AUS7942 CityStrength Diagnostic Methodological Guidebook First Edition May 2015 CityStrength Diagnostic Methodological Guidebook First Edition May 2015 Table of Contents Introduction 1 Benefits of the CityStrength Diagnostic 2 Stages of Implementation 4 How to use this Guidebook 6 What is Resilience? 9 Resilience as a Development Priority 10 Shocks and Stresses 11 Qualities of Urban Resilience 12 From Sectors to Citywide Resilience 14 How do you initiate the Process? 17 Select the Sectoral Modules 17 Prepare the Implementation Schedule 19 Form the CityStrength Team 21 Stage 1: Pre-Diagnostic Review 25 Review Existing Studies, Reports, and Plans 25 Map the Stakeholders 27 Identify Preliminary Shocks and Stresses 28 Prepare the Briefing Note 31 Train the Task Team 33 Stage 2: Launch Workshop 35 Invite Workshop Participants 35 Prepare Workshop Materials 36 Conduct the Workshop 36 Stage 3: Interviews and Field Visits 39 Participate in Field Visits 39 Conduct Interviews on Sectoral Issues 40 Stage 4: Prioritization 45 Assess Resilience through Multiple Lenses 45 Bringing the Lenses Together 48 Prioritize Actions and Investments 49 Stage 5: Next Steps 55 Wrap-up Meeting with City Leadership 55 Make the Findings Public 55 Set the Path for Future Engagement 57 Resource 1: Categorization of Shocks and Stresses 58 Resource 2: Launch Workshop Group Exercise Description 66 Resource 3: Mapping Exercise Description 68 Resource 4: Required Sectoral Module – Urban Development 70 Resource 5: Required Sectoral Module – Disaster Risk Management 76 Resource 6: Required Sectoral Module - Community and Social Protection 82 Resource 7: Optional Sectoral Module – Education 88 Resource 8: Optional Sectoral Module – Energy 92 Resource 9: Optional Sectoral Module – Environment 98 Resource 10: Optional Sectoral Module – Health 104 Resource 11: Optional Sectoral Module – Information and Communications Technology 110 Resource 12: Optional Sectoral Module – Local Economy 116 Resource 13: Optional Sectoral Module – Logistics and Supply Chains 120 Resource 14: Optional Sectoral Module – Municipal Finance 124 Resource 15: Optional Sectoral Module – Solid Waste Management 130 Resource 16: Optional Sectoral Module – Transportation 136 Resource 17: Optional Sectoral Module – Water and Sanitation 140 Resource 18: Prioritization Lens 1 146 Resource 19: Prioritization Lens 2 150 Resource 20: Prioritization Lens 3 – Option 1 154 Resource 21: Prioritization Lens 3 – Option 2 156 Resource 22: Prioritization Lens 4 170 Resource 23: Interdependency Matrix 172 Resource 24: Holistic Resilience Matrix – Option 1 174 Resource 25: Holistic Resilience Matrix – Option 2 176 References 178 Acknowledgements The CityStrength Diagnostic was developed as part of the Resilient Cities Program under the coordination of Catherine Lynch (Senior Urban Specialist) and guidance of Stephen Hammer (Lead Urban Specialist). It was financially supported by a grant from the Global Facility for Disaster Reduction and Recovery. The methodology and guidebook benefited from the contributions of: Ifeta Smajic, Astrid Westerlind Wigstrom, James Newman, Tatiana Peralta Quiros, Farouk Banna, Margaret Arnold, Marc Forni, Roger Gorham, Niels Holm-Nielsen, Rosanna Nitti, Judy Baker, and Axel Baeumler. Information design by Sheena Yoon. Arup International conducted a technical review of the CityStrength Diagnostic methodology and provided input critical to its improvement. CityStrength Pilot CityStrength Pilot in Can Tho, Vietnam in Addis Ababa, Ethiopia Margaret Arnold Abebaw Alemayehu Marc Forni Ahmed Alkadir Roger Gorham Fernando Armendaris Stephen Hammer Gulilat Berhane Hoa Thi Hoang Issa Diaw Pavel Kochanov Roger Gorham Catherine Lynch Alex Kamurase Iain Menzies Catherine Lynch James Newman James Markland Dzung Huy Nguyen Rosanna Nitti Hoa Thi Mong Pham Chukwudi Okafor Ifeta Smajic Elisa Portale Van Anh Thi Tran Manjusha Rai Astrid Westerlind Wigstrom Dinkneh Tefera Astrid Westerlind Wigstrom Abbreviations and Terminology Actions ‘Soft’ measures to enhance resilience such as capacity building, institutional strengthening, or regulatory improvements. City Focal Point Local government staff responsible for working with the World Bank on day-to-day planning and implementation issues. CityStrength Coordinator World Bank staff responsible for providing support to Task Teams that are implementing the CityStrength Diagnostic with client cities. CMU Country Management Unit CSO Civil Society Organization DRM Disaster Risk Management DRR Disaster Risk Reduction Facilitator Individual who serves as an unbiased enabler of cross-sectoral dialogue during the Launch Workshop and Prioritization Session. ICT Information Communications Technology Investments ‘Hard’ measures to enhance resilience such as the construction of infrastructure, establishment of safety net systems, or creation of service delivery programs requiring significant financial resources. PMU Project Management Unit NGO Non-governmental Organization Resilience The capacity of individuals, communities, institutions, businesses, and systems within a city to survive, adapt, and grow no matter what kinds of chronic stresses and acute shocks they experience. A resilient city can adapt to a variety of shocks and stress while still providing essential services to its residents, especially the poor and vulnerable. Shock A single unpredictable event. Stress An ongoing hardship that a community experiences every day. Task Team Group of World Bank staff and consultants with multi-sectoral expertise responsible for implementing the CityStrength Diagnostic. Task Team Leader World Bank staff responsible for guiding the implementation of the CityStrength Diagnostic and leading dialogue with city officials. Introduction With most of the global population and capital goods concentrated in urban areas, cities are key to social development and economic prosperity. They are drivers of national economic growth and innovation, and act as cultural and creative centers. But urbanization also brings challenges. With a greater concentration of people, assets and infrastructure in urban areas, an increasingly complex range of shocks and stresses can put in jeopardy human wellbeing and hard-won development gains. The risks that cities face are becoming more complex and unpredictable. Urbanization, globalization, and climate change are interacting in a way that is unprecedented, and, at the same time, urban service delivery systems are becoming increasingly interlinked. This requires us to think differently about cities and how to address the shocks and stresses—both natural and human—that could inhibit their ability to achieve their development goals. Shocks impact on all aspects of development. Impacts are felt directly through the loss of lives, livelihoods, and infrastructure, and indirectly through the diversion of funds from development to emergency relief and reconstruction (DfID, 2005). Moreover, shocks disproportionately affect the urban poor. For example, during the 2011 Thailand floods, 73 percent of low-income households in Bangkok were affected compared to only 21 percent of the total city population (UNISDR, 2013). Moreover, countries that experienced major violence over the period 1981-2005 have an extreme poverty rate 21 percentage points higher than countries with no violence (World Bank, 2011a). Of the seven countries that are unlikely to meet any Millenium Development Goals by the 2015 deadline, six are fragile states (OECD, 2014). Many development partners and other organizations are active on the topic of resilience in cities, and there has been a recent upswing in the development and promotion of innovate programs, tools, and initiatives. For example, UN-Habitat’s City Resilience Profiling Tool, designed as a self-assessment, aims to help city officials and other stakeholders identify a host of possible risks facing urban areas and prioritize policies and action plans accordingly. Arup International and the Rockefeller Foundation have developed the City Resilience Framework, which provides a lens through which the complexity of cities and the numerous factors that contribute to a city’s resilience can be understood. The framework is being used to facilitate agenda-setting sessions in cities selected to participate in the 100 Resilient Cities Challenge. UNISDR has launched the Disaster Resilience Scorecard for Cities, which is intended to provide a single integrated perspective on a city’s total disaster resilience posture. 1 Methodological Guide: CityStrength Diagnostic In an effort to promote partnership and enhanced impact for cities, nine institutions, including the World Bank, formed the Medellin Collaboration on Urban Resilience in 2014. The aim of the collaboration is to facilitate the flow of knowledge and financial resources necessary to help cities become more resilient to disruptions related to climate change, disasters caused by natural hazards, Introduction and other systemic shocks and stresses, including the socio-economic challenges associated with rapid urbanization. Within this global context, the CityStrength Diagnostic was developed to help World Bank staff apply this new holistic approach to urban resilience to operations. It was designed to help facilitate a dialogue among stakeholders (e.g. government, civil society, residents, and the private sector) about risks, resilience, and the performance of urban systems. It is important to note that CityStrength is an engagement process, not an analytical study. The CityStrength Diagnostic results in the identification of priority actions and investments that will enhance the city’s resilience as well as increase the resilience-building potential of planned or aspirational projects. It promotes a holistic and integrated approach that encourages cross-sectoral collaborations to more efficiently tackle existing issues and to unlock opportunities within the city. Because cities depend on a complex network of infrastructure, institutions, and information – the resilience of each informs the resilience of the city as a whole. With this in mind, the CityStrength Diagnostic is structured around sectoral modules that cover topics within the city and metropolitan area purview, including Community and Social Protection, Disaster Risk Management, Education, Energy, Environment, Health, Information and Communications Technology, Local Economy, Logistics, Municipal Finance, Solid Waste Management, Transport, Urban Development, and Water and Sanitation. These modules were created based on a review of over 40 tools and methodologies related to resilience and the analysis of over 600 indicators contained within them. The CityStrength Diagnostic can be used in any city regardless of size, institutional capacity, or phase of development. As a qualitative assessment, the effectiveness of the diagnostic depends on the capacity of the specialists involved, significant stakeholder participation, and local government commitment to the process and follow-on engagement. Benefits of the CityStrength Diagnostic The CityStrength Diagnostic was piloted in two cities – Can Tho, Vietnam and Addis Ababa, Ethiopia— which provide two very different contexts for assessing the benefits of the process. Can Tho is a city of 1.25 million residents located on the Hau River in the Mekong Delta. It suffers from chronic river and tidal flooding, and is likely to be impacted significantly by sea level rise. Can Tho is also the fifth largest city in Vietnam, a country that recently achieved middle-income country status. Poverty is 2 Introduction estimated at less than 12% and the unemployment rate is very low at less than 5%. In contrast, Addis Ababa is the largest city in Ethiopia with a population of approximately 3.3 million that is anticipated to double by 2020. Over 28% of the population is officially below the poverty line, and it is estimate that 29% of households have an unemployed adult. Addis Ababa is challenged by water scarcity, Introduction urban fire, unprecedented urban growth, and social vulnerability, among other shocks and stresses. Across these two pilots, several benefits of the diagnostic have been highlighted by city stakeholders, technical specialists, and World Bank management: • Client Relationship. CityStrength enables a more internally coordinated approach from the World Bank Group vis a vis the local government. It is an opportunity to bring a multi- sectoral team together to support local leadership in an integrated way, rather than sector by sector. • Inclusion. CityStrength invites multiple stakeholder perspectives, including across departments and tiers of government, civil society, and the private sector. • Learning. CityStrength encourages a wider appreciation by sectoral specialists of issues in other sectors and how they relate or influence their own sectors. This learning applies to both the World Bank team and the counterpart technical staff. • Development Impact. CityStrength considers investment priorities in relation to city-wide resilience building needs rather than only sectoral issues. This enables the delivery of better advice and ultimately enhances impact. • Business Development. CityStrength produces an output—a prioritized set of recommendation that enables the World Bank specialists to develop proposals for follow- on support to the city. 3 Methodological Guide: CityStrength Diagnostic Stage One Stages of Implementation The CityStrength Diagnostic consists of 5 stages, book-ended by leadership commitment for resilience on the front-end and a longer-term Introduction engagement with development partners through financing or technical assistance at the back-end. Figure 1: Stages of the CityStrength Diagnostic Stage Two After Stage 5, the process and recommendations can then be captured in a publication that the city can use for internal purposes or as a tool to seek funding from development partners. The diagnostic will identify specific actionable projects Stage Three that can be implemented by the city with the technical or financial support of the World Bank or other development partners. Like all World Bank activities, decisions about the World Bank’s role will be driven by the relevant Country Management Unit (CMU). Stage Four Stage Five 4 Introduction PRE-DIAGNOSTIC DATA REVIEW The first stage focuses on collecting information and leveraging efforts that have already been undertaken in the city. A review of all relevant studies, reports, or plans developed by the city, the World Bank, or other development partners is conducted. Who prepared it? Why? And how was it used? Key findings are Introduction summarized in order to brief participants during the Launch Workshop as well as Bank specialists supporting the implementation of the diagnostic. Specific background studies or data collection initiatives could also be undertaken during this stage depending on the context. LAUNCH WORKSHOP The second stage is a Launch Workshop. The objectives of the workshop are to ‘officially’ launch the CityStrength Diagnostic process in the city, to explain the concept of urban resilience, to learn about the city’s goals and objectives, to verify the initial findings from the first stage, to introduce the multi-sectoral Bank team, and to engage with a broad set of stakeholders. INTERVIEWS AND FIELD VISITS The third stage consists of interviews and site visits to help the Bank specialists better understand the challenges and opportunities in the city and to qualitatively assess how well key systems are performing in relation to defined Qualities of Resilience. It is also meant to give the city departments the opportunity to learn about each other’s work programs and ongoing resilience activities. PRIORITIZATION The fourth stage is the identification and prioritization of actions and investments to enhance resilience in the city. This is done using multiple “lenses” to qualitatively identify measures that the Bank specialists recommend as the most important for the city leaders to consider. While the ultimate goal of the CityStrength Diagnostic is to enhance the city’s long-term resilience, it is important to understand the nature of any immediate threats to people and assets (Lens 1). It is also crucial to understand dependencies and interdependencies within urban services and systems, which can cause cascading disruption or failure, or compound existing vulnerabilities (Lens 2). Thinking holistically (rather than sectorally) about the city’s resilience (Lens 3) is necessary to identify critical gaps or areas of weakness at the city scale. Finally, aligning recommended actions and investments with local goals and objectives (Lens 4) increases the likelihood that the recommendations will have sufficient stakeholder support to become a reality. DISCUSSION AND NEXT STEPS The fifth stage is a meeting with local leadership and other stakeholders to present the findings of the diagnostic, discuss recommendations, and agree on priorities and next steps. 5 Methodological Guide: CityStrength Diagnostic How to use this Guidebook This guidebook is designed for use by World Bank task teams who are implementing the CityStrength Introduction Diagnostic in a client city. The methodology is new and evolving, reflecting state of the art approaches to holistic urban resilience. As more cities implement the diagnostic, guidance materials, including this guidebook, will be updated and revised. The guidebook provides an introduction to urban resilience, offers guidance on initiating the CityStrength Diagnostic process and forming a strong implementation team, and describes the 5 main stages of the diagnostic in detail. Each chapter includes step-by-step instructions, advice, and examples from the pilot implementations in Can Tho and Addis Ababa. A series of resources are provided at the end of the guidebook. Teams choosing to use the CityStrength Diagnostic to further a dialogue with a city client will receive support from the CityStrength Coordinator within the World Bank, as well as access to a repository of useful materials such as templates, sample communications and agendas, and lessons learned from colleagues. Each implementation of CityStrength will be different; every city has a unique set of attributes and development constraints. This guidebook offers a framework that can be used by Bank specialists to guide their engagement with a client city or to obtain advice on matters specific to different stages. Each team’s experience will help to enrich the methodology. It is therefore important for each team to share its ideas and lessons learned with the aim of improving the guidebook and the effectiveness of the CityStrength Diagnostic. 6 Introduction Introduction 7 8 What is Resilience? Resilience is the capacity of individuals, communities, institutions, businesses, and systems within a city to survive, adapt, and grow no matter what kinds of chronic stresses and acute shocks they experience. 1 A resilient city can adapt to a variety of shocks and stress while still providing essential services to its residents, especially the poor and vulnerable. Resilience is not synonymous with disaster risk management or climate change adaptation. Urban resilience accepts the possibility that a wide range of disruptive events — both stresses and shocks, natural and human induced—may occur in a city but are not necessarily predictable. Disaster risk management is typically limited to natural hazards and, to a growing extent, incorporates climate change adaptation. Resilience is not synonymous with sustainable development either. Resilience works toward long- term sustainability objectives—meeting the needs of the present without compromising the ability of future generations to meet their own needs (Brundtland Commission, 1987)—but specifically embraces the turbulence of daily life (Arup et al, 2012). Resilience is about learning to live with the spectrum of risks that exist at the interface between people, the economy, and the environment; where sustainability aims to put the world back into balance, resilience looks for ways to manage in an imbalanced world (Zolli, 2012). Resilience and sustainability are complementary approaches. Resilience is more than the ability to recover from shocks; it incorporates the ability to avoid shocks and to manage risks. The World Development Report 2014: Risk and Opportunity: Managing Risk for Development argues that risk management can be a powerful tool for development. It contends that “the solution is not to reject change in order to avoid risk but to prepare for the opportunities and risks that change entails. Managing risks responsibly and effectively can save lives, avert economic damages, prevent development setbacks, and unleash opportunities. It has the potential to bring about security and a means of progress to people in developing countries and beyond.” Trade-offs and synergies must be considered in order to identify “win-win” situations that reduce the possibility of loss and increase potential benefits. Resilient city development is a dynamic and ongoing process focused on strengthening the ability of the urban system to change, adapt, absorb, and learn from a wide range of acute shocks or chronic stresses it encounters along its path toward sustainable development. 1 Adapted from 100 Resilient Cities pioneered by the Rockefeller Foundation. 9 Methodological Guide: CityStrength Diagnostic Resilience as a Development Priority for Cities Natural disasters like storms, droughts, and earthquakes are not the only risks cities face. Cities are also vulnerable to economic downturns, crime and violence, public health epidemics, and even Resilient Cities infrastructure failure. These shocks can have devastating effects, bringing some or all of an urban system to a halt, and possibly causing asset damage and loss of life. Acute shocks and chronic stresses can also have a deep and lasting impact on human development. Disaster losses are often linked with, or exacerbated by poverty and vulnerability of the poor that stem from socio-economic and environmental imbalances. While the origins and long-term impacts of shocks may differ dramatically, the necessity of the city to absorb, adapt, and continue functioning in the short-term remains constant. To put the economic impact of these risks into perspective, the United Nation’s Global Assessment Report on Disaster Risk Reduction highlights that for three consecutive years direct economic losses from disasters have soared past US$100 billion—total expected annual global loss from earthquakes and cyclone wind damage alone now amounts to US$180 billion per year (UNISDR, 2013). Moreover, sea-level rise and subsidence in the 136 largest coastal cities could result in losses of US$1 trillion or more per year by 2050 (Hallegate et al., 2013). The Arab Spring resulted in US$800 billion in lost output (HSBC, 2013) and over 50,000 deaths (Ibish, 2012) in the 7 hardest-hit countries, Singapore’s exposure to SARS cost the government nearly US$570 million (Sitathan, 2003), and the collapse of the Rana Plaza building in Dhaka in April 2013 resulted in the death of over 1,000 people. Indeed, cities’ greatest strengths for economic growth – efficiency and interrelation of infrastructure and density of population—can also be their potential weaknesses to cascading failure during overstress from disasters (Graham, 2010). The resilience of a city depends on the overall performance and capacity of its systems, not solely on its ability to cope with specific natural hazards or to adapt targeted areas to the impacts of climate change (Brugmann, 2012). Cities are complex systems, and like all systems, a city depends on the smooth functioning of its constituent elements and the larger organization in which it is nested. A city’s resilience is therefore affected by the resilience of those smaller and larger systems. Disruptions to the basic services they provide can have cascading impacts well beyond the city itself. The complexity of cities also makes resilience building especially challenging. Focusing on one policy goal, such as climate protection, without considering others can lead to undesirable outcomes. These decisions may come as explicit trade-offs, unintended consequences, or some combination of the two. Building a resilient city, therefore, requires a holistic, multi-sectoral, and flexible approach to urban development. 10 What is Resilience? Shocks and Stresses Managing risks from specific shocks and increasing overall resilience of urban systems are different yet complementary practices. The first requires knowledge of the specific shocks the city faces and Resilient Cities that the events are measurable and predictable. However, many shocks and stresses that cities face are unpredictable. Resilience building depends on the city’s ability to avoid shocks and to manage risks when faced with uncertainty. In these circumstances, the more successful management and decision-making approach is to focus on resilience, including increased risk tolerance, flexibility, and adaptability (Comfort et al, 2010). And, indeed, resilience focuses on enhancing the performance of a system in the face of multiple shocks and stresses, rather than preventing or mitigating the loss of assets due to specific events (Arup International, 2014). Considering a broader spectrum of risks in a city is the opportunity to take a strategic view across different types of risks, including the underlying drivers of the risks and the systems they impact, and thereby better prioritize risk mitigation interventions. Indeed, CityStrength promotes urban resilience in the context of a broad spectrum of risk that may result from a wide range of shocks and stresses. Shocks are sudden events that impact the performance of a system. There are many different types of shocks that can strike at different levels, including disease outbreaks, floods, high winds, landslides, droughts, or earthquakes. Outbreaks of fighting or violence, or severe economic volatility, could be included in this category as well. Stresses are longer-term trends that undermine the performance of a given system and increase the vulnerability of actors within it. These can include natural resource degradation, loss of agricultural production, demographic changes (e.g., aging and depopulation), climate change, political instability, or economic decline (DfID, 2011). A significant stress facing many cities in developing countries is urbanization itself due to the pressure it places on urban systems and the delivery of basic services. Stresses can be cumulative, compounding gradually until a tipping point is reached, and transformed into a shock. The CityStrength Diagnostic methodology includes a framework for classifying shocks and stresses (see Figure 9). A total of 96 unique shocks and stresses that could occur in cities have been identified and are listed in Resource 1. Within this universe of shocks and stress, over half are ‘human’ induced. 11 Methodological Guide: CityStrength Diagnostic Qualities of Urban Resilience What makes an urban system resilient? Using a systems thinking approach, it is possible to consider how well each element of a city reflects qualities that are typically present in resilient systems, and Resilient Cities are distinct from other qualities (e.g. efficiency, competitiveness) that might be associated with sustainability or economic performance (Figure 2). The evidence that underpins the qualities listed below has emerged empirically from research on resilient systems; generally, as well as specifically in cities. They can be used to describe physical assets, human behavior, network systems, and institutional processes. Figure 2: Qualities of Urban Resilience 12 What is Resilience? Robustness Robust systems include well-conceived, constructed and managed physical assets, so that they can withstand the impacts of shocks without significant damage or loss of function. Robust design anticipates potential failures in systems, making provision to ensure failure is predictable, safe, and not disproportionate to the cause. Overreliance on a single asset, Resilient Cities cascading failure and design thresholds that might lead to catastrophic collapse if exceeded are actively avoided. An important aspect of robustness is proper operations and maintenance to ensure that systems are functioning properly. (E.g. A building is designed to accommodate a seismic event without collapse or excessive damage.) Coordinated Coordination between city systems and agencies means that knowledge is shared, planning is collaborative and strategic, and decision-making is based on investments that are mutually supportive towards a common outcome. Exchange of information between systems enables them to function collectively and respond rapidly through feedback loops occurring throughout the city. (E.g. A coordinated transport systems is not only aligned with urban growth dynamics and land use but also has open communication with other agencies so that it can divert user traffic to different modes of transport based on changing conditions.) Inclusive Being inclusive recognizes that risk is perceived differently by different stakeholders and that shocks and stresses affect the most vulnerable the most. An inclusive approach contributes to a sense of shared ownership or joint vision to build a resilient city. This can be achieved through consultation and engagement with a wide range of stakeholders, including the most vulnerable groups, to ensure that systems are more resilient by considering a wider range of vulnerabilities, risk management capacities, and localized information. Equity in access to infrastructure and services underpins social cohesion and opportunity. (E.g. An inclusive budgeting process could help ensure that the allocation of city resources reflects community priorities.) Redundant A redundant network or system has a belt and braces approach which includes spare capacity or back-up to accommodate disruption, extreme pressures or surges in demand. Providing diverse ways of achieving a given need or fulfilling a particular function is a means to achieving a redundant system. If one service channel gets disrupted, another can be used. (E.g. A power distribution network is able to rebalance to respond to a surge in demand in a particular area.) Reflective Resilient urban systems examine, learn, and evolve based on their past experiences and new information, modifying standards or norms based on emerging evidence rather than seeking permanent solutions based on the status quo. As a result, people and institutions examine and systematically learn from their past experiences, and leverage this learning to inform future decision-making. (E.g. A financial management system might make use of information on past shocks and stresses to improve budget reserving policies.) 13 Methodological Guide: CityStrength Diagnostic Looking at systems in relation to these qualities can help to reveal underlying weaknesses that may not be apparent when using more traditional risk assessment methods. For example, one might ask, how resilient is our city’s road network? Typically, the approach would be something similar to the following. First, an assessment would be done to understand the hazards in the city. In this case, let’s Resilient Cities assume the main issue is flooding. The city might opt to increase the height of select roads to ensure they are functional when anticipated flood levels are reached or increase the capacity of storm water drainage channels to collect a greater amount of run-off. This, indeed, will make the road system more robust by enhancing its ability to absorb and withstand urban floods. But what if a section of the city doesn’t have access to paved roads at all (inclusive)? Are there alternative routes if flooding reaches unprecedented levels (redundant)? Does the roads department regularly share information with emergency services providers or the urban planning department (coordinated)? Are roads rebuilt where others have been damaged by repeated disaster (reflective)? The existing road infrastructure would be resistant to an anticipated level of flooding, but the road system would be far from resilient. Moreover, the road system would likely be contributing little to the overall resilience of the city. From Sectors to Citywide Resilience The ability of urban communities to survive and thrive despite the inevitability of shocks occurring, or stresses accumulating, relies on the performance of the various systems that make up a city. An underlying premise of CityStrength is that a city is more likely to be resilient if its many systems exhibit the qualities described in Figure 2. This aligns with current thinking on city resilience, and addresses the fundamental challenge that cities are complex systems, and that resilience at a city scale cannot currently be observed or measured directly, other than in terms of changing performance over time in response to repeated events. The CityStrength Diagnostic first evaluates resilience on a sectoral basis and then brings together the findings to think holistically (rather than sectorally) about the city’s resilience in order to identify critical gaps or areas of weakness. To support this process, 14 sectoral modules are provided in the Resources section of this guidebook. They are designed for use by technical specialists and integrate economic, social, and environmental issues from the perspective of the respective sector. During the group Prioritization Session, technical specialists discuss inter-linkages between and among sectors as well as the extent to which the Qualities of Resilience are reflected across multiple elements of the city. As an alternative to the Qualities of Resilience for discussing holistic urban resilience as part of the Prioritization Session, the City Resilience Framework (CRF) can be used. The CRF, developed by Arup International, provides a framework for better understanding the complexity of cities and the drivers that contribute to their resilience—the health and wellbeing of individuals (people); urban systems and services (place); economy and society (organization); and leadership and strategy (knowledge). In both cases, the focus is on spurring a conversation among experts that cuts across sectors and supports critical reflection on the steps the city need to take to enhance city-wide resilience. 14 What is Resilience? Resilient Cities 15 16 How do you initiate the Process? Below are five fundamental steps for initiating the CityStrength Diagnostic process: a. Arrange for a letter of request from the client city or local government entity. b. Identify the key local and national stakeholders who will participate in and contribute to the implementation of the diagnostic. c. Agree on the sectors that will be included in the diagnostic. d. Prepare a schedule that identifies the time periods for each stage using either a rapid or incremental approach to the process. e. Form the team of technical specialists from within the World Bank who will support the implementation. Get Local Government and World Bank Leadership Support It will be important to ensure the participation and engagement of city leaders and World Bank management from the very start of the diagnostic and throughout the entire process. As such, the first step in formally launching the effort should be a letter from the city (likely the Mayor) to the World Bank (the relevant Country Director) requesting implementation of the CityStrength Diagnostic and indicating a focal point within the local government. Because CityStrength will result in a series of recommended actions and investments to enhance resilience in the city, it is critical that the Country Director endorse the process as it may result in a request for World Bank support to carry-out the recommendations either through analytical work, technical assistance, or financing. Given that CityStrength is a new initiative in the World Bank, it may be necessary to brief the Country Director on the process. The CityStrength Diagnostic is an inclusive multi-stakeholder process that facilitates not only a cross-sectoral and cross-departmental dialogue, but also allows for the participation of other key stakeholders in the city such as civil society organizations, the private sector, and academia. To enable this type of approach, the city will need to designate a City Focal Point responsible for internal collaboration as well as engagement with the Bank. Ideally, the City Focal Point will have direct access to local leadership and have the ability to convene technical staff from line departments in the city. Select the Sectoral Modules The CityStrength Diagnostic includes 3 required modules – Urban Development, Disaster Risk Management, and Community and Social Protection – that must be used in all implementations as 17 Methodological Guide: CityStrength Diagnostic well as 11 optional modules covering various sectors in the city (see Figure 3). The optional modules cover human services, basic services, technology, and economics. Initiating the Process The number of sectoral modules included during any one CityStrength Diagnostic implementation depends on whether a rapid or incremental approach is taken. With the rapid approach, it is recommended that no more than 8 modules be included. That is, the 3 required modules plus 5 optional modules. The recommendation to limit the number of modules is largely due to logistics, including Task Team size and number of local participants. That said, an emphasis of the methodology is to identify system interdependencies, bottlenecks, and vulnerabilities, which is strengthened by including as many sectors as possible. It could be possible to apply all modules if an incremental approach is used. The timing of the diagnostic is described in the next section. Figure 3: Sectoral Modules REQUIRED MODULES Urban Community & Disaster Risk Development Social Protection Management OPTIONAL MODULES Human Services Basic Services Technology Logistics & Education Energy Supply Chains Information & Health Environment Communication Technology Economics Solid Waste Local Economy Transportation Municipal Water & Finance Sanitation 18 How do you initiate the Process? The decision on which sectoral modules to include in the application of the CityStrength Diagnostic in a specific city is made jointly by the City Focal Point and the World Bank, and is largely a negotiated Initiating the Process process. Factors to consider should include historic vulnerability of the sector to shocks and stresses, plans for substantial investment, and the local government’s decision-making role in the sector. Prepare the Implementation Schedule The CityStrength Diagnostic can be implemented using a rapid or incremental approach. CityStrength was initially designed as a rapid diagnostic requiring 3-5 months for completion, consisting of 1-2 months of preparatory work, a large multi-disciplinary mission of 5-10 days, and 1-2 months to prepare a findings report (Figure 4). There are two main benefits to a rapid approach. First, the amount of time and resources that a multi-sectoral group of local officials can commit to the process is limited. This is true on the Bank-side as well. Organizing the diagnostic around a single, relatively short mission facilitates the participation of Bank staff specialists, especially those with deep experience. Figure 4: Illustrative Rapid Approach Timeline Stage 1 Stage 2 Stage 3 Stage 4 Stage 5 Pre-diagnostic Launch Interviews & Prioritization Discussion & Action Plan Findings Review Workshop Field Visits Session Next Steps With CMU Publication 1-2 months 7-10 day mission (full Task Team) 1-2 months Day 1 Day 2-4 Day 4/5 Day 5/6 Day 7-10 3–5 Months Second, CityStrength is a qualitative assessment that uses a broad brush in order to identify a set of priority actions and investments for more detailed analysis. As such, there is a rationale for quickly moving from the large scale engagement to the more focused areas that will require a longer timeline for in-depth analysis. A rapid assessment allows cities to move towards the implementation of activities faster. 