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URBANISATION AND NATURAL DISASTER-A SYSTEMATIC REVIEW

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 URBANISATION AND NATURAL
DISASTER – A SYSTEMATIC REVIEW
NOVEMBER 2017
The authors of this report are:

1. Shahed Hossain (icddr,b)

2. Kim Spurway (UNSW)
3. Anthony B. Zwi (UNSW)
4. Nafisa Lira Huq (icddr,b)
5. Razib Mamun (icddr,b)
6. Rubana Islam (icddr,b)
7. Iffat Nowrin (icddr,b)
8. Saraban Ether (icddr,b)
9. Jacqui Bonnitcha (Independent consultant)
10. Ngamindra Dahal (SIAS)
11. Alayne M. Adams (icddr,b)

Funding

This is an independent report commissioned under the DFID Systematic Review Programme
for South Asia. This material has been funded by South Asia Research Hub, Research and
Evidence Division, Government of UK. The views expressed do not necessarily reflect the UK
Government’s official policies.

Acknowledgments

We would like to express our thanks and acknowledge the support of Professor Sandy Oliver
and colleagues (Dr Mukdarut Bangpan; Claire Stansfield; Jeff Brunton) at EPPI-Centre,
Department of Social Science, UCL Institute of Education, UK, Hari Dhungana and Kamal
Devkota from SIAS, Hemant Ojha, Krishna Shrestha and Nahid Sultana (NS) from UNSW,
Professor Shariful Islam (BSSMU, Bangladesh) for advice and feedback. We also thank
PricewaterhouseCoopers Private Limited (PwC, India) for managing the DFID Systematic
Review Programme for South Asia.

Conflicts of interest

There were no conflicts of interest in the writing of this report.

Contributions

The opinions expressed in this publication are not necessarily those of SARH-DFID, the EPPI-
Centre or PwC. Responsibility for the views expressed remains solely with the authors.

i
Citation

Hossain S, Spurway K, Zwi A.B., Huq N.L., Mamun R, Islam R, Nowrin I, Ether S, Bonnitcha J,
Dahal N and Adams A.M. (2017) What is the impact of urbanisation on risk of, and vulnerability
to, natural disasters? What are the effective approaches for reducing exposure of urban
population to disaster risks? London: EPPI-Centre, Social Science Research Unit, UCL Institute
of Education, University College London.

Picture

Source: https://www.flickr.com/photos/dfid/

© Copyright

Authors of the systematic reviews on the EPPI-Centre website (http://eppi.ioe.ac.uk/) hold

the copyright for their reviews. The authors give permission for users of the review to display
and print the contents of the review for their own non-commercial use, provided that the
materials are not modified, copyright and other proprietary notices contained in the materials
are retained, and the source of the material is cited clearly, following the citation details
provided. Otherwise, users are not permitted to duplicate, reproduce, republish, distribute, or
store the review without written permission.

ii
CONTENTS

List of Figures ................................................................................. iv

List of abbreviations .......................................................................... v

Summary ........................................................................................ 1

1. Background ................................................................................. 9

2. Methods .................................................................................... 19

3. Findings of the review .................................................................. 25

4. Policy and Practice Implications ...................................................... 58

5. Discussion and Recommendation ..................................................... 60

6. Strengths and limitations of the review ............................................. 70

7. Conclusions ............................................................................... 72

8. References ................................................................................ 73

9. APPENDICES ............................................................................... 84

iii
LIST OF FIGURES

Figure 1: Comparison of urban and rural population growth ............................ 9

Figure 2: Conceptual Framework ................................................................... 17
Figure 3: Proposed Theory of Change ........................................................... 18
Figure 4: Flow chart of study selection process ............................................. 26
Figure 5: Distribution of included literature on natural disasters sites in South
and East Asia ................................................................................................. 27

iv
LIST OF ABBREVIATIONS

ACCRA African Climate Change Resilience Alliance

ADB Asian Development Bank

ADPC Asian Disaster Preparedness Centre

ALNAP Active Learning Network for Accountability and Performance

CBDRM Community-Based Disaster Risk Management

CBRMA Community-Based Risk Management Arrangements

CBDRR Community-Based Disaster Risk Reduction

CCA Climate Change Adaptation

CECI Centre for International Studies and Cooperation

CENESTA Centre for Sustainable Development, Iran

DFID Department for International Development (UK)

DRR Disaster Risk Reduction

DRM Disaster Risk Management

FAO Food and Agriculture Organization of the United Nations

GFDRR Global Facility for Disaster Reduction and Recovery

HFA Hyogo Framework for Action

icddr,b International Centre for Diarrhoeal Disease Research, Bangladesh

ICIMOD International Centre for Integrated Mountain Development

IFRC International Federation of Red Cross and Red Crescent Societies

IPCC Intergovernmental Panel on Climate Change

LMIC Low and Middle Income Countries

MFI Microfinance Institution

NGO Non-Governmental Organisation

SAARC South Asian Association for Regional Cooperation

SIAS South Asia Institute of Advanced Studies

v
UNDP United Nations Development Programme

UNFCCC United Nations Framework Convention on Climate Change

UNSW The University of New South Wales, Australia

UNICEF United Nations Children’s Fund

UNISDR United Nations International Strategy for Disaster Reduction

vi
SUMMARY

In recent decades the rate and extent of urbanisation has increased markedly and the majority of the
world’s people now live in urban areas. These trends are clearly apparent in low and middle income
countries, particularly those in South and East Asia (World Bank recent list of LMIC by region). Much
of this urban growth is relatively unplanned and has increased the vulnerability of the urban
population to the increasing risk of natural disasters and extreme weather events. In addition,
vulnerability is further aggravated by other risk factors such as widespread poverty and illiteracy,
population migration, increased population density, poor access to services, inadequate nutrition, and
poor water and sanitation.
Major gaps exist in information on the interface between urbanisation and natural disasters, especially
if the added dimensions of risk, vulnerability and resilience are considered. The concept that the
impact of disasters is an outcome of ongoing risk processes interacting with hazards, exposure and
vulnerabilities is comparatively recent. It is suggested that there are valuable lessons to be learnt from
local level initiatives, people’s participation or adaptation of suitable and applicable legislations in the
face of such hazards and disasters happening in these cities, countries and regions.

RESEARCH QUESTIONS

This review aimed to answer two key questions:

i. What is the impact of urbanisation on risk of, and vulnerability to, natural disasters?
ii. What are the effective approaches for reducing exposure of urban populations to disaster
risks?
The review aimed to understand the complex relationship between urbanisation, natural disaster, risk
and vulnerability. The project approach was based on the concept that risk arises at the interface of
four intersecting domains: urbanisation, natural disasters, vulnerability and risk reduction. This was
supplemented by a more detailed proposed framework (Theory of Change) capturing the relationships
and influences among these dynamic issues and their impacts on risk, vulnerability and resilience.

METHODOLOGY

A two stage review was undertaken:

1. Stage 1 mapped the range, extent and diversity of literature on these issues.
2. Stage 2 was based on the emergent findings from Stage 1 and sought to examine in more depth
the impact and the interrelation of urbanisation with natural disasters with a particular emphasis on
the availability of evidence of effective interventions.
The findings were further strengthened by a more in-depth analysis of a subset of studies graded as
high to medium quality study identified in the Stage 2 review.
The Stage 1 scoping review examined 363 studies after primary screening and focused on urban and
peri-urban populations from low and middle income countries, all types of natural disaster, along
with evidence of any programmes and interventions implemented by governments, NGOs,
international organisations or donor agencies.
The Stage 2 review synthesized evidence from 32 studies identified from the Stage 1 scoping review
focused on the relationships between variables of interest (risk and vulnerability), including the
analysis of outcomes and impact of interventions. This helped in documenting the range of risk
mitigation approaches that have been described and contributed to deriving lessons concerning their
applicability to different contexts, especially those in South and East Asia. The Stage 2 review focused
on all disaster types in South and East Asia LMIC countries. All included studies for Stage 2 review
were coded according to pre-defined (identified in the proposed theory of change) and emerging
codes.
The included qualitative and descriptive studies were assessed using a modified qualitative research
quality assessment tool adopted from Hawker et al. (2002) and Lorenc et al. (2014). Data extracted
from each study were grouped under common themes. Matrices were developed using data extracted
from the studies in relation to the different themes. A ‘framework analysis’ was used to combine
evidence from the included studies and helped not only to identify the key themes but also to make
cross study comparisons of variation in the themes, their meanings and/or implications.
In a further step a more in-depth analysis of six high and medium quality studies was undertaken to
better understand and examine approaches for reducing exposure of urban populations to disaster
risk.

KEY FINDINGS FROM SCOPING REVIEW

The scoping review found a rich body of literature with a strong East and South Asian focus. Large-
scale disasters have a high impact on populations living in cities where both population growth and
population densities are high. Furthermore, in this period of intensified urbanisation, at-risk and
vulnerable populations migrating to cities often congregate in areas or zones known to be ‘risky’. A
substantive set of studies covered the natural, environmental and social science aspects of these
phenomena.
The review found a large body of literature focused on risk (n=208) and vulnerability to disasters
(n=178). Studies with a resilience focus were much fewer and often presented theoretical case studies
and modeling including the use of DRM guidelines. General findings from the scoping review were of
value in structuring the next stage.
 About 67% of the publications concerned three major natural hazards: floods, earthquakes and
tsunamis.
 From a disciplinary perspective environmental science and related studies were most frequent
(n=157), followed by the social sciences (n=117), urban planning (n=41) and the natural sciences
(n=38).
 A wide variety of methodologies was employed drawing on quantitative, qualitative and mixed
methods.
 Most studies covered the population as a whole, with only a few studies investigating particular
social group such as women, children, elderly populations or an ethnic group as a marginalized
population.

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  In terms of vulnerability mapping, the review identified a range of studies using GIS based mapping
and modelling, mathematical modelling and demographic modelling. The literature also included
a set of studies on seismic risk assessments and studies that tested the use of other tools.
 Much of the literature was grouped around a specific and extreme event.
 The literature mostly comprised peer reviewed journal articles with limited reach to broader
audiences such as policymakers or practitioners.

STAGE 2 REVIEW FINDINGS

In total 32 studies were included in the Stage 2 review. Our search did not reveal any experimental or
quasi experimental approaches. All 32 studies were considered for research question 1 and 21 of those
for research question 2. Floods and earthquakes were the dominant focus in included studies. Among
these studies, 13 discussed only floods, nine focused only on earthquakes, one discussed tsunami and
the remaining nine focused on other types of natural disaster (landslide, flash flood, typhoon, and
cyclone).
Review Question 1: What is the impact of urbanisation on risk of, and vulnerability to, natural
disasters?
The impact of disasters in urban areas was assessed mostly in terms of economic loss, physical damage
or health hazards. We identified very few studies that explicitly set out to assess impact and outcomes
of DRM programmes or initiatives. When impact was assessed, it was described based on data
reported in newspapers or other reports.
The impact of urbanisation on the risk of and vulnerability to disaster was studied as direct impact
including the loss of infrastructure, mortality and morbidity, economic and social losses. When
explored, impact was studied in more depth in terms of the dynamics of its relationship with
urbanisation. These studies can be categorised as addressing the areas of:
1) Physical vulnerability, including geographic and climatic exposure to natural disasters
2) Collective vulnerability, mostly discussing the process and result of rapid and unplanned urban
growth; and
3) Social vulnerability, addressing the vulnerable populations who are at combined risks of both
urbanisation and disaster.
These factors may influence the type and degree of impact alone or in concert with other factors.
Section 3.2 described in details the physical loss, where possible in economic terms and social
outcomes, when available. Section 3.2 also described the findings on the dynamics of the relationship
between urbanisation, disaster and impact.

1. Physical vulnerability: Geographic locations and climatic exposure: Evidence from almost all high to
low quality studies indicated that impact of urbanisation on risk and vulnerability to disasters varied
by location of urban settlements.
a. When cities developed along riversides or expanded onto lowland plains, the risk of cyclic and
seasonal floods increased. The studies highlighted the complex interaction between social and

3
 natural processes. The physical location of high risk communities was determined by the social
and political context as more vulnerable populations were forced to live in high risk areas
because of existing social and economic inequities and a lack of robust governance and urban
planning.
b. Cities were more at risk if situated in climactic zones or coastal areas with impacts from
monsoons, cyclones and tsunamis.
c. Cities located in high seismic risk areas were also more exposed to the impacts and risks of
earthquake.
2. Collective vulnerability: Rapid, unplanned urban growth: Rapid growth in urban areas was identified
as a key feature which influenced the impact of natural disasters in urban areas. The process of
urbanisation and a lack of effective governance and policy responses has aggravated the impact
and vulnerability to natural hazards in several ways in cities in South and East Asia. These include
urban growth and expansion of population settlements into high risk areas, especially the growth
of informal settlements and slums; poorly managed water sources, water management and
drainage systems; an increase in water runoff and poor natural drainage caused by the increase in
paved surfaces in the built environment; and the degradation of environmental buffers. Other
factors found to increase risk of disasters in urban areas included low quality infrastructure and
housing; poorly planned solid waste management systems (sewerage and garbage); and rapid,
unplanned and managed changes in land use, especially the shift from agricultural to urban uses.
All of these factors in different combinations were found to influence disaster outcomes.

3. Social vulnerability: High risk populations: The impact of natural disaster especially affected
populations who were already at risk socially, economically or demographically. Slum dwellers and
low income people ran the risk of both economic vulnerability and location in risky zones of the
city. Similarly, children and the elderly, as well as women, were more vulnerable than others in
both physical and social terms. Marginalised populations like migrants, refugees and IDPs
(Internally Displaced Persons) or minority ethnic groups suffered most after disasters, especially
during relief and rehabilitation processes. In many cases, they were excluded or neglected by the
authorities or others. In big cities one group that was particularly vulnerable to the immediate and
long term impact of disaster were household tenants.

Review Question 2: What are the effective approaches for reducing exposure of urban populations
to disaster risks?
The Stage 2 key findings are primarily based upon a subset of six medium and high quality studies. The
findings are at times supplemented by other study findings where appropriate. The details of findings
are described under each section of research questions.
Approaches identified in the reviewed articles can be divided into nine major thematic areas. All of
these areas were found to interact with one another and function against the backdrop of other
crosscutting factors.
1. Addressing information needs
2. Regulate and manage urban development

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3. Approaches for immediate response
4. Monitoring and responding to cumulative or unfolding disasters
5. Coordination among all levels (national, regional, local, etc) and stakeholders
6. Active engagement with community, civil society and local government
7. Population level education and training / drill
8. Supportive and proactive leadership
9. Addressing access and inequities
The following key findings and recommendations are based on these identified thematic areas.
1. Addressing information needs: Information needs are substantial and must be addressed prior to,
during and after disasters.
 Immediate and accurate information is required and can reduce disaster risk
 Particular value is found in forecasting and warning systems
 Action taken on the basis of local evidence can contribute to reducing risks and vulnerability
and/or enhancing resilience. Prior detailed information about local vulnerabilities is of value
Policy relevance and implications
 Systems need to be in place to collect and utilize accurate information from all levels
 Necessary to create an effective communication system

2. Regulate and manage urban space and development

 Design and establish effective DRR policy frameworks and monitor their progress and
implementation
 Ensure relocation strategies for disaster affected population
Policy relevance and implications

 Policy to support, regulate and manage the space and pattern of urban settlement

3. Approaches for immediate response: Immediate response is enhanced when appropriate systems
are working and available.
 Ready response and recovery systems
 Mapping of disaster zones and affected populations
 Systematically analyse disaster risk, social and physical vulnerabilities and potential impact to
produce evidence based decisions
 Explore innovative technology for effective communication: Use of Mobile phone / GIS /
electronic systems, cash incentives

Policy relevance and implications

 Need for comprehensive assessment, rather than only assessing risk and vulnerability of
affected people
 Resources need to be allocated to sustaining effective response and relief capacities such
logistics, vulnerability assessments, information management and ICT

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 4. Monitoring and responding to cumulative and unfolding/emerging effects/impact of disasters on
people and systems "is crucial"
 Dissemination of assurances and information to minimize panic
 Solutions to legal, political and socio-economic problems
Policy relevance and implications

 Enabling environment needs to be created (policy support, ensuring funds, capacity building
emphasizing on local government)
 Regulate and manage the spacing and patterning of urban settlements to avoid high risk
locations
 Appropriate communication and information mechanisms
 Establish link with all types of media (to provide up to date information to people at risk, risk
mitigations, instructions, etc.)

5. Coordination among all stakeholders is essential and must be strengthened

 Engage all stakeholders from relevant fields (One Approach)
 Resources (time, personnel, supplies) are ineffective without good coordination
 Constraints to local level decision-making and resource allocation compromise responses
 Invest in local government and empower them to take leadership at local level
Policy relevance and implications
 Coordination and engagement between all levels of government (local, regional, national, and
armed forces) is required for effective implementation of DRR programmes

6. Active engagement with civil society and communities brings a wide range of benefits
 Identifying and avoiding risky areas/land use and promoting safer and lawful construction
activities
 Facilitates communication with communities - awareness campaigns, planning, information
dissemination, recognition of community concerns
 Enhances implementation of DRR guidelines and activities
 Can strengthen facilitating agency of vulnerable populations
Policy relevance and implications
 Environmental protection and eco-resilient climate change adaptation and supportive
activities or regulations
 Strengthened involvement with CSOs at all levels and in all activities

7. Population-level education training and drills on disaster preparedness and response can be effective
in reducing the impacts of disasters
 Value in immediate (and post-immediate) response
 Educational curriculum - disaster preparedness and response in schools, engineering colleges
and other institutions

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  Range of communication strategies will be required - electronic media, GIS warning systems,
automated SMS information and advice
Policy relevance and implications

 Involving academicians, institutions and policy relevant public / private representatives.

8. Leadership is key to bring changes

 Active leadership plays an important part in pro-actively reducing risks and vulnerabilities, and
strengthening resilience
 Local level and other forms of representative leadership are important and need to be
recognised
 Central level leadership facilitates
Policy relevance and implications

 Enabling a supportive environment for local representatives and local initiatives

9. Agenda to address Inequity and vulnerabilities in post-disasters

 Housing and other supports to reconstruction are available to land and house owners but not
tenants
 Relocation of undocumented and marginalised migrants/populations may further limit access
to services
 Forced resettlement worsened access to livelihoods, education, transport
 Marginalised populations may be further marginalised through policy responses
Policy relevance and implications
 Ongoing monitoring to determine whether inequities are worsening or being reduced over
time
 Clear policy environment devoting attention to equity issues and to monitoring and evaluation
to ensure no one is left behind

METHODOLOGICAL IMPLICATIONS

This review identified a large volume of literature focused on disasters and urban settings, including
those focused on South and East Asia. The review, however, also uncovered a significant gap in
literature linking the dynamics of urbanisation with hazards and disasters. Their intersection is
complex and multifaceted, but the evidence base demonstrated an absence of robust evidence upon
which to base policy and practice.
This research was undertaken in a number of phases resulting in a more rigorous analysis of a small
number of medium to strong studies with a focus on approaches addressing urbanisation processes,
disasters, and insights related to reducing risks and vulnerabilities and/or enhancing resilience. Our
efforts led to insights regarding approaches that appear to be effective and are based upon evidence
from South Asia and East Asia. These have been clearly specified along with the evidence upon which
this is based. This has been further complemented by consideration of policy and practice implications

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which have in turn sought to incorporate understanding of the context of disasters in Nepal and
Bangladesh in particular. A number of questions requiring further research have been identified and
reported.

LIMITATIONS

Most of the selected studies were of low quality in terms of methodology and information. The key
findings were based on a subset of medium to high quality studies, however the conclusions were
found to vary little even if other less robust study findings were considered.

CONCLUSION

This review offers valuable insights into the complex links between urbanisation and natural disasters
in relation to risk and vulnerability. The analysis indicates that urban populations are exposed and
vulnerable to a dual process of urbanisation and natural disaster, one reinforcing the other. While
geographical or seismological vulnerability is to some extent predictable, the intricate process of
changes due to urbanisation and its impact on natural disaster, including intensity and persistence, is
difficult to capture and measure. However, it is clear from the review that people living in the risky
zones, socially and economically marginalized and in a poorly governed and unregulated society, are
victims of both urbanisation and natural disaster. The common findings direct actions towards
changing the concept from “response and recovery” to “risk reduction and vulnerability
management”, actions that consider disaster risk and vulnerability as a developmental issue and an
agenda for the present and future.

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1. BACKGROUND

In recent decades the rate and extent of urbanisation has increased. In 2014, the majority of the
world’s population (54%) resided in urban areas (UN, 2014). Given the current pace of growth, by
2050, it is anticipated that 66% of the world’s population will be living in urban areas with the pace of
urbanisation greater in low and middle income than developed countries (UN, 2014). The rate of
population growth in urban areas will continue and add 2.5 billion people to world’s population by
2050 with a nearly 90% increase in Asia and Africa (see Figure 1).
In many cases this urbanisation is unplanned and unrestricted and leads to many physical, social and
economic vulnerabilities (Malalgoda et al., 2013). Densely populated urban areas suffer overwhelming
impacts even with small scale naturally occurring disasters.

Figure 1: Comparison of urban and rural population growth

[Source: World urbanisation prospects 2014 revision UN]

While cities fuel the economic growth and development of a population, they are also considered as
“hot spots” for natural disaster. The exposure of large cities to cyclones and earthquakes will increase
as their populations double by 2050. Large cities when impacted with natural disaster usually take
long periods to recover. In the case of the Kobe city earthquake in 1995 the city’s per capita GDP
remained 12% lower when efforts measured in 2008, despite huge recovery and sound economic
foundations (DuPont and Noy, 2012). The Asia Pacific region is reported to be the world's most
disaster affected area. About 41 per cent of all natural disasters over the last two decades happened
in this region, which accounted for 91 per cent of the world's deaths due to natural disasters in the
last century. It was estimated that from 1970 to 2010 the average number of people exposed to annual
floods increased from 30 million to 64 million, while those affected by cyclones jumped from 72 million
to 121 million. In 2011, six of the ten countries most vulnerable to climate change were in Asia and
the Pacific and by 2070 the top Asian cities in terms of population exposure to coastal flooding will be

9
Bangkok, Dhaka, Guangzhou, Kolkata, Mumbai and Shanghai. Economic loss due to disasters increased
from US$52 billion in 1970s to above US$523 billion in ten years from 2005 – 2014 (UNEA, 2017).
The nature and form of urbanisation influence “risk of” and “vulnerability to” natural disasters in a
number of ways. These include environmental degradation, extreme weather and geological events
due to increased population vulnerability and concentration, and, at times, reduced resilience (Lankao
and Qin, 2011). Underpinning complex interactions between physical, socio-cultural, economic, and
institutional conditions (Gencer, 2013) influence risk, vulnerability and resilience. Environmental and
climate-related changes may precipitate storms, floods, wild fires and other forms of disaster. These
primary disasters may also lead to secondary crises such as landslides and land erosion, fires, flash
floods, tsunamis and the release of hazardous materials.
In developing countries, urban populations are vulnerable to natural disasters due to the unplanned
growth of cities with large population densities. In addition, the rapid rate and pace of urban growth
not only attracts people from other areas but also consumes lands, food, water and energy in a
continuously increasing amount. This leads to increased forms of vulnerability including poverty,
inadequate nutrition, illiteracy, and poor water and sanitation, which are further aggravated by the
occurrences of natural disasters. However, this complex phenomenon also gives rise to certain
opportunities, which help to overcome these risks and to build resilience. In this current review, we
tried to understand the impact of urbanisation on risk of, and vulnerability to, natural disasters and to
find out the effective practices to reduce those exposures to risk and vulnerability due to natural
disasters.

1.1 THE RELEVANCE AND IMPORTANCE OF THE REVIEW (POLICY AND PRACTICE)

Countries facing the threat of extreme weather events and other natural disasters are already taking
measures to reduce their vulnerability by adopting and implementing global level guidelines as well
as local level initiatives. A wide range of guidelines have already been developed by various
organisations to inform the field (Hyogo Framework, UNISDR 2015; Zwi et al., 2013) including NGOs,
UN agencies, and other international and local organisations.
Disaster risk reduction is now firmly on the development agenda and frames how disasters are to be
prevented, mitigated and addressed in coming decades (Yodmani, 2001; UNISDR, 2015). This has most
recently been recognized within the Sendai Framework. The Sendai Framework for Disaster Risk
Reduction 2015-2030 was adopted following the 2015 Third UN World Conference on Disaster Risk
Reduction (WCDRR). Sendai is the successor to the Hyogo Framework for Action (HFA) 2005-2015:
Building the Resilience of Nations and Communities to Disasters. Synergies and agreements are also
observed in three global policy frameworks adopted in 2015: the post-2015 Framework for Disaster
Risk Reduction (March 2015), The Sustainable Development Goals (September 2015; SDGs) and the
Climate Change Agreements (December 2015: COP21). There are 25 disaster risk related targets in 10
out of 17 SDGs. Disaster related indicators are major cross cutting theme in the SDG 2-5, 10-12, 14
and 16. Particularly, SDG 11 is focused to ‘Make cities and human settlements inclusive, safe, resilient
and sustainable” (UNISDR, 2015, p (8).

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Regionally, the SAARC Disaster Management Centre (SDMC) developed twelve SAARC (South Asian
Association for Regional Cooperation) Road Maps for regional cooperation and in process to develop
three more roadmaps to deal with regional disaster in comprehensive ways. Nepal is a naturally
disaster prone country sitting on high seismic risk zone and at the convergence of several rivers.
Ministry of Home Affairs developed the National Disaster Response Framework (NDRF) 2013 to
provide a comprehensive framework to deliver a more effective and coordinated national response
to disasters. The Ministry of Federal Affairs and Local Development have initiated efforts to comply
with the Sendai Framework, Goal 2 - Risk reduction: actions to address and reduce pre-existing disaster
risk. Despite this it is to be noted in Nepal still there is no national disaster management authority
(Carpenter and Grünewald, 2015).
Like Nepal, Dhaka, the capital of Bangladesh, is one of the most densely populated cities in the world
and is considered as being at medium to high seismic risk and regularly subjected to floods and
cyclones. The high pace and rate of urbanisation has impacted in many forms: During 1960 to 2005
agricultural land decreased by 55%, wetlands by 47%, vegetation cover by 38%, and water bodies by
29%. All these changes exposed Dhaka to uncontrollable physical, social and economic vulnerabilities
and at increased risks to natural disaster (Dewan et al., 2012).
Bangladesh considers disaster risk reduction with climate change adaptation as a win-win opportunity.
The Draft National Policy on Disaster Management has emphasized strategies to manage both risks
and consequences of disasters by involving the government machinery as well as the community.
Bangladesh is a signatory of the United Nations Framework Convention on Climate Change (UNFCCC)
and adopted a National Adaptation Action Plan (NAPA) accordingly. Similarly, Bangladesh along with
Nepal, India and other countries, advocated these action plans globally and regionally, and developed
a regional SAARC Framework for Action (SFA-2006-2015) including all six South East Asian countries.
The Asia-Pacific region continued to be the world’s most disaster prone region. In the past decade
alone, a person living in Asia-Pacific was twice as likely to be affected by a natural disaster as a person
living in Africa, almost six times as likely as someone from Latin America and the Caribbean, and 30
times more likely to suffer from a disaster than someone living in North America or Europe.
Geologically, the region is situated over the active tectonic plate movements in the Pacific and Indian
Oceans, which have been the source of major earthquakes and tsunamis, as well as the Indian and
Pacific oceans, also regularly generate tropical cyclones and typhoons. The region is also home to
many mountain ranges which activate earthquakes, landslides, flash floods, avalanches and other
natural outbursts. Most of the major cities are located either by the ocean or river side or on highlands
and several rivers flow through across several countries where these cities are situated. In 2015 alone,
160 disasters were reported in the region, accounting for 47 per cent of the world’s 344 disasters. The
economic loss was estimated to be around US$ 45.1 billion, not considering much more of indirect
cost and cost of slow onset disasters like droughts , heat wave, forest fires, etc (ESCAP, 2015).
While there is dearth of evidence as a whole on the risk estimates in these countries, major gaps exist
in information on urbanisation and natural disasters. Apart from direct loss estimates of catastrophic
disasters, most of the indirect losses are either not reported or when reported were over or
underestimated. Polices adopted in these countries are mostly in concert with global initiatives (SDGs,
Sendai framework etc.), however, their translation and local level implementation and implications

11
are less examined. The concept that natural disaster is an outcome of ongoing risk processes
accentuated by the prevailing state of hazards, exposure and vulnerabilities that together produce
disaster risk is comparatively new and yet not well perceived. The risk may grow and accumulate over
time, and can cause greater losses when a hazard event happens. Yet bits and pieces of evidence and
studies (also from scoping review, Appendix 17) suggest that there are valuable lessons to be learnt
from local level initiatives, people’s participation or adaptation of suitable and applicable legislations
in the face of such disasters happening in these cities, countries and regions.
In the scoping review (Appendix 17) most of the studies were in the areas of environmental or social
sciences, only a few studies focused in-depth on public administration or urban planning. This draws
attention to the need for an expanded review in order to better understand the current extent of the
public sector engagement, involvement and coverage in the domain of urban planning when dealing
with natural disaster related events.
The purpose of this review was to explore and understand the complex relationships between the
three intersecting domains of urbanisation, natural disasters and vulnerability. While examining their
complex interplay, the review also sought to identify effective efforts and processes that address this
complexity and contribute to mitigating the risks of natural disaster. Therefore, this current review
also aims to effectively disseminate lessons learned and current best practices found in the evidence
base.
The review adopted a mixed-methods systematic review approach and was conducted in two stages.
Stage 1 constituted of a scoping or mapping review which aimed to assess the nature and extent of
the available literature and evidence addressing the research questions (report available in Appendix
17).
The scoping review (Stage 1) identified, retrieved and screened a wide range of literature from diverse
disciplinary perspectives and databases. The review team also drew upon grey literature from key
agencies and their websites. The scoping review helped refine the research questions and enabled the
team to decide which areas of the disaster-urbanisation interface and associated literature should
form the basis for the second, in-depth synthesis stage (Stage 2). The scoping review also helped
identify existing models and conceptual frameworks which underpin urbanisation–disaster links that
informed the review and context analyses.

1.2 RESEARCH BACKGROUND

Disaster risk reduction is now firmly on the development agenda; this has most recently been
recognized within the Sendai Framework (Yodmani, 2001; UNISDR, 2015) that frames how disasters
are to be prevented, mitigated and addressed in coming decades. Recently, the UN development
agenda Sustainable Development Goals (SDGs) extensively highlighted DRR in at least 10 out of 17
SDGs adopted. Particularly, the SDG 11 focused solely on urban risk reduction and resilience
development (UNISDR, 2015).
The existing literature connecting urbanisation with disaster is often conceptual while the empirical
data encompasses two of the elements of the Disaster Risk Management Framework – pre and post-

12
disaster. In relation to the pre-disaster tier, many of the studies we have identified to date describe
the vulnerability to hazards in urban areas (Bhattarai and Conway, 2010; Lelieveld et al., 2013;
Rajbhandari et al., 2002; Yazdi and Neyshabouri, 2012; Yodmani, 2001). Vulnerability was explored
differently and the scoping review (annex 17z) found a set of articles using GIS based mapping and
modelling (Apa et al., 2012; Armaş, 2012; Aryal, 2012; Aryal, 2014; Yong et al., 2001), mathematical
modelling (Brata et al., 2014, Chardon, 1999) and occasionally demographic modelling specifically in
relation to elderly people (Ardalan et al., 2010; Ardalan et al., 2011; Chan and Griffiths, 2009). Social
vulnerability was also modelled in some studies in terms of economic loss and areas of habitation (Apa
et al., 2012; Chardon, 1999; Zhang and You, 2014; Zhou et al., 2014a; Zhou et al., 2014b).
Risk assessment and planning approaches applying GIS and remote sensing techniques were
numerous (Klimeš and Escobar, 2010;Taubenböck et al., 2011; Wieland et al., 2012); these fall in the
realm of applied sciences. The literature also included a set of studies on seismic risk assessments
(Chaulagain et al., 2015; Parvez, 2013; Yousefi and Taghikhany, 2014; Zobin and Ventura-Ramírez,
2004) and studies that tested the use of other tools such as the Urban Risk Assessment tool (URA) or
mathematical models (Brody et al., 2013; Brody et al., 2015; Browning and Thomas, 2016; Budiyono
et al., 2015). Another observation was that the literature tended to group around one specific extreme
event (ASIA Tsunami 2007-08), geographic location (e.g. Pearl River floods in China) or urban area (e.g.
Shanghai or Kathmandu) (Chan et al., 2012; Chan et al., 2013a; Chan et al., 2013b).
The impact of disasters in urban areas was assessed mostly in terms of economic loss (Bibbee et al.,
2000; Zoleta-Nantes, 2003), physical damage (Bono and Gutierrez, 2011; Bulut et al., 2005; Chen and
Yang et al., 2014; Shi and Cui, 2012; Yilmaz, 2004) or health hazards (Cerdá et al., 2013; Cheng et al.,
2013; Chinnarasri and Porkaew, 2015). Several studies looked at disaster preparedness, including
evaluation of interventions, mostly employing social science principles. A cross-sectional survey in
Kuala Lumpur found that level of preparedness varied with socioeconomic indicators; men fared much
better than women with higher income and more highly educated groups also having higher
preparedness. Several studies dealt with Nepal: evaluating disaster education in Kathmandu (Shiwaku
et al., 2007), evaluating women’s empowerment initiatives in disaster risk reduction (Dhungel and
Ojha, 2012), evaluating mental health aspects of disaster preparedness (Green, 2013; Acharya et al.,
2006), and looking at community perceptions of disaster preparedness.
There were several resilience-related studies that described how urban communities coped with
disaster (Braun and Aßheuer, 2011; Carlin et al., 2014; Schaer, 2015). Studies with a resilience focus
also presented theoretical case studies and modelling including the use of DRM guidelines (Caddis et
al., 2012), locating cities on floodplains (Chang et al., 2007; Chatterjee, 2010) and community based
approaches (Shakib et al., 2011; Siebeneck et al., 2015; Zaré and Nazmazar, 2013; Zhang, 2012). Two
studies looked at how urban populations cope with disasters: one study in Nepal (Bhandari et al.,
2011) and one in Tanzania (Sakijege et al., 2012). A World Bank report conducted a social and
livelihood impact assessment of the Yogyakarta earthquake in Indonesia (Narain, 2012) and another
proposed a framework for rapid impact assessment (Gilbuena et al., 2013). However, the large bulk
of the studies shed light on the causal chain of urban activities and disaster through increasing levels
of environmental stress such as increased pollution (Akpoborie et al., 2015; Pandey and Choudhry,
2013) and health hazards (Lelieveld et al., 2013; Gonçalves and Alecrim, 2004; Hassanzadeh-Rangi et
al., 2014; Kroll et al., 2014).

