The built environment and gender dynamics for asset-based adaptation in urban poor households in Dhaka, Bangladesh

A Thesis submitted to the University of Manchester for the degree of Doctor of Philosophy

In the Faculty of Humanities

2012

Huraera Jabeen

School of Environment and Development

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Table of Contents

List of Images 5 List of Tables 5 List of Boxes 5 List of Figures 6 List of Appendices 7 List of Abbreviations 8 Abstract 9 Declaration 10 Copyright Statement 11 Acknowledgement 12 Dedication 13

Chapter 1. Introduction 14

1.1 Introduction and problem definition 14 1.2 Aim of the research 20 1.3 Research question and objectives 22 1.4 Geographical focus and target group of the research 23 1.5 Methodological approach 25 1.6 Structure of the thesis 26

Chapter 2. Adaptation and the built environment 30

2.1 Conceptualizing adaptation 31 2.1.1 What to adapt to: climate change and climate extremes 31 2.1.2 Who or what adapts: vulnerability and urban poverty 33 2.1.3 How does adaptation occur: the scale and purpose of adaptation 36 2.1.4 Limitations of adaptation 38 2.1.5 ‘Adapting with climate extremes’ 39

2.2 Built environment and climate vulnerability 40 2.2.1 The influence of urbanization on the urban poor’s vulnerability 41 2.2.2 Vulnerability influenced by urban development planning approaches 42 2.2.3 Housing and infrastructure as means of building adaptive capacity 47 2.2.4 Micro-analysis of the built environment: space and climate variables 49

2.3 Adaptation and the built environment: the key issues for the urban poor 52

Chapter 3. Adaptive capacity, gender and the built environment 53

3.1 Adaptive capacity and assets of the urban poor 53 3.2 Gender: an emerging issue in climate change discussions 57 3.3 Nature of climate vulnerability based on gender 59

3.3.1 Vulnerabilities arising from differential economic opportunities 59 3.3.2 Social norms and extent of vulnerabilities 60 3.3.3 Differential of impacts on human health 61 3.3.4 Exacerbating vulnerabilities through erroneous planning 61 3.3.5 Gendered vulnerabilities 62

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3.4 Differential factors affecting gender-based climate vulnerabilities 63 3.5 Gender, space and the built environment 66 3.6 Gendered space and adaptive capacity 70 3.7 Considering gender dynamics and assets for building adaptive capacity 71

Chapter 4. Research strategy, approaches and techniques 74

4.1 The research strategy 74 4.2 Research paradigms and perspectives 75 4.3 Qualitative research methods 78

4.3.1 Participatory research tools and techniques 80 4.3.2 Participatory Climate Change Adaptation Appraisal (PCCAA) 82 4.3.3 Analytical frameworks for gender and spatial inquiries 84 4.3.4 Case study 89 4.3.5 Visual research methods 90

4.4 The Fieldwork activities 93 4.4.1 Participatory urban appraisal with community members 95 4.4.2 Case study households 97 4.4.3 Doing the research ‘at home’ 100 4.4.4 Challenges 102

4.5 Combining methodologies to generate knowledge 104

Chapter 5. Linking city dynamics of Dhaka to local variants 106

5.1 The climate variables contributing in increased exposure to climate stresses 107 5.1.1 Temperature variability 107 5.1.2 Rainfall pattern 109

5.2 Sensitivity of Dhaka to climate hazards 112 5.3 Institutional arrangements influencing adaptive capacity 113

5.3.1 National level climate policies and strategies 113 5.3.2 Urban development planning and policies for Dhaka 116 5.3.3 Involvement of professionals in planning and policy making 120

5.4 Linking conceptual framework, and research methods with the context 121

Chapter 6. Climate hazards, vulnerability and their impacts on assets 123

6.1 Community profile of Korail 123 6.1.1 House-ownership pattern 127 6.1.2 Housing conditions 129 6.1.3 Access to infrastructure and services 131 6.1.4 Access to healthcare and social safety net 133 6.1.5 Access to livelihood opportunities 134

6.2 Experience and perception about impacts of different climate variables 136 6.3 Asset-vulnerability arising from climate extremes 142

6.3.1 Types of asset and their vulnerability to climate extremes 142 6.3.2 Interrelated causes and consequences of asset-vulnerability 146 6.3.3 Significance of physical capital assets on climate vulnerabilities 149 6.3.4 Differential of asset-vulnerability between different groups 153

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6.3.5 Institutional arrangements impacting on the physical vulnerabilities 157 6.4 Asset-vulnerabilities defining the course of actions 157

Chapter 7. Building resilience in the built environment 159

7.1 Process of developing the built environment influencing adaptive capacity 159 7.1.1 Choice of building materials 160 7.1.2 Construction techniques 161 7.1.3 Production and reproduction of spaces 163

7.2 The strategies for choosing building materials and techniques 165 7.3 Fluidity of the construction process as a strategy to take actions 170

7.3.1 Flexibility in the construction process 170 7.3.2 Incremental development 179 7.3.3 Combining indigenous knowledge with available resources 184

7.4 Pragmatic space organization considering limitations and alternatives 185 7.4.1 Efficiency of space, demand and high density development 185 7.4.2 Organizing spaces to combine multiple activities within the house 186 7.4.3 Small modifications for better resilience 188 7.4.4 Participative neighbourhood planning 189 7.4.5 Informal-formal service provision 191

7.5 Building adaptive capacities with housing and infrastructure 193

Chapter 8. The roles, resources and power relations of adaptive capacity 196

8.1 Gender roles and cultural pattern based on household headship 196 8.2 Division of labour guiding perception of asset-vulnerability 200 8.3 Gender differences in income and asset-ownership 202 8.4 Collaboration and conflicts of bargaining power 206 8.5 Roles, resources and power defining adaptive capacity in the built environment 209

8.5.1 ‘Living in a man-made world’ 210 8.5.2 Manifestation of gender by organization and use of spaces 212 8.5.3 Power relations manifested through building components 220

