Environment & Urbanization

Governments are wary of rapid urbanization, yet eager for the economic benefits that cities bring. The resulting tension is reflected in exclusionary cities created through strategies that privilege economic growth and result in many people being left behind. There is both exclusion from the city and exclusion and segregation in the city. This paper’s redefinition of inclusion moves beyond a focus on identity-based disadvantage, to frame inclusion as a counter to both overt discrimination and structurally created disadvantage. It explores three levels of inclusive urbanization: eliminating discriminatory exclusion, giving the disadvantaged a bigger voice in existing institutions, and guaranteeing human rights.

 Drawing on examples of emerging economies, the paper points to the dangers of pursuing a growth-first strategy for urbanization, as exclusion can become entrenched and difficult to reverse, even with increased prosperity. It then examines how more inclusive urbanization can be achieved and how this relates to the Sustainable Development Goals (part of the 2030 Agenda). The world’s governments have committed themselves to balanced development that integrates economic, social and environmental goals, and have pledged that “no one will be left behind”. Inclusive urbanization is needed to achieve this balance, and to move the world towards the progressive realization of human rights for all.

Preparations for the upcoming United Nations Conference on Housing and Sustainable Urban Development (Habitat III) in Quito in October 2016 have included a wide range of meetings and work on a negotiated outcome document entitled “The New Urban Agenda”. This is intended to present a global consensus on the significance and challenges of human settlements, as well as a Global Plan of Action. What can reasonably be expected from these activities? Will a meaningful and substantively appropriate “new urban agenda” emerge from the discussions? If so, what is the likelihood that it can actually be implemented? Or is all this activity and expense a waste of time and human energy? This article examines the results of the Habitat I and Habitat II conferences, the weakness of the associated monitoring and evaluation, and the changing dynamics of human settlements since 1996. It provides a forward-looking assessment of both the likely results of Habitat III and the issues to be faced subsequently.

The campaign for the inclusion of a specifically urban goal within the United Nations’ Sustainable Development Goals (SDGs) was challenging. Numerous divergent interests were involved, while urban areas worldwide are also extremely heterogeneous. It was essential to minimize the number of targets and indicators while still capturing critical urban dimensions relevant to human development. It was also essential to test the targets and indicators. This paper reports the findings of a unique comparative pilot project involving co-production between researchers and local authority officials in five diverse secondary and intermediate cities: Bangalore (Bengaluru), India; Cape Town, South Africa; Gothenburg, Sweden; Greater Manchester, United Kingdom; and Kisumu, Kenya. Each city faced problems in providing all the data required, and each also proposed various changes to maximize the local relevance of particular targets and indicators. This reality check provided invaluable inputs to the process of finalizing the urban SDG prior to the formal announcement of the entire SDG set by the UN Secretary-General in late September 2015.

In order to develop a constructive new urban agenda (NUA), the United Nations Conference on Housing and Sustainable Urban Development (Habitat III) must move beyond sterile proclamations, and acknowledge what we have learned since previous Habitat meetings – that urban policy significantly influences inclusive economic growth. A new urban agenda that takes new research and understandings into account could be like investments in health in terms of the high rate of return. More than that, changes in urban regulations and in the way subsidies are targeted could allow most of the desired gains to be realized without additional resources. An NUA, in other words, could be like perestroika for cities. Indeed, it could support a “restructuring” that is both more manageable and more fundamental than other, more popular, growth strategies. By examining a number of case studies, the paper demonstrates that a central message of Habitat III should be that better urban policy is much more than just a claim on public resources, it can be an important way to achieve inclusive growth.

This paper highlights how the global policy framework for crisis response needs to change to remain effective in an urbanizing world, where disaster risk is increasing and most refugees and half of all internally displaced people are in urban areas. This includes a need to understand how affected populations are inserted within complex urban contexts – and the current and potential roles of city and municipal governments. This implies a focus on bolstering or repairing existing systems – markets, infrastructure and provision of utilities – so that affected populations are quickly able to meet their needs in ways that are familiar to them. Assisting affected populations through existing city systems also helps ensure that emergency interventions contribute to longer-term urban development goals. Camps can create dependency where populations are discouraged from working. They are expensive, generate stigma, and can be the site of violence and exploitation. The humanitarian imperative to save lives and preserve dignity can be aligned with an approach that helps towns and cities get back on track, and even flourish, after a crisis. It is to be hoped that Habitat III’s “new urban agenda” reflects this.

The success of the campaign for a dedicated urban Sustainable Development Goal (SDG) reflected a consensus on the importance of “cities” in sustainable development. The relevance accorded to cities in the SDGs is twofold, reflected both in the specific place-based content of the Urban Goal and the more general concern with the multiple scales at which the SDGs will be monitored will be institutionalized. Divergent views of the city and urban processes, suppressed within the Urban Goal, are, however, likely to become more explicit as attention shifts to implementation. Acknowledging the different theoretical traditions used to legitimize the new urban agenda is an overdue task. As this agenda develops post-2015, the adequacy of these forms of urban theory will become more contested around, among other concerns, the possibilities and limits of place-based policy, advocacy and activism; and ways of monitoring and evaluating processes of urban transformation along multiple axes of development.