19 Methodological Guide: CityStrength Diagnostic However, in some cases, it may be more effective to implement the diagnostic incrementally over Initiating the Process a longer period of time to ensure that there is sufficient opportunity for relationship building, knowledge sharing related to resilience, broad stakeholder buy-in to the process, and support for the ultimate recommendations. Moreover, the size of the city (population and physical extent), degree of decentralized decision-making, and institutional capacity and complexity may make it difficult to conduct all the required interviews and field visits within a single Task Team mission. Using an incremental approach, the diagnostic can be spread over a period of 6-9 months or longer (Figure 6). The phasing is amended to allow for two full Task Team missions, as well as additional time (Stage 3b) for team members based locally to do follow-up interviews and data collection. Due to the mix of specialists on the Task Team, it may be necessary to conduct the Prioritization Session over videoconferencing to accommodate different locations. Figure 5: Illustrative Incremental Approach Timeline Stage 1 Stage 2 Stage 3 (a) Stage 3 (b) Stage 4 Stage 5 Pre-diagnostic Launch Interviews & Cont’d Interviews Prioritization Discussion & Action Plan Findings Review Workshop Field Visits & Data Collection Session Next Steps With CMU Publication 1-2 months 5 day mission (Task Team) 1-2 months 1-2 days 2-3 day mission (Task Team) 1 month Day 1 Day 2-5 (Country Team) (Possibly VC) Days 1 -2 Day 3 6–9 Months The decision on the type of approach to use – rapid or incremental – should be made jointly by the Task Team Leader, World Bank management, and the City Focal Point. Figure 6 provides guidance on items to take into consideration when deciding between the two approaches. However, every city context is unique, and the choice of approach will be influenced by many factors, including time and resources. 20 How do you initiate the Process? Figure 6: Guidance on Selection of Rapid or Incremental Approach Initiating the Process Rapid approach suggested if... Incremental approach suggested if... • There is an existing relationship • The World Bank has limited between the World Bank and the experience working with the city local government • The city has a population of • A PMU from an on-going more than 2 million residents operation can support logistics or a physical condition that and data collection make it difficult to conduct field • The city has a population of less visits and interviews in multiple than 2 million residents locations • Local government has medium to • Local government has low high institutional capacity capacity and/or limited data availability • Local leadership (i.e., the mayor or equivalent) has strong • Local leadership (i.e., the mayor decision-making ability or equivalent) has limited decision-making ability • Less than 8 Sectoral Modules will be included • More than 8 Sectoral Modules will be included In summary, the main advantage of the rapid approach is to reduce the time commitment needed for city stakeholders and sectoral experts and to move quickly from diagnosis to follow-up engagement. However, the tradeoff is that the number of sectors included in the diagnostic process should be limited to no more than 8. The main advantage of the incremental approach is that ample time is provided for fostering ownership of the process and consensus building among stakeholder groups. Moreover, in the incremental approach, it is possible to take a fully comprehensive view of resilience by implementing all 14 sectoral modules. The tradeoff is that the incremental approach is more human and financial resource intensive. Form the CityStrength Team CityStrength is an opportunity to bring a multi-sectoral team of specialists to a city client and deliver recommendations that cut across disciplines and traditional silos. To ensure close alignment with World Bank operations, it is recommended that the majority of Task Team members be World Bank staff rather than consultants. However, in some cases, it may be necessary to augment the Task Team 21 Methodological Guide: CityStrength Diagnostic by contracting third party expertise. Initiating the Process The Task Team Leader will coordinate all CityStrength activities and be the main interlocutor with the client. In most cases, the Task Team Leader should be part of the country team and actively engaged in the country, if not in the specific city. It is very important that the Task Team Leader has a solid understanding of the local institutional context and history of World Bank engagement in the city. To support the Task Team Leader, the Task Team should consist of at least one technical specialist for each of the sectors that will be included in the diagnostic. During the two pilot CityStrength implementations, the Task Team generally included two specialists from each sector – one from the country team (usually based in the country office) and one international specialist. This arrangement ensured that global best practices were integrated into locally feasible recommendations. It is also recommended that the Task Team include a member with strong facilitation skills for the Launch Workshop (Stage 2) and Prioritization Session (Stage 4). Figure 7 provides an overview of the Task Team formed for the implementation of CityStrength in Can Tho, Vietnam. In total, 14 team members participated in the implementation mission. Figure 7: Task Team Composition from Can Tho, Vietnam CityStrength Implementation Team Leaders and Urban Development Municipal Finance • Sr. Urban Specialist (Country Team based in Hanoi) • Sr. Municipal Finance Specialist (IFC based in HQ) • Sr. Urban Specialist (CityStrength Coordinator) • Operations Specialist (GFDRR based in HQ) Community and Social Protection Transport • Sr. Social Specialist (Global Team based in HQ) • Sr. Transport Specialist (Country Team based in Hanoi) • Sr. Social Specialist (Country Team based in Hanoi) • Transport Specialist (Africa Team based in HQ) Disaster Risk Management Water and Sanitation • Sr. DRM Specialist (South Asia Team based in HQ) • Sr. Water and Sanitations Specialist (Country Team based in Hanoi) • DRM Specialist (Country Team based in Hanoi) Facilitation and Support Energy and Solid Waste • Climate Change Adaptation Consultant (CSD team based in HQ) • Lead Urban Specialist (Global Team based in HQ) • Urban Planning Consultant (CSD team based in HQ) The technical specialists implementing the CityStrength Diagnostic will often need to evaluate and make decisions without perfect information. As such, the team needs to be comprised of experts with deep knowledge of sectoral issues, along with local and national professionals who have experience 22 How do you initiate the Process? working in the city. It may be quite challenging to find experienced World Bank specialists that are available for the specific dates selected for the implementation. In fact, it may require several Initiating the Process iterations of team selection and scheduling of missions to accommodate all parties. Why would World Bank staff want to participate in the implementation of the CityStrength Diagnostic? A challenge to forming a team of seasoned World Bank staff is that they are likely very busy working on their own portfolio of projects. CityStrength is an opportunity for technical staff to learn and explore how their sector contributes to overall urban resilience. It is also a chance to work across Global Practices with a finite and well-defined level of effort and deliverable. For staff who are part of the Country Team, participation in the diagnostic could also be an opportunity to engage with the counterpart on future activities. In addition to the technical specialists who interface with the government counterparts during the CityStrength Diagnostic implementation, there are important Task Team members working behind the scenes. This includes, for example, staff and consultants conducting the desk review of available reports and studies, GIS and mapping support, administrative and logistical support for event planning, and information design for the findings publication. 23 24 Stage 1: Pre-Diagnostic Review Stage 1 is a mix of desk-based analysis and field-based engagement. During Stage 1, the team reviews and synthesizes all relevant documentation, maps local stakeholders, prepares the full Task Team, and begins engaging with local leadership on the topic of urban resilience. The key outputs from this stage include a Briefing Note that captures the main findings of the desk review, a preliminary list of shocks and stresses in the city, a detailed stakeholder list, and materials for the Launch Workshop. During the Pre-Diagnostic Review, the local government is introduced to the objectives and implementation steps of the CityStrength Diagnostic. Knowing what to expect allows the city departments and leadership to prepare relevant data, and articulate expectations for the diagnostic implementation. Becoming sensitized to the goals and objectives of CityStrength will enhance the local government’s engagement in the process. Stage 1 is typically conducted by a small sub-set of the Task Team, including the Task Team Leader and 1-2 technical specialists. The Briefing Note prepared during this stage is used as an input to the Launch Workshop and to prepare the full Task Team for the implementation of the diagnostic, some of whom may not have previous experience in the city. Review Existing Studies, Reports, and Plans An overview of urban characteristics, existing relevant policies, government’s institutional arrangement, city maps and a raw list of shock and stress profiles constitutes the “bare bones” of the diagnostic background package. A review of all relevant studies, reports, or plans developed by the city, universities, donor agencies, or other development partners is conducted. Figure 8 provides a list of documents that should be sought out for inclusion in the Pre-Diagnostic Review. In some cases, it may be difficult to obtain copies of all the desired reference materials either because they are not publically available on the internet or because they are unpublished. In addition, some documents may be in the local language, requiring additional time and resources for translation. 25 Methodological Guide: CityStrength Diagnostic Figure 8: Types of Studies, Reports, and Plans to Include in the Pre-Diagnostic Review CATEGORY DOCUMENT • City Organigram Stage 1 Institutional • Policies/legislation regarding city management and responsibilities • City master plans • Infrastructure master plans (e.g. transport, water Spatial Development supply, energy, etc.) • City development strategies • Land use analyses • Poverty assessments • Studies of vulnerable groups Human Development • Relevant education and health services policies • Safety net program descriptions • Vulnerability assessments Climate and Natural • Climate change action plans Disasters • Damage and loss assessments • Post disaster needs assessments • Capital Investment Plans • Municipal Budgets Economic • Public Expenditure Reviews Development • Private Sector Development Strategies • Economic Growth Data • World Bank operations (relevant PADs, ICRs, and Development analytical work) Agencies • Development partner initiatives 26 Pre-Diagnostic Review After the initial screening of available plans and studies, the team meets with relevant city departments to review the list of documents for relevance and applicability to the city’s current and planned activities. The team explores which documents are actually informing and guiding the city’s work. The story of each document, including purpose and conditions under which it was produced (authors, collaborators and funders) and real-life application (which department used the document, when and for what purpose) is summarized in the Briefing Note. Stage 1 A decision could be taken at this point to commission specific background studies or data collection initiatives depending on the context and availability of information. This is particularly relevant for cities with very limited baseline data across sectors. However, identification of specific knowledge gaps can also be one of the outcomes of the diagnostic. When the CityStrength Diagnostic becomes more widely used, there may be an opportunity to work with development partners and academia on a set of customized analytics that serve as inputs to the process. Map the Stakeholders During the implementation of the CityStrength Diagnostic, it is essential to identify and organize meetings with key officials at all relevant levels of government as well as other stakeholders such as NGOs, private sector associations, universities, etc. Inclusiveness is a key characteristic of a resilient city, and the diagnostic is an opportunity to strengthen connections that may be weak or non-existent among members of the community. Moreover, these stakeholders may play an important role in developing viable resilience building strategies and their ultimate implementation. In order to identify the key stakeholders, the Task Team must develop a clear understanding of the political and institutional reality in the city. This may include regional and national stakeholders, as certain policies and actions may not be within the mandate of the local government and actions taken in the city may have consequences beyond its boundaries. Moreover, the shocks and stresses being experienced in the city may be connected to the actions of neighboring districts and regions. Finally, to capture and build on ongoing activities in the city and to learn from previous projects carried out, it is important to consult with development organizations and experts engaged locally. The Team should provide a good summary of the city’s political and institutional context, including responsibilities of local, regional/sub-national, and national government, as well as active donor agencies, research institutes and civil society groups. A comprehensive mapping of actors ensures that a technically suitable and diversified group of stakeholders is included in the diagnostic process. 27 Methodological Guide: CityStrength Diagnostic Target stakeholders could include: • Local leadership and technical departmental/committee staff; • Representatives of regional resilience collaborations and/or central government initiatives; • Local institutions (public utilities/service provides, planning agencies, public-private Stage 1 agencies providing household services, etc.); • Private sector (chambers of commerce, industry groups, etc.); • Civil society (local and international NGOs) and community groups; • Schools, universities and research institutes; and • Other multilateral and international organizations with ongoing activities in the city. In addition to identifying relevant participants, the Pre-Diagnostic Review mapping should include key information about stakeholders’ ongoing and planned activities related to each sector, as well as the relationship between the local government and different stakeholders in the city. Figure 9 provides a template for capturing information on stakeholders. Figure 9: Template for Mapping Stakeholders and Activities Agency Type of Current Planned Activity Name Entity Expertise 1 Contact Activities Activities Collaborators Expanding Developing Water and Water and piped city-wide Dept. of Sanitation Local Sanitation; Ms. X sewerage sanitation Construction Dept. drainage networks into plan new district Climate Modeling Study on Climate Change; Mr. Y regional Climate Change historical Institute Academia natural climate Coordination levels of resource change Office subsidence mgmt Impacts Identify Preliminary Shocks and Stresses Generally speaking, a shock is a single unpredictable event and a stress is an ongoing hardship that a community experiences every day. The CityStrength Diagnostic methodology includes a framework for classifying shocks and stresses (Figure 10); a total of 96 unique shocks and stresses that could occur in cities have been identified and are listed in Resource 1. 28 Pre-Diagnostic Review The purpose of the framework is to help city stakeholders explore the range of shocks and stresses that could inhibit the city from achieving its goals. The framework is intended to facilitate a high-level discussion regarding the likelihood of particular shocks and stresses. Consideration of the shocks and stresses from a vulnerability perspective, including current city actions to prepare for and mitigate the potential impact of shocks or to reduce stresses, will take place later in the process. Stage 1 Figure 10: Framework for Classifying Shocks and Stresses Hazard Group Hazard Sub- Hazard Type Example Shock or Describes the Group Outlines the Describes the Stress driver of the risk Describes the na- general problem precise issue States if it is 1. Natural ture of the hazard likely to manifest 2. Human 1. Meteorological as a shock (i.e. 2. Climatological high impact, 3. Geophysical 4. Hydrological low frequency) 5. Biological or a stress (i.e. 6. Extra-terrestial low impact, high 7. Socio-economic 8. Environmental frequency) 9. Technological Natural Climatological Wildfire Brush Fire Shock Human Socio-economic Economic Unemployment Stress ‘Natural’ is disaggregated into: geophysical, hydrological, meteorological, climatological, biological, and extra-terrestrial. This is consistent with widely accepted disaster risk reduction hazard classifications used by organizations such as the Centre for Research on the Epidemiology of Disasters. ‘Human’ is disaggregated into: socio-economic, political, and environmental issues. ‘Climate Change’ could be considered as a third hazard group placed at the end of the classification. Teams are asked to first consider the shocks and stresses that the city currently faces, and then contemplate how these might change as a result of climate change. However, it is important to note that climate change is just one dynamic factor and other issues such as rapid urbanization and demographic change may also compound or create shocks. Consulting with the City Focal Point, city departments, research institutes and other expert groups, as appropriate, the Task Team identifies a preliminary list of shocks and stresses exhibited in the city. This preliminary list will be used during the Launch Workshop, at which time a broader set of 29 Methodological Guide: CityStrength Diagnostic stakeholders will be able to comment on and confirm the set of shocks and stress that should be used during the diagnostic. Weighing and prioritizing shocks and stresses is a challenging process. The CityStrength Diagnostic uses an approach that mixes perceptions of risk with available data. The “facts” available in any existing vulnerability assessments and sectoral studies are presented to local stakeholders, but their Stage 1 perceptions of which shocks and stresses are most important can be skewed by recent events or personal experiences. Figure 11 shows the draft list of shocks and stresses identified during Stage 1 of the CityStrength pilots in Can Tho and Addis Ababa versus the final agreed set of shocks and stresses at the conclusion of the process. Figure 11: Evolution of Shocks and Stresses from Pre-Diagnostic Review to Final List PILOT CITY SHOCKS STRESSES List of Shocks and Stress Identified during the Pre-Diagnostic Review • Flooding • Rapid urbanization • Draught and saline intrusion Can Tho • Encroachment on channels • High temperatures • Conflicting water usage • Storms • Flooding and landslides • Sprawling growth Addis Ababa • Fire • Housing shortage/informality • Earthquake • Water scarcity • Unemployment Final List of Shocks and Stresses • Flooding • Uncontrolled urbanization Can Tho • Subsidence • Insufficient sanitation • Unprecedented Urban growth • Flooding • Water Scarcity Addis Ababa • Fire • Unemployment and Social • Earthquake Vulnerability 30 Pre-Diagnostic Review Prepare the Briefing Note The purpose of the Briefing Note is to pull together and synthesize all the available information regarding the sectors covered in the CityStrength Diagnostic as well as important institutional information to provide the Task Team with a solid understanding of the current situation in the city before they begin the field work component of the diagnostic. The Briefing Note will serve as a Stage 1 reference for the team as they embark on the Launch Workshop and follow-up interviews with city stakeholders. The Briefing Note needs to strike a balance between comprehensiveness and brevity. The challenge is deciding which pieces of information are essential for the Task Team members to know while also providing a coherent overview. At a minimum, the Briefing Note should contain the following information: • Listing of documents available and included in the review; • Demographic and service delivery snapshots and trends; • Institutional structure of the local government; • Key findings of relevant studies and plans, highlighting the actual usage of these document by city departments to inform policy and projects; • Preliminary list of shocks and stresses, including the rationale for their selection; and • An overview of all relevant stakeholders in the city, ongoing activities and future plans. The Briefing Note and library of documents are shared with the full Task Team as early as possible in the process. It is not assumed that the Briefing Note alone is sufficient to fully prepare technical specialists who are not familiar with the city, rather it is intended to serve as a guide so that the specialists are aware of the full library of resources available to them for further, more detailed review. It is the individual specialist’s responsibility to make sure that he or she is adequately prepared to participate in the diagnostic. In addition to the Briefing Note, any relevant maps or geo-referenced data that could enable the Task Team to better understand spatial issues in the city should be collected. Figure 12 provides a long list of useful maps for the diagnostic. 31 Methodological Guide: CityStrength Diagnostic Figure 12: Useful Maps TYPE ATTRIBUTES City Baseline Map City boundaries and sub-municipal boundaries (e.g., districts, wards) City Baseline Map Topography: elevation, water bodies Stage 1 City Baseline Map Major roads Major infrastructure: water supply, sanitation and sewerage, roads, highways, bridges, City Baseline Map ports, power supply, among others City Baseline Map Natural elements, mangrove, hills, rivers, plantations, among others City Socio-economic Map Incomes City Socio-economic Map Densities City Socio-economic Map Land use designations Economic activities including commercial zones, central business districts, hotels, and City Socio-economic Map tourist facilities City Socio-economic Map Industrial areas including ports, industrial zones, and factories City Socio-economic Map Major community buildings, religious buildings, and historic/cultural assets City Socio-economic Map Social services infrastructure, including schools, hospitals, and clinics City Socio-economic Map Informal development areas City Hazard Profile Map Vulnerability and risk City Hazard Profile Map Affected areas City Hazard Profile Map Housing destroyed and damaged City Hazard Profile Map Infrastructure and services damaged City Hazard Profile Map Economic impact Hazard mitigation infrastructure, including location of sea walls, dikes, retention City Hazard Profile Map ponds, etc. City Future Growth Map Changes in the overall city’s boundaries City Future Growth Map Planned investments City Future Growth Map Changes in land use designations City Future Growth Map Projected changes to population densities and economic activity City Future Growth Map Projected changes in location of vulnerable populations City Future Growth Map Changes in intensity, frequency, and location of hazards based on hazard modeling 32 Pre-Diagnostic Review Train the Task Team In addition to reviewing this guidebook, Task Team members may require training on the CityStrength Diagnostic and the concepts underpinning urban resilience prior to engaging with local stakeholders. This can be done through a combination of group meetings, presentations, and one-on-one explanations. Based on the pilot experiences, the learning process among the team may require Stage 1 multiple modes of knowledge transfer. It may be challenging to conduct trainings with the full Task Team, and, therefore, necessary to conduct multiple trainings or meetings with smaller sub-groups. Organizing a brown bag lunch (BBL) or other session in the country office is also an opportunity to train the specialists participating in the implementation as well as inform others about the initiative. 33 34 Stage 2: Launch Workshop Stage 2 has multiple objectives – to ‘officially’ launch the CityStrength Diagnostic process in the city, to explain the concept of urban resilience, to learn about the city’s goals and objectives, to confirm the initial findings from Stage 1, to introduce the multi-sectoral World Bank team, and to engage with a broad set of stakeholders. Invite Workshop Participants Since the Launch Workshop should facilitate mutual information sharing, it is structured to include a relatively large number of participants. It will be important to work closely with the City Focal Point to identify and invite relevant stakeholders to the workshop. It is also crucial to get the approval of the Mayor and receive support in disseminating the invitations. The City Focal Point could also support the logistical arrangements and preparations for the workshop and could advise on cultural and political customs. Depending on the local context and existing cooperation between different stakeholder groups, the following list of stakeholders might be taken into consideration: • Mayor and Mayor’s office; • Technical staff such as departmental directors, urban planners, sectoral managers etc; • Civil society (community representatives, NGOs); • Private sector (banks, private companies, service providers); • Academia/research; • Other tiers of government (regional/national); and • Development organizations/donors active in the city. As a qualitative, interview-based diagnostic, participation by knowledgeable technical staff and city leadership is essential to its success. If important stakeholders are not able to attend, the Task Team should make a strong effort to meet with them at a later time. All Task Team members should be prepared to provide a short preview of the CityStrength Diagnostic process during the one-on-one meetings. On the World Bank side, all Task Team members should attend the Launch Workshop. In addition, if possible, a representative from the County Management Unit should open the workshop alongside a leader from the local government. Ideally, this would be the Country Director and the Mayor. 35 Methodological Guide: CityStrength Diagnostic Prepare Workshop Materials Preparation for the Launch Workshop is largely done in parallel with the Pre-Diagnostic Review. Specifically, the Briefing Note is the key input to the World Bank’s presentations, the draft list of invitees, the preliminary list of shocks and stresses, and content for group activities. Figure 13 outlines the basic sections of the Launch Workshop, and can serve as a guide for the materials that will need to Stage 2 be prepared. There are several presentations for which standard content has been prepared, including the Overview of Workshop, Overview of Urban Resilience, and the Introduction to the CityStrength Diagnostic. Examples used in these base presentations should be customized to the local context with case studies that may resonate better with participants. A template presentation is also available for Overview of the Pre-Diagnostic Findings segment of the workshop, however, this will require significant customization based on the content of the Briefing Note. A group exercise on the topic of perceived shocks and stresses is recommended, the objective of which is to identify those that are a priority for inclusion in the diagnostic. It is also an opportunity for diverse stakeholders to exchange views on risks that could inhibit the city from achieving its goals. Resource 2 provides guidance on organizing and facilitating the group exercise. Conduct the Workshop The Launch Workshop is a half-day event that is designed to engage city stakeholders and World Bank specialists in a dialogue related to urban resilience. The facility selected for the workshop should be large enough to accommodate 50-80 participants with multiple round tables for group exercises and discussion. In both pilot implementations of the diagnostic, the Launch Workshop was conducted in a hotel conference center. It is crucial to understand the cultural context of the city while designing the workshop agenda, including facilitation of discussions, timing of the workshop (i.e. start time in the morning, lunch break etc.), and finding the right balance between plenary presentations and breakout group activities. In all cases, ample time should be provided for discussion between presentations so as to promote the participation of all stakeholders. 36 Launch Workshop Figure 13: Workshop Modules MODULE COMPONENT PRESENTER(S) OBJECTIVE Country Director/ • Explain the broader context Program Leader and Stage 2 Welcome of the workshop Mayor or other senior • Clarify the objectives of the Welcome & Introduction official workshop • Demonstrate the Overview of Task Team Leader and commitment of city Workshop leadership City Focal Point Overview of • Share relevant city plans and Identifying City City Plans and projects Achievements, Plans City Official Development Goals • Discuss and confirm the city’s and Goals long-term goals Overview of Urban Task Team Leader • Explain the concept of urban Resilience or CityStrength resilience Coordinator • Highlight the benefits of Understanding the enhancing urban resilience CityStrength Diagnostic Introduction to Task Team Leader for the city the CityStrength or CityStrength • Explain the CityStrength Diagnostic Coordinator Diagnostic process • Share and discuss the main findings from existing studies, Confirming the Findings Overview of the plans, and interviews with of the Pre-Diagnostic Pre-Diagnostic Task Team Member city departments Review Findings • Share the preliminary list of shocks and stresses identified during Stage 1 Facilitated • Share and discuss perceived breakout group shocks and stresses in the Exploring Shocks and discussions on city that should be included Task Team Stresses in the City perceived shocks in the CSD and stresses in the • Reach consensus on primary city shocks and stresses • Explain the next steps, Conclusions & including field visits and Planning for Stage Task Team Leader and interviews Next Steps 3 City Focal Point • Clarify the role of city stakeholders throughout the process 37 38 Stage 3: Interviews and Field Visits The objective of Stage 3 is to collect additional information on the performance of urban system through interviews with relevant stakeholders and field visits to targeted areas in the city. Participate in Field Visits The selection of sites for field visits in the city should be decided jointly by the World Bank and local government staff. The decision should be informed by the shocks and stresses identified, the sectors selected for inclusion in the diagnostic, city development plans, and issues raised during the Launch Workshop. The objective is to gain a shared understanding of risks in the city by visiting locations that could be considered hotspots of vulnerability (existing and projected) and provide a good representation of sectoral challenges and achievements. The field visit itinerary could be defined through a cross-sectoral group discussion or a mapping exercise (Resource 3). Depending on the number of participants present, the mapping exercise could either be carried out in plenary or breakout group mode. The base maps upon which participants will provide input could be skeletal (i.e. simply the road network and major landmarks) or fully populated (i.e. all major infrastructure networks are shown), depending on the availability and quality of digitized maps in the city. If the former, substantial time will need to be allocated to schematically populating the base map using the questions provided in the exercise description. In all cases, for the exercise to be a success, technical staff from relevant local government agencies must participate. Figure 14: Exercises in Can Tho, Vietnam and Addis Ababa, Ethiopia 39 Methodological Guide: CityStrength Diagnostic The timing of the field visits will depend on the local context, including the distance between sites, the number of people participating, and the scheduling of interviews and focus groups. For example, in the Can Tho pilot the field visit included all Task Team members as well as staff from a Project Management Unit, had a duration of approximately 4 hours, and took place the day following the Launch Workshop. However, in Addis Ababa, the Task Team conducted the field visits in two groups Stage 3 to accommodate the simultaneous scheduling of interviews with stakeholders. In addition, the two groups planned distinct itineraries due to the distance between sites and traffic congestion. It was determined that this would be the most efficient approach given the local context. In both pilots, there were topics that arose during interviews with local stakeholders that motivated World Bank specialists to conduct additional visits to specific locations. In addition to gaining a shared understanding of the city, the field visits are an opportunity to delve into sectoral issues with counterparts in advance of the more formal interviews and focus group meetings. There is often a significant amount of time spent in transit between sites. Moreover, it is an opportunity for cross-sectoral learning and awareness building for both the World Bank team and technical staff from the city government. Conduct Interviews on Sectoral Issues While the summary of information in the Briefing Note (Stage 1) and discussions during the Launch Workshop (Stage 2) provide the foundation for understanding the city’s development trends and exposure to different shocks and stresses, the Sectoral Guiding Questions (see Resources 4-17) provide the framework for the more detailed evaluation of the resilience of individual sectors. The Guiding Questions were developed based on a review of 40 relevant tools, frameworks, and methodologies, resulting in a database of over 600 possible questions or indicators. This was then filtered, revised, and amended. CityStrength is a qualitative assessment, and, as such, the Guiding Questions are intended to support seasoned technical experts in a dialogue with local stakeholders. They are not intended to be used as a checklist or tool for a desk-based study. Depending on the specific city context, some questions may not be relevant or additional questions may need to be added. The augmentation of the questions will depend on the judgment of the World Bank specialist. Each set of Guiding Questions is organized by topics specific to the sector and includes a description of why the question is relevant to evaluating urban resilience. The Task Team members are provided with a worksheet template to facilitate the collection of information to respond to the questions. The responses provided in the worksheet are used as an input to the Prioritization Session (Stage 4) as well as the publication produced after implementation to capture the findings of the diagnostic in the city. 40 Interviews and Field Visits Some of the Guiding Questions can be addressed with information garnered from the Pre-Diagnostic Review (Stage 1) and the Launch Workshop (Stage 2), but the majority of the responses will come from or be confirmed by the one-on-one interviews, focus groups discussions, and field visits during this stage of the diagnostic. As such, scheduling meetings with relevant officials, technical staff, CSOs, and other stakeholders is critical, and each World Bank specialist should be pro-active in communicating Stage 3 to the Task Team Leader and/or local support the list of people with whom he or she would like to meet. It is preferable to meet with local officials and technical staff in their offices where they have all the materials that may be useful for the diagnostic readily available. In addition to one-one-one interviews between World Bank and counterpart staff on a specific sector, it is recommended that the Task Team organizes group interviews or focus group discussions that include 2-3 local government departments and 2-3 World Bank sector specialists. This format can support cross-sectoral discussion and may initiate cross-departmental understanding and collaboration in the local government. For example, in the Can Tho pilot, a series of group interviews was conducted using a café style format in which 4 discussion tables were happening concurrently and rotated in 45 minute intervals. The Vice Chairwoman of Can Tho considered this activity one of the most fruitful components of the diagnostic because she observed how department heads had inconsistent, and sometimes conflicting, understandings about the planning and operation of some vital systems in the city. 41 Methodological Guide: CityStrength Diagnostic Figure 15: Summary of Sectoral Guiding Questions MODULE TOPIC # OF GUIDING QUESTIONS Community & Social Protection 21 Stage 3 Disaster Risk Management 18 Education 12 Energy 26 Environment 14 Health 13 Informational & Communications Technology 17 Local Economy 12 Logistics & Supply Chains 14 Municipal Finance 18 Solid Waste Management 18 Transport 18 Urban Development 22 Water & Sanitation 15 TOTAL 238 Organizing the field visits and interviews can be a very difficult task, involving travel planning, calls to multiple stakeholders, interpreters, and last minute rescheduling. If possible, administrative support should be requested from the Country Office to centralize this set of tasks with someone who is familiar with the city and stakeholders, and fluent in the local language. 