13
Some studies aimed at creating broad conceptual or statistical frameworks for disaster management.
These include a review of disaster management in global cities (Prior and Roth, 2013), a policy analysis
concerning urban resilience and climate change (Galderisi and Ferrara, 2012), and a conceptual
framework for urbanisation and disaster risk (Oliver et al., 2008). Another lens to look at the existing
literature is the perception and/or involvement of various stakeholders in disaster risk management,
as emphasis grows on management capacity. The role of government in building urban resilience is
highlighted in some studies from Sri Lanka (Malalgoda et al., 2013), and Nepal (Jones et al., 2013).
Garima Jain (2015) discusses the role of the private sector in DRR in her study; an important issue
deserving greater understanding and analysis.
Previous systematic reviews have looked at specific aspects of disaster risk management. Members of
our team Zwi et al., (2013) looked at the effect of community based disaster risk management
initiatives on social and economic costs arising from disasters. They identified mechanisms which
contributed to reducing risk, reducing vulnerability and enhancing resilience. This review did not have
an urban focus but elements of the framework developed and the realist approach was of value and
adaptable to the current review. The Systematic Review (SR) of Health Impacts of Mass Earth
movements (Kennedy et al., 2015) reported that mental health impacts, in particular the prevalence
of PTSD, may be higher after landslides than other types of disaster (Kennedy et al., 2015). Another
SR on health and disaster looks at medication loss due to evacuation (Ochi et al., 2014). These SRs also
do not have an urban focus and could not answer the question posed here but contributed useful
insights.
The literature was comprised mostly of peer reviewed journal articles with limited reach to a broader
audience in particular policymakers or practitioners. However, it is evident that the impact of natural
disasters on urban populations has been studied across a diverse set of disciplines and approaches.
Even so, urbanisation’s impact and relationship with disaster is still an emerging field and worthy of
more in-depth investigation.

1.3 REVIEW OF THE KNOWN FRAMEWORKS

Hyogo Framework: The 10 year periodic “Hyogo Framework for Action 2005-2015: Building the
Resilience of Nations and Communities to Disasters” came into light at the World Conference for
Disaster Reduction held in Kobe, Hyogo, Japan, in 2005. It is the first global plan to explain, describe
and detail the work that is required from all different sectors and actors to reduce disaster losses
giving attention to the gaps and challenges identified in the “Yokohama Strategy”, which was adopted
in 1994. Gaps and challenges identified in “Yokohama Strategy” were in different areas especially in
governance, systematically addressing, assessing and monitoring the disaster risk and in effective
disaster preparedness and recovery. The Hyogo Framework adopted three strategic goals (integration
of disaster risk reduction into sustainable development policies and planning, developing and
strengthening of mechanisms, institutions, and capacities to build resilience to hazards at community
level, and the systematic incorporation of risk reduction approaches into the implementation of
emergency preparedness, response and recovery programs) to attain its expected outcome. For
achieving disaster resilience, and taking action it also sketched five priorities (e.g. ensuring disaster
risk reduction is a national and a local priority with a strong institutional basis for implementation,

14
disaster risk identifying, assessing and monitoring and enhancing early warning as well, for building
cultural safety and resilience at all level use of knowledge, innovation and education, reducing
underlying risk factors and strengthen disaster preparedness for effective response at all levels) and
a number of codes under those. The ultimate goal of this framework is a substantial reduction of
disaster losses by 2015 by building the resilience of nations and communities to disasters, which
means it aims to reduce the loss of lives and social, economic, and environmental assets when disaster
strikes. To achieve this, states and other organisations both from regional and international and other
actors should implement the activities that are listed under the priorities according to their own
capacities (UNISRD, 2005).
Sendai Framework: “The Sendai Framework for Disaster Risk Reduction (2015-2030)” was approved
at the Third United Nations World Conference on Disaster Risk Reduction in 2015, held in Sendai,
Japan. This accord built on the learning and gaps of the Hyogo Framework for Action (2005-2015), by
raising awareness both public and institutional, generating political commitment and catalyzing
actions by a wide range of stakeholders at all levels. Though the Hyogo Framework for Action
contributed to achieving the MDGs by giving critical guidance, a number of weaknesses were
identified while addressing the underlying disaster risk factors. It was found for over ten years, the
wellbeing and safety of people as well as communities and countries has been affected, which was a
potential threat to achieving the sustainable development goals. Starting from this background and
to reduce disaster risk; the need for a new treaty was felt among the national and international
development practitioners. The Sendai Framework aims to reduce and manage all types of disaster
irrespective of size, frequencies, patterns, places and sectors. Four specific priorities for action have
been decided in this framework: Understanding disaster risk; strengthening disaster risk governance
to manage disaster risk; Investing in disaster risk reduction for resilience; Enhancing disaster
preparedness for effective response and to “Build Back Better” in recovery, rehabilitation and
reconstruction. To support the assessment of global progress in achieving the outcomes and goals of
the Sendai Framework, seven global targets have been agreed: Substantially reduce global disaster
mortality by 2030, aiming to lower average per 100,000 global mortality between 2020-2030
compared to 2005-2015; Substantially reduce the number of affected people globally by 2030, aiming
to lower the average global figure per 100,000 between 2020-2030 compared to 2005-2015; Reduce
direct disaster economic loss in relation to global gross domestic product by 2030; Substantially
reduce disaster damage to critical infrastructure and disruption of basic services, among them health
and educational facilities, including through developing their resilience by 2030; Substantially increase
the number of countries with national and local disaster risk reduction strategies by 2020;
Substantially enhance international cooperation to developing countries through adequate and
sustainable support to complement their national actions for implementation of the framework by
2030; Substantially increase the availability of and access to multi-hazard early warning systems and
disaster risk information and assessments to the people by 2030 (UNISDR, 2015).
Urban Risk Assessment an Approach for Understanding Disaster and Climate Risk in Cities (World
Bank 2011):
Rapid urbanisation often results in the unplanned expansion of cities which increases disaster risk and
affects climate change. To reduce and manage disaster risk city governments often become
overburdened and face challenges. This study discussed a framework which can offer planning,

15
management process and service delivery during disaster and climate change and can assess the risks
related to disaster. When location and risks are known to the cities then more effective plans can be
taken to fight against disaster. For managing disaster risk and adopting climate change processes risk
assessment is essential. This study described a structure of urban risk assessment and its process. It
stands upon three principle assessment pillars (institutional, hazard impact, and socioeconomic) with
each associated with three levels of assessment complexity (primary, secondary, and tertiary). Risk
assessment of a city can be adopted based on need, resources available, capacity. For risk assessment
at primary level; it requires minimal resources and can help cities identify high risk areas and basic
climate change challenges, and plan for disaster preparedness and response. At secondary level, the
assessment relies on more advanced techniques including financial and technical resources for
developing disaster response capacities to plan and implement non-structural measures. At the
tertiary level, the assessment will require greater resources to undertake detailed disaster and climate
change modelling to help cities develop superior disaster and climate risk management protocols
including structural and non-structural tools. The next tier is urban risk assessment, which provides a
foundation for building long-term sustainable risk reduction plans that can address a city’s
vulnerabilities to natural hazards. These assessments are structured to improve the knowledge base
and increase the capacity to deal with short and long term hazards that any given urban environment
may face (Dickson et al., 2010).

1.4 GENERAL CONCEPTUAL FRAMEWORK

The identification of vulnerable communities and the factors contributing to vulnerability are crucial
for effective disaster risk management and significant advances have been made in the study of
community vulnerability over the past two decades. However, we still know little about the local
spatial and temporal factors influencing the risks to natural disasters and also to vulnerability and how
these can be reduced or mitigated.
While understanding vulnerability is a core concept in many disaster management measures in many
parts of the world, vulnerability is rarely well defined (Zhou et al., 2014). Similarly, risk itself remains
more a derived concept, often confused with vulnerability. The classical pressure and release (PAR)
model explained the risk as a direct relation between R (risk) = H (Hazard/disaster) x V (Vulnerability),
which was derived from the interaction of society and disaster and its consequences. We feel the
relation is not as linear as depicted, particularly when we consider natural disaster, and most of our
reviewers feel that it is difficult to model something so complex and capture all of its characteristics.
Risks are constructs that we use to calculate potential harm, impact or consequences of future
disasters. Hazards are real world phenomena that exist but that could possibly interact with social
structures, processes and the built environment to produce future disasters. Not all human societies
are equally exposed to different types of hazards even if they have similar vulnerabilities arising out
of, say, urbanisation.
There are many unclear areas in understating how urbanisation increases the risk of natural disaster.
Does urbanisation directly influence the occurrence of natural disasters or does it operate through
particular mediators or modifiers? Do urban characteristics such as the pace of growth and

16
subsequent changes drive the risks of, and vulnerability to, natural disasters or directly induce some
of the natural events? Urbanisation influences the risk of exposure of populations to certain kinds of
hazards and, potentially, to certain kinds of disaster, however, there are also mitigating factors arising
out of urbanisation such as the potential for preparedness and engagement with communities in
understanding vulnerabilities and addressing them earlier on.
To understand this complex relation this review adopted the framework proposed by Mehrotra et al.
(2009) and subsequently developed a theory of change based on the findings from scoping report.
While Mehrotra and others (2009), defined risk from a capacity-based approach and the influence of
external conditions, we modified the domains by including a risk reduction dimension (e.g. increased
resilience) (see Figure 1). Here the assumption is that risk arises out of the interface of the four
domains of urbanisation, natural disaster, vulnerability and risk reduction. Approaches that attempt
to modify or mitigate the exposure of urban populations to disaster risk will vary across all four
domains.
This framework helped to capture the intersecting complexities of the domains under review as well
as to guide the search in the capture of relevant publications for the review.

Figure 2: Conceptual Framework

The theory of change (Figure 3) was developed based on the earlier described conceptual framework
and the findings from the scoping review (Appendix 17). The scoping review identified the extent and
breadth of literature on urbanisation and natural disaster, and reported the scope and limitations of
the available information. Many studies described post disaster impact and resilience measures, while
some discussed on planning, policies, resolutions, participations, challenges and barriers in the
pathway of risk reduction (scoping report, Appendix 17).

17
 Figure 3: Proposed Theory of Change

The Disaster Management (DM) cycle adapted from Alexander, 2002: 6; Coppola, 2007 and Eriksson,
2006
Based on the available literature and outcomes of the scoping review, a theory of change (ToC) was
proposed to understand and guide the synthesis stage (Stage 2):
i. A pathway of change that shows the connections between long term, intermediate and early
outcomes
ii. The ToC helps explain how an intervention fits within the pathway of change
Keeping these understandings in consideration, we have drawn this theory of change in which we
tried to explain that:
1. Risk is the interface of four vectors; urbanisation, natural disaster, vulnerability and resilience
and/or risk reduction (see Figure 2: Conceptual Framework).
2. The pathway to risk and resilience (the pathway to change) is affected largely by the context in
which these vectors occur or interplay (see Figure 3: Theory of Change)
3. The types of factors related to the nature of three vectors such as urbanisation, natural disaster
and vulnerability determine the risk. However, the shape of the pathway to risk and resilience
is influenced by DRM interventions (pre, during and post disaster periods) and by complex
interactions with other cross cutting themes that support governance, policy and programmes
or initiatives. These initiatives are undertaken by the communities themselves and/or together
with other DRR interventions (See Figure 3: Theory of Change).
4. DRR approaches can function effectively depending on the context and any associated cross-
cutting themes, influencing the outcome of interventions (See Figure 3: Theory of Change).

18
2. METHODS

2.1 RESEARCH QUESTIONS AND OBJECTIVES

i. What is the impact of urbanisation on risk of, and vulnerability to, natural disasters?
ii. What are the effective approaches for reducing exposure of urban population to disaster
risks?
The review was based on the outputs of the scoping exercise (Stage 1) and synthesized evidence of
the relationships between variables of interest, including the analysis of outcomes and impact of
interventions (Stage 2). The review tried to capture the range of risk mitigation interventions that
were evaluated or reported and also to document the lessons concerning their applicability to
different contexts, especially those in South Asia.
The second stage also focused on the reported interventions that addressed risk reduction and
vulnerability. Inclusion criteria were fine-tuned after the scoping study (Stage 1) to focus on particular
types of disasters, interventions and approaches or contexts of particular interest and to ensure the
review could be feasible and meaningful to the policy community.

Emphasis had been given to include interventions focused on managing the disaster impact of
urbanisation for further analysis for example, improved land use and watershed management,
preparedness programs including those entailing extensive community engagement and participation,
urban planning, policy change and urban risk assessments.

The review focused on all disaster types in South and East Asian LMIC countries, as long as the studies
met the inclusion criteria at the synthesis stage (Stage 2) - disaster, urbanisation, intervention or
impact or outcome evaluation assessment, but not limited to either particular disciplinary or
methodological approaches, nor to particular types of disasters (see inclusion criteria in section 2.2).
Relevant literature was drawn from the social and allied sciences, public administration and urban
planning where these focused on South and South Asia.

2.2 INCLUSION CRITERIA

This review used a predefined and agreed upon PICO (Population-Intervention-Comparisons-

Outcomes) framework to organise inclusion / exclusion criteria as follows (See Appendix 11):

POPULATION
This review included studies that investigated all urban and peri-urban populations living in low and
middle income countries (LMIC- as per World Bank 2016 definition, last access on March 01, 2016)1 of

1 https://datahelpdesk.worldbank.org/knowledgebase/articles/906519-world-bank-country-and-lending-groups

19
South and East Asia. Analysis included studies investigating particular demographic groups (age,
gender, ethnicity, etc.) and/or socio-economic status (poor, middle class, wealthy). Studies included
in the review also addressed population categories such as marginalized groups, slum-dwellers,
displaced populations, migrants and other at-risk groups. In addition, studies investigating local and
national governments and relevant government agencies, departments and ministries were included.
Given that the context of urbanisation itself varied a great deal between these different studies,
information was also gathered on urbanisation context: pace and rate of urbanisation; location of
urban centres investigated; the characteristics of urbanisation in given contexts; the economy; social
patterns and geophysical vulnerabilities, if any. The patterning of populations and urbanisation
contexts was carefully examined and compared across the breadth of the literature reviewed.
Disaster: Natural disasters included all disaster types: flood, earthquake, tsunami, avalanche, fire,
landslide, tidal wave, volcano, large scale catastrophe, cyclone, hurricane, typhoon, coastal hazard,
lahars, blizzard, hailstorm, storm, tropical storm, heat wave, tornado, wildfire, mudflow, extreme
weather events, and climate related hazards. The search strategy was as inclusive as possible in order
to ensure the review captured as many studies as possible that could contribute to an improved
understanding of disaster risk, resilience, and vulnerability in relationship to urbanisation in low and
middle income countries in South and East Asia.

INTERVENTION
The focus of the review was to analyse the interplay of urbanisation with natural disasters in the context of
risk, vulnerability and resilience. The review was informed by models and frameworks identified through
the initial scoping exercise (Stage 1). The review sought to identify programmes and interventions
implemented by governments, NGOs and community-based organisations, international organisations
or donor agencies to reduce risk and vulnerabilities to disasters and their effects, and to boost
resilience in the context of urbanisation and disaster. Interventions operating along the continuum -
pre-disaster, disaster response, mitigation, and post-disaster - were included with an emphasis on
identifying studies that linked urbanisation with risk and vulnerability to disasters (and their effects),
and where undertaken, associated interventions. Specific forms of intervention that were incorporated
into the theory of change – such as community engagement or establishment of cooperative networks –
were also explored in relation to the interventions identified.

COMPARISONS
The review focus was on natural disasters and their interface with human settlements, urbanisation,
disaster risk management programmes and related programme outcomes. With natural disaster it
was anticipated that few experimental studies would be available but that insights would be derived
through comparisons reported for people offered, exposed or affected by a particular intervention. It
was anticipated that this would most likely be comparisons between baseline and end line, pre-test

20
and post–test circumstances, and would reflect presence or absence of interventions, or differences
arising from intervention intensity. However, the scoping review (Stage 1) did not identify any such
literature; the Stage 2 analysis therefore included a range of study types that could inform the
development of interventions, reported the context in which impacts may have been modified by
interventions, and insights regarding changes in processes and outcomes.

OUTCOME(S)
“Risk of” and “vulnerability to” are the major outcomes in the pathway of interaction between
urbanisation and natural disaster. The search and this review tried to identify whether other related and
important outcomes on this pathway were reported in the literature, importantly, any potential area to
resolve implementation challenges. The review considered the outcomes such as “resilience”,
“preparedness”, “disaster planning”, risk assessment, slum avoidance, and enforcement of safer land
use, and building codes (See appendix 7 for details of search strategy) etc. More in-depth analysis
was expected to reveal more detailed information about other outcomes (e.g. reduced hazard
exposure, changed health or care seeking behaviour, improved disaster preparedness, improved
responsiveness, improved quality of life etc.) and variables relevant to reducing disaster risk and
vulnerability in urban areas.

STUDY DESIGN
All forms of impact, outcome evaluation or intervention assessment studies related to urbanisation
and disaster were included. No particular designs of studies were excluded. All methods of data
collection including quantitative, qualitative and mixed method approaches and hence study designs
were considered. Observational studies such as surveys, cohort studies, case-controlled studies and
case studies (with or without economic or equity analyses) assessing harm or causation were also
considered potentially suitable for assessing reach, implementation and convergence of disaster and
interventions.
We were especially concerned with identifying empirical data related to these interventions and their
evaluation, as well as their interactions with the key concepts of risk, resilience and vulnerability. We
anticipated drawing on but not systematically reviewing those studies that would help contribute
understanding of context and mechanisms that help explain how and why given interventions might
work.

LANGUAGE OF THE REVIEW AND DATE OF PUBLICATION

Only English-language publications were examined. The review was limited to literature published
from 1980 to the end of 2015.

21
2.3 LITERATURE SEARCH

A systematic approach was adopted to search and identify relevant literature for the initial scoping
review (Stage 1). The relevant studies were searched in specific and related databases using a variety
of search terms including key words, relevant text word, index terms and entry terms. We searched
Global Health, Pubmed, PsychINFO, PAIS, Scopus, ASSIA, British Humanities Index (BHI), Sociological
Abstracts, Informit Humanities and Social Sciences and Health Collection, GEOBASE, CAB Abstracts,
OARE, Collaboration for Environmental Science, Econlit, International Bibliography of the Social
Sciences, IPSA (International Political Science Abstract). We also searched relevant websites including
donor organisation website (DFID, USAID etc), and UN websites (UNISDR, WHO etc).
This was supplemented by searching grey literature using the same key words (see appendix 7 for
search strategy). The search was managed using EndNote (version 5) software, which was used to
create a library of all search results. All duplicate records were identified and deleted. The records in
the Endnote library were then imported into EPPI-Centre’s online review software, EPPI-Reviewer 4.
EPPI-Reviewer was used to manage the screening, review, structure and record all processes, including
those concerned with analysis. In Stage 2 review, a subset of relevant literature was drawn from the
literature identified in the mapping stage for in-depth analysis. EPPI-Reviewer 4 was used to manage
the search results.
The search outcome was screened using inclusion and exclusion (appendix 11) criteria relevant for the
review. The synthesis stage (Stage 2) focused on LMIC countries of South and East Asia, and included
urban populations and available interventions or approaches that examined or reported interactions
among the three main domains under review, urbanisation, natural disaster and vulnerability. The
identification of potential studies followed a systematic approach which included both the electronic
databases, web sources, major and relevant organisation websites, key journals and grey literatures
(Appendix 8). All searches were carried out by an expert search librarian.

2.4 SCREENING STUDIES: APPLYING INCLUSION AND EXCLUSION CRITERIA

The titles and abstracts were reviewed by two team members from UNSW (KS and NS) and two
members form icddr,b (RM and IN), according to the inclusion and exclusion (Appendix 11) criteria.
Quality assurance was maintained by rechecking 20% of the title and abstracts by SH, KS and LH. After
selection, full-text was obtained and uploaded in the EPPI-Reviewer software for further applying
exclusion criteria. Application of inclusion and exclusion after viewing full text was done by three team
members (KS, NS and RM). It was recognised that this kind of evaluation based only on the review of
a study’s abstract was not always possible and, in these cases, a more detailed review of the full
document was undertaken. If the study met the inclusion criteria, the study was retained for the next
stage of the review. SH and KS undertook 10% of the full text rechecking to ensure quality application
of the inclusion criteria. All aspects of the study processes have been documented to ensure rigour
and transparency. The research team worked together to review articles that were contentious with
the team leader making a decision where unresolved. Those articles not meeting the criteria were
excluded.

22
Coding and data abstracting were applied using EPPI-Reviewer 4 software. A set of codes were set up
in EPPI-Reviewer 4 for use by the review team (See Appendix 7). Included full text articles were
reviewed one by one by four reviewers (SH, KS, RM, NLH) and multiple coding was applied as
appropriate to each article. In addition, all studies were categorised and data recorded concerning key
features of each study, including the presence of outcome data for assessment in the next stage of
the review. Instances of disagreement or uncertainty were resolved via discussions among the whole
team.

2.5 DESCRIPTION OF STUDIES AND QUALITY ASSESSMENT

All literature that met the inclusion criteria were included with quality judgements being made in
respect of relevance to the aims and research questions of the review. The validity of insights derived
from different aspects of the study was then considered in relation to the study’s description of data
collection and analysis methods. A careful assessment of the quality of each study contributing to the
systematic review of interventions and impact was done. The quality of the included studies was
assessed using Hawker et al.’s tool, which covers the following domains: abstract and title;
introduction and aims; methods and data; sampling; data analysis; ethics and bias; results;
transferability or generalizability; implications and usefulness. We have adopted the tool from
Appendix 5 of Lorenc, T et al. This tool contains nine questions, each of which can be answered in
“good”, “fair”, “poor” and “very poor”. Having applied the tool to the studies, we converted it into a
numerical score by assigning the answers from 1 (very poor) to 4 (good) points. This produced a score
for each study of a minimum of 9 and a maximum of 36 points. To create the overall quality grades,
we used the following definitions: high quality (A), 30-36 points; medium quality (B), 24-29 points; low
quality (C), 9-24 points. We have modified scoring regards “low quality”; we set the points <24 instead
of “9-24 points” (see appendix 4).

2.6 DATA SYNTHESIS

The review team used both Microsoft Excel and EPPI-Reviewer 4 software (Thomas et al., 2010) to
manage and analyse data. Analysis at the synthesis stage involved more in-depth and line by line
coding for data abstraction.
In the absence of any experimental trials or other quantitative methods of comparison studies, neither
meta-analysis nor regression analysis was possible. Framework analysis was undertaken to describe
in more detail the thematic and sub-thematic issues of interest. Framework analysis is a data analysis
technique adapted for use in research syntheses (Dixon-Woods, 2011; Oliver et al., 2008). A
framework approach enables reviewers to structure and organise information based on conceptual
and thematic frameworks identified and refined during analysis (Dixon-Woods, 2011; Smith and Firth,
2011; Ward et al., 2013). Carroll et al. (2011), for example, used framework approach as a tool in a
systematic review of attitudes towards taking dietary supplements that can aid in the prevention of
colorectal cancer. Another research team undertook a systematic review using framework analysis

23
that synthesised studies investigating patient perspectives on prevention programs for cardiovascular
disease and diabetes (Surjan and Shaw, 2009).
The review used a set of predefined themes as ‘sensitizing concepts’ (Charmaz, 2006) to guide the
development of the review search strategy, the research questions and the data extraction tools used
in stages one and two (see Appendices 9 & 10). However, as coding proceeded, concepts emerged
during analysis, which were then integrated into the evolving analysis. The codes were grouped and
organised according to thematic categories which were then used to answer the two research
questions of this review. The findings of the thematic coding were then analysed in relation to one
another, exploring the resonance between the issues raised by the studies.
To determine which approaches are effective and appropriate in limiting the devastating outcome of
natural disaster, the review assessed the impact of approaches by comparing and combining themes
emerging from studies captured using a narrative synthesis of included studies (Arai et al., 2007; Popay
et al., 2006; Rodgers et al., 2009). Emergent themes and concepts were organised in accordance with
the two research questions. The thematic coding for the first research question included concepts
related to the extent of risk and vulnerability to estimate the relative impact of different types of
natural disasters in different LMICs. Due to the paucity of rigorous studies detailing explicit outcomes
and specific program interventions, it was often difficult to find strong connections between the
impact of urbanisation (question 1) and effective approaches to reducing the exposure of urban
populations to natural disasters (question 2). Wherever possible, however, included studies were
closely examined to see if they included examples of effective approaches and interventions that
reduced affected populations’ exposure to natural disasters in urban settings.
The studies were also analysed and categorised according to a range of contextual factors reported in
studies including:

 Lack or presence of collaborative initiative taken by the government or non-governmental

organisation or joint collaborative effort between government and non-governmental
organisations and presence of community participation in any of these initiatives.

 Studies were coded according to country and specific natural disaster type;
 Reported success or failure of approaches was drawn out of each study’s results and findings;

 Potential for approaches to be applied to other countries with similar settings.

The team also evaluated the quality of studies (see section 2.8 above); the range of outcomes and
impacts and what influenced them; the strength of evidence; as well as the similarity or dissimilarity
of outcomes in relation to context. We drew out key implications and findings, especially those of
likely relevance to policymakers and future implementation, and considered these in relation to the
context analysis.

24
3. FINDINGS OF THE REVIEW

This chapter describes the findings of the review. In this review each of the included studies addresses
review questions:
1. What is the impact of urbanisation on risk of, and vulnerability to, natural disasters?
2. What are the effective approaches for reducing exposure of urban population to disaster risks?

3.1 STUDIES INCLUDED FROM SEARCHING AND SCREENING

The in-depth review included a total of 32 studies. The initial search resulted in 14,859 citations from
various sources. The sources included 17 databases and websites including institutional and
organisational websites. A search of grey literature was done but none of the retrieved studies were
found suitable to include in the review process. After duplicate checking, 14,021 citations were
uploaded to the software EPPI-Reviewer 4 for screening process and further review. The scoping
review included 363 studies.
We have included all studies from the scoping review which are on Nepal and Bangladesh for inclusion
in the contextualisation section.

25
Figure 4: Flow chart of study selection process

14,842 studies through 17 studies through grey

database searching literature

14,859 studies 838 studies duplicates

13,116 studies excluded after

14,021 studies screened screening on title and abstract:
 Disaster type
 Country
 Date
 Publication type
 Not urban
 Language

542 studies excluded after

905 Studies included for screening on full article screening on full article:
 Disaster type
 Country
 Date
 Publication type
 Not urban
 Language
 Unavailability of full article

331 studies excluded based on:

363 Studies included for mapping  Not South and East Asian
country
 Absence of intervention/
approach/ impact

32 Studies included for in-depth analysis

26
A total of 32 studies were reviewed, which were based on LMIC countries (Bangladesh, India,
Indonesia, Nepal, China, Cambodia, Sri Lanka, Vietnam, Thailand, Malaysia and Philippines). Among
these studies, 13 discussed only floods, nine discussed only earthquakes and one discussed tsunamis.
The rest of the literature discussed other natural disasters (landslide, flash flood, typhoon, cyclone
etc.) besides floods and earthquakes. All included studies were reviewed to answer research question
1 and 21 were reviewed for research question 2.

Figure 5: Distribution of included literature on natural disasters sites in South and East Asia

3.2 IMPACT OF URBANISATION ON RISK, VULNERABILITY TO NATURAL DISASTER

Research Question 1: What is the impact of urbanisation on risk of, and vulnerability to, natural
disasters?
Findings in response to this review question have been arranged in two parts. The first section
describes the evidence related to the physical, social and economic impacts of major disasters and the
second part addresses those impacts related to urbanisation and existing vulnerabilities. The
discussion attempts to describe the review findings using the conceptual framework and proposed
theory of change.

27
PHYSICAL, SOCIAL AND ECONOMIC IMPACT
Flood, earthquake, tsunami, typhoon, cyclone, landslide are very common natural disasters that are
often faced by LMICs in South and East Asia. Physical, social and economic impacts of major disasters
are discussed in the subsequent passages.

IMPACT OF FLOODS

Floods impacted largely on physical, economic and social sectors. Almost every study found that
economically marginalized people are at greater risk of being affected by natural disasters. Slum
populations, poor and migrant people living in the hazard prone areas (e.g. river bank, low level plain
land, coastal area etc.) are more vulnerable to disaster. In addition, children and women are another
group of vulnerable people who are highly affected during disaster (Ahmed et al., 2015; Rumbach,
2014; Ramachandraiah, 2011; Sharma and Priya, 2001; Sudmeier-Rieux et al., 2015; Dewan et al.,
2012; Surjan and Shaw, 2009). These authors reported in their studies that during floods, slum
populations dispersed throughout the city, along hill slopes, railway lines, pavements and within
industrial zones, and in low lying informal settlements were particularly vulnerable to floods. One
study from Nepal found that ethnic groups were also very vulnerable to flood (Sudmeier-Rieux et al.,
2012).

INFRASTRUCTURE LOSS AND MORTALITY AND MORBIDITY

During floods, communication and transportation systems are often damaged or even destroyed as
telecommunications, roads and highways go under water. Floods also have a significant impact in
terms of injury and the loss of life in cities in South and East Asia. In countries like Bangladesh, for
example, floods create problems in drainage systems as they are pushed beyond their normal
capacity. The drainage systems are often in poor condition in informal settlements especially, making
it impossible to live in slum residences during floods (Ahmed et al., 2015; Dewan et al., 2012). In the
1955 flood, 80% of Dhaka, the capital city of Bangladesh and 35% of Bangladesh was submerged. Flood
in 1974 inundated approximately 37% of Bangladesh and 25% of Dhaka. The 1988 flood submerged
two-thirds of Bangladesh for two months. In the entire country, 50 million people were affected and
1600 died. In Dhaka alone, 50 percent of the area was inundated and 1.9 million people were affected.
Due to the 1998 flood 52 districts were inundated for 65 days and 30 million people were affected
across the whole of Bangladesh. The flood of 2007 submerged 32,000 square km and resulted in 649
deaths. Almost 85 thousand houses were destroyed and one million were damaged (Ahmed et al.,
2015). Statistics showed that the 1988 flood engulfed 1,484 hectares of urban land; which increased
to 2,991 hectares in the 1998 flood (Dewan et al., 2012). It was also found that in Kurnul, Andhra
Pradesh, the total submerged area was calculated to be 11.56 km2, or about 30% of the total city with
the percentage of badly affected population equalling 42% (~195,000 people) (Ramachandraiah,
2011). In 2004, a flood in Surat affected nearly 400,000 people. In the 2006 flood, 75% of the city was
submerged. Official number of deaths were estimated around 150 whereas, unofficial estimates of
death counted more than 500 (Bhat et al., 2013). In Mumbai, the 2005 flood took the lives of more
than 1000 people (Surjan and Shaw, 2009).

28
Abdullah et al., (2015) evaluated the policy aftermath of the massive flood events in three megacities
(Bangkok, Kualalampur and Manila) where they described the impacts of disasters that caused
between 700-1200 fatalities. Due to the 2011 flood in Bangkok, Thailand, 65 of the 76 provinces, 684
districts and 43,636 villages were affected. 13,595,192 people from 4,086,138 households were
affected, with 693 persons confirmed dead and 3 missing. The educational system, including academic
institutions such as schools and universities, was also affected by this flood with an unprecedented
3,088 schools disrupted and approximately 700,000 students affected (Abdullah et al., 2015).
In Salt Lake, Kolkata, a city in India, during monsoons slum dwellers encountered a lot of problems
caused by poor housing and sanitation systems that led to health hazards (Rumbach, 2014). In the
2002 flood of Jakarta, Indonesia; approximately 330 km2 was inundated with 22 deaths reported. The
floods of February 2007 are regarded as the worst in the history of the Indonesian capital, with
approximately 70 per cent of the urban area affected. Floodwaters directly impacted 400,000 people,
resulted in 79 deaths, and destroyed a hundred houses in informal settlements (Mulyani Sunarharum
et al., 2014). Vietnam, which is a densely populated coastline country, is at extremely high risk of
natural disasters, especially flood. The 1999 flood claimed 595 lives (Razafindrabe, et al., 2014).
Another studies described the flood in Jakarta in 2013, which displaced 14,300 people. In Indonesia in
November 2007, flood damaged 6,368 homes in Indonesia, and another 6,368 homes were damaged
in 2008 (Taylor, 2015).

ECONOMIC LOSS

Floods were found to not only affect infrastructure and cause the loss of lives, they also directly caused
significant economic losses for countries in South and East Asia. Four major flood events were
reported in 1988, 1998, 2004 and 2007 in Dhaka. The intensity of damage in Dhaka was reported to
be more in the latter flood events. The structural and agricultural damage amounted to 26-12 million
USD in 1988 and 3 billion USD in 1998, which indicated the increase of loss. However, the economic
loss (US$2.2 billion) reduced during the 2004 flood from 1998. The loss might be reduced because of
different flood mitigation approaches taken by Government and other organisations. Though many
approaches are taken by Government, still the flood of 2007 caused huge agricultural damage
estimated at over 1 billion USD (Ahmed et al., 2015). During the flood, households lost their valuables
and savings, and people were unable to go to their place of work because of submerging of roads and
workplaces, which therefore leads to economic hardship for the day labourer. Inflation happens after
disaster because of crop destruction, disruptions in transportation networks, and hoarding by
households and merchants. Exposure to contaminated water and a bad sanitation condition spreads
waterborne diseases. With a lack of supplies and due to economic hardship people are unable to use
their emergency supplies (Bhat et al., 2013; Braun and Aßheuer, 2011; Khan, 2008; Ramachandraiah,
2011; Rumbach, 2014; Surjan and Shaw, 2009). Due to flood in Surat, India, dams, flood embankments,
electricity and telephone lines were destroyed and industrial losses amounted to around U$$ 3.5

2All monetary estimates are in US$ as quoted in the studies. If otherwise reported are converted into US$ as present day
conversion rate using http://eppi.ioe.ac.uk/costconversion/default.aspx

29
billion. Loss of public infrastructure totalled US$ 544 million (Bhat et al., 2013). By using a qualitative
method, Taylor (2015) reported a loss of approximately US$ 1 billion due to flood in Jakarta, Indonesia.
Emergency services for the flood in 2007 were estimated at more than US$ 27 million (Taylor, 2015).
In Manila, total damage was estimated at US$1.04 billion, which is also a proof of great economic loss
(Abdullah et al., 2015). In addition to that, Chinnarasri and Porkaew (2015) also described the flood of
2011, which greatly impacted on all sectors of the Thai economy, as costing approximately $40 billion
(Chinnarasri and Porkaew, 2015).

SOCIAL IMPACT

Several studies reported that during floods, earthquake and other natural disaster people encounter
different social problems (Bhat et al., 2013; Ramachandraiah, 2011). Slum dwellers, low income
populations residing in riverine areas, and new migrants faced greater difficulties due to disruptions
to their earnings caused by disaster. New migrants have a particular kind of vulnerability due to a lack
of social networks in their new locations. People were unable to maintain social networks post-
disaster due to the fact they had to evacuate their homes without any preparation. In one interesting
study, people from middle socioeconomic groups reported feeling disadvantaged as they were
uncomfortable joining in relief queues and having to shove and push past people to get access to aid.
Reportedly, the relief system set up in this case was unable to deal with the number of people, with
people from non-affected areas unfairly joining relief queues, thereby increasing the crush and crowds
in the relief distribution places. This increased the number of people seeking food aid and large
numbers of affected people were unable to gain access to relief aid. A woman representative of the
middle socioeconomic group in Budhavarpet said that,
“We could not get into that crowd and jostle for the relief. Both physically and psychologically it was
difficult. We are not used to that. It was like begging, even worse than that.”
(Ramachandraiah, 2011).

IMPACT OF EARTHQUAKE

Many South Asian countries lie on or near to the convergence of the Indian and Eurasian plates of the
earth’s crust. Additionally, many cities from South and East Asia region are located on the edge of
mountains making these cities vulnerable to earthquake (e.g. Kathmandu in Nepal, Bhuj, Ahmedabad
in India, Lushan, Wenchuan in China, Vietnam etc). In the reviewed literature there were 10 studies
which discussed the impact of earthquakes. Most of these studies were based in India, Nepal, Vietnam
and China (Carpenter and Grünewald, 2015; Parvej, 2013; Peleg, 2015; Sudmeier-Rieux. et al. 2015;
Tafti and Tomlinson, 2013; Teets, 2009; Theckethil, 2012; Thiruppugazh, 2008; Yang et al., 2014; You
et al., 2009).

