • Limited investment in infrastructure – e.g. water and drainage • Attracting less investment and donor interest • Least preparedness for disasters or to deal with the unexpected influx of vulnerable rural populations due to short- and long-onset natural disasters, as well as conflict. • Disasters differentially impact the urban poor. Pro-poor and rights-based strategies should provide the essential underpinning for any humanitarian interventions. • While the issue of slums per se is a long-term development agenda rather than an immediate humanitarian concern, cities with high levels of poverty and slum populations, extended per-urban areas, must remain on IASC’s radar as potential “hotspots”for a variety of humanitarian crises.

10. Implications for IASC …[2] • Criteria and thresholds for urban vulnerabilityneed to be defined by the IASC and used/incorporated by all members in their work. • Little disaggregated data exists on the urban mortality rates or displacement due to conflicts and other man-made disasters. Collection of urban data/field-based information for conflict-affected countriesshould be an area for follow-up by the IASC. • Urban based conflict and violence pose unique challenges: understanding and responding to the causes and consequences of these challengesis critical for the IASC.

11. Implications for IASC …[3] • Urban areas are often better resourcedthan rural areas to respond to disasters. The local governance structures, civil society networks, resources and capacities need to be tapped by the IASC members while responding to humanitarian crises in urban areas. • A properrisk analysis modelshould be developed to help the IASC in building preparedness for humanitarian intervention in specific cities, countries or regions. The criteria used could include: • the level of urbanization, urban poverty and population residing in slums; • percentage of population residing in coastal cities, low-lying areas or otherwise hazardous sites; • quality of urban governance including local government capacity and resources, civil society engagement, accountability etc; • existence of disaster management strategies; • potential for natural disasters (whether or not caused by climate change); • potential for armed conflict; • displaced and/or refugee populations in cities; • Land rights; etc.

12. The challenges of humanitarian operations and emergencies unfolding in urban areas

13. Key findings • The complexity of urban environments can be described in terms of: • Demographic: urban environments are fluid, with a wide variety of inhabitants who inhabit and use the city in different ways, at different times of the day and in different seasons, with large numbers of people unnoticed and often un-registered. • Spatial and economic: a wide spectrum of extreme poverty co-habits in close proximity to high levels of wealth. Formal and informal land tenure, housing and service provisions exist side-by-side. • Institutional: multiple institutions render the urban environment operationally more complex. These are responsible for managing different aspects of urban growth and service delivery, such as the local government, service-providing agencies, line departments of national or provincial governments, private businesses etc. • There are no criteria or agreed thresholds to define the “tipping point” from ‘chronic’ or ‘hidden’ emergencies (such as high mortality due to communicable diseases, air and water pollution, malnutrition) into large-scale humanitarian crises.

14. Key findings …[2] • Crises and disasters in urban settings are more likely to have a “snow-ball effect”: one event can lead to multiple crises. • Factors contributing to the vulnerability of urban populations are widely variable, depending on pre-disaster income/poverty levels, quality of housing and access to services. E.g. those residing in slums, in hazardous locations such as low-lying areas, landfill sites, etc are particularly defenceless. • Urban land, housing and tenure arrangements merit closer attention by humanitarian actors, as these differ significantly from rural contexts. Informal settlements often not ‘eligible’ for assistance because of their illegal or informal status.

15. Implications for IASC • Tools and approaches need to be developed to rapidly assess/ establish an understanding of who the affected population is and why they are there. • Improved quality of data is essential, given the paucity of disaggregated data for crises in urban areas. Greater accuracy in data collection can be ensured through accessing formal as well as informal sources, such as grass roots community groups, faith-based organizations etc. • The relative strengths of urban environments as opposed to rural settings (such as, inter alia, economic production, civil society, informal and formal governance structures and social capital) need to be recognized and harnessed. A multi-pronged, multi-disciplinary approach is essential in responding to urban crises. • Response and service delivery solutions need to be adopted that are distinct from rural settings. This necessarily involves forming new partnerships.

