City Resilience Framework - City Resilience Index April 2014
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City Resilience Index City Resilience Framework April 2014 © Ove Arup & Partners International Limited 2014
Acknowledgements
On behalf of the study team, I would like
to thank The Rockefeller Foundation for
giving Arup International Development the
opportunity to undertake this study. Our
special thanks go to Dr. Nancy Kete, Sundaa
Bridgett-Jones and Lily Fu for their support
throughout. We would also like to thank the
Rebuild by Design, 100 Resilient Cities –
pioneered by The Rockefeller Foundation
– and the Asian Cities Climate Change
Resilience Network teams. Their comments
and feedback have been very valuable to
our work.
Our particular thanks go to everyone who
contributed to the fieldwork, especially
our local partners: Fundación Alto Río
(Concepción, Chile); GIP Pacífico and
Findeter (Cali, Colombia); City of New
Orleans and the American Red Cross
Southeast Louisiana Chapter (USA); Arup
Cape Town (South Africa); TARU Leading
Edge (Surat, India); and Mercy Corps
(Semarang, Indonesia). Their assistance
during the fieldwork made a significant
contribution to the final quality and
outcomes of the study.
Jo da Silva
Director
Arup International Development
On behalf of Arup International
Development’s study team: Sachin Bhoite,
Kieran Birtill, Stephen Cook, Sandra Diaz,
Vicky Evans, Andrea Fernandez, Laura
Frost, Sam Kernaghan, Ashlee Loiacono,
Braulio Eduardo Morera, Geoffrey Morgan,
Elizabeth Parker, Jo da Silva, Samantha
Stratton-Short, Flora Tonking.
Graphic design: Charlotte Svensson.
Unless specified, all images are copyright
Arup. (Front cover)
Cali: Centro
Administrativo
Municipal
© Ove Arup & Partners International Limited 2014
Foreword
In 1958, Jane Jacobs, a community activist, We found potential partners ready to
received a Rockefeller Foundation grant jump into the metrics and indicators, but
to expand upon her ideas about how a city few with the experience to work with us
should look, feel, and work. The book she to understand what does and does not
published three years later − The Death and contribute to urban resilience. We risked
Life of Great American Cities − transformed investing in an index that measured and
how city dwellers, urban academics and compared cities based on available data,
policy-makers think about cities and urban but did not necessarily help cities better
planning. Jacobs challenged the prevailing understand and assess their own resilience.
assumptions of what makes a city thrive.
Over the past five decades, the values and We found perspectives were siloed, shaped
ideas put forward by Jacobs and others have by experience and expertise in one or
been profoundly important as questions another aspect of resilience, disaster risk
of identity, voice, inclusion, access and reduction, infrastructure resilience, climate
opportunity have been negotiated in the change, national security or business
context of dynamic urban growth and continuity. What Arup has been able to
globalisation. bring is thought leadership and the capacity
to create a comprehensive framework that
This legacy of progressive urban thinking reflects reality. A city’s resilience depends
becomes even more crucial as we look on its physical assets as well as its policies,
to the future. Just as cities are hubs social capital and institutions.
for innovations and investments that
expand opportunities, they are also living This report presents the inclusive
laboratories forced to confront challenges framework for articulating city resilience
of increasing complexity. Indeed, the role of that the Foundation was looking for, to
cities has become central in debates around underpin the City Resilience Index. It has
our planetary boundaries, economic futures, already proven useful in the agenda-setting
social stability and climate change. What workshops in cities across the globe that
and who makes a city resilient – and not are participating in the 100 Resilient Cities
just liveable now or sustainable for the long Challenge. These workshops, in turn, have
term – has become an increasingly critical helped and will continue to help shape the
question, one we set out to answer in late framework and contribute to the final phase,
2012 with our partners at Arup through the developing the indicators and variables that
creation of a City Resilience Index. will comprise the City Resilience Index.
The Rockefeller Foundation has been This framework will form the basis of a tool
pioneering work on climate resilience in that should enable all of us interested in
both rural and urban regions for more than city resilience to convene around a common
a decade. By 2012, the idea of resilience as understanding of that idea, and begin to
the critical lens through which to consider ‘baseline’ what matters most for making
not only climate change, but also disaster cities more resilient. Both the framework
risk reduction more generally, including and the index are intended to facilitate a
financial shocks, terrorism and slow-moving process of engagement with and within
chronic stresses, was gaining traction cities that generates dialogue and deeper
globally. But, producing a meaningful index understanding. Ultimately, this will lead
for something as complex as the resilience to new ideas and opportunities to engage
of a city is fraught with reputational, new actors in civil society, government and
conceptual and execution risk. We stumbled business on what makes a city resilient.
again and again on major conceptual and
practical challenges.
Dr. Nancy Kete
Managing Director
The Rockefeller Foundation
City Resilience Framework - The Rockefeller Foundation | Arup 1
“In order to get a grip on it, one must be able to relate resilience to other properties that one has some means of ascertaining, through observation.” Martin-Breen & Andries (2011) Resilience: A literature review. The Rockefeller Foundation: New York City, p. 11 2 City Resilience Framework - The Rockefeller Foundation | Arup
Understanding city resilience
“By April 2014, to articulate
urban resilience in a measurable,
evidence-based and accessible
way that can inform urban
planning, practice, and investment
patterns which better enable
urban communities (e.g. poor and
vulnerable, businesses, coastal) to
survive and thrive multiple shocks
and stresses.”