INFRASTRUCTURAL LOSS, MORTALITY AND MORBIDITY

Different studies discussed infrastructure damage, injuries and fatalities resulting from earthquakes.
India, for example, was very prominent in the research addressing earthquake impact and loss. In 2001
an earthquake measuring 7.7 on the Richter scale in Bhuj city of Gujarat, India caused approximately

30
7000 deaths. Nearly 50% of the city was destroyed; approximately 11,036 houses were completely
and 27,617 houses were partially destroyed. In addition, around 4000 households were destroyed in
the old urban settlements and tenants’ areas (Tafti and Tomlinson, 2013). It was reported in another
study that due to the Bhuj earthquake on 26th January, 2001 nearly 14,000 people lost their lives, with
another 167,000 suffering injuries. Further, 150,000 homes and many historical sites were damaged
(Theckethil, 2012).
During the earthquake at Ahmedabad in 2001, 70% of multi-storey buildings collapsed and substantial
buildings made of stone, brick, concrete or timber were razed to the ground. This was one of the most
devastating earthquakes to hit the Indian subcontinent. 14 municipal towns of Ahmedabad city were
affected. The official death figure was estimated at 13,805. Numbers of fully collapsed and partially
collapsed houses were respectively 215,000 and 928,000 (Thiruppugazh, 2008).
China was also shown to be highly affected by earthquakes with some of the most devastating
disasters worldwide. In 2008, an earthquake of 7.7 magnitude hit the Sichuan Province of West China
impacting on the entire county along with the neighbouring provinces of Sichuan, Gansu, and Shanxi.
Official data recorded the deaths of 15,645 people, 1,023 missing people, 26,916 injured with more
than 142,000 made homeless (You et al., 2009). The 2008 earthquakes in Wenchuan area in Sichuan
province demolished 7,967,000 buildings completely and damaged another 24,543,000. This
earthquake resulted in 69,227 deaths, 374,643 injuries and 17,923 missing people. Some countries in
Sichuan Province, such as Beichuan Qiang Autonomous County, were completely buried due to slope
failure (Yang et al., 2014). In another study, Teets (2009) reported on the devastating earthquake that
took place in 2008 in China. Due to this earthquake 7,000 classrooms were destroyed. Another
earthquake hit Lushan area in 2013 causing 196 fatalities, 13,000 injuries, and 21 missing people.
724,000 buildings were completely destroyed and 1,173,300 were damaged due to this earthquake
(Yang et al., 2014).
Nepal is another country at significant risk from earthquakes although this review only found one
study addressing the latest one in 2015. This earthquake was devastating for Nepal with 8,800 people
dying (Carpenter and Grünewald, 2015).

ECONOMIC LOSS

Economic losses were usually calculated in the studies based on secondary data from government
statistics, news media or other sources. Total economic losses caused by the Sichuan earthquake of
2008 were estimated to be US$2655.88 hundred million. However, direct economic losses reached
US$2174.77 hundred million. Five years after the 2008 Wenchuan Earthquake, another earthquake
struck at Lushan area in 2013 with a total economic loss estimated to be approximately US$267.66
hundred million (Yang et al., 2014).

IMPACT OF TSUNAMI
Tsunamis are another dangerous disaster initiated from the ocean that have far reaching
consequences with tidal surges flooding entire cities and a devastating impact on living beings. Only
one study from the review described the impact and consequences of the 2004 Indian Ocean tsunami
on a city (Birkmann and Fernando, 2008).

31
A case study on Sri Lanka (Birkmann and Fernando, 2008) analysed the number of deaths due to
tsunami in two different time periods. In 2011 tsunami at least 57 people were killed, around 193,700
were affected and at least 35 per cent of rice crops were destroyed. The 2004 tsunami proved to be a
high impact event that caused the death of 35,000 people and displacement of 500,000 people. The
estimation of economic loss totalled US$900 million worth of assets and infrastructure. This case study
in Sri Lanka surveyed households about the cause of deaths and missing people by gender and age
group caused by the tsunami in the coastal communities of Sri Lanka in 2006. The estimated fatality
rate was significantly higher in females than males, elderly people (61 years and older) and young
people (0-10 years). This result demonstrated that females failed to climb to the roofs shortly after
the devastating wave happened. They noticed the event too late because of their engagement in
household chores. Some of the men interviewed in Batticaloa reported that,
“they [men] climbed on to the roof of their house, but their wives or daughters were less able to do so
in the short time available after noticing the devastating wave.”
(Birkmann and Fernando, 2008).

IMPACT OF OTHER DISASTER (TYPHOON, FLASH FLOOD, CYCLONE, LANDSLIDE)

No studies were found where typhoon, flash flood, cyclone, landslide, storm were discussed alone.
Among thirty-two studies, six described this disaster alongside other large disasters such as floods or
earthquakes. Most of the time, these disasters were actually the consequence of other disasters such
as flood, earthquake or tsunami or took place at the same time. It is often said the “disasters never
occur in isolation usually never happen alone”. They bring other damage along with them and are
frequently devastating depending on the context (Carpenter and Grünewald, 2015).

LANDSLIDE

The Philippines lies in a high disaster prone area as it is located within the Circum-Pacific belt (Pacific
Ring of Fire) and the typhoon belt of the North Pacific basin. Volcanic eruptions, lava, mudflows, and
landslides are common disastrous events in this country. In 2000, because of the Payatas trash slide
which was triggered by heavy rains, 288 people died, hundreds of homes were buried and close to
1,000 waste pickers were displaced. Again in 2006, a landslide in Guinsaugon in Leyte province and a
mudflow in Bicol region took the lives of 362 people. More than a thousand people were recorded
missing as a result of these disasters (Carcellar et al., 2011).

TYPHOON, FLASH FLOOD AND CYCLONE

In 2008, the Philippines was hit by a Typhoon as it is located on the typhoon belt of the North Pacific
basin. This typhoon brought 354 millimetres of rain within a 24-hour period which resulted in flooding
in 180 villages in the city of Iloilo; with up to 500 people killed and 261,335 affected. Again in 2009,
464 people died, 529 were injured and hundreds of thousands left homeless by the widespread flash
floods caused by Typhoon Ketsana in Metro Manila and neighbouring provinces. Total damages was
counted at US$ 852 million (Carcellar et al., 2011). Due to Typhoon Bopha in December 2012 at the
southern island of Mindanao thousands of people became homeless. It caused 1,146 fatalities, with

32
another 834 missing. In November 2013, Typhoon Haiyan hit Philippines and 6300 people died. Haiyan
also brought storm surges which wiped out most infrastructure, health facilities, schools, basic public
services, homes and commercial buildings in several coastal towns/barangays in the islands of Samar
and Leyte. 16 million people were affected. The terminal buildings of Tacloban Airport were destroyed
(Abdullah et al., 2015; Thomas, 2015). Bopha caused damages totalling US$1.04 billion and Super
Typhoon Haiyan resulted in US$9.7 billion losses and damage. Storm surges that were triggered by
Typhoon Haiyan caused further damage equivalent to US$9.7 billion (Abdullah et al., 2015).
VULNERABILITY

Studies showed that the poor suffer most from the impact of natural disasters such as typhoon and
cyclones that have impacted on the Philippines. Limited financial access, insecure land and house
tenure, high risk locations and a lack of organisation make these people more vulnerable to disasters
(Carcellar et al., 2011). People living in huts and other forms of non-permanent housing adjacent to
the sea (or in some cases, on stilts over it) were obliterated by the typhoon’s winds and storm surge
(Thomas, 2015).

RELATION OF DISASTER IMPACTS WITH URBANISATION AND

VULNERABILITY/RESILIENCE
Research Question 1: What is the impact of urbanisation on risk of, and vulnerability to, natural
disasters?

This discussion is mostly based on the findings from the high-medium quality studies (Birkmann and
Fernando, 2008; Malalgoda et al., 2013; Razafindrabe et al., 2014; Tafti and Tomlinson, 2013; Taylor,
2015; You et al., 2009) addressing the first research question: What is the impact of urbanisation on
risk of, and vulnerability to, natural disasters? However, when relevant evidence from included low-
quality studies on the first research question was available, observations from these studies were
included in the analysis.3 The main themes emerging in terms of the impact of urbanisation include:
1. Physical vulnerability: Geographic and climatic exposure to natural disaster
2. Collective vulnerability: Rapid, unplanned urban growth
3. Social vulnerability: High risk, vulnerable populations

All of these factors strongly intersect with each other. Rapid, unplanned urban growth and its
associated population movements link up strongly with geographic location and increased
vulnerability for high risk populations. Modern, urban spaces have grown rapidly and chaotically, not
being subjected to systematic urban planning and governance processes that could potentially reduce
and mitigate risk and vulnerability to the impact of natural disasters. The studies demonstrate that
this is especially the case for disadvantaged and at risk populations who are moving into high risk
urban areas such as riverbanks, coastal zones and hillsides. These population movements reflect

3Please note that some studies investigated more than one type of vulnerability, event or population group. Consequently,
numbers of studies vary and do not always equal the total of 22 studies included in this round of the review.

33
disadvantage, marginalisation and discrimination as the groups migrating to these marginalised urban
spaces are from socially vulnerable groups. These areas attract low income and marginalised peoples
because they have cheaper housing and land as well as enabling access to livelihoods and employment
opportunities. Social, political and economic forms of vulnerability are also exacerbated by the
physical geographies of cities: located in low elevation areas such as along coastlines, riverbanks or in
seismically active areas, populations settling in low cost areas are often more exposed to risk of natural
disasters such as floods, cyclones, earthquakes or tsunamis.

PHYSICAL VULNERABILITY: GEOGRAPHIC LOCATIONS AND CLIMATIC EXPOSURE

Cities were found to have variable exposure to different natural hazards depending on their
geographic positioning and location in certain climactic zones. The physical spaces of urban
geographies were strongly represented in the literature analysed in this round of analysis Including all
six (Birkmann and Fernando, 2008; Malalgoda et al., 2013; Razafindrabe et al., 2014; Tafti and
Tomlinson, 2013; Taylor, 2015; You et al., 2009) of one high and five medium quality studies, fourteen
studies investigated cities located on riverbanks and floodplains; eight studies urban development in
coastal areas; another five looked at climactic exposure to monsoons and cyclones and four studies
addressed cities in seismic risk areas.

Obviously, the physical location of cities cannot be easily changed, as it would be impossible to move
entire urban populations completely into areas free of risk of natural disasters. Cities have grown up
in these locations due to long historical processes based on population movements into spaces central
to the social, economic and political lives of these cities for many centuries. The solution to
vulnerability emerging out of physical location is to develop planning, policies and strategies to reduce
as much as possible urban populations’ exposure, risk and vulnerability to natural disasters. This
highlights the need for robust governance processes at local level that can effectively manage and
mitigate risk for urban populations, which will be discussed in more detail in the subsequent section
of the report on approaches for reducing exposure to disaster risk.

RIVERBANKS AND LOWLAND PLAINS

Fourteen studies investigated vulnerability and risk of disasters in cities located in low-elevation areas
such as river banks, river deltas or lowland plains (Abdullah et al., 2015; Ahmed et al., 2015; Birkmann
and Fernando, 2008; Braun and Aßheuer, 2011; Chinnarasri and Porkaew, 2015; Dewan et al., 2012;
Joerin et al., 2014; Ramachandriah 2011; Rumbach, 2014; Sharma and Priya, 2001; Sudmeier-Rieux et
al., 2015; Mulyani Sunarharum et al., 2014; Taylor, 2015; Zope et al., 2015). All of these studies found
that cities have rapidly expanded into low-elevation areas that placed them in localities that were
physically vulnerable to the impact of floods, cyclones or tsunamis. Migration into these marginalised
urban spaces reflects underlying social differentiation as socially, politically and economically
disadvantaged groups move into these high risk areas.

Abdullah et al., (2015), for example, found that Bangkok (Thailand), Kuala Lumpur (Malaysia) and
Manila (Philippines) experienced increased risk of disaster due to their expansion onto riverbanks and
lowland plains. Disaster risk increased as urbanisation led to increased water discharge from built-up

34
areas combined with a reduction in natural water drainage and absorption as open spaces and
agricultural areas were integrated into the urban sprawl (Abdullah et al., 2015). Dhaka city is another
good example of this phenomena with three studies finding similar processes at work: the city’s low
income populations have settled in slums close to riverbanks exposing them to increased risk of
flooding exacerbated by overtaxed and poorly planned water drainage systems, increased runoff from
paved areas and reduced natural drainage (Ahmed et al., 2015; Braun and Aßheuer, 2011; Dewan et
al., 2012). Informal settlements that grew up in low lying areas surrounding Salt Lake, a satellite city
of Kolkata in India, were also found to lack effective drainage and waste management systems
resulting in frequent flooding contamination by solid waste (Rumbach, 2014). Physical vulnerability to
hydrological events emerging out of urban expansion into high risk areas with low elevation, combined
with poorly planned urban development processes, can be seen in other studies investigating disaster
vulnerability in the cities of Chennai, Kurnul, Mumbai and Patna in India (Joerin et al., 2014;
Ramachandriah, 2011; Sharma and Priya, 2001; Zope et al., 2015) as well as studies on Dehran in Nepal
(Sudmeier-Rieux et al., 2015), Jakarta, the capital of Indonesia (Mulyani Sunarharum et al., 2014) as
well as Solo and Surabaya cities in Central Java (Taylor, 2015).

COASTAL AREAS

Seven studies discussed physical vulnerability for cities located in coastal areas (Abdullah et al., 2015;
Bhat et al., 2013; Birkman and Fernando, 2008; Joerin et al., 2014; Malalgoda et al., 2013;
Razafindrabe et al., 2014; Zope et al., 2015). The cities of Batticaloa and Galle in Sri Lanka are rapidly
growing cities in Sri Lanka which are located close to the sea and are particularly vulnerable to flooding
from rising sea levels, coastal erosion and tsunamis (Birkmann and Fernando, 2008; Malalgoda et al.,
2013). In these two studies, local government was shown to have not successfully established planning
or governance strategies to address the consequences of these hazards and these cities suffer from
solid waste pollution, salt water intrusion into paddy fields; failures of water drainage system leading
to localised flooding and polluted lagoons (Birkmann and Fernando 2008; Malalgoda et al., 2013).
Similarly, as Danang city in central Vietnam has expanded into coastal areas, the city has become more
vulnerable as urban development has increased vulnerability and exposure to hydrological events
such as heavy rainfall, flooding and tidal surges (Razafindrabe et al., 2014). The cities of Surat and
Chennai in India also demonstrate the ways in which location combined with unplanned, rapid urban
development can increase risk and vulnerability to natural disasters like floods (Bhat et al., 2013;
Joerin et al., 2014). Both cities have long histories and experience of dealing with regular flooding
events, however, there has been a rapid growth of urban slums in coastal zones with the majority
being located on marginal land along tidal creeks, rivers and the sea (Bhat et al., 2013; Joerin et al.,
2014). Cities as diverse as Bangkok, Kuala Lumpur, Manila and Mumbai also highlight the potential
problems that arise when urban areas expand into low lying coastal areas without effective disaster
risk reduction policies, strategies and practices (Abdullah et al., 2015; Zope et al., 2015).

CLIMATIC ZONES: MONSOONS AND CYCLONES

Nine studies investigated the intersection of urban processes with cities located within the climatic
belt affected by monsoon rainfall patterns and cyclones (Abdullah et al., 2015; Birkmann and

35
Fernandez 2007; Chinnarasri and Porkaew, 2015; Dewan et al., 2012; Ramachandriah, 2011;
Razafindre et al., 2014; Sharma and Priya, 2001; Surjan and Shaw, 2009; Taylor, 2015). All of these
cities have expanded into high risk low elevation areas such as coastal zones, floodplains or riverbanks
without consideration of the unintended consequences of allowing populations to live in these high-
risk areas. This rapid, unplanned urban growth into areas such as coastal zones and riversides expose
these cities to seasonal and occasionally extreme weather events such as monsoons and cyclones that
make these cities vulnerable. As with the previous categories, these studies highlight the ways in
which social vulnerability (discrimination and disadvantage) intersects with physical vulnerability
(geographic location) and collective vulnerability emerging out of rapid, unplanned and ill-considered
urban governance practices. For the most socially vulnerable, these three factors intersect increasing
risk and vulnerability to disasters.

HIGH SEISMIC RISK AREAS

Some areas within South and East Asia are more prone to seismic hazards such as earthquakes. Fifty-
six percent of the Indian subcontinent, for example, is prone to different levels of seismic hazard with
nearly 28% of the area falling within the high hazard zones. The vulnerability of cities located in these
areas has increased considerably as urban areas have rapidly sprawled across the region (Parvez,
2013).

In China, increased risk of disaster impact was shown to occur when earthquake resistance technology
and building designs are not used in rapidly growing urban spaces in Sichuan province (You et al.,
2009). The city of Kathmandu, Nepal is one of the fastest growing cities in South Asia with 2.5 million
people residing over a major seismic fault line. Urbanisation in Kathmandu is characterized by the
rapid growth of urban populations; the conversion of rural space into urban spaces; the acceleration
of rural to urban migration and inconsistent application of urban building codes. Rural people are
drawn to the city, particularly for employment and educational opportunities, which resulted in the
growth of informal settlements in vulnerable areas (Carpenter and Grünewald, 2015). The city of
Ahmedabad in India is an industrial area experiencing high rates of migration as people come into the
city in search of employment. With a high population density of 18,420 people for every square
kilometre, most of these new migrants are forced to live in high risk areas such as slums
(Thiruppugazh, 2008).

COLLECTIVE VULNERABILITY: RAPID, UNPLANNED URBAN GROWTH

Rapid, unplanned urban growth with associated movement of marginalised and disadvantaged
populations into high risk areas was found to be a common process that has driven disaster
vulnerability and risk in cities. This theme was found in nine studies (Abdullah et al., 2015; Ahmed et
al., 2015; Birkmann and Fernando 2008; Braun and Aßheuer 2011; Malalgoda et al., 2013; Rumbach,
2014; Mulyani Sunarharum et al., 2014; Taylor, 2015; Jue et al., 2005). The studies covered a wide
geographic area encompassing seven countries in total: Thailand (Abdullah et al., 2015); Bangladesh
(Ahmed et al., 2015; Braun and Aßheuer 2011) Sri Lanka (Malalgoda et al., 2013); India (Bhat et al.,
2013; Rumbach, 2014); Indonesia (Mulyani Sunarharuma et al., 2014; Taylor, 2015); Nepal (Sudmeier-
Riieux et al., 2015) and Vietnam (Razafindrabe et al., 2014).

36
This theme intersects with the theme on the geographic location of urban settlements in areas with
high physical vulnerability. Due to the rapid pace of urban growth, migrating and low income
populations such as rural migrants, Internally Displaced Persons (IDPs) and other vulnerable groups
have migrated into urban spaces that give them access to livelihood opportunities, employment
opportunities (industries and factories) and low cost, affordable housing and land (see any of the
above cited studies for more detail). In the cities investigated in the studies, however, these urban
spaces were found to be predominantly located in high risk areas such as river banks, coastal areas
and garbage dumps that place particular social groups at an especially high risk of cyclones, tsunami,
floods and landslides. During the rapid growth of urban centres low income populations and rural
migrants have moved into high risk areas (riverbanks, hillsides, coastal areas) to find cheap housing,
be close to livelihood and employment opportunities such as fishing or working as boatmen in cities
as diverse as Surat in India, Danang in Vietnam and Batticaloa and Galle in Sri Lanka (Bhat et al., 2013;
Birkmann and Fernando 2008; Razafindrabe et al., 2014) and Salt Lake in Kolkata (Rumbach, 2014).

SOCIAL VULNERABILITY: HIGH RISK POPULATIONS

Exposure and vulnerability to certain types of natural disaster depended on the physical location of
settlements intersecting with socio-economic factors. Sixteen studies (One high, two-medium and
nine low quality) found that high risk populations such as slum dwellers, low income groups, women,
children, the elderly and migrants were more vulnerable to natural disasters (Ahmed et al., 2015; Bhat
et al., 2013; Birkmann and Fernando, 2008; Carpenter and Grünewald, 2015; Dewan et al., 2012;
Malalgoda et al., 2013;. Peleg, 2015; Ramachandraiah, 2011; Rumbach, 2014; Sharma and Priya, 2001;
Sudmeier-Rieux et al., 2015; Surjan and Shaw, 2009; Taylor, 2015; Teets, 2009; Theckethil, 2012;
Thiruppugazh, 2008). These studies highlighted the variable risk and vulnerability that has emerged
from inequitable and unplanned urbanisation processes, which have impacted differentially on
socially, economically and politically marginalised and disadvantaged groups. In terms of disaster
studies, studies investigating the direct impact of urbanisation on the vulnerability of some specific
social groups were not found in these studies, most notably, people with disabilities.
Slum dwellers were investigated in nine of the studies (Ahmed et al., 2015; Birkmann and Fernando,
2008; Carpenter and Grünewald, 2015; Malalgoda et al., 2013; Ramachandraiah, 2011; Rumbach,
2014; Sharma and Priya, 2001; Surjan and Shaw, 2009; Taylor, 2015). Residents of these informal
settlements tended to be socially and economically disadvantaged people, including low income
labourers, rural migrants, ethnic and religious minority households. Slums and informal settlements
are located on what are considered marginal areas in urban spaces such as hillsides, river banks,
lowland plains and coastal areas. Although these urban spaces allow low income slum dwellers to
access livelihoods, employment and affordable housing they also expose them to risk of natural
disasters such as floods, cyclones and tsunamis.
Bhat et al. (2013) discussed the challenges encountered by slum dwellers and low income populations
residing in riverine areas in Surat, India and highlighted the fact that new migrants faced greater
difficulties due to disruptions to their earnings caused by disaster. Thiruppugazh (2008) showed in his
study that unplanned urbanisation, development within high risk zones, lack of adherence to building
codes, poor management, and inappropriate construction practices were the main reason for

37
vulnerability to earthquakes in Ahmedabad. Natural disasters such as earthquakes cannot be
completely avoided, however, the study found that if regulations had been implemented correctly
and bureaucracy minimized, the impact of the disaster could have been mitigated.
Studies showed that slum dwellers suffer most from the impact of natural disasters such as cyclones.
In the Philippines, low income residents of informal settlements in Manila who had limited financial
capacity, insecure land and housing tenure and resided in high risk locations experienced higher levels
of vulnerability to and risk of natural disasters (Carcellar et al., 2011). In Tacloban city in the
Philippines, people living in huts and other forms of non-permanent housing adjacent to the sea (or
in some cases, on stilts over it) were obliterated by winds and storm surge generated by typhoons
such as Haiyan (Thomas, 2015).
Children, renters and the elderly were other groups found to be more affected by disasters in urban
spaces in eight studies (Ahmed et al., 2015; Carpenter and Grünewald, 2015; Dewan et al., 2012;
Ramachandraiah, 2011; Rumbach, 2014; Sharma and Priya, 2001; Sudmeier-Rieux et al., 2015; Surjan
and Shaw, 2009). In Sichuan province, China, a large number of school children (approximately 10,000)
were died due to a massive earthquake which took place in May 12, 2008 (Teets, 2009) and similar
findings were reported in a study from Nepal (Carpenter and Grünewald, 2015). This was in part due
to residing in areas of high seismic risk but also because of failures in urban governance. Hospitals,
schools and rental properties were found to have not followed existing building codes and used
inadequate building materials. This made these locations more vulnerable to natural disasters such as
earthquakes (Carpenter and Grünewald, 2015; Peleg, 2015). It also meant that social groups such as
children, the elderly and rental tenants who resided in or worked in these areas were exposed to more
risk. Following the Bhuj earthquake, for example, tenants did not have alternate places to live unlike
building and land owners who had alternate properties and resources that gave them the capacity to
recover faster (Theckethil, 2012). It was also found that elderly people (61 years and older) and young
people (0–10 years) were more likely to die during natural disasters such as tsunamis. In Galle, Sri
Lanka, more elderly and young people died or were injured during the 2004 tsunami (Birkmann and
Fernando, 2008).
Though males and females are both vulnerable due to Tsunami, studies showed that gender played a
significant role in the likelihood of death during the 2004 tsunami (Birkmann and Fernando, 2008).
Birkmann and Fernando (2008) reported that, in Batticaloa in Sri Lanka, males accounted for 44
percent of the dead and missing, whereas females made up 56 per cent. The situation was even more
striking in Galle where 35 percent of the dead and missing were male compared with 65 percent who
were female. Some of the men interviewed in Batticaloa reported that, “they (the men) climbed on to
the roof of their houses, but their wives or daughters were less able to do so in the short time available
after noticing the devastating wave.” (Birkmann and Fernando, 2008).

38
3.3 APPROACHES FOR REDUCING RISK AND VULNERABILITIES DUE TO NATURAL DISASTER
This section describes the approaches identified in response to the research question no 2:
“What are the effective approaches for reducing exposure of urban populations to disaster risks?”

The discussion is based on mainly one high (You et al., 2009) and five medium quality (Birkmann and
Fernando, 2008; Malalgoda et al., 2013; Razafindrabe et al., 2014; Taylor, 2015; Tafti and Tomlinson,
2013) studies. However, this is supplemented with relevant evidence when available from other
included studies4.

The review identified nine major thematic areas of approaches described in the included studies which
are applicable across all types of disasters:
1. Addressing the information need
2. Regulate and manage urban space and development
3. Approaches for immediate response
4. Monitoring and responding to cumulative or unfolding of disaster
5. Coordination among all levels
6. Active engagement with community and civil society
7. Population level education and training / drill
8. Supportive and proactive leadership
9. Addressing access and inequities
It is to be noted that the impacts due to natural disaster may vary in magnitude according to the
variation in the context and process of urbanisation; the outcomes (vulnerability, risk, and resilience)
also varied accordingly. The relation and impact between urbanisation and natural disaster is a
complex, multifaceted interlinked issue and needs multi-sectoral approaches to address this.
Therefore, all the identified thematic areas are interrelated and overlap in terms of context, cross-
cutting areas of interventions and the involvement of implementers from different sectors. The
identified themes are composed of several other sub themes with common components grouped
together under one major action oriented theme or area of activity.

ADDRESSING THE INFORMATION NEEDS

Information needs are substantial and must be addressed prior to, during and after disasters. The
speed and agility with which the information is obtained, processed and communicated can mitigate
the disaster risk and vulnerability to a large extent before, during and after any disaster. This theme is
reported by several studies (Peleg, 2015; Bhat et al., 2013; Carpenter and Grünewald, 2015), including

4( Khan, 2008; Thiruppugazh, 2008; Surjan and Shaw, 2009; Braun and Aßheuer, 2011; Carcellar et al., 2011;
Ramachandraiah, 2011; Dewan et al., 2012; Sudmeier-Rieux et al., 2012; Theckethil, 2012; Bhat et al., 2013; Parvez, 2013;
Barnes et al., 2014; Joerin et al., 2014; Rumbach, 2014; Yang et al., 2014;; Carpenter and Grünewald, 2015; Chinnarasri and
Porkaew, 2015; Peleg, 2015, Sudmeier-Rieux et al., 2013; Thomas, 2015;).

39
one medium quality study (Birkmann and Fernando, 2008). The context in which the disaster happens
and its impact plays an important role in the disaster management cycle, which in turn interacts with
other thematic areas. In general, it was found that when immediate and accurate local level
information was available on the risk and vulnerability of the population, the impact of disaster can
be reduced. In Surat, India for example (Bhat et al., 2013), short-term, mid-term and long-term
strategies were taken for flood management. The short term strategies included developing an end-
to-end early warning system and improved information and data management. To mitigate flood risks
during monsoon municipality took steps for clearing the drainage and sewer systems and commenced
preparedness for emergency evacuation, including regular evacuation drills. LED hoardings in Surat
displayed the water levels of the reservoir behind the Ukai dam in order to warn people. Advance
warnings were provided by megaphones and through the short messaging system (SMS) for mobile
phones. On the other hand, during the 2006 flood, not everyone received alerts from the early warning
system, irrespective of income or socioeconomic class, due to lower phone connectivity. Though
phone coverage is now high, 40 per cent of the slum population, 35 per cent of the lower-income and
21 per cent of the mixed- and middle income groups still have no cell phone, so alternative warning
systems are still required (television and loud speaker etc.). Based on this experience, the municipal
corporation is now planning to set up a GIS-assisted two-way information system, which includes geo-
tagging of all residential buildings, pre-monsoon updates of people requiring special medical care
during emergencies (elderly, infirm, babies, pregnant women) and also a volunteer and mobile SMS-
based two-way information system. Rapid communication using internet was reported from Nepal
showing that for disseminating news of earthquakes, the internet can be a useful source beside
television, as over million of people from Nepal have Facebook accounts and other internet access
(Peleg, 2015).
Providing appropriate information has an important impact. Any simple information can trigger
rumours that create panic among the people in urban areas after disaster. A clear and understandable
communication strategy is essential to control the information flow. In Nepal, a post-earthquake
communication plan has been developed by BBC Media Action which included messages on managing
expectations, medical and psychological issues, search and rescue and social rehabilitation. Moreover,
strong and effective coordination with media actors is essential to minimise disaster related panic
(Carpenter and Grünewald, 2015).
Action taken on the basis of local evidence can contribute to reducing disaster risk and vulnerability.
It was apparent from damage analysis in Sri Lanka that removing the built environment from the
inundation area was nearly impossible, since this would necessitate relocation of the bulk of coastal
cities. Based on a local damage analysis, the promotion of a 100 metre “buffer zone” was identified
as a reasonable and effective intervention tool in Sri Lanka as a preventive measure of tsunami. With
regards to the aspect of exposure, the analysis focused among other things on damage “inside” and
“outside” the 100 metre “buffer-zone” (Birkmann and Fernando, 2008). A significantly higher amount
of intensive damage was reported in Galle and Batticaloa inside the “100 metre buffer zone” and the
extent of damage was identified as greater in Batticaloa. Its main cause was that a significant
proportion of squatters in Galle living within the 100-metre buffer zone before the tsunami agreed to
move to a safer place (75.4 percent), compared with 67 per cent of households that own their land.
Beside the endeavour of protecting lives and valuables, squatters wanted to acquire a legally

40
accepted, permanent residence. In coastal and flood-prone areas, familiarisation with past tsunami
and education about tsunami and other coastal hazards were identified as an important element in
increasing awareness of threats to human life in order to minimise possible losses due to the negative
impacts of future tsunami events (Birkmann and Fernando, 2008). The study recommended that
vulnerable groups and areas be identified on a priority basis when designing interventions like early
warning systems or financial aid. This can be used as a policy advocacy tool to motivate politicians,
provide directions to the universities and international and governmental agencies to take
coordinated action for practical actions (Birkmann and Fernando, 2008).

REGULATE AND MANAGE URBAN SPACE AND DEVELOPMENT

The Asian cities are growing at an unprecedented rate and mostly without following any proper plan.
This theme has been reported in all six high and medium quality studies (Birkmann and Fernando,
2008; Malalgoda et al., 2013; You et al., 2009; Razafindrabe et al., 2014; Taylor, 2015; Tafti and
Tomlinson, 2013) and also supplemented by other low quality studies. The vulnerability increased not
only by the population rush but also pattern of growth into areas and spaces mostly identified as risk
zone like low elevation areas, along the coast lines, seismically risky areas at the foot of hilltops, and
within the city in any empty spaces like over the embankment, railroad, market places, garbage dumps
and slum areas. The marginalised like the migrants, the poor, and the minority population usually
move to these risky spaces. The already existing vulnerability is further aggravated by the absence of
infrastructure support, basic services and absence any policy support. This growth pattern of
increased density of population, also impacts DRR approaches during and after disaster. Fragile
constructions (without building code), narrow roads, crowded living space with poor drainage and
resources created barriers to immediate rescue and recovery operations and after rehabilitation
approaches, increasing the damage substantially during the disaster (Abdullah et al., 2015; Ahmed et
al., 2015; Birkmann and Fernando, 2008; Braun and Aßheuer, 2011; Dewan et al., 2012; Parvez, 2013;
Rumbach, 2014; Taylor, 2015; You et al., 2009).
Regulated city plans following an effective DRR policy framework on the other hand contributed to
reducing disaster risk like seasonal flood, climatic catastrophes and protecting people’s lives and
properties. In Salt Lake, Kolkata, India, people living in planned city areas experienced no water logging
and flood whereas people living in the unplanned outskirt squatter settlements suffered from flood
and water-logging (Rumbach, 2014). The 100-metre buffer zone resulted in less casualties during
Tsunami incident in Sri Lanka in 2004 (Birkmann and Fernando, 2008) and when building codes were
followed no damage occurred to any public constructions during 2001 earthquake in Ahmedabad
(Thiruppugazh, 2008) despite being one of the fastest growing cities in India and situated over seismic
zone III. In this way, Kathmandu was worst affected during the 2015 earthquake where no building
code was reportedly followed (Carpenter and Grünewald, 2015).
Relocation of the affected population to a safe zone worked in Galle and Batticaloa as this was backed
by strong policy support, which was again based on local level evidence and with the participation of
local community (Birkmann and Fernando, 2008).

41
APPROACHES FOR IMMEDIATE RESPONSE
Immediate response is at the heart of disaster risk reduction. Immediate measures like rescue and
recovery, first aid, assuring people of any further risks, organising relief, and safe shelters for
vulnerable persons (elderly, children, injured) should be taken just after the disaster happens before
the conventional approach (public sector response) comes into act. Immediate response is enhanced
when appropriate systems are working and available. Again this theme intersected with other themes
including information need, coordination, governance and community participation. This theme was
discussed in one high (You et al., 2009), two medium (Birkmann and Fernando, 2008; Taylor, 2015)
and two low quality studies (Carpenter and Grünewald 2015; Peleg, 2015). The role of context, the
preparedness, previous experience and all the components of Disaster Management (DM) cycle
influence these approaches.
After the 2008 Sichuan earthquake in China, preventive medical teams dispatched by the Chinese
Centre for Disease Control and Prevention, hospital medical teams, and army field hospitals from
within and outside Sichuan Province arrived and contributed to the rescue effort in Beichuan County.
The first medical team arrived two hours after the earthquake from Mianyang City. On the other hand,
the first external medical team arrived from Mianyang City (supervisor of Beichuan County) in Sichuan
10 hours after the earthquake. Lacking a good understanding of the local needs, some institutions
dispatched highly specialized surgeons, physicians, cardiovascular experts, ophthalmic experts, or
urological experts to offer help. Many of these experts could not function effectively in the field, either
because local people had no such needs or they lacked access to the specialized equipment they
needed for their work. Drugs and materials that were donated were found to be inappropriate and
failed to meet the needs of local people (You et al., 2015).
Informal networks can start working quicker than any other formal organisation. It was evident in Sri
Lanka primarily neighbours (55 per cent), friends (10 per cent) and other family members and relatives
(18 per cent) started to assist the affected people before the authorities could provide aid and rescue
support. When formal organisations got involved, only six percent received financial assistance from
local organisations. However, this endeavour of local people was very much context specific and the
government was reluctant to provide such support with the anticipation that this would promote
further encroachment and illegal settlement in the future (Birkmann and Fernando, 2008). Given the
rapidly changing scenario during and after disaster in urban areas, setting a constant indicator to find
the appropriate target person is difficult, and complicated. Additionally, it was more complicated to
decide whether this support was appropriate, and whether it helped affected people to generate their
own resources to overcome the negative impacts of a natural hazard. In some cases, the household
members did not continue to work, since they received monthly compensation for their loss of
income. Therefore, some forms of aid can be counterproductive (Birkmann and Fernando, 2008).
Again after disaster people become so vulnerable that it could be impossible for some survivors to
reach the shelter centres. Thus the support process should start immediately alongside “rescue and
recovery” efforts and be accounted for. In Nepal helping people to leave the affected area, supporting
them on their journey, and supplying assistance to them worked well (Carpenter and Grünewald,
2015; Peleg, 2015). Immediate response worked well when the existing knowledge and information
was available on, for example, mapping the disaster zone, vulnerability mapping and geo technical

42
facilities. In Surat, mid-term strategies identified mapping of flood-risk areas and the regulation of
construction in floodplains (Bhat et al., 2013). In Strenkali, Surabaya the local government stipulated
that the community members move their homes back from the water’s edge, install sanitation
infrastructure and septic tanks for each home, and replant along the riverbanks to prevent further
erosion (Taylor, 2015).
It was evident that the local government can also play a vital role in healthcare during the immediate
post disaster period. The local government of Sichuan, China was the key player in organizing the
evacuation of the population, food, clothes and blankets, repairing roads and supply of water,
electricity, and gas (You et al., 2009). All of these processes started early after disaster happened and
before the central level assistance arrived.