8.6 Gender dynamics manifested by adaptive capacity and the built environment 224

Chapter 9. Conclusions: The built environment and gender dynamics for asset-based adaptation 226

9.1 Opportunities of asset-based adaptation in the built environment 227 9.2 Household level interventions for sustainable adaptation planning 233 9.3 Gender dynamics of asset-based adaptation in the built environment 237 9.4 Contributions to theoretical debates on adaptation and adaptive capacity 242 9.5 Policy implications of asset-based adaptation in the built environment 245 9.6 Potentials for future research 252

References 254

Appendices 270

Final word count: 78,217 words

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List of Images

Image 1.1: Water clogged road in Dhaka 15 Image 1.2: Aerial View of Korail and surroundings 24 Image 6.1: Open-to-sky common corridor inside a house 130 Image 6.2: Queue for buying rice at a subsidised price 134 Image 6.3: Streets a) during and b) after the rain 140 Image 6.4: Different types of cooking arrangements 152 Image 6.5: Different types of toilet and shower area 152 Image 7.1: Vulnerability influenced by a) building materials and b) density 165 Image 7.2: Combination of old and new CI sheets for house construction 166 Image 7.3: Improvised column base in Korail 174 Image 7.4: a) Collecting rainwater without roof gutter, b) draining rainwater from the

corridor with gutter c) Overflow of drainage 176 Image 7.5: a) Higher storage facilities b) Adding layers for covering CI sheets 189 Image 7.6: Community map of Jamaibazar 190 Image 7.7: a) Construction of new drains, b) streets, c) community toilets 191 Image 7.8: a) Water supply lines in the street, b) electric meters in a vendor’s house, c)

water point to buy water for bathing and household use 192 Image 8.1: A woman clearing drain and improving access to reduce water clogging 199 Image 8.2: Extension work of a room by the household members 207 Image 8.3: a) Men gathered in tea stall b) Women socializing in courtyard 218 Image 8.4: Different protective measures for windows 223

List of Tables

Table 3.1: Six groups of gender factors affecting climate vulnerabilities 63 Table 4.1: Details of FGD groups participating in the appraisal process 96 Table 4.2: Details of case study households 98 Table 5.1: Trend in all-Bangladesh mean temperatures (deg C per century) 108 Table 5.2: Rainfall pattern in different seasons in Dhaka and Bangladesh 109 Table 5.3: Trends in linear trends in rainfalls per decade in Dhaka and Bangladesh 110 Table 6.1: Distribution of households by ownership in Korail 128 Table 6.2: Distribution of households by duration of residency in Korail 128 Table 6.3: Distribution of households by type and condition of dwelling in Korail 131 Table 6.4: Characteristics of spaces accommodating different activities 132 Table 6.5: Distribution of households by sanitation type 132 Table 6.6: Perceived changes reported by case study household respondents 137 Table 9.1: Asset matrix for the urban poor in the context of climate extremes 228

List of Boxes

Box 6.1: Listing and ranking of perceived changes over the years 137 Box 6.2: Significant components of assets for household/individual 143 Box 6.3: Significant components of assets for household/community 144 Box 6.4: Listing and ranking of the most vulnerable spaces in the house 151 Box 6.5: Listing and ranking of most vulnerable members/ households 153 Box 8.1: Reasons and types of responsibility taken by the women 198

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List of Figures

Figure 1.1: Location of Korail in Dhaka 25 Figure 4.1: Location of case-study households in Korail 99 Figure 6.1: Linkage of Korail with different parts of the city 125 Figure 6.2: Time line depicting the development of Korail 126 Figure 6.3: Space organization pattern within houses 129 Figure 6.4: Mapping exercise indicating location of community assets 145 Figure 6.5: Causes and consequences of extreme events 147 Figure 6.6: Timeline of house development in Korail 148 Figure 6.7: Causes and consequences of increased heat 149 Figure 6.8: Causes and consequences of intense rain 150 Figure 7.1: Construction detail of a) traditional mud house b) house in Korail 162 Figure 7.2: Details of 'ekchala' roof in a house 162 Figure 7.3: Cooking arrangement in the open-to-sky courtyard 164 Figure 7.4: Protective plinth wall with CI sheet enclosure and roof 167 Figure 7.5: Standard room size based on space usage and unit of material 169 Figure 7.6: Standard room height based on space usage and unit of material 169 Figure 7.7: Construction detail of a water-resilient floor 171 Figure 7.8: Pre-cast concrete stumps 173 Figure 7.9: Use of canopy as heat insulator 177 Figure 7.10: Vulnerability level in different building components 178 Figure 7.11: Time line depicting development of a house in Korail 179 Figure 7.12: Incremental development of a house: a) the layout of ground floor before

the expansion, b) after the expansion 180 Figure 7.13: Use of balcony in two-storied structures 182 Figure 7.14: Ventilation provisions in upper level rooms 183 Figure 7.15: House of CS no. 05 a) in 2007 b) in 2010 186 Figure 7.16: Combination of work and living areas 187 Figure 8.1: Analysis of causal flow diagram for increased heat 201 Figure 8.2: Analysis of causal flow diagram for water-clogging 201 Figure 8.3: Location of window at the entrance passage considering security 213 Figure 8.4: Location of window considering control and security 213 Figure 8.5: Non-visible interior from the entrance 214 Figure 8.6: Combination of work and living areas 216 Figure 8.7: Segregation and combination of work and living areas 217 Figure 8.8: Space usage pattern of female and male members of the household 220 Figure 8.9: Location of window considering ventilation and comfort 221 Figure 8.10: Space organization and window location considering privacy and security

222 Figure 8.11: Location of window considering privacy 223 Figure 8.12: Relationship between gender roles, space usage pattern and adaptive

capacity 225 Figure 9.1: Impacts of a resilient house on building adaptive capacity 231 Figure 9.2: Relationship between gender dynamics, space usage pattern and adaptive

capacity 239 Figure 9.3: Standard room size based on space usage and unit of material 249 Figure 9.4: Gender dynamics influencing adaptive capacity through space organization