Opportunity statement (Rockefeller
Grantee Workshop, New York City,
February 2013)
Why city resilience? primary audience for this tool is municipal
governments. But, the framework,
As the 21st century unfolds, an increasing indicators and variables are also intended to
majority of the world’s population will support dialogue between other stakeholders
live in cities. Human wellbeing in cities who contribute to building more resilient
relies on a complex web of interconnected cities globally.
institutions, infrastructure and information.
People are drawn to cities as centres
of economic activity, opportunity and What is city resilience?
innovation. But cities are also places where
stresses accumulate or sudden shocks Definition | City resilience describes
occur that may result in social breakdown, the capacity of cities to function, so that
physical collapse or economic deprivation. the people living and working in cities
That is, unless a city is resilient. – particularly the poor and vulnerable –
survive and thrive no matter what stresses or
Cities have always faced risks, and many shocks they encounter.
cities that have existed for centuries have
demonstrated their resilience in the face Resilience is a term that emerged from the
of resource shortages, natural hazards, field of ecology in the 1970s, to describe
and conflict. In the 21st century, global the capacity of a system to maintain
pressures that play out at a city scale − such or recover functionality in the event of
as climate change, disease pandemics, disruption or disturbance. It is applicable
economic fluctuations, and terrorism − pose to cities because they are complex systems
new challenges. The scale of urban risk that are constantly adapting to changing
is increasing due to the number of people circumstances. The notion of a resilient
living in cities. Risk is also increasingly city becomes conceptually relevant when
unpredictable due to the complexity of city chronic stresses or sudden shocks threaten
systems and the uncertainty associated with widespread disruption or the collapse of
many hazards – notably climate change. physical or social systems. The conceptual
limitation of resilience is that it does not
Risk assessments and measures to reduce necessarily account for the power dynamics
specific foreseeable risks will continue to that are inherent in the way cities function
play an important role in urban planning. and cope with disruptions.
In addition, cities need to ensure that their
development strategies and investment In the context of cities, resilience has helped
decisions enhance, rather than undermine, to bridge the gap between disaster risk
the city’s resilience. If governments, donors, reduction and climate change adaptation.
investors, policy-makers, and the private It moves away from traditional disaster
sector are to collectively support and foster risk management, which is founded on risk
more resilient cities, there needs to be a assessments that relate to specific hazards.
common understanding of what constitutes Instead, it accepts the possibility that a
a resilient city and how it can be achieved. wide range of disruptive events – both
stresses and shocks – may occur but are not
The City Resilience Framework responds to necessarily predictable. Resilience focuses
this challenge by providing an accessible, on enhancing the performance of a system
evidence-based articulation of city in the face of multiple hazards, rather than
resilience. Over the coming months, it will preventing or mitigating the loss of assets
be further developed to create the City due to specific events.
Resilience Index, which will introduce
variables that provide a robust basis for (Image opposite)
measuring resilience at the city scale. The Area of redevelopment in the Silo District, Cape Town.
City Resilience Framework - The Rockefeller Foundation | Arup 3
Surat Concepción New Orleans Semarang Cali
© Municipality of Concepción
Learning from literature Learning from case studies Learning from cities
Approaches | Various approaches have been Functions and failure | A performance- Fieldwork | To ensure the framework
taken to framing or assessing resilience. based approach, which defines resilience is widely applicable and grounded in the
They focus either on urban assets or systems, in terms of a city’s ability to fulfil and experiences of cities, the second stage of
and, to varying degrees, consider man-made sustain its core functions, offers a more research involved fieldwork in six cities:
infrastructure, the natural environment, urban comprehensive and holistic approach. As Cali, Colombia; Concepción, Chile; New
management and human behaviour. Asset- a city’s functions rely on a combination Orleans, USA; Cape Town, South Africa;
based approaches tend to focus on physical of assets, systems, practices and Surat, India; and Semarang, Indonesia.
assets, rather than considering intangible actions undertaken by multiple actors, These cities were selected as they had either
assets that influence human behaviour, such as a performance-based approach has recently experienced a major shock or are
culture, social networks and knowledge. They greater potential to address questions of suffering chronic stresses, and as a group
neglect the role that assets play in city systems, interdependency, power dynamics and scale. are geographically diverse.
and, therefore, overlook the importance of
assets outside the city boundary; for example, a Based on the literature review, a draft The primary purpose of the fieldwork was
reservoir that may be a critical part of the water hypothesis was developed which proposed to understand what contributes to resilience
supply or flood management system. that urban resilience could be framed in in cities, and how resilience is understood
relation to seven critical functions of a from the perspective of different city
System-based approaches align more closely city. This was tested through a desk-based stakeholder groups in different contexts. In
with the concept of resilience, and the analysis of the ‘factors’ of resilience each city, we carried out workshops, focus
long-standing notion of cities as ‘systems of identified from more than 150 sources, groups and key informant interviews with
systems’. Social systems determine human which examined cities experiencing shocks people from the municipal government,
behaviour, which is also influenced by physical or stresses, together with recent guidance on utility providers, business and civil society.
systems in the urban environment. Various urban resilience. Across the six cities, we collected data from
approaches exist, but they mostly examine the 450 consultees and identified 1546 factors.