This paper reviews progress towards the Millennium Development Goals (MDGs) for water and sanitation in urban areas. Drawing on UN data, it shows the disastrous performance of many low- and middle-income nations in relation to the goal of halving the proportion without drinking water sources piped on premises and improved sanitation between 1990 and 2015. It also describes how even such a poor performance is actually understating the problem because of deficiencies in the data available. For water, there are no data sources with global coverage on who has “sustainable access to safe drinking water” (what the MDGs specify). UN statistics record whether households have drinking water sources piped on premises, but this does not necessarily mean the water is safe to drink or that there is a regular, reliable supply (what is implied by sustainable access). For what is termed “improved” or “basic” sanitation, the bar is set too low in the quality of provision needed in urban areas, so large numbers of urban dwellers said to have improved or basic sanitation still lack sanitation that greatly reduces health risks. The paper emphasizes that assessments of provision for water and sanitation need to make allowances for different contexts; what can work well in rural contexts does not do so in large and dense urban agglomerations. The paper ends with a discussion of what the experience with the MDGs for water and sanitation implies for the Sustainable Development Goals.

Over the past decade, housing policy in developing countries has witnessed an important shift. After decades of limited and in some cases decreasing investments in housing, there has been a sudden, extraordinarily large, and simultaneous expansion of multi-billion-dollar housing programmes. These new investments reveal a radical policy change, one that signals the serious and welcomed effort of tackling the looming affordability concerns that have been plaguing cities across the world. Yet this paper raises concerns over the direction of current housing policies and programmes. It argues that the new emphasis on addressing the problem through the production of industrial-scale new housing on the outskirts of cities, or through the development of new cities requiring extraordinarily expensive infrastructure, does not necessarily address the affordability concerns. For this reason, the paper raises a series of questions and offers recommendations that address some of the most important elements of decision-making that should be taken into account when planning affordable housing. These are meant to help identify why housing challenges arise, in order to avoid Thomas Pynchon’s well-known aphorism: “If they can get you asking the wrong questions, they don’t have to worry about answers.”

This paper explores the intersections between the newly agreed urban and health Sustainable Development Goals (SDGs 3 and 11). It argues that while burgeoning studies theorizing cities of the global South have thus far largely failed to engage with the formative role of health in the experience of urban life and politics, concern with “global” health (health in the global South) has been slow to engage with the specific importance of urban issues. As these two interlinked domains skirt past each other, the potentially unifying field of urban health remains arguably marginal and under-theorized within both biomedicine and social science. The paper therefore asserts that a reinvigorated urban heath is crucial not only to realize the urban and health SDGs, but also to capitalize on new, emergent research and opportunities that may emerge as global health work shifts to better reflect the contours of the SDGs.

The rise in extreme weather events, coupled with the acknowledgement by policymakers that vulnerable populations are disproportionately at risk, has led to an increase in demand for vulnerability assessments, and particularly composite vulnerability indices. This paper presents a flood hazard vulnerability index that incorporates socioeconomic, built environment and natural environment data, and that was used to measure the vulnerability of 1,276 municipalities in Brazil. Findings show that 83 of these municipalities (with 22 per cent of the Brazilian population) are at risk. Vulnerability stemming from lower levels of socioeconomic status is concentrated in the Northern regions; that related to poor governance is widespread across all regions. This analysis highlights the dangers of assessing vulnerability using aggregate measures of socioeconomic status in middle-income countries with high levels of inequality, where the presence of vulnerable populations in informal settlements within highly developed municipalities may be obscured.

Poor communities living in areas at high risk of flooding are often considered by authorities to be victims of their own “choice” in locating their dwellings in such areas. Instead of the government contributing to improving their resilience, the situation can become a way to justify the people’s relocation to areas not susceptible to flooding. The dynamics of living in flood-prone areas are examined here in the context of the Baixada da Habitasa and Seis de Agosto districts in Rio Branco, Acre, Brazil. Analysis of documents and semi-structured interviews with managers and with inhabitants of the districts under study, obtained soon after the last flood (April/May 2014), provide the basis of this study. Situations where people face up to the floods and reject removal to temporary shelters (or the temporary payment of a monthly sum as rent) are explored. This resistance to relocation can be seen even when the state proposes their transfer to permanent housing.

Since 2005, Senegal has experienced severe and recurrent flooding. In Pikine, the most populous suburb of Dakar, the 2009 floods affected a third of the population. The government mobilized major investment for drainage and water retention infrastructure, as well as for development of resettlement sites for affected households. However, little is known about the responses, expectations and solutions of those affected. To address this gap we examine the experiences of people living in the commune of Yeumbeul Nord in the city of Pikine around the flood events of 2005, 2009 and 2012. In response to flood hazard and its impact, local residents developed a set of actions to preserve their housing, workplace, goods, family health and security, and children’s schooling. Household mobilization was focused on flood water management and physical adaptations, including raising septic tanks and toilets. Affected households preferred the strategy of housing upgrading and neighbourhood improvement over the option of resettlement.