MONITORING AND RESPONDING TO CUMULATIVE AND UNFOLDING IMPACT OF

DISASTERS
A mix of high and low quality studies indicated that monitoring and responding to unfolding impacts
of disasters is an important theme for urbanisation and disaster interaction (Carcellar et al., 2011;
Carpenter and Grünewald, 2015; Peleg, 2015; Yang et al., 2014; You et al., 2009). This intersects with
other themes and contributes to both immediate and continued efforts of disaster risk reduction.
Disaster doesn’t happen alone and it brings a chain of effect. For example, it was observed that in
Kathmandu, housing is densely located so it increases the risk of spreading fires. Again after disaster
it becomes impossible for vulnerable people to immediately find and reach safe shelter, food and
other requirements. In Nepal the civil military coordination mechanism worked effectively, helping
people to leave the affected area, supporting them on their journey, and supplying assistance to them.
For preparedness measures, ensuring the ownership of any response and relief efforts by the
Government of Nepal should be ensured (Carpenter and Grünewald, 2015; Peleg, 2015). After
earthquakes, people not only need rescue but also require medical help. After the Wenchuan
earthquake, for example, the government focused on getting more aid and support from medical and
rescue professionals (You et al., 2009; Yang et al., 2014). Adequate emergency drugs and equipment
were stored at the emergency disaster control headquarters for rapid transport, which was used
immediately after Lushan earthquake. Development and training of emergency professional medical
rescue teams were provided by the central government. The Ministry of Health began to organise
medical rescue teams specializing in disaster medicine called National Emergency Medical Rescue
Teams. Emergency rescue teams also have been created by local governments using Chinese medical
institutions and fire fighting forces (Yang et al., 2014). In Philippines, after the Payatas trash slide in
the year 2000, people become homeless, which increased their vulnerabilities. An alliance was then
built between the Homeless People’s Federation Philippines, Inc. (HPFPI) and Philippine Action for
Community-led Shelter Initiatives, Inc. (PACSII) with the mission of organising, building capacities,
mobilizing and networking with low-income communities in high risk areas with the aim of building
community-driven approaches to securing tenure, housing, and disaster/climate change impact risk
reduction and management (Carcellar et al., 2011). The Alliance facilitated community based
initiatives such as immediate, mid-term and long term data gathering, management and financial
programme to render the affected population self-reliant and capable (Carcellar et al., 2011).

43
COORDINATION AMONG ALL LEVELS
Five high to medium studies (Birkmann and Fernando, 2008; Malalgoda et al., 2013; Razafindrabe et
al., 2014; Taylor, 2015; You et al., 2009) reflected on the need for coordinated efforts to disaster risk
reduction approaches. Coordination should be operating not only among the teams and organisations
active during and after disaster at ground level, it should extend beyond the local to district to central
level stakeholders. Any approach to address the complicated situation as urbanisation and disaster
should be comprehensive, integrating all stakeholders at all levels.
One study indicated that in the view of one township director, failures in coordination and
communication resulted in potentially avoidable deaths (Taylor, 2015). In the Surabaya case, the
conflict between the provincial government’s willingness to be flexible and the city government’s
rigidity and inflexibility resulted in protests, sometimes with violent results. Government inflexibility
can lead to community inflexibility too (Taylor, 2015).
It is also evident from the studies that decentralization is an important factor in creating opportunities
for improved governance and resilience, but it is not without its shortcomings (Mulyani Sunarharum
et al., 2014; Taylor, 2015). In Indonesia, local government capacity and innovative policies stem from
decentralization laws that localize decision-making. The community groups were empowered by the
cash grants to seek and negotiate land on their own. The Mayor of Solo convinced the national
government for a comprehensive policy to cover the informal riverbank dwellers and migrants to have
access to the social welfare programs. In Surabaya, the community undertook a pivotal role for raising
money and providing their own services along with the local government initiatives. In the Solo and
Surabaya cases, creative solutions were observed but relocation made the people vulnerable to the
breakdown of social networks (Taylor, 2015). It was also observed that decentralization was not evenly
applied throughout the country. Given the local political conditions, this innovation could not provide
clear illustration about its replicability to different local contexts (Taylor, 2015). The reason could be
that Indonesian governance incorporated a top-down model which intended to implement national-
level policies and plans trumping all others at lower levels, and cascading down subsequent levels of
governance. Good coordination amongst governments was recommended as necessary (Mulyani
Sunarharum et al., 2014). However, to facilitate effective planning for disaster management, a city
needs to have a central governance system where leaders are aware of hazards and prepared for risks
(Malalgoda et al., 2013).
Poor coordination with central government and external organisations resulted in the decreased
effectiveness of initiatives to reduce the risk due to natural disaster taken by both formal and informal
institutions. In central Vietnam, during the 2009 flood, internal coordination was poor among different
stakeholders. Moreover, poor networking with neighbouring countries was reported. By observing its
demerits, the city officials decided to improve the level of coordination among different stakeholders
along with government (Razafindrabe et al., 2014). Lack of coordination between different levels of
government and with the community resulted in inappropriate responses and loss of resources and
time (Razafindrabe et al., 2014). In the Sichuan earthquake highly qualified medical experts could not
contribute and some donated drugs and materials where inappropriate to the needs of the local
people (You et al., 2009). In Sri Lanka, overlapping of responsibilities was observed among a number
of governmental organisations engaged in initiatives to build the environmental measures within the

44
Batticaloa municipal area. Lack of coordination between institutions and non-adherence to the hazard
maps and disaster resilient planning and construction guidelines were reported in this sub-standard
DRR intervention. In order to reduce tsunami vulnerability coordinated action among universities and
international and governmental agencies was also recommended. It is important for the different
committees to work holistically to ensure education on tsunami vulnerability and thus to make
Batticaloa a disaster resilient city (Birkmann and Fernando, 2008).
Study findings highlighted that in Thailand, several working groups at the national board level have
overlapping authority and lack modern management and approaches in terms of policy, planning, the
alarm system, operation, establishment of rules and regulations, and budgeting (Chinnarasri and
Porkaew, 2015). For a large part of the allocated budget for flood management, the contracting and
disbursement process was unclear and lacked transparency. Moreover, core agencies serving in water
and flood management were set up temporarily under the Office of the Prime Minister’s Regulation,
the level of which is lower than that of the act released by Parliament. Due to these unclear proposals
for such projects, the draft legislature for provision of lending funds could not be passed. Important
conditions such as the principles of good governance, including transparency of actions, accountability
and equity, need to be considered (Chinnarasri and Porkaew, 2015). Most committee members are
government officials, who are often reticent to express their viewpoints to their managers and to the
public due to Thai cultural norms. Therefore, a lack of diversity in ideas and opinions was found among
government officials. Only a small number of committee members came from various private sectors.
The acceptance and encouragement of a modern organisational culture and change is, therefore, hard
to establish (Chinnarasri and Porkaew, 2015).
Public private partnership is another important approach that was found to have worked well when
integrated into the disaster risk management cycle. For example, in Nepal, the Nepal Risk Reduction
Consortium (NRRC) was formed with the Government of Nepal, aid agencies, donors, and
international financial institutions for working in the field of school and hospital safety; emergency
preparedness and response; flood management in the Koshi River Basin; community-based DRM; and
policy and institutional support for DRM (Peleg, 2015).
It was reported that in the aftermath of the 2015 Nepal earthquake many international urban search
and rescue (USAR) teams came to help. India, for instance, deployed USAR teams within six hours of
the event, whereas 74 international USAR and 158 foreign medical teams were dispatched within the
first week of the response. It was an emergency requirement that a centralised coordination
mechanism should be in place to effectively direct all these stakeholders and organise their activities.
A guideline for civil-military coordination was developed as a preparedness measure ensuring
ownership by the Government of Nepal. The study found that immediate local, post-disaster efforts
like light search and first aid interventions, warning people of the risk of aftershocks, directions on
how to receive relief, and movement of the wounded to health centres was an effective way to assist
survivors before the arrival of international SAR teams (Peleg, 2015).

ACTIVE ENGAGEMENT WITH CIVIL SOCIETY AND COMMUNITY

The active participation of community residents in Disaster Risk Reduction (DRR) initiatives, as well as
implementing DRR guideline and activities, is an important aspect for accomplishing sustainable DRR

45
initiatives. Two medium quality (Tafti and Tomlinson, 2013; Taylor, 2015) and some low quality studies
(Braun and Aßheuer, 2011; Carcellar et al., 2011; Peleg, 2015; Ramachandraiah, 2011; Sudmeier-Rieux
et al., 2015) discussed this theme. Again this theme also interacts with other themes in its approaches.
Community engagement was very evident in Indonesia where riverbank dwellers in Solo were
reluctant to move to new areas after the announcement of the resettlement policy. Civil society or
community working groups played an important role in negotiating with the Government and received
the Government’s assurance regarding ensuring transportation, electricity, education, health and
other necessary facilities at the resettlement areas. However, in those communities where the
working group or Kelompok kerja were not active resettled groups sometimes ended up without
electricity (Taylor, 2015). In both Solo and Surabaya regions the mayors involved community groups
and discussed the policy. The study showed that when city governments involved citizens through
making information publicly available, engaged communities in the planning process and when civil
society or community groups were simultaneously active in negotiation and proactive in the exchange
of views and needs, the initiatives were more successful in relation to resilience outcomes (Taylor,
2015).
Moreover, government cannot solve issues acting alone. Solo, an Indonesian case, showed that NGOs
can play a vital role in both processes to help in mobilizing the community to participate in a DRR
program and also raise awareness among the community, including helping community people to
build houses in relocated areas (Tafti and Tomlinson, 2013). Other studies showed that community
residents participated in some self-initiated activities, including building a barrier at the entry of the
house with sandbags, positioning one’s personal belongings on stilts of bricks or hanging them under
the roof (Braun and Aßheuer, 2011). Due to the absence of formal shelters or relief camps, community
people made use of available public buildings or spaces including schools, railway stations and
mosques (Ramachandraiah, 2011). Community people take initiative to build gabion walls but the
study showed that it was not entirely effective (Sudmeier-Rieux et al., 2015). It was reported that relief
and shelter are more often provided by governments during disasters with public schools providing
the only flood shelter in slum areas. If they are well organised and structurally sound, public schools
offer a dry place and a certain level of protection against theft and unfavourable weather conditions
(Braun and Aßheuer, 2011). To make local people’s initiatives more effective, the media can also play
an important role: not only traditional media such as television but also new media such as the
internet can be very useful sources where internet access is high (Peleg, 2015).
All these are self-initiated activities and played an important role to reduce the impact of natural
disaster. One experience from the Philippines showed that an alliance of community based
organisations was able to develop a community driven DRR intervention which was able to undertake
initial data gathering, trust and contact building, money savings programme implementation,
organisational formation and registration, and intervention identification (immediate, mid-term or
long term). In fact, these initiatives involving the community were proven to be very effective in
mobilizing communities to act on their disaster rehabilitation agenda (Carcellar et al., 2011).
Active community participation in DRR related activities including rescue training will ensure faster
rescue and first aid treatment after earthquake (Peleg, 2015). In 2015 a devastating earthquake in
Kathmandu involving immediate search and rescue by professional Urban Search and Rescue teams

46
was delayed due to unavoidable administrative reasons. The study showed that if community
members could be trained in basic rescue techniques for disaster prone areas, they could start search
and rescue without waiting for external help. This could decrease the number of casualties and assist
the injured (Peleg, 2015). In the city of Batticaloa and Galle in Sri Lanka, community engagement was
found along with the different committees focusing on training and awareness programmes to
community and school children (Birkmann and Fernando, 2008).
In Mumbai, motivated citizens started ALM (Advanced Locality Management), which was a
community-government partnership. This was an informal voluntary body with participants from
diverse groups in the population, which played a key role in sensitizing residents in civic consciousness
by educating the majority of people and ensuring their co-operation with the municipal administration
during disaster and in daily activities (Surjan and Shaw, 2009). However, the effectiveness of this
approach was not documented adequately.
In Bangladesh, government and NGOs implemented different initiatives to engage the community to
develop disaster preparedness and awareness, including an education programme; the collection of
local knowledge such as the coping strategies of local people, and the development of appropriate
sanitation technology in coastal and flood-prone areas (Khan, 2008). Familiarisation with past tsunami
and education about tsunamis and other coastal hazards were identified as an important element in
increasing awareness of threats to human life in order to minimise possible losses due to the negative
impacts of future tsunamis in Sri Lanka (Birkmann and Fernando, 2008).
Multi-purpose cyclone shelters were started in the coastal areas with the help of donor funds after a
major cyclone in 1985 in Bangladesh. These shelters subsequently serve a dual purpose, as schools,
health centers and community centres under normal conditions and shelters for people during and
after cyclones. Programmes have been implemented that aim to protect coastal areas from high tides,
to build coastal-embankments and start coastal reforestation. Coastal embankments were
constructed for protection against high tide and salinity intrusion into surrounding agricultural land.
This support was effective to some extent against low-intensity storm surges as well. These measures
were expensive, however, and sometimes caused drainage congestion and obstruction to local water
drainage systems. Coastal forests were identified as a key resource and source of livelihoods for local
people (Khan, 2008).
In other instances, local measures were taken to cope with flood. In many flood prone areas, people
raised the height of plinths, ground floors were used as parking spaces and houses are now built with
small attics or lofts for storing valuable items. Slum dwellers stored their valuables in plastic pouches
and moved to shelters during disaster. Sometimes male members stayed in the house to guard their
valuables. It is interesting to note that these coping mechanisms were more prevalent among lower
income groups than wealthier groups (Bhat et al., 2013).

POPULATION LEVEL EDUCATION, TRAINING AND DRILL

This is an important theme that was discussed in one high (You et al., 2009) and five medium quality
(Birkmann and Fernando, 2008; Malalgoda et al., 2013; Razafindrabe et al., 2014; Tafti and Tomlinson,
2013; Taylor, 2015) studies. The high quality study showed that there was a lack of understanding and
planning in disaster management in China (You et al., 2009). China experienced its most devastating

47
earthquake in May 2008. It was found that in affected areas there was no earthquake management
policy prior to this high magnitude earthquake (You et al., 2009). It was also found that health facilities
personnel were not adequately trained in disaster emergency care and management at local level
which made the situation more difficult (You et al., 2009). Furthermore, local community people were
not aware and experienced in minimizing injuries resulting from earthquakes, which increased
casualties due to inappropriate rescue and evacuation (You et al., 2009). This experience helped local
authorities to commence preparation programmes that aimed to reduce the impact of future disaster
including population level mass drills on search and rescue, emergency medical services etc. The
Chinese government has taken many initiatives including population level training after the
earthquakes happened in Sichuan Wenchuan earthquake in China in 2008. It was found that the
numbers of deaths were 353 times less and the economic loss was 10 times less when the second
earthquake happened in Sichuan Lushan in 2013 than the 2008 earthquake (Yang et al., 2014).
In Surat, an Indian municipality undertook steps to manage monsoon floods by improving drainage
and sewerage systems. In addition, the municipal authority conducted regular emergency drills as a
part of emergency preparedness (Bhat et al., 2013).

LEADERSHIP PLAYS KEY ROLE

Active leadership plays an important role in pro-actively reducing risks and vulnerabilities and
strengthening resilience. This phenomenon has been reported by one medium quality included study.
This theme is interrelated with coordination, community engagement and local government
engagement. Already described under these themes is the role played by the Mayor of Solo city, in
Indonesia. The mayor took a proactive role in engaging with a tsunami affected population, utilised
their feedback, coordinated among communities and implemented a successful relocation
programme (Taylor, 2015). In addition, the mayor was instrumental in getting further financial
allocation from the parliament to target the poor, riverbank dwellers and migrants’ entry into the
city’s social welfare program, which helped them to gain access to basic services (Taylor, 2015).

ADDRESSING ACCESS AND INEQUITIES

This is another important theme and is more crosscutting with all themes in the approaches described.
Two studies (Taylor, 2015; Tafti and Tomlinson, 2013) among six high and medium quality studies
discussed inequality and vulnerability after disaster or during implementing DRR initiatives. Study
findings showed that the relocation policy made undocumented migrants and marginalized people
more vulnerable due to their limited access to available services including health, education and other
public services (Tafti and Tomlinson, 2013; Taylor, 2015).
After the devastating earthquake in Bhuj, India in 2001, under the legal entity of the Gujarat State
government, ten NGOs built 2497 housing units. Half of the NGOs built the housing units in the new
relocated sites and the rest of the NGOs built the houses in other areas outside the old city. However,
this policy did not provide a housing recovery option for the people who failed to prove their pre-
earthquake tenure status (Tafti and Tomlinson, 2013). This group of tenants squatted inside the old
city with inadequate public transportation system as well as low quality health and education services
(Tafti and Tomlinson, 2013). Poor tenants among this group became more vulnerable as they were

48
unable to pay high rents for more desirable and better located accommodation and were forced to
live in either the old city or temporary housing (Tafti and Tomlinson, 2013).
Another study discussed relocation in Solo and Surabaya in Indonesia (Taylor, 2015). In Solo, the
riverbank dwellers were unwilling to move to the new sites as those places were far away from their
work places and sources of livelihoods. Additionally, the implementation of the relocation policy
became more challenging as there were many migrant riverbank dwellers that were not Solo residents
and did not have official identity cards. However, the city Mayor implemented initiatives that aimed
to bring poor riverbank dwellers and migrants into the city’s welfare program (Taylor, 2015). On the
other hand, in Surabaya, the riverbank dwellers who lived in rented housing were not eligible for the
relocation compensation payments (Taylor, 2015). Additionally, in Surabaya, most of the riverbank
population lived there without legal land tenure and few options had been proposed by the local
government. It was challenging to make sustainable policy in terms of relocation as an estimated 30
per cent of Jakarta’s populations were migrants and most of them were reluctant to take up legal
residential status with many migrating to find temporary work. Thus, government programs excluded
many people due to their lack of legal status (Taylor, 2015).
Few low quality studies also discussed the vulnerabilities of poor, marginalized and migrant people
living in urban areas in both post disaster situation and in the phase of DRR implementation. Rumbach
(2014) discussed poor residents of Salt Lake, Kolkata, India. In the outskirts of the new town of Salt
Lake, where the vast majority of low-income workers live, disaster risk is elevated because of higher
exposure to natural hazards, poor or non-existent infrastructure, low-quality housing materials, and
poor service delivery (85% of the respondents used shared sources of piped water as drinking water,
less than 10% of survey households had access to private toilet and only 38.6% reported having a drain
outside their homes). In order to avoid problems encountered by this intervention, long-term
environmental risks must not be overlooked when constructing new towns on peripheral land
(Rumbach, 2014).
Another study (Bhat et al., 2013) discussed slum dwellers and low income populations in Surat residing
in riverine areas who were most vulnerable to floods. Unskilled workers are often more vulnerable to
floods because they are paid on a daily basis and do not have a secured income source. New migrants
faced greater difficulties with income insecurity as the industries they worked in take time to resume
production after flooding. Migrants may also face particular difficulties because of their lack of social
contacts and there were a high proportion of migrants from distant states among the Surat population
living in slums. In addition to that, many higher-income households were also at risk of flooding when
living on the ground or first floors of housing (Bhat et al., 2013). Floods are a common feature in
Dhaka’s slums where mainly the poor and migrant workforces live (Braun and Aßheuer, 2011). On
average a major flood hits Dhaka every four years and water-borne diseases were very common. In
addition, working areas were flooded and workers were unable to reach their workplaces due to
inundated roads. This in turn led to a significant loss of income for most households in slum areas
(Braun and Aßheuer, 2011).

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POLICIES TO REDUCE/MITIGATE RISK AND VULNERABILITIES: URBAN PLANNING AND
DISASTER MANAGEMENT
This section discusses different policies raised in the included studies which provide an understanding
about the context in which different approaches should be implemented. The most important actor
is the government in the disaster risk management (DRM) cycle. Government plays a key role in
reducing and managing risk and vulnerabilities caused by natural disasters. An enabling environment
needs to be created where policy support, funding guarantees, capacity building, and local
government involvement are prioritised.
As a preventive response, a “planned city” will be more resilient to natural disasters. As a satellite city,
Salt Lake is situated on the outskirts of Kolkata, India and located on a lowland plain. Normally,
economically well-established people live here. However, a satellite town has been established near
Salt Lake with low income people. During the rainy season this area is often flooded by stagnant water
making the slum dwellers very vulnerable to flooding as this area lacks proper drainage and waste
management systems even though Salt Lake itself doesn’t face any problems during heavy rain
(Rumbach, 2014). So, this is the gap identified in this initiative: there is a need for balanced urban
planning that takes into account the needs of the whole population. Therefore, governments need to
enforce building codes as well as improving drainage systems for all parts of the city. Lack of
enforcement of building codes and development plans was also identified as the cause of damaged
buildings caused by the Bhuj earthquake in Gujarat (Theckethil, 2012).
Several policies for flood risk mitigation were identified in the reviewed literatures. In Bangladesh, a
Flood Action Plan (FAP) was undertaken to minimize the flood problem (Khan, 2008). This action plan
considered potential flood damage, improved agro-ecological conditions, communication, public
health, commerce and industry. In addition to that, the construction of embankments, improved
gravity drainage, built pumped drainage and developed effective flood forecasting system were
integrated into the plan. The FAP also included the collection of local knowledge such as the coping
strategies of local people and development of appropriate sanitation technology in the coastal and
flood prone areas (Khan, 2008). However, because of a lack of public participation and extensive flood
prone areas, the FAP was controversial during the implementation stage.
During 2012–2013, the Thai government spent a significant proportion of the public budget on
restoring the flood damage that occurred in 2011, prepared extensive flood protection for the future
and reassured the public regarding the flood protection system. An action plan for the implementation
of national water and flood management was established with several units (NWFPC, SCWRM, WFMC
etc.) whose main endeavour was to prepare appropriate action plan/s for the implementation of
national sustainable water and flood management programme for short and long term goals
(Chinnarasri and Porkaew, 2015). Unfortunately, the policy didn’t work very well because a large part
of this budget lacked transparency with the contracting and disbursement process being unclear
(Chinnarasri and Porkaew, 2015).
In Jakarta, a master plan with long term vision was outlined consisting of water drainage and
improvement of retention ponds, coastal defences and road protection. This master plan highlighted
three key principles, including: focusing on urban growth management, metropolitan area functional-
based planning (including Jakarta, Bogor, Depok, Tangerang, Bekasi, Puncak and Cianjur) and a

50
paradigm shift to “stakeholders” becoming “shareholders”. In the coastal areas of the cities of Galle
and Batticaloa a buffer zone policy of 100 metres was adopted. The existing data found the safety of
the zone and a majority of squatter settlers agreed to relocate outside the zone. However, they
demanded legal land ownership and status in the new permanent settlement (Birkmann and
Fernando, 2008).
The Philippines initiated a shift towards disaster risk reduction and management (DRRM) in
combination with climate change mitigation and adaptation. This shift manifests itself in the adoption
of various policy and implementation protocols such as the Medium-term Development Plan for
2004–2010, the Strategic National Action Plan on DRR (2009–2018) and laws such as Republic Act No
9729 (Climate Change Act of 2009) and Republic Act No 10121 (Philippine Disaster Risk Reduction and
Management Act of 2010) (Carcellar et al., 2011).
For scaling up, the community-driven Disaster Risk Reduction (DRR) effort involves the establishment
of four pillars. These are: i. strong urban poor community networks; ii. an alternative finance facility
that supports DRR upgrading and housing; iii. a technical professionals network that supports
community processes; and iv. a community-managed information system (Carcellar et al., 2011).
CDRI (Climate Disaster Resilience Index) is a disaster index which was adopted in Chennai, India by
local authorities to see whether Chennai is a resilience city or not. It was observed through five
dimensions (physical, social, economic, institutional and natural). The CDRI attempted to improve the
resilience of the city, which is important to disaster risk reduction. As noted, various risk drivers, such
as aspects of urbanisation, the decline of eco-systems, urban poverty, and unplanned growth,
characterize many cities in developing countries. Although the CDRI may be similar in some ways to
vulnerability studies, such as the hot-spot assessments of the World Bank or the World Wildlife Fund,
it attempts to understand, through adoption of the concept of resilience, a city’s ability to reduce the
probability of shocks and its capacity to respond to potential climate-related disasters. The lack of
available quantitative resilience assessments or indicators that quantitatively represent resilience in
a community located in an urban area, underpins the need for the CDRI (Joerin et al., 2014).
A limitation of the CDRI is its aim to understand all aspects of community resilience, when some
variables are better evaluated at the household level. However, it may contribute to a discussion on
how to measure a city’s resilience to climate related disasters. In the future, the results of the CDRI
need to be linked to community/ neighbourhood action planning and analysis. Understanding the
different resilience levels of a city may facilitate planning of sector-specific DRR solutions (Joerin et
al., 2014).
In 2010, the Province Planning Agency (BAPPEDA), in coordination with Province Department of Public
Works (DPU), initiated a master plan for flood mitigation in DKI Jakarta (Mulyani Sunarharum et al.,
2014). This master plan consists of several structural measures, including: drainage improvement,
river improvement, improvement of retention ponds, coastal defence and road protection (Mulyani
Sunarharum et al., 2014). Flood risk management in Jakarta requires coordination amongst
governments of Jakarta Metropolitan Region (JMR), particularly West Java. However, the
collaboration between governments across different provinces has been challenged and complicated
by fragmentation of authority based on administrative boundaries (Mulyani Sunarharum et al., 2014).

51
An initiative undertaken in Nepal to reduce risk due to floods and landslides included land-use
planning, watershed management, zoning and providing safer places for marginalized populations
(Sudmeier-Rieux, et al., 2012). The project established a watershed management program in the
upper watershed of Dharan (Sudmeier-Rieux et al., 2015).

3.4 CASE STUDIES

FLOOD:

Dhaka, Bangladesh (Ahmed et al., 2015; Braun and Aßheuer, 2011; Dewan et al., 2012; Khan, 2008)

Dhaka, a 300-year-old city, now known as a megacity, is the capital of Bangladesh and surrounded by
the three large rivers of Buringanga, Balu and Turag. The city is so densely populated that the UN
stated that it will become one of the 20 most populous countries in the world by 2050. The pattern
and pace of urbanisation in Dhaka is alarming as open ground, agricultural land, water bodies and
wetlands are rapidly being converted into built-up areas (Ahmed et al., 2015). Urban built-up areas
occupied only 11.1% in 1960; which more than doubled (26.1%) in 1988; in 2005 these areas occupied
half of the city. A significant amount of the wetlands and low-lying areas, which previously served as
retention ponds during the wet season, is now being converted to residential areas without
consideration of the potential consequences of recurrent flooding (Dewan et al., 2012). Though
different approaches were taken by the Government for flood mitigation, still the flood in 1988 caused
massive impact in Dhaka due to lack of infiltration of ground water. The subsequent flood events took
place in 1998, 2004 and 2007 in Dhaka. There was a reduction of permeable lands across the years
and generation of more surface runoff due to reduced infiltration and natural drainage, resulting in
frequent flood events which are further augmented due to heavy rainfall and monsoon depression.
Despite this, the first urban development plan of Dhaka in 1959 did not take into consideration flood
protection strategies but prioritised rapid unsustainable urbanisation that led to increased
vulnerability to natural disasters such as floods. Construction of water levies and embankments has
led to saturated urban spaces, water drainage failures and environmental problems (Ahmed et al.,
2015). On the other hand, due to lack of housing space people from low income groups are being
forced to settle in areas susceptible to natural hazards, e.g. in unprotected wetlands or river banks.
More than one-third of Greater Dhaka’s population live in marginal settlements, which are extremely
flood prone areas. Adaptation Tipping Points (ATPs) is an action plan to approach disaster vulnerability
that was adopted after the extensive damage to crops and settlements during 1955 flood but mostly
targeting flood control, drainage and irrigation. A water Master Plan was also established in 1964.
Despite the different strategies set up to manage floods, the 1974 flood still caused huge amounts of
damage as requisite monitoring and assessment of urban development projects and planned
development of water resources were not implemented comprehensively. After the major floods of
1987 and 1988; flood action plans (FAP) were taken to integrate flood management measures. The
National Water Policy and National Water Management Plan ( ) were established after the 1998 flood
as the FAP was not implemented due to a lack of funds and public consultation. At drainage a
masterplan was developed in 2006 as uncontrolled urban growth was found to be one of the main
reasons for severe flooding. National Adaptation Programme of Action (NAPA) 2005, Bangladesh
Climate Change Strategy and Action Plan (BCCSAP) 2009 and Detail Area Plan (DAP) 2010 were taken
to mitigate flood impacts (Ahmed et al., 2015). Along with Government of Bangladesh different Non-

52
Governmental Organizations (NGOs) like BRAC, Proshika, Gono Shahajjyo Shongstha (GSS), Dhaka
Ahsania Mission, Disaster Management Forum also work to reduce vulnerabilities during natural
disaster (Khan, 2008).

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Surat, India (Bhat et al., 2013):

Surat, situated in South Gujarat, India stands on the banks of the Tapi River. The frequency of floods
occurred once every four years between 1949 and 1979. Since 1979, there have been five major floods
in South Gujarat (1979, 1990, 1994, 1998 and 2006).

Surat became a big city early in the 20th century and continued to grow with a rapid influx of
population, shift of industries, and development of commercial centres. As a result, the city’s
population has grown since 1951 more than ten-fold to reach 4.5 million inhabitants. To accommodate
this large number of people the municipality area has expanded from 8.2 square kilometres in 1951
to 327 square kilometres till 2013 with exponential growth of slums and informal settlements (100
such settlements per year). The expansion of the city boundaries to include the Dumas coastal area
has made Surat a coastal city acquiring the risk associated with coastal areas. The majority of the slums
are located on tidal creeks, along the river and water drainage channels. High population density,
combined with informal settlements close to the sea shore, makes the people vulnerable to dual risk,
flood and tidal calamities.

Urbanisation processes that have contributed to increased risk of flooding include: increasing the size
of the built-up area; construction on the floodplains; filling in of the riverbed and floodplains and the
construction of embankments’ new bridges and the Singapore weir. Establishment of weirs and dams
also have added in problems by blocking the natural water flow patterns, resulting in increased risk of
flooding. The floods of 1998, 2004 and 2006, for example, in part resulted from emergency discharges
from the Ukai dam. Large-scale industrial development at the mouth of the river has also caused a rise
in the water level immediately upstream. Due to these poorly planned urbanisation policies, Surat’s
climate change risk profile was further worsen with rising sea levels, water scarcities and temperature
rises.

The Surat City resilience strategy included a comprehensive early warning system, an improved
information and data management system, the mapping of flood-risk areas, regulating construction
in floodplains, the diversion of floodwaters from the Tapi River and the construction of a balloon
barrage. In order to reduce the consequences of floods, other steps included increasing the height of
building plinths; ensuring parking places were above flood levels and building small attics or lofts in
house for storing valuables. The municipality also instigated procedures to clear drainage and sewer
systems as well as develop preparedness processes for emergency evacuation, including regular
evacuation drills during the monsoon season. In order to warn people LED hoardings were placed to
display the water levels of the reservoir behind the Ukai dam. Advanced warnings were also provided
by megaphones and through the short messaging system (SMS) for mobile phones. However, during
the 2006 flood, some sections of the urban population did not receive messages from the early
warning system because 40% of the slum population, 35% of the lower-income and 21% of the mixed-
and middle income groups had no access to cell phones. That is why the municipality has planned to
set up a GIS-assisted two-way information system, which included geo-tagging of all residential
buildings, and pre-monsoon updates for people requiring special medical care during emergencies
(the elderly, infirm, babies, pregnant women). This also included volunteer and mobile SMS-based
two-way information system. As a part of the early warning mechanism, Asian Cities Climate Change
Resilience Network (ACCCRN) helped to establish an Urban Health and Climate Resilience Centre at

54
Surat that will work with local authorities to study the impacts of climate change on health, with a
particular focus on poor and vulnerable city residents (Bhat et al., 2013).

EARTHQUAKE

What does earthquake preparedness look like? Case studies from China, Nepal and India

The impact of earthquake is devastating and quite impossible to stop as it mostly depends on natural
hazard factors (base rock motion, soil amplification, liquefaction potential, slope failure potential).
Despite this, the damage can be minimized with effective disaster planning, robust building
regulations, and successful emergency rescue. Of the 32 studies, 10 studies discussed earthquake and
the experience and lessons learnt can be well demonstrated with the case studies from China and
Nepal.

Experience from China (Yang et al., 2014):

Two major earthquakes took place in Wenchuan (12 May, 2008) and Lushan (20 April, 2013) over a
period of five years. These two areas are 87 km apart from each other. After posing the similar social
structure of the residents, buildings, and communities the devastation in terms of casualties, building
damage and economic loss caused by the two earthquakes had extreme differences although there
was only a 1-2 magnitude difference in intensity between them. Lack of disaster preparedness,
planning and management caused high disaster losses in Wenchuan Earthquake of 2008. No
emergency drugs and equipment, emergency response system, awareness among people were
available to combat against earthquake. People jumped from windows or from high-rise buildings as
they were unaware of what steps to take during earthquake. However, five years later, organisations
used what they had learnt during the Lushan earthquake, and steps were taken from every sphere
including Government, NGOs, professionals and the community, which reduced the vulnerabilities of
earthquake.

After the Wenchuan earthquake, the Government focused on getting more aid and support from
medical and rescue professionals. Adequate emergency drugs and equipment were stored at the
emergency disaster control headquarters for rapid transport which were used immediately after
Lushan earthquake. Development and training of emergency professional medical rescue teams were
given by Central Government. The Ministry of Health began to organise medical rescue teams
specializing in disaster medicine called National Emergency Medical Rescue Teams. Emergency rescue
teams were created by local governments using Chinese medical and fire-fighting institutions’ forces.
Local medical rescue teams played a major part in the 2013 Lushan Earthquake and accounted for
more than 75% in all medical rescue teams. A large number of people in Sichuan Province had taken
part in an earthquake drill to raise awareness of how to respond to a large disaster. Local rescue teams
and volunteers were more active and undertook most of the duties and coordinated well with military
forces. The Chinese people’s ability to help themselves and offer aid to others helped to avert deaths
and injuries from the Lushan Earthquake. Structures were stronger, since many people had rebuilt or
reinforced their houses to make them safer in the event of earthquake (Yang et al., 2014).