resilience of individual sub-systems rather than This analysis resulted in a refined list of Factors are defined as things (physical)
attempting to consider the resilience of the city eight city functions that are critical to or practices/procedures or behaviours
as a system in itself. This promotes a sectoral resilience. The functions propose that (non-physical) that, in the opinion of the
approach and means that interdependencies a resilient city: delivers basic needs; consultees, contribute to the resilience of
between different systems at different scales, safeguards human life; protects, maintains their cities.
and the governing structures that influence the and enhances assets; facilitates human
way systems work, are not easily considered. relationships and identity; promotes A detailed analysis of the factors identified
knowledge; defends the rule of law, justice 12 key themes: essential needs; health
Finally, empirical evidence throughout the and equity; supports livelihoods; stimulates management; livelihood support; law
literature suggests that urban systems that economic prosperity. The city’s ability to enforcement; social harmonisation;
exhibit particular qualities (or characteristics) perform these functions determines whether information and knowledge management;
are more likely to be resilient. The seven the city is resilient or not. Resilience capacity and coordination; critical
qualities summarised opposite are derived could be perceived as good health, a infrastructure management; environmental
from published literature, including the set of safe environment, social harmony and management; urban strategy and planning;
characteristics developed previously by Arup prosperity. Conversely, a city that is not economic sustainability; accessibility. These
and the Institute for Social and Environmental resilient would be identified by ill-health or themes represent what the city stakeholders
Transition, as used by the Asian Cities Climate insecurity, an unsafe environment, conflict perceived to be the key city functions
Change Resilience Network. These qualities and deprivation. relevant to improving resilience. They
apply at a city scale and to individual systems. map very closely to the functions that were
derived from the desk-top analysis, with the
We concluded that what was missing is a following exceptions:
comprehensive, holistic framework that
combines the physical aspects of cities with Infrastructure + environment | Physical
the less tangible aspects associated with assets were least mentioned by consultees
human behaviour; that is relevant in the in the field, whereas they feature very
context of economic, physical and social strongly in the literature review. In the
disruption; and that applies at the city scale fieldwork research, emphasis was placed on
rather than to individual systems within a city. proactive management and maintenance of
Finally, it needs to incorporate the qualities infrastructure and the environment, rather
that describe a resilient city (or system).
4 City Resilience Framework - The Rockefeller Foundation | Arup
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than its presence. Consultees also talked resilient systems
about connecting people and enabling
flows of information, goods, and services Reflective Resourceful
as a result of integrated transport and Reflective systems are accepting of the Resourcefulness implies that people and
communications infrastructure. inherent and ever-increasing uncertainty institutions are able to rapidly find different
and change in today’s world. They have ways to achieve their goals or meet their
Two new aspects of resilience were mechanisms to continuously evolve, and needs during a shock or when under stress.
identified: will modify standards or norms based on This may include investing in capacity to
emerging evidence, rather than seeking anticipate future conditions, set priorities,
Leadership + coordination | Consultees permanent solutions based on the status quo. and respond, for example, by mobilising
emphasised the critical importance of As a result, people and institutions examine and coordinating wider human, financial
leadership, in the form of a committed city and systematically learn from their past and physical resources. Resourcefulness
government that takes decisions on the basis experiences, and leverage this learning to is instrumental to a city’s ability to restore
of sound evidence; engages with business, inform future decision-making. functionality of critical systems, potentially
citizens and civil society groups; and aligns under severely constrained conditions.
with other governing bodies at the regional Robust
and national level. Robust systems include well-conceived, Inclusive
constructed and managed physical assets, Inclusion emphasises the need for
Urban planning + strategy | Consultees so that they can withstand the impacts of broad consultation and engagement of
proposed that cities should have a holistic hazard events without significant damage or communities, including the most vulnerable
cross-sectoral city vision, strategy or loss of function. Robust design anticipates groups. Addressing the shocks or stresses
plan underpinned by appropriate data and potential failures in systems, making faced by one sector, location, or community
delivered via policy, regulations, standards provision to ensure failure is predictable, in isolation of others is an anathema to the
and codes. safe, and not disproportionate to the cause. notion of resilience. An inclusive approach
Over-reliance on a single asset, cascading contributes to a sense of shared ownership
Every city perceived resilience-building to failure and design thresholds that might or a joint vision to build city resilience.
be an integrated, ongoing process involving lead to catastrophic collapse if exceeded are
a multitude of actions at different scales. actively avoided. Integrated
Across the six cities, there was a clear Integration and alignment between city
distinction between those cities which had Redundant systems promotes consistency in decision-
experienced shocks, and those which had Redundancy refers to spare capacity making and ensures that all investments are
not. Different groups within the same city purposely created within systems so mutually supportive to a common outcome.
had different perspectives on, and priorities that they can accommodate disruption, Integration is evident within and between
for, what makes their city resilient. This extreme pressures or surges in demand. It resilient systems, and across different scales
highlights the importance of inclusive includes diversity: the presence of multiple of their operation. Exchange of information
consultation in resilience planning. ways to achieve a given need or fulfil a between systems enables them to function
Further research is needed to specifically particular function. Examples include collectively and respond rapidly through
understand the factors that contribute to the distributed infrastructure networks and shorter feedback loops throughout the city.
resilience of lower income groups. Our resource reserves. Redundancies should be
research suggested that their concerns and intentional, cost-effective and prioritised
priorities were very different to those of the at a city-wide scale, and should not be an
government and the private sector. externality of inefficient design.