16. Implications for IASC …[2] • Existing studies should be tapped and new ones undertaken, if need be, to assess the vulnerability as well as capacity of small and medium-sized urban centres to deal with a crisis. • Inter-disciplinary dialogue needs to be encouraged under the aegis of the IASC for a more effective humanitarian / developmental response, namely between urban development planning, emergency response and management, humanitarian responses, environmental management and climate change. • Disaster planning capacity and preparedness by urban and national authorities needs to be encouraged. Local community groups should be identified and their capacities harnessed. • More research is needed to better understand what works in urban disaster contexts. Donors need to prioritize support to such research. Efforts need to be practically focused and develop new innovative tools and techniques.

17. Implications for IASC …[3] Displacement • Given the rising number of IDPs and refugees in urban areas, field-based assessments should be conducted to examine causes and patterns of displacement, including secondary and tertiary displacement, movements from camps to host families, forced evictions, etc. Such data would be critical in defining future approaches to deal with urban-based refugees and IDPs. • The considerable body of work on IDPs (IASC / OCHA etc) and respective tools developed should be reviewed according to criteria to be agreed and translated for use in urban settings. Livelihoods and food security • In regard to livelihood and food aid, different targeting approaches and guidelines need to be reviewed and adapted to urban contexts (e.g. WFP and USAID) and the value of self-targeting programmes considered.

18. Implications for IASC …[4] Land, shelter and property restitution • Issues of land tenure, including ownership, tenancy and leasing arrangements, formal and informal, need to be reviewed carefully in urban areas. A clear understanding of land issues, existing systems and good practicewould help both in property restitution, as well as avoiding the restoration/reinforcement of pre-disaster inequalities. • Flexible approaches need to be encouraged towards land-titling and land-pooling. • Establishment of property commissions, even on a temporary basis, (as in e.g. Sarajevo or Kathmandu), can be useful in addressing both temporary and long-term arrangements and entitlements.

19. Implications for IASC …[4] Water, sanitation and health • A checklist for mapping of key local service providers for water and sanitation (local government, water board, private suppliers, etc.), as well as health services (primary health centres, government-run hospitals, private clinics and hospitals, charitable services etc), especially in poorer areas or slum settlements, is critical for humanitarian responses. This should be developed and shared by IASC members responsible for respective sectors. • A toolkit for effective coordination and dialogue with local actors for the delivery of clean and reliable water and sanitation in urban areas in the aftermath of a disaster should also be developed. Violence and insecurity • Existing guidelines, tools and best practice for both protection of vulnerable populations and in particular for sexual and gender based violence need to be adapted to urban settings.

20. Humanitarian response, urban actors and institutional counterparts

21. Key findings • The quality of urban governance (characterised, inter alia, by sustainability, participation, transparency and accountability) is severely tested in the aftermath of disasters. • Small and medium-sized cities usually lack the capacity and resources to prepare for, and respond to, disasters. Yet, in the immediate aftermath of a crisis, local governments – however weak – tend to play a key role in activities such as rubble removal, assessment of post-disaster damage, and rehabilitation of key municipal services and livelihoods. • Local NGOs and CBOs are usually involved in providing primary and secondary health care to the affected populations. • International organisations have to work in close partnership with a range of local actors, regardless of their capacities, in urban settings. • Local governance issues can vary significantly after natural disaster and complex emergencies.

22. Local governance issues after complex emergencies • Governance gap - Old approaches/ institutions no longer work, new ones not yet established; skill and capacity gaps • Economic transition • Political transition • A wide range of actors with different political motivations • De facto and/or de jure divisions • Yet…opportunity to reform?

23. Regional trends Sub-Saharan Africa • Decentralisation and local government reform has caught on since the 1990s, but local governments are plagued by resource constraints and weak institutional capacity. • National governments are reluctant to let go of power, especially control over politically significant agendas such as land management. • Civil society participation remains limited, although efforts to strengthen women’s organisations, youth groups and networks of the poor have begun to gain momentum. • Post-disaster relief, recovery, reconstruction efforts are still controlled by national governments, or in some cases (e.g. Sudan), powerful provincial governments/governorates.