252

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List of Appendices

Appendix 1: Tools of PCCAA 271 Appendix 2: Survey questionnaire 273 Appendix 3: Example of compiled field notes of one case-study household 276 Appendix 4: Urban issues in national climate policies 280 Appendix 5: Minimum Standard Housing guidelines of BNBC 282

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List of Abbreviations

BCCSAP Bangladesh Climate Change Strategy and Action Plan

BDT Bangladeshi Taka

BNBC Bangladesh National Building Code

BRAC Building Resources Across Communities

CCC Climate Change Cell

CDC Community Development Committee

CoP Conference of Parties

DAP Detailed Area Plan

DFID Department for International Development

DMDP Dhaka Metropolitan Development Plan

DoE Department of Environment

DSK Dustho Shastho Kendro

DSMA Dhaka Statistical Metropolitan Area

FGD Focus Group Discussion

GED Gender Environment and Development

GHG Green House Gas

ICCDR,B International Centre for Diarrhoeal Disease Research, Bangladesh

IPCC Intergovernmental Panel on Climate Change

NAPA National Adaptation Programme of Action

NGO Non- Governmental Organization

PCCAA Participatory Climate Change Adaptation Appraisal

PRA Participatory Rural Appraisal

RAJUK Rajdhani Unnoyon Kotripokkho

SFT Square Feet

SQM Square Meter

SSC Secondary School Certificate

UAP Urban Area Plan

UNFCCC United Nations Framework Convention on Climate Change

UPPRP Urban Partnership for Poverty Reduction Project

USD US Dollar

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Huraera Jabeen, November 2012: The University of Manchester, Doctor of Philosophy

The built environment and gender dynamics for asset-based adaptation in urban poor households in Dhaka, Bangladesh

Abstract

Climate change is posing significant risks to urban poor groups in cities as the impacts exacerbate existing physical, financial and social vulnerabilities. Despite similar exposure to climate variables within a city or a household, the adaptive capacity of poor households and individuals within them may vary, with access to the built environment and with differences in livelihood opportunities, healthcare and social support facilities. The differences may be pronounced especially from the impacts of repeating, incrementally developing natural changes in climate that increase frequency and intensity of extremes. This research explores opportunities and constraints of both adaptation and the adaptive capacity of urban poor households to respond successfully to the impacts of climate extremes.

The research focuses more specifically on adaptation in the built environment considering a number of variables, namely urban poverty, climate extremes, adaptive capacity, gender dynamics and asset-ownership. The research is designed around the hypothesis that gender dynamics influence adaptive capacity for asset-based adaptation in the built environment by the urban poor at household and community levels. The exploration of the research focused on one informal settlement in Dhaka, Bangladesh, examining the vulnerabilities of the urban poor to climate extremes and the impact of extreme conditions and events on assets; the processes, strategies and actions taken to reduce asset-vulnerability in housing, infrastructure design and development; and the gender dynamics within households and communities that mediate processes of decision-making, access to, and management of resources and their impact in the built environment.

The research reveals that physical capital assets – not only their ownership but also the process of gaining access to them - emerge as essential resources in effective adaptation. Assets generate economic, psychological, social and political benefits that foster resilience and social mobility to respond to many stresses of climate extremes. With access to a resilient built environment the scale of taking action is transformed from simply coping to adapting. Individually, the examination of processes of developing the built environment signifies key considerations for adaptation planning; the exploration of strategies indicates the opportunities for innovative alternatives; while examination of actions illustrates the possible development options. The exclusion of informal settlements from formal planning interventions by the State, development agencies and formal market forces the household to be the most active institution influencing decision making and actions to develop housing and infrastructure. The analysis of the causality of internal and external drivers of the processes, strategies and actions at the household level reveal strong connections between decision-making ability based on gender dynamics and asset-ownership patterns. Among the factors influencing gender inequalities, gender roles and cultural patterns, gender division of labour, gender differences in income and assets, and gender bias in power and decision making are most relevant in determining both an individual’s and the household’s potential to respond successfully and adapt with climate extreme impacts in their built environment.

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Declaration

No portion of the work referred to in this thesis has been submitted in support of an

application for another degree or qualification for another degree or qualification of this

or any other university or other institute of learning.

Huraera Jabeen

November 2012

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Copyright Statement

I. The author of this thesis (including any appendices and/or schedules to this thesis) owns certain copyright or related rights in it (the “Copyright”) and s/he has given The University of Manchester certain rights to use such Copyright, including for administrative purposes.

II. Copies of this thesis, either in full or in extracts and whether in hard or electronic copy, may be made only in accordance with the Copyright, Designs and Patents Act 1988 (as amended) and regulations issued under it or, where appropriate, in accordance with licensing agreements which the University has from time to time. This page must form part of any such copies made.

III. The ownership of certain Copyright, patents, designs, trade marks and other intellectual property (the “Intellectual Property”) and any reproductions of copyright works in the thesis, for example graphs and tables (“Reproductions”), which may be described in this thesis, may not be owned by the author and may be owned by third parties. Such Intellectual Property and Reproductions cannot and must not be made available for use without the prior written permission of the owner(s) of the relevant Intellectual Property and/or Reproductions.

IV. Further information on the conditions under which disclosure, publication and commercialisation of this thesis, the Copyright and any Intellectual Property and/or Reproductions described in it may take place is available in the University IP Policy (see http://documents.manchester.ac.uk/DocuInfo.aspx?DocID=487), in any relevant Thesis restriction declarations deposited in the University Library, The University Library’s regulations (see http://www.manchester.ac.uk/library/aboutus/regulations) and in The University’s policy on Presentation of Theses.

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Acknowledgement

There are many people who have made this PhD possible, without whom it may never have been possible. I would like to express my sincere gratitude to the following people.

To Rory and Elizabeth Brooks, whose generous endowment through the Brooks World Poverty Institute funded my scholarship. I am proud to have been given the chance to be involved in the Rory and Elizabeth Brooks Foundation’s quest to reduce global poverty and inequality.

To Professor Caroline Moser and Professor Simon Guy- my supervisors, for their continued guidance through out the PhD. Your support and critical advice has been integral to shaping and refining my ideas, research, and writing.