55
Experience from Nepal (Carpenter and Grünewald, 2015):

The city of Kathmandu, Nepal is one of the fastest growing cities in South Asia. The Kathmandu Valley
has 2.5 million people living in it even though it is situated on a major seismic fault line and has
significant seismic risk. The devastation of an earthquake is so great in Nepal that 8800 people died
because of an earthquake in 2015. Urbanisation in Kathmandu is characterized by the growth of
population density in urban areas, the conversion of rural space into urban spaces, the acceleration
of rural to urban migration and inconsistent application of urban building codes. People are drawn to
the city, particularly for employment and educational opportunities, which resulted in the growth of
informal settlements in vulnerable areas such as riverbanks, rubbish dumps, or temples, with housing
patterns in these areas mostly irregular and substandard. In addition to this, three or four storey
buildings have been constructed on agricultural and open land to accommodate this burgeoning
population. Again, in Kathmandu the National Building Code of 1994 is rarely enforced during
construction and high levels of corruption in the construction sector are also prevalent.

Managing the risk of earthquakes in a complex urban system like Kathmandu is multifaceted and
hence difficult and complicated. The Ministry of Physical Planning and Works has implemented a
system of voluntary land pooling. Under the scheme, landowners looking to establish new
developments sacrifice a portion of their private land for use as proper roads and other infrastructure,
including public open space, with the return of an increase in the value of the remaining. Public safety
is enhanced through improved access for emergency vehicles, while the earthquake-related hazard of
falling buildings is reduced through wider streets and more open space for evacuation. In community-
based disaster risk management, beside television the internet was shown to be a useful information
source with more than one million people in Nepal having a Facebook account and internet access.
The Kathmandu Valley NCELL, the mobile network provider with the largest share of market users in
Nepal, has a designated disaster planning focal point.

The Nepal Risk Reduction Consortium (NRRC) works in the areas of school and hospital safety;
emergency preparedness and response; community-based DRM; and policy and institutional support
for DRM. In the aftermath of the 2015 earthquake many foreign urban search and rescue (USAR)
teams were deployed to Nepal. However, a civil military coordination worked effectively for
preparedness measure ensuring ownership of any response and relief efforts by the Government of
Nepal and others (Carpenter and Grünewald, 2015).

Experience of Gujarat earthquake (Thiruppugazh, 2008):

More than 57 percent of the land in India is earthquake prone with more than 500,000 people living
in the seismic zones. Gujarat, a state of Ahmedabad province is almost entirely prone to seismic hazard
and vulnerable to earthquakes. Gujarat experienced eight high magnitude earth quakes of 6 and
higher on the Richter scale.

Five other states of Ahmedabad are situated in seismic zones. Ahmedabad is of 1300 square
kilometres in size with more than 5 million people. It is an industrial centre and thus people tend to
migrate to this city. The population density is 18,420 people per square kilometre and approximately
440,000 people living in slums. Unplanned urbanisation, development within high risk zones, a lack of

56
adherence to building codes, deficient urban management practices and inappropriate construction
practices increase the city’s vulnerability to earthquake. Ageing building stock, lack of training and
education in earthquake design and construction and not having a professional engineering
association also increase earthquake risk. In 2001 earthquake, while many private buildings collapsed,
a single government building was not found to collapse in Ahmadabad because of following the
appropriate building codes, approval protocols and procurement procedures by the government
buildings.

In Gujrat, good urban governance has imputed as one of the key factor of disaster mitigation and
management. A holistic approach was taken which included solutions for legal, political and
socioeconomic problems. After the earthquake, the syllabus of the civil engineering curriculum was
revised to include earthquake engineering. Training was undertaken for teachers in engineering
colleges, engineers working in government and municipal organisations and stonemasons. Following
the earthquake, legal processes were also instigated to file criminal cases against the builders and
professionals responsible for illegal or under regulation building design and construction. The
Federation of Real Estate Developers Association of Gujarat, for example, voluntarily adopted a code
of conduct to ensure building safety and quality. The Gujarat Professional Civil Engineers Act 2006 was
passed to set up an engineering council to test the competency of engineers and issue licenses. The
engineering council of Gujarat also ensured the safety, accountability and encouraged high standards
of engineering. In addition to that, donors are also now paying more attention to pre-disaster
mitigation than post disaster relief work, funding the retrofitting of unsafe structures, information
campaigns, and promotion of safe construction practices through civil society involvement
(Thiruppugazh, 2008).

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4. POLICY AND PRACTICE IMPLICATIONS

Unplanned urbanisation has been emerging as a major concern in South Asia. Most of the
governments in the region have adopted polices for achieving the Hyogo and more recently the Sendai
Framework and have started working towards implementing the UN-SDG goals. However, most of
these work plans are focused in general on “warning-relief-rescue” type of approaches, with the issue
of urbanisation not firmly established on their agendas. One of the gaps is most probably the lack of
a strong evidence base and action related outcomes from low and middle income countries of Asia,
particularly from the south (From scoping report). This review can serve as a starting point for
policymakers to identify the existing lessons and approaches, gaps in information, future needs and
to develop policies.
This review indicated that the process of urbanisation and its association with natural disasters is
complex, multifaceted and as yet unfolding. The impacts of disaster are often devastating and highly
contextualised. Similarly, the success of any initiative or approach to DRR always depends on the
magnitude of the disaster, preparedness and participation of the community and coordination among
the stakeholders and implementers. Policies should therefore keep focus on these highly
contextualised factors before development and implementation. This requires legal frameworks and
policy support, centralized coordination and clear-cut and proactive guidance. Disaster risk
management should be integrated into longer-term national policies so that a regular allocation of
funding is ensured and resources identified.
Existing policies should be strongly implemented and monitored and innovative policies developed to
address emerging issues including:

 Enabling environmental needs to be created for policy support, ensuring funds, capacity
building emphasizing local government, environmental protection and eco-resilient climate
change adaptation and supportive activities or regulations.
 Regulate and manage the spacing and pattern of urban settlements to avoid high risk locations
(safe areas, buffer zones etc.) with attention to marginalized populations and focusing on
construction regulations, and effective water drainage.

 Systems in place to collect and utilize accurate information from all levels. It is necessary to
establish appropriate communication and information mechanisms by creating links with all
types of media, by exploring innovative technologies (use of mobile phone / GIS / electronic
systems, etc.)

 Create an environment to engage all stakeholders, including vulnerable populations. A national

platform where academics, institutions and policy relevant public / private representatives
from commercial and private sector stakeholders can participate in urban DRR processes.
Urbanisation and natural disaster is a multi-sectoral and multifaceted problem. Risk and vulnerability
in urban areas is changing, particularly in cities of South East Asia that are rapidly passing through the
phases of urbanisation, economic growth and profound societal changes. It is necessary to better
understand these dynamics, to monitor the changes and act accordingly.

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Governments should ensure evidence based policy making, use of knowledge and innovation,
intervening when necessary to create safe, resilient and risk sensitive practices for the cities. To this
end, successful lessons from home and abroad should be piloted and scaled up if proven to be
effective. The long term goal should be reducing risk factors associated with urbanisation, preventing
of disasters before they occur and strengthening response capacity.

RESEARCH
This review uncovered a huge gap in the information and knowledge required to fully understand the
dynamics of urbanisation and natural hazards. The review is solely based on qualitative studies and
demonstrates the absence of studies with robust methodologies, explicitly stated interventions and
outcomes or implementation research or causal studies. The way in which urbanisation and natural
hazard intersect is emerging is complex and multifaceted, however, the extant knowledge base has
significant gaps and weaknesses pointing to the need for more robust, high quality research in order
to more deeply investigate the issues and consequently provide evidence to better support policy and
practice.
Research should investigate and meet the information needs required for all aspects of Disaster Risk
Reduction. The information should include the rate and pace of urbanisation and its key
characteristics; changes in the air quality; land and water use and abuse and collate existing impact
and vulnerability assessments and potential socio-economic effects. In addition, monitoring
mechanisms should continue to collect observations of geophysical, climatological and meteorological
changes to provide early warnings for flood, earthquake or other natural hazards.
Research should also cover the political, social and economic aspects of urbanisation and hazards.
Researchers need to engage more with the issues and be prepared to argue for the rigorous collection
of information in a comprehensive way to support robust policy and practice. Some issues that need
more evidence to support them include the kinds of technology best suited to the different phases of
emergencies, including early warning, pre- and post-disaster. Some questions unanswered in the
studies reviewed include how to better incorporate the private sector in urbanisation initiatives, and
which policy instruments are needed to undertake changes, legislation, regulations, and incentives.
To address existing gaps, it is necessary to undertake more action research to evaluate the best
applicable strategy to prevent, eliminate and reduce natural hazard risk in equitable way, how well to
target the most vulnerable and marginalized populations and ultimately how viable these
interventions will be from a financial point of view.
Finally, more research is needed into the important role communities play in disaster risk reduction.
Community is inclusive of all survivors of natural hazards. It is of utmost importance not only to
understand how communities cope with an ever changing pattern of risk and vulnerability but also to
evaluate how effectively communities can participate in transforming that risk and contribute to
develop safe and resilient urban habitats.

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5. DISCUSSION AND RECOMMENDATION

This impact assessment and approaches to risk reduction is based on 32 included studies. However, a
further synthesis was undertaken on six selected medium to high quality studies, with most of the
recommendations and conclusions based on that synthesis. This six high to medium quality studies on
urbanisation and natural disaster highlighted the fact that injury, death and economy loss were
substantial from flood, tsunami and earthquake. Five out of these six studies described used
qualitative methods to collect data to show the outcomes of post disaster management intervention
and narrate the specific issues for the achievement or failure of an intervention. One study discussed
existing vulnerability and resilience in relation to risk of disaster. Additional information and support
came from some of the low quality studies. The studies examined the geographical location and
associated physical vulnerabilities as well as social vulnerabilities emerging out of the rapid pace of
urbanisation, and the lack of resilience of south Asian cities. These studies’ expositions of each city’s
exposure to particular hazards, combined with increasing social and physical vulnerabilities due to the
processes of urbanisation, assists us in better understanding the intersecting complexities related to
urbanisation processes and disaster vulnerability in urban spaces in south Asia. Despite limited
evidence in terms of numbers of high and medium quality studies conducted and types of evidence
available following recommendations can be made. The inclusion of low quality study evidence will
not change the evidence.

IMPACT OF URBANISATION AND NATURAL DISASTER

The main themes emerging in relation to urbanisation and natural disaster can be grouped into i.
Physical vulnerability: Geographic and climatic exposure to natural disaster, ii. Collective vulnerability:
Rapid, unplanned urban growth; iii. Social vulnerability: High risk, vulnerable populations. Rapid and
unplanned urban growth and its associated changes, particularly in cities in south Asia when located
by the riverside, at sea cost or over the seismic zone bear the additional risk of natural disaster. It is
indicated that the risk and vulnerability further increased with slum and poor populations. Rapid,
unplanned urban growth and movement of marginalized and disadvantaged populations into high risk
areas was found to be a common process that has driven disaster vulnerability and risk in cities.
Occasionally risk was reported with people at extremes of ages (children and elders) and with women.

URBANISATION, RISK AND VULNERABILITY TO NATURAL DISASTER

While risk is a difficult concept to measure and capture most of the studies used surrogate measures
in reporting risk. In many studies both risk and vulnerabilities were used synonymously or together
with one representing the other. Risk was defined in most studies as the potential losses an individual
or community might face in terms of physical, social and economic loss due to disaster. Vulnerability
was often seen in terms of the characteristics of the population affected by disaster; the location of
the population, as well as the preparedness, capacity, skill and existing context of the city and
government implementers.
The location of urban areas as well as the rapid pace of urbanisation in low and middle income
countries was shown to greatly increase risk and vulnerability to natural disasters. Urban centres in

60
Asia were found to be exposed to and at risk of impact from two key categories of disaster resulting
from hydro-meteorological and geologic events. The effects of changes to the environment are caused
by rapid concentration urbanisation either at river side or coastal zone or seismic risk areas as
explained by the reviewed studies (Birkmann and Fernando, 2008; Taylor, 2015; Carcellar et al., 2011;
Malalgoda et al., 2013; Razafindrabe et al., 2014; Tafti and Tomlinson, 2013; Taylor, 2015; You et al.,
2009).
The studies also demonstrated that economically marginalized groups are at greater risk of being
negatively affected by natural disaster. Populations studied included slum dwellers; poor and migrant
people living in hazard prone areas (Sudmeier-Rieux et al., 2012). Much of this growth was unplanned
(Sudmeier-Rieux et al., 2012), and even when urban development was planned, the development
process was found to have been influenced by the agendas and interests of different stakeholder
groups to the detriment of the planning processes. Climate change was also found to have a role with
rising sea levels impacting on cities located in coastal areas. This led to an increased risk of storm
surges, typhoons and eventually an overall increase in flood risk.

RESILIENCE/RISK REDUCTION
Urbanisation has also created opportunities to build resilience. It has led to improved economic
opportunities, education, communication facilities and transportation systems for the urban
population of a country. However, it is important not to think only about urbanisation but also think
about how municipal governments and other actors can more effectively plan and manage
urbanisation processes. The findings of the review also highlighted the important role of governance
and policy support. Governance played a key role in risk mitigation and vulnerability reduction leading
and mobilizing responses to disaster, ensuring post disaster security, medical assistance, waste
management, as well as ensuring safe water supply and food (You et al., 2009, Carpenter and
Grünewald 2015). On the other hand, results showed that most of the time there was a big gap
between policy and practice. In most countries the implementation system is linear with a top down
approach (Mulyani Sunarharum et al., 2014; Taylor, 2015). Poor governmental management of
urbanisation and population growth has exacerbated disaster risk in Bangladesh and unplanned
growth in Chinese delta cities and in Vietnam has led to sustained and higher exposure to disaster
(Bayes, 2015); Razafindrabe et al., 2014; You et al., 2009). Neglecting the needs of the marginalized
populations increased disaster impact in cities such as in Manila and Kathmandu (Carcellar et al., 2011;
Carpenter and Grünewald, 2015) whereas poor and incapacitated disaster risk management resulted
in a loss of lives and property in Bangladesh (Ahmed et al., 2015). The studies showed that not all the
drivers of urbanisation were addressed in a consistent, systematic manner by different authorities. A
central coordination mechanism was absent in many cities and countries covered by the evidence.
The government in many situations was inadequately prepared to respond, lacked capacity or
appropriate approaches required to act (Carcellar et al., 2011; Carpenter and Grünewald, 2015; Taylor,
2015; You et al., 2009,). In summary the role of government and good governance is the most
important factor necessary for effective risk reduction and risk management of natural disasters.
However, the studies showed that not all the drivers of urbanisation were addressed in a consistent,
systematic manner by different authorities.

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DRR INTERVENTIONS AND OUTCOMES
Based on the review results on the impact and approaches to reducing the effects of disaster it is
evident that the risk varied according to the context. Differing impacts are associated with the location
of cities; the nature and characteristics of urban growth and development and different levels of
resilience across the different population groups (women, ethnic minorities, low-income, children and
older persons). Vulnerability also depends on the physical, economic and social characteristics of the
population. The synthesis indicated that risk and vulnerability are intricately interlinked and disaster
risk reduction in the context of urbanisation is complex and multifaceted. Therefore, risk reduction
approaches also need be flexible enough to address these issues and should be as inclusive, adoptive,
context specific and multi-sectoral as possible. Obviously it is not possible to shift in built
infrastructure in a day, most of the DRR approaches therefore were focused on modifying existing risk
and preventing further decorations.
Only a few medium quality studies assessed approaches to disaster risk reduction (Birkmann and
Fernando, 2008; Malalgoda et al., 2013; Tafti and Tomlinson, 2013; Taylor, 2015; You et al., 2009).
Vulnerability reduction and resilience development were discussed mostly in the form of long term
policy support, related urban planning, governance and community involvement (Carcellar et al.,
2011; Dewan et al., 2012; Rumbach, 2014; Sudmeier-Rieux et al., 2015; Tafti and Tomlinson, 2013;
Theckethil, 2012). For example, in the cases where disaster risk management was not comprehensive;
communities did not participate and top-down policies were implemented, the disaster risk and the
benefits of rehabilitation efforts shifted from public to private, from poor to the rich and from
disadvantaged to more advantaged groups (Sudmeier-Rieux et al., 2015).
In much of the literature community involvement and community based disaster management
emerged as an important theme. Community involvement was discussed in relation to risk
identification, risk management and in risk reduction through resilience development. Sharing and
communicating local knowledge and customs can be important tools in risk identification and risk
reduction. The approaches discussed included immediate response and information management,
community based approaches with involvement of local level governance and civil society,
coordination among stakeholders, role of leadership and addressing vulnerabilities by population
groups.
Studies reported that bottom up approaches to disaster policy could be helpful in vulnerability
reduction and resilience development (Birkmann and Fernando, 2008). Community based initiatives
in awareness building, organizing shelter, community policing, and networking between public sector
implementers, disaster affected and unaffected population were found to be effective (Bhat et al.,
2013; Birkmann and Fernando, 2008; Carcellar et al., 2011; Peleg, 2015). Some of the community
based initiatives created during or after disaster survived and continued to function post-disaster,
extending their activities in affected areas and organizing loans and financial support to affected
people, and engaging in long term rehabilitation and even reconstruction of housing and shelters
(Birkmann and Fernando, 2008; Carcellar et al., 2011; Tafti and Tomlinson, 2013). Community backed
approaches when implemented by the government or NGOs had better potentialities. Community
based and NGO backed organizations effectively supported immediate post disaster data collection

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on the severity and scope of destruction; engaged in trust and contact building initiatives and savings
programme implementation (Birkmann and Fernando, 2008; Taylor, 2015; Razafindrabe et al., 2014).

COORDINATION, COMMUNICATION AND INFORMATION

Another important theme noted was communication and information. It was noted that timely
communication saved lives and helped to develop response activities (Bhat et al., 2013; Birkmann and
Fernando, 2008; Carpenter and Grünewald, 2015). Warnings disseminated during tsunamis helped
save many lives in Indonesia and a GIS based remote sensing early warning system was proposed as
one part of the solution by a study in Bangladesh (Ahmed et al., 2015). However, in both the cases the
systems were not well developed and described and studies recommended that such systems should
be part of a broader or holistic approach of DRR. Studies showed that when information systems
incorporated local knowledge and customs this assisted in the rapid dissemination of information,
trust building and capacity building efforts (Bhat et al., 2013, You et al., 2009).

5.1 RECOMMENDATIONS

Recommendation 1: Information needs are substantial and must be addressed prior to, during and
after disasters.

 Immediate and accurate local level information can reduce disaster risk and impacts: Collection of
data helps target interventions and to estimate what is needed at emergency and afterwards
(Birkmann and Fernando, 2008; Bhat et al., 2013; Carpenter and Grünewald, 2015; Peleg, 2015).
Evidence suggests that much depends on data quality and accuracy, particularly information should
be locally collected and based on local need. Decisions made centrally may turn out to useless and
unnecessary (You et al., 2009). On the other hand, decisions based on local assessment can improve
the situation (Birkmann and Fernando, 2008).
 Particular value in forecasting and warning systems: Early warning and forecasting can reduce the
disaster impact (Bhat et al., 2013; Peleg, 2015). However, information should be targeted, should
reach out to all irrespective of socioeconomic status and should be early enough that people at risk
can take appropriate measures beforehand (Carpenter and Grünewald, 2015).
 Action taken on the basis of local evidence can contribute to reducing risks and vulnerability and/or
enhancing resilience: When measures are taken based on local evidence, it is helpful to undertake
appropriate measures, to create safe zones in risk areas, and to target vulnerable population. This
action could be more useful when prior detailed information about local vulnerabilities is available
(Birkmann and Fernando, 2008).
Recommendation 2: Regulate and manage the spacing and pattern of urban settlements to avoid high
risk locations and address vulnerabilities.

 Design and establish effective DRR policy frameworks and monitor their progress and
implementation: Despite the natural risk to disaster by geographical location, the vulnerability to
environmental hazard might often be a function of appropriate land use, water management and

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 protection of natural ecosystems by the residents and their community. One of the common
recommendations was to reduce physical exposure to disaster by effective urban planning. As with
other examples of physical vulnerability, expansion into high risk areas can be mitigated through
careful and effective governance and planning approaches that ensure that high risk urban
populations do not experience increased vulnerability to, and risk of, natural disasters such as
earthquakes. It was proposed that urban planning should adopt a risk sensitive approach and which
should not be based on a standalone disaster management plan, but be an integrated part of urban
development. Suggestions for improvement were diverse and very much dependent on the urban
context. Recommendations were made to strictly enforce and maintain building codes during
approval and construction which should subsequently be adequately monitored (Thiruppugazh,
2008; Yang et al., 2014) and schools should be built high with a second storey to serve as future
emergency shelter (Sharma and Priya, 2001). Studies that examined the physical conditions of the
cities and their expansion suggested that future city plans should take a more holistic approach.
Urban planners, for example, need to focus on developing satellite towns away from the main cities
that have adequate communication and drainage systems and should restrict any unplanned and
illegal establishment of industries near riverbanks.

 Ensure relocation strategies for disaster affected populations: Integrate affected populations’ needs
regarding livelihood opportunities, social networks and access to welfare and health services. The
reviewed six studies revealed that mass tsunami, earthquake and flood led to huge destruction of
property, which caused displacement of the affected population due to reconstruction of residence
as a part of DRR interventions in different locations. These relocations impacted on people’s social
networks; this new housing in new locations placed people in unfamiliar surroundings, with a
detachment to standard schooling and health services because of the long distance from the main
area of the city and scarcity in the establishment of transport system. Moreover, migrant people
who already had lost their social ties during their migration from rural to urban areas, lacked the
ability to recover and return to normalcy after a disaster. Therefore, this became a vital issue for
implementing initiatives for relocation of the affected people after disaster by the government.
Recommendation 3: Immediate response is enhanced when appropriate systems are working and
available:
 Response and recovery (R&R) systems: Immediate response is at the heart of disaster risk reduction
and the process should start immediately and continue for as long as necessary. The R&R should
include first medical aids, assuring people of any further risks, organise relief, and safe shelters to
vulnerable persons (elderly, children, wounded) should be taken just after the disaster happens
and before the conventional approach comes into act. Unless there is ground level preparation,
organising this kind of operation is difficult and takes a long time and much effort (You et al., 2009).
People become seriously vulnerable after disaster and need not only rescue but also safe shelter
and passage to shelter. All these require development and mainlining safe areas, logistic supplies
and security measure. Incentives when given including cash should be well targeted and
transparent in systems. Otherwise such initiatives often become counter effective (Birkmann and
Fernando, 2008).

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 Mapping of disaster zone and affected populations: Studies highlighted the need for accurate
information on disaster impact and risk, especially in terms of understanding who is most at risk
and the nature of their vulnerability. Collecting information on vulnerability and risk will help with
planning and organizing rescue efforts, and post-disaster rehabilitation and reconstruction
activities. The alliance between Homeless People’s Federation Philippines and Philippine Action for
Community-led Shelter Initiatives provides a good example. This alliance helped local government
collect accurate information needed to assess the severity and scope of disaster impact and
survivor needs immediately after landslides, flash floods and mud flows took place in Manila. This
assisted the local government authorities to organise recovery, reconstruction and rehabilitation
activities in a targeted manner (Carcellar et al., 2011).

 Systematically analyse disaster risk, social and physical vulnerabilities and potential impact to
produce evidence based decisions: Each and every type of disaster should be critically analysed in
terms of risk, resilience and impact by wide-ranging geography characteristics. This is anticipated
to support knowledge-based decisions by using the evidence on the causes of natural disaster
(Birkmann and Fernando, 2008; Razafindrabe et al., 2014). The review of limited number of
scientific rigorous studies suggested an application of scientific and systematic methods to
investigate the impact of DRR on quality life. There is a need for comprehensive assessment, rather
than assessing risk and vulnerability of affected people only and also equally importantly to
understand the relationship of culture in addressing and responding to disasters.

 Explore innovative technology for effective communication use of mobile phone / GIS / electronic
systems: Providing appropriate information has important impact and outcomes. For an effective
coordination, providing warning in emergency and for preparatory exercises effective
communication systems plays a pivotal role. During, after and even before any disaster the speed
and access to information has a vital role (Birkmann and Fernando, 2008; Peleg, 2015; Bhat et al.,
2013; Carpenter and Grünewald, 2015). Electronic media can reach out to the mass population
quicker than any conventional way and can disseminate information faster. With the rapid advent
and access to internet through mobile phones the ability to reach the general population is
increasing and expanding and these new innovative approaches should be availed (Carpenter and
Grünewald, 2015).

Recommendation 4: Monitoring and responding to cumulative and unfolding/emerging

effects/impact of disasters on people and systems "is crucial"

 Assurances, information, minimize panic: Disaster does not happen alone and it starts a chain of
events which cascade effect. Monitoring during and after the event is vital to reduce risk and
vulnerability to disaster. In addition to natural and physical after effects like fire, road block, water
logging, disease and infirmity, disaster produces insecurity, crime and uncertainty (Carpenter and
Grünewald, 2015; Peleg, 2015; Tafti and Tomlinson, 2013). It is essential to monitor the unfolding
situation; provide accurate information and security to minimize these effects.

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 Solution to legal, political and socioeconomic problems: It is indicated that during and after disaster
several legal, political or socioeconomic problems may surface and create barriers to DRR efforts
(Tafti and Tomlinson, 2013; Carcellar et al., 2011). Good policing, vigilant volunteers and support
from local authorities helped avoid such situations and reportedly could even result in increased
community resilience and protection (Theckethil, 2012; Tafti and Tomlinson, 2013). It was also
proposed that governments need to provide sufficient security in the evacuated areas to convince
people to leave their homes and move to relief camps.
Recommendation 5: Coordination among all stakeholders is essential

 Engage all stakeholders of urban and disaster related and relevant fields (One Approach):
Urbanisation and natural disaster produce a multifaceted problem. Studies described how poor
governance and weak public policy support increased the impact before, during and after a
disaster. Resources (time, personnel, and service) are ineffectively used in the presence of poor
coordination. Constraints to local level decision-making and resource allocation compromise
responses and non-coordination between local government and other government institutions
undermined effective implementation. The major barriers identified were multiple authorities
acting separately without coordination; lack of capacity and knowledge to respond and slow and
inappropriate policy responses. The role and influence of vested interest groups and commercial
stakeholders also hindered effective risk reduction efforts (Tafti and Tomlinson, 2013). The studies
emphasized the need for a better understanding of the power dynamics, leadership, and decision-
making processes that take place when business, civil society, and the state mechanisms cooperate
on DRR interventions. These actors are important players and understanding how they function
can assist tremendously in improving urban risk management programmes (Carpenter and
Grünewald, 2015). Systematically establishing and maintaining coordination and consultation
mechanisms are indicated to integrate the perspectives of all levels of government, local
communities, civil society and the private sector into DRR strategies and plans.
 As a critical player in urban DRR, invest in local government: The role of local governments was
found to be an important institution for DRR intervention, and studies decentralized the DRR
intervention through the local governments (Taylor, 2015; Razafindrabe et al., 2014; Birkmann and
Fernando, 2008; Carcellar et al., 2011). Non coordination between the local government and other
government institutions were also described as factors having an effect on the DRR intervention.
It is indicated that during and after disaster to institute good coordination among health service
providers, search and rescue teams, one single authority should be in charge of and coordinate
disaster management activities (You et al., 2009) so that the requisite legislative and governance
authority, and financial and human resource capacity needed to effectively mitigate against
disasters can be mobilized rapidly and effectively (Malalgoda et al., 2013).
Recommendation 6: Active engagement with civil society and communities brings a wide range of
benefits

 Facilitating communication with communities: Among these six studies, how the community
engagement helped to improve government relief and recovery efforts was described in three
studies (Carcellar et al., 2011; Tafti and Tomlinson, 2013; Taylor, 2015). This engagement was seen

66
 as an illustrative shift from response and recovery to risk management through proactive
community participation. High awareness about the consequences of natural disaster was evident
in two studies, however it was not associated with the disaster preparedness, relief effort and post
disaster management initiatives. Other studies reported that lack of awareness about the natural
disaster, its consequences and management attributed to the less effectiveness of DRR initiatives.
Nevertheless, it is suggestive that awareness of natural disaster and its implications is important to
prevent as well as to control the loss due to natural disaster. In addition, a disaster-resilient city
needs integration of local government and community to anticipate and limit the risk by avoiding
risky land-use activities.

 Identifying and avoiding risky areas/land use and promoting safer and lawful construction
activities: Studies indicated that active engagement with community can enhance implementation
of DRR guidelines and activities through awareness campaigns, planning, information
dissemination, and recognition of community concerns. This may lead to application and following
up building codes, safe construction practices, and avoiding use of risk zones.

 Can strengthen in facilitating agency of vulnerable populations: Community engagement not only
helps identify the vulnerable population, it can also guide implementing safety measures.
Community driven DRR activities included involvement in data gathering, money gathering and
initiating long term rehabilitation programmes (Carcellar et al., 2011).

Recommendation 7: Population-level education training and drills on disaster preparedness and

response can be effective in reducing the impacts of disasters
 Should be undertaken as preparedness for reducing disaster impact. It was evident from at least
two studies that this kind of population level education and training can reduce the risk and impact
of natural disaster to a great extent. A range of communication strategies can be undertaken. The
role of electronic media, GIS warning systems, automated SMS information and advice or
population level drill has been demonstrated to reduce both loss of human lives and properties
(Bhat et al., 2013; Yang et al., 2014; You et al., 2009).
Recommendation 8: Leadership is the key for change

 Active leadership plays an important part in taking initiatives to reduce risks and vulnerabilities,
and strengthen resilience, particularly when the leadership comes from the local community or a
local population representative. A leader is the key connection between the population and the
administration. A leader can set into motion the existing policy, allocate fund, secure incentives,
implement regulations and address local needs immediately and as required. Studies indicated that
while a local leader can be instrumental in programming welfare initiations, a central level leader
can mobilize policy level support and wide scale coordination and communication.

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Recommendation 9: DRR agenda should be inclusive to ensure increased access by marginalized and
vulnerable population
 Vulnerability and risk to natural disaster depend and vary with the urbanisation characteristics and
people’s existing status. Studies reported that marginalised population like migrants, slum
dwellers, low income groups, women, children and the elderly were more at risk than others
(Birkmann and Fernando, 2008; Carpenter and Grünewald, 2015; Malalgoda et al., 2013; Rumbach,
2014; Sudmeier-Rieux et al., 2015; Taylor, 2015; Theckethil, 2012). These studies indicated that risk
to disaster emerged from inequitable and unplanned urbanisation processes and the results were
different for the marginalized and disadvantaged population. Moreover, the political, governance
and planning failures of urban programming, policies and practices increased the risk and
vulnerability of socially disadvantaged groups who move into urban spaces that increase their
exposure to natural disasters (Bhat et al., 2013; Rumbach, 2014; Tafti and Tomlinson, 2013; Taylor,
2015).

 In Kathmandu, Nepal, in Ahmedabad, India and other cities, rapid urbanisation forced vulnerable
people to move to more risk prone areas such as slums, garbage dumping, low lands zones. City
development plans failed to include them in their expansion programmes (Carpenter and
Grünewald, 2015; Thiruppugazh, 2008). After Bhuj earthquake housing and shelter policy was
drawn in favour of the house and land owner, and the tenants became the victims of both disaster
and urbanisation process (Theckethil, 2012). In absence of preparedness it was noted that children,
female and the elderly were more likely to die during Tsunami in Sri Lanka (Birkmann and Fernando,
2008). Any DRR agenda should therefore be carefully drawn addressing the needs of the vulnerable
population, considering physical, social and economic vulnerability. This approach should be
synchronized with the development and growth of the cities and was strongly advocated in the
Sendai framework as well as the recently adopted Sustainable Development Goals (SDG) of UNDP.
Unfortunately, there is a huge dearth of such approach in most of the review studies.

5.2 METHODOLOGICAL IMPLICATIONS

This review identified a large volume of literature focused on disasters and urban setting, including
that which focused on South and South East Asia. The review, however, also uncovered a significant
gap in literature linking the dynamics of urbanisation with hazards and disasters. Their intersection is
complex and multifaceted, with an absence of robust evidence upon which to base policy and
practice.

Our research was undertaken in a number of phases leading into a more rigorous analysis of a small
number of medium to high quality studies with a focus on approaches with some bearing on
urbanisation processes, disasters, and insights related to reducing risks and vulnerabilities and/or
enhancing resilience. Our efforts led to insights regarding approaches that appear to be effective
and are based upon evidence from South Asia. These have been clearly specified along with the
evidence upon which they are based. This has been further complemented by consideration of
policy and practice implications which have in turn sought to incorporate understanding of the

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context of disasters in Nepal and Bangladesh in particular. A number of questions requiring further
research have been identified and reported.

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 6. STRENGTHS AND LIMITATIONS OF THE REVIEW

This review adopted robust methods in an attempt to minimize error and bias.

6.1 STRENGTHS

The review’s strengths include:

1. Standardised, transparent and comprehensive methods – allowing replication at later date or
different setting.
2. Adoption of standard quality assessment protocol (Hawker et al., 2002 and Lorenc et al., 2016) to
determine quality of primary studies; quality influenced description of results, conclusions, and
recommendations.
3. Comprehensive literature search encompassing both electronic and digital databases,
organisational and other web sources, grey literature and hand searches.
4. Focus on most frequent and worst affected urban areas of South and South East Asia - these are
among the most rapidly growing urban areas, allowing comprehensive purview of available
evidence linking urbanisation and natural disasters in low and middle income countries.
5. Fruitful collaboration between the health systems research hub of icddr,b of Bangladesh and the
Health, Rights and Development group at University of New South Wales (HEARD@UNSW) was
forged. Moreover, the review’s progress was assessed by a Quality Assessment Team from EPPI-
Centre, based in the Department of Social Science at the UCL Institute of Education in the United
Kingdom.
6. The review is further strengthened by a contextualization exercise carried by the UNSW team, in
collaboration with the Nepal South Asia Institute of Advanced Studies (SIAS) group, focusing on
Bangladesh and Nepal.

6.2 LIMITATIONS

The review also had several limitations and encountered a number of challenges that potentially
influenced the outcome of the review:
1. Disparate insights - results were based on multiple qualitative studies covering a wide range of
contexts and issues. Strong clusters of studies with common conceptual or thematic outcomes or
that had a strong country or regional focus were not identified; this posed difficulties in drawing
conclusions that were applicable across contexts and remained robust.
2. Most included studies either lacked standardized data collection methods or did not explicitly state
how they measured the impact of the interventions and approaches investigated. Most frequently,
studies simply reviewed secondary data based on observational descriptions and used convenience
population samples. In many instances, studies were largely descriptive evaluations or opinion
pieces based on author perspectives.
3. Most of the studies lacked methodological rigor, had design flaws and even unclear statements on
outcome variables. In this review, no study used comparison or even a pre- and post-survey design,
which could have provided information about changes over time in the aftermath of natural
disasters.

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4. A high degree of heterogeneity was present across the studies and none of the studies presented
statistical data. The limited quality of the studies identified was challenging thus constraining
generalizability of insights regarding interventions and outcomes. Generalization to the broader
policy implications for urban disaster risk reduction in low and middle income countries highlighting
the assertion that “Two cities are never alike”. Heterogeneity in terms of disaster type and duration,
pre-disaster conditions, population sub-groups and forms of governance varied substantially.
Findings were highly contextual posing difficulties in transferring lessons to other settings.
5. Urbanisation is a multi-sectoral and multi-dimensional issue. Its link with natural disaster is equally
complex. Therefore, there are inherent complexities to capturing or addressing these in a classical
systematic review approach. Included studies lacked a holistic approach to this complex subject and
were highly heterogeneous in their objectives and outcomes.
6. This review was limited to studies published in the English language. The review team believes that
there could be rich experiences and important evidence published in other languages.
7. The types of studies that will more fully answer the questions posed for this review have yet to be
rigorously undertaken and reported.