This paper contributes to the understanding of processes by which small-scale entrepreneurs who provide household waste collection in informal settlements succeed in formalized co-production of such services. The paper draws on the social and solidarity economy and social and environmental entrepreneurship theoretical frameworks, which offer complementary understandings of diverse strategies to tackle everyday challenges. Two questions are addressed: How do informal waste collection initiatives get established, succeed and grow? What are the implications of this transition for the entrepreneurs themselves, the communities, the environmental governance system and the scholarship? A case study is presented, based on three waste picker entrepreneurs in Kisumu, Kenya, who have consolidated and expanded their operations in informal settlements but also extended social and environmental activities into formal settlements. The paper demonstrates how initiatives, born as community-based organizations, become successful social micro-enterprises, driven by a desire to address socio-environmental challenges in their neighbourhoods.

This paper considers the collective knowledge about housing design and construction that was developed over 30 years by the Indian Alliance of the Society for the Promotion of Area Resource Centres (SPARC), Mahila Milan and the National Slum Dwellers’ Federation (NSDF) in its pursuit of secure shelter for the pavement dwellers in Mumbai, the most vulnerable people in the city. It traces the learning and innovations developed by these women pavement dwellers, mostly illiterate, in this one specific aspect of their much larger joint journey towards a safe, secure home in the city, something that seemed almost inconceivable when they began. The deeply political aspects of this larger journey are only briefly touched on here, allowing space to describe the hands-on learning about planning, design and building that was also essential in this process. The paper is one of an ongoing series tracing the work of this Indian partnership since 1986, examining the critical milestones that have emerged from discussion, reflections and collective exploration.

Residents of informal settlements in developing countries are faced with various challenges, including a lack of household sanitation facilities, which leads to use of alternative methods such as open defecation. The lack of household sanitation facilities and consequent use of improper methods necessitated the introduction of communal sanitation facilities in informal settlements as a way of increasing access to and use of sanitation facilities. However, little is known about their use and effectiveness, particularly in Africa’s informal settlements. This study used a number of quantitative and qualitative methods to assess determinants of use of communal sanitation facilities in informal settlements of Kisumu, a city in Kenya. Findings reveal that factors such as location/siting, inadequate maintenance, economic aspects, and gender issues influence the use of communal facilities, and they should therefore be included in future sanitation interventions.

The amount of rental housing in India has declined significantly over the years for various reasons, including the nature of the rent control laws. This paper assesses the impact of rent control for Mumbai, where it has created a shortfall in formal, affordable rental housing and contributed to distortions in the land market. The paper describes how “first-generation” rent control in Mumbai has led to deterioration of the existing rental housing stock, virtually halted the construction of new housing for rental in the city, and given rise to informal practices such as pagdi or key money. It also analyses the spatial concentration and composition of rent-controlled tenements in the city. It proposes reforms that would allow a gradual move towards rationalized rent controls, arguing that such second-generation controls will help incentivize investments in the rental sector and reduce the demand in the housing market at large, with implications for prices and affordable housing in particular.

Population pressure, urbanization and industrial developments, among other factors, have resulted in severe degradation of environmental resources such as wetlands. In the face of increased climate variability, several hazards continue to emerge, affecting the vulnerable sectors of society, especially the poor. Risks due to hazards and vulnerabilities are context specific; they are shaped by causal mechanisms and local conditions, which need to be understood if risks are to be reduced. In this paper, a range of hazards, perceived vulnerabilities and associated factors among wetland communities in Kampala have been analysed. The analysis is based on a survey of 551 households using semi-structured interviews, focus group discussions and key informant interviews. The study focused on communities living in four wetlands that drain the city’s wastewater into Murchison Bay in Lake Victoria. Results show floods and waterlogging as the principal hazards; however, secondary effects of floods and waterlogging such as disease vectors and diseases affect more people than the floods. Tenants were more likely than landlords/homeowners to be exposed to floods, and households that spend more than US$ 80 per month were less likely than households that spend less to be exposed to floods. Households that had been exposed to floods before were more likely to perceive themselves as vulnerable. Variations in exposure to hazards and perceived vulnerabilities could be due to differences in the capacity to resist, cope with, or adapt to minimize vulnerability. An investigation of adaptation mechanisms responding to the various hazards identified in this paper would enrich understanding of the elements that shape risk in this context.

This paper describes the very large numbers of low-income households displaced by development or infrastructure projects in Ahmedabad and their relocation by city government to housing on resettlement sites. It discusses the involvement of the Mahila Housing SEWA Trust (MHT) in setting up the required resident welfare associations (RWAs) in eight of these resettlement sites and the difficulties MHT faced in getting residents to follow the many time-consuming procedures that were necessary. Constraints included distrust by residents of the government agencies and the lack of social networks or leadership structures in the resettlement sites resulting from the housing allocation process, which did not keep neighbours or communities together. The city government’s objective for the RWAs was not to support participatory governance or facilitate improvements in the lives of resettled dwellers but to pass on the costs, maintenance and management responsibilities of the resettlement sites to these associations.