Flexible
Flexibility implies that systems can change,
evolve and adapt in response to changing
circumstances. This may favour decentralised
Further information on our journey to understand city
resilience is captured in the research reports: and modular approaches to infrastructure or
ecosystem management. Flexibility can be
• City Resilience Index: Research Report Volume I: Desk achieved through the introduction of new
Study (Arup, April 2014)
• City Resilience Index: Research Report Volume II: knowledge and technologies, as needed. It
Fieldwork and Primary Data Analysis (Arup, April 2014) also means considering and incorporating
These are available on request - see back cover for indigenous or traditional knowledge and
contact information. practices in new ways.
City Resilience Framework - The Rockefeller Foundation | Arup 5
6 City Resilience Framework - The Rockefeller Foundation | Arup
City Resilience Framework
Structure of the
City Resilience Index
Every city is unique. The way Categories Indicators
resilience manifests itself plays
out differently in different places.
The City Resilience Framework
4 12
provides a lens through which Sub-indicators
the complexity of cities and the
numerous factors that contribute
to a city’s resilience can be
48-54
understood. It comprises 12 key Variables
indicators that describe the
fundamental attributes of a resilient
city.
130-150
A resilient city is a city where there is or 7. Reduced physical exposure and
are… vulnerability
Indicated by environmental stewardship;
1. Minimal human vulnerability appropriate infrastructure; effective land
Indicated by the extent to which everyone’s use planning; and enforcement of planning
basic needs are met. regulations.
2. Diverse livelihoods and employment 8. Continuity of critical services
Facilitated by access to finance, ability to Indicated by diverse provision and active
accrue savings, skills training, business management; maintenance of ecosystems and
support and social welfare. infrastructure; and contingency planning
3. Adequate safeguards to human life and 9. Reliable communications and mobility
health Indicated by diverse and affordable multi-
Relying on integrated health facilities modal transport systems and information and
and services, and responsive emergency communication technology (ICT) networks;
services. and contingency planning.
4. Collective identity and mutual support 10. Effective leadership and management
Observed as active community engagement, Involving government, business and civil
strong social networks and social society, and indicated by trusted individuals;
integration. multi-stakeholder consultation; and evidence-
based decision-making.
5. Social stability and security
Including law enforcement, crime 11. Empowered stakeholders
prevention, justice, and emergency Indicated by education for all, and access
management. to up-to-date information and knowledge
to enable people and organisations to take
6. Availability of financial resources and appropriate action.
contingency funds
Observed as sound financial management, 12. Integrated development planning
diverse revenue streams, the ability to Indicated by the presence of a city vision; an
attract business investment, adequate integrated development strategy; and plans that
investment, and emergency funds. are regularly reviewed and updated by cross-
departmental working groups.
(Image across)
View of Concepción, Chile.
City Resilience Framework - The Rockefeller Foundation | Arup 7
Categories
Indicators
Qualities
Qualities
Categories Indicators Qualities
The 12 indicators fall into four categories: The relative importance of the 12 indicators The indicators are complemented by
the health and wellbeing of individuals is likely to depend on the urban context and qualities that distinguish a resilient city from
(people); infrastructure & environment the challenges a city faces. However, our one that is simply liveable, sustainable or
(place); economy and society (organisation); research tells us that, generally, these factors prosperous. These qualities are considered
and, finally, leadership and strategy are what matter most when a city faces a to be important in preventing breakdown or
(knowledge). For each, it is possible to wide range of chronic problems or a sudden failure; or enabling appropriate and timely
envisage a best case which represents catastrophe. They represent the backbone of action to be taken. They can be observed
a resilient city, and a worst case which a resilient city. They are what enable people in relation to the various assets, systems,
equates to breakdown or collapse. A city to survive and thrive and businesses to behaviours and practices that collectively
characterised by poverty, social conflict, prosper despite adverse circumstances. contribute to achieving the 12 outcomes (or
poor quality infrastructure and weak indicators). For example, health services
governance is not resilient. This is evident The twelve indicators provide a holistic that are flexible can reallocate staff to deal
in Port au Prince, Haiti, where recovery articulation of resilience which equates to with an outbreak of disease. Protective
following the devastation caused by an the elements of a city’s immune system. infrastructure that is robust will not fail
earthquake on 12 January 2010 has proven A weakness in one area may compromise catastrophically when design thresholds are
particularly challenging. the city’s resilience overall, unless it is exceeded. Energy systems with redundancy
compensated for by strength elsewhere. In can accommodate surges in demand or
The categories can be used to explain New Guangzhou, China, public squares were disruption to supply networks. Planning
York City’s resilience, as demonstrated redesigned to encourage social interaction processes that are reflective are better placed
following Superstorm Sandy in 2012, and, between migrant workers as part of an to respond to changing circumstances.
previously, after the 9/11 terrorist attack integrated approach to urban planning. Families that are resourceful will have put
in 2001. This was due to the city’s relative In Surat, India, there has been substantial aside savings or invested in insurance. Early
prosperity, but also to collective identity investment in health services to offset the warning systems that are inclusive will
and effective city leadership. These factors lack of family support and social networks minimise loss of life and property.
meant that people were willing to help each among migrant workers.