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7. CONCLUSIONS

The review demonstrates the need for more robust research into the intersection of urbanisation and
disaster vulnerability in low and middle income countries. Consequently, these conclusions are made
with the caveat that they are based on a small subset of studies that cannot represent the complexity
of issues encountered in disaster affected urban centres in low and middle income countries. Despite
this, the review did find several robust studies that examined urbanisation contexts’ solutions to issues
related to disaster vulnerability in the context of urbanisation in low and middle income countries.

Studies demonstrated the need for strong governance and coordination that enabled and supported
the empowerment of local communities and their active participation in disaster risk reduction and
management interventions. Interventions were usually successful in those instances where local,
provincial and national governments had strong, adaptive governance regimes that were open and
flexible enough to integrate the expressed, real world needs of urban populations, especially the
urban poor. In a related issue, the studies show that, in order to have effective DRR/DRM
programming, all levels of government need to develop effective strategies to strongly engage with
local communities, civil society and community institutions. If governments did engage effectively with
local communities on interventions to reduce risk and vulnerability such as relocation and secure
housing tenure and if residents actively participated in the process, then this led to successful
outcomes that reduced risk and vulnerability. However, studies also found that many government
agencies needed further capacity development across several domains: financial, human resources,
appropriate expertise and disaster knowledge.

Studies indicated that a strong communication process is at the heart of the DRR approach. Reaching
people at risk in an effective manner is essential to early recovery, providing warning, reduce risk and
addressing vulnerability. In this connection innovative approaches involving electronic medias, mobile
phones or internet were found to encourage effective response and recovery efforts. More practical
demonstration of these approaches is required. Similarly, approaches involving people’s participation
in disaster preparedness training, demonstration drills and addressing immediate responses to
unfolding events after disaster were found effective in certain instances. However, the approaches
were usually multi-sectoral, complex and very contextual. Capacity building of public sector
implementers, engagement with private sector and civil society, role of local level leaders and
initiatives that target and address the needs of vulnerable groups of the population are among other
initiatives reported in the included studies. All these approaches need further research required to
comprehensively meet the information needs of the stakeholders, should be inclusive to address the
needs of the poor, should be multi-sectoral and should be methodologically of high quality.
The review recommends that effective urban planning; improved governance and enabling policy
support; increased public engagement and community participation and suitable communication and
information systems, including appropriate operative technology when implemented in concert,
would significantly reduce disaster risk and vulnerability in the rapidly growing urban cities in low and
middle countries of South and South East Asia.

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9. APPENDICES

APPENDIX 1: AUTHORS AND CONTRIBUTORS

The review was undertaken by members of the icddr,b in Dhaka, Bangladesh {Dr. Shahed
Hossain (SH), Nafisa Lira Huq (NLH), Rubana Islam (RI), Razib Mamun (RM), Iffat Nowrin (IN),
Saraban Ether (SE) and Dr. Alayne Adams (AA)} and {Professor Anthony Zwi (AZ); Dr Kim
Spurway (KS); Jacqui Bonnitcha (JB); Nahid Sultana (NS)} by University NSW, Australia. The
team have experience in undertaking systematic review on different issues in collaboration
with Cochrane and EPPI-Centre as well conducting research on various issues ranging from
public health (SH, NLH, AA), societal issues (AA, RM, SH), urban issues (AA, RI, SH, RM),
humanitarian and disaster-related issues (AZ, KS, JB), global health initiatives in low and
middle income settings (AZ, KS), and on equity and the social determinants of health (AZ, AA,
SH). The team members also have experiences in undertaking systematic reviews, realist
reviews (AZ, KS, JB) and conducting research on the research to policy and practice interface
(AZ, KS). Additional help came from Nahid Sultana (NS) from UNSW and Iffat Nowrin (IN),
Saraban Ether (SE) and Al Mamun (AM) from icddr,b during checking, screening and retrieving
articles for the review.

The review was commissioned under the DFID Systematic Review Programme for South Asia,
which was coordinated and managed by PricewaterhouseCoopers (PwC India). The review
sought to synthesize and analyse evidence so as to inform the concern country authorities
associated with disaster management and DFID country offices.

The review was registered with EPPI-Centre, a UK-based Centre which supports the conduct
of systematic reviews, including those focused on low and middle-income countries. The team
drew on advice from these sources, along with policy and practice insights from a Reference
Group established to assist the Review.

The Reference Group comprised:

1. Dr. Mustaq Raja Chowdhury, Vice Chairperson, BRAC
2. Ms. Moira Reddick, Coordinator, Nepal Risk Reduction Consortium
3. Dr. Peter Kim Streatfield, Emeritus Scientist, Climate Change and Health
Department, icddr,b
4. Dr. Md. Khalequzzaman, Assistant Professor, BSSMU
5. Mr. Mofizur Rahman, Research Investigator, icddr,b

84
 APPENDIX 2: LIST OF INCLUDED STUDIES

Abdullah, K., Anukularmphai, A., Kawasaki, T., & Nepomuceno, D. (2015). A tale of three cities:
water disaster policy responses in Bangkok, Kuala Lumpur and Metro Manila. Water
Policy, 17(S1), 89-113.

Ahmed, F., Gersonius, B., Veerbeek, W., Khan, M. S. A., & Wester, P. (2015). The role of extreme
events in reaching adaptation tipping points: a case study of flood risk management in Dhaka,
Bangladesh. Journal of Water and Climate Change, 6(4), 729-742.

Bhat, G. K., Karanth, A., Dashora, L., & Rajasekar, U. (2013). Addressing flooding in the city of
Surat beyond its boundaries. Environment and Urbanisation, 0956247813495002.

Birkmann, J., & Fernando, N. (2008). Measuring revealed and emergent vulnerabilities of
coastal communities to tsunami in Sri Lanka. Disasters, 32(1), pp.82-105.

Braun, B. and Aßheuer, T., 2011. Floods in megacity environments: vulnerability and coping
strategies of slum dwellers in Dhaka/Bangladesh. Natural hazards, 58(2), pp.771-787.

Carcellar, N., Co, J. C. R & Hipolito, Z. O. (2011). Addressing disaster risk reduction through
community-rooted interventions in the Philippines: experience of the Homeless People’s
Federation of the Philippines. Environment and Urbanisation, 23(2), pp.365-381.

Carpenter, S., & Grünewald, F. (2015). Disaster preparedness in a complex urban system: the
case of Kathmandu Valley, Nepal. Disasters.

Chinnarasri, C., & Porkaew, K. (2015, February). An organisation for improving flood resilience
in Thailand. Proceedings of the Institution of Civil Engineers-Water Management (Vol. 168, No.
2, pp. 97-104). Thomas Telford Ltd.

Dewan, A. M., Kabir, M. H., Nahar, K., & Rahman, M. Z. (2012). Urbanisation and environmental
degradation in Dhaka Metropolitan Area of Bangladesh. International Journal of Environment
and Sustainable Development, 11(2), 118-147.

Joerin, J., Shaw, R., Takeuchi, Y., & Krishnamurthy, R. (2014). The adoption of a climate disaster
resilience index in Chennai, India. Disasters, 38(3), 540-561.

Jue, W., Wen-Dong, N., Jing-Ai, W. (2005). Flood risk assessment and emergency management
in metropolises of China. Journal of Natural Disasters, 14, pp.59-64.

Khan, (2008). Disaster preparedness for sustainable development in Bangladesh. Disaster

Prevention and Management: An International Journal, 17(5), 662-671.

Malalgoda, C., Amaratunga, D., and Haigh, R. (2013). Creating a disaster resilient built
environment in urban cities: The role of local governments in Sri Lanka. International Journal
of Disaster Resilience in the Built Environment, 4, pp.72-94.

85
Mulyani Sunarharum, T., Sloan, M., & Susilawati, C. (2014). Re-framing planning decision-
making: increasing flood resilience in Jakarta. International Journal of Disaster Resilience in the
Built Environment, 5(3), 230-242.

Parvez, I. A. (2013). New approaches for seismic hazard studies in the Indian subcontinent.
Geomatics, and Natural Hazards and Risk, 4, pp.299-319.

Peleg, K. (2015). Notes from Nepal: is there a better way to provide search and
rescue?. Disaster medicine and public health preparedness, 9(06), 650-652.

Ramachandraiah, C. (2011). Coping with urban flooding: a study of the 2009 Kurnool floods,
India. Environment and Urbanisation, 23(2), pp.431-446.

Razafindrabe, B. H. N., Kada, R., Arima, M. and Inoue, S. (2014). Analyzing flood risk and related
impacts to urban communities in central Vietnam. Mitigation and Adaptation Strategies for
Global Change, 19, pp.177-198.

Rumbach, A. (2014). Do new towns increase disaster risk? Evidence from Kolkata, India. Habitat
International, 43, pp.117-124.

Sharma, V. K., & Priya, T. (2001). Development strategies for flood prone areas, case study:
Patna, India. Disaster Prevention and Management: An International Journal, 10(2), pp.101-
110.

Sudmeier-Rieux, K., Gaillard, J. C., Sharma, S., Dubois, J. and Jaboyedoff, M. (2012). Floods,
landslides, and adapting to climate change in Nepal: What role for climate change models?.
Community, and Environment and Disaster Risk Management, 11, pp.119-140.

Sudmeier-Rieux, K., Paleo, U. F., Garschagen, M., Estrella, M., Renaud, F. G., & Jaboyedoff, M.
(2015). Opportunities, incentives and challenges to risk sensitive land use planning: Lessons
from Nepal, Spain and Vietnam. International Journal of Disaster Risk Reduction, 14, pp.205-
224.

Surjan, A., & Shaw, R. (2009). Enhancing disaster resilience through local environment
management: case of Mumbai, India. Disaster Prevention and Management: An International
Journal, 18(4), pp.418-433.

Tafti, M. T., & Tomlinson, R. (2013). The role of post-disaster public policy responses in housing
recovery of tenants. Habitat International, 40, pp.218-224.

Taylor, J. (2015). A tale of two cities: comparing alternative approaches to reducing the
vulnerability of riverbank communities in two Indonesian cities. Environment and Urbanisation,
0956247815594532.

Teets, J. C. (2009). Post-earthquake relief and reconstruction efforts: The emergence of civil
society in China. The China Quarterly, 198(June), pp.330-347.

86
Theckethil, R. (2012). Earthquake Rehabilitation and Vulnerability Reduction: Urban Planning
in a Western Indian Town.

Thiruppugazh, V. (2008). Urban vulnerability reduction: regulations and beyond. In The Indian
Economy Sixty Years After Independence (pp. 200-212). Palgrave Macmillan UK.

Thomas, A. R. (2015). Post-disaster resettlement in the Philippines: a risky strategy. Forced

Migration Review, (49), 52.

Yang, J., Chen, J., Liu, H., & Zheng, J. (2014). Comparison of two large earthquakes in China: the
2008 Sichuan Wenchuan Earthquake and the 2013 Sichuan Lushan Earthquake. Natural
Hazards, 73(2), 1127-1136.

You, C., Chen, X., & Yao, L. (2009). How China responded to the May 2008 earthquake during
the emergency and rescue period. Journal of public health policy, 30(4), 379-394.

Zope, P. E., Eldho, T. I., and Jothiprakash, V. (2015). Impacts of urbanization on flooding of a
coastal urban catchment: a case study of Mumbai City, India. Natural Hazards, 75, pp.887-
908.

87
APPENDIX 3: TYPES OF INCLUDED STUDIES

Sl Reference No. Location Study Method of data Study Participant/

No. Author Year Title City Country Design Collection Target Group
1 Abdullah et al., 2015, Water disaster Bangkok, Thailand; Descriptive Secondary data All population
policy responses in Bangkok, Kuala Kuala Lumpur, review
Lumpur and Metro Manila Malaysia; Manila,
Philippines
2 Ahmed et al., 2015, Case study of Dhaka, Document Literature review All population
flood risk management in Dhaka, Bangladesh, Plain review
Bangladesh land, River bank
3 Bhat et al., 2013, Addressing flooding Surat, India Descriptive Secondary (reports Slum dwellers and
in the city of Surat and literature low-income
review) populations residing
in riverine areas
4 Birkmann and Fernando, 2008, Galle and Descriptive Secondary data All population
Measuring vulnerabilities of coastal Batticaloa, Sri (tsunami census
communities to tsunami in Sri Lanka Lanka, Costal area data)

5 Braun and Aßheuer, 2011, Floods in Dhaka, Descriptive Survey and 625 interviewed
megacity in Dhaka/Bangladesh Bangladesh, Plain Qualitative among 2000
land, River bank interview household
6 Carcellar et al., 2011, Addressing DRR Philippines, Document Secondary (reports All population
through community-rooted Coastal and review and and literature
interventions in the Philippines volcano region Qualitative review; Community
surveys began since
2000 for needs
assessment, review
of secondary data)
7 Carpenter and Grünewald, 2015 Kathmandu Valley, Qualitative, Interview, All population
Disaster preparedness in a complex Nepal Document Secondary
urban system review (literature review)
8 Chinnarasri, 2015, An organisation Thailand Descriptive Document reviews, All population
for improving flood resilience in KII
Thailand
9 Dewan et al., 2012, Urbanisation and Dhaka, Descriptive Secondary data, Poor population
environmental degradation in Dhaka, Bangladesh, Plain Literature review
Bangladesh land, River bank
10 Joerin et al., 2014, The adoption of a Chennai, India, Qualitative, Observation, KII, All population
Climate Disaster Resilience Index Costal area and Quantitative
low land assessment with
CDRI tool
11 Jue et al., 2005, Flood Risk 9 Metropolises in Descriptive Secondary (reports All population
Assessment and Emergency Yangtze River and literature
Management in China Delta, Pearl River review)
Delta, Mid-South
of Liaoning
Peninsula,
Jilin-Helongjian,
Central China,
Chengdu-Chongqin

88
 and Mid-Yangtze
River, 9
Metropolises in
Yangtze River
Delta, Pearl River
Delta, Mid-South
of Liaoning
Peninsula, Jilin-
Helongjian, Central
China, Chengdu-
Chongqin and Mid-
Yangtze River
`12 Khan, 2008, Disaster preparedness Coastal and flood Descriptive Secondary data All population
for sustainable development in prone areas
Bangladesh
13 Malagoda, 2013, Disaster resilient Batticaloa, Sri Descriptive Secondary data All population
built environment in urban cities of Lanka, Costal area (literature review
Sri Lanka and a case study)
14 Mulyani Sunarharum et al., 2014, Jakarta, Indonesia Descriptive GIS, Secondary All population
Increasing flood resilience in Jakarta (literature review)

15 Parvej, 2012, New approaches for Indian Descriptive Secondary All population
seismic hazard subcontinent (literature review)
studies in the Indian subcontinent
16 Peleg, 2015, Is There a Better Way to Nepal Descriptive Secondary (reports All population
Provide and literature
Search and Rescue? review)
17 Razafindrabe et al., 2012, Flood risk Ngu Hanh Son and Descriptive Interviews, All population
and related impacts in central Cam Le districts in questionnaire
Vietnam Danang, Vietnam, surveys, FGD,
Coastal area stakeholder
analysis, Direct
observation using
the transect
method, and
secondary data
(literature review)
18 Rumbach, 2014, Do new towns Salt Lake, Kolkata, Descriptive Secondary data All population
increase disaster risk, Kolkata, India? India, Plain land (reports and
literature review),
case study &
survey data
19 Ramachandraiah, 2011, Coping with Krunool, Andhra Descriptive Case study, FGD, All population
Kurnool floods, India Pradesh, India, Secondary data
Coastal (by the side (reports and
of the river literature review)
Tungabhadra- a
tributary to Krishna
river)

89
20 Sharma, 2001, Development Patna, Bihar, India Descriptive (secondary data) Slum population
strategies for flood prone areas,
Patna, India

21 Surjan and Shaw, 2009, Enhancing Mumbai, India, Qualitative Archive review and All population
disaster resilience in Mumbai, India Coastal area Informal discussion

22 Sudmeier-Rieux et al., 2015, Ho Chi Minh City, Qualitative KII and Survey, All population
Opportunities, incentives and Can Tho of and Secondary data
challenges to risk sensitive land use Vietnam; Dharan Document
planning Municipality of review
Nepal; Ferrol of
Spain, River bank,
Mountainous
23 Sudmeier-Rieux et al., 2012. Floods, Dharan, Nepal Descriptive Geological Marginalized
landslides, and adapting to climate assessments, population
change in Nepal: remote sensing,
flood modeling,
and a GIS database
24 Teets, 2009, Post-Earthquake Relief Sichuan province , Qualitative, KII, Secondary All population
and Reconstruction Efforts China Document (literature review)
review
25 Tafti and Tomlinson, 2013, Post- Bhuj, India, Costal, Qualitative Archive review, IDI, Tenants
disaster public policy responses in Seismic zone observations and
housing recovery Bam, Iran, survey
Mountainous,
Seismic zone
26 Taylor, 2015, Comparing alternative Solo, Strenkali, Qualitative IDI, FGD, Literature River bank
approaches to reducing the Indonesia review population
vulnerability of riverbank
communities
27 Theckethil, 2012, Earthquake Bhuj, Gujarat state, Descriptive Case study, IDI, All population
rehabilitation and vulnerability India, Coastal and Secondary data
reduction in Indian town low land, high (reports and
seismic zone V literature review)
28 Thiruppugazh, 2008, Urban Ahmedabad, India, Qualitative Case study All population
vulnerability reduction Seismic zone (secondary data)
29 Thomas, 2015, Post-disaster Tacloban, Descriptive Secondary data All population
resettlement in Philippines Philippines

30 Yang et al., 2014, Comparison of two Lushan and Descriptive Secondary data All population
large earthquakes in China Wenchuan, China (report and
literature review)

31 You et al., 2009, How China Beichuan, China Qualitative Interviews and All population
responded to the May 2008 Secondary data
earthquake (reports and
literature review)
32 Zope et al., 2015, Impacts of Mumbai, India, Descriptive Secondary data All population
urbanisation on flooding of a coastal Coastal area (reports and
urban catchment literature review)

90
APPENDIX 4: QUALITY ASSESSMENT OF STUDIES

The quality of the included studies was assessed using Hawker et al.’s tool, which covers the
following domains: abstract and title; introduction and aims; methods and data; sampling;
data analysis; ethics and bias; results; transferability or generalisability; implications and
usefulness. We have adopted the tool from Appendix 5 of Lorenc, T et al. This tool contains
nine questions, each of which can be answered in “good”, “fair”, “poor” and “very poor”.
Having applied the tool to the studies, we converted it into a numerical score by assigning the
answers from 1 (very poor) to 4 (good) points. This produced a score for each study of a
minimum of 9 and a maximum of 36 points. To create the overall quality grades we used the
following definitions: high quality (A), 30-36 points; medium quality (B), 24-29 points; low
quality (C), 9-24 points. We have modified scoring regards “low quality”; we set the points <24
instead of “9-24 points”. The nine questions in the tool are as follows:

1. Abstract and title. Did they provide a clear description of the study?
Good: structured abstract with full information and clear title.
Fair: abstract with most of the information.
Poor: inadequate abstract.
Very poor: no abstract.

2. Introduction and aims. Was there a good background section and clear statement of the
aims of the research?
Good: full but concise background to discuss/study containing up-to-date literature
review and highlighting gaps in knowledge; clear statement of aim AND objectives
including research questions.
Fair: some background and literature review; research questions outlined.
Poor: some background but no aim/objectives/questions OR aims/objectives but
inadequate background.
Very poor: no mention of aims/objectives; no background or literature review.

3. Method and data. Is the method appropriate and clearly explained?

Good: method is appropriate and described clearly (e.g. questionnaires included); clear
details of the data collection and recording.
Fair: method appropriate, description could be better; data described.
Poor: questionable whether method is appropriate; method described inadequately;
little description of data.
Very poor: no mention of method AND/OR method inappropriate AND/OR no details of
data.

91
4. Sampling. Was the sampling strategy appropriate to address the aims?
Good: details (age/gender/race/context) of who was studied and how they were
recruited and why this group was targeted; the sample size was justified for the study;
response rates shown and explained.
Fair: sample size justified; most information given but some missing.
Poor: sampling mentioned but few descriptive details.
Very poor: no details of sample.

5. Data analysis. Was the description of the data analysis sufficiently rigorous?
Good: clear description of how analysis was carried out; description of how themes
derived/respondent validation or triangulation.
Fair: descriptive discussion of analysis.
Poor: minimal details about analysis.
Very poor: no discussion of analysis.

6. Ethics and bias. Have ethical issues been addressed and has necessary ethical approval
been gained?
Has the relationship between researchers and participants been adequately considered?
Good: ethics: when necessary, issues of confidentiality, sensitivity and consent were
addressed; bias: researcher was reflexive and/or aware of own bias.
Fair: lip service was paid to above (i.e. these issues were acknowledged).
Poor: brief mention of issues.
Very poor: no mention of issues.

7. Results. Is there a clear statement of the findings?

Good: findings explicit, easy to understand and in logical progression; tables, if present,
are explained in text; results relate directly to aims; sufficient data are presented to
support findings.
Fair: findings mentioned but more explanation could be given; data presented relate
directly to results.
Poor: findings presented haphazardly, not explained and do not progress logically from
results.
Very poor: findings not mentioned or do not relate to aims.

8. Transferability or generalisability. Are the findings of this study transferable

(generalisable) to a wider population?
Good: context and setting of the study are described sufficiently to allow comparison
with other contexts and settings, plus high score in Q4 (sampling).
Fair: some context and setting described but more needed to replicate or compare the
study with others, plus fair score or higher in Q4.
Poor: minimal description of context/setting.
Very poor: no description of context/setting.

92
9. Implications and usefulness. How important are these findings to policy and practice?
Good: contributes something new and/or different in terms of understanding/insight or
perspective; suggests ideas for further research; suggests implications for policy and/or
practice.
Fair: two of the above.
Poor: only one of the above.
Very poor: none of the above.

93
Quality Assessment of Studies: [Questions are answered as Met Criterion (Denoted by 1), Did Not Met Criterion (Denoted by 2) and Not Clear (Denoted
3)]
A.
Result of the quality assessment for the qualitative studies (n=35)
(1=very poor, 2=Poor, 3=Fair, 4=Good)
High quality=A (30-36), Medium quality =B (24-29), Low quality=C (<24)

Study abstract/ Introduction/ Method/ Sampling Data Ethics/bias Results Generalisabilit Implication Total Grade
Title aims data analysis y
collection
Abdullah et al., 2015 2 2 2 1 2 1 4 3 3 20 Low quality
Ahmed et al., 2015 2 4 3 1 1 1 2 3 4 21 Low quality
Braun, B. and Aßheuer, T., 2011 3 3 2 2 1 1 4 3 3 22 Low quality
Bhat et al., 2013 2 2 1 1 1 1 2 3 3 16 Low quality
Birkmann and Fernando, 2008 3 3 3 4 2 1 4 3 3 26 Medium quality
Carcellar et al., 2011 2 2 1 1 1 1 1 3 2 14 Low quality
Carpenter, S. and Grünewald, F., 2015 3 3 3 1 1 1 4 3 3 22 Low quality
Chinnarasri, C. and Porkaew, K., 2015 3 3 2 1 2 1 2 2 3 19 Low quality
Dewan et al., 2012 2 4 1 1 1 1 3 3 3 19 Low quality
Joerin et al., 2014 3 4 4 1 3 1 3 2 2 23 Low quality
Jue et al., 2005 3 4 3 1 1 1 3 3 2 21 Low quality
Khan, 2008 3 3 1 1 1 1 4 3 2 19 Low quality
Malalgoda et al., 2013 4 4 3 1 1 4 4 2 3 26 Medium quality
Mulyani Sunarharum et al., 2014 4 2 2 1 1 1 3 2 2 18 Low quality

94
Parvez, 2013 2 3 3 3 3 1 3 1 2 21 Low quality
Peleg, 2015 1 1 1 1 1 1 1 2 3 12 Low quality
Ramachandraiah, 2011 3 1 2 1 1 1 4 3 3 19 Low quality
Razafindrabe et al., 2014 2 3 3 2 3 1 4 3 3 24 Medium quality
Rumbach, 2014 3 4 2 2 1 1 4 3 3 23 Low quality
Sharma and Priya, 2001 2 2 2 1 1 1 3 3 3 18 Low quality
Sudmeier-Rieux et al., 2012 3 3 4 1 1 1 3 2 2 20 Low quality
Sudmeier-Rieux et al., 2015 1 3 3 1 1 1 4 3 4 21 Low quality
Surjan and Shaw, 2009 3 2 2 1 1 1 2 3 2 17 Low quality
Tafti and Tomlinson, 2013 2 4 4 3 1 1 4 3 3 25 Medium quality
Taylor, 2015 3 4 3 3 1 1 3 3 3 24 Medium quality
Teets, 2009 2 2 2 1 1 1 3 2 2 16 Low quality
Theckethil, 2012 1 4 4 4 1 1 2 2 2 21 Low quality
Thiruppugazh, 2008 2 3 1 1 1 1 3 3 3 18 Low quality
Thomas, 2015 1 2 1 1 1 1 1 2 2 12 Low quality
Yang et al., 2014 3 2 1 1 1 1 3 4 3 19 Low quality
You et al., 2009 4 1 4 4 4 1 4 4 4 30 High Quality
Zope et al., 2015 2 4 3 1 1 1 3 3 3 21 Low quality

95
APPENDIX 5: LIST OF STUDIES FOR ADDRESSING RESEARCH QUESTION 2

Sl. Reference No. Location Disaster Approaches

No Author Year Title City Country Type
1. Braun, B., & Aßheuer, T. 2011, Dhaka, Flood  Community participation
Floods in megacity in Bangladesh, Plain  Government initiative
Dhaka/Bangladesh land, River bank  NGO participation

2. Birkmann and Fernando, 2008, Galle and Tsunami  Community participation

Measuring vulnerabilities of Batticaloa, Sri  Government initiative to create
coastal communities to tsunami Lanka, Costal area “buffer zone”
in Sri Lanka  Immediate response
Carcellar et al., 2011, Addressing Philippines, Landslide,  Community based intervention
3. DRR through community-rooted Coastal and Mudflow,  Policy implementation
interventions in the Philippines volcano region Flood,
Typhoon
Carpenter and Grünewald, 2015  Information needs
4. Disaster preparedness in a Kathmandu Earthquake
complex urban system Valley, Nepal

Chinnarasri, 2015, An Policy implementation

5. organisation for improving flood Thailand Flood Coordination among all level
resilience in Thailand

Dewan et al., 2012, Urbanisation Urban space development

6. and environmental degradation Dhaka, Flood
in Dhaka, Bangladesh Bangladesh, Plain
land, River bank

Joerin et al., 2014, The adoption Chennai, India, Flood,  Policy implementation
7. of a Climate Disaster Resilience Costal area and Cyclone
Index low land

Khan, 2008, Disaster Coastal and flood Flood  Community participation

8. preparedness for sustainable prone areas  Policy implementation
development in Bangladesh

Malagoda, 2013, Disaster Batticaloa, Sri Flood,  Urban space development

9. resilient built environment in Lanka, Coastal Tsunami  Coordination among all level
urban cities of Sri Lanka area

Mulyani Sunarharum et al., 2014, Jakarta, Indonesia Flood  Policy implementation

10. Increasing  Coordination among all level
flood resilience in Jakarta

Peleg, 2015, Is There a Better Nepal Earthquake  Coordination among all level
11. Way to Provide  Community training
Search and Rescue?

Ramachandraiah, 2011, Coping Krunool, Andhra Flood  Active engagement of civil

12. with Kurnool floods, India Pradesh, India, society
Coastal (by the
side of the river

96
 Tungabhadra-a
tributary to
Krishna river)

Rumbach, 2014, Do new towns Salt Lake, Kolkata, Flood  Urban space development
13. increase disaster risk, Kolkata, India, Plain land  Addressing inequity
India?
Sudmeier-Rieux et al., 2012, Dharan, Nepal Flood,  Policy implementation
14. Floods, landslides, and adapting Landslide
to climate change in Nepal:
Sudmeier-Rieux et al., 2015, Ho Chi Minh City, Flood,  Policy implementation
15. Opportunities, incentives and Can Tho of Landslide,  Active engagement of civil
challenges to risk sensitive land Vietnam; Dharan Earthquake society
use planning Municipality of
Nepal; Ferrol of
Spain, River bank,
Mountainous
Surjan and Shaw, 2009, Mumbai, India, Flood  Policy implementation
16. Enhancing disaster resilience in Coastal area  Active engagement of civil
Mumbai, India society

Tafti and Tomlinson, 2013, Post- Bhuj, India, Earthquake  Active engagement of civil
17. disaster public policy responses in Costal, Seismic society
housing recovery zone  Urban space development
Bam, Iran,  Addressing inequity
Mountainous,
Seismic zone
Taylor, 2015, Comparing Solo, Strenkali, Flood  Active engagement of civil
18. alternative approaches to Indonesia society
reducing the vulnerability of  Addressing inequity
riverbank communities  Policy implication

Theckethil, 2012, Earthquake Bhuj, Gujarat Earthquake  Policy implication

19. rehabilitation and vulnerability state, India,
reduction in Indian town Coastal and low
land, high seismic
zone V
Yang et al., 2014, Comparison of Lushan and Earthquake  Policy implication
20. two large earthquakes in China Wenchuan, China  Immediate response
 Coordination among all level

You et al., 2009, How China Beichuan, China Earthquake  Coordination among all level
21. responded to the May 2008  Policy implication
earthquake  Community training

97
APPENDIX 6: SUMMARY OF HIGH AND MEDIUM QUALITY STUDIES

Study Research Question or focus Limitations

Birkman This study was aimed to describe the revealed and emergent vulnerabilities of two identified
n and tsunami affected coastal communities. by author
Fernando Theoretical approach The most
, 2008 To understand the broad term “vulnerability”, a different conceptual framework has vulnerable
Study been developed to conceptualize and structure vulnerability. groups
funding Sampling methods didn’t get
United It was assessed that most indicator and assessment approaches failed to forecast the priority
Nations devastating 2004 tsunami and the vulnerability of coastal communities. Therefore, to during early
Inter- measure the vulnerability, two affected coastal areas were selected purposively. warning and
Agency Moreover, the selected two areas were bearing the major damages due to tsunami. evacuation.
Secretari Recruitment methods
at of the Areas were selected as they have similar characteristics such as both of them are Limitation
Internati tsunami affected and coastal areas. identified
onal Sample demographics by reviewer
Strategy Batticaloa city was situated in Eastern Sri Lanka. Galle, the south-west city, was coastal During
for area but not in the direct line of the tsunami. providing
Disaster Data collection methods cash
Reductio Primary data were collected through structured questionnaire. The questionnaire incentive
n/Platfor contained 73 questions with 610 possible answering criteria. Besides this survey, focus for housing,
m for the group discussion took place as well as in-depth interviews with 20 selected families. households
Promotio Analysis methods should be
n of Early The data were analysed using Statistical package for Social Science (SPSS). listed as
Warning Intervention/ measure approach priority
(UN/ISDR  Action taken on the basis of local evidence can contribute to reducing disaster risk basis based
and vulnerability. It was apparent based on damage analysis promotion of a 100
-PPEW). on basic
metre “buffer zone”.
Quality income of
Significant proportion of squatters in Galle living within the 100-metre buffer zone
Rating the
before the tsunami agreed to move to a safer place (75.4 per cent), compared with
Medium household
67 per cent of households that own their land.
Location head; that
 An effective early warning system in Galle made these differences. In coastal and
Batticalo flood-prone areas, familiarisation with past tsunami and education about tsunami was not
a & Galle, and other coastal hazards were identified as an important element in increasing done in
Sri Lanka awareness of threats to human life in order to minimise possible losses. Galle and
Study Findings Batticaloa.
Impact of Tsunami: A case study on Sri Lanka (Birkmann and Fernando, 2008), analysed
the number of deaths due to tsunami in two different time periods. In 2011 tsunami
at least 57 people were killed, around 193,700 were affected and at least 35 per cent
of rice crops were destroyed. The 2004 tsunami showed to be a high impact event that
caused the death of 35,000 people and displacement of 500,000 people. The
estimation of economic loss was counted at US$900 million worth of assets and
infrastructure. This case study in Sri Lanka reported through household survey about
the cause of deaths and missing by gender and age group due to tsunami in the coastal
communities of Sri Lanka in 2006. The estimated fatality was significantly higher in
female than male and elderly people (61 years and older) and young people (0-10
years) suffered the most fatalities. This result demonstrated that females failed to
climb to the roofs shortly after the devastating wave happened.

98
Study Research Question or focus Limitations
Malalgoda et al., The purpose of this study was to find out the role of the Sri Lankan identified by
2013 government and the challenges that the government faced in creating a author
Study funding disaster resilient built environment within Sri Lankan cities. Lack of
Not mentioned Theoretical approach coordination,
Not mentioned. lack of defined
Quality Rating Sampling methods specific
Medium To address the role and challenges of local government in Sri Lanka in responsibilities,
Location terms of creating resilient built environment towards natural disaster, overlapping of
Batticaloa evidence was collected through literature review and a case study responsibilities,
Sri Lanka conducted in the Batticaloa city of Sri Lanka. Moreover, interviews were lack of
conducted among local and other government officials, policymakers, monitoring
practitioners and academics who are engaged in disaster management
and urban planning within the country to support the evidence
gathered from reviewed literatures and case study. Limitation
Disaster addressed identified by
Earthquake, flood, hurricane, tsunami reviewer
Recruitment methods No policies
People involving with disaster management and planning were selected were
from different sectors of government and private as they have a recommended
significant role to play in disaster management. to overcome
Sample demographics the lacking of
For the interview, selected participants were from various sectors and local
disciplines of governance (such as national, provincial and local), private government.
sector, civil society, NGOs, community based organisations, research
institutions and institutions of higher studies. Case studies have been
selected as most appropriate strategy that enabled the researcher to
understand the context.

Data collection methods

Research used both primary and secondary data. The data was provided
by local and other government officials, policymakers, practitioners and
academics who are engaged in disaster management and urban
planning within the country. Moreover, data was collected through
literature review and from a case study. Synthesis of the collected will
develop knowledge on existing barriers that would help to explore good
practice in the field of disaster management.
Analysis methods
Not mentioned
Intervention/ measure approach
Challenges should be considered in a holistic manner in order to make a
disaster resilient city. Different committees and sub committees at
different levels have been formed with the participation of the local
community. Some of the initiatives included the formation of district,
divisional and village level disaster management plans and committees,
training and awareness programmes to community and school children.
As per previous plan, a number of governmental organisations are in
place for design, development and maintenance of the built
environment within the Batticaloa municipal area.
Hazard maps and disaster resilient planning and construction guidelines
were available to ensure built assets and other support systems to
continue functioning at times of extreme hazard events. The new

99
constructions were recommended to be away from high risk zone and
are resilient to tsunamis, floods, cyclones and other hazards and would
be able to withstand these conditions at a time of a hazard.
Study Findings
 Urbanisation leads to environmental degradation because
overconsumption of natural resources and over-exploitation of natural
services leads to deforestation.
 Inadequate plans and practices was responsible for severe destruction
after Hurricane Katrina.
The role of local or municipal level government identified in the study:
 In building disaster resilient city, local government has a significant
role to play in order to limit or reduce the adverse impacts of disasters.
 Local knowledge and measures are required to cope with local hazards
and vulnerabilities.
 As the national disaster management authorities in most of the
developing countries are centrally organised, they are unable to
provide emergency support to rural population.
 To enhance the resilience of disaster prone community, local people
should be more aware about the vulnerability and risk management.
Challenges faced by the local government:
 The efforts of local government may fail due to having inadequate
knowledge and capabilities in managing disasters.
 The ability of disaster management can often be limited due to
financial and human resource constraint.
 Inadequate urban planning and lack of monitoring identified as the
challenge of local government.
 Proactive decision making process and preparedness related to
disaster risk mitigation often being limited due to proper allocation of
limited resources by the local government.