To the household and community members of Korail, who welcomed me with a smile, shared their thoughts, families, and experiences with me and gave me large amounts of their time even amidst their challenging life. I hope that even on the smallest-level my work will contribute to their ongoing struggle of establishing right to the city. I would like to thank Fatema, Jahanara, Parveen and many other community members who have been my companion in exploring the dynamic life in Korail.

To my friends and colleagues in the Department of Architecture, BRAC University, who were my first points of support whenever I needed any help. They offered me encouragement, insight and the passion to work. I would like to thank my students for their continuous support as well.

To Kashfi Anam, who has played such a supportive role in the completion of my PhD. Even though being 12,000 miles away she virtually accompanied me with every ups and downs of the entire process. Thank you my friend for helping to maintain sanity throughout.

Also to Suhana Sharmin Zaman and Abul Hasnat, Mohammad Faruk amd Syeda Atia Ashraf, Artan Karini who were more than my friends, who always gave me the warmth of family in UK.

And lastly, I cannot emphasise enough the support of my family – my parents, my brother and sister, my nieces and nephews– whose encouragement and support has sustained and supported me throughout my PhD. Your love and support was a constant reminder that even when I am challenged with the most difficult decisions, I can dream.

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Dedication

To my father, A F M Fariduddin, who lived his last days wishing for my success

And to my mother, Hosne Ara Farid, who me gave her courage and dreams as gifts.

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Chapter 1. Introduction

1.1 Introduction and problem definition

“Dhaka gone crazy: Heat, outage, water crisis cripple city life” – was the headline of a

report in a popular newspaper in Bangladesh, The Daily Star on April 27, 2009 (Alam

2009). The report described the utterly miserable life in the country’s capital city. It

resulted from a ten-day severe heat wave accompanied by repeated power cuts, an acute

water crisis, shortage of gas supply, infestation of mosquitoes and the resultant near

epidemic of diseases. The article also reported the 14-year record high temperature of

38.7 deg C on the previous day (ibid). Similarly, on May 13, 2010 another headline in

the newspaper read: “Hit by heat: Blistering summer makes Dhaka life unbearable”.

The Staff Correspondent (2010) reported on the threat of hitting a new height of

recorded temperature during that summer; while making life utterly wretched amid the

prevailing power, gas and water crisis in Dhaka. According to the Bangladesh

Meteorological Department1, the maximum temperature in the city had been expected to

vary between 31.4 to 33.7 deg C instead of nearing the 40 degrees as experienced.

These newspaper reports indicate to the changing pattern of city’s summer temperature.

Apart from the direct impact of increased temperature, the reports also illustrate the

vulnerabilities of city dwellers to the indirect impacts of increased heat. The cumulative

effect of increased temperature with power and water shortage caused severe outbreak

of diarrhoea and other water-related diseases. In recent years, the International Centre

for Diarrhoeal Disease Research, Bangladesh (ICDDR,B) has frequently reported their

concerns over the increasing number of patients (ICDDR,B 2011; ICDDR,B 2009). On

some occasions they received up to 700 patients in a day. In addition, they have

observed changes in the pattern of patient admissions. There was an upsurge in patient

admissions during the months of September and October which was unusual. Typically,

the hospital expects more patients during pre- and post-monsoon periods (March and

August) (ibid).

1 Bangladesh Meteorological Department’s website provide a chart for normal maximum temperture for all the months in their Dhaka station. The lowest in the range is 25.4 deg C on January, while the highest is 33.7 deg C on April. See http://www.bmd.gov.bd/bd_climate.php

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On the other hand, three months after the April heat wave, on July 28, 2009 the Met

office recorded 333 mm of rainfall in Dhaka within 24 hours. Of the total amount, 290

mm fell in six hours in the early morning, breaking a 60-year record (Image 1.1). The

capital city was submerged under water for several hours, taking eight lives and

damaging infrastructures, individual assets, businesses and commercial activities (Staff

Correspondent 2009). Usually, the city experiences about 2000 mm of annual rainfall,

more than 80 per cent of which occurs during the monsoon season spreading over three

months in a year. In a similar instance in 2007, over 90,000 people in Dhaka were

affected by diarrhoeal diseases in a week during flooding (Mallick 2011). Severe

weather conditions and extreme climate events like these are occurring more frequently

than ever before in Dhaka. They may not be directly linked to ‘climate change’ per se;

however, they are indicative of incremental changes in the climate patterns that are

affecting city dwellers.

Dhaka is considered to be one of the most vulnerable cities from the impacts of climate

change resulting from its exposure to effects of changes in climate variables, sensitivity

and inverse adaptive capacity (WWF 2009). Surrounded by rivers and other water

bodies on all sides, the location exposes the city to natural hazards. A mapping based on

land cover and elevation data for flood frequency and floodwater depth showed only

1.90 per cent area of greater Dhaka respectively is within the least hazard zone while

Image 1.1: Water clogged road in Dhaka

Source: Author, taken on July 28, 2008

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19.20 per cent area is within a very high hazard zone considering flood affected

frequency 2 (Dewan et al. 2006). Some of these areas are not within the city boundary;

nevertheless they influence the water-levels of the surrounding rivers and water-bodies

increasing the risk of flooding within the city.

The city experienced nine major floods since 1954; of which those in 1988, 1998 and

2004 were most damaging (Alam & Rabbani 2007). They resulted mostly from fluvial

flooding from the surrounding rivers, whereas pluvial flooding contributed to worsening

the conditions3. In 1998 excessive rainfall coincided with the flooding. The runoff

generated by rainfall could not flow into the surrounding rivers as the river water level

was higher than the inside flow, making the flood water stagnant for days. In several

other instances, the hydraulic leakage, failure to operate regulators (sluice gates), lack of

timely pumping, and lack of adequate drainage contributed to the disasters inside the

flood-protected area of the city (ibid). Seemingly these data and findings illustrate the

city’s higher exposure to flooding.