24. Regional trends …[2] Southern and South-eastern Asia • Legal reforms towards decentralisation have driven the process of local government reform and empowerment. Larger/metropolitan cities such as Mumbai, Manila etc have powerful local governments with both capacity and resources. • Housing, land tenure and property rights remain a bone of contention between different levels of government and parastatal (unelected) bodies such as development authorities. • Small and medium-sized towns struggle to fulfil their extensive mandated responsibilities due to lack of technical staff, equipment, financial resources etc. • However, in this region, most cities – large or small – have demonstrated an inability to cope effectively with disasters, including natural disasters such as flooding or landslides, and other events such as urban violence and rioting. • Civil society is vibrant and effective. NGOs, CBOs, academic and research institutions, residents’ associations, traders’ associations, charitable trusts etc. have played significant roles in post-disaster relief and rehabilitation efforts, e.g. in the aftermath of the Gujarat earthquake (2001), and the Tsunami (2005). • However, in post-conflict interventions, role of local civil society organisations remains limited.

25. Regional trends …[3] Western Asia • Local governments not generally very strong, have limited mandates, capacities and resources. • Civil society engagement, transparency and accountability are also low. • National and provincial governments are extremely powerful. • However, the post-war recovery effort following July 2006 war in Lebanon illustrated the role of local governments as the first responders in a crisis situation. Latin America and the Caribbean • Vibrant grass roots movements and an active and engaged civil society. • Countries like Brazil, Colombia and Mexico have adopted progressive policies towards strengthening of local governments through initiatives such as participatory planning and budgeting.

26. Implications for IASC • Local government capacities to rapidly and adequately assess population at risk or affected by the disaster are widely variable and need to be strengthened. • In the aftermath of conflict, in particular, there may be a governance gap, which needs to be addressed by IASC actors. This could include: • Weak or outdated legislative and policy framework • Institutional structures overburdened or no longer fit for purpose • Weakened technical & administrative capacities • Weakened local civil society • Standard tools, checklists, operating procedures need to be established to ensure that local authorities are involved in all assessments. • Local government mandate, capacities and resources to coordinate disaster management efforts also vary from city to city and country to country. IASC needs to develop tools to ensure that local governments play a central role and are not bypassed in the delivery of humanitarian assistance.

27. Implications for IASC …[3] • Tools and approaches need to be developed for involving new actors, especially in post-conflict environments, e.g.: • Powerful local elites from all sides • Armed groups • International actors – multilateral, bilateral, humanitarian agencies, NGOs • Transitional administration/ institutions • Good practices need to be documented, adapted, developed to ensure accountability and participation of the victims and other local stakeholders in all decision-making efforts, whether for the short-, medium- or long-term.

28. Implications for IASC …[4] • Humanitarian agencies need to build their own staff capacities and knowledge to ensure equity in post-disaster recovery, and avoid the replication or reinforcement of pre-disaster inequalities. • It would be important to explore the link between decentralization efforts, local government reform, the quality of urban governance, and the effective management of disaster risk and post-disaster humanitarian response. This is a vital issue that needs to be explored further by the IASC, preferably through field-based assessments.

29. Implications for IASC …[5] • The principles of good urban governance can serve as a useful checklist for international humanitarian actors to understand the type and quality of governance arrangements, and ensure that their interventions: • build on what exists (systems, institutions, networks, infrastructure, capacities); • ‘do no harm’ by sidelining existing institutions and undermining local efforts; and • build capacity in the long run.

30. The relevance of principles of good urban governance to humanitarian action

31. The relevance of principles of good urban governance to humanitarian action

32. Institutional challenges faced by humanitarian agencies

33. Key findings Many agencies appeared almost daunted by the complexity of urban poverty and their inability to address this’ Different patterns emerging: Some organizations are responding on a case-by-case basis because of their specific mandate, while others are positioning themselves to respond to urban crises and trying to learn and adapt practices and tools to urban areas. A ‘paradigm shift’: humanitarian and development organisations are gradually shifting their approaches to adjust their response. But these efforts remain ad hoc and agency specific. Many agencies underlined their lack of understanding of the role of local government and the broader issue of governance in urban settings. To respond better, agencies need to form new alliances and partnerships. At times, organisational commitment to engage in urban settings can be lacking.