100
Study Research Question or focus Limitations
Razafindrabe et This study aimed to enhance the resilience and adaptive capacity of a identified by
al., 2014 community towards the threat of flood by understanding the flood risks author
and their impact on the respective community. No assessment
Study funding Theoretical approach or mapping was
Global A conventional risk management process was employed which done in terms
COE (Centre of considered social, physical, economic and institutional dimensions of of flood hazards
Excellence) resilience in order to grasp the extent of risks. This risk management owing to the
Program “Global process was based on the “Risk management framework”. lack of
Eco-Risk Sampling methods resources and
Management Two districts and four wards (two wards in each district) were selected. scarcity of
from Asian Stratified random sampling was chosen which was based on topography historical data.
Viewpoints” at (coastal and inland) and also on economic status.
Yokohama Recruitment methods Limitation
National Areas were selected as they were situated in coastal or inland area. identified by
University. Areas belonged to different economic status. reviewer
Sample demographics Didn’t specify
Quality Rating Areas from different economic status were situated in coastal bank and the integrated
Medium inland. management
Location Data collection methods process of risk
Danang city This study looked at flood risks from a different perspective based on reduction.
Vietnam secondary data analysis coupled with questionnaire survey and focus
group discussions. Data collection method also included stakeholder
analysis, direct observation using transect method and a literature
review.
Analysis methods
Qualitative and quantitative data analysis was conducted using textual
analysis and Statistical Package for Social Science (SPSS), respectively.
Study Findings
 Typhoon and flood were very common in Vietnam due to tropical
monsoon.
 The study findings showed a significant relationship between
perception of flood risks and education level of the household heads;
there was found no significant difference in terms of this issue.
 Greater resilience of built environment and infrastructure was found
in Cam Le district.
 Access to electricity as well as electric supply was found better in
Cam Le district. Moreover, in the same area, highest score was found
in terms of water supply, housing, land use and sanitation.
 Existing policy geared towards integrated coastal zone management
which aim was to developing Danang city, Vietnam.
 Government was continuing with their efforts like raising awareness
on disaster risk reduction, incorporating risk reduction into
development planning or zoning schemes and establishment of flood
control.
Discussion
 A long-term sustainable solution to recurrent flood disasters needs
to be implemented.
 To cope with flood disasters, assurance of sustainable livelihoods or
maintaining income is one of the most important guarantees.

101
Study Research Question or focus Limitations
Tafti and This study aimed to examine the responses of affected tenants (by earthquake) identified by
Tomlinson, towards the policies for housing recovery implied during post-earthquake author
2013 period in the cities – Bhuj, India and Bam, Iran. Access to
Theoretical approach livelihood,
Study Examined the policies for housing recovery implemented by the government. infrastructure,
funding Sampling methods quality health
University To fulfil the research objective, people were selected to answer semi- and education
of structured questionnaire. Key informants from government officials were services and
Melbourne selected according to the similarities in the context, urban population, the moreover,
nature of disaster and the role of public sector. inadequacy of
Quality Recruitment methods public
Rating Participants were selected on the basis of similarity including the context, transportation
Medium urban population, nature of disaster and the role of public sector. system was not
Location Sample demographics considered
Bhuj All participants were residing in urban areas in same location, experienced while planning
India same kind of vulnerabilities due to earthquake. for new
Data collection methods location for
Research used both primary and secondary data. Data collection method housing
included archival data from literature review, in-depth interviews, observation, recovery. The
onsite mapping and small-scale surveys. More than 95 semi-structured policy did not
interviews were done with people- among which 60 interviews were in Bhuj, provide
India. More than twenty interviews with key informants included housing
policymakers, chief urban planners, city officials and real estate brokers. recovery
Analysis methods option for
Not mentioned tenants with
Intervention/ measure approach lower income.
 After the Bhuj earthquake in 2001, the government established a legal entity
for quick decision making and policy formulation for reconstructing the
affected areas. Limitation
 For reconstruction of permanent houses, the previous house owners were identified by
provided financial and technical support to rebuild their houses.
reviewer
 NGOs were contracted out by the government to take part in building new
houses for the tenants. Five NGOs built housing projects in other areas The data
outside the old city, ten NGOs built 2497 housing units, both for tenants analysis
and homeowners, in a turn-key manner with no or partial financial method was
contribution of their beneficiaries. not mentioned
 Caste-based and religious-based affiliations facilitated accessing the in the study.
contribution of some of the operating NGOs. This policy offered a window Level of
of opportunity for tenants with higher financial or social assets to shift their
income of the
tenure status to ownership. Three years after the earthquake, and under
the pressure of local elites, the site has been officially declared as the tenants was
fourth relocation site and a budget was dedicated for its development. not specified
Study Findings for receiving
 Due to an earthquake (measuring 7.7 in Richter scale) in January 2001, a city housing
with a population of around 130,000, approximately 7000 people, mostly benefits. The
inhabitants of the historic part of the city, died. policy for
 The government initiated to address the gap in knowledge about post ownership of
disaster housing recovery of tenants.
the recovered
 Seven years after the earthquake, a new policy was formulated to address
houses was not
the housing recovery of those who could not prove their tenure status. The
new policy adopted a more relaxed regulation for recognizing pre- clearly
earthquake tenants. These households were eligible to buy a plot of 50m2 mentioned.
and to receive Rs.1.4 lakhs (US$ 3780) assistance for housing construction
on the GIDC site.

102
Study Research Question or focus Limitations
Taylor, 2015 This study focused on the resettlement offer made by the local authority identified by
and other issues related with the resettlement. author
Study funding Sampling methods Not
Not mentioned Two riverbank cities (Solo and Surabaya) were selected purposively where mentioned
Quality Rating riverbank residents offered resettlement by the local government.
Medium Recruitment methods
Location Government officials, community residents’ civil society leaders and non- Limitation
Solo and government organisation representatives were purposively selected for identified by
Surabaya, interview. reviewer
Indonesia Sample demographics Analysis
Selected participants were from various sectors involved in resettlement method of
process including riverbank residents. collected data
Data collection methods was not
Interview or Focus Group Discussion (FGD) was conducted. Government described
documents, local regulations and newspaper articles were also clearly.
considered for desk review.
Intervention/ measure approach
Resettlement of riverbank residents.
Study Findings
 Resettlement initiative has been taken for riverbank residents to
prevent further erosion; also to ensure the safety of residents.
 Riverbank residents were reluctant regarding resettlement. Many of
them were migrants and did not have a legal permit which made them
more vulnerable. However, local government has taken initiative to
include these migrants under a special program to ensure services for
them as well.
 In Solo, local government organised 24 separate meetings with
community representatives to motivate them for resettlement. Both
sides showed respect to each other and heard respective concerns. This
community engagement approach strengthened local institutional
networks.
 In Solo, local government offered cash incentives and compensation to
other necessary social services.
 Riverbank tenants in Solo were not eligible for cash incentive. However,
they received disaster aid.
 Local Mayor in Solo was dynamic and took community engagement
approach to ensure the resettlement plan.
 Local community representative/ community group played important
role to negotiate with the local government.
 NGOs played key role to ensure resettlement process.
Discussion
 Leadership is important. Motivated and dynamic leader can handle the
situation more effectively.
 Community engagement plays important role to accomplish any plan.
 Need to engage community representatives in disaster management to
ensure proper implementation.
 Need to think about poor and migrant people while initiating any policy.

103
Study Research Question or focus Limitations
You et al., 2009 This research focused to describe the damage due to May 2008 identified by
earthquake in Sichuan province in China and also response and gap. author
Study funding Theoretical approach Not
Not mentioned Evaluated response and gap to inform responses to similar disaster in mentioned
Quality Rating future.
High Sampling methods
Four towns were selected. The two most severely affected towns in terms Limitation
Location of death and building damage were selected. Additionally, least affected identified by
Sichuan area and another town were selected. reviewer
province, China Areas were selected as per the intensity of loss defined by the local Sampling
government. method for
Recruitment methods respondents
People involved with disaster management in county and town level from was not clear
various organisation were selected. and the total
Sample demographics number of
Selected participants were from various sectors involved in post respondents
earthquake management. was not
Data collection methods mentioned.
Authors used survey, semi-structured questioner for data collection.
Analysis methods
2 researchers independently grouped all similar responses from
respondents under each broad theme. Consensus among 2 researchers
about responses under each theme were made, any asked help from
senior researcher and even went back to respective respondent as well.
Intervention/ measure approach
Three months “Emergency response and rescue period” declared by the
Chinese government.
Study Findings
 Respective personnel’s various government bodies were not well
aware and trained on earthquake management.
 Lack of coordination among different implementing bodies.
 County government initiated search and rescue after earthquake and
organised emergency free medical facilities as well as taken initiatives
to ensure food.
 Local medical personnel were not adequately trained in disaster
emergency care.
Discussion
 Separate plan for earthquake management is necessary.
 All related departments should formulate emergency plans and their
staff, as well as general people, should be trained to minimize disaster
risk.
 Local government should be empowered and trained to take
immediate action.
 Effective multi-sectoral coordination is must.
 Psychological/ moral support is necessary and counselling should take
place for victims. Emergency workers should be trained to understand
the psychological impact of disaster on individual and to give moral
support to the victims.

104
APPENDIX 7: SEARCH STRATEGY

Search strategy:
The search strategy targeted the major domains under conceptual framework. The domains
included:
i. Urbanisation
ii. Natural disaster
iii. Risk and risk reduction
iv. Vulnerability
Searches constituted a mixture of keywords and index terms as appropriate with targeted
databases. Searches were adopted based on this search strategy covering the domains of the
review. Searches included the following fields: title, abstract, other abstract, MeSH, other
index terms, but NOT place of publication. Searches were combined using Boolean operators
whenever possible depending on the yields of the search and the functionality of each
database.
# 1 Search: Population terms:
urbanicity OR urbanisation [tiab] OR urbanization [tw] OR "Urban
Population/classification"[Majr] OR "Urban Population/organization and
administration"[Majr] OR "Urban Population/statistics and numerical data"[Majr] OR "Urban
Population/trends"[Majr] OR "Urbanisation [Mesh] OR urban* OR metropol* OR city OR
town* OR “(local AND government) OR “local authority” OR "Vulnerable
Populations/classification"[Mesh] OR "Vulnerable Populations/epidemiology"[Mesh] OR
"Vulnerable Populations/statistics and numerical data"[Mesh]
AND
# 2 Search: Disaster or disaster related terms:
Search #: “natural disaster*” OR “environmental emergenc*” OR “natural hazard” OR
avalanche* OR earthquake* OR fire* OR flood* OR landslide* OR tsunami* OR volcan* OR
catastroph* OR cyclon*OR “tidal wave*” OR tsunami* OR “coastal hazard*” OR lahar OR
blizzard OR hailstorm OR hail OR storm OR “heat wave” OR heatwave OR landslide OR
hurricane OR typhoon OR tornado* OR wildfire OR “wild fire” OR “wildland fire” OR “bush
fire” OR bushfire OR “extreme weather event” OR "Disasters/economics"[Majr] OR
"Disasters/epidemiology"[Majr] OR "Disasters/mortality"[Majr] OR "Disasters/organization
and administration"[Majr] OR "Disasters/prevention and control"[Majr] OR
"Disasters/statistics and numerical data"[Majr] OR "Disasters/supply and distribution"[Majr]
OR "Disasters/utilization"[Majr]
# NOT ('toxic combustion' OR 'toxic incident' OR 'chemical incident' OR 'chemical fire' OR
'simulated disaster' OR 'chemical release' OR 'chemical spill' OR 'hazardous incident' OR
'environmental contamination' OR 'environmental disasters' )
AND

105
# Search 3 Vulnerability and impact related
Search: vulnerabilit* OR Injur* OR displace* OR refuge*OR homeless OR wounded OR wound*
OR death* OR mortalit* OR casualt* OR killed OR died OR fatalit* OR poverty* OR “poverty
reduction” OR microinsurance OR “micro-insurance” OR “safety net*” OR microfinance OR
externalities OR “multiplier effect*” OR “opportunity cost” OR “cost benefit analysis” OR
livelihood OR resilien* OR vulnerabl*
AND
# 4 Risks and risk reduction related:
Search: “disaster risk reduction” OR “risk reduction” OR “disaster risk management” OR
“disaster preparedness” OR “disaster recovery”OR “disaster relief” OR “disaster mitigation”
OR “disaster management” OR “disaster prevention” OR “disaster preparedness” OR “disaster
planning” OR “disaster response” OR "Environmental Restoration and Remediation/adverse
effects"[Majr] OR "Environmental Restoration and Remediation/classification"[Majr] OR
"Environmental Restoration and Remediation/organization and administration"[Majr] OR
"Environmental Restoration and Remediation/statistics and numerical data"[Majr] ) OR
“Hyogo Framework for Action” OR resilien* OR “risk planning” OR “risk analysis” OR “risk
assessment” OR “risk management” OR “disaster resilience” OR “disaster loss*” OR
“economic aspect*” OR “social risk management” OR “social vulnerability” OR capacity OR
“coping capacity” OR “capacity development” OR “capacity building” OR “social protection”
OR “indigenous coping” OR “traditional coping strateg*” OR “social capital” OR “indigenous
knowledge” OR “local knowledge” OR “traditional knowledge” OR empowerment OR “public
participation” OR “community planning” OR “local government” OR “local authority” OR
“local leader*” OR municipalit* OR “village leader*” OR “local council” OR “town* council” OR
“district council” OR “community-based disaster risk management” OR “community based
disaster risk management” OR “community based disaster risk reduction” OR “community-
based disaster risk reduction” OR "Risk Reduction Behavior/statistics and numerical
data"[Majr]
We limited the search to only low and middle income countries as defined by World Bank
recent list of 2016 of LMIC. We used the Cochrane/EPOC LMIC PubMed Filter and modified it
accordingly. (Available at http://epoc.cochrane.org/lmic-filters, accessed on December 23,
2015).

106
APPENDIX 8: SEARCH SOURCES

BIBLIOGRAPHIC DATABASES
Health: Global Health, Medline, PsychINFO
Political/Sociological: PAIS, Scopus, ASSIA, British Humanities Index (BHI), Sociological
Abstracts, Informit Humanities and Social Sciences and Health Collection
Environment: GEOBASE, CAB Abstracts, OARE, Collaboration for Environmental Science
Economics: Econlit
Disaster/ Development: IBSS: International Bibliography of the Social Sciences, IPSA
(International Political Science Abstract),
QUAKELINE Database: http://mceer.buffalo.edu/utilities/quakeline.asp

SYSTEMATIC REVIEW DATABASES

3ie database of systematic reviews
Campbell Collaboration database
Collaboration for environmental evidence
EBM Reviews: Cochrane Database of Systematic Reviews
EPPI-Centre systematic reviews database
Johanna Briggs systematic reviews

KEY JOURNALS
African Journals Online: http://www.ajol.info/
Asia Journals Online: http://www.asiajol.info/
Health in Disasters and Natural Disasters, PLoS Disasters
Int. Journal of Disaster Risk Reduction, Disasters, Public
Journal of Disaster Risk Studies (South Africa)
Latin American Journals online: http://www.lamjol.info/
World Bank Economic Review

INTERNATIONAL ORGANISATION WEBSITES

African Development Bank
Asian Development Bank
British Library for Development Studies
Eldis
HRH Global Resource Center Secretariat of the Pacific Community
Inter-American Development Bank
International Committee of the Red Cross
International Federation of Red Cross and Red Crescent
Prevention Web (lists documents from a wide range of DRR/DRM, organisations)
World Bank (incl. GFDRR, Poverty Impact Evaluations Database)

107
CLEARING HOUSES & NETWORKS
Active Learning Network for Accountability and Performance in Humanitarian Action
(ALNAP)
Asian Disaster Preparedness Center (ADPC)
Centre for Global Development (http://www.cgdev.org/page/list-impact-evaluation-
databases)
Evidence and Lessons from Latin America (http://ella.practicalaction.org/)
EU
Institute of Development Studies
International Development Research Centre
(http://publicwebsite.idrc.ca/EN/Pages/default/aspx)
IRIN
OECD
Overseas Development Institute
Pacific Disaster Net
ProVention Consortium
Public Policy Pointers (http://www.policypointers.org/)
Relief Web
SOPAC

Bilateral Aid Agencies:

DFAT (formerly AusAID), DFID, USAID, JICA, SIDA, DANIDA, NORAD, CIDA, GIZ (previously
GTZ)

United Nations:
WHO, UNEP, UNCRD, UNDP, UNFPA, UNISDR, UNICEF, UNESCAP, UNHABITAT, UNU, FAO,
OCHA, IOM, IFAD, WMO

INGOs:
OXFAM, Plan, World Vision, Action Aid, Save the Children, Care, Caritas, IFRC, Concern
Worldwide, Practical Action, HelpAge International, Cordaid, MercyCorps, Islamic Relief,
Tearfund, International Alert

Other organisations:
Bangladesh Directorate of Disaster management (http://www.ddm.gov.bd/)
ACCRA – African Climate Change Resilience Alliance
CENESTA – Centre for Sustainable Development, Iran
CECI - Centre for International Studies and Cooperation
ICIMOD - The International Centre for Integrated Mountain Development
ICHARM – The International Centre for Water Hazard and Risk Management
IIED - The International Institute for Environment and Development
ISET - Institute for Social and Environmental Transition
IUCN - International Union for Conservation of Nature

108
 APPENDIX 9: DATA EXTRACTION SHEETS FOR STAGE 1

Sl. Categories Sub-categories/Description

Type of document - Journal article

(select one) - NGO report
- World Bank report
- Donor report
- Independent research report
- Master or doctoral thesis
- Other [describe briefly]
Region (select one) Africa; East Asia & pacific; Europe & Central Asia; Latin America &
Caribbean: Middle East & North Africa; South Asia
Country (select one or Name or LMIC
more)
Discipline Environmental Sciences, Health Sciences, Social Sciences, Economics,
Natural Sciences, Urban Planning, Public Administration, Development
Studies, other [describe briefly]
Study type (select one) -Theoretical/conceptual overviews (no outcomes).
-Systematic reviews and general secondary data analysis
-Descriptive studies
-Theory-practice studies (e.g. a case study used to illustrate
concepts)
-Primary data collection which may include interviews, surveys, case
studies, content analyses, that examine participants' behaviour, beliefs,
perceptions, cognitive or affective processes concerning the
program/intervention/practices studied)
-Outcome evaluations (or Effectiveness Study or Intervention Study)
(explicit outcomes)
-Other/None of the above [describe briefly]
Research design(select - Qualitative
one) - Quantitative
- Mixed
- Other
- n/a
Type of disaster Avalanche, earthquake, fire, flood, landslide, tsunami, volcanic
addressed (select one or eruption, typhoon, cyclone, tidal wave, tsunami, coastal hazard, lahar,
more) blizzard, hailstorm, storm, heat wave, hurricane, tornado,
wildfire/bushfire, mudflow, extreme weather event, natural disaster,

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 environmental emergency, natural hazard, catastrophe, climate related
hazard, various/multiple or other.
Relation between - Intermediate processes
urbanisation and - risk
disaster (select one or - vulnerability
more)
Specific urban  Socioeconomic classes (Focused on poor/marginalised; All Groups
population group (select of people with low socio-economic status)
one or more)  Children (Young people under the age of 18 years of age)
 Elderly (Older people over the age of 60 years of age)
 Female
 Male
 Migrants
 Slum Dwellers
 Disabled People
 Other (specify) (Please describe briefly in text box)

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 APPENDIX 10: DATA EXTRACTION SHEETS FOR STAGE 2

Study Identifiers Urbanisation, disaster, risk of disaster

Year Type of urban

Author Country Disaster type Location Participant characteristics
Published development
Name Year LMIC name Population growth, e.g. Earthquake, e.g. hilly, e.g. ; socio-economic status
Author(s) rural urban Storms, floods valley, low (upper, middle, poor);
migration, water (magnitude, land, forest female/male, ethnicity,
drainage, scope of frequency) disability,
earning, building children/adults/elderly,
code, slum stakeholders
population

Disaster risk management

Implementation Intervention Type of
Intervention type Policy type Outcomes NOTES
year(s) Aims approach
e.g. community- e.g. people e.g. 1980-1991 e.g. Reduce e.g. training, Disaster preparedness, Category
based government, centred, vulnerability, awareness, health behaviour change, descriptors
NGO, private participatory, improve access to advocacy, reduced hazard exposure,
sector, etc. community resources rehabilitation, improved QOL
based, multi- health services,
sectoral reconstruction

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APPENDIX 11: EXCLUSION CRITERIA FOR STAGE 1 AND STAGE 2

EXCLUDE IF.... FOR STAGE 1: SCOPING REVIEW FOR STAGE 2: INDEPTH

REVIEW
Exclude on Not LMIC. Exclude if not on World Bank List of low Exclude if NOT LMICS in
country and middle-income countries. World Bank South & East Asia
recent list of LMIC will be adopted.

Exclude on Language is not Exclude if study titles and abstracts are not in No change
language English. English.
However, hand searches of local journals in
Bangla and Nepalese will be performed at
least in Bangladesh and Nepal.
Exclude on News article, Exclude if study is news article, No change
publication editorial, comment, editorial, comment, periodical, update,
type periodical, update, speech, book review, fiction, film,
speech, book symposia, write up of workshops.
review, fiction,
film, symposia, write
Exclude on up of workshops.
Publication before Exclude all studies published prior to 1st No change
publication st
1 January 1980. January 1980.
date
Exclude on Not natural disaster. Exclude if any condition is not related to a No change
disaster natural disaster as identified by the author/s
type in title & abstract.
Natural disasters include natural hazards,
environmental emergencies, avalanche,
earthquake, fire, flood, landslide, tsunami,
tidal wave, volcano, catastrophe, cyclone,
hurricane, typhoon, coastal hazard, lahar,
blizzard, hailstorm, storm, tropical storm,
heat wave, tornado, wildfire or bushfire.
Rapid onset climate change hazards (like
epidemic, medical conditions) and slow onset
hazards (like famine, draught etc.) will be
excluded.

Exclude on No restrictions on No restrictions on study type Exclude if studies

study study type. reporting theoretical
design type concept, technological
/engineering
/mathematical and
concept modelling.
(But information
obtained from them
can be utilized to
substantiate the
discussion or for the
background of the
report.)

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APPENDIX 12: DEFINITIONAL AND CONCEPTUAL ISSUES

Urbanisation: Urbanisation is the process by which large numbers of people become

permanently concentrated in relatively small areas, forming cities (Gencer EA 2013, Klimeš
and Escobar 2010). An urban area can be defined by one or more of the following:
administrative criteria or political boundaries (e.g., area within the jurisdiction of a
municipality or town committee), a threshold population size (where the minimum for an
urban settlement is typically in the region of 2,000 people, although this varies globally
between 200 and 50,000), population density, economic function (e.g., where a significant
majority of the population is not primarily engaged in agriculture, or where there is surplus
employment) or the presence of urban characteristics (e.g., paved streets, electric lighting,
sewerage).
Hazard: A dangerous phenomenon, substance, human activity or condition that may cause
loss of life, injury or other health impacts, property damage, loss of livelihoods and services,
social and economic disruption, or environmental damage (UNISDR 2009).
Disaster: A serious disruption of the functioning of a community or a society involving
widespread human, material, economic or environmental losses and impacts, which exceeds
the ability of the affected community or society to cope using its own resources. Disasters are
often described as a result of the combination of: the exposure to a hazard; the conditions of
vulnerability that are present; and insufficient capacity or measures to reduce or cope with
the potential negative consequences (UNISDR 2009).
Natural disaster: A natural disaster is a major adverse event resulting from natural
processes of the Earth; examples include floods, volcanic eruptions, earthquakes, tsunamis,
and other geologic processes. A natural disaster can cause loss of life or property damage, and
typically leaves some economic damage in its wake, the severity of which depends on the
affected population's resilience, or ability to recover. An adverse event will not rise to the level
of a disaster if it occurs in an area without vulnerable population (UNISDR 2009).
Disaster risk: Disaster risk is the ‘potential disaster losses, in lives, health status, livelihoods,
assets and services, which could occur to a particular community or a society over some
specified future time period’ (UNISDR 2009).
Disaster risk management: Disaster risk management aims to avoid, lessen or transfer the
adverse effects of hazards through activities and measures for prevention, mitigation and
preparedness (UNISDR 2009).This is a systematic process of using administrative directives,
organisations and operational skills and capacities to implement strategies and policies
(UNISDR 2009).
Disaster risk reduction: The concept and practice of reducing disaster risks are systematic
efforts to analyse and manage the causal factors of disasters. The efforts include accumulating
the proper management of land with improved environment and develop preparedness for
managing adverse events, due to disaster. Hence, lessening the vulnerability of people to the
exposure of disaster (UNISDR 2009).

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Exposure: People, property, systems, or other elements present in hazard zones that are
thereby subject to potential losses. Measures of exposure can include the number of people
or types of assets in an area (UNISDR 2009).
Preparedness: The knowledge and capacities developed by governments, professional
response and recovery organisations, communities and individuals for anticipation of a hazard
event and response to the event, thus achieving the recovery from the impacts of hazard
event (UNISDR 2009).
Resilience: ‘The ability of a system, community or society exposed to hazards to resist, absorb,
accommodate to and recover from the effects of a hazard in a timely and efficient manner,
including through the preservation and restoration of its essential basic structures and
functions’ (UNISDR 2009).
Risk assessment: Risk assessment is defined as a methodology to determine the nature and
extent of risk by analysing potential hazards and evaluating existing conditions of vulnerability
that together could potentially harm exposed people, property, services, livelihoods and the
environment (UNISDR 2009).
Socio-natural hazard: The phenomenon of increased occurrence of certain geophysical and
hydro meteorological hazard events, such as landslides, flooding, land subsidence, chemical
pollution, extreme heat and cold, drought etc. These hazards are consequences of human
activity that goes beyond their natural probabilities.
Building code: A set of ordinances or regulations and associated standards intended to control
aspects of the design, construction, materials, alteration and occupancy of structures that are
necessary to ensure human safety and welfare, including resistance to collapse and damage
(UNISDR 2009).
Vulnerability: Vulnerability to disaster depends on the level and nature of individual and
societal resources, capacity and coping mechanisms. Vulnerability differentiates between one
group and another, such as age, gender, ethnicity and mobility. The extent of vulnerability
also depends on the frequency and intensity of natural hazards.

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APPENDIX 13: NATURAL DISASTERS AND SEQUEL OF EVENTS

Primary Hazard Secondary Hazards

Severe storms Floods, tornadoes, landslides
Extreme summer weather Wildfires
Tornadoes Toxic chemical or radiological materials releases
Hurricane wind Toxic chemical or radiological materials releases
Wild fires Landslides (on hillsides in later rains)
Floods Toxic chemical or radiological materials releases
Storm surges Toxic chemical or radiological materials releases
Tsunamis Toxic chemical or radiological materials releases
Volcanic eruptions Floods, wildfires, tsunamis, hazardous materials release
Earthquakes Fires, floods (dam failures), tsunami, landslides, toxic
chemical or radiological materials releases
Landslides Tsunami

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APPENDIX 14: SUMMARY KEY THEMES – NEPAL (CONTEXTUALIZATION)

Education – 8 out of 10 articles

Aryal – Disaster vulnerability in Nepal (training/education of locals in preparing for disasters)
Bhakta et al. – Urban ritual events and coping with disaster risk (understanding of rituals and
local knowledge and the role they can play in disaster management by policymakers)
Chaulagain et al. – Seismic risk assessment and hazard mapping in Nepal (adequate education
and understanding of seismic risk in order to use appropriate building materials in
construction)
Dewan – Societal impacts and vulnerability to floods in Bangladesh & Nepal
(understanding/education of local knowledge in policy making in order to be adequately
prepared for floods)
Jones et al. – Local level governance of risk and resilience in Nepal (role of education in
individual participation in RRC groups)
Peleg – Notes from Nepal – Is there a better way to provide SAR (need to train locals,
especially in rural areas) in first aid skills and search and rescue as it is not feasible to rely on
USAR)?
Sudmeier et al. – Floods landslides & adaptation to climate change in Nepal (greater efforts
need to be made to educate locals on climate change and disaster knowledge)
Thakur & Saito – Post earthquake quick damage inspection of buildings in Nepal (the need for
a widespread and uniform method of assessing the structural integrity of buildings in urban
areas in the wake of natural disasters (focusing on a government funded education of specific
individuals to carry out this job).

Preparedness – 7 out of 10 articles

Aryal – Disaster vulnerability in Nepal (case studies used to reflect the detrimental effect of a
lack of preparedness for disasters)
Aryal – The history of disaster incidents and impacts in Nepal 1900 – 2005 (understanding
history and impacts of disasters in Nepal to better prepare for future disasters)
Carpenter & Grunewald – Disaster preparedness in a complex urban system (factors specific
to Nepal’s urban settings that would contribute to a preparedness to disasters)
Chaulagain et al – Seismic risk assessment and hazard mapping in Nepal (the need to
adequately understand seismic risk in specific regions in regards to choice of building
materials and subsequent structural integrity)
Dewan – Societal impacts and vulnerability to floods in Bangladesh and Nepal (integration of
local knowledge and outside support to heighten preparedness for floods in Nepal and
Bangladesh)

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Peleg – Notes from Nepal – Is there a better way to provide SAR (the need to train locals in
SAR, allow communities to have adequate training to help in the aftermath of a disaster)?
Thakur & Saito – Post earthquake quick damage inspection of buildings in Nepal (training and
framework to adequately assess the integrity of buildings prior and post-earthquakes)

Governance – 5 out of 10 articles

Aryal – Disaster vulnerability in Nepal (lack of government support in relieving vulnerability)

Carpenter & Grunewald – Disaster preparedness in a complex urban system (looks at how
urban development is driving risk, and what governments and agencies should be doing to
address the issue)
Dewan – Societal impacts and vulnerability to floods in Bangladesh & Nepal (the need for
heightened support from the government to relieve vulnerability)
Jones et al. – Local level governance of risk and resilience in Nepal (community based disaster
risk reduction methods need to be embedded in local government structures to be effective)
Peleg – Notes from Nepal – Is there a better way to provide SAR (need for the government to
fund the training of locals (especially in rural areas) in first aid skills and search and rescue)?
Community – 4 out of 10 articles
Aryal – Disaster vulnerability in Nepal (increased sense of community amongst displaced
communities to facilitate local knowledge sharing)
Bhakta et al. – Urban ritual events and coping with disaster risk (role of ritual/religion in
building community and subsequent resilience)
Jones et al. – Local level governance of risk and resilience in Nepal (the need for bottom-up
disaster policies and increased community involvement)
Peleg – Notes from Nepal – Is there a better way to provide SAR (SAR provided by community
members)?