Similarly Dhaka has a higher sensitivity to natural hazards. The city experienced high

population growth over the past decades. The population of the Dhaka Statistical

Metropolitan Area (DSMA)4 covering 1,353 sq. km increased from 6.8 million in 1991

to 14 million in 2010; it is estimated to reach 16 million by 2015 (Rabbani et al.

2011:537). Apart from the local population growth, around 300,000 to 400,000 migrants

come to the city each year to live and work (World Bank 2007). Most of these migrants

are poor and add to the ever increasing number of urban poor who form more than one

2 The low-risk zone corresponds to the non-flooded areas that include more than 13 meters of elevated land that usually do not get inundated during the monsoon season; whereas, high-risk and very high-risk labels were assigned to areas where higher exposure to flooding has been observed. Lowland areas and cultivated land with scattered settlements in and around Dhaka were designated as high-hazard zones because of their low elevation. Extreme lowlands, areas adjacent to river banks, were designated to a very high hazard zone category. 3 Fluvial flooding results from the overspill from the river channels; while pluvial flooding occurs due to rainfall intensity and poor urban drainage infrastructure. 4 Dhaka city has four administrative boundaries defined by different governmental agencies, namely Dhaka City Corporation (DCC), Dhaka Metropolitan Police (DMP) and the Capital Development Authority or Rajdhani Unnayan Kotripakhkha (RAJUK). While the DCC covers 276 sq. km, the larger Dhaka metropolitan area (DMA) covers 360 sq. km. RAJUK defines the Dhaka Statistical Metropolitan Area (DSMA) encompassing 1,353 sq. km. They also defined the new administrative boundary Dhaka Metropolitan Development Plan covering 1,530 sq. km for long-term (1995–2015) strategy for the development of the greater Dhaka considering the growth of population, economic development, shelter and housing, social facilities and open space, transport, flood control and drainage and utility services (Rabbani et al. 2011:533).

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third of the city’s population. The city lacks resources and infrastructure to provide

housing and basic services for them. Consequently in 2005, 3.4 million people lived in

‘slums’5 in Dhaka with poor living conditions (CUS 2006). Although no recent census

data is available on their number, it is estimated that the number and proportion of the

urban poor population has increased over the last few years. Their livelihood and living

conditions are extremely sensitive to any natural disasters.

The adaptive capacities of these urban poor households are limited in comparison to

other city-dwellers. The living conditions in dense settlements worsen during any severe

weather conditions like increased heat. Similarly, extreme climate events like flooding

and water clogging damage their houses and available infrastructure. According to

IFRC (2010:36) 30 per cent of the housing in Dhaka metropolitan area sustained

damage during the two-month long flood of 1998. Among them, almost 32 per cent of

housing belonged to the very poor, while 36 per cent of housing belonged to lower-

middle and poor households. These houses were located in the informal settlements or

‘slums’ (as defined by the census of Dhaka), made out of vulnerable building materials

with poor construction techniques. The legal status of these informal settlements

imposes restriction to the residents to access electricity, water and gas-supply,

connection to the sewerage system, garbage disposal facilities. Inadequate housing and

infrastructure limit the capacity of urban poor households living in these settlements to

response of any natural hazards.

It is within this context of cities like Dhaka that the need for rigorous research on

adaptation to climate change by the urban poor is becoming critical. Researchers like

the policymakers are searching for possible contributions to sustainable interventions

that can increase the adaptive capacity of urban poor households against the realities of

climate change. Furthermore, the changing climate scenario is posing challenges

differently to diversified groups even within the urban poor, based on their physical,

socio-economical and political contexts. The challenge for the researchers is to discover

innovative approaches to adaptation that can bring positive change to diversified groups

living in cities. 5 According to the report Slums of Urban Bangladesh: Mapping and Census, 2005 slums are defined as settlements with a) a minimum of 10 households or a mess unit with a minimum of 25 members and predominantly of very poor housing; b) very high population density and room crowding; c) very poor environmental services, especially for water and sanitation; d) very low socio-economic status; and e) lack of security of tenure (CUS 2006).

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In recent research and policy discussions, adaptation is considered as a ‘desirable

outcome’ of any initiatives to reduce vulnerabilities arising from climate change. The

simple logic behind such an argument is that, human beings have managed to survive

and flourish while adapting to changing environments. As such, societies make

adaptation a natural process that has always taken place, and is likely to continue

(Adger et al. 2009). Nevertheless, the disproportionate changes in climate in recent

history have exposed the less resilient communities and more vulnerable individuals to

be severely affected by changes. These changes are now associated with increasing risk

of disaster, and are far more visible than incremental changes in climate (Schipper &

Burton 2009:4). The increased risks and repetitive disasters are limiting the

opportunities for development by the most vulnerable population. Hence, adaptation has

been increasingly associated with development issues to reach the most vulnerable.

Adaptation has been associated with development in three different forms (Ayers &

Dodman 2010). The first two forms - ‘stand alone adaptation’ and ‘adaptation plus

development’ - treat adaptation in a narrow sense. They see adaptation as ‘additional’ to

baseline development needs, or the development activities need to become ‘climate

proofed’ through screening for climate change vulnerabilities and then action being

needed to address them (ibid). Conversely, the third approach - ‘adaptation as

development’ - perceives development as the basis for, and in some cases synonymous

with, adaptation. It involves making progress against development indicators in light of

climate change, including reducing poverty, providing general education and health

benefits, improving living conditions and providing access to financial markets and

technologies (ibid). Considering the exposure and sensitivity of Dhaka, adaptation as

development seems to be an appropriate approach to address the vulnerabilities of the

urban poor.

In the past, asset-based approaches have been adopted for economic and social

development of the urban poor. Moser & Satterthwaite (2010) suggested a similar

approach for pro-poor adaptation to climate change in urban centres. The strength of the

asset-based approach is associated with the fact that the approach analyzes the quantity,

quality and productivity of different assets; thus take into consideration the intangible

variables of human skills and knowledge, physical ability for labour, household

reactions, social capital etc. with the tangible resources of land, house and money

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accessible to the poor. The asset-based frameworks not only combine these variables to

assess the household’s vulnerability, but also identify the strategies based on different

types of asset. Within the asset-based approaches the significance of physical assets in

the form of housing for the urban poor has been emphasized. Their explicit relationship

to climate vulnerability and adaptive capacity has not been explored, thus giving

possibility for further research.