other and unite around the common goal of City resilience is complex. The three
getting the city back to normal as quickly The indicators are performance indicators; layers of the City Resilience Framework
as possible. Emergency plans were in place they describe the outcome of actions to – categories, indicators and qualities –
that meant that urban systems and services build resilience, not the actions themselves. each contribute to a richer articulation of
were rapidly reinstated and civil order was This acknowledges that resilience results resilience. The framework can be used
maintained. from individual and collective action to facilitate a common understanding of
at various levels, delivered by multiple resilience amongst diverse stakeholders. It
Wealthier cities are not necessarily more stakeholders ranging from households to can also be used to identify where there are
resilient, as demonstrated by the decline municipal government. In Cape Town, critical gaps, where action and investment
of the US city of Detroit, which became South Africa, emergency response in some to build resilience will be most effective,
overly dependent on a single industry, or the townships has fallen to community groups, or where deeper analysis or understanding
flooding which brought Bangkok, Thailand, as the city police force is unwilling to is required. The final layer will be the
to a standstill in 2010, affecting supply operate in these areas due to concerns for variables and metrics that result in the City
chains globally. Conversely, relatively poor their safety. In the Philippines, the efficacy Resilience Index. This will enable cities to
cities can make choices that build resilience. of a community-based early warning system carry out an objective assessment of their
Gorakhpur, India, is working to build in Metro Manila has been strengthened resilience and measure progress against an
resilience at the ward level in response to through access to data and knowledge as a initial baseline.
annual waterlogging in poorer parts of the result of a partnership between a local non-
city. By improving solid waste management governmental agency and the university.
practices to unblock drains, and increasing
drainage of waterlogged areas, the city
has reduced incidences of diseases such
as malaria and Japanese encephalitis,
which are spread by vectors that breed in
waterlogged areas.
8 City Resilience Framework - The Rockefeller Foundation | Arup“Resilience is based on the shifting relationship between scales, and between
autonomy on the one hand and connectivity on the other.”
Allan, P. & Bryant, M. (2011) ‘Resilience as a framework for urbanism and recovery’. Journal of Landscape Architecture 6(2), p. 43
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City Resilience Framework - The Rockefeller Foundation | Arup 92. Diverse livelihoods and 3. Adequate safeguards to human
employment life and health
This is facilitated by access to finance, This relies on integrated health facilities
1. Minimal human vulnerability ability to accrue savings, skills training, and services, and responsive emergency
business support, and social welfare. services.
This relates to the extent to which Diverse livelihood opportunities and Health systems are critical to the day-to-
everyone’s basic needs are met. support mechanisms allow citizens to day prevention of illness and the spread of
Minimising underlying human vulnerabilities proactively respond to changing conditions disease, as well as protecting the population
enables individuals and households to achieve within their city without undermining their during emergencies. They comprise a
a standard of living which goes beyond wellbeing. Access to finance, skills training diverse suite of practices and infrastructure,
mere survival. A basic level of wellbeing and business support enables individuals which help to maintain public health and
also allows people to deal with unforeseen to pursue a range of options to secure the treat chronic and acute health problems.
circumstances. This is only possible once critical assets necessary to meet their basic
their physiological needs are met through a needs. Long-term, secure livelihoods allow Health services encompass a variety of
basic level of provision of food, water and people to accrue personal savings that will practices, including: education; sanitation;
sanitation, energy and shelter. support their development, as well as their epidemiological surveillance; vaccination;
survival during times of crisis. and provision of healthcare services. These
The focus of this indicator is on providing are focused on ensuring both physical and
an adequate and dependable supply of Mechanisms through which diverse mental health. Accessible and affordable
essential services to a city’s whole population. livelihood and employment opportunities day-to-day individual healthcare, as well as
Access to shelter and food – particularly for can be generated include training and skills appropriate population-based interventions
vulnerable groups – as well as sufficient, safe, development, microfinance, incentive (i.e. targeted at the community or city level),
and reliable citywide water, sanitation and and innovation programmes, as well as are key features of a functioning city health
energy networks are key to achieving this a living wage. Financial resources for system.
goal. Evidence from cities suggests that the business development and incentives
affordability of these services is also critical for innovation allow individuals to seek Measures to address injuries and addiction
to ensuring the whole population has daily diverse employment options during times of are also important to reduce the burden
access, including during times of disruption. economic constraint or change. Contingency of ill-health in urban settings. Effective,
measures, such as insurance and social inclusive and well-prepared medical staff
The robustness of essential city networks welfare, contribute to supporting households and procedures ensure that all individuals
becomes particularly important in severe through challenging circumstances. have access to health services before, as
environmental events. For example: electricity well as during, emergencies. Responsive
power lines may be damaged by storms. An inclusive approach to livelihoods emergency services provide surge capacity
If failure occurs, resourceful city utility ensures that all citizens in a city have to support peak demand during a crisis.
companies are able to respond quickly in line unrestricted access to legitimate In order to achieve the above, appropriate
with coordinated and pre-prepared emergency occupations, regardless of race, ethnicity, health infrastructure is critical.
plans. Inclusive plans are also essential gender or sexual orientation. A range of
to ensure that all communities receive a diverse (redundant) small, medium and Reflective learning and future planning
minimum supply of basic assets, notably large businesses in different economic ensure that public health practices − such
water and food, particularly in extreme sectors helps people to access job as prevention through education − are
circumstances. opportunities, even during challenging appropriate for the social and physical
macro-economic circumstances. In the context of a given city. Services or
Specific sub-indicators that underpin this long term, microfinance, savings, training, facilities that target vulnerable groups
indicator area include: Food; Water and business support and social welfare form a ensure that preventive and responsive
sanitation; Energy; Housing. safety net that enables people to be flexible strategies are inclusive and able to reach
during times of stress. the entire population. In emergencies, a
diverse network of medical practitioners
Specific sub-indicators that underpin and facilities throughout the city ensures
this indicator area include: Livelihood the availability of additional resources
opportunities; Skills and training; (redundancy) that can be deployed
Development and innovation; Access to immediately wherever they are needed.
financial assistance.