Local knowledge – 3 out of 10 articles

Aryal – Disaster vulnerability in Nepal (the importance of local knowledge being passed to
displaced individuals to reduce vulnerability)

Bhakta et al. – Urban ritual events and coping with disaster risk (local knowledge gained
from rituals and religious events in heightening individual resilience and lowering
vulnerability through access to support and resources)

Dewan – Societal impacts and vulnerability to floods in Bangladesh & Nepal (importance of
local knowledge integrated with outside support in coping effectively during floods)

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APPENDIX 15: NEPAL FRAMEWORK ANALYSIS – STUDY TYPE, DESIGN, DISCIPLINE
& DRR-URBANISATION
Author/Title Type of Discipline Study type Research Type of Relation Specific urban
documen design disaster between population
t addressed urbanisation group
and disaster
Aryal – Disaster Journal Developmen Primary data collection Qualitativ Floods, Vulnerability Socioeconomi
vulnerability in article t studies (case studies) e landslides (of those c classes
Nepal young/elderly
/poor left in
rural areas
Aryal – The Journal Developmen General secondary data Mixed Storms, Risk Residents of
history of disaster article t studies analysis floods, mountain, Hill
incidents and landslides, and Terai
impacts in Nepal fires
1900 – 2005
Bhakta et al. – Independ Sociology Primary data collection Qualitativ Earthquake Vulnerability Residents of
Urban ritual ent (interviews) and e Lalitpur City
events and coping research conceptual overviews
with disaster risk report
Carpenter & Journal Developmen General secondary data Qualitativ Earthquake Risk Residents of
Grunewald – article t studies analysis and primary e the
Disaster data collection Kathmandu
preparedness in a (interviews) Valley
complex urban
system
Chaulagain et al. – Journal Environmen General secondary data Quantitat Earthquak Risk Residents of
Seismic risk article tal sciences analysis and exploratory ive e Nepal
assessment and quantitative analysis
hazard mapping in
Nepal
Dewan – Societal Journal Developmen General secondary data Qualitati Floods Vulnerability Residents of
impacts and article t studies analysis ve Nepal and
vulnerability to Bangladesh
floods in
Bangladesh &
Nepal
Jones et al. – Local Independ Developmen Primary data collection Qualitati Disasters Risk Residents of
level governance ent t studies (interviews) ve in general Dhankuta and
of risk and research Panchkhal
resilience in Nepal report
Peleg – Notes Journal Health Conceptual overview Qualitati Earthquak Vulnerability Nepal
from Nepal – Is article sciences ve es residents
there a better way
to provide SAR
Sudmeier et al. – Book Environmen Primary data collection Qualitati Droughts, Risk Nepal
Floods landslides chapter tal (case study) and ve floods, residents
& adaptation to studies/hum conceptual overview landslides
climate change in anities
Nepal

Thakur & Saito – Independ Urban Procedural proposal Mixed Earthquake Risk Nepal
Post earthquake ent planning/ residents
quick damage research developmen
inspection of report t studies
buildings in Nepal

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APPENDIX 16 NEPAL FRAMEWORK ANALYSIS – KEY EMERGING THEMES

AUTHOR/TITLE EDUCATION LOCAL GOVERNMENT COMMUNITY PREPAREDNESS

KNOWLEDGE
Aryal – Disaster Training/education of The importance of Lack of Increased sense of Case studies used
vulnerability in locals in preparing for local knowledge government community to reflect the
Nepal disasters being passed to support in amongst displaced detrimental effect
displaced relieving communities to of a lack of
individuals to vulnerability facilitate local preparedness for
reduce knowledge sharing disasters
vulnerability
Aryal – The history Understanding
of disaster history and
incidents and impacts of
impacts in Nepal disasters in Nepal
1900 – 2005 to better prepare
for future disasters
Bhakta et al. – Understanding of rituals Local knowledge Role of
Urban ritual and local knowledge and gained from rituals ritual/religion in
events and coping the role they can play in and religious building
with disaster risk disaster management by events in community and
policymakers heightening subsequent
individual resilience
resilience and
lowering
vulnerability
through access to
support and
resources
Carpenter & Looks at how Factors specific to
Grunewald – urban Nepal’s urban
Disaster development is settings that
preparedness in a driving risk, and would contribute
complex urban what governments to a preparedness
system and agencies to disasters
should be doing to
address the issue
Chaulagain et al. – Adequate education and The need to
Seismic risk understanding of seismic adequately
assessment and risk in order to use understand
hazard mapping in appropriate building seismic risk in
Nepal materials in construction specific regions in
regards to choice
of building
materials and
subsequent
structural integrity
Dewan – Societal Understanding/education Importance of The need for Integration of
impacts and of local knowledge in local knowledge heightened local knowledge
vulnerability to policy making in order to integrated with support from the and outside
floods in be adequately prepared outside support in government to support to
Bangladesh & for floods coping effectively relieve heighten
Nepal during floods vulnerability preparedness for
floods in Nepal
and Bangladesh
Jones et al. – Local Role of education in Community based The need for
level governance individual participation in disaster risk bottom-up
of risk and RRC groups reduction disaster policies
resilience in Nepal methods need to and increased
be embedded in community
local government involvement
structures to be
effective

119
Peleg – Notes Need to train locals Need for the SAR provided by The need to train
from Nepal – Is (especially in rural areas) government to community locals in SAR,
there a better way in first aid skills and fund the training members allow
to provide SAR search and rescue as it is of locals communities to
not feasible to rely on (especially in rural have adequate
USAR areas) in first aid training to help in
skills and search the aftermath of a
and rescue disaster
Sudmeier et al – Greater efforts need to
Floods landslides be made to educate
& adaptation to locals on climate change
climate change in and disaster knowledge
Nepal
Thakur & Saito – The need for a Training and
Post earthquake widespread and uniform framework to
quick damage method of assessing the adequately assess
inspection of structural integrity of the integrity of
buildings in Nepal buildings in urban areas buildings prior and
in the wake of natural post earthquakes
disasters (focusing on a
government funded
education of specific
individuals to carry out
this job)

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APPENDIX 17: EXECUTIVE SUMMARY OF SCOPING REVIEW

In recent decades the rate and extent of urbanisation has increased and these changes have
been strongly reflected in low and middle income countries, particularly from South and East
Asia. Most of the time this growth remains unplanned and has made the urban population
vulnerable to natural disasters. In addition, vulnerability is aggravated by other risk factors
among poor urban populations that include poverty, inadequate nutrition, illiteracy, and poor
water and sanitation.
This review aimed to answer the questions:
i. What is the impact of urbanisation on risk of, and vulnerability to, natural disasters?
ii. What are the effective approaches for reducing exposure of urban population to disaster
risks?
The aim was to better understand unanswered questions about the complex relationship
between urbanisation, natural disaster, risk and vulnerability. The project approach was
founded on the concept that risk arises out of the interface of the four intersecting domains
of urbanisation, natural disaster, vulnerability and risk reduction. Approaches that attempt to
modify or mitigate the exposure of urban populations to disaster risk will vary across all four
domains (see conceptual frame work and theory of change in page no 15 and 44 respectively).
This was a 2 stage review: stage 1 mapped out the extent and dispersion of literature on these
issues and based on these findings stage 2 review is planned to look more in depth and analyse
the interrelation of the urbanisation and natural disaster and the interventions / approaches
that influence changes.
In stage 1 scoping review the target population was the urban and peri-urban population
from low and middle income countries, all types of natural disaster were considered, any
programme and intervention implemented by governments, NGOs, international
organisations or donor agencies were included. The review included any type of comparison
reported and the major outcomes considered were “Risk of” and “vulnerability to” natural
disasters. However, the search included many other attributes of them like “resilience”,
“preparedness”, “disaster planning”, risk assessment, etc.
The stage 1 review showed that the number and extent of literature was from LMICs in South
and East Asia. Certainly the impact of large scale natural disasters will have a high impact on
populations living in such cities where both population growth and densities are higher than
other similar cities in other parts of the world as also supported from this scoping review.
There was also abundant literature on risk and vulnerability to disasters describing the wide
range of variables that determine the risk and vulnerability within specific urban settings.
Most studies covered the population as a whole, with only a few studies investigating
particular social group such as women, children or elderly populations. About 67% of the
publications were about three major natural hazards: flood, earthquake and tsunami in these
regions. Apart from population growth, climate change was studied in relationship to
exacerbating natural disasters in LMICs. These studies describe the magnitude of flood and
thermal extremes as a result of shifts in climatic conditions. The LMICs of the South Asian and

121
East Asian coastal regions have recorded unprecedented growth both in population and
economies. It is predicted that that the number of people living in the low-elevation coastal
zones as well as the number of people exposed to flooding from 1-in-100 year storm surge
events, is highest in Asian countries such as China, India, Bangladesh, Indonesia and Vietnam.
The Stage 2 review will be based on the outputs of Stage 1 (scoping review) and will synthesize
evidence of the relationships between variables of interest (risk and vulnerability), including
the analysis of outcomes and impact of interventions. This will assist in documenting the range
of risk mitigation interventions that have been evaluated or described and will contribute to
deriving lessons concerning their applicability to different contexts, especially those in South
Asia and East Asia. The PICO approach will not change from the stage 1, and in stage 2 we will
focus on all disaster types in South and East Asia LMIC countries. The review will not exclude
any particular disciplinary or methodological approaches. We intend to examine in detail all
studies with clear intervention, outcome and impact data. The stage 2 review will draw on the
literature identified in the mapping stage but will examine a subset of relevant materials in
more depth. Therefore, the stage 2 review will aim to assess the depth of disaster impact and
its relation to urbanisation and related risk, vulnerability and resilience among these identified
intervention, approach and policy related studies.
Framework analysis will initially be undertaken to describe in more detail the thematic and
sub-thematic issues of interest. Analysis will be data driven, interrogating the type and
strength of association between disasters, urbanisation and the outcomes of interest. We will
also evaluate the quality of studies, the range of outcomes and impacts and what influences
them; the strength of evidence; similarity or dissimilarity of outcomes in relation to context.
In addition, the stage 2 review will be aim to effectively disseminate the review findings in
keeping with current best practices. We will consider a range of questions, in relation to
contextualizing of the findings of the review on the drafted theory of change over time, and
will focus more attention on identifying the key contextual factors of interest, with particular
emphasis on Nepal and Bangladesh. We will draw out key implications and findings, especially
those of likely relevance to policymakers and future implementation, and will also consider
these in relation to a context analysis.

FINDINGS FROM THE SCOPING EXERCISE

The scoping review found a rich body of literature with a strong East and South Asian focus.
The literature has a substantive set of studies covering the environmental sciences as well as
the social and natural sciences. The studies used a variety of methods and were primarily
empirical in nature. The literature also investigated the consequences of disasters of
importance to the field of disaster risk management and reduction such as resilience, risk,
coping capacity and vulnerabilities.
There is a substantial body of literature focusing on the regions of East Asia (n=105) and South
Asia (n=87), followed by the Caribbean and Latin America. The East Asian body of literature is
composed predominantly of Chinese studies (n=53). South Asian literature is rich with
documentation from India (n=40) and Bangladesh (n=23).

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The literature demonstrated a broad interdisciplinary approach to understanding and
investigating urbanisation and disasters. There are a wide range of studies covering
environmental science and related subjects (n=157), followed by the social sciences (n=117),
urban planning (n=41) and the natural sciences (n=38).
The studies that have been reviewed used a wide variety of methodologies including
quantitative, qualitative and mixed methods. Among the design of studies, quantitative
methods (n=166) were used to a much greater extent than qualitative (n=59) or mixed
methods approaches (n=57). A sizeable proportion of the studies collected primary data
(n=124).
The review found a large body of literature focused on risk (n=208) and vulnerability to
disasters (n=178) describing the wide range of variables in specific urban settings that
influence these outcomes (risk and vulnerability). Descriptions of resilience referenced coping
capacities in terms of social, institutional and informational resources (Brecht et al., 2013).
In terms of vulnerability mapping, the review found a set of articles using GIS based mapping
and modelling (Apa et al., 2012; Armaş, 2012; Aryal, 2012; Aryal, 2014; Yong et al., 2001),
mathematical modelling (Brata et al., 2014; Chardon, 1999) and occasionally demographic
modelling specifically in relation to elderly people (Ardalan et al., 2010; Ardalan et al., 2011;
Chan and Griffiths, 2009). Social vulnerability was also modelled in some studies in terms of
economic loss and areas of habitation (Apa et al., 2012; Chardon, 1999; Zhang and You, 2014;
Zhou et al., 2014a; Zhou et al., 2014b).
The literature also included a set of studies on seismic risk assessments (Chaulagain et al.,
2015; Parvez, 2013; Yousefi and Taghikhany, 2014; Zobin and Ventura-Ramírez, 2004) and
studies that tested the use of other tools such as the Urban Risk Assessment tool (URA) or
mathematical models (Brody et al., 2013; Brody et al., 2015; Browning and Thomas, 2016;
Budiyono et al., 2015). Another observation was that the literature tended to group around
one specific extreme event (ASIA Tsunami 2007-08), geographic location (e.g. Pearl River
floods in China) or urban area (e.g. Shanghai or Kathmandu) (Chan et al., 2012; Chan et al.,
2013a; Chan et al., 2013b).
The impact of disasters in urban areas was assessed mostly in terms of economic loss (Bibbee
et al., 2000; Zoleta-Nantes, 2003), physical damage (Bono and Gutierrez, 2011; Bulut et al.,
2005; Chen and Yang, 2014; Shi and Cui, 2012; Yilmaz, 2004) or health hazards (Cerdá et al.,
2013; Cheng et al., 2013; Chinnarasri and Porkaew, 2015).
There were several resilience-related studies that described how urban communities coped
with disaster (Braun and Aßheuer, 2011; Carlin et al., 2014; Schaer, 2015). studies with a
resilience focus also presented theoretical case studies and modelling including the use of
DRM guidelines (Caddis et al., 2012), locating cities on floodplains (Chang et al., 2007;
Chatterjee, 2010) and community based approaches (Shakib et al., 2011; Siebeneck et al.,
2015; Zaré and Nazmazar, 2013; Zhang, 2012).
In our search we did not find any experimental or quasi experimental designs among the
studies. We identified very few interventions that explicitly set out to assess impact and

123
outcomes of DRM programmes or initiatives. When impact was assessed, it was based on
surveys or secondary data to compare conditions before and after the disaster. Intervention
studies looked at the feasibility and applicability of early warning systems in specific types of
disaster (Stankiewicz et al., 2013; Ye et al., 2012; Yin et al., 2010), used mathematical
modelling and its application as a case study (Cheng et al., 2012) or further analysed the
effectiveness of the political regime and public-private partnerships (Shankland and
Chambote, 2011).
The literature was comprised mostly of peer reviewed journal articles with limited reach to a
broader audience in particular policymakers or practitioners. However, it is evident that the
impact of natural disasters on urban populations has been studied across a diverse set of
disciplines and approaches. Even so, urbanisation’s impact and relationship with disaster is
still an emerging field and worthy of more in-depth investigation.

APPROACH FOR SCOPING EXERCISE AND STAGE 2 PROTOCOL

The purpose of this review was to explore and understand the complex relationships between
three main domains: urbanisation, natural disasters and vulnerability. The review adopted a
mixed systematic review process and was conducted in two stages. Stage 1 was composed of
a scoping review which mapped the nature and extent of the available literature and evidence
addressing the research questions. The review’s search strategy targeted a wide range of
literatures from diverse disciplinary perspectives as well as grey literature from key agency
websites. The review systematically searched for and identified relevant literature using a set
of key search terms. Search outputs were managed using EndNote (version 5) software. All
duplicate records were identified and excluded. Endnote libraries were then imported into
EPPI-Centre’s online review software, EPPI-Reviewer 4.0 (Thomas et al., 2010). EPPI-Reviewer
was used to organise and manage the screening and review, using agreed checklists and
templates, and to structure and record all review processes and analyses. The initial scoping
review has identified important clusters of literature that warrant deeper analysis within the
proposed Stage 2 review. This in-depth analysis will explore further the relationships and
interactions among the four domains of urbanisation, natural disaster, vulnerability and
resilience. The focus of Stage 2 will be a purposively selected subset of literature identified in
Stage 1 that potentially can provide information on best practices and effective approaches
for disaster risk reduction in urban areas, particularly in the context of Bangladesh and Nepal.

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APPENDIX 18: RISK AND VULNERABILITIES TO NATURAL DISASTER

Risk and vulnerabilities to Natural disaster

Author, Year and Type of
Country disaster Infrastructural hampers (Death/ loss of Properties/ Economic Social Health (Physical
livestock/ land/ houses) and mental)
Abdullah et al., 2015 Flood, storm Bangkok: Confirmed death 693 and missing 3. 4,086,138 Bangkok: 1.4 trillion N/A N/A
and flash households, 12.61 million hectares of farm land and 9,859 baht.
Bangkok, Thailand; flood, manufacturing plants affected. Manila: US$ 1.04 billion.
Manila, Philippines, typhoon Manila: Death 1,146 with 834 missing. 170,000+ people
Kualalumpur, moved to evacuation centres.
Malaysia Kuala Lumpur: N/A

Ahmed et al., 2015 Flood Roads destroyed and communication system hampered. Increase poverty and food Communication gaps Outbreak of
Death of domestic animals, submerging of cultivable lands. insecurity. increased between waterborne
Dhaka, Bangladesh About 50 million people affected and 1,600 died in 1988 relatives and diseases.
flood. neighbours.
Whole country remained under water for 65 days in 1998 People suffered
flood. from Post disaster
Flood 2004 affected 36 million people and caused 800 trauma.
deaths.
In 2007, 649 deaths, destruction of 85,000+ houses took
place.
Braun and Aßheuer, Flood Houses go under water and people leave their houses for Because of waterborne disease, N/A Waterborne
2011 safer shelter. 70% households lost their valuables during submerging of working place and disease was
flood. inability to reach at working place common but
Dhaka, Bangladesh Roads submerged with water and communication and hinders income generating people have
transportation system disrupts. activities for people and results limited scope to
Height of the water level causes flooding of the water supply economic hardship. People couldn't access medicine
(tube wells or water pipes) that results in contaminations of buy food and medicine as they and health service.
drinking water. didn't have savings or food storage. At least one family

125
 74% households lost their all member among
savings. 57% of households
got severely sick
during flood.
Nutrition cutback
was common as
90% household
forced to eat less
than normal time.
Bhat et al., 2013 Flood, In 2006, around 150 people were officially estimated as Industrial losses totalled 160 billion N/A N/A
coastal dead, unofficial estimates suggest death toll was more than rupees (around U$$ 3.5 billion),
Surat, India storms, 500. loss to the dam, flood
cyclones Industrial losses, loss to the dam, flood embankments, embankments, electricity
electricity and telephone lines destroyed. and telephone lines damage
totalled 25 billion rupees (US$ 544
million).
Slum dwellers and low income
populations residing in riverine
areas, new migrants faced greater
difficulties due to disruption to
their earnings.
Carcellar et al., 2011 Landslide Roads and communication disruptions. 38 billion Php (US $ 38 million) in N/A N/A
mudflow, total damage
Philippines Flash flood, 362 deaths and thousands missing in 2006 and 2007
fire and disasters in Lyete and Bicol region. 500 deaths and 261,335
typhoon morbidities in Iloilo city and 529 morbidities and hundreds
homeless in 2009 in Metro Manila

126
Carpenter and Earthquake 8,850 lives lost N/A N/A Death
Grünewald, 2015 Housing / lives / infrastructure/ communication hampered.
Kathmandu Valley,
Nepal

Chinnarasri and Flood N/A Broad, negative impact on all N/A N/A
Porkaew, 2015 sectors of Thailand’s economy,
including the agricultural and
Thailand industrial sectors, and on property
and public life, costing about $40
billion.
Dewan et al., 2012 Flood Housing, Communication, Health hampered. N/A N/A Outbreak of
Dhaka, Bangladesh 40% - 50% city areas covered with flood, loss of vegetation waterborne
38%, agricultural land 55%, wetlands 47%, water bodies 29% diseases
Water sanitation problem, solid waste disposal are major
problems for slum dwellers during flood.
Huong and Flood Cantho stands beside Mekong river delta and the rapid N/A N/A N/A
Pathirana, 2013 increase of population/densities, poor living conditions and
Can Tho city, poor quality of infrastructure cause the city’s vulnerability to
Vietnam
floods.
In 2008, out of 81 main roads in the centre of the city, 21
were flooded with more than 30 cm water level due to high
tide, and 10 due to heavy rainfall and again in 2009 heavy
rainfall caused inundation to the city.

Joerin et al., 2014 Flood, N/A N/A N/A N/A

Chennai, India cyclone

127
Jue et al., 2005 Flood N/A N/A N/A N/A
China
Khan, 2008 Flood, Loss of properties like crop land, damage of crops. N/A N/A Death of a lot of
Bangladesh cyclone Flood 2004 affected 54 districts out of 64 and about 33.6 people and
million people affected due to this. waterborne
disease.
Malalgoda et al., Flood, Flood 2011 affected Sri Lanka severely e.g. lives of many Tsunami 2004 destroyed N/A N/A
2013 tsunami people were disrupted (57 people were killed, around US$900 million worth of assets and
193,700 were affected) and numerous rice crops (35%) infrastructure in Sri Lanka.
Batticaloa, Sri Lanka destroyed.
The Indian Ocean tsunami of December 2004 caused the
death of 35,000 people. In addition, nearly one million
people (234,000 families) were affected in 13 districts.
Mulyani Sunarharum Flood N/A N/A N/A N/A
et al., 2014
Jakarta, Indonesia

Parvez, 2013 Earthquake Most of the houses are destroyed due to earthquake when N/A N/A N/A
India, Mountain belt structure is weak.

Peleg, 2015 Earthquake Heavy mass causalities, building collapsed N/A N/A N/A
Nepal

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Ramachandraiah, Flood, 1-3 Roads were blocked with waste. Loss of asset, housing materials. People had to Outbreak of
2011 October Lack of drinking water supply. Physical injuries, homelessness, evacuate homes waterborne
Andhra Pradesh, 2009 The total submerged area 271 to 284 metre contours deprive of supplies. without any diseases
India measured 11.56 KM or about 30% of the town areas preparation. No
affecting 42% of the population (~195000 people) and in all formal relief camps.
56.1% or 260000 people were somehow affected badly. Middle class could not
Exposure to bad water and sanitation conditions. join the relief queue.
Razafindrabe et al., Flood 1999 flood took 595 lives. Economic loss was measured more N/A Health disruptions
2014 Flood in 2006, snatched 105 lives. than 3,773 billion VND (approx. US due to poor
Danang City, Death of 163 people and missing of 11 people happened $194 million after 1999 flood. sanitation system.
Vietnam during typhoon Ketsana in September, 2009. Flood 2006 resulted in an economic
Poor infrastructures of drainage and sanitation system loss of 5314.80 billion VND.
increase the vulnerabilities of population during flood. Economic loss evaluated at US
$785 million during typhoon
Ketsana, 2009.
Households suffered a significant
decrease in income during and
after flood events (28% and 19%)
respectively
Rumbach, 2014 Flood Heavy rainfall causes flood and housing, drainage and roads Wage loss. N/A Inadequate
Kolkata, India in the slum settlements affect due to this. Price increases occur after disaster drainage and
The planned township areas were saved from flood. Only events because of crop destruction, sanitation system
people living around the city were affected by flood disruptions in transportation often results
frequently during rainy seasons. networks and people suffer a lot diseases not only
because of this. on children but
also on adults.
Sharma and Priya, Flood N/A N/A N/A N/A
2001
Patna, India

129
Sudmeier-Rieux et Flood, 1988 earthquake killed 138 people and injured 2,117. N/A N/A N/A
al., 2012 landslides damage to 2,500 buildings
Dharan, Nepal
Sudmeier-Rieux et Flood, The Dharan city of Nepal was severely damaged by the 1988 N/A N/A N/A
al., 2015 landslides, earthquake (6.8 on Richter scale), which killed 138 people,
earthquake injured 2,117 people and damaged 2,500 buildings.
Nepal, Vietnam September 2009, a school collapsed because of flooding
along Khahare Khola River, Nepal.
Surjan and Shaw, Flood 2005 Flood, cyclones, landslides, waterlogging causing collapse Loss of working days. N/A Breakout of
2009 households, loss of lives > 1000 people. waterborne
Mumbai, India Loss of property. diseases.
Tafti and Tomlinson, Bhuj Bhuj, a city with a population of Rental units accounted for 40% of N/A N/A
2013 earthquake around 130,000, approximately 7000 people, mostly the housing loss in the old urban
January26, inhabitants of the historic part of the city, died. fabric and tenants who lost their
Ahmedabad, India 2001 Nearly 50% of the historic part of the city was destroyed. houses in Bhuj were around 4000
Approximately 11,036 houses completely, and 27,617 households.
houses partially, collapsed in the city.
Taylor, 2015 Flood In 2007; 6,368 homes damaged in Solo. Economic loss was around US$ N/A N/A
Solo & Strenkali, 27,000,000 due to flood, 2007 in
Indonesia Solo.
Teets, 2009 Earthquake Death toll approximately 70,000. N/A N/A N/A
Sichuan province , 7,000 classrooms collapsed, approximately.
China
Theckethil, 2012 Earthquake, 150,000 homes damaged. Net economic cost estimated to be Social relation ruined. People were
January 26, 14,000 people died and 167,000 suffered injuries. US $ 5 billion. terribly shocked
Bhuj Township 2001 after the
Gujrat, India earthquake.
Excess number of
deaths and
injuries.

130
Thiruppugazh, 2008 Earthquake, Over 7000 villages, Ahmedabad city and 14 municipal towns N/A N/A N/A
January 26, were affected. In the urban areas affected by the earthquake
Ahmedabad, India 2001 26726 houses fully collapsed and 213,158 houses were
partially damaged.
70 multistoried buildings collapsed, 752 people died.
Thomas, 2015 Typhoon Houses like huts destroyed those were adjacent to the sea. N/A Displaced 4 million N/A
people (loss of family
Philippines members and
neighbours).
Yang et al., 2014 Earthquake In 2008, 7,967,000 buildings damaged. Direct economic losses reached Social relations Terribly shocked
China In 1st earthquake, 69227 died and in second earthquake 196 US$2174.77 hundred million ruined. during the 1st
died. hundred million. earthquake.
Beside this, excess
number of deaths
and injuries took
place during 1st
earthquake.
You et al., 2009 Earthquake This study investigated damages in four towns. The direct economic loss has been N/A People were
China 95% of its buildings collapsed in Qushan. 14 214 buildings in estimated at 5.27 billion euros. terribly shocked.
Leigu, 1306 buildings in Tongkou and 460 buildings in 26 916 people
Xiangquan collapsed. were injured.
About 15 000 people in Qushan, 607 in Leigu, 73 in Tongkou,
44 in Xiangquan died. More than 142 000 people were made
homeless.

Zope et al., 2015 Flood N/A N/A N/A N/A

Mumbai, India

131
Birkmann and Tsunami 30,000 deaths and 500,000 missing were measured. N/A N/A Death
Fernando, 2008 Women were more vulnerable during disaster. In Batticaloa,
males accounted for 44 per cent of the dead and missing,
Galle and Batticaloa, whereas females constituted 56 percent and in Galle: 35 per
Sri Lanka cent of the dead and missing were male, whereas 65 per
cent were female.
Houses that were within 100 metres from the sea were
damaged significantly.

132
APPENDIX 19: EFFECTIVE APPROACHES FOR REDUCING EXPOSURE OF URBAN POPULATION TO DISASTER RISK

Author, Year and Type of Effective approaches for reducing exposure of urban population to disaster risk
Country disaster
Intervention Approaches
(e.g. flood,
tsunami, Community participation (Community itself, Only government initiatives (relief, External Mixed Aim Outcome
earthquake Govt.,NGO,mixed) at least a community policy making) approach(Govt.,NGO,mi
etc.) component xed) no part of
community
Birkmann, 2008 Tsunami Community participation-gathering Govt initiative -to clearly identify the External aid To make Got a baseline need for
knowledge about natural hazards to protect "buffer zone" for reconstructing houses sustainable recovery of the two cities.
Galle and their lives from coastal hazards and to (including restrictions on reconstruction by The most vulnerable groups
Batticaloa, Sri address the vulnerable situation of chronic reconstruction, resettlement, early assessing revealed have been identified which
Lanka poverty by acquiring a legally accepted, warning, and the different and emerging will also be helpful to choose
permanent residence. compensation and financial support vulnerability intervention tools in future.
mechanisms).
Braun and Five basic livelihood assets (physical, Relief and shelter house. Government and NGO N/A Levels of social capital are
Aßheuer, 2011 Flood financial, human, social and natural capital) often provide relief (food the secret of slum dwellers to
were discussed for survival strategy. and medicine) at shelter cope with disaster.
Dhaka, Physical: technical infrastructure and centre during flood. Social capital comprises an
Bangladesh structural protection devices (raised plinth or important asset that
elevated door entries) against flood could be increases resilience and
used. improves the coping
People use coping measures such as blocking capacities of slum
the entry of the house with sandbags, households and their ability
positioning one’s personal belongings on to respond to external
stilts of bricks or hanging them under the shocks.
roof.
Financial: Though they have limited income
that can be used as savings they can access
their home at their birth places. It was found
some people take loans from local money
lenders with high interest whereas the
majority of them take from neighbours and

133
 relatives to buy food and medicines.
Human: Human capital should increase
through education as they can play role
during disaster with different ideas of
survival.
Social capital: good relations with neighbours
and relatives can often help during disaster
as people’s relation with those nearest is
good in slum area.
Natural: it’s not possible to use natural
capital (water bodies and land) in slum area
as ponds are contaminated.
Carcellar et al., Landslide From post disaster management to disaster Policy support, evaluation of national Alliance community To fulfil its mission Scaling up from post disaster
2011 mudflow, risk reduction (DRR) approach, NGO policy e.g., Republic Act 9729 (Climate based DRR to organise, build vulnerability management to
Flash flood, mediated community driven initiatives in change act of 2009), and Republic act implementation capacities, mobilize pre disaster risk reduction
Philippines fire, and disaster response and risk reduction like 1. 10121 (Philippine Disaster Risk (Homeless People's and network low (DRR) 1. Partnership with
typhoon Immediate house material loan 2. Mid- term reduction and Management act of federation Philippines, income local government,
transit housing 3. Long term -a land 2010) Inc or HPFPI, and The communities in 2. networking with
acquisition initiative Philippine Action for high risk towards international organisations,
Community-led Shelter community driven 3. partnerships with local
Initiative or PACSII and approaches to technical bodies, e.g.
with relief and support securing tenure, engineering college, 5.
from local Govt. upgrading, housing, organised urban poor under
and unified network 6. use of
disaster/climate indigenous knowledge, tools
change impact risk and practices, 7. Internal
reduction and financial resources
management

Carpenter, 2015 Earthquake N/A N/A N/A This study N/A

examines the
Kathmandu analytical utility of
Valley, Nepal recent research on
complex urban
systems in

134
 strengthening
scholarly
understanding of
urban disaster risk
management, and
outlines its
operational
relevance to
disaster
preparedness.
Chinnarasri and Flood N/A Thailand government agencies team N/A Water resource Sustainable national disaster
Porkaew, 2015 initiated a master plan and water management management plan focusing
resource management strategy. in crisis conditions. on water resource
Thailand Many government agencies collect management strategy.
rainfall and weather data from their Obtain the right model for
own stations. Web base data collection integrated water resource
by institution. management
Dewan et al., Flood N/A Not clear Not clear The goal of this
2012 study is to N/A
document the
Dhaka, environmental
Bangladesh problems that
result from the
physical
development of
DMA.
Joerin et al., Flood, N/A CDRI is a disaster index which was N/A N/A For making a disaster
2014 cyclone adopted in Chennai by local authorities resilient zone specific training
to see whether Chennai is disaster of local authorities is needed
Chennai, India resilience city or not. Through five who deal with planning and
dimensions (physical, social, economic, public works issues.
institutional, natural) it is observed
whether Chennai is disaster resilient
country or not.
In Chennai economic resilience is lower

135
 because of the high percentage of
urban poor and high unemployment
rates. Northern area also has potential
shocks.
Northern areas have lower resilience as
compared to other areas of the city
because of their economic, natural, and
social disadvantages (lower resilience).
The northern areas have lower natural
resilience as here heavy industries are
situated. It is also the site of waste
collection coal-fired power plant.
Khan, 2008 Flood, Engaged community to build up disaster Formal education about disaster NGOs contributed in to: safeguard lives Government and NGOs
cyclone preparedness and awareness; include preparedness. preparedness program and livelihoods, provide formal and non-
Bangladesh extraction of local knowledge such as coping by providing non-formal minimize potential formal education in disaster
strategies of local people, and development education. flood damage, preparedness and
of appropriate sanitation technology in the improve agro- management with a view to
coastal and flood-prone areas. ecological promoting a resilient and
conditions sustainable society. The
for enhanced crop formal education programs
production, meet are conducted at the primary
the needs of school and postgraduate
fisheries, levels.
navigation, NGOs have a relatively strong
communications program in non-formal
and public health, education.
promote
commerce and
industry, and
create flood-free
land for a
better living
environment. The
FAP also provides
guidelines for

136
 people’s
participation
and environmental
assessment.

Mulyani Flood N/A N/A Initiated a master plan Master planning Reframe planning decision-
Sunarharum et for flood and making to address risks of
al., 2014 mitigation that consists intergovernmental flood to increase community
Jakarta, of coordination to resilience.
Indonesia drainage & improvement implement flood
of retention of ponds, risk management
coastal defence and road strategies.
protection.

Parvez, 2013 Earthquake N/A N/A Different institutions and N/A It can mitigate the
India, Mountain individuals have carried earthquake result as Delhi,
belt out some basic work, Bangalore and other big and
particularly megacities are already lies
with regard to selection upon seismic zone.
of appropriate scales of
maps and development
to identify seismic zone
and microzone.

137
Ramachandraiah Flood, 1-3 Increased solidarity among sufferers and Local government and municipality, Relief services, water To report cause of Recommendations based on
, 2011 October those living in the temporary relief camps. Local health camp, water purification supplies by NGO and a flooding, the extent the reporting: 1. Crucial to
2009 tablets, emergency ambulance services, political party. of damage and disseminate prior
Andhra Pradesh, relief services. measure taken information and warnings 2.
India with Provide security
recommendations. arrangements 3. Public
address systems 4. Effective
communication (e.g. mobile
phone) 5. Basic provision of
supplies 6. Involving media
and civil society 7. Well
coordination among
providers with health, relief
or administrative issues 8. All
treatment should be with
fairness, equity and empathy.
Rumbach, 2014 Flood Building materials and construction codes (in City planning, building construction, N/A To report urban Recommendations: Planned
Kolkata, India city well to do persons maintained, outskirts infrastructure development disaster risks in township, underground
poor people could not) new town like Salt drainage, sewerage system
Lake and its nearby and elevated pumping
informal stations. High income and
settlements. high education.

138
Sharma and Flood N/A Policy regulations advocated to be N/A A brief case study No outcome mentioned.
Priya, 2001 implemented highlighted But, Strategies mentioned:
Patna, India strategies required 1. Residential density control
to mitigate natural 2. Increasing capacity of
disaster e.g. flood drainage
linked with urban 3. Zone wise flood plan
planning approach.
4. Management and
development of streets,
5. Building codes,
6. Government acquisitions,
7. Non structural measures,
8. Utilizing existing schemes

Surjan and Shaw, Flood 2005 ALM (The Advanced Locality Management) Mumbai Disaster Management Plan The Muinicap Effective This is a system which
2009 started since 1996, a community based (MDMP) Corporation of Greater management of encourages the citizen to
approach for effective management of civic Mumbai (MCGM) in civic services as take active role in monitoring
Mumbai, India services at the grass root level. Informal partnership with ALM grass root level. the civic administration at
voluntary bodies with participants from wide started "Good urban ALM every ward level. At the same
ranges of population. 783 ALM groups are governance campaign" committee plays a time, the efforts made by
functioning. (e.g. solid waste key role in collective action of citizens
management sensitizing the locally have resulted in
department) citizens to inculcate environmental risk reduction,
the spirit of civic particularly in the community
consciousness, and based waste management.
ensure their co-
operation to the
municipal
administration, to
implement various
projects and
programmes (CDP,
2006).

139
Sudmeier-Rieux, Flood, N/A Risk reduction through land-use N/A Reduce the Produce several scenarios of
et al., 2012 landslides planning, watershed management, negative flooding that can be useful
Dharan, Nepal zoning, and providing safer places for impacts of climate for local
marginalized populations. change. flood planning, as well as
Develop a FLOW-R software to model developing risk maps
debris flows, to be also used to model
floods
Sudmeier-Rieux, Flood, Risk sensitive land use planning, e.g. i. The Payment for ecosystem service (PES) Insurance policies Disaster risk Resilience building, capacity
et al., 2015 landslides, Guided Land Development management of upstream watershed reduction and building, risk shifting (to
Nepal, Vietnam earthquake ii. Land Pooling Acts are two public initiatives and relocation of housing, other prevention those who create risk)
iii. The 1997 Town Development Fund regulations

Tafti and Bhuj N/A Government initiatives N/A This study Higher income tenants got
Tomlinson, 2013 earthquake examined post- the benefits of the policies
Ahmedabad, January 26, disaster public but lower-income tenants
India 2001 policy responses faced problems including
for addressing long periods of living in
housing recovery of temporary
tenants in two housing or displacement.
earthquake-
affected cities of
Bhuj and Bam.
Taylor, 2015 Flood In Strenkali, Surabaya the local government 1. In Solo, households that owned N/A Decrease the N/A
stipulated that the community members houses in the riverbank areas would be vulnerability of the
Solo & Strenkali, move their homes back from the water’s given cash grants to buy new land population living in
Indonesia edge, install sanitation infrastructure and (equivalent to US$ 1,200), build new the river bank

140
 septic tanks for each home, and replant on houses (US$ 800) and contribute to
the riverbanks to prevent further erosion. building public infrastructure (US$ 150).
Nearly 1,000 houses have been
relocated to a safer place.
2. In Strenkali, Surabaya local
government initiated the process for
river dredge and other river
maintenance measures.
Theckethil, 2012 Earthquake, Partial, Not clear, state defined participation Multi-sectoral long term disaster Network and Provide effective Relocated households, Quake
January 26, through town planning meetings, consultant management through regulatory collaboration, management of proof households, Policy
Bhuj Township 2001 meetings, NGO forums, individual mechanisms; Development Plan (DP); Governance and disaster, mitigation support, Compensation,
Gujrat, India approaches Town Planning Schemes (TPS); building consultation, Community of effects of community engagement,
codes engagement, disaster, Improved QOL (Construction
Coordination, Multi administer, of houses); Improved
sectoral (central facilitate, livelihood (Health Education,
government backed with coordinate and handicrafts, legal aids)
state government) monitor emergency
negotiated with relief during and
international donors, after occurrence of
NGOs and private disasters, and
sectors. Approximately implement monitor
200 NGOs participated in and coordinate
the reconstruction and measures for
rehabilitation works. reconstruction and
rehabilitation in the
aftermath of
disaster in the state
of Gujarat (Gujarat
State Disaster
Management
Authority 2003 a)

141
 Yang et al., 2014 Earthquake Local residents and medical staff have been Set up a national and local emergency The China International To reduce the The number of deaths in
China well trained response planning system, stored Search and Rescue Team damage and second earthquake was 353
adequate emergency drugs and (CISAR), the Chinese Red improve times lesser and the
equipment at the emergency disaster Cross, the Chinese emergency economic loss was nearly 10
control headquarters for rapid Medical Association, the response services times lesser than 1st
transport. Regular training for Chinese PLA, and many earthquake
emergency professional medical rescue other organisations also
teams. organised emergency
rescue teams. Local
emergency rescue teams
also have been created
by local governments
using Chinese
medical and firefighting
institutions forces.
You et al., 2009 Earthquake Policy implication Community engagement External Support Decrease the In Qushan, 15 000 people
China Free medical service after earthquake vulnerability of the died (75 per cent of its
population population) and 95 per cent
of its buildings collapsed.
In Leigu, 607 people died and
14 214 buildings
Collapsed.
In Tongkou, 73 people died
and 1306 buildings collapsed.
In Xiangquan 44 people died
and 460 buildings collapsed.

142

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