42 Interviews and Field Visits Stage 3 43 44 Stage 4: Prioritization The objective of Stage 4 is to prioritize actions and investments to enhance resilience in the city. This is done using multiple “lenses” to qualitatively identify measures that the participating specialists recommend as the most important for the city leaders to consider. Assess Resilience through Multiple Lenses The prioritization process uses a number of lenses to facilitate the analysis of the sectoral findings and to support the identification of priority actions and investments that would enhance the overall resilience of the city. Actions are soft measures such as capacity building, institution strengthening, or regulatory improvements, while investments are hard measures such as construction of infrastructure or establishment of a subsidy system. The lenses are first used by the technical specialists to create the short-list of recommendations related to their respective sectors. They are used sequentially as the diagnostic process progresses; starting with Lens 1 and ending with Lens 4. As such, the worksheet for Lens 4 asks each technical specialist to list recommendations for the sector and then rate how well the recommendation aligns with local goals and objectives. When the technical specialists come together for the Prioritization Session, they come prepared with the completed worksheets related to each of the four lenses. At this point, the lenses are used iteratively to look more holistically at the city’s level of resilience to defined shocks and stresses and to define priority actions and investments that will have the most benefit in terms of enhancing resilience while also move forward important development initiatives. It is recommended that the Task Team uses all of the lenses described below to arrive at final recommendations. They have been designed to ensure that multiple aspects of city-wide resilience are taken into consideration. However, there is flexibility in terms of how the lenses are discussed during the Prioritization Session. 45 Methodological Guide: CityStrength Diagnostic Lens 1 – Shock and Stress Assessment The objective of Lens 1 is to help understand the potential impact of significant shocks and stresses in the city, and particularly which people and assets are directly in danger. The rationale is that people and assets under imminent threat should be considered a high priority for investment or other Stage 4 actions. In Lens 1, the technical specialists apply the list of shocks and stresses that emerged from the Pre- Diagnostic Review (Stage 1) and Launch Workshop (Stage 2) to the specific sector that is being evaluated. Shocks are assessed using a traditional risk assessment process in which risk is considered as a factor of likelihood and intensity of the shock, the sector’s level of exposure to the shock, and any underlying vulnerabilities exacerbating the impact (e.g. social or physical fragilities). It is difficult to apply a traditional risk assessment process to stresses, however, because they are often ongoing, making consideration of likelihood unnecessary. In addition, other aspects such as trends (whether the situation is improving or deteriorating) need to be considered. Therefore, the worksheet for Lens 1 is composed of two parts—the first is focused on shocks and the second on stresses. Upon completion of the Lens 1 worksheets, it is expected that the technical specialist will have identified specific communities, socio-economic groups, and/or assets that are at high risk, and hence should be considered a priority for action in the sector. Lens 2 – Dependencies and Interdependencies The objective of Lens 2 is to improve understanding of dependencies and interdependencies within urban services and systems that can cause cascading disruption or failure, or compound existing vulnerabilities. Interdependencies have become a growing phenomenon across infrastructure sectors as they are not only a point of potential vulnerability but may also compound existing vulnerabilities and carry these vulnerabilities across multiple infrastructure sectors. For example, failure in the electricity system can have cascading impacts on multiple sectors by bringing electric powered equipment to a halt, including ground water pumping stations, overhead transportation lines, and communications cell towers. The worksheets for Lens 2 ask sector experts to consider: a. Whether their sector might be under additional pressure if another sector were to be disrupted (horizontal assessment); and b. Whether other sectors might be under additional pressure if their sector were to be disrupted (vertical assessment). 46 Prioritization When all the sector experts have completed this exercise, a full outlook of city sector interdependencies will exist. An interdependency matrix (Resource 23) will be prepared by the Task Team Leader for discussion and confirmation during the Prioritization Session. Once sector relationships are better understood, the sector experts can go back to Lens 1, exploring major sector Stage 4 vulnerabilities (to shocks and stresses) and potential implications to the wider urban system. Lens 3 – Holistic Resilience The objective of Lens 3 is to bring together the information from the sector evaluations, and think holistically (rather than sectorally) about the city’s resilience in order to identify critical gaps or areas of weakness. To facilitate the cross-sectoral discussion and evaluation of priority actions and investments that will enhance overall resilience of the city, there are two options for Lens 3. Teams are welcome to use both approaches, but it is not required. OPTION 1: QUALITIES OF RESILIENCE. In Option 1, technical specialists are asked to rate how well their sector reflects each of the qualities of resilience—Robust, Redundant, Reflective, Coordinated, and Inclusive—and provide a justification for the rating (Resource 20). This is a qualitative rating based on the specialist’s experience and information collected as part of the diagnostic. The Task Team Leader collates these ratings into a matrix for discussion during the Prioritization Session (Resource 24). The matrix will provide a cross-sectoral snapshot of how the city is performing in relation to the five qualities of resilience. For example, it could reveal that the city rates quite well in terms of robustness across most sectors (i.e., infrastructure is well-conceived, constructed and managed), but is weak in terms of coordination (i.e., knowledge is not shared, planning is not collaborative and strategic, and decision-making is not based on investments that are mutually supportive towards a common outcome). It is the discussion around the score, rather than the score itself, that will catalyze the conversation among specialists and enable critical reflection leading to the ultimate set of recommendations made by the Team to the city leadership. OPTION 2: CITY RESILIENCE FRAMEWORK. Option 2 uses the City Resilience Framework (CRF), developed by Arup International, to rate how well their sector contributes to four dimensions of resilience at the city level— health and wellbeing; economy and society; leadership and strategy; and systems and services. The CRF aims to form the basis for a common understanding of urban resilience and a ‘baseline’ for what matters most for making cities more resilient. The CRF indicators have been integrated into the Sectoral Guiding Questions to facilitate the use of this option. For each of the CRF indicators included in a specific sector’s guiding questions, the relevant technical specialist is asked to provide a rating of how well the sector performs (Resource 47 Methodological Guide: CityStrength Diagnostic 21). This is a qualitative rating based on the specialist’s experience and information collected as part of the diagnostic. The Task Team Leader collates these ratings into a CRF matrix for discussion during the Prioritization Session (Resource 25). Presented within the CRF, the ratings will provide a cross-sectoral snapshot of how the city is performing in relation to the four dimensions of resilience described above. The CRF is not only useful for identifying weaknesses, but also strengths within Stage 4 the city that can be built upon. Another benefit of the CRF is that it can be used to link the city into a global discussion on resilience (i.e., the 100 Resilient Cities Challenge also uses the CRF). Lens 4 – Alignment with Local Goals The objective of Lens 4 is to help align the recommended actions and investments with local goals and objectives. Inclusion of this lens in the diagnostic is important for multiple reasons, including scarcity of local resources, stakeholder ownership and support, and long-term sustainability of resilience efforts. The lens reflects the assertion that resilience is not an end state, but rather an attribute that better enables a city to achieve its development goals. The worksheet for Lens 4 asks the technical specialist to list the city’s official goals, objectives, or aspirations as stated in government planning documents such as comprehensive plans or 5-year plans. This portion of the worksheet could be completed as a Task Team after the Launch Workshop (Stage 2), during which the local government is asked to make a formal presentation of the city’s goals. It then asks the specialists to list sector-specific goals. These could be gleaned from master plans, investment plans, or stakeholder interviews. It is within the Lens 4 worksheet that technical specialists are asked to provide their short-list of recommended actions and investments to enhance resilience within the sector. For each recommendation, the specialist must rate how well-aligned it is with the local government’s goals and objectives. This process provides an opportunity for reflection – Are any of the recommendations contrary to the goals? Is there a way to bring the recommendations into better alignment with the goals? Are all the recommendations focused on enhancing resilience? Bringing the Lenses Together Lens 1 and 2, if considered together, help in determining the consequence of the most significant shocks and stresses. They capture both direct (Lens 1) and indirect impacts as a result of interdependencies between sectors and the potential for cascading failures (Lens 2). Alone, however, they would lean towards a perpetuation of the ‘predict and prevent’ paradigm that underpins disaster risk reduction, and does not account for unknown shocks and stresses or accept that it is not necessarily possible to determine the way in which they will play out. 48 Prioritization These lenses are counter-balanced by Lens 3, which recognizes the city as a complex system and integrates future uncertainty. Lens 3 brings together information from the sectoral assessments to identify key gaps or weaknesses that need to be addressed to enhance citywide resilience in a holistic way. The opportunity is to align this with the overall development Goals and Objectives (Lens 4), Stage 4 whilst ensuring that the most significant risks (or threats) have been considered (Lens 1 and 2). Prioritize Actions and Investments Task Team members should submit the completed worksheets for Lens 1-4 prior to the Prioritization Session so that there is ample time for synthesizing the information and populating cross-sectoral matrices in advance. TIMING The Prioritization Session takes place after all the one-one-one interviews, group discussions, and field visits are conducted. With the rapid approach, it would be a 3-4 hour session organized for the day prior to the wrap-up session with city leadership. With the incremental approach, it would be a full day event occurring at least a week before the wrap-up session with city leadership. PARTICIPANTS AND ROLES All Task Team members must participate in the Prioritization Session. Sectoral recommendations submitted in writing with the completed worksheets will likely evolve and transform during the session, as such, it is paramount that the experts who contributed to the sectoral work are present to discuss and debate the final set of recommendations. In some contexts, it may be possible to invite technical staff from the local government to participate in the Prioritization Session. Their input would benefit the process by providing additional insights on issues, feedback on preliminary recommendations, and ideas for increasing the feasibility of proposed actions and investments. The CityStrength Coordinator, Task Team Leader, or a professional facilitator will guide the prioritization process. It is important that the facilitator is an unbiased, enabler of cross-sectoral dialogue so that all technical specialists feel that there is a level playing field for sharing ideas. It is helpful to identify an official note taker prior to commencing the session. The facilitator may use large note pads or white boards to help organize suggestions and concepts, but there should be someone taking detailed notes in addition. This will be helpful in preparing for the wrap-up session with city leadership, drafting of the aide memoire, and the development of the publication of findings. 49 Methodological Guide: CityStrength Diagnostic Step 1: Review and Consensus on Shocks and Stresses Agree on the top 3 shocks and 3 stresses facing the city. The Pre-Diagnostic Review (Stage 1) resulted in a list of preliminary shocks and stresses. This list was Stage 4 used during the Launch Workshop (Stage 2) to catalyze discussion among city stakeholders about their perceptions of shocks and stresses in the city, and resulted in a revised list. The Task Team is now asked to evaluate this list based on their sectoral expertise, experience, and information learned and observed during Stage 3. Has an important shock or stress been omitted? Is a shock or stress being overstated? Is there a shock or stress that should be tentatively included on the list, but which requires additional analysis? Finally, if there are more than 3 shocks and 3 stresses facing the city, is it possible to bundle some of them together? Step 2: Review and Consensus on People or Assets at High Risk Identify the specific communities, socio-economic groups, and/or assets that are at high risk in the city. On a sector by sector basis, each technical specialist has identified specific communities, groups, and/ or assets that are in direct danger from shocks and stresses. Prior to the Prioritization Session, the facilitator will combine the content provided by each specialist on the Lens 1 worksheets into a table or cards that can be used for clustering on a wall or white board. Each specialist will present their analysis and provide clarification if needed. Are the sectoral findings consistent? Are there specific areas of the city that could be considered hot spots? If the list of key shocks and stresses was revised in Step 1, does it impact the composition of people or assets at high risk? Step 3: Review and Consensus on City Goals Agree on the primary city and sectoral goals. Using the worksheet from Lens 4, the group reviews and confirms the city’s formal development goals. In most cases, this will have been presented by a city official during the Launch Workshop (Stage 2). Each technical specialist is given the opportunity to share any sector-specific goals that he or she considers significant for the prioritization process. 50 Prioritization Step 4: Sharing and Clustering of Sectoral Recommendations Organize the sectoral recommendations into clusters according to the themes. This step also utilizes the worksheet from Lens 4. Prior to the session, the Task Team Leader will Stage 4 collect the sectoral recommendations and put them on to individual sheets or cards. Each card should list a specific recommendation and denote from which sector it came and if it is an action or an investment. Each technical specialist is asked to present their sector’s recommendations. Once all sectors have been presented, and any questions or clarifications addressed, the group will cluster the recommendations on a wall or white board. Topics around which the cards could be clustered include: • Proposed actions (institutional strengthening, capacity building, data collection, regulatory reforms, etc.) • Proposed investments (new infrastructure, rehabilitation of infrastructure, safety net systems, new programs, etc.) • Measures to address specific shocks or stresses • Measures to protect specific communities, groups, or assets • Short-term versus medium-term measures At this point, it is not necessary to consolidate or remove specific recommendations. That will happen in Step 7. However, if there is early consensus to consolidate, remove, or revise, the group is free to do so. Step 5: Review of the Interdependency Matrix Identify key interdependencies among sectors – citywide or in specific geographic locations. Prior to the session, the Task Team Leader populates an Interdependency Matrix based on the content of the Lens 2 worksheets submitted by the technical specialists. The matrix is color-coded to indicate in red sectors with significant interdependence (i.e., sectors in which damage from a shock or stress would significantly impact another sector), in yellow the sectors that have moderate interdependence, and in green the sectors with little or no interdependence. This matrix is distributed to the group for discussion. Does this full outlook of city sector interdependencies change your diagnosis of the specific communities, socio-economic groups, and/or assets that are at high risk? Does it compel you to revise or augment your sectoral recommendations? 51 Methodological Guide: CityStrength Diagnostic Step 6: Review of the Holistic City Resilience Matrix Identify critical gaps or areas of weakness in regard to overall city resilience. Prior to the session, the Task Team Leader populates the Holistic City Resilience Matrix (using either Stage 4 Option 1—Qualities of Resilience or Option 2—City Resilience Framework described earlier). This matrix is distributed to the group for discussion. Does the matrix reveal critical gaps or areas of weakness in regard to overall city resilience? Does it compel you to revise or augment your sectoral recommendations? Step 7: Revisit the Sectoral Recommendations Revise and re-cluster recommendations from Step 3, and identify any new overarching recommendations. In Steps 5 and 6, the technical specialists are invited to revise their sectoral recommendations based on the outcome of the interdependency analysis and holistic look at city resilience. In this step, the group is asked to revisit the conclusion of Step 3 and refine any overarching recommendations based on the insights that emerged from Steps 5 and 6. To make the set of recommendations easily digestible by local stakeholders, it is recommended that the group develop 1 or 2 overarching recommendations followed by up to 5 actions and 5 investments. Step 8: Calibrate the Recommended Actions and Investments Review the consolidated list of recommendations for alignment with local goals from Step 3. In the final step, the group assesses the alignment between the consolidated list of recommendations and local goals from Step 3. Similar to the exercise completed in Lens 4 on a sectoral basis, this juncture offers an opportunity for reflection. Are any of the recommendations contrary to the goals? Is there a way to bring the recommendations into better alignment with the goals? Are all the recommendations focused on enhancing resilience? 52 Prioritization Stage 4 53 54 Stage 5: Next Steps The objective of Stage 5 is to discuss the findings of the diagnostic with local leadership, share recommendations, and agree on next steps. Prior to sharing the draft recommendations with the counterpart, World Bank management may want to be briefed. The Task Team Leader should confer with the CMU early in the diagnostic process to ensure that ample time for briefing is allocated if necessary. The time between the Prioritization Session and the wrap-up meeting with city leadership may be quite short, and, therefore, the Task Team Leader and CMU should agree in advance on the timing. Wrap-up Meeting with City Leadership Depending on the local context, the wrap-up meeting may be with a small group of city officials or with the same large set of stakeholders who participated in the Launch Workshop. The format and size will inform the type of materials that need to be prepared in advance. For a small scale gathering, the Task Team should prepare talking points to share in hard copy. For a larger event, it may be more appropriate to prepare a PowerPoint presentation. For example, in the Addis Ababa pilot, the wrap-up meeting consisted of the Mayor and the Deputy Mayor while in the Can Tho pilot, the wrap-up meeting was organized in a workshop format and included the Chairman, Vice-Chairwoman, all heads of departments, and representatives from select ministries. An aide memoire should be prepared capturing the main findings of the diagnostic, recommendations for priority actions and investments, and agreed next steps. Importantly, the aide memoire should reflect input and feedback from the wrap-up meetings and highlight any data gaps that could significantly alter the recommendations. Depending on Bank management norms, the aide memoire should be delivered to the city within 1 week after the wrap-up meeting. Make the Findings Public After agreeing on priorities and next steps, the Task Team prepares a brief publication highlighting the findings of the CityStrength Diagnostic, incorporating direction and feedback from local stakeholders, as well as additional research and verification, as applicable. This could be used by the local government to facilitate communication with a broad set of internal and external stakeholders. Ultimately, the local government decides if a publication should be prepared. The purpose of the publication is to document and make public the resilience building priorities 55 Methodological Guide: CityStrength Diagnostic agreed with local leadership during the implementation of the diagnostic. To effectively communicate the findings to a broad audience, it is recommended that the publication be relatively short (max 50 pages), rich with graphics such as maps, infographics, and pictures, and use simple, accessible language. It is also recommended that the publication be translated into the local language and disseminated through local media channels. In Can Tho, for example, the dissemination of the Stage 5 publication was supported by the production of a video highlighting the impact of the city’s chronic flooding on residents. The publication, video, and article were made available in Vietnamese. Figure 16 provides a suggested outline for the content of the publication. Figure 16: Content of the CityStrength Diagnostic Findings Publication SECTION CONTENT Presents the objective of CityStrength Diagnostic and any relevant Note to the Reader background on its implementation in the city such as dates and participants. Highlights the rationale for implementing the CityStrength Diagnostic in Letter from the Mayor the city and demonstrates commitment to enhancing urban resilience Provides a summary of the main shocks and stresses facing the city and Executive Summary recommended priority actions and investment Overview of Urban Defines the concept of urban resilience and why it is a critical issue for Resilience the city Overview of the CityStrength Describes the objective of the CityStrength Diagnostic and its 5 stages Diagnostic Provides key socio-economic, geographic, climatic and service delivery Description of the city information. Presents the city’s goals and objectives for development Shocks and Stresses in the Describes the main shocks and stresses that could inhibit the city from City reaching its development goals Provides snapshots of each sector included in the diagnostic, including Findings of the CityStrength their performance relative to the qualities of resilience, recent support Diagnostic from development partners, and recommendations for improvement Presents the recommended actions and investments for enhancing the Recommendations city’s resilience Presents a sub-set of short term and/or low cost resilience enhancing Immediate Measures measures that the city can start implementing immediately List all of the studies, reports, and plans reviewed as part of the Resources diagnostic 56 Next Steps The Task Team Leader will take the lead in preparing the first draft of the publication based on several inputs, including: the final aide memoire, the responses to the Sectoral Guiding Questions, the completed and refined lens worksheets, the notes from the Prioritization Session, and information collected during the Pre-Diagnostic Review. The first draft is circulated to the Task Team, and it is the Stage 5 responsibility of all team members to provide comments and revisions to ensure that the publication accurately reflects the diagnostic process and outcomes. Given that the publication will be a public statement of the Bank’s recommendation for the city, it is recommended that the draft document be put through a peer review process. Once approved, it should be sent to the counterpart for final review and approval. Set the Path for Future Engagement The CityStrength Diagnostic is not an end, it is a beginning. In parallel to the preparation of the findings publication, the Task Team continues a dialogue with the client city on how the World Bank or other development partners could support the recommended actions and investments. Depending on the nature of the recommendations, follow-up support may be guided by the Task Team Leader or other technical specialists who participated in the diagnostic, and include activities such as studies and surveys to fill data gaps, feasibility studies for critical infrastructure or programs, technical assistance, or a financing operation. As an example, the engagement in Can Tho, subsequent to the CityStrength Diagnostic, includes the preparation of a $250 million financing operation—the Can Tho Urban Development and Resilience Project. This operation will support flood protection in the urban core, improved stormwater drainage and sanitation, transport improvements to help guide urbanization to higher elevation areas of the city, and urban management capacity building. In addition to the operation, the World Bank is pursuing trust fund resources to help the city establish an open data initiative and study logistics and supply chain dynamics in the metropolitan region. 57 Methodological Guide: CityStrength Diagnostic Resource 1: Categorization of Shocks and Stresses Hazard Group: Natural Key: Shock Stress HAZARD SHOCK/ HAZARD TYPE & EXAMPLE GUIDING QUESTION SUB-GROUP STRESS Extreme Temperature (High) Has the city suffered fatalities due to Meteorological Ex: Heat Wave heatwave? Extreme Temperature (low) Has the city suffered fatalities due to Meteorological Ex: Cold Wave extreme winter weather? Mid-latitude (Extratropical) Storms Has the city experienced severe Meteorological Ex: Winterstorms (including snow, windstorms? blizzards, hail and severe winter weather) Mid-latitude (Extratropical) Meteorological Storms Has the city experienced tornedos? Ex: Tornadoes Mid-latitude (Extratropical) Meteorological Storms Has the city experienced sandstorms? Ex: Sandstorms Tropical Storms Has the city experienced cyclones/ Meteorological Ex: Cyclines/Hurricanes/Typhoons hurricanes/typhoons? Tropical Storms Has the city experienced coastal/storm Meteorological Ex: Coastal/Storm Surges surges? Tropical Storms Has the city experienced severe winds, Meteorological Ex: Severe Winds, Severe Rain and severe rain and flooding, landslides? Flooding, Landslides Electrical Storm Has the city experienced severe Meteorological Ex: Severe Lightning/ lightning/thunderstorm? thunderstorm; Derecho Wildfire Has the city or region experienced Climatological Ex: Bush/Brush Fire bush/brush fires? Wildfire Has the city or region experienced Climatological Ex: Forest Fire forest fires? 58 Resource 1: Categorization of Shocks and Stresses Wildfire Has the city or region experienced Climatological Ex: Scrub/Grassland Fire scrub/grassland fires? Drought Climatological Has the city experienced drought? Ex: Drought Glacial lake outburst Has the city experienced glacial lake Climatological Ex: Glacial lake outburst outburst? Is the city located on or near fault lines? Earthquake Geophysical Has the city experienced earthquakes? Ex: Earthquake, ground movement When and at what magnitude? Earthquake Geophysical Has the city experienced liquefaction? Ex: Liquefaction Earthquake Geophysical Has the city experienced a tsunami? Ex: Tsunami Mass Movement Is the city situated in a mountainous Geophysical Ex: Avalanche area with seasonal snow? Is the city situated on valley floor with Mass Movement surroundings slopes steeper than Geophysical Ex: Debris Flow 25 degrees and consisting of loose sediment, soil, or weathered rock? Mass Movement Is the city situated in a mountainous Geophysical Ex: Mudflow area with heavy seasonal rains? Are any parts of the city's physical Mass Movement Geophysical structures on slopes situated on Ex: Landslide unstable ground? Mass Movement Is any of the city's infrastructure or Geophysical Ex: Rockfall buildings positioned below a slope/cliff? Volcano Is the city located in the vicinity of an Geophysical Ex: Lava flows (and crater) active volcano? Volcano Is the city located in the vicinity of an Geophysical Ex: Pyroclastic flows active volcano? Geophysical Volcano Is the city located in the vicinity of an Ex: Volcanic explosions–tephra active volcano? and rock Geophysical Volcano Is the city located in the vicinity of an Ex: Volcanic ash active volcano? 59 Methodological Guide: CityStrength Diagnostic Geophysical Volcano Is the city located in the vicinity of an Ex: Volcanic gases active volcano? Geophysical Volcano Is the city located in the vicinity of an Ex: Lahar active volcano? Flood Hydrological Has the city experienced flash flooding? Ex: Flash Flood Flood Are part of the city located near rivers Hydrological Ex: Ice Jam Flood that freeze over winter? Flood Are parts of the city located in river Hydrological Ex: Fluvial Flood floodplains? Flood Is the city located on a shallow water Hydrological Ex: Groundwater Flood table or lluvial deposits? Flood Has the city experienced flash rainwater Hydrological Ex: Pluvial Flood flood or extreme precipitation? Flood Hydrological Is the city located along a coast? Ex: Coastal Flood Wave Action Has the city experienced rouge wave, Hydrological Ex: Rogue Wave, Selche seiche? Human Diseases Have occurrences of bacterial infections Biological Ex: Epidemic and Pandemic (e.g., bone and joint, staphylococcus, (Health) Bacterial Infectious Diseases (e.g. pneumonia, tuberculosis etc.) increased Pan Flu) rapidly in the last 3-5 years? Human Diseases Have occurrences of parasitic infections Biological Ex: Epidemic and Pandemic (e.g., hookworm) increased rapidly in (Health) Parasitic/fungal Infectious the last 3-5 years? Diseases Human Diseases Have occurrences of viral infections Biological Ex: Epidemic and Pandemic Viral (e.g., HIV, hepatitis, rabies etc.) (Health) Infectious Diseases increased rapidly in the last 3-5 years? Have occurrences of zoonotic infectious Biological Animal Disease diseases increased rapidly in the last 3-5 (Health) Ex: Zoonotic years? Have occurrences of non-zoonotic Biological Animal Disease diseases increased rapidly in the last 3-5 (Health) Ex: Non-zoonotic years? 60 Resource 1: Categorization of Shocks and Stresses Biological Animal Disease Have occurrences of insect infestation (Health) Ex: Insect Infestation increased rapidly in the last 3-5 years? Space Weather Does the city frequently suffer Extra-terrestrial Ex: Energy and from power outages/ surges and/or Telecommunications Blackout telecommunications blackout? Hazard Group: Human HAZARD SHOCK/ HAZARD TYPE & EXAMPLE GUIDING QUESTION SUB-GROUP STRESS Social Crisis Is the city dependent on imported Political Ex: Energy Crisis, Oil/Fuel Shortage energy supply? Do citizens have freedom of expression Social Crisis in politics, religion etc.? Does the city Political Ex: Civil Liberties and Democracy government communicate effectively with citizens? Are there antagonisms in the society Malicious Attacks that could spark terrorist attacks? Political Are there international (political) Ex: Terrorist Attacks antagonisms that could cause terrorism in the city? Does the city hold infrastructure of Malicious Attacks critical national importance? Has the Political Ex: Terrorist Attacks on city ever experienced an attack on its Infrastructure infrastructure? Are there antagonisms in the society Malicious Attacks that could spark terrorist attacks? Does Political Ex: Terrorist attacks on people - the city have large and unprotected Chemical, Biological, Radioactive chemical\radioactive substance (CBR) reserves? Malicious Attacks Has the city experienced isolated Political Ex: Terrorist attacks on people - violent attacks on crowds of people? Massacre Political Do the city enforce regulations and Political Ex: Weak rule of law laws? Is there history of organized, country- Political wide violence? Is the city located Political Ex: War in a country/region with political instability? 