Specific sub-indicators that underpin
this indicator area include: Public health
Health & management; Access to affordable
health services; Emergency facilities and
wellbeing practitioners.
10 City Resilience Framework - The Rockefeller Foundation | ArupEconomy &
society
6. Availability of financial
resources and contingency funds
5. Social stability and security This is observed in sound management
of city finances, diverse revenue streams,
This includes law enforcement, crime and the ability to attract business
prevention, justice, and emergency investment, allocate capital, and build
management. emergency funds.
4. Collective identity and mutual
support A robust economic system is critical to
A comprehensive and contextually sustaining the investment that a city needs
This is observed as active community appropriate approach to law enforcement to maintain its infrastructure and provide
engagement, strong social networks and facilitates the reduction and prevention of for its communities. It helps to create
social integration.
crime and corruption in a city. By instituting contingency funds that both the private
a transparent justice system based on ethical and public sectors can use to respond to
Communities that are active, appropriately principles, cities can uphold the rule of emergencies and unforeseen events. As a
supported by the city government and law and promote citizenship in daily life. result, cities are better able to respond to
well-connected with one another contribute These norms are critical to maintaining changing economic conditions and pursue
to the bottom-up creation of a city with a order during times of stress. Well planned long-term prosperity.
strong identity and culture. This enables and resourced law enforcement facilitates
individuals, communities and the city peaceful recovery, and ensures a healthy A sustainable city economy is developed by
government to trust and support each other, population by reducing crime-related injury, aligning fiscal procedures in government,
and face unforeseen circumstances together fatality and stress. and the ability of the private sector to
without civil unrest or violence. function despite shocks and stresses. A
An integrated approach to law enforcement careful structuring of city budgets will
Creating cohesive cities has both social combines deterrents with effective policing, consider the availability of funds to
and physical dimensions. Reinforcing emergency capacity, a transparent judicial regularly invest in infrastructure and to
local identity and culture contributes to system, and measures to reduce corruption. respond to emergencies. This is supported
positive relationships between individuals An effective judicial system promotes civic by a robust revenue base, supplemented
while reinforcing their collective ability to education as a preventive measure, as well by the city’s ability to attract inward
improve the environment where they live, as responsive action through fair justice. investment.
work, create and play. These relationships Sufficiently resourced policing practices
are supported by a number of practices, that promote safety and security are a The private sector has a complementary
including social networks and community feature of daily life in a resilient city, and responsibility to develop business
organisations, artistic expression and the continue during times of unrest. Trust and continuity plans to ensure that businesses
preservation of cultural heritage, including transparency are identified as key attributes can also function during, and recover
religion, language and traditions. Ideally, of policing, which can be achieved by from, emergencies. City government can
these practices are underpinned by spatial reducing corruption and by involving contribute to the sustainability of private
interventions that shape the places where other relevant actors in law enforcement, economic activities by empowering
communities develop and connect. such as community leaders. Trust in city different sectors within the economy and
Provision of communal facilities, public authorities and legal institutions is achieved strengthening trade relationships beyond
spaces and physical accessibility can help to by appropriate enforcement of laws and the city.
strengthen community cohesion and avoid avoiding discrimination or violence in law
isolation. enforcement. Redundancy (diversity) and resourcefulness
are identified as key qualities for a healthy
Inclusivity is promoted by community Laws are upheld by resourceful and city economy. A diverse economy can
participation. For example: processes that responsive systems of policing, which absorb the impacts of sector-based shocks
encourage civic engagement in planning and actively involve city agencies, businesses without major impact on the city’s revenue
decision-making processes. Social practices and civil society. Social stability and streams. Resilient cities are also resourceful,
are reinforced by physical interventions security is also facilitated by inclusive optimising revenues and expenditures, and
that foster resourcefulness and integration, public space design, which helps to avoid leveraging funds from non-government and
such as the provision of communal meeting creating places where crime may proliferate, business sources where appropriate. For
places; and the development of mixed while maximising the safety and security of example: public-private partnerships, direct
neighbourhoods that offer a range of individuals. investment and grant funding.
housing opportunities to different social/
income groups. Specific sub-indicators that underpin this Specific sub-indicators that underpin
indicator area include: Deterrents to crime; this indicator area include: Economic
Specific sub-indicators that underpin this Corruption reduction; Policing and justice; structure; Inward investment; Integration
indicator area include: Community and Approach to law enforcement. with regional and global economy;
civic participation; Social relationships Business continuity planning; Sound fiscal
and networks; Local identity and culture; management.
Integrated communities.
City Resilience Framework - The Rockefeller Foundation | Arup 11Infrastructure
& environment
9. Reliable communications and
mobility
8. Continuity of critical services
This is enabled by diverse and affordable
This results from diversity of provision, multi-modal transport systems and
redundancy, active management information and communication
7. Reduced physical exposure and and maintenance of ecosystems and technology (ICT) networks, and
vulnerability infrastructure, and contingency planning. contingency planning.