34. Both humanitarian actors and developmental interventions overlap in areas of service provision, and strengthening of basic infrastructure. The urban context is perceived more as a developmental challenge. Yet, emergency relief may not be able to target urban poor. Tools, guidelines and methodologies for humanitarian response are limited or existing tools are difficult to apply due to diverse populations groups, needs and geographical spread. Good practice of past emergency responses in urban areas are either not systematically documented, or not disseminated and shared. Substantive guiding literature is missing or inadequate. The specific challenges posed by urban settings demands expertise, which is not commonly available in most organizations. Emergency staff come with the mindset of a rural emergency context. Key findings …[2]

35. Urban programme planning needs to be strengthened and better approaches need to be integrated for disaster response, disaster risk reduction (DRR) and development. A major challenge consists of estimating the beneficiary population and the ability to distinguish between different groups of vulnerable populations and their respective needs There is a lack of classification of urban emergencies and the types of risks associated with these in different settings of urban areas. The provision of adequate protection arrangements and security is key, given the higher and more condensed incidents of crime, violence. Insecurity and violence especially in poorer parts of cities hinders safe access to provide aid, affecting the assessment, targeting, distribution and monitoring of humanitarian interventions. Staff mobility also becomes a critical factor. Need for collaborating and working with non-traditional (humanitarian) partners such as urban planning authorities, statistics departments, and sector specific experts at policy and operational level in national and local government. A vital aspect is the engagement of the private sector. Key findings …[3]

36. Key findings …[4] There are limited established coordination structures in urban settings for responding to crises. There is a need to put in place an effective coordination mechanism specific to the urban challenge. Coordination and planning of responses with national counterparts is not necessarily managed though the clusters. The majority of the UN agencies and INGOs use UN, NGOs, national governments, local government, CBOs, faith based organizations, Red Cross, community leaders and police as counter parts to varying degrees. Funding for humanitarian responses in urban situations is inadequate and funding mechanisms are not tailored to urban contexts. Donors are yet to have strategic allocated funding for humanitarian operations in urban areas and resources directed towards urban areas are meagre. Funding is usually directed towards a specific sector or region, and not towards emergency operations in urban and peri-urban contexts as such.

37. Implications for IASC Urban emergencies need to be classifiedas well as types of risks associated with these in a ‘living’ document to be reviewed by IASC members on a regular basis. Protection Guidelinesfor conflict situations need to be translated into urban contexts and their specific applicability should be tested. In devising strategies, both for risk reduction and interventions in urban crisis situations, agencies may wish to consider linking assistance to the urban poor with that of displaced, as many grass roots NGOs are doing already in urban settings. Any intervention needs to contain a strong advocacy component, sensitizing local government authoritiesin particular on the plight of displaced people. New service delivery mechanisms need to be exploredinvolving local authorities as well as grassroots NGOs. Consistent dialogueneeds to be established with national and local authorities as well as a range of other interest groups, depending on the specific situation at the earliest opportunity. The identification of these groups / counterparts should form part of the programme design for interventions.

38. Immediate concerted efforts need to be made to design and translate sectoral, policy and emergency tools from rural to urban settings. A systematic summary of good and best practices needs to be established and updated, focused on sector, coordination and protection arrangements. A mapping needs to take place of both humanitarian and development agencies and their comparative strengths and weaknesses in urban areas. Organizational capacity needs to be enhanced in all agencies in a number of different areas to better meet urban challenges: those with a greater development focus need to either train or rely on those with a more humanitarian focus and vice versa. Staff need to be trained/ sensitised in challenges and complexity of urban environments and urban governance. Specific attention should be paid to the training of national staff. There is a clear need to work and collaborate with non-traditional partners, in particular the private sector and urban community-based groups. In establishing coordination frameworks in urban environments, use should be made of existing communication channels, such as marketing firms and advertising groups, to convey key messages. Implications for IASC …[2]