Furthermore, often the urban poor are considered as homogeneous group, whereas

members within their households and community tend to differ in their abilities to

access assets such as food, income, spaces and structures to live and work, water and

energy as well as utilizing those assets and transforming them into necessities of

survival or to reduce climate risks. These bring into the analysis the structural factors

that limit an individual’s or group’s capabilities, agency or level of choice (Jarvis et al.

2009:257). One of these structural factors is gender that is a decisive factor for assessing

asset-vulnerability in the household and community level. It is accepted that access to

economic opportunities for women has changed the social formation and gender

dynamics in urban poor households in Bangladesh (World Bank 2008). Although the

climate policies in Bangladesh recognized the need to address gender issues, policies for

urban areas are yet to incorporate gender dynamics.

One of the reasons for such deficiencies arises from how gender is conceptualized.

Often the issue of gender addresses only women in particular, rather than gender being

the relationship between women and men. Similarly in most of the climate-change

literature, women are narrated either as heroines or victims with their capacity to

struggle, along with their curtailed choices and oppression (Cornwall et al. 2008).

Arora-Jonsson argues that “relegation of gender mainly to vulnerability and partly to

virtuousness detracts attention from the problem that afflicts both the North and the

South” (Arora-Jonsson 2011:6). She suggested that marginality needs to be viewed

through vulnerability-producing power relations, and should consider the specific

context of vulnerability. Gender should be treated ‘as a set of complex and intersecting

power relations’ (ibid). Thus, an exploration of gender dynamics in urban areas in

relation to adaptive capacity may provide a better understanding of the structural factors

in adaptation.

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Similarly in comparison to the wide discussions on conceptualizing gender for poverty

reduction and planning, gender and space has been an interesting research theme within

a limited scope especially for the geographers, planners and architects. They have

examined in relation to economic activities, social rules that allow or restrict inhabiting

spaces; but not explicitly exploring whether gender dynamics define spaces that

influence how individuals or households within the urban poor groups cope with the

vulnerabilities arising from the impact of any changes in weather conditions or climate

patterns. Again, some research have examined environmental variables and spaces -

how they contribute to increase or reduce thermal comforts; nevertheless, their focus

remained on choices of materials and planning rather than exploring the power to make

decisions about those choices. Hence, the significance of gender and space or gender

and the built environment in relation to adaptation with climate extremes is a fairly new

research focus to explore.

1.2 Aim of the research

The primary aim of this research is to comprehend adaptation in the built environment

for the urban poor. The notion of ‘built environment’ is relatively recent; it adheres to

the common parlance of manmade surroundings which provide the setting for human

activity, ranging from large-scale civic surroundings to personal places (Moffatt &

Kohler 2008). Although sometimes the terms physical form and built environment are

used interchangeably, the term ‘built environment’ refers to the micro-scale or structural

aspects of a city, that is the buildings, streets, infrastructure as well the people acting on

them (Blanco et al. 2011; Habraken 1998). The relationship between people, society and

the built environment arguably offers a creative analytical framework. This is because

the built environment is created by the people, thus it is innately familiar; there is not

much to discover or invent, rather more to recognize (Diang & Adebayo 2011;

Habraken 1998). This research takes advantage of understanding the built environment

from this perspective and expands the research variables beyond physical forms to

explore why and how people act in physical forms to address many stresses or factors

arising from climate extremes.

The literature on climate change illustrates that the built environment is exposed to both

severe weather conditions and extreme climate events. Researchers also imply that

adaptation in the built environment addresses diversified features of climate variables -

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their frequency, intensity, spatial extent, duration, and timing that cause severe weather

conditions or extreme climate events. Furthermore, the direct impact of differentials of

temperature and rainfall are equally as significant as their indirect impacts, for example

- water clogging, landslide, flooding, wind storms and storm surge. For cities located in

coastal areas, the potential sea-level rise and storm surges require significant

considerations that may not be the case in other cities in different locations. In addition,

adaptation in the built environment has to deal with issues like access to water and

energy, livelihood, living conditions affecting human health that are indirectly

influenced by physical forms and spaces, how they are planned, constructed and

maintained. In other words, adaptation in the built environment has to consider climate

variables that impact on various financial, physical and human capitals.

With this definition of the built environment and bearing in mind the possible impacts

of climate variables, this thesis explores asset-based adaptation in the built environment.

It builds on Moser’s work on an asset-based approach for pro-poor adaptation to climate

change and explores further the relationships between assets and adaptive capacity in

the built environment. The asset-based approach defines asset-vulnerability as ‘an

analysis of a range of resources or assets held by individuals, households and

communities’ that allows ‘assessing the diverse nature of sensitivity of urban residents

both to incremental climate changes as well as to disaster events’ (Moser et al. 2010:2).

Asset-based adaptation is the identification of adaptation strategies ‘as households,

small businesses and communities exploit opportunities to develop resilience and to

resist or recover from the negative effects of severe weather’ in three closely

interrelated phases of building long-term resilience, damage limitation and protection

during severe weather events and rebuilding after severe weather (ibid:8). In order to

develop a comprehensive understanding this research examines both vulnerability of

and adaptation in houses and in the infrastructure that provide services.

As the urban poor are not a homogeneous group, but rather have individual roles, needs,

capabilities, agency and levels of choice that vary between women and men in the

household and community, the vulnerabilities and adaptive capacities from a gender

perspective needs to be examined. In this exploration process the household is

considered as a key unit of analysis. The thesis follows the definition of household from

both socio-economical and physical perspectives. The thesis follow the definition

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provided by the Bangladesh Bureau of Statistics that a household is considered as a

group of related or unrelated individuals who live together in a dwelling unit and take

food from the same kitchen (BBS 2007). The dwelling unit can be an independent house

with their own service facilities (e.g. toilet, kitchen etc.) or part of a house with shared

facilities.