This relies on environmental stewardship, Ecosystems and infrastructure both provide Reliable communications and mobility
appropriate infrastructure, effective critical services to urban populations. create daily connectivity between places,
land use planning and enforcement of
planning regulations. However, these services depend on more people and services. This fosters a positive
than just the presence of assets; their quality environment for everyday working
Conservation of environmental assets and performance are only maintained and living, builds social cohesion, and
preserves the natural protection afforded through proactive management. During also supports rapid mass evacuation
to cities by ecosystems. Among other times of stress, some ecosystem services and widespread communication during
things, this might include the absorption of and infrastructure become central to the emergencies.
tidal surges by coastal wetlands or fluvial city functioning. Well-maintained systems
flooding by upstream woodlands. The are better able to accommodate abnormal A combination of transport links and
protective function of infrastructure relies demand, withstand unusual pressures and the provision of ICT are fundamental
on appropriate design and construction. This continue functioning. Well-established to connectivity in contemporary cities.
is as important for homes, offices and other management practices create enhanced Transport links enable physical mobility and
day-to-day infrastructure as it is for specific knowledge of system components, so that should be characterised by a wide coverage
defences, like flood barriers. Working infrastructure managers are better prepared to of the city, as well as good service quality
together, both natural and man-made assets restore disrupted services. and affordability. Good infrastructure
help to improve protection against severe capacity, safety and efficiency are essential
conditions, avoiding injury, damage or loss. Educating communities and businesses is for the effective operation of transport
essential to ensuring that ecosystem services networks. Business logistics and freight
Ecosystems and built infrastructure of importance to urban populations – such as infrastructure are an important consideration
designed as integrated urban systems natural drainage capacity and flood defences to support the city’s economic functioning.
effectively contribute to reducing physical – remain robust and are not undermined by
exposure and vulnerability. For example: careless or unwise actions, such as natural Consultations undertaken in this research
river basins, forests, drains and sewers resource extraction or destruction of coastal suggest that communication technologies
all play a role in protecting cities from dunes and mangroves. The management of are also critical for a city’s connectivity.
flooding. In coastal areas, for example, man-made infrastructure includes frequent These include a diverse range of
robustness can be better achieved by using monitoring together with regular plans for technologies, such as radio networks,
natural wetlands and man-made dykes as upgrade and renewal. Demand management internet and mobile phone services, as well
part of an integrated approach to coastal is critical in the continuity of critical services, as specific channels such as social media.
flooding. ensuring that neither built nor natural systems The availability of reliable and inclusive
are overloaded, and can maintain sufficient forms of communication is critical to
A resilient city values ecosystem services redundancy to absorb surges in demand. disseminate information during emergencies
and has in place robust environmental A resilient city also implements continuity – particularly to the most vulnerable
policies to protect ecosystems in situ. In plans to ensure that infrastructure managers residents of a city, such as the poor and the
resilient cities, man-made infrastructure are ready to maintain service provision and elderly.
and buildings are well-conceived, well- avoid disruption during extreme events.
constructed and safeguarded against known Inclusive multi-modal transport networks
hazards. Building codes and standards Active management of ecosystem services allow safe and affordable travel between all
promote long-term robustness, flexibility and infrastructure ensures long-term neighbourhoods and key facilities across
to adapt in the future and safe failure robustness and flexibility in changing the city. Multi-modal systems incorporate
mechanisms in the event of a shock. conditions. For example: through monitoring redundancy and flexibility by providing
and maintenance programmes. Reflective alternative options in the event of failure
Cities in seismic zones can be better approaches may use intelligent technologies or surges in demand. Robust and redundant
prepared for earthquakes by updating and and education to monitor the integrity of ICT services enable safe communication
enforcing building codes on the basis of assets and disseminate alerts in the event of and access to information, including
reflective learning and new understanding of declining performance. coordination of emergency services.
future conditions.
Specific sub-indicators that underpin Specific sub-indicators that underpin this
Specific sub-indicators that underpin this this indicator area include: Ecosystem indicator area include: Integrated transport
indicator area include: Environmental management; Flood risk management; networks; Information and communications
policy; Safeguards for critical infrastructure; Maintenance practice; Demand on critical technology; Emergency communications
Building codes and standards. infrastructure; Continuity planning. services.
12 City Resilience Framework - The Rockefeller Foundation | Arup 12Leadership
& strategy
10. Effective leadership and
management 11. Empowered stakeholders
12. Integrated development
This relates to government, business This is underpinned by education for planning
and civil society and is recognisable in all, and relies on access to up-to-date
trusted individuals, multi-stakeholder information and knowledge to enable
consultation, and evidence-based people and organisations to take This is indicated by the presence of
decision-making. appropriate action. a vision, an integrated development
strategy, and plans that are regularly
reviewed and updated by cross-
Clear and purposeful leadership promotes Individuals and communities that know departmental groups.
trust, unity and a shared understanding what to do during unexpected events are
of a city’s trajectory. Leadership is a key invaluable assets to a city. The provision Development plans and land use regulations
ingredient in encouraging individuals of early warnings and access to education, are instruments that cities use to coordinate
and communities to take action during information and knowledge empowers and control urban development and guide
challenging times. A committed city citizens and gives them the tools to take future investments. The creation and
government that takes decisions on the basis appropriate decisions in the face of shocks implementation of plans and regulations
of sound evidence enables a city to thrive and stresses. As a consequence, urban ensures that individual projects and
from day to day, and to respond to shocks stakeholders are better positioned to act, programmes are aligned and sufficiently
and stresses. learn, and adapt. address uncertainty. Integrated plans
create a formalised framework to deal with
Cross-sector collaboration that challenges The generation of information and multidisciplinary issues, such as climate
‘siloed’ approaches in government is critical knowledge depends on a city’s investment change, disaster risk reduction or emergency
to effective decision-making. Multi- in research, data collection and risk response.