61 Methodological Guide: CityStrength Diagnostic Political Has the city experience anti- Political Ex: Political Conflict government protests? Is there a significant amount of Political corruption at the city level and/ Political Ex: Corruption or recurrent media allegations of corruption? Is the government's communication Political structure integrated across Political Ex: Poor Government departments, emergency units and Communication/Silos levels of leadership? Is city strategy and investment Political undertaken holistically? Are parts of Political the city connected, with access to Ex: Poor Government Planning, land-use and Densification essential services? Is land-use planning undertaken logically and holistically? Governance Infrastructure Are public employees unionized or Political Breakdown have a history of participating in Ex: Governing System Breakdown strikes? Is there a history of communication Governance Infrastructure Breakdown or coordination problems between Political police, fire department, and Ex: Emergency Service Breakdown emergency medical services? Governance Infrastructure Breakdown Is the city or regions police force Political institutionally sound and adequately Ex: Public Safety Service funded? Breakdown Is there a high housing deficit in the Social Crisis city? Have housing prices been rising Socioeconomic Ex: Housing Crisis sharply or volatile during the last decade? Social Crisis Is the city overly dependent on one Socioeconomic Ex: Food Crisis (including Famine) source of food supply? Social Crisis Does the city have the services and Socioeconomic service capacity to meet its current Ex: Congestion and predicted population? Social Crisis Is there a history of social tensions in Socioeconomic Ex: Social Conflict the city? 62 Resource 1: Categorization of Shocks and Stresses Social Crisis Are the city's poverty and inequality Socioeconomic levels higher than the national Ex: Poverty and Inequality average? Social Crisis Is the city's crime rate higher than the Socioeconomic Ex: Crime national average? Social Crisis Has the city experienced a rapid Socioeconomic increase in substance abuse cases in Ex: Drug-use the last 3-5 years? Social Crisis Has the city experienced a rapid Socioeconomic increase in interpersonal violence in Ex: Interpersonal Violence the last 3-5 years? Social Crisis Has the city experienced a rapid Socioeconomic increase in suicide cases in the last 3-5 Ex: Suicide years? Economic Has the city experienced a rapid Socioeconomic Ex: Rapid population growth/ increase/decline in population in the decline last 3-5 years? Are a large number of businesses Economic or industries dependent on Socioeconomic geographically concentrated utilities? Ex: Business Discontinuity Are private sector activities highly concentrated in one area of the city? Economic Does the city or region suffer from high Socioeconomic unemployment? Has this changed Ex: Excessive Unemployment considerably in the last 3-5 years? Does the city have a large amount of Cultural Crisis cultural heritage assets? Has city's Socioeconomic Ex: Destruction of Cultural cultural heritage ever suffered from Heritages deliberate damage/destruction? Socio-economic Infrastructure  Does the city have industrial uses? Socioeconomic Breakdown Are industrial facilities properly Ex: Major Industrial Accident maintained? Are health facilities in the city in poor Socio-economic Infrastructure Breakdown condition or extended beyond service Socioeconomic capacity? Are health care providers Ex: Health Care Service Breakdown unionized or likely to strike? Are education facilities in the city in Socio-economic Infrastructure Breakdown poor condition or extended beyond Socioeconomic service capacity? Are there sufficient Ex: Education Service Breakdown educators in the city? 63 Methodological Guide: CityStrength Diagnostic Socio-economic Infrastructure Breakdown Do most city residents use the formal Socioeconomic banking system? Ex: Financial System Breakdown Is the city located in a water- constrained region? Is there a water Social Crisis supply deficit in the city or region? Environmental Ex: Water Crisis Is a high proportion of city residents dependent on non-piped water suppliers? Environmental Destruction Does the city suffer from rapid Environmental Ex: Destruction of Natural environmental degradation caused by Environment uncontrolled growth and pollution? Industrial Accident Does the city have industry that uses Technological Ex: Chemical Spill large quantities of chemicals? Industrial Accident Does the city have building codes Technological specific to industrial uses? Are they Ex: Collapse enforced? Industrial Accident Does the city have industry with Technological explosive materials (e.g., grain dust, Ex: Explosion aerosol cans etc.)? Industrial Accident Does the city have landfills, Technological incinerators and aging pipes that carry Ex: Gas Leak hazardous gases? Industrial Accident Are there oil refineries or other such Technological industrial uses in the vicinity of the Ex: Oil Spill city? Industrial Accident Does the city have industry that Technological produces large quantities of toxic Ex: Poisoning products/waste? Industrial Accident Are there nuclear plans/nuclear fueled Technological Ex: Radiation industries in the vicinity of the city? Non-industrial Accident Technological Are building standards enforced? Ex: Building Collapse Non-industrial Accident Does the city have an asset Technological management system for large scale Ex: Infrastructure Collapse infrastructure? 64 Resource 1: Categorization of Shocks and Stresses Does the city have a natural gas Non-industrial Accident distribution network? Are furnace or Technological boiler systems a common heating Ex: Explosion mechanism in residential, commercial, or civic building? Does the city have building construction practices that are Non-industrial Accident sensitive to fire (e.g., uncommon use Technological of fire resistant materials)? Is firewall Ex: Fire insulation a common construction practice in the city? Does the city have overcrowded residential areas? Non-industrial Accident Are traffic safety laws and regulations Technological Ex: Transport Accident commonly complied with in the city? Does the city regularly perform Basic Infrastructure Breakdown maintenance of sewage pipes, dams, Technological Ex: Water Infrastructure Breakdown pumping stations, water treatment facilities etc.? Does the city frequently suffer from Basic Infrastructure Breakdown power outages or surges? Does the city Technological Ex: Energy Infrastructure regularly perform maintenance of sub- Breakdown stations, transmission systems etc.? Basic Infrastructure Breakdown Does the city have a functional waste Technological Ex: Solid Waste Management collection and disposal system? System Breakdown Are the city's postal services, Basic Infrastructure Breakdown telecommunication networks, Technological Ex: Communication Infrastructure television, and radio station Breakdown transmission centers at risk of disruption? Basic Infrastructure Breakdown Is the city regularly maintaining its Technological Ex: Transport Breakdown transit system, trains, buses etc.? Basic Infrastructure Breakdown Is there affordable public transport Technological Ex: Transport Service connecting all parts of the city? Socio-economic Infrastructure Breakdown Is the city heavily reliant on ICT Technological infrastructure? Ex: Cyber Security Socio-economic Infrastructure Breakdown Are primary industries or sectors Technological Ex: Business Logistics System dependent on port or air logistics? Breakdown 65 Methodological Guide: CityStrength Diagnostic Resource 2: Launch Workshop Group Exercise Description The objective of the exercise is to give workshop participants the opportunity to discuss the findings of the Pre-Diagnostic Review, including and the preliminary list of primary shocks and stresses in a small group format. DESCRIPTION The participants will break into four diverse groups. If there are multiple participants from the same city department or organization, they are asked to join separate tables. Each group will have a facilitator and a note taker to capture the discussion. The first task of the group facilitator is to appoint a group rapporteur who will summarize the key outcomes of the group discussion at the end of the exercise. Ideally, the rapporteur should not be a member of the Task Team. Three hand-outs are provided to the participants: (1) a summary of the Pre- Diagnostic Review findings; (2) a sheet that defines shocks and stresses; and (3) a worksheet for placing each identified shock within a matrix of impact versus frequency. 66 Resource 2: Launch Workshop Group Exercise Description STEPS 01 Hand-out 1: Discuss the findings of the Pre-Diagnostic Review (15 minutes) • Do you disagree with the findings? • Is there any crucial information that is missing? 02 Hand-outs 2 and 3: Discuss priority shocks and stresses (30 minutes) • Do you agree with the shocks and stresses identified in the Pre- Diagnostic Review? • Are there any shocks and stresses that are missing? • Are there specific groups in the city that are more impacted by these shocks and stresses than the general public? • How would you rate each shock in terms of impact and frequency? 03 Report back (5 minutes per group) Each group reports back on the main conclusions of their discussions. Participants from other groups are given the opportunity to ask clarifying questions. 04 Synthesis The facilitator guides the participants toward a board consensus on the shocks and stresses facing the city, and summarizes any disputed content from the Pre-Diagnostic Review that requires follow-up analysis by the Task Team. 67 Methodological Guide: CityStrength Diagnostic Resource 3: Mapping Exercise Description The objective of the group exercise is to better understand the spatial implications of shocks and stresses in the city and to identify vulnerability hotspots. The exercise will help identify priority locations for Task Team site visits. DESCRIPTION A facilitator will support the discussions and guide participants through the exercise. The exercise will be carried out using a poster-size administrative map of the city. If up-to-date physical baseline maps are available, these can be used to quicken the pace of the exercise. However, it is important to review the location of major infrastructure or systems to ensure that participants have a shared understanding. The Task Team should take photos of the completed maps when the exercise is complete. 01 Create the socio-economic and physical baseline (30 min.) Indicate on the map (using markers/arrow stickers/post-its): a. Infrastructure • Where are the power utilities located? • Where are the major public transport hubs located? • Where in the city are communication assets located? • Where does the water supply originate? • What parts of the city are connected to the sewerage system?’ b. Land Use • Where are the green spaces of the city located? • Where in the city does agriculture take place? • Where are the major commercial centers? 68 Resource 3: Mapping Exercise Description • Where is the city expanding outside formal administrative boundaries? c. Socio-economic • Where do the poorest people live? • Where do the wealthiest people live? • What parts of the city are the most densely populated? • What part of the city is impacted the most by crime? • What part of the city are you most proud of? 02 Discuss trends (20 min.) Indicate on the map (using markers/arrow stickers/post-its): • Where has recent urban growth taken place? • Which areas are densifying? • Where is urban development expected to occur over the next 5-10 years? • What demographic shifts are taking place and how will they impact the spatial vulnerability of the city? 03 Identify the hotspots (30 min.) Indicate on the map (using markers/arrow stickers/post-its): a. Shocks and Stresses • [Prepare questions based on the shocks and stresses identified in Pre- diagnostic Review. Amend the list based on the outcome of discussions during the Launch Workshop.] • What parts of the city are most impacted by [shock]? • What parts of the city are most vulnerable to [stress]? • How have communities and businesses coped with these events in the past? b. Hotspots: • What areas in the city present multi-layered vulnerabilities and could therefore be identified as hotspots (in terms of spatial sensitivity and exposure to the identified shocks and stresses and the resulting implications for the socio-economic and physical aspects of the city)? • Which are the priority hotspots? • Will these hotspots become even more vulnerable in the future? 04 Identify sites for the CityStrength field visits (20 min.) Based on the completed map, as well as outcomes of the Launch Workshop, which locations should the Task Team visit? 69 Methodological Guide: CityStrength Diagnostic Resource 4: Guiding Questions on URBAN DEVELOPMENT (required) In a resilient city, physical and socio-economic planning processes are well-coordinated, legally enforced, inclusive, and cross-sectoral. Key stakeholders are involved to align plans with sector priorities and to ensure that the interests of all societal groups are taken into consideration (coordinated and inclusive). Coordination between departments and other agencies enables the use of existing knowledge and data across the city to better understand current and future vulnerabilities (reflective). Urban planning and development ensures a holistic and long-term approach to urban growth, factoring in potential shocks and stresses and encouraging proactive mitigation measures (robust). Multiple strategies are in place to ensure that primary urban development goals can be achieved in the face of changing demographics, urbanization rates, or economic shifts (redundant). GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: A collaborative planning process Does the city’s planning department draw informed by specialized knowledge on expertise and knowledge of the private and expertise can enhance the sector, research institutions and the civil applicability, coordination, and society for development of land-use plans? Coordinated quality of land-use plans. By Which sectors and departments within the including different stakeholders city collaborate during development and/ in the planning process the city or reviewing of such plans? [Lens 3 – CRF 10 engenders ownership of the plan. and 11] Enforced planning regulations Regulations: can help prevent unauthorized Is there a regulatory framework in place development in the city and thereby to manage urban growth and reduce risks Robust protect the environment, residents’ associated with uncontrolled growth? Are the health and the overall urban regulations effective and enforceable? ecosystem. 70 Resource 4: Required Sectoral Module—Urban Development Institutional Capacity: Transparent and predictable Does the city have transparent and participation procedures boost confidence and trust in the planning predictable procedures for public/ process. Participation is facilitated stakeholder participation during planning Inclusive with clear rules and context- processes? How is participation amongst appropriate engagement platforms. vulnerable groups in the society (e.g. women, Vulnerable groups may need illiterate, informal etc.) encouraged? [Lens customized engagement channels to 3 – CRF 11] participate in decision-making. Regulations: Are land use policies and planning regulations for housing and development infrastructure informed by projected Risk-based land use policies and natural, climate and man-made risks? How regulations for natural, climate Reflective; well enforced are risk–sensitive land use and man-made risks should be Robust regulations, building codes, and health and integrated in land use planning to safety codes across all development zones reduce exposure. and building types (e.g. health and safety codes for settlements neighboring industrial sites)? [Lens 3 – CRF 7] Planning: Digital tools with geo-referencing Does the city’s planning department capabilities facilitate strategic make use of digital tools for analyzing and spatial planning by identifying Reflective visualizing geo-referenced data (e.g., public location-specific correlations and assets, natural resources, traffic corridors, inter-dependencies, including known etc.) [Lens 3 – CRF 12] vulnerable areas. Planning: Urban planning which is aligned Is urban planning/future development with the city’s development goals guided by a city strategy? If so, what are the Robust is reliable and supportive of those main elements of the strategy and how do goals. they influence spatial development in the city? [Lens 3 – CRF 12] Planning: Are multiple strategies are in place to ensure To address the unpredictable nature that primary urban development goals of urban evolution, city strategies Redundant can be achieved in the face of changing should be flexible enough to demographics, urbanization rates, or accommodate multiple scenarios. economic shifts? 71 Methodological Guide: CityStrength Diagnostic Vulnerability: Identification of vulnerable hot- Which areas within the city, and specific spots facilitates the prioritization of infrastructure, buildings and populations Reflective disaster preparedness investments have the highest exposure to natural and and actions. climate related hazards? [Lens 3 – CRF 7] Planning: Spatial planning relies on population Is the city’s rate of population growth projections and future service accommodated in its master/land-use demand estimates for preserving plans and other planning instruments Reflective sufficient land for each function. (i.e. sufficient area for new housing Uncontrolled urban growth often developments)? Is the city growing at the encroaches on the city’s green areas expense of protected areas and urban green and can jeopardize its ecosystem. spaces/recreational areas? [Lens 3 – CRF 12] Planning: How well are disaster risk assessments Risk assessment and land suitability (including climate related risk) and analysis should provide the basis environmental impact assessments Coordinated for land use planning to avoid incorporated into all relevant local development in high-risk areas and/ development planning on a consistent basis? or environmental degradation. [Lens 3 – CRF 12] Risk management, climate change mitigation, and adaptation plans Planning: help identify investment priorities Does the city have a disaster risk that are in line with the city’s management plan, climate change Reflective development strategy. The existence mitigation and adaptation plan? What and implementation of these plans percentage of actions identified in these are a good indication of how well the plans have been/are being implemented? city is using data on natural hazards to inform decision-making. Recovery plans help the city identify Planning: possible funding sources, procedures In case of a disaster event, does the city have Robust for effectively initiating the recovery a post event recovery plan? [Lens 3 – CRF 8] process and risk-reductions to consider during rebuilding. 72 Resource 4: Required Sectoral Module—Urban Development Public asset management is important for determining asset Asset Management: value, budgeting operating costs and Does the city have an inventory of publically Reflective maintenance, and evaluating asset owned land, buildings, and infrastructure? If performance on a regular basis. so, is the inventory regularly updated? Public assets can also be used to strategically guide growth to areas of the city with less risk exposure. Urban upgrading projects can be used to achieve greater equity Informality: in infrastructure and service Are urban upgrading programs ongoing in Inclusive accessibility and thereby reduce slum areas? vulnerability among low-income groups in the city. A large proportion of informal Informality: settlements in a city usually What percentage of the population lives in coincides with large poverty levels. informal or temporary settlements? What People living in informal settlements Robust percentage of the population is "floating"? often suffer from tenant-insecurity, [Lens 3 – CRF 1] environmental health problems, overcrowding and greater exposure to risks. Informal settlements are often un- served by public services, which Informality: means that residents are forced to Do informal settlements have access to basic Inclusive buy alternative services at a high services at affordable prices? [Lens 3 – CRF 1] price or engage in practices that may endanger the environment or themselves. Informality: What is the level of exposure of urban poor Informal settlers often occupy settlements to climate and natural hazards, high-risk areas of the city, posing Inclusive health and safety hazards, etc.? Are informal a risk to the urban ecosystem and settlements a risk to the balance of the urban themselves. ecosystem? 73 Methodological Guide: CityStrength Diagnostic Clear resettlement procedures Informality: facilitate making choices about Does the city have procedures for dealing Inclusive which residents need to be moved with settlements at immediate risk? [Lens swiftly and which can wait for a long- 3 – CRF 1] term solution to be designed. Vulnerability: Destruction during previous What was the observed vulnerability of disasters may help to predict future infrastructure and buildings in past natural Reflective vulnerability of urban infrastructure disasters (informal buildings, historic and buildings. buildings, new and formal developments)? Vulnerability: Are there ongoing formal and informal Rapid urbanization, both formal and developments that are posing risks to the Reflective informal, can put pressure on urban city’s population and/or balance of the urban services and the urban ecosystem. ecosystem? Informal settlements are particularly Housing: vulnerable to natural disaster due What percentage of the city's housing is Reflective to the precarious sites they occupy, informal and/or poor construction quality? and the poor quality housing [Lens 3 – CRF 1] construction. Cultural and religious heritage, in form of tradition knowledge/ Cultural Heritage: skills and/or symbolically rich Is cultural and religious heritage vulnerable built environment, can be used to to the consequences of climate change, Reflective mitigate impacts of natural disasters natural disasters and deterioration due to (e.g., building on stilts in coastal lack of maintenance? [Lens 3 – CRF 4] areas), but can also offer psycho- social and spiritual support during disaster recovery phase. 74 Resource 4: Required Sectoral Module—Urban Development 75 Methodological Guide: CityStrength Diagnostic Resource 5: Guiding Questions on DISASTER RISK MANAGEMENT (required) In a resilient city, the disaster risk management system combines a well-functioning and inclusive disaster preparedness and emergency response mechanism with effective disaster prevention infrastructure (robust, redundant and inclusive). Such a mechanism and infrastructure is based on an integrated citywide risk assessment and is developed to prepare for, limit, and recover from expected shocks (reflective). In a resilient city, risk information is a necessary foundational element for institutional decision making across sectors (coordinated) and in particular for budget and strategic decisions for territorial planning and management of the built environment (reflective). GUIDING QUESTION QUALITY EXPLANATION A policy and legislative framework that mandates the establishment Institutional Capacity: of a DRM structure allows for legally Does the city have a policy and legislative binding assignment of roles and framework that mandates the establishment Robust responsibilities that gives weight of a DRM structure and functions for carrying to DRM activities and increases out risk management activities? accountability of assigned DRM actors. The ability to implement risk Institutional Capacity: reduction strategies and disaster How many of the identified risk reduction preparedness programs shows that and preparedness programs are already Robust; a city is able to manage risks. Risk being implemented? Is there a system of Reflective reduction monitoring is one way the program monitoring and evaluation? [Lens city can evaluate the effectiveness of 3 – CRF 10] selected strategies. 76 Resource 5: Required Sectoral Module—Disaster Risk Management Coordination of DRM activities allows Institutional Capacity: for better management of knowledge Is there a single parent agency in the city and resources (both human and with mandate and capacity to coordinate all financial) amongst relevant actors. DRM activities, including risk identification, The financial, technical and human reduction, preparedness and post-disaster Coordinated capacity of potential coordination recovery? If yes, does this agency have body should be evaluated regularly sufficient financial, technical, and human to understand whether it is well resources to lead contingency planning? positioned to lead contingency [Lens 3 – CRF 10] planning. All departments in the city should be able to manage risks within their areas of responsibility. Appropriate Institutional Capacity: DRM mainstreaming means that Have DRM considerations been formally risk reduction is incorporated mainstreamed into all city departments? into the everyday functions of the Is risk reduction clearly reflected in the department and responsibilities departments’ mandates, work plans, and of the staff. Systems of evaluation Coordinated; staff job descriptions? Are there systems for and accountability ensure that Reflective evaluation and accountability? the departments’ DRM activities Does the city’s principal DRM agency carry are monitored and objectives out training/capacity building activities for adequately met. The city’s DRM departmental leaders/technical staff on agency regularly shares its expertise DRM? [Lens 3 – CRF 10] and knowledge about hazards with other departments so that they can incorporate new findings into their work programs. Poor and vulnerable groups are Risk Identification: often more vulnerable to natural Are specific groups or assets highly exposed disasters due to the location of Inclusive to risk? What programs are in place to reduce their home (i.e., river banks, steep their vulnerability? mountainsides) and the poor quality of construction materials. 77 Methodological Guide: CityStrength Diagnostic Predictable funding sources allow for continuous operation of DRM activities. When a city has Finance: discretionary control over funding What are the funding sources for DRM? To for DRM, it achieves better alignment Robust; what extent is the funding discretionary at between risk reduction investments Coordinated the local level? To what degree are funding and development strategies. Where sources and DRM activities coordinated human resources and financing across agencies? [Lens 3 – CRF 6] for risk reduction is limited, coordination of actors helps improve efficiency, targeting and flexibility of risk reduction programs. Risk assessments identify the city’s current and future vulnerabilities by examining historical data and/ or future climate scenarios through Risk Identification: modeling. The geographical scale Has any natural disaster and climate risk of the modeling and analytical level assessment and modeling been conducted of the risk assessment indicates by the city? If so, at what level (i.e., the robustness of information hazard, exposure at risk, loss) and at what Reflective that informs the decision-making geographical scale is the assessment/ process. Sector-specific modeling/ modeling performed? Is the assessment/ assessment tends to have a higher modelling sector specific or integrated? granularity while cross-sectoral How often are the risk assessments updated assessments are more integrated (annually, biannually…)? [Lens 3 – CRF 7] and holistic. The relevance of risk assessments depends on them being regularly updated to appropriately reflect levels of vulnerability and exposure. Impacts of natural and man- Planning: made hazards are not confined How well are local government risk to administrative boundaries. For assessments and risk management plans the sake optimizing mitigation coordinated with, and supportive of, risk Coordinated efforts, risk assessments and risk assessments and risk management plans management strategies should be from neighboring local authorities, state or coordinated across city boundaries provincial governments? and different levels of government. 78 Resource 5: Required Sectoral Module—Disaster Risk Management In order to achieve uptake, Planning: Risk Reduction Plans should Does the city have a Risk Reduction Plan be coordinated with existing (e.g. per sector or cross-sectorial plan)? If development plans, resource so, is the plan coordinated with relevant Coordinated; allocations and programmed development plans, resource allocations and Reflective activities. Risk Reduction Plans programmed activities? Are climate change that are based on climate change projections considered in the Risk Reduction projections can anticipate Plan? [Lens 3 – CRF 7] tomorrow’s threats and adapt to these before they occur. Although contingency plans are Planning: designed for rare and unusual Does the city have a Contingency Plan for events, they need to assign roles natural hazards, and related environmental and responsibilities, and include and technological hazards and risks? Does procedures for preventing and the plan identify roles and responsibilities, Coordinated; mitigating potentially catastrophic resources, information processes, and Reflective consequences of an undesired event. operation arrangements for anticipating and To make sure that the plan remains solving problems during a crisis? Is the plan relevant, procedures need to be regularly updated and exercised? [Lens 3 – regularly exercised and roles and CRF 8] responsibilities updated to reflect new conditions. Having a procedure with clear criteria for declaring an emergency makes the city´s emergency Preparedness: response reliable and transparent. Who in the government declares an Since being in an emergency state emergency (city, regional, and national Robust can change how a city government levels)? What criteria are used to evaluate rules and administers its functions, whether a declaration should be made? [Lens it is important that a state of 3 – CRF 10] emergency can only be declared to increase effectiveness of emergency response. 79 Methodological Guide: CityStrength Diagnostic An emergency database containing information on potential scenarios, Risk Awareness: key responses and preparation steps Does the city have a local database on is essential for preparing the public disaster scenarios, key responses and for events and ensuring efficient preparation steps concerning hazards? Does response when they occur. Publicly the city have asset and risk maps of the city? available asset and risk maps allow If so, are the database and/or asset and risk the government and other vested Reflective; maps easily available and communicated to actors to evaluate potential exposure Inclusive different levels of government, residents, of their assets to each type of hazard. private sector, civil society, etc.? Are the Participatory mapping of assets database and/or asset and risk maps and risks brings the knowledge and generated collaboratively (e.g. through perspectives of local communities to participatory mapping initiatives)? [Lens 3 – decision-makers. It is a culturally and CRF 12] socially sensitive form of mapping that result in higher granularity of spatial information. Preparedness: In the event of a disaster, can disaster Effectiveness of response is response agencies procure and contract determined by responders’ goods and services effectively? Are key Robust; availability of key resources and resources for effective response, such as Redundant ability to acquire additional goods emergency supplies, emergency shelters, and services in a timely fashion. identified evacuation routes and contingency plans available at all times? Procedures for assessing damages and losses indicate that the city Recovery: has the ability to monitor and Does the city have standard procedures to Reflective evaluate the impact of an event, assess post-disaster damages and losses? which influences decisions regarding reconstruction and risk reduction investments. Recovery: A post event Recovery Plan is Does the city have a post event Recovery Robust important for ensuring quick Plan for hazards? recovery of functions. 80 Resource 5: Required Sectoral Module—Disaster Risk Management Early warning systems are essential to facilitating public safety during a disaster event by giving residents time to evacuate or Preparedness: protect themselves before impact. Does the city have early warning systems? Public campaigns on disaster Has the system ever failed to provide early risk allow for widespread spread warning during a disaster? Has the city Robust of knowledge and information initiated or implemented public campaigns about potential risks and effective on disaster risk? Does the city offer training response methods. Emergency to citizens (schools etc.) on disaster behavior preparedness and response training and preparedness? can be an effective way of raising risk awareness and ensuring that citizens are responding appropriately during an event. A risk financing/insurance program enables the city to transfer some of the risks of financial losses during Financial Protection: disaster events to the private sector. Does the local government have a risk Redundant Financial protection mechanisms financing/insurance program in place? create financial buffers by avoiding additional strains to the municipal budget during disaster events. Accessibility and usage of insurance Financial Protection: coverage amongst home-owners To what extent do home-owners, private and the private sectors acts as Redundant sector, etc. have access and make use of an incentive to invest in asset insurance coverage for catastrophic events? improvement and upgrading, making [Lens 3 – CRF 1] assets more robust to withstand future disturbances. 81 Methodological Guide: CityStrength Diagnostic Resource 6: Guiding Questions on COMMUNITY AND SOCIAL PROTECTION (required) In a resilient city, residents, including vulnerable groups, are given equal and fair access to basic services (inclusive). Support structures, such as safety net programs, target all vulnerable segments of the society and effectively deliver their services under any given scenario (robust and coordinated). All residents have equal opportunity to engage in the formal economy and have sufficient capacity to deal with and bounce back from shocks and stresses (redundant and inclusive). Decision-making and planning is inclusive and reflects community priorities and needs (inclusive and reflective). A resilient city creates opportunities for a thriving civil society that supports the representation of society, including a fair and effective crime prevention and justice systems (robust). GUIDING QUESTION QUALITY EXPLANATION Equitable provision of basic services Access: is essential for minimizing human Do all segments of the population have vulnerabilities. Once basic needs access to basic services (transportation, are met, people can construct water, sanitation, energy) and social services Inclusive buffers for overcoming unforeseen (education, healthcare, and community disturbances. When governments facilities) at an affordable price? are not able to provide affordable [Lens 3 - CRF 1 and 3] basic services, the poor often end up paying for high price alternatives. Free press contributes to improved Community Awareness & Participation: governance and social development Does a free press and media channels exist Inclusive by highlighting public concerns and in the city? Are there other mechanisms for thereby encouraging government public dialogue? accountability and transparency. 82 Resource 6: Required Sectoral Module—Community and Social Protection Income equity, low unemployment Access: and acceptance of diversity are Does the city have a high income inequality common characteristics of cohesive and high unemployment rate? Are vulnerable societies, where interactions groups and minorities excluded from public Inclusive between individual members and life, the workforce, education etc.? Are there the government are based on trust existing efforts to increase the agency of and support, and there is a strong marginalized groups? [Lens 3 – CRF 2] focus on the common good. Having designated social service agencies in the city is important for improving the conditions of the poor and vulnerable, and alleviating Institutional Capacity: structural unemployment. Examples What kind of social service programs exist Coordinated; of support provided by social in the city? Who is responsible for planning Robust services are assistance programs and delivering them? If there are multiple focusing on food, health, child-care agencies, are they coordinated? and electricity access. Coordination among social services is important for avoiding assistance overlaps and gaps. A socio-economic baseline helps Institutional Capacity: monitor social development in Is there systematic collection and updating the city and allows for targeted of socio-economic baseline data (gender social protection of vulnerable disaggregated), including information on Reflective groups. During disaster response, vulnerable groups? Are the national civil vulnerability targeting can be registries, poverty and vulnerabilities facilitated by disaster response databases integrated into DRM management databases being linked to existing information systems? civil registries, poverty databases, or social protection databases. Proactive management of core Institutional Capacity: services and well-maintained Does the city have the capacity to adjust and/ service systems are better able to or increase the provision of basic services in Robust accommodate abnormal demand, line with rapid changes in the population, withstand unusual pressures and resulting from rural to urban migration, continue functioning during hard influx of refugees, etc.? times. 83 Methodological Guide: CityStrength Diagnostic Institutional Capacity: Does the city monitor social conflicts Understanding the causes of social between different groups in the city? conflicts help mediate and prevent Are there programs to tackle causes of Reflective them from escalating. social tensions (e.g. income inequality, discrimination, social exclusion etc.)? [Lens 3 – CRF 4] Targeted planning and implementation of social programs relies on predictable and reliable funding sources. When the city Finance: has the discretionary control What are the funding sources for social of social funding, it can be held programs and services? To what extent is accountable for maintaining a the funding discretionary at the local level? Coordinated; correlation between development To what degree are funding sources and Robust goals and distribution of funding. programming coordinated across agencies? Where human resources and [Lens 3 – CRF 6] financing for social services are limited, coordination helps improve efficiency, targeting and flexibility of both ordinary and exceptional social service programming. Civil society organizations can help coordinate public actions Community Awareness & Participation: and effectively channels citizens’ Do effective civil society organizations exist demands towards the government. in the city? Are they seen as legitimate, Inclusive The efficiency and targeting of cooperate with each other and the city government programs can be government, and have high participation? improved by the government dealing [Lens 3 – CRF 4] with organized citizen groups rather than individuals. By contextualizing risks, community Community Awareness & Participation: members can help identify a wide Do communities play a role in analysis, range of correlated vulnerabilities, planning, and decision-making for disaster/ Inclusive risk reduction or recovery methods climate risk reduction or recovery? [Lens 3 – that are most desirable for those CRF 4 and 11] affected. 