The thesis contributes to two main bodies of theoretical debate. First, it contributes to

discussion on the built environment and adaptation. While most debates on adaptation

by the urban poor focus on the socio-political adaptive capacities, this thesis

incorporates the physical or built environment issues into the discussion. It argues for

considering spatial practice and representations of spaces in the built environment based

on asset-ownership that significantly influence the scale of adaptation. Second, the

thesis contributes on theoretical debates related to gender and adaptive capacity. Again

while most discussions on gender tend to focus only on women and their vulnerabilities

and virtuousness, this thesis argues for going beyond those two concepts and

considering both women and men’s gender roles and needs, as well as their agency and

power of decision-making that influence adaptive capacities for the urban poor. Such an

approach strengthens the exploration process by incorporating social issues of capacities

to act with planning and constructing the physical environment for adaptation.

1.3 Research question and objectives

The research question of this thesis is based on the premise that the attitudes and

perceptions of people differ on issues dealing with environment and development.

These differences, while mediated by the realities of class, race, or community, are

further delineated according to gender. Gendered values based on asset-ownership are

translated to spaces and physical forms in ways that have implications for decision-

making for adaptation in the built environment.

Therefore this research explores

How asset-based adaptation with climate extremes by the urban poor in the built

environment is mediated by gender dynamics, both within households as well as

communities.

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To answer the research question, the objectives of the study are to examine

a. the vulnerabilities of the urban poor to climate extremes and their impact on

assets;

b. the processes, strategies and actions taken to reduce asset-vulnerability in

relation to housing and infrastructure design and development; and

c. the gender dynamics within households and communities that mediate the

processes of decision-making, access to and management of resources, and their

impact on asset-based adaptation in the built environment.

1.4 Geographical focus and target group of the research

The geographical focus of this research is Dhaka, the capital city of Bangladesh. The

city, with its exposure and sensitivity to climate variables as well as limited adaptive

capacity of a significant portion of the urban population, provides an appropriate

geographical location to examine the objectives of this research. The climate

vulnerabilities arise from multiple local climate variables of temperature and rainfall,

while the location of the city exposes the area to impacts of regional and global

variability. Similarly, the economic and socio-political conditions of the urban poor in a

rapidly growing mega city set a background for understanding the interrelationship

between climate and other vulnerabilities. Cumulatively they create a setting to examine

which factors contribute most in building adaptive capacities of the urban poor. In

addition, policymakers in Dhaka face the future challenge of accommodating more

people in a naturally vulnerable city. The research findings can contribute to future

policy formulations and implementations.

The study specifically focuses on one urban community - Korail in Dhaka. The informal

settlement is located centrally in the city and is exposed to various climatic, physical,

social, economic and political vulnerabilities (See Image 1.2 and Figure 1.1). Korail has

more than 18,000 urban poor households living in the informal settlement developed by

the initiative of people without any security of tenure. The dense settlement is

constructed with building materials vulnerable to impacts of heat, and the settlement’s

location near the water-body make it vulnerable to flooding and water-clogging.

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Image 1.2: Aerial View of Korail and surroundings

Source: Author

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However, residing in the same area for more than three decades has given the

community some opportunities to develop their own ability to respond to climate

variability and changes. They have constructed better houses, managed access to

sanitation, water and electricity supplies, as well as some community facilities. Access

to economic opportunities, especially for the women, and a strong social network make

the community a critical case to study adaptation in the built environment and the

gender dynamics influencing adaptive capacities. A detailed profile of Korail is

described in chapter six.

1.5 Methodological approach

The research adopted qualitative research methods considering the number of variables

and their multi-focused, interpretive nature set within the complex empirical reality of

Figure 1.1: Location of Korail in Dhaka

Source: CUS 2006

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Dhaka. It used different participatory tools and techniques, more specifically the ones

suggested by Participatory Climate Change Adaptation Appraisal (PCCAA) (Moser &

Stein 2011) as this research builds on that methodology. In addition, the research

followed different analytical frameworks to analyze gender relation in the built

environment. To understand gender dynamics it examined both Moser's (1993)

framework on gender roles, and the Social Relation Approach developed by Kabeer

(1996). Analytical frameworks for spatial inquiry of this research dwelled on Lefebvre’s

work on social production of space (Lefebvre 1991) as well as Kellett & Napier's (1995)

work based on Rapoport's (2000) framework. However, the gender analysis and spatial

inquiry in the household and community level required detailed understanding of

individual households and their surroundings, thus the research also used case studies.

Visual documentation forms a significant part of this research, the analysis and

explanations take advantage of the figures, photographs and drawings prepared for the

research. All these approaches are fully considered in the chapter four on methodology.

1.6 Structure of the thesis

The thesis is divided into nine chapters. This first chapter introduced the research with

its aims, objectives and focus. In order to develop the conceptual basis for the research,

the following two chapters examine the theoretical debates on adaptation and adaptive

capacity.

Chapter two begins by analyzing the conceptual development of adaptation debate that

sets the background for the rationale of relating the built environment with the

vulnerabilities and adaptation with climate extremes by the urban poor. The exploration

follows four questions - what to adapt to, who or what adapts, how adaptation occurs,

and the limitations of adaptation. The exploration leads to critically review the

urbanization process - both as a contributor to vulnerability and as a facilitator for

building resilience. The exploration is on a continuum from the scale of the city to the

community and the individual household. In that respect the analysis examines the

significance of housing and infrastructure for urban poor households; in addition, the

relationship between spaces in the built environment and the climate variables. The aim

is to conclude on some keys issues related to adaptation in the built environment that

influences the adaptive capacity discussed in the following chapter three.

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Chapter three on adaptive capacity, gender and the built environment continues the

theoretical exploration of the thesis. First the concept of assets and asset-ownership as

components of climate vulnerability and adaptation in the household and community

levels are reviewed. Later the historical development of gender as an issue in adaptation

in the policy level debates trace the conceptual development of women, gender,

environment and development. The following discussion compiles examples of nature

of climate vulnerability based on gender from previous researches and published work.