stakeholder alignment and consultations monitoring. By leveraging relevant
with communities, including the private information for evidence-based decision- A critical aspect of delivering a
sector, are measures that support relevant making, resilient cities can take better comprehensive development and planning
and effective decision-making. Evidence decisions and act appropriately in changing framework is the presence of a city vision.
gathered in cities suggests that effective circumstances. Multiple and well-used The development of a shared and integrated
city governments are given the necessary channels of communication help to make city vision requires understanding of and
power to make decisions at local level. this process effective. In addition, resilient alignment between the motivations of
The presence of a strong local government cities ensure that information shared with different stakeholders involved in designing
leader is also an asset in this context. their citizens can be understood. Other and implementing projects in the city.
Integrated, multi-stakeholder decision- forms of knowledge exchange between This, in turn, requires ongoing processes
making is also supported by coordinated communities and cities – such as city of communication and coordination at
practices and procedures, such as networks or ‘twin city’ schemes – are also all stages of planning. A vision should be
emergency management structures and beneficial when it comes to disseminating underpinned by appropriate evidence and
response plans. best practice. acceptance of uncertainty, and delivered
via policy and regulations. Land use plans
Inclusive governments recognise the Inclusive provision of education and should be permanently enforced and
importance of grassroots knowledge to information enables citizens to protect regularly updated. Preparation of plans
help them understand local challenges, and themselves in emergency situations. For relies on collecting up-to-date and relevant
they value the research and innovation that example, in many cities that are vulnerable data, as well as the ongoing monitoring of
universities and businesses can contribute to seismic activity, television and radio urban trends.
to solve city problems. By forging cross- stations automatically switch to deliver
sector relationships, resilient cities are better official earthquake information following The implementation of integrated strategies
able to coordinate people and access private an event, which alerts the public to risks and plans ensures that different projects
resources and support during times of need. and precautionary measures. Sharing and programmes across a city are aligned,
Integration and resourcefulness are essential knowledge, experience and best practices mutually-supportive, reflective of past
to emergency coordination and capacity- between cities enables reflectiveness experience and resourceful in the face
building, enabling appropriate and timely through broader exchange of information, of future uncertainty. These processes
government responses. feedback loops, learning and adaptation. should be truly inclusive, incorporating
consultations with residents and others who
Specific sub-indicators that underpin this Specific sub-indicators that underpin this will experience their effects.
indicator area include: Multi-stakeholder indicator area include: Research, knowledge
alignment; Intra-governmental alignment; transfer and best practice sharing; Risk Specific sub-indicators that underpin this
Government decision-making and monitoring and alerts; Public awareness of indicator area include: City monitoring and
leadership; Emergency capacity and risk; Communication between government data; Strategies and plans; Land use and
coordination. and citizens; Education. development.
City Resilience Framework - The Rockefeller Foundation | Arup 13“Surat started off as a place with household workplaces specialising in high skill products –hand woven textiles, diamond cutting/ polishing and embroidery. Due to scarcity of labour, competition in the country and demand for craftsmanship, employers had to be nice to their immigrant employees – they needed to retain their employees. They tried to understand their issues and treated them like family…This sentiment has continued.” Elected standing commitee member 14 City Resilience Framework - The Rockefeller Foundation | Arup
Recognising resilience
Building cross-sectoral leadership for
disasters, Surat
As the fastest growing city in India, and Following this catastrophe, a municipal
despite its economic prosperity, Surat commissioner was put in place to lead the
struggles to keep up with demands on city back to normality and rebuild trust
its infrastructure and services. It has internally and externally. There was a
experienced several shocks in recent recognised need for improved infrastructure,
decades, including floods, social unrest and such as sewerage and stormwater drainage,
an outbreak of the pneumonic plague. This as well as better flood management to
has strongly influenced the city’s successful reduce the chances of a recurrence. This
efforts to enhance resilience. event also raised awareness of public
health generally and the wellbeing of
Surat is well-known for its flooding the workforce to contribute to economic
challenges. However, 20 years ago, a chain prosperity. The local government put in
reaction following a flood permanently place measures to prevent rapid disease
changed Surat’s approach to flood spread, such as monitoring at household
management. After the flood in 1994, poor level, and provided local health centres in
sanitation in vulnerable communities is the most vulnerable areas to anticipate and
reasoned to have caused an outbreak of respond to a disaster.
pneumonic plague. While the number of
suspected cases was limited, the unexpected
nature and fear of a relatively unknown
disease caused panic which started
locally but quickly spread nationally and
internationally.
Civil hospital quaratined by Indian military
officials © Laurie Garett
Door to door solid waste collection It took longer to restore trust in the security
© JNNURM of Surat after the disaster than it did to
clean up the streets and control the disease.
This lack of trust delayed residents from
returning to the city and impacted heavily
on business continuity. In light of this, the
business community, led by the Chamber
Learning from previous of Commerce, now contributes strong
disasters has helped leadership in planning for disasters and
Surat to cope with new
challenges, through being on the ground during emergencies,
evolving systems helping to disseminate information and
and developing new resources. This complements government
practices.
recognition of the importance of providing
fast, reliable information to the public about
emergencies and their management.
City Resilience Framework - The Rockefeller Foundation | Arup 15You can also read