84 Resource 6: Required Sectoral Module—Community and Social Protection Social protection programs are Safety Nets: meant to buffer risks that affect Are there social protection programs for the individual households, communities, poor, disabled and otherwise vulnerable regions or nations, so that vulnerable groups in the society? What risks do they groups can escape both transient cover? Is an appropriate combination and chronic poverty during hard of beneficiary targeting applied (e.g. Redundant times. Effective social protection geographic, poverty-based, self and programs are based on an community-based)? Do regular social understanding of how different risks, protection programs include vulnerability to including those related to climate disaster and climate change impacts in the change, may affect future livelihoods beneficiary selection criteria? and well-being of individuals and communities. Safety Nets: Is there a post-disaster beneficiary system in The design of a post-disaster place that can verify beneficiary identities, beneficiary system determines track beneficiaries and verify payments? how effective it is in reaching the Is the system user-friendly (multi-lingual if Robust individual and groups most affected needed), socially and culturally sensitive? by a shock/disaster. Does it include effective grievance mechanisms that citizens are aware of and have access to? Through participation, affected Community Awareness & Participation: communities can help identify To what extent does the government vulnerabilities and localized risk include community participation in local reduction strategies that build development decision-making? Are there Inclusive on strengths and capabilities of mechanisms to ensure that all segments communities. Inclusive decision- of the affected population can and do making can be achieved through participate? [Lens 3 – CRF 4] design of culturally and socially sensitive participation platforms. Community Awareness & Participation: Are local hazard trends, preparation steps Community awareness of potential and key responses communicated regularly Reflective risks and knowledge of key to the population? Are local communities responses helps increase safety and taught how to respond to a range of disasters effectiveness of disaster response. or shocks? [Lens 3 – CRF 11] 85 Methodological Guide: CityStrength Diagnostic Community Awareness & Participation: A hazard database can be used to Does the city maintain data on extreme make informed decisions about events, key responses and preparation future risk reduction interventions. steps concerning hazards? Is the database In order to understand a variety of accessible for everyone? Can everyone Reflective area uses/values at risk and learn contribute to make or update the database? from past responses, participatory Is the database updated on a regular basis? mapping can add depth to the Is there any scenario planning that takes information provided in the place? [Lens 3 – CRF 12] database. Communities often develop Empowerment & Capacity Building: strategies for dealing with risks and What informal risk management strategies everyday stresses that are embedded do communities make use of? Are these in wider livelihood strategies. strategies understood/researched and, Reflective Understanding the lived experiences where appropriate, supported? To what and identifying co-benefits of coping extent do communities drive decision- strategies is important for evaluating making in disaster recovery programs? which autonomous adaptation efforts to support. Community leaders are important Empowerment & Capacity Building: channels for increasing public To what extent does the local government awareness on risk reduction. provide training in risk reduction for local Community members are often the officials and community leaders? Are there Coordinated first respondents in a disaster and community-level disaster risk management can be even more effective if they committees or similar entities? [Lens 3 – CRF are organized and coordinated with 11] other emergency response agencies. Livelihood Protection & Enhancement: Diversification of income sources Are efforts made to support diversification of and livelihoods increases resilience household income sources and livelihoods? in face of single-industry impacts. Is healthy risk-taking behavior for livelihood Knowing that safety nets exist can Redundant enhancements encouraged for the sake of allow households to take initiatives strengthening the household's adaptive that incur some risks, but potentially ability? diversify incomes sources and create [Lens 3 – CRF 6] higher returns. 86 Resource 6: Required Sectoral Module—Community and Social Protection Gender equality in the formal economy allows women to escape economic dependency on men and become autonomous members of Gender: their societies. Having two sources To what extent do women participate in the Inclusive; of household income is also a way formal economy? To what extent to women Redundant of diversifying this income. Women participate in decision-making at household often place higher emphasis on and community levels? welfare related goals than men, which is why their role in household and community level-decision making is important. In many societies, women are disproportionately vulnerable to Gender: the impacts of extreme events. To what extent do women participate/lead Their contribution to the design and community level disaster and climate risk Inclusive implementation of risk management management efforts (before and/or after efforts is important for choosing disasters)? strategies that ensure their needs are met. A comprehensive and contextually appropriate approach to law enforcement facilitates the reduction and prevention of crime and corruption in a city. By instituting a transparent justice system based Crime and Violence: on ethical principles, cities can To what extent does the city have Robust; uphold the rule of law and promote transparent measures and systems to deter Inclusive citizenship in daily life. These norms crime? Do policing measures and systems to are critical to maintaining order create a safe and secure city? [Lens 3 – CRF 5] during times of stress. Well planned and resourced law enforcement facilitates peaceful recovery, and ensures a healthy population by reducing crime-related injury, fatality and stress. 87 Methodological Guide: CityStrength Diagnostic Resource 7: Guiding Questions on Education (Optional Sectoral Module) In a resilient city, the education system strives for complete coverage by removing structural barriers to school enrollment (inclusive). Capacity management and planning of new facilities is grounded in demographic estimates, and the city’s formal and informal growth patterns (reflective and coordinated). During disasters, there is an emphasis on continuity of education through adequate emergency preparedness and back-up systems (redundant). Schools previously exposed to shocks are retrofitted to better withstand future impacts, and new facilities are built in low-risk areas according to appropriate safety measures (robust and reflective). Contextualized risk information is integrated into the school curriculum encouraging pupils to engage in local risk reduction. GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: Who manages the education facilities and services in the city, including primary and Close coordination among secondary schools, vocational training education providers facilitates centers and institutions of higher education? Coordinated complete coverage, planning for If there are multiple education agencies, future demand, and emergency are they well-coordinated in terms of preparedness. management, development planning, and emergency response? Access: Assistance programs which address Does the city have programs for maximizing barriers to school enrollment enrollment in primary and secondary among poor and vulnerable groups schools, especially among poor and Inclusive help identify and reverse structural vulnerable groups, through scholarships, weaknesses in the education transportation assistance, free lunch system. programs, etc. [Lens 3 – CRF 4] 88 Resource 7: Optional Sectoral Module—Education An education system that strives for complete coverage and continuous operation relies on sustained and predictable funding. When a city has discretionary control over Finance: funding for education, it can be held What are the funding sources for education accountable for achieving a pre- facilities and services? To what extent is the Robust; determined educational standard funding discretionary at the local level? To Coordinated and coverage with the available what degree are funding sources and uses funding. Where human resources coordinated across agencies? [Lens 3 – CRF and financing for education 6] services are limited, coordination helps improve efficiency, targeting and flexibility of both ordinary education services and exceptional programming. A contingency fund enables the continuity of education services in the event of unexpected disruption Finance: caused by external impacts, such Is contingency financing available for as natural disasters, or human Redundant education facilities and services? [Lens 3 – induced shocks, such as labor union CRF 8] strikes. A contingency fund can also help overcome sudden increase in demand for education services as caused by migration. In an inclusive education system, children from all socio-economic backgrounds, religions, abilities Access: etc., have access to appropriate Do all segments of the population have primary and secondary education. access to primary and secondary education? Access to education fosters Is primary and secondary education Inclusive students’ participation in the labor financially accessible to all groups in the market and, thereby supports social city? [Lens 3 – CRF 1] mobility and enhanced resilience to economic shocks. An inclusive education system is the cornerstone of a cohesive and just society. 89 Methodological Guide: CityStrength Diagnostic Reflective capacity management of schools requires regular service Planning: demand estimates to be made Does the city have the capacity to adjust and/ based on demographic changes or increase provision of education services in Reflective (e.g., type of education needed). line with projected and sudden population Inability to adjust to unexpected growth, accelerated by rural to urban increase or changes in demand can migration, influx of refugees etc.? lead to shortages in the education system and disruptions in the school year. Monitoring the city’s growth Planning: patterns, both formal and informal, Have spatial patterns in the city shifted allows for informed capacity recently? Are there residential areas in management and appropriate the city, either formal or informal, that Reflective; siting of education facilities. do not have education facilities available Inclusive Incorporating informal settlements in the vicinity? Are informal settlements into demand estimates for planning incorporated into demand estimates for of education facilities is essential planning of new education facilities? [Lens for encouraging social inclusion of 3 – CRF 1] poor and marginal groups. Keeping a track of past events Facilities: and anticipating potential future How have education facilities been impacted impacts helps the city identify by past disasters and are they vulnerable to vulnerable access routes, facility the consequences of climate change? Were design faults and vulnerable Robust; the past impacts concentrated in specific locations for placement of new Reflective locations? Have these disruptions and future education facilities. Based on these risk projections informed improvements and evaluations, the city can make substantial changes to the placement and/or strategic maintenance and capital (re)construction of facilities? investments to improve school safety. System Continuity: Is the probability that education facilities Education facilities that can will remain operational in post-disaster remain operational in post-disaster situations assessed? Do shocks and stresses situations are considered robust. regularly create disruptions in the school Robust Assessing the probability of calendar? How many days per year are education discontinuity according schools out of session due to shocks and to disaster levels and types helps stresses? Is there a backup plan to ensure plan back-up/temporary facilities. that school operations continue? 90 Resource 7: Optional Sectoral Module—Education Facilities constructed according Facilities: to appropriate building codes and Are there adequate resources and safety measurements, which are appropriate incentives for school additionally well-maintained, will maintenance and repair? To what degree generally better withstand disaster do local governments or other levels of Robust impacts. Regular evaluation of government have special programs in place safety and disaster preparedness to regularly assess schools for maintenance, in schools allows for identification compliance with building codes, general of maintenance needs and safety, weather-related risks etc.? [Lens 3 – appropriate level of government CRF 8] intervention. Including knowledge about disaster Preparedness: risks into regular school curriculum To what degree do local schools and colleges fosters risk awareness and include courses, education, or training engagement of pupils in local risk on disaster awareness and risk reduction Reflective reduction. Risk reduction education (including climate-related risks) as part of offered by local education the educational curriculum? [Lens 3 – CRF 11] institutions can be particularly useful due to its contextualization. A high level of emergency preparedness helps ensure Preparedness: continuity of education activities How prepared are the education facilities during a disaster event. In order to (back-up education material, trained staff, avoid prolonged disruptions in the etc.) for emergency situations? Do all Robust school year and promote school schools have preparedness plans? How often safety, schools should develop are regular disaster preparedness drills preparedness plans and regularly undertaken in schools? perform drills, so that staff and pupils are familiar with appropriate emergency procedures. 91 Methodological Guide: CityStrength Diagnostic Resource 8: Guiding Questions on Energy (Optional Sectoral Module) In a resilient city, the energy system offers a secure supply of power that ensures the continuity of services in the event of disruptions (robust). It has spare capacity to provide power to the city under any circumstances, especially to ensure continuity to the functioning of critical infrastructure like hospitals and government buildings (redundant). The planning for and design of energy infrastructure is informed by an integrated risk assessment taking major shocks and stresses into consideration (reflectiveness). A resilient energy system provides access to electricity to all societal groups, and embraces both centralized and decentralized approaches as appropriate (inclusive and redundant). Management of the energy system, including decisions regarding distribution and pricing, is inclusive of local departments and stakeholders (coordinated and inclusive). GUIDING QUESTION QUALITY EXPLANATION Close coordination among utilities Institutional Capacity: and between utilities and the Who manages the city’s energy planning? city can improve planning and What is the city’s degree of influence/control accelerate response in case of over power utilities? Do power utilities Coordinated disruption. Ability to exercise have collaboration channels in place for influence/control over power emergency situation (e.g., agreement on utilities helps the city ensure sharing excess demand, etc.)? [Lens 3 – CRF continuous supply to critical 10] systems. Maintaining an overview of energy Institutional Capacity: consumption across sectors allows Does the city have updated data on energy Reflective the city to manage health and consumption across sectors? environmental impacts of energy use. 92 Resource 8: Optional Sectoral Module—Energy A regulatory framework for the city’s energy system can be used to mitigate climate, and other risks, Regulatory Framework: by making sure these are integrated Is there a regulatory framework in place into infrastructure updates and to reduce risks in the energy system, and new design requirements. To potential cascading impacts (e.g., loss of Robust better manage risks to the city’s economic productivity, disruption of critical energy system, regulations can services such as hospitals, etc.) [Lens 3 – CRF require diversification of energy 8] generation and supply, as well as establishment of back-up generating systems for critical services. A financially healthy energy sector with diverse and reliable sources of Finance: funding helps to ensure continuity What are the funding sources for the energy in service provision. Cost recovery system and is the supply of energy financially Robust in the power sector implies a sustainable (i.e., does it achieve cost sustainable management, where recovery)? [Lens 3 – CRF 6] revenues from electricity sales recover operational expenses at the very minimum. A contingency fund covers Finance: unexpected damages to Is contingency financing available for energy energy infrastructure/facilities, Redundant supply infrastructure and service delivery? accommodates sudden demand [Lens 3 – CRF 8] increase and/or changes in energy prices. Enforced zoning codes help prevent siting of critical infrastructure Planning: in exposed areas, thus avoiding Do building and zoning codes prevent the service disruption in the event of a siting of critical energy infrastructure in disaster. New developments should hazard exposed areas? Are the building Robust consider the conditions of the area's and zoning codes enforced? Are new energy supply to avoid overload, developments obliged to integrate power incorporate power supply as part of supply in their design? [Lens 3 – CRF 7] the design, and smart technologies for reducing consumption. 93 Methodological Guide: CityStrength Diagnostic Past experiences can help cities Planning: understand vulnerabilities and How has the city’s energy infrastructure and strong points in their energy equipment been impacted by past disasters? Reflective system, as well as the effects that Has this experience informed design and specific events can have on the siting of new infrastructure and equipment? city's energy system. Planning: Technologies that promote Have previous disruptions informed equipment robustness can be improvements in technology and substantial used to prevent disruptions during changes in the energy system (e.g. flood- Reflective disaster events. Knowledge about proofing of substations, undergrounding system vulnerabilities can be used critical overhead lines, replacement of wood to make improvements to avoid poles with steel, equipping grids with smart repeating previous failures. grid capabilities, etc.)? Contingency plans help utilities Planning: and the city prepare equipment Does the city have contingency plans for Robust and procedures for when disasters major failures within the energy sector? occur, which helps accelerate the [Lens 3 – CRF 8] response and minimize the impact. Excess capacity can prove useful when a portion of the energy Access: system is impacted by a hazard, but Is there a mismatch between energy demand could also represent inefficiencies and energy supply? How much excess in the energy system. Regular Redundant capacity is there in the city's energy supply? monitoring of energy consumption can reduce these inefficiencies while making sure the energy system can provide continuous services during disaster events. Lack of electricity can have adverse impacts on other sectors (health, Access: manufacture, etc.). Efforts should Do all areas of the city and all socio-economic focus on providing predictable segments of the population have 24-hour Inclusive electricity access to all populations access to electricity? Are there areas in the in the city, as well as prioritizing city that are more vulnerable than others to critical infrastructure, such as power blackouts? [Lens 3 – CRF 11] hospitals, public-transportation, etc. 94 Resource 8: Optional Sectoral Module—Energy Generation: An energy sector with diverse Is the city's energy supply diversified in terms technology and sources is better of type (e.g., coal, solar, hydro) and source equipped to address disruptions (private, public, imported)? How are different in energy supply. Reliable and system types distributed across the city? Redundant distributed energy supply has Who is the main provider? Does the city have a better chance of providing control over main energy sources? Are there sustained, uninterrupted electricity rules and incentives in place to encourage if a localized disaster occurs. distributed generation? Economic and political changes can Generation: impact fuel supply and therefore Is the city’s energy supply vulnerable to electricity generation. This includes price shocks and political instability? What Robust changes within the country or at an percentage of the city’s energy supply is international level, especially if the dependent on foreign fuels? city heavily relies on foreign fuel imports. Calculating the potential impacts Generation: of future weather events allows Could climate change or known natural the city to prepare and avoid over- hazards affect the balance of different types Robust reliance on energy generation of energy generation assets? In what way and assets vulnerable to climate where? change, such as hydropower. Generation: Own energy generation or back Do businesses, industries, residences, and up generation can be critical for key energy consumers (e.g. hospitals, fire facilities that rely on electricity to stations, shelters, etc.) have back-up energy deliver basic services. Minimum generator capacity with fuel/battery storage Redundant levels of services need to be in the event of a power outage? What is the maintained in case of power proportion of commercial / residential / outages. This serves as additional institutional buildings served by own energy capacity for the energy system. generation? [Lens 3 – CRF 6] Ability to assess the impacts of Demand: climate change on energy demand Will the anticipated effects of climate change allows the city to adapt the design have a significant impact on local energy Reflective of its energy system, including use demand (e.g. increased demand for heating/ of new infrastructure, sources and cooling)? Have future demand changes been technologies, to best accommodate incorporated into energy system design? future demand. 95 Methodological Guide: CityStrength Diagnostic Successful energy reduction programs can lessen the pressure Demand: on limited energy sources, Does the city promote energy reduction something that is particularly among industrial, commercial, or residential important in face of increasing consumers by means of education, Reflective number of energy consumers. community training and awareness raising Energy retrofitting of public campaigns? Has the city made any efforts infrastructure and buildings is an to increase energy efficiency in public opportunity for cities to increase buildings? durability and resiliency of its assets. Transmission and distribution Transmission & Distribution: losses are unavoidable, but keeping Does the city know its total transmission and them to a minimum can have distribution losses and the reasons for these considerable effects on demand and (e.g. inefficiency, theft and pilferage, etc.)? Reflective costs. Transmission and distribution Are there any efforts/strategies for limiting losses create demand for excess losses from the transmission and distribution capacity that would otherwise not systems? be needed. Distribution (natural gas): Since gas itself can be a hazard, Is the city’s gas distribution done through knowledge about a city’s gas piping or by using gas trucks to deliver tanks/ distribution helps identify charge stationary tanks? What proportion vulnerabilities. It is useful to Robust of gas user accounts is currently exposed to identify the degree of hazard events hazards? To what degree of hazard intensity that can disrupt gas supply and how can the gas provision in the city remain many people such a disturbance functional? will affect. Evaluating the level of stations’ exposure helps assess fuel accessibility during disaster events. Distribution (fuel): In case of prolonged events, What proportion of major fuel distribution it is useful to know which fuel stations in the city are exposed to hazards? distribution facilities can continue Robust To what degree of hazard intensity can the to function, as well as the coverage major fuel distribution stations in the city that can be achieved with these. remain functional? Lack of fuel can have cascading impacts on functions which depend on fuel for mobility (e.g., ambulances, fire trucks etc.) 96 Resource 8: Optional Sectoral Module—Energy Demand side management can Demand: help reduce demand during peak Do utilities have authority and capacity hours and reduce the need for Robust for demand side management (e.g. load investments in networks and/or shedding, financial incentives, etc.)? power plants for meeting peak demands. In case of prolonged events, it is Vulnerability: useful to know the total capacity What proportion of electrical assets is of facilities that can continue to exposed to hazards? To what degree function, as well as the coverage of hazard intensity can the electricity Robust that can be achieved with these. provision in the city remain functional? What To increase reliability of electricity proportion of electrical energy user accounts supply, exposure of electrical user is exposed to hazards? [Lens 3 – CRF 7] accounts should be minimized. Safety: Making citizens aware of electrical Does the city provide electrical safety safety procedures is important recommendations to it citizens, both Robust for ensuring their well-being regarding risky household wiring and illegal and maintaining undisturbed connection to distribution networks? distribution channels. Distribution: If the effects of repeated weather Could climate change or known natural events can be predicted, the hazards affect the performance of energy Robust city can improve the design of distribution networks (e.g. robustness of distribution systems to better power-lines)? In what way and where? withstand their impacts. Distribution (fuel): Sustained fuel availability is Does the city have its own network of gas required for mobilizing aid and station and mobile fueling trucks to bypass Redundant providing basic transportation the retail liquid fuels market in case of supply options. chain breakdown? Distribution: Is the design of the power distribution A compartmentalized network helps network compartmentalized enough to ensure continuous supply despite deal with faults on the line? Can the utilities Robust failure in one part of the network. isolate critical parts of the network and keep Compartmentalization also these running despite failure in other parts of provides more time for response. the network? 97 Methodological Guide: CityStrength Diagnostic Resource 9: Guiding Questions on Environment (Optional Sectoral Module) In a resilient city, environmental considerations are effectively mainstreamed into sectoral plans, programs and investments (coordinated). Stability of the urban ecosystem is maintained through guided growth and implementation of environmental regulations (robust). Environmental protection agencies monitor changes to the environment are able to take early action to prevent environmental degradation (reflective). In a resilient city, natural resources and ecosystems are managed as public goods, including beyond municipal boundaries, and are used to buffer impacts of shocks and stresses (robust and coordinated). Accessibility and knowledge about effective use of ecosystem services is encouraged among the poor as a means of reducing food scarcity and improving livelihood options (redundant and inclusive). GUIDING QUESTION QUALITY EXPLANATATION Close coordination among agencies responsible for environmental Institutional Capacity: protection facilitates better Who manages and protects the environment, management of natural resources natural resources and ecosystem services* and ecosystem services, exchange in the city? If there are several agencies, of data and information, are they well-coordinated in terms of Coordinated environmental planning and management, environmental planning enforcement of environmental and implementation of environmental regulations. Having a responsible requirements? With which agency/ agency for environmental department does the main responsibility lie? protection allows for better [Lens 3 – CRF 10] coordination of activities and accountability. 98 Resource 9: Optional Sectoral Module—Environment Efficient planning of environmental assets relies on alignment of environmental concern with the Institutional Capacity: plans, programs and actions of Have environmental considerations been institutions that drive sectoral formally mainstreamed into relevant Coordinated; development in the city. Systems city departments? Are there systems for Reflective for evaluation and accountability evaluation and accountability? [Lens 3 – CRF help ensure that departments meet 12] predetermined environmental objectives and learn lessons for improving their environmental performance. Institutional Capacity: Cities that have environmental Does the city have baseline data about baseline data and regularly monitor the environment? Does the city regularly Reflective changes to the environment are assess and monitor land use changes and able take early action to prevent other development activities impacting the environmental deterioration. environment? [Lens 3 – CRF 12] Reliable funding allows for sustained and up-to-date Finance: environmental and nature resource What are the funding sources for Robust; management. Coordination among environment and nature management? To Coordinated agencies (both public and private) what degree are funding sources and uses helps improve environmental coordinated across agencies? planning and implementation of environmental regulations. An environmental contingency fund covers unexpected release of hazardous materials into the Finance: environment and impacts of natural Does the city have an environmental disasters on the environment contingency fund set aside to clean up and (unless these natural disasters are Redundant restore the environment after man-made adequately covered by other funds). (e.g. pollution; hazardous waste etc.) and A contingency fund could also natural disasters? [Lens 3 – CRF 8] help overcome sudden changes in demand for environmental control and management due to rapid urbanization. 99 Methodological Guide: CityStrength Diagnostic Integrated environmental and urban planning facilitates Planning: consistent land use development. Is environmental planning and For effective environmental environmental management coordinated protection, land use plans with urban planning? Do land use plans Coordinated; must include legally binding indicate where development is permissible Reflective indications on where development and where it would be damaging for the is (not) permissible. Effective environment? Are land use plans enforced? environmental protection depends [Lens 3 – CRF 12] on the protection of environmental zones outlined in land use plans and enforcement of zoning laws. License requirements are put into Planning: place to make sure that a specific Are there environmental licensing activity, especially construction, requirements for new developments? Who is consistent with the intended Robust manages and approves environmental land use – as defined in the area’s licenses for new development in the city? zoning plan, and development [Lens 3 – CRF 7] on sensitive/at risk land is being prevented. Planning: Disasters can have significant How well integrated are the city’s disaster impacts on natural resources risk management policies, strategies and their effective management. and implementation plans into existing Coordinated Natural resources and ecosystems environmental development, natural can also be used to help manage resources, and ecosystems management the impacts of disasters (e.g., water plans? retention ponds, mangroves, etc.). Land use change, from natural Urban Growth: vegetation to built-up areas, Have the city’s settlement patterns shifted is often the main cause of recently? Do new settlements pose threats environmental degradation and loss to the environment and the balance of the Robust of biodiversity. New developments urban ecosystem? Are the new settlements can disrupt the balance of the urban vulnerable to natural hazards and adverse ecosystem and exacerbate impacts climate change impacts? of natural disasters. 100 Resource 9: Optional Sectoral Module—Environment Regional: Environmental impacts are rarely Are there any regional environmental contained within administrative problems that impact livability in the boundaries – pollution from the city (i.e. air pollution, pollution of rivers outside can affect life in the city and coastal areas, etc.)? Are there any and pollutions/natural resource urban activities that have environmental depletion within the city can have impacts beyond the city’s administrative Coordinated regional consequences. Local boundaries (e.g., ecological disruption and regional governments need and resource depletion)? To what extent to collaborate with governments are the environmental management beyond their own administrative strategies coordinated across administrative boundaries to effectively manage boundaries? environmental effects. Equal access to the city’s natural resources, ecosystem services, and Accessibility: recreation areas is a prerequisite Are all residents able to use and benefit for social cohesion and equal from the city’s natural resources, ecosystem opportunity. Accessibility and services, and recreation areas? Does the city Inclusive knowledge about effective use of have programs for improving accessibility ecosystem services (e.g. agriculture, and knowledge about effective use of fisheries and/or water accessibility) ecosystem services for all segments of the can be a method for reducing food population? [Lens 3 – CRF 1] scarcity and improving livelihood options among the poor. Climate change has numerous impacts on the environment (e.g., increasing occurrence and severity of floods, droughts and forest fires; sea level rise; heat waves) Institutional Capacity: - depending on the region. City Does the city staff participate in regular staff that regularly draw upon the training and knowledge-sharing events Robust expertise of in-house environmental about environmental challenges, and how agencies and/or external experts these relate to climate change? are better able identify appropriate coping strategies to deal with current and future environmental challenges within their own departments. 101 Methodological Guide: CityStrength Diagnostic In many cities, uncontrolled urban growth and encroachment has a deteriorating effect on the Participation: environment. When restoration, To what degree do civil society organizations protection and management and citizens participate in the restoration, of ecosystem services is done Inclusive protection, and sustainable management of in consultation with affected ecosystems services? [Lens 3 – CRF 5] communities and civil society groups, solutions are more robust because they include the nuanced needs of affected communities and the general public. A city’s environmental planning, natural resource and ecosystem Participation: management is more robust To what degree does the private sector when it includes the economic participate in the development of Inclusive dependencies (e.g., natural environmental, natural resources and resources that are necessary ecosystems management plans in the city? for current industries) and environmental risks (e.g., pollution) of the private sector. * Ecosystem services are all natural processes that humans benefit from – including provision of food and water; regulation of floods, diseases etc., and recreation (WRI, 2005). 102 Resource 9: Optional Sectoral Module—Environment 103 Methodological Guide: CityStrength Diagnostic Resource 10: Guiding Questions on Health (Optional Sectoral Module) In a resilient city, the health care system is responsive to the changing health risks in its service area (reflective). It has excess capacity and is able to accommodate both projected and sudden increases in demand (redundant). Faced with a shock or stress, the health care system is able to provide emergency health relief to affected communities while continuing to offer basic health services to the entire population (robust, redundant, and coordinated). Within a resilient health care system, basic health care services are affordable and accessible to all segments of the population (inclusive). In a resilient city, the burden on health care is lessened through structural improvement in living conditions which removes underlying health risks. GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: Who manages the health care facilities and Close coordination among health services in the city, including hospitals, service providers facilitates clinics, community health centers, and other planning for future demand, and health service delivery points? If there are Coordinated accelerates emergency response multiple providers, are they well-coordinated and targeted distribution of medical in terms of management, development staff and equipment. planning, and emergency response? [Lens 3 – CRF 10] Removing imminent health risks Institutional Capacity: caused by poor living conditions Does the city have programs for minimizing and inaccessibility to basic services public health risks through structural Robust allows residents to think beyond improvements in housing, transportation, basic vulnerabilities and start energy systems, water supply and sanitation? developing coping strategies for [Lens 3 – CRF 1] potential disturbances. 104 Resource 10: Optional Sectoral Module—Health Disease surveillance systems are essential public health platforms for monitoring and preparing Institutional Capacity: for changes in health risks. Does the city have a disease surveillance Incorporating climate-sensitive system that monitors changes in health risks, Reflective health risks into public health including climate-sensitive risks? Can the surveillance systems allows for surveillance system provide early warnings identification of appropriate about potential health disasters? [Lens 3 – intervention and adaptation CRF 12] to these risks. Public health surveillance systems can be used to trigger early warning systems. A health care system that strives for complete coverage and continuous operation relies on sustained and predictable funding. When a local government has discretionary control over funding for health, Finance: it can be held accountable for What are the funding sources for health care achieving pre-determined health facilities and services? To what extent is the Robust; standards and coverage (number of funding discretionary at the local level? To Coordinated hospitals beds) with the available what degree are funding sources and uses funding. Where human resources coordinated across agencies? [Lens 3 – CRF and financing for health services 6] are limited, coordination among agencies (both public and private) helps improve coverage, efficiency and targeting of both ordinary health services and emergency response. A contingency fund covers unexpected disruptions in the health system as caused by external factors such as health Finance: service demand increase due to Is contingency financing available for health Redundant an epidemic outbreak or disaster care facilities and services? [Lens 3 – CRF 8] event. A contingency fund can also help overcome sudden changes in demand as caused by urban immigration. 105 Methodological Guide: CityStrength Diagnostic Exposure to diseases is exacerbated by the presence of multiple vulnerabilities (e.g., poverty, lack Access: of self-care skills, etc.). Access to Do all segments of the population have basic health services is essential access to basic health services? Are basic for improving the health status Inclusive health services financially accessible to all of vulnerable groups. Ability to groups? [Lens 3 – CRF 1] provide affordable health services to all groups in the city prevents health care costs from becoming another driver of poverty and exclusion. Negative coping strategies that poor and vulnerable households adopt to overcome food shortages (e.g., reducing the amount of food eaten, eating less nutritious food, Nutrition: etc.) can have deteriorating impacts Does the city have programs to help the on their health. Food crises can be poor and otherwise vulnerable residents avoided through adaptive programs avoid malnutrition and poor diet during aimed at improving accessibility to Robust; food crises? In case of food crisis, does the secure food sources, and shifting to Redundant city have spare food resources to provide sufficiently nutritious types of food. nutritious and healthy food to all segments During a food crisis, cities which of the population? [Lens 3 – CRF 3] have spare capacity to provide nutritious and healthy food to all segments of the population avoid nutritional deficiencies among the populations that have no alternative to the negative coping mechanisms. Facilities: Are existing health care facilities located in Health care facilities play a key disaster prone areas and/or vulnerable to role in emergency response and the consequences of climate change? If yes, therefore need to be located in safe Robust are there plans to retrofit existing exposed areas. For the purpose of reducing health facilities? Are new facilities built in impacts of potential disasters, safe areas or designed to be resilient to the exposed health facilities should be hazards that are relevant for the areas in appropriately retrofitted. which they are built? [Lens 3 – CRF 7] 106 Resource 10: Optional Sectoral Module—Health A few ways that a health system System Continuity: can be better prepared for How prepared is the health system for disasters is by training the staff to Robust emergency situations? Do all hospitals have handle emergency situations and emergency preparedness plans? [Lens 3 – warehousing of relief material, CRF 8] such as medicine, equipment and machinery, in protected areas. Capacity management of health facilities requires regular service demand estimates to be made Planning: based on demographic changes Does the city have the capacity to adjust (e.g., type of services needed and/or increase the provision of basic health to accommodate their health services in line with projected and sudden Reflective needs). Ability to adjust/scale population growth, accelerated by rural to up the provision of basic health urban migration, influx of refugees etc.? services according to changes in the population and/or during emergencies is essential for ensuring public safety and well- being of all residents. An effective health system has Facilities: a diverse set of health services Are all the relevant types of health services which reflect current and projected available in the city? Are any vital services medical needs of residents. Cities Robust; missing (e.g. specializations, operating missing vital functions in their Coordinated theatres, etc.)? If necessary, is there an health system should safeguard agreement for patient transfer to facilities their population by collaborating that offer these services? with health institutions that provide such services. System Continuity: Is the probability that health facilities For the purpose of preparing will remain operational in post-disaster backup equipment, it is useful to situations assessed? If yes, does the know the total capacity of facilities Reflective assessment include information about that can continue to function after hospital capacity and proportion of a disaster, as well as the coverage healthcare beds exposed according to hazard that can be achieved with these. intensity? 107 Methodological Guide: CityStrength Diagnostic System Continuity: Preparation of backup systems for If a major health facility in the city has damaged facilities with disrupted/ been impaired, does the system have the limited health services is essential flexibility for the patient demand to be Redundant for continued provision of health absorbed by other facilities? If accessibility services during a disaster, when to health facilities is compromised, are there they are needed the most. alternative modes of health service delivery? 108 Resource 10: Optional Sectoral Module—Health 109 Methodological Guide: CityStrength Diagnostic Resource 11: Guiding Questions on Information and Communication Technology (Optional Sectoral Module) In a resilient city, the ICT industry is used strategically to guide economic growth, develop competitive industries and create jobs. The local government actively deploys ICT to improve public service delivery/accessibility, participation in decision-making, transparency and accountability (inclusive). A resilient ICT system continues to operate despite power outage or other disruptions (robust and redundant). The ICT networks and infrastructure is regularly assessed for level of vulnerability and capacity to deal with identified shocks (reflective). During disasters, sufficient funding is available for establishment of emergency communication centers and increased third- party communication services (coordinated). GUIDING QUESTION QUALITY EXPLANATION Coordination among ICT service Institutional Capacity: providers facilitates collaborative Are key ICT service providers well- management of risks, rapid coordinated in terms of management, Coordinated response during technology and planning, and emergency response? [Lens infrastructure breakdown, as well as 3 – CRF 10] planning for future demand. Local governments can use ICT to Institutional Capacity: improve public service delivery/ Does the city have programs/strategies accessibility, participation in for improving public service delivery, Robust decision-making, transparency participation, transparency and and accountability (i.e. facilitating accountability by use of ICT? citizen feedback to governments and service providers). 110 Resource 11: Optional Sectoral Module—Information and Communications Technology Cities that have a development strategy for the ICT sector are transparent about their objectives Institutional Capacity: for the industry. A strong legal Does the city have a development strategy, and regulatory framework creates and legal and regulatory framework for the Robust confidence in the industry and ICT industry? [Lens 3 – CRF 9] helps manage risks for industry stakeholders, enabling the city to better leverage private sector involvement in ICT infrastructure development. Emergency management information systems consolidate Institutional Capacity: information about emergencies Does the city’s emergency/contingency from different stakeholders and planning incorporate use of communication provide real-time information Robust and information management systems? to responders. In an emergency [Lens 3 – CRF 9] situation, they are needed to ensure that emergency responders get information in time to respond appropriately. Ability to generate or access asset and hazard data allows the city Institutional Capacity: to evaluate risk exposure. Having Does the city have access to or generate insight into risk information allows its own data on the built environment, the general public and private sector and natural and man-made threats to the Reflective; to determine appropriate measures city? Is this information made available Inclusive for minimizing own vulnerability to to the general public and the private risks. Participatory mapping allows sector? Are risk maps of the city generated perceived vulnerabilities of affected collaboratively (i.e. through open mapping communities to be channeled programs)? [Lens 3 – CRF 7] through to decision-makers via risk maps. Emergency management and Preparedness: response can be significantly Does the city have an emergency operations Robust facilitated with an EOC and/or center (EOC) and/or an emergency emergency communication system communication system? [Lens 3 – CRF 9] for central control of respondents. 111 Methodological Guide: CityStrength Diagnostic Regular monitoring of changes in risks, including those affected Institutional Capacity: by climate change, allows for Does the city have a surveillance system that identification of appropriate monitors changes in major risks, including mitigation measures. For effective climate-sensitive risks (e.g. weather use of risk information, the Reflective; forecasting)? If yes, is the system linked to surveillance system needs to be Robust all the concerned departments/agencies? linked to concerned department/ Can the surveillance system provide early agencies. Surveillance systems that warnings (communication and response) are able to disseminate disaster about potential disasters? If yes, what information in a timely manner can percentages of inhabitants are covered by also act as early warning systems. early warning systems? [Lens 3 – CRF 7] Public safety is enhanced if all residents are informed early about potential hazards. Finance: What are the funding sources for local Predictable funding for ICT government information management investments and upgrading can be systems, communication services and Robust used to support local government applications? Do all city departments have management and service functions funding available for upgrading their ICT? across departments. [Lens 3 – CRF 6] Availability of reliable funding Finance: for regular maintenance of ICT To what degree is funding available Robust networks and infrastructure for maintenance of ICT networks and prevents degradation and ensures infrastructure? [Lens 3 – CRF 8] their continuous operation. In case of a disaster, the city’s emergency communications centers should be able to engage additional Finance: service lines or/and additional Does the city have funds set aside to support emergency communications emergency communication, including personnel to respond to the Redundant increase in communication personnel, third- increasing demand. Third-party party system support etc., in the event of a emergency communications disaster? [Lens 3 – CRF 8] services (e.g. cellular carrier’s SMS network) may also need additional resources to operate at an adequate level. 112 Resource 11: Optional Sectoral Module—Information and Communications Technology Knowing the level of exposure to communication assets and user accounts per hazard type System Continuity: and intensity allows the city to What proportion of communication identify communication system assets (e.g. telephone networks, etc.) and requirements for sustained communication user accounts is exposed to Robust communication during disaster hazards? To what degree of hazard intensity events. In case of prolonged can the communication services in the city events, it is useful to know the total remain functional? [Lens 3 – CRF 7] capacity of communication assets and services that can continue to function, as well as the coverage that can be achieved with these. Placement of telecommunication cables underground (where technically possible) and central System Continuity: telecommunication offices in Does the local government have strategies hazard free areas are some ways in Robust for reducing exposure to ICT networks and which the government can reduce infrastructure during disasters? exposure to city’s ICT networks and infrastructure, and thereby ensure continuity of telecommunication services during disasters. To minimize impacts of power outages on telecommunication services, city’s cell towers System Continuity: should have back-up power Are the city’s cell towers equipped with (e.g., generators, solar-powered back-up power options? To what extent is Redundant battery banks, etc.). Decoupling of communication infrastructure in the city communication infrastructure from coupled with electric grid infrastructure? electric grid infrastructure can help prevent cascading impacts from failure in the electric grid. In case of disruptions in regular System Continuity: communication systems, the city Are alternative modes of information will need to deploy alternative management and public communication Redundant communication channels to explored for emergency situations? [Lens communicate time-critical 3 – CRF 9] information to residents. 113 Methodological Guide: CityStrength Diagnostic Connectivity mapping allows for introduction of targeted programs for scaling up access to ICT services Access: among specific populations, Does the city know the level of industries and/or areas of the telecommunications connectivity among its city. Improved ICT connectivity population (e.g. % of population with access Reflective; has a positive impact on economic to telephone, broadband etc.)? Does the Inclusive growth, competitiveness, poverty city have programs to scale up affordable reduction and accountability. access to ICT services and applications - Scaling up of affordable ICT services including for women, disabled citizens, and among the poor helps them access disadvantaged communities? essential public (e.g., health and education) and private (e.g., market information) services. Awareness of the benefits of ICT can help increase demand of such Demand: services and applications. ICT can Does the city have a demand facilitation be used to develop competitive strategy for increasing use of ICT services industries, accelerate growth, and and applications? Does the city have Robust promote job creation, notably for programs/strategies to support ICT women and youth. An enabling innovation across the economy – with a environment for ICT innovation can focus on job creation? be created through policy enablers and ICT training. System Continuity: What proportion of government ICT Identifying ICT applications and applications and infrastructure critical infrastructure that can cause to government continuity is exposed to discontinuity in government Robust hazards? (Exclude the applications and operation allows for improvement data which are routinely backed up and or replacement of high risk services processable at a remote site in case of for services with high reliability. emergency.) 114 Resource 11: Optional Sectoral Module—Information and Communications Technology 115 Methodological Guide: CityStrength Diagnostic Resource 12: Guiding Questions on Local Economy (Optional Sectoral Module) In a resilient city, the local economy is diverse and youth unemployment is low (redundant and inclusive). The city consciously uses infrastructure investments to steer and encourage economic growth (reflective and coordinated). The city invests in education, introduces employment policies and technical assistance programs to promote growth and a strong local economy. In a resilient city, the local government is capable of analyzing regional economic trends, and making necessary policy and industry adjustments to improve the local economy’s overall shock-resistance (reflective and robust). GUIDING QUESTION QUALITY EXPLANATION Regions experiencing long periods of lower economic growth than the national growth rate are Growth: under chronic economic distress. Is the economic region’s growth rate high Robust However, pre-shock growth rates relative to the national growth rate? higher than the national growth rate indicate that a region is less likely to be resilient (have capacity to resist shocks). Ability to project the impacts of Planning: economic shocks allows the city to Does the city government understand how plan targeted financial support for economic shocks are likely to affect city Reflective those residents and segments of the residents and city finances? [Lens 3 – CRF 6] economy likely to suffer most from these shocks. 116 Resource 12: Optional Sectoral Module—Local Economy The city’s ability to analyze regional economic trends enables it to make Planning: necessary adjustments (e.g., change Does the city (or the region of which it is a economic policies, update industrial part 2) have the ability to understand the structure, make investments nature of the regional economy (its export to diversify the economy etc.) base and clusters related to it, its industrial Reflective to improve the local economy’s structure, its susceptibility to shock) and overall shock-resistance. Since local to anticipate shocks? Is the city involved in economies are interconnected with region-wide economic planning? [Lens 3 – regional trends, the city should CRF 6] play a proactive role in planning for regional economic growth and stability. Cities that invest in institutions, policies and programs that can be effective in promoting economic growth create stronger local economies. Examples include: Institutional Capacity: (1) An education system that Does the region have in place institutions, adequately prepares students policies and programs that can be effective in Robust for workforce participation; (2) promoting economic growth? [Lens 3 – CRF A workforce training system 2 and 6] keyed to the specific needs of the region’s economy; (3) Firm technical assistance programs that provide advice and assistance to small and medium sized firms; and (4) Programs stimulating entrepreneurship and innovation. Municipal Finance: Public works infrastructure Does the city government have the ability spending, as a means of providing to start work immediately on scheduled construction and related infrastructure projects or borrow to finance Redundant employment, is a proven short- local infrastructure projects that can be term method that cities can deploy started quickly in order to employ people in to mitigate the impacts of an the region and inject income into the local economic shock. economy? 117 Methodological Guide: CityStrength Diagnostic A rainy day fund and/or general Municipal Finance: fund surplus can cushion the effects Does the city have a “rainy day” budget fund of anticipated economic shocks – and/or budget surpluses sufficient to protect Redundant depending on the magnitude of the its finances over the period of the shock? economic shocks and the surplus [Lens 3 – CRF 6] funds available. Municipal Finance: Do intergovernmental revenues from The conditions of national and intermediate (if any) levels intergovernmental transfers of government automatically increase if Redundant determines whether these can be local own-source revenues decline or do used as back-up during own source they automatically decrease (as would be revenue decline. the case in most tax sharing schemes), thus exacerbating city budgetary problems? Roads, electricity, ports, railways and ICT are the major types of Enabling Environment: infrastructure necessary for Does the economic region have in place promoting economic growth. Cities an infrastructure system that promotes Robust which are able to consciously use economic growth? Is the city consciously infrastructure investments for steering economic growth through strategic steering economic growth add infrastructure investments? predictability and reliability to the local economy. Income inequality has a negative Enabling Environment: effect on loss of jobs during Does the local government have a strategy Robust economic shocks as well as the time for reducing income inequality in its it takes for the economy to recover functional economic area? [Lens 3 – CRF 2] after a shock. Areas with more diversified Private Sector: economies are more likely to be To what extent is the area’s economy resilient to chronic economic diversified? Does the economic region have Redundant distress and employment shocks. many export industries? Regions with many export industries are more resilient to employment downturns. 118 Resource 12: Optional Sectoral Module—Local Economy Social safety nets are local governments´ back-up systems for Safety Nets: protecting vulnerable groups from Is there an adequate social safety net in place falling into poverty during economic to cushion the adverse effect of an economic shocks when there is an increased Redundant shock on city residents who experience demand for financial support unemployment and income losses as a among the population. Social safety consequence of the shock? nets can also be used during times of economic stability to reduce poverty levels and vulnerability. Regions that specialize in durable Private Sector: manufacturing are likely to be Does the region specialize in durable Redundant resilient to shocks related to manufacturing? national or international economic downturns. 2 Economic resilience is viewed in terms of the functional economic area defined by the city’s labor market which is often a larger geographic than its jurisdiction. The city forms part of a regional economy that is defined by this functional area “over which a shock exercises its effect. 119 Methodological Guide: CityStrength Diagnostic Resource 13: Guiding Questions on Logistics and Supply Chain (Optional Sectoral Module) In a resilient city, the logistics and supply chains system provides efficient and effective movement of goods ensuring continuous and profitable operation of companies. It has the ability to track, monitor and adjust supply chain patterns to avoid potential problems (reflective). In case of disruptions, the logistics system is able to recover the movement of freight rapidly (robust). Assessments of vulnerabilities and needs of urban logistics are performed in consultation with the private sector (coordinated). The assessments are integrated into city planning and inform investments in the city’s transport, freight and communication infrastructure (coordinated and redundant). In a resilient city, the business develops and shares continuity plans that recognize known shocks and respond potential climate related risks (inclusive and robust). GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: Who manages the freight transport Close coordination among freight infrastructure, nodes and services in the city, transportation providers facilitates including roads, highways, rail, intermodal planning for future demand, and Coordinated facilities, ports, and airports? Are they accelerates re-routing during well-coordinated in terms of management, disruptions and informs security improvements. development planning, and emergency response? City freight plans are the prerequisite for successful, large- Planning: scale urban freight solutions. Does the city have a freight plan? Is freight Integration of freight planning into Coordinated planning integrated with other urban overall urban planning facilitates development plans? [Lens 3 – CRF 12] collaborative and strategic urban development that is compatible with the logistics needs of the city. 120 Resource 13: Optional Sectoral Module—Logistics and Supply Chains Monitoring of physical and Planning: freight infrastructure disruption How has the urban logistics system (e.g., during previous disasters helps general physical and specific freight identify vulnerable locations and operational weaknesses within the infrastructure) been impacted by past Reflective logistics system. Keeping track of disasters? Were the impacts concentrated in such vulnerabilities helps a city specific locations? Have these disruptions make strategic (maintenance) informed improvements and substantial investments for improving the changes in the logistics system? reliability of city infrastructure used for movement of freight. Planning: Vulnerability assessment of the Has the city conducted a vulnerability freight transportation network and assessment of the freight transportation projections of disruption impacts Reflective; network and evaluated how potential can provide the city the economic Redundant failures may impact supply chain users? Have basis for evaluating the profitability alternative freight paths been identified for of investing in new freight transportation network. each type of hazard? [Lens 3 – CRF 7] Planning: Does the city have an overview of the major supply chain users that rely on the city´s A mapping of major supply chain logistics system? Are the supply chain users users and their preferred supply routes allows the city to prioritize classified based on their role in the supply Inclusive; maintenance/investments in freight chain (e.g. importers, exporters, local, Coordinated corridors according to the needs of regional)? Is there an understanding on how users and their impact on the local the major players use the city´s transport economy. networks and specific freight infrastructure? [Lens 3 – CRF 8] A freight origin & destination matrix allows for planning of optimal Planning: logistics flows. Sound logistics planning depends on reliable and Is there a freight origin & destination matrix? Reflective updated information on local, Who is responsible of keeping it up to date? regional and international freight How often is updated? [Lens 3 – CRF 12] and should be performed by agencies best positioned to acquire and analyze freight information. Communication: How are private logistics operators notified Regular freight system updates Reflective; allows private logistics operators to of changing conditions in the logistics Robust adjust their operations and avoid system? How often are critical information instability in logistic flows. and communication systems tested? 121 Methodological Guide: CityStrength Diagnostic Growth of supply lines, stiffer competition, customer demands for Finance: lower costs and political instability Is there a budget to develop multi- make companies vulnerable to high stakeholder collaborations on logistics impact/low probability events. Robust continuity planning? Does this budget Availability of financial resources include conducting large scale multi- for multi-stakeholder collaboration stakeholder simulations of the urban freight and joint simulations of the urban freight system allows for improved system? [Lens 3 – CRF 8 and 10] risk-information sharing and logistics continuity planning. Regular evaluation of the performance of the city’s logistics Communication: system allows the city to determine Are there regular meetings with the private the extent to which infrastructure upgrades and investments are sector to review the performance of the Reflective; needed to improve their efficiency. city´s logistics system? Is the private sector Inclusive For the purpose of being responsive consulted during the development a city to the needs of major supply chain freight plan/strategy? users, the city freight plans should be developed in consultation with the private sector. Cities that are in regular communication with critical freight Communication: nodes are able to assess threats Is there regular communication with the to these nodes and re-route their operators of critical freight nodes that Coordinated export/imports channels. Cities that support the import/export to the city major regularly experience disruptions economic sectors? in their supply chain routes suffer from large logistics costs and potential disinvestment. Emergency communication protocols and pre-established Communication: mechanisms for sharing Does the city support the development of information during a disruption emergency communication protocols and facilitates a coordinated response mechanisms for sharing information about and recovery among freight Coordinated disruptions between transport sector and transport and infrastructure freight infrastructure operators? Can supply operators. Timely information about disruptions to the logistic chain users quickly access information on the system helps supply chain users to status of the logistic system? [Lens 3 – CRF 9] quickly respond and adapt to the new situation. 122 Resource 13: Optional Sectoral Module—Logistics and Supply Chains Response Capabilities: Ability to monitor freight system Are there metrics used to monitor the capacity allows logistics operators capacity of critical freight nodes and links to adjust capacity in each freight network according to real of the freight system (e.g. containers moved Reflective demand. Setting target metrics per day)? Are there target metrics or goals or goals for recovery of freight that need to be achieved after a disruption system after disruptions can help (e.g. 80% of container movements after three regain confidence in the logistics days) operators. Assessment of the importance of Response Capabilities: various supply chains allows for a Are there priorities on how to give access pre-defined prioritization that can to critical freight nodes to various supply be executed during limited flow Robust; of logistics. A clear identification chains on the event of a disruption? Is there Coordinated of roles and responsibilities a chain of command clearly established to for enforcing prioritization of enforce these priorities on the critical freight freight transportation allows for corridors? [Lens 3 – CRF 8] maintenance of vital economic functions. Authority to temporarily adjust freight regulations or control freight Response Capabilities: infrastructure enables the city to Does the city have enough authority to keep vital freight flowing despite temporarily change freight regulations disruptions in the freight system. Robust or control freight infrastructure? Are City officials must be capable city officials properly trained on these to exercise this authority in a responsible and targeted manner capabilities? to gain stability in critical supply chains. 123 Methodological Guide: CityStrength Diagnostic Resource 14: Guiding Questions on Municipal Finance (Optional Sectoral Module) In a resilient city, the municipal finance system is able to withstand large-scale shocks to revenues or unforeseen needed expenditures through reserving and flexible budget reallocation mechanisms (robust and redundant). Budget planning, management, and policymaking are based on actual performance data, including information on damage and loss from previous shocks or stresses (reflective). A resilient city has a municipal finance system that has sufficient autonomy to manage its resources and coordinates across departments to ensure spending leads to results towards the city’s priorities (coordinated). It creates a stable and informed investment environment that allows for the involvement of diverse actors and supports an inclusive approach to budgeting, ensuring that the allocation of city resources reflects community priorities (inclusive). GUIDING QUESTION QUALITY EXPLANATION Share of own-source revenues Revenues: indicate the extent to which a What percentage of total city revenues are local government is able to sustain own-source revenues? What are the principal Redundant its own operational and capitals sources of this income (e.g., property taxes, costs. Diversification of own-source fees, etc.)? revenues can help mitigate exposure to single-revenue fluctuations. Expenditures: Do city government agencies have access Enhancing resilience requires to funding within the city’s budget or strategic capital investments and from other sub-national, national, or Robust predictable funding for operations other sources to invest in reducing the and maintenance of critical vulnerability of their assets and operations infrastructure. to shocks and stresses? 124 Resource 14: Optional Sectoral Module—Municipal Finance Heavy reliance on external sources for city revenues exposes Revenues: the city’s finances to revenue What percentage of total city revenues Redundant unpredictability. Therefore, external comes from other sources, including external sources should not fund large parts donors? of municipal budgets for extended periods of time. Share of own own-source revenues Revenues: suggests level of local government What percentage of total city revenues autonomy in public budgeting and and taxes come from transfers from other financial management. Transfers levels of government? Are they linked to Redundant from other levels of government performance? Which sources have mandated are often given with conditions, uses? Which are more discretionary in which may not reflect the highest nature? spending priorities of the local government. Because capital expenditures often extend beyond a single accounting Expenditures: year they should be managed Is the municipal budget clearly separated separately from the annual into operating and capital budgets? If so, Robust operating budget. This separation what are the amounts spent on each? If not, ensures that capital expenditures how is the budget structured? are not subject to the volatility of operating budgets. Expenditures: A budget which reflects the city’s How aligned is the city’s budget with Coordinated development plans and priorities municipal development plans or articulated helps meet the identified needs. priorities? Cities that have a transparent and participatory CIP process determine Expenditures: the merits of a capital investment To what extent does the city engage in based on collective community a transparent and participatory capital needs/priorities and the resources investment planning (CIP) process? If the Inclusive; available. By mainstreaming risk city does have a CIP process, does capital Robust management considerations into investment spending consider the existence CIP, cities can make informed of shocks and stresses or require review of infrastructure investments to disaster, climate, or other risks? enhance the city’s resilience to future shocks. 125 Methodological Guide: CityStrength Diagnostic Predictable funding for preventive maintenance improves the Expenditures: duration and reliability of critical Are there specific budget allocations for the infrastructure. Maintenance helps maintenance of critical infrastructure (i.e., Robust cities achieve safety and cost- primary transport linkages, water mains and effectiveness for their infrastructure pumping stations, power generation, etc)? investments by avoiding preventable failures. Local governments that reserve funding for contingency planning Expenditures: and emergency preparedness in Are resources available for contingency Robust annual budgets are better able planning and emergency preparedness? to design policies, plans and procedural guidelines to mitigate the impacts of shocks. Local governments that reserve funding for emergency response are able to direct resources where Expenditures: needed during an event. Resources Are resources available for emergency Robust reserved for emergency response response? can also be used to improve coordination and organization between responding units (e.g., police, fire department, etc.) Effective and efficient emergency Expenditures: response depends on availability Does the city have a way to procure goods of critical goods and services. and services legally, effectively, and Robust Partnership agreements and simple efficiently in the event of an emergency? procurement mechanisms can How did the city obtain goods and services in facilitate the city to quickly obtain previous hazard events? emergency response essentials. Insuring public assets is one way Balance Sheet: Robust cities can share risks of value loss in Are public assets covered by insurance? the event of disasters. 126 Resource 14: Optional Sectoral Module—Municipal Finance Cities that have a contingency fund Expenditures: have a financial back-up system that Has the city government established a enables them to continue providing reserve fund for responding to shocks and Redundant critical functions and services stresses? Does the city government have during emergency events. Access access to other sub-national or national to other sub-national or national level reserve funds in the case of shocks and level reserve funds can provide stresses? alternative emergency back-up. Debt and credit financing is used by cities to finance large infrastructure Balance Sheet: projects that the city cannot cover Does the city use credit or debt financing? If Redundant through annual revenues. Using so, what kinds of investments does the city the right balance of credit and debt finance through credit and debt? financing can help enhance the city’s fiscal sustainability. Balance Sheet: If the city has debt, what is the current level The city’s ability to manage debt and composition of debt? How has the debt historically demonstrates the extent level changed over the last few years? Is Robust to which the city is able to absorb there a debt ceiling? What kinds of shocks shocks while continuing to cover its would make debt payments unaffordable? liabilities. What would happen if the city were unable to make its debt payments? Public asset management is important for identifying public assets, determining asset value, budgeting operating costs and Balance Sheet: maintenance, and evaluating Does the city government identify and asset performance on a regular manage a list/database of its publically Reflective basis. Effective asset management owned assets, such as land, buildings, and can inform CIP processes by roads? integrating the total cost of assets for local governments, including maintenance over the useful life of the assets, and not just the initial capital cost needed for construction. 127 Methodological Guide: CityStrength Diagnostic Balance Sheet: Cities with many contingent In the event of a severe stress or shock, liabilities can experience fiscal what contingent liabilities does the city face Robust instability during disaster events if (e.g. cash transfers to affected residents, the contingencies are unbudgeted provision of food and shelter, etc.). or unaccounted for. Cash Management: What is the city's liquidity management A robust liquidity management strategy? How does the city manage gaps in strategy ensures that the city revenue and expenditure during the year? Robust reserves sufficient amount of Has the city faced stresses on its liquidity in its annual revenues to meet the past? What were they caused by? How requirements for expenditures. did the city deal with them? 128 Resource 14: Optional Sectoral Module—Municipal Finance 129 Methodological Guide: CityStrength Diagnostic Resource 15: Guiding Questions on Solid Waste Management (Optional Sectoral Module) In a resilient city, the solid waste system offers affordable collection services to all residents, irrespective of their tenure status (inclusive). Regulations for waste collection, disposal and treatment, especially of hazardous waste, are enforced to protect human health and safety, and the environment (robust). Performance of waste facilities and collection services are regularly evaluated and the recorded (and potential future) vulnerabilities during shocks and stresses inform maintenance and upgrading decisions (reflective). After a disaster event, the city has resources and procedures for dealing with large quantities of debris and/or cleanup of hazardous waste (redundant and coordinated). GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: Close coordination among solid Who manages the waste collection services waste service providers facilities in the city, including municipal, industrial, planning for future demand, electronic, and construction waste? If Coordinated and accelerates re-routing and there are several agencies, are they well- treatment of excess or hazardous coordinated in terms of management, waste after a disaster event. planning, and emergency response? The ability of the city’s waste Capacity: management system to absorb If a processing/disposal facility fails, how regular waste production despite Robust; long can the collection continue without failure in one processing/disposal Redundant waste piling up on the collection points? facility is indicative of the systems [Lens 3 – CRF 8] robustness or need for alternative facilities. 130 Resource 15: Optional Sectoral Module—Solid Waste Management Waste management systems that strive for complete coverage and continuous operation require Finance: sustained and reliable funding. What are the funding sources for waste Cost recovery within the solid collection, treatment and storage, and to Robust waste sector implies sustainable what extent does each mode achieve cost management, where revenues recovery? [Lens 3 – CRF 6] from waste collection recover operational expenses, at the very minimum. A contingency fund covers unexpected disruptions in the solid waste management system, Finance: accommodates sudden demand Does the city have funds set aside to cover increases and changes in regular Redundant waste collection and disposal in the event of financing flow. Waste contingency a disaster? [Lens 3 – CRF 8] funds are also used for cleanup of hazardous waste after industrial accidents, and damage to solid waste facilities An equitable waste management system is characterized by coverage Planning: to all residential areas of the city Do current waste management systems cover (irrespective of formality), as well all areas of the city, including informal and as service quality and affordability. low income neighborhoods, in an equitable Inclusive Extending waste collection services manner? If no, are there plans for expanding to all residents, irrespective of solid waste services for all segments of the their tenure status, is an important urban population? [Lens 3 – CRF 8] element of environmental protection. System Continuity: Disaster events can leave large Does the city have an emergency disposal amounts of debris and waste site (or otherwise an agreement with a Redundant behind. Approved sites allow the nearby facility) to dispose all excessive city to quickly dispose of excess amounts of waste that its system cannot waste after a disaster. handle? 131 Methodological Guide: CityStrength Diagnostic Monitoring the city’s current and estimated growth, both formal Planning: and informal, allows for improved Does the city monitor and gather data on capacity management and targeted the performance of the solid waste system? Reflective collection in new development Are informal settlements incorporated into areas. Recognition of informal demand estimates? [Lens 3 – CRF 12] settlements during solid waste demand estimates allows for more inclusive and accurate planning of services. Monitoring performance of key Planning: waste facilities during previous Are any waste facilities located in high risk disaster events allows the city to areas? How have the facilities been impacted Robust; identify vulnerabilities and make by past disasters? Have previous disruptions Reflective necessary maintenance/upgrading informed improvements and substantial investments to improve the overall changes in the system? [Lens 3 – CRF 7] robustness of the city’s waste management system. The city can help prevent waste blocking drainage and Connectivity: contaminating the environment Does the city ensure that solid waste does by providing affordable collection not block drainage, and contaminate services to all areas of the Robust waterways or wetlands? Are major storm city and penalizing those that drains across the city equipped with trash inappropriately dispose waste. removal grates? [Lens 3 – CRF 7] Grated stormwater drains allow for easy removal of debris that would otherwise clog drains. Successful waste reduction at Capacity: both the household and industry Does the city have a waste reduction strategy level can lessen the pressure on and implementation system? Does the city the waste system and reduce promote waste reduction at the household Robust the public resources that go into and industry level by means of formal managing waste. Waste reduction education, community training/awareness is particularly important in face of raising campaigns and government growing population and economic incentives? activity. 132 Resource 15: Optional Sectoral Module—Solid Waste Management Capacity: In the event of exceeded capacity or disaster, A city which has identified are alternative service providers with alternative waste service providers adequate equipment and trained staff readily and contracting processes in place available? Does the city have a process in Redundant for outsourcing waste management place to accelerate the contracting process activities is effectively able to with private entities to undertake waste handle sudden increases in service collection and disposal of large quantities of demand. waste? [Lens 3 – CRF 8] Because waste can be combustible, waste collection and disposal Safety & Health: sites should have procedures Does the city have a fire management plan for reducing risk of fires and for its collection and disposal sites? Does containing potential fire impacts. the city require leachate and landfill gas Robust Collection and appropriate collection and treatment systems to screen handling of leachate and landfill for hazardous waste and be constructed with gas prevents landfill explosions and explosion proof-equipment? contamination of groundwater with toxic chemicals. Regulations for treatment and disposal of hazardous are necessary for protection of human health and Safety & Health: the environment. Enforcement of Does the city have regulations for treatment Robust protective regulations ensures that and disposal of hazardous industrial waste? the responsibility of safe treatment Are the regulations enforced? and disposal hazardous waste lies with industries that produce such waste. In order to limit exposure to Safety & Health: contaminants and infectious Does the city have a separate collection and diseases medical waste must be treatment system for medical and infectious managed according to rigorous waste? Is the waste disposed in a sanitary public safety regulations. This Robust waste disposal facility (sanitary landfill or a requires the city to enforce its own waste to energy facility) that is operational? medical waste regulations and to Are the regulations for separation of have an operational sanitary waste hazardous waste enforced? disposal facility for appropriate treatment of medical waste. 133 Methodological Guide: CityStrength Diagnostic Being able to manage current and projected quantities of waste Capacity: Robust is essential for avoiding the Does the current capacity of the waste environmental consequences of system meet existing and projected demand? non-collection and inappropriate disposal. Waste pickers face many risks to their health and safety to their Safety & Health: exposure to heavy and sharp Does the city have programs to improve materials, hazardous and infectious safety and health of waste workers and waste Reflective; waste and smoke from dump sites. pickers (i.e. education about hazardous and Inclusive Awareness regarding these risks explosive waste, provision of protection and access to protective equipment equipment etc.)? [Lens 3 – CRF 11] helps reduce injuries and infections among waste pickers. Extreme weather can disrupt waste System Continuity: collection. Ability to continue Is the collection system able to continue to collecting waste during severe operate in event of extreme weather (e.g. Robust weather events depends on the heavy snow, storm/flooding, heavy winds)? Is design of collection trucks, ability accessibility on major roads maintained? Are to use main roads and/or re-route the collection trucks enclosed? when necessary. System Continuity: Emergency fuel storage can support Does the waste management department continued waste management have emergency fuel storage to handle during extended power shortages. extended shortages? Are the waste facilities Redundant Backup generators can keep critical equipped with backup generators to keep waste equipment in service to critical equipment in service during power avoid leachate and gas spills during outage (eg: leachate pumps, gas collection power outage. systems)? [Lens 3 – CRF 8] 134 Resource 15: Optional Sectoral Module—Solid Waste Management 135 Methodological Guide: CityStrength Diagnostic Resource 16: Guiding Questions on Transportation (Optional Sectoral Module) In a resilient city, the transport system offers multiple modes of transport to its users to ensure the continuity of mobility in the event of disruptions, and to ensure access to transportation for all population groups (robust and inclusive). It takes a flexible approach and proactive coordination with other agencies to be able to divert user traffic to different modes of transport based on changing conditions (redundant and coordinated). In a resilient city, the planning for and investments in the transport sector are based on an assessment of past and shocks and stresses and are closely aligned with other departmental plans and overall key priorities of the city (reflective). GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: Who manages the transport infrastructure Close coordination among and services in the city, including roads, transportation providers facilitates highways, buses, taxis, rail, metro, ports, and Coordinated planning for future demand, airports? Are they well-coordinated in terms and accelerates re-routing and of management, development planning, and evacuation during emergencies. emergency response? Performance monitoring allows the city to keep a track of system Planning: vulnerabilities and make strategic Does the city monitor and gather data on maintenance investments to transport system performance? Does the Reflective improve the overall robustness of city have adequate data/tools/methods for the city’s transportation system. monitoring performance? [Lens 3 – CRF 12] Availability of adequate monitoring tools/methods is a prerequisite to regular performance assessments. 136 Resource 16: Optional Sectoral Module—Transportation Cost recovery in the transportation Finance: sector implies sustainable What are the funding sources for transport management, where revenues from Robust infrastructure and to what extent does each tickets sale for each mode recover mode achieve cost recovery? [Lens 3 – CRF 6] operational expenses, at the very minimum. A contingency fund covers Finance: unexpected disruptions in the Is contingency financing available for transportation system, and Redundant transportation infrastructure and services? accommodates sudden demand [Lens 3 – CRF 6] increases and changes in regular financing flow. Integrated transportation and Planning: urban planning facilitates Is transportation planning integrated with consistent land use development Coordinated other urban development plans? [Lens 3 – and efficiency, promotes access and CRF 12] better coordination of housing and jobs. Risk assessment and land suitability Planning: analysis should provide the basis Do transport development plans and Robust for transport planning to avoid regulations include risk analysis? [Lens 3 – development in high-risk areas, CRF 7] including induced development. Incorporation of climate change projections in transportation planning helps the city make smart Planning: investments in climate-proofed How are the anticipated effects of climate infrastructure and maintenance, change likely to impact the city’s transport thereby helping to prevent major system and have these changes been Reflective losses due to climate change. incorporated in planning efforts? What data/ Availability of adequate climate tools/methods are used to make evaluations projection tools and modelling regarding climate change impacts on the equipment is needed to evaluate city’s transport system? potential impact of climate change on transportation infrastructure and services. 137 Methodological Guide: CityStrength Diagnostic Planning: Availability of equipment and How prepared is the transport system for verified emergency response emergency situations (e.g., warehousing and procedures and routes helps Robust positioning of relief material, emergency increases transportation safety drills for transportation staff, etc.)? [Lens 3 – and effectiveness of emergency CRF 8 and 9] response. In cities where transportation demand exceeds infrastructure capacity, there are limits to Modality & Capacity: residents’ mobility. This can be Does the current capacity of the transport exacerbated in a disaster event. Robust; system meet existing and projected demand? Excess capacity can prove useful Redundant What is the modal split? [Lens 3 – CRF 9] when sudden increases in demand or shifts in transportation modes occur, but can also represent inefficiencies in the transportation system. Modality & Capacity: The ability to shift demand to If a mode has been impaired, does the alternative modes is one way Redundant system have the flexibility for the demand to to ensure functionality of the be absorbed by other modes? [Lens 3 – CRF 9] transport system during shock. Modality & Capacity: Monitoring mobility patterns helps Have mobility patterns shifted recently? transportation agencies respond to Is there a trend in modal splits that might Reflective changing demand in each modality, stress the system (such as increasing demand and make necessary adjustments to of vehicles on road networks)? [Lens 3 – CRF prepare for rapid mass evacuation. 9] Access points and flow links to the city’s transportation systems are Modality & Capacity: important for maintaining city’s Within the regional context, what are the civil and economic functioning. For main access points and flow links to the city’s Redundant the purpose of avoiding blockages transport system (including passengers, in the system, excess capacity freight, etc)? Do they have excess capacity or and alternative routes should be alternative routes? provided in the event of failure or surges in demand. 138 Resource 16: Optional Sectoral Module—Transportation Modality & Capacity: Are all areas of the city and socio-economic An inclusive transportation system segments of the population covered by is characterized by a wide coverage Inclusive the system in an equitable manner? Is it of the city, as well as good service financially accessible for all groups? [Lens quality and affordability. 3 – CRF 1] Modality & Capacity: What alternative commuting strategies (e.g., Flexibility in the commuting system delay of non-essential work tasks, use of allows for continuation of economic Redundant alternative work locations, telecommuting, activities during an emergency etc.) are in place in response to an emergency event. event? System Continuity: How has the transport system (infrastructure Destruction of transportation and services) been impacted by chronic infrastructure and disruption of stresses and/or disaster impacts in the services during previous disasters Robust past? Are the impacts of chronic stresses helps identify vulnerable locations concentrated in specific areas of the city? and operational weaknesses within Are some transport modes more fragile to the transportation system. disruptions than others? System Continuity: The economic competitiveness of a Are there events/periods in the year that city depends on its ability to ensure disrupt commuters from getting to work? Are Robust continuous transportation of goods there ever any disruptions in key logistics and people. flows? Interdependencies: Interdependencies between What are the interdependencies between the transportation and other transportation and other city infrastructure urban systems can cause and services such as energy, drainage, Robust cascading failures unless such ICT, etc? How could disruptions in the interdependencies are secured transportation network impact the continuity through back-up or re-routing. of other services and vice versa? Same-time monitoring of mobility Communication: allows re-routing of excess How are transportation system users demand to parts of the system Reflective informed of changing conditions? [Lens 3 – which have capacity, and a timely CRF 9 and 11] communication of these changes to users. 139 Methodological Guide: CityStrength Diagnostic Resource 17: Guiding Questions on Water and Sanitation (Optional Sectoral Module) In a resilient city, potable water and sanitation services are accessible to all segments of the population (inclusive). Water and sanitation infrastructure is planned with a holistic approach taking into account social, economic, and environmental risks and vulnerabilities (robust and reflective). Planning for and investment in the sanitation and water systems is driven by demand and supply data, participatory engagement, and is based on cross-departmental collaborations that support coordination with existing urban development plans and priorities (coordinated and inclusive). In a resilient city, there is sufficient human and technical capacity to ensure sustainable operation, maintenance and financial management of water and sanitation infrastructure and services (redundant). GUIDING QUESTION QUALITY EXPLANATION Institutional Capacity: Close coordination among water, Who manages the water, sanitation and sanitation and drainage utilities drainage systems in the city? Are all providers Coordinated can facilitate planning for future of the same service well-coordinated in terms demand and accelerate response in of management, development planning, and case of disruption. emergency response? Monitoring the duration of previous Capacity: water and sanitation service If a water supply and wastewater collection disruptions allows the city to system fails, how quickly is priority water Robust evaluate overall vulnerability of supplied and sanitation network repaired the city and identify effectiveness and reconstructed after shock and stress gaps in current emergency response events? [Lens 3 – CRF 8] procedures. 140 Resource 17: Optional Sectoral Module—Water and Sanitation Water, sanitation and drainage systems that strive for complete coverage and continuous Finance: operation rely on sustained and What are the funding sources for water, predictable funding. When a city sanitation and drainage infrastructure? To has discretionary control over what extent is the funding discretionary at funding for such utilities, it can be the local level? To what degree are funding Robust held accountable for achieving a sources and uses coordinated across pre-determined service standard agencies that provide water, sanitation and and coverage in line with available drainage infrastructure and services? [Lens funding. Coordination across 3 – CRF 6] agencies helps identify coverage gaps, improve alignment of trunk and local infrastructure and facilitate spending efficiency. A contingency fund covers Finance: unexpected disruptions in the Is contingency financing available for water, water, sanitation and drainage Redundant sanitation and drainage infrastructure and systems, accommodates sudden services? [Lens 3 – CRF 8] demand increases and changes in regular financing flow. Overview of key facilities and their capacity levels allows the city to Planning: evaluate service accessibility and Does the city have an overview of all water, determine investment needs based sanitation and drainage infrastructure in on future demand estimates. the city, including capacity levels, design Reflective; Monitoring performance of key specifics, number and location of key Coordinated facilities and infrastructure allows facilities? Is planning for disasters, shocks, or the city to identify vulnerabilities stresses incorporated into the regular water, and make maintenance/upgrading sanitation, and drainage infrastructure investments to improve the overall planning process? robustness of the city’s water, sanitation and drainage systems. Planning: Do sewage and water pipeline networks Inclusive water, sanitation and cover all areas of the city, including informal drainage systems are characterized and low income neighborhoods? If no, are Inclusive by equal coverage to all built-up there plans for expanding sewage and water areas of the city, service quality and pipeline networks into these areas of the affordability. city? [Lens 3 – CRF 1] 141 Methodological Guide: CityStrength Diagnostic Robust capacity management ensures that increases in demand Planning: are absorbed without causing Does the current capacity of water supply Robust; service disruptions for existing and sanitation services meet existing and Inclusive consumers. Recognition of informal projected demand? Are informal settlements settlements in water and sanitation incorporated into water and sanitation service demand estimates allows service demand estimates? [Lens 3 – CRF 1] for more inclusive and accurate planning of services. Modern treatment works and distribution of drinking and Supply & Quality: wastewater through pipeline Are water and sanitation services in the city networks helps ensure water mostly supplied from modern treatment purification before and after it works through pipeline water and sewage reaches the consumer. Proportion networks, or through other systems? of pipe network versus other supply (e.g., on-site sanitation facilities, private Robust; systems is indicative of the city’s boreholes, open wells or similar sources)? Do Redundant ability manage and ensure water other systems serve as primary or back-up and sanitation service quality. modes? What percentage of water samples Where majority of water and in a year comply with national potable water sewage networks are owned and quality standards? What percentage of the regulated by the local government, sewage reaches a treatment plant? it is easier to monitor and ensure appropriate water treatment. Flexibility in the water supply and wastewater collection systems entails existence of more than one service provider capable of System Continuity: absorbing excess demand created If a water and sanitation network has been by the beak down in the regular impaired, do the systems have the flexibility distribution/collection system. Redundant for the demand to be absorbed by alternate Alternative water supply systems water supply and wastewater collection include rainwater catchment, modes? purchasing of bottled water, etc. There are also a number of alternative on-site wastewater collection and treatment systems for individual and shared usage. 142 Resource 17: Optional Sectoral Module—Water and Sanitation Frequency of water supply discontinuity per household indicates the level of water scarcity Capacity: in the city’s overall water supply What is the annual average of daily number and reliability of this service. of hours of continuous water supply per Robust Assessment of disruption to water household? Which areas of the city are most and sanitation services per area of affected by the disruption to water and the city helps identify vulnerable sanitation services? areas which are in need of back- up/temporary water and sewage systems. Capacity: Experience of current seasonal Is the city’s drainage system currently able rain/stormwater variations and to cope with seasonal increase in rain/ forecasted impacts of climate stormwater? How are the anticipated change on rainfall levels should effects of climate change likely to impact inform the design of the city’s the city’s drainage systems and have these drainage system. Climate change Robust; predictions been incorporated in planning projections allow the city to Reflective and design efforts? For example, are design improve the design and capacity parameters for estimating reservoir size, dam of existing drainage and water configuration, spillway capacity, and highest retention infrastructure, as well as flood levels reviewed in view of changing make necessary flood protection climate patterns, and rainfall intensities and investments to accommodate durations? [Lens 3 – CRF 8] changes in rainfall patterns. Facilities: Are principal components of the city’s water and sanitation systems (e.g., water Historic disaster monitoring and intake structures, water treatment plants, climate change projections allows conveyance systems, storage systems, the city to make improvements distribution network, sewage treatment to existing water and sanitation Robust; works) located in in disaster prone areas? facilities to mitigate impacts of Reflective If yes, are there plans to retrofit existing potential hazards, and make exposed facilities so that impacts of potential informed decisions about new disasters may be reduced? Are new facilities facility sites based on levels of built in safe areas or designed to be resilient exposure. to the hazards that are relevant for the areas in which they are built? [Lens 3 – CRF 8] 143 Methodological Guide: CityStrength Diagnostic Preventive maintenance of water and sewage infrastructure improves the duration and Facilities: reliability of infrastructure. Does the city regularly maintain and repair Regular maintenance of water its water and sewage infrastructure? distribution and wastewater What volume of potable water is lost from Robust collection prevents costly leakages distribution channels per year? What volume of potable water and wastewater of wastewater is leaked into the environment into the environment. Untreated per year? [Lens 3 – CRF 8] wastewater discharge can have devastating impacts on the environment and health of affected populations. Assessment of water and sewage networks’ probability of continued System Continuity: operation informs the planning Is the probability that water and sanitation of back-up systems for water will remain operational in post-disaster supply and wastewater collection. situations assessed? If yes, does the Reflective Assessment of the number of assessment include information about what people affected by such disruptions proportion of water and sanitation user allows the city estimate costs for accounts is exposed to each hazard? keeping minimum levels of services available. Identification of strategic facilities System Continuity: that cannot operate without water, Has the city identified strategic locations such as hospitals and shelters, (such as health centers, shelters) or other should be prioritized during areas requiring rapid assistance with supplies Redundant planning of back up water supply. of bottled water, water tankering or water Minimum levels of water supply treatment kits? Is the access water supply needs to be maintained to facilities available for all of those locations/functions? whose operation is essential for the safety of city residents. 144 Resource 17: Optional Sectoral Module—Water and Sanitation 145 Methodological Guide: CityStrength Diagnostic Resource 18: Prioritization Lens 1 PART A - SHOCK ASSESSMENT Shocks – What are the primary shocks that could affect the city? Where appropriate, specify the area(s) that could be affected. RELATED SHOCKS (at the LOCATIONS same time or in succession SHOCK INTENSITY FREQUENCY AFFECTED – e.g. Earthquake-Tsunami) 4 of the last 5 Example: Coastal Whole of the High years brought Flooding Bay area major flooding 1. 2. 3. Exposure – For your sector, what might the shock affect? Outline the people, functions or assets that could be disrupted. HUMAN/SOCIO-ECONOMIC (people, communities or social functions which PHYSICAL ASSETS (assets within your SHOCK might be disrupted) sector which may be exposed) The water treatment works are 10,000 residents live in the bay area situated within the bay area as Example: Coastal Flooding who rely on the water company for well as the desalination plant - the main supply desalination plant was closed for 7 days after last years’ flooding 1. 2. 3. 146 Resource 18: Prioritization Lens 1 Vulnerability – For assets identified as exposed to the shock, please identify whether any exhibit particular strengths or weaknesses – Why? (For example, this could be due to a lack of planning and preparedness or physical weakness of an asset.) HUMAN (any exposed people, PHYSICAL ASSETS – are any of communities or functions particularly the identified assets particularly SHOCK vulnerable and why) vulnerable? Emergency plans in place & city The treatment works have flood awareness campaigns with Bay barriers, pumping systems and Example: Coastal Flooding area focus (when water may be diversion channels - never been unsafe & what to do). Helpline for impacted. The desalination plant outages. flood barriers failed last year. 1. 2. 3. Direct Consequences and Actions – In relation to your sector: Do any of the risks described above constitute an immediate threat to people or assets in the city? Describe potential scenarios below with recommended mitigation measures. 147 Methodological Guide: CityStrength Diagnostic PART B - STRESS ASSESSMENT Stresses – What main stresses currently affect the city? Who do they affect? Are they getting better or worse? STRESS LOCATIONS AFFECTED CURRENT SITUATION PROJECTION Improving as more Poorer communities public connection Example: Water access / Lack of secure access for in South Bay informal infrastructure is scarcity over 5,000 people settlement completed (25% red. last 5 years) 1. 2. 3. Sector Impact – How does this stress impact upon the operation of your sector? STRESS DIRECT INDIRECT This is directly related to the water Example: Water access / scarcity sector. There is requirement to address this 1. 2. 3. 148 Resource 18: Prioritization Lens 1 Compound Risk – Consider which shocks identified in Part A might compound this stress upon your sector (and vice versa). IMPACT OF SHOCKS ON STRESS / IMPACTS OF STRESS SHOCKS STRESS ON SHOCKS There may be short-term water loss after Example: Water access / Coast flooding, seismic these shocks. If water is already scarce, relief scarcity activity may be impacted 1. 2. 3. Actions –Are there any actions your sector needs to undertake in order to reduce direct or potential indirect impacts? TO ADDRESS IMMEDIATE STRESS TO ADDRESS POTENTIAL STRESS / SHOCK COMPOUND ISSUES 149 Methodological Guide: CityStrength Diagnostic Resource 19: Prioritization Lens 2 PART A - IMPACT FROM OTHER SECTORS If any other urban sector were to be damaged or impacted by a shock or stress, how might this impact your sector? Review horizontally. Leave blank if no impact. When completed, highlight areas of significant impact in red. SECTOR Communities Disaster Risk Education Energy Environment Health ICT and Social Management Protection SECTOR DESCRIPTION Equal and fair Complete Emergency Helps guide access to basic Preparation; coverage Secure supply health relief; Environmental economic services; Social Response (offered to of power; and protection; growth; cohesion; mechanism; all citizens); Continuity Basic health Stability of Ensures ICT Awareness; Disaster Continuous of services in services the urban public service Support for prevention operation of the event of provided to ecosystem delivery / vulnerable infrastructure education disruption the entire accessibility groups facilities population IMPACT FOR YOUR SECTOR 150 Resource 19: Prioritization Lens 2 Local Logistics Municipal Solid Waste Transport Urban Water and Economy and Supply Finance Sanitation Chains Physical Transport Water and Local Efficient Withstands Collection, and socio- access for all sanitation economy movement shocks to disposal and economic population services are is diverse of goods revenues or treatment, planning groups; accessible to and youth -continuous unforeseen especially of processes; Continuity in all segments unemploym- and profitable municipal hazardous Long-term the event of of the ent is low operation costs waste approach to disruption population urban growth 151 Methodological Guide: CityStrength Diagnostic PART B – IMPACTS FROM YOUR SECTOR If your sector were to be damaged or impacted by a shock or stress, how might this impact the other sectors? Review vertically. Leave blank if no impact. When completed, highlight areas of significant impact in red. IMPACT OF YOUR SECTOR SECTOR SECTOR DESCRIPTION DISRUPTION ON THE OTHER SECTORS Equal and fair access to basic services; Communities and Social Social cohesion, Awareness; Support for Protection vulnerable groups Preparation; Response mechanism; Disaster Risk Management Disaster prevention infrastructure Complete coverage (offered to all citizens); Continuous operation of Education education facilities Secure supply of power; Continuity of Energy services in the event of disruption Environmental protection; Stability of the Environment urban ecosystem Emergency health relief; and Basic health services provided to the Health entire population Helps guide economic growth; Ensures ICT ICT public service delivery / accessibility Local economy is diverse and youth Local Economy unemployment is low Efficient movement of goods -continuous Logistics and Supply Chains and profitable operation Withstands shocks to revenues or Municipal Finance unforeseen municipal costs 152 Resource 19: Prioritization Lens 2 Collection, disposal and treatment, Solid Waste Management especially of hazardous waste Transport access for all population groups; Continuity in the event of Transport disruption Physical and socio-economic planning processes; Long-term approach to urban Urban Development growth Water and sanitation services are accessible to all segments of the Water and Sanitation population 153 Methodological Guide: CityStrength Diagnostic Resource 20: Prioritization Lens 3—Option 1 QUALITIES OF RESILIENCE Please complete the worksheet from the perspective of the sector you are covering in the CityStrength Diagnostic. Please use the completed Guiding Questions to rate how well your sector exhibits each of the characteristics of resilience using the following scale: 5 = the sector fully exhibits this characteristic; 3 = the sector partially exhibits this characteristic; or 1 = the sector does not exhibit this characteristic at all or only in a minor way. Please provide a short justification for the rating. BRIEF RESILIENCE CHARACTERISTIC RATING JUSTIFICATION FOR RATING Robust Robust systems include well-conceived, constructed and managed physical assets, so that they can withstand the impacts of hazard events without significant damage or loss of function. Robust design anticipates potential failures in systems, making provision to ensure failure is predictable, safe, and not disproportionate to the cause. Overreliance on a single asset, cascading failure and design thresholds that might lead to catastrophic collapse if exceeded are actively avoided. An important aspect of robustness is proper operations and maintenance to ensure that systems are functioning properly. Redundant A redundant network or system has a belt and braces approach which includes spare capacity or back-up to accommodate disruption, extreme pressures or surges in demand. Providing diverse ways of achieving a given need or fulfilling a particular function is a means to achieving a redundant system. If one service channel gets disrupted, another can be used. 154 Resource 20: Prioritization Lens 3—Option 1 BRIEF RESILIENCE CHARACTERISTIC RATING JUSTIFICATION FOR RATING Coordinated Coordination between city systems and agencies means that knowledge is shared, planning is collaborative and strategic, and decision-making is based on investments that are mutually supportive towards a common outcome. Exchange of information between systems enables them to function collectively and respond rapidly through feedback loops occurring throughout the city. Reflective Resilient urban systems examine, learn, and evolve based on their past experiences and new information, modifying standards or norms based on emerging evidence rather than seeking permanent solutions based on the status quo. As a result, people and institutions examine and systematically learn from their past experiences, and leverage this learning to inform future decision-making. Inclusive Being inclusive recognizes that risk is perceived differently by different stakeholders and that shocks and stresses affect the most vulnerable the most. An inclusive approach contributes to a sense of shared ownership or joint vision to build a resilient city. This can be achieved through consultation and engagement with a wide range of stakeholders, including the most vulnerable groups, to ensure that systems are more resilient by considering a wider range of vulnerabilities, risk management capacities, and localized information. Equity in access to infrastructure and services underpins social cohesion and opportunity. 155 Methodological Guide: CityStrength Diagnostic RESOURCE 21: PRIORITIZATION LENS 3—OPTION 2 CITY RESILIENCE FRAMEWORK This lens uses the City Resilience Framework.3 It comprises 12 key indicators that describe attributes of a resilient city within four categories: the health and wellbeing of individuals (people); urban systems and services (place); economy and society (organization); and, finally, leadership and strategy (knowledge). It aims to form the basis for a common understanding of urban resilience and a ‘baseline’ for what matters most for making cities more resilient. Please complete the worksheet from the perspective of the sector/topic you are covering in the CityStrength Diagnostic. For each of the 12 indicators, the first box provides a definition of the indicator, the second lists sub-indicators that could provide a quantitative measure of how well the city system performs. In the third box, please rate the indicator using the following scale: 5=the city almost fully achieves this indicator; 3=the city partially achieves this indicator; or 1=the city does not achieve this indicator at all or in a minor way. In addition, provide a short rationale for the rating. The Sectoral Guiding Questions are keyed to the sub-indicators presented here to facilitate your completion of this worksheet. Only provide ratings for indicators that are highlighted for your sector within the Sectoral Guiding Questions. 3 The City Resilience Framework was developed by Arup in conjunction with the Rockefeller Foundation. This document is based on the City Resilience Framework that was released at the World Urban Forum in Medellin in April 2014 (http:// publications.arup.com/Publications/C/City_Resilience_Framework.aspx), and contains additional information provided by Arup in June 2015 on sub-indicators. 156 Resource 21: Prioritization Lens 3—Option 2 © ARUP 2015 157 Methodological Guide: CityStrength Diagnostic Health and Wellbeing (People) INDICATOR 1: MINIMAL HUMAN VULNERABILITY This relates to the extent to which everyone’s basic needs are met. Description: Resilient cities are able to provide the basic physiological needs of the population, including adequate provision of food, water, sanitation, energy and shelter. Minimizing human vulnerabilities involves providing a standard of living that goes beyond mere survival. Evidence from cities suggests that the affordability of these services, particularly for vulnerable groups, is also critical to ensuring the whole population has daily access, including during times of disruption. Chronic failure to provide these services can cause strain on other aspects of the city’s functioning, including environmental pressures, economic stagnation, and social unrest. While a basic level of wellbeing also allows people to deal with unforeseen circumstances such as shock events. The focus of this indicator is on providing an adequate and dependable supply of essential services to a city’s whole population every day, including during times of disruption, to ensure everyone’s basic needs are met. Sub-indicators: 1.1 Safe and affordable housing for all city residents. 1.2 Adequate and affordable energy supply for all. 1.3 Inclusive access to an adequate supply of safe drinking water. 1.4 Effective (safe, reliable and affordable) sanitation provided to all areas of the city. 1.5 Sufficient and affordable food supplies for all. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 158 Resource 21: Prioritization Lens 3—Option 2 INDICATOR 2: DIVERSE LIVELIHOODS AND EMPLOYMENT This is facilitated by access to finance, ability to accrue savings, skills training, business support, and social welfare. Description: Diverse livelihood opportunities and support mechanisms allow citizens to proactively respond to changing conditions within their city without undermining their wellbeing. Access to finance, skills training and business support enables individuals to pursue a range of options to secure the critical assets necessary to meet their basic needs. Long-term, secure livelihoods allow people to accrue personal savings that will support their development, as well as their survival during times of crisis. Mechanisms through which diverse livelihood and employment opportunities can be generated include training and skills development, microfinance, incentive and innovation programs, as well as a living wage. Financial resources for business development and incentives for innovation allow individuals to seek diverse employment options during times of economic constraint or change. Contingency measures, such as insurance and social welfare, contribute to supporting households through challenging circumstances. An inclusive approach to livelihoods ensures that all citizens in a city have unrestricted access to legitimate occupations, regardless of race, ethnicity, gender or sexual orientation. A range of diverse (redundant) small, medium and large businesses in different economic sectors helps people to access job opportunities, even during challenging macro-economic circumstances. In the long term, microfinance, savings, training, business support and social welfare form a safety net that enables people to be flexible during times of stress. Sub-indicators: 2.1 Inclusive labor policies and standards, with an effective welfare system for low income groups. 2.2 Relevant skills and training with effective mechanisms for matching skills to the current and emerging employment marketplace 2.3 Dynamic local business development and innovation - thriving, adaptable and inclusive local business environment. 2.4 Supportive financing mechanisms - inclusive and resourceful finance mechanisms to enable businesses to adapt to changing circumstances and put in place contingencies for shock events). 2.5 Diverse protection of livelihoods following a shock - resourceful and inclusive measures to support businesses and workers following a shock Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 159 Methodological Guide: CityStrength Diagnostic INDICTOR 3: ADEQUATE SAFEGUARDS TO HUMAN LIFE AND HEALTH This relies on integrated health facilities and services, and responsive emergency services. Description: Health systems are critical to the day-today prevention of illness and the spread of disease, as well as protecting the population during emergencies. They comprise a diverse suite of practices and infrastructure, which help to maintain public health and treat chronic and acute health problems. Health services encompass a variety of practices, including: education; epidemiological surveillance; vaccination; and provision of healthcare services. These are focused on ensuring both physical and mental health. Accessible and affordable day-to-day individual healthcare, as well as appropriate population- based interventions (i.e. targeted at the community or city level), are key features of a functioning city health system. Measures to address injuries and addiction are also important to reduce the burden of ill- health in urban settings. Effective, inclusive and well-prepared medical staff and procedures ensure that all individuals have access to health services before, as well as during, emergencies. In order to achieve the above, appropriate health infrastructure is critical. Reflective learning and future planning ensure that public health practices − such as prevention through education − are appropriate for the social and physical context of a given city. Services or facilities that target vulnerable groups ensure that preventive and responsive strategies are inclusive and able to reach the entire population. In emergencies, a diverse network of medical practitioners and facilities throughout the city ensures the availability of additional resources (redundancy) that can be deployed immediately wherever they are needed. Responsive emergency services (police, fire, ambulance) are in place, with surge capacity to support peak demand during a crisis. Additional, well-trained and resourced emergency response capacity exists for shock events (e.g. search and rescue and relief). Sub-indicators: 3.1 Robust public health systems - robust monitoring and mitigation of public health risks. 3.2 Adequate and inclusive access to quality general healthcare. 3.3 Emergency medical resources - adequately resourced emergency medical services. 3.4 Effective, adequately resourced emergency response services. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 160 Resource 21: Prioritization Lens 3—Option 2 Economy & Society (Organisation) INDICTOR 4: COLLECTIVE IDENTITY AND COMMUNITY SUPPORT This is observed as active community engagement, strong social networks and social integration. Description: Communities that are active, appropriately supported by the city government and well- connected with one another contribute to the bottom-up creation of a city with a strong identity and culture. This enables individuals, communities and the city government to trust and support each other, and face unforeseen circumstances together without civil unrest or violence. Creating cohesive cities has both social and physical dimensions. Reinforcing local identity and culture contributes to positive relationships between individuals while reinforcing their collective ability to improve the environment where they live, work, create and play. These relationships are supported by a number of practices, including social networks and community organizations, artistic expression and the preservation of cultural heritage, including religion, language and traditions. Ideally, these practices are underpinned by spatial interventions that shape the places where communities develop and connect. Provision of communal facilities, public spaces and physical accessibility can help to strengthen community cohesion and avoid isolation. Inclusivity is promoted by community participation. For example: processes that encourage civic engagement in planning and decision-making processes. Social practices are reinforced by physical interventions that foster resourcefulness and integration, such as the provision of communal meeting places; and the development of mixed neighborhoods that offer a range of housing opportunities to different social/ income groups. Sub-indicators: 4.1 Local community support - cohesive social structures providing support at individual, household and local community level. 4.2 Cohesive, harmonized communities across the city. 4.3 Strong, cohesive local identity and culture, in which all citizens feel a sense of belonging in the city 4.4 Actively engaged citizens - citizens actively engage, express opinion and participate within society. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 161 Methodological Guide: CityStrength Diagnostic INDICATOR 5: COMPREHENSIVE SECURITY AND RULE OF LAW This includes law enforcement, fair justice, and prevention of crime and corruption. Description: A comprehensive and contextually appropriate approach to law enforcement facilitates the reduction and prevention of crime and corruption in a city. By instituting a transparent justice system based on ethical principles, cities can uphold the rule of law and promote citizenship in daily life. These norms are critical to maintaining order during times of stress. Well planned and resourced law enforcement facilitates peaceful recovery, and ensures a healthy population by reducing crime-related injury, fatality and stress. An integrated approach to law enforcement combines deterrents with effective policing, emergency capacity, a transparent judicial system, and measures to reduce corruption. An effective judicial system promotes civic education as a preventive measure, as well as responsive action through fair justice. Sufficiently resourced policing practices that promote safety and security are a feature of daily life in a resilient city, and continue during times of unrest. Trust and transparency are identified as key attributes of policing, which can be achieved by reducing corruption and by involving other relevant actors in law enforcement, such as community leaders. Trust in city authorities and legal institutions is achieved by appropriate enforcement of laws and avoiding discrimination or violence in law enforcement. Laws are upheld by resourceful and responsive systems of policing, which actively involve city agencies, businesses and civil society. Social stability and security is also facilitated by inclusive public space design, which helps to avoid creating places where crime may proliferate, while maximizing the safety and security of individuals. Sub-indicators: 5.1 Effective systems to deter crime - integrated, collaborative and resourceful mechanisms 5.2 Proactive corruption prevention - fair and transparent systems to fight corruption and promote justice. 5.3 Competent policing - effective policing measures and systems for a safe and secure city. 5.4 Accessible criminal and civil justice - effective, affordable, impartial and accessible mechanisms to promote justice and resolve civil disputes. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 162 Resource 21: Prioritization Lens 3—Option 2 INDICATOR 6: SUSTAINABLE ECONOMY This is observed in sound management of city finances, diverse revenue streams, and the ability to attract business investment, allocate capital, and build emergency funds. Description: A robust economic system is critical to sustaining the investment that a city needs to maintain its infrastructure and provide for its communities. It helps to create contingency funds that both the private and public sectors can use to respond to emergencies and unforeseen events. As a result, cities are better able to respond to changing economic conditions and pursue long-term prosperity. A sustainable city economy is developed by aligning fiscal procedures in government, and the ability of the private sector to function despite shocks and stresses. A careful structuring of city budgets will consider the availability of funds to regularly invest in infrastructure and to respond to emergencies. This is supported by a robust revenue base, supplemented by the city’s ability to attract inward investment. The private sector has a complementary responsibility to develop business continuity plans to ensure that businesses can also function during, and recover from, emergencies. City government can contribute to the sustainability of private economic activities by empowering different sectors within the economy and strengthening trade relationships beyond the city. Redundancy (diversity) and resourcefulness are identified as key qualities for a healthy city economy. A diverse economy can absorb the impacts of sector-based shocks without major impact on the city’s revenue streams. Resilient cities are also resourceful, optimizing revenues and expenditures, and leveraging funds from non-government and business sources where appropriate. For example: public- private partnerships, direct investment and grant funding. Sub-indicators: 6.1 Well-managed public finances - adequate public finances and sound fiscal management. 6.2 Comprehensive (resourceful, reflective and flexible) business continuity planning across both public and private sectors. 6.3 Diverse economic base - robust, flexible and diverse local economy. 6.4 Attractive business environment - diverse and resourceful investments within the city, driven by a strong urban brand and economic and social environment. 6.5 Strong integration with regional and global economies - strong integration between the city’s economy and wider economic systems. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 163 Methodological Guide: CityStrength Diagnostic Urban Systems & Services (Place) INDICATOR 7: REDUCED EXPOSURE AND FRAGILITY This relies on a comprehensive understanding of the hazards and risks to which a city is exposed that informs the development of integrated strategies to physically protect the city combining sound environmental stewardship, robust design and maintenance of man-made infrastructure, and enforcement of appropriate building codes and regulations. Description: Conservation of environmental assets preserves the natural protection afforded to cities by ecosystems. Among other things, this might include the absorption of tidal surges by coastal wetlands or fluvial flooding by upstream woodlands. The protective function of infrastructure relies on appropriate design and construction. This is as important for homes, offices and other day-to-day infrastructure as it is for specific defenses, like flood barriers. Working together, both natural and man-made assets help to improve protection against severe conditions, avoiding injury, damage or loss. Ecosystems and built infrastructure designed as integrated urban systems effectively contribute to reducing physical exposure and vulnerability. For example: river basins, forests, drains and sewers all play a role in protecting cities from flooding. In coastal areas, for example, robustness can be better achieved by using natural wetlands and man-made dykes as part of an integrated approach to coastal flooding. A resilient city values ecosystem services and has in place robust environmental policies to protect ecosystems in situ. In resilient cities, man-made infrastructure and buildings are well-conceived, well-constructed and safeguarded against known hazards. Building codes and standards promote long-term robustness, flexibility to adapt in the future and safe failure mechanisms in the event of a shock. Cities in seismic zones can be better prepared for earthquakes by updating and enforcing building codes on the basis of reflective learning and new understanding of future conditions. Sub-indicators: 7.1 Comprehensive hazard and exposure mapping - robust systems in place to map the city’s exposure and vulnerability to hazards based on current data. 7.2 Appropriate codes, standards and enforcement - building and infrastructure codes and standards are forward looking, appropriate to local context and risk profiles, and enforced 7.3 Effectively managed protective ecosystems - well-developed understanding and acknowledgement of the role of ecosystems in providing physical protection to the city. 7.4 Robust protective infrastructure - integrated, forward-looking and robust network of protective infrastructure that reduces vulnerability and exposure of citizens and critical assets. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 164 Resource 21: Prioritization Lens 3—Option 2 INDICATOR 8: EFFECTIVE PROVISION OF CRITICAL SERVICES This results from active management and maintenance of ecosystems, and from diversity of provision, redundant capacity, and adequate maintenance of essential utility services, combined with robust contingency planning. Description: Ecosystems and infrastructure both provide critical services to urban populations. However, these services depend on more than just the presence of assets; their quality and performance are only maintained through proactive management. During times of stress, some ecosystem services and infrastructure become central to the city functioning. Well-maintained systems are better able to accommodate abnormal demand, withstand unusual pressures and continue functioning. Well-established management practices create enhanced knowledge of system components, so that infrastructure managers are better prepared to restore disrupted services. Educating communities and businesses is essential to ensuring that ecosystem services of importance to urban populations – such as natural drainage capacity and flood defenses – remain robust and are not undermined by careless or unwise actions, such as natural resource extraction or destruction of coastal dunes and mangroves. The management of man-made infrastructure includes frequent monitoring together with regular plans for upgrade and renewal. Demand management is critical in the continuity of critical services, ensuring that neither built nor natural systems are overloaded, and can maintain sufficient redundancy to absorb surges in demand. A resilient city also implements continuity plans to ensure that infrastructure managers are ready to maintain service provision and avoid disruption during extreme events. Active management of ecosystem services and infrastructure ensures long-term robustness and flexibility in changing conditions. For example: through monitoring and maintenance programs. Reflective approaches may use intelligent technologies and education to monitor the integrity of assets and disseminate alerts in the event of declining performance. Sub-indicators: 8.1 Effective stewardship of ecosystems - robust mechanisms in place to maintain and enhance the ecosystem services that benefit city residents. 8.2 Flexible infrastructure - critical services within the city are supported by diverse and robust infrastructure, which has been appropriately planned and delivered. 8.3 Retained spare capacity - minimized demand on critical infrastructure through the resourceful and flexible use of key resources. 8.4 Diligent maintenance and continuity - robust monitoring, maintenance and renewal of essential utility infrastructure, with effective contingency planning. 8.5 Adequate continuity for critical assets and services - resourceful, reflective and flexible continuity plans to maintain utility services to critical assets during emergency situations. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 165 Methodological Guide: CityStrength Diagnostic INDICATOR 9: RELIABLE MOBILITY AND COMMUNICATIONS This is enabled by diverse and affordable multi-modal transport systems and information and communication technology (ICT) networks, and contingency planning. Description: Reliable communications and mobility create daily connectivity between places, people and services. This fosters a positive environment for everyday working and living, builds social cohesion, and also supports rapid mass evacuation and widespread communication during emergencies. A combination of transport links and the provision of information and communication technology (ICT) are fundamental to connectivity in contemporary cities. Transport links enable physical mobility and should be characterized by a wide coverage of the city, as well as good service quality and affordability. Good infrastructure capacity, safety and efficiency are essential for the effective operation of transport networks. Business logistics and freight infrastructure are an important consideration to support the city’s economic functioning. Communication technologies are also critical for a city’s connectivity. These include a diverse range of technologies, such as radio networks, internet and mobile phone services, as well as specific channels such as social media. The availability of reliable and inclusive forms of communication is critical to disseminate information during emergencies – particularly to the most vulnerable residents of a city, such as the poor and the elderly. Inclusive multi-modal transport networks allow safe and affordable travel between all neighborhoods and key facilities across the city. Multi-modal systems incorporate redundancy and flexibility by providing alternative options in the event of failure or surges in demand. Robust and redundant ICT services enable safe communication and access to information, including coordination of emergency services. Sub-indicators: 9.1 Diverse, affordable and integrated transport networks, providing flexible travel around the city for all. 9.2 Effective transport operation and maintenance - Effective management of the city’s transport network to provide quality, safe transport. 9.3 Reliable communications technology - effective and reliable communication systems that are accessible by all. 9.4 Secure technology networks - robust, effective mechanisms in place to protect the information and operational technology systems on which the city is dependent. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 166 Resource 21: Prioritization Lens 3—Option 2 Leadership & Strategy (Knowledge) INDICATOR 10: EFFECTIVE LEADERSHIP AND MANAGEMENT This is enabled by trusted individuals, multi-stakeholder consultation, evidence-based decision- making and disaster risk reduction activities. Description: Clear and purposeful leadership promotes trust, unity and a shared understanding of a city’s trajectory. Leadership is a key ingredient in encouraging individuals and communities to take action during challenging times. A committed city government that takes decisions on the basis of sound evidence enables a city to thrive from day to day, and to respond to shocks and stresses. Cross-sector collaboration that challenges ‘siloed’ approaches in government is critical to effective decision-making. Multi-stakeholder alignment and consultations with communities, including the private sector, are measures that support relevant and effective decision-making. Evidence gathered in cities suggests that effective city governments are given the necessary power to make decisions at local level. Integrated, multi-stakeholder decision-making is also supported by coordinated practices and procedures, such as emergency management structures and response plans. Inclusive governments recognize the importance of grassroots knowledge to help them understand local challenges, and they value the research and innovation that universities and businesses can contribute to solve city problems. By forging cross-sector relationships, resilient cities are better able to coordinate people and access private resources and support during times of need. Integration and resourcefulness are essential to emergency coordination and capacity-building, enabling appropriate and timely government responses. Sub-indicators: 10.1 Appropriate (transparent, inclusive and integrated) government decision-making and leadership 10.2 Effective coordination with other government bodies - integrated and flexible communication and collaboration between city, state and national government, both daily and during times of shock or stress. 10.3 Proactive multi-stakeholder collaboration - inclusive and constructive collaboration between all actors involved in city decision-making. 10.4 Comprehensive hazard monitoring and risk assessment - effective systems to monitor potential hazards and assess risk. 10.5 Comprehensive emergency management - city leadership that has sufficient capacity and flexibility to effectively manage emergencies. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 167 Methodological Guide: CityStrength Diagnostic INDICATOR 11: EMPOWERED STAKEHOLDERS This is underpinned by education for all, and relies on access to up-to-date information and knowledge to enable people and organizations to take appropriate action. Description: Education is a fundamental part of human development. Basic skills such as literacy and numeracy help citizens to communicate, express themselves and find livelihood opportunities. These skills are invaluable against many of the stresses a city faces. Inclusive provision of education and information also enables citizens to protect themselves in emergency situations. For example, in many cities that are vulnerable to seismic activity, television and radio stations automatically switch to deliver official earthquake information following an event, which alerts the public to risks and precautionary measures. Individuals and communities that know what to do during unexpected events are invaluable assets to a city. The provision of early warnings and access to education, information and knowledge empowers citizens and gives them the tools to take appropriate decisions in the face of shocks and stresses. As a consequence, urban stakeholders are better positioned to act, learn, and adapt. It is imperative that the decision-makers in the city effectively engage with the wider population, discussing plans and actions. Multiple and well-used channels of communication help to make this process effective. In addition, resilient cities ensure that information shared with their citizens can be understood, communicating in an accessible and inclusive fashion. Sub-indicators: 11.1 Adequate (affordable, quality) education for all. 11.2 Widespread community awareness and preparedness - inclusive efforts to build public awareness of risks. 11.3 Effective mechanisms for communities to engage with the city government - inclusive, integrated and transparent mechanisms for communication and coordination between the city government and citizens. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 168 Resource 21: Prioritization Lens 3—Option 2 INDICATOR 12: INTEGRATED DEVELOPMENT PLANNING This is indicated by the presence of a vision, an integrated development strategy, and plans that are regularly reviewed and updated by cross-departmental groups. Description: Development plans and land use regulations are instruments that cities use to coordinate and control urban development and guide future investments. The creation and implementation of plans and regulations ensures that individual projects and programs are aligned and sufficiently address uncertainty. Integrated plans create a formalized framework to deal with multidisciplinary issues, such as climate change, disaster risk reduction or emergency response. A critical aspect of delivering a comprehensive development and planning framework is the presence of a city vision. The development of a shared and integrated city vision requires understanding of and alignment between the motivations of different stakeholders involved in designing and implementing projects in the city. This, in turn, requires ongoing processes of communication and coordination at all stages of planning. A vision should be underpinned by appropriate evidence and acceptance of uncertainty, and delivered via policy and regulations. Land use plans should be permanently enforced and regularly updated. Preparation of plans relies on collecting up-to-date and relevant data, as well as the ongoing monitoring of urban trends. The implementation of integrated strategies and plans ensures that different projects and programs across a city are aligned, mutually-supportive, reflective of past experience and resourceful in the face of future uncertainty. These processes should be truly inclusive, incorporating consultations with residents and others who will experience their effects. Sub-indicators: 12.1 Comprehensive city monitoring and data management - regular monitoring and analysis of relevant data undertaken to inform city planning and strategies. 12.2 Consultative planning process - transparent and inclusive process to develop planning policies and strategies. 12.3 Appropriate land use and zoning - integrated and flexible land use and zoning plans that ensure appropriate development of the city. Rating: Rating and rationale for rating: 5= almost fully achieves 3= partially achieves 1= minimally achieves 169 Methodological Guide: CityStrength Diagnostic RESOURCE 22: PRIORITIZATION LENS 4 City-level Goals and Objective What are the city’s official goals, objectives, or aspirations as stated in government planning documents (e.g., comprehensive plans, 5-year plans, etc.)? City Goals: Sectoral Goals and Objectives What are the official goals, objectives, or aspirations as stated in sectoral planning documents (e.g., master plans, etc.)? Sector Specific Goals: 170 Resource 22: Prioritization Lens 4 Alignment between Proposals and the City’s Goals What are your recommended actions and investments for the sector? How do they relate to the city’s goals and objectives? How do they relate to sectoral goals and objectives? Try not to exceed a total of 5 recommendations. Relationship to Goals and Objectives Action or Investment Description 1 = not aligned 3 = somewhat aligned 5 = fully aligned 1. 2. 3. 4. 5. 171 Methodological Guide: CityStrength Diagnostic RESOURCE 23: INTERDEPENDENCY MATRIX Community Disaster Risk and Social Education Energy Environment Health Management Protection Community and Social Protection Disaster Risk Management Education Energy Environment Health ICT Local Economy Logistics and Supply Chains Municipal Finance Solid Waste Management Transport Urban Development Water and Sanitation 172 Resource 23: Interdependency Matrix The Interdependency Matrix is populated using the completed worksheet from Lens 2. The table should be edited to omit the sectors not included in the implementation of the diagnostic in a specific city. Sectors with significant interdependencies are highlighted in red. Sectors with moderate interdependencies are highlights in yellow. And, sectors with no interdependencies are left blank. Logistics Local Municipal Water and ICT and Supply Solid Waste Transport Urban Economy Finance Sanitation Chains 173 Methodological Guide: CityStrength Diagnostic RESOURCE 24: HOLISTIC RESILIENCE MATRIX – OPTION 1 The Holistic Resilience Matrix – Option 1 is populated using the completed worksheet from Lens 3 – Option 1. The table should be edited to omit the sectors not included in the implementation of the diagnostic in a specific city. Rating scale: 5 = the sector fully exhibits this quality; 3 = the sector partially exhibits this quality; or 1 = the sector does not exhibit this quality.   Robust Redundant Community and Social Protection Disaster Risk Management Education Energy Environment Health ICT Local Economy Logistics and Supply Chains Municipal Finance Solid Waste Management Transport 174 Resource 24: Holistic Resilience Matrix – Option 1 Reflective Coordinated Inclusive 175 Methodological Guide: CityStrength Diagnostic RESOURCE 25: HOLISTIC RESILIENCE MATRIX – OPTION 2 The Holistic Resilience Matrix – Option2 is populated using the completed worksheets from Lens 3 – Option 2. The table should be edited to omit the sectors not included in the implementation of the diagnostic in a specific city. Rating scale: 5=the city almost fully achieves this indicator; 3=the city partially achieves this indicator; or 1=the city does not achieve this indicator at all or in a minor way. 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