This helps to conceptualize the differential factors for gender-based climate

vulnerabilities. Later the issue of gender is examined in relation to space and adaptive

capacity. From the discussions I argue, albeit with some reservations, that adopting a

gender- aware framework of analysis for asset-based adaptation in the built environment

generates innovative approaches to address the challenges of climate extremes.

Chapter four deals with the methodological aspects of the research; hence, it discusses

research strategy, research approaches and techniques adopted for the study. I begin by

describing how I went about deciding on my research strategy based on the

philosophical positioning of this research. The following discussions analyze the

strengths and weaknesses of the qualitative research methods and their relevance to the

research. Within the discussions the Participatory Climate Change Adaptation

Appraisal; gender and spatial analytical frameworks; case study method; and visual

research as methodologies are described. The following reporting describes the

opportunities and challenges of the fieldwork in Dhaka. The aim of the chapter is to

identify the methodological approaches that can inform the conceptual framework

developed in the previous chapters with the context described in the subsequent chapter.

Chapter five describes briefly the context of Dhaka - the climate and urban development

policies and planning - in order to illustrate the background against which the climate

vulnerabilities of the urban poor can be evaluated. I begin by examining policies related

to adaptation and their relevance to urban poor households in the city. The following

discussions explore different urban development policies that define their built

environment. The discussions aim to develop an understanding for relating the city-level

dynamics with the findings from the study area in Korail, Dhaka. The findings of the

research are later described and analyzed in chapters six, seven and eight following

respectively the three objectives of the study introduced in chapter one.

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Chapter six focuses on the perceptions and experiences of asset-vulnerabilities by the

households in Korail. I begin by developing a community profile of Korail highlighting

housing and living conditions of the informal settlement. The following analysis

examines the findings on the hazards and sensitivities related to climate extremes; later,

examine the impacts of these hazards and diverse nature of sensitivity affecting the

range of assets held by individuals, households and community. The findings highlight

the significance of assets in households and how the community perceives climate

vulnerability to be inter-connected with their financial, physical and social capitals. In

addition, the findings show how the perceptions and experiences of hazards based on

different assets guide community action to reduce the vulnerabilities.

Chapter seven focuses on the process of developing adaptive capacities with an

emphasis on the built environment. The findings and discussions are organized in three

broad groups - the spatial practice or process of producing the built environment, the

strategies adopted, and the actions following those strategies. The discussion concludes

with examining some of the key issues that emerge from considering these processes,

strategies and actions taken to reduce climate vulnerabilities. The findings highlight the

significance of physical assets in building adaptive capacities, as well as indicating how

various innovative spatial practices allow households to develop diversified means to

avoid loss and speed recovery from any impacts of climate change.

The focus of chapter eight is on roles, resources and power relations that influence the

capacity to respond in the built environment. I begin by examining the existing nature of

gender relations and their relationship with household headship to understand the power

relations. To extend the understanding of the context the exploration re-examines some

of the perceptions of asset-vulnerability discussed in chapter six; nonetheless with an

emphasis on how they vary based on gender. The analysis examines the relationship

between economic opportunities and the resultant conflicts and collaboration that

formulate the power relations, also how they influence the capacity to access and

manage resilient housing and infrastructure. The findings highlight the gender dynamics

within households and community that assist or hinder asset-based adaptation in the

built environment.

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The concluding chapter nine aims to integrate all the findings and analysis to develop

some common understandings. I begin by summarizing the findings following the three

objectives of this research. Taking on these understanding, the following discussion

illustrates the possible contribution of this thesis in the theoretical debates and possible

policy implications. The chapter concludes with indicating options of future research

based on the findings. A list of appendices follows the chapter.

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Chapter 2. Adaptation and the built environment

Adaptation to climate change takes place through adjustments to reduce vulnerability or enhance resilience in response to observed or expected changes in climate and associated extreme weather events. Adaptation occurs in physical, ecological and human systems. It involves changes in social and environmental processes, perceptions of climate risk, practices and functions to reduce potential damages or to realise new opportunities. Adaptations include anticipatory and reactive actions, private and public initiatives, and can relate to projected changes in temperature and current climate variations and extremes that may be altered with climate change. In practice, adaptations tend to be on-going processes, reflecting many factors or stresses, rather than discrete measures to address climate change specifically (Adger et al. 2007:720).

The definition of ‘adaptation’ by the Working Group II to the Fourth Assessment

Report of the Intergovernmental Panel on Climate Change (IPCC) summarizes the key

themes to be considered for adaptation. The definition emphasizes adjustments to

physical, ecological and human systems through environmental and social processes.

Systems in urban locations vary from those in rural areas. Different groups in urban

populations are exposed to diversified stresses based on their economic, socio-political

context. Hence the ongoing process of adaptation in the urban context encircles the

activities of institutions, communities and individuals.

Both anticipatory and reactive actions are based on immediate observation of the

surroundings, knowledge of environmental variation from the past, and on projections

of future needs and events. Similarly, the ongoing process of adaptation develops from

emerging information about climatic impacts, strategies and decisions taken to reduce

vulnerabilities (Patwardhan et al. 2009). Thus the process requires the ability to identify,

document and disseminate best practice to learn from those strategies and actions to

release new opportunities. Examination of existing conceptual arguments along with

exploration of experiences by diversified groups of people living in different contexts

contributes to the understanding of adaptation.

The introductory chapter of this thesis identified the problems, objectives, and

organization of the thesis. This chapter intends to develop an understanding of

adaptation, more specifically adaptation in the built environment by the urban poor.

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2.1 Conceptualizing adaptation

Adaptations to climate change debates are driven by four key questions:

� What to adapt to? � Who or what adapts? � How does adaptation occur? � What are the limitations to adaptation? (Pelling 2010:13)

To develop a comprehensive understanding of adaptation, subsequent exploration will

follow these four questions, while maintaining a focus on the urban context.

2.1.1 What to adapt to: climate change and climate extremes

Adaptation is primarily aimed at adjusting to ‘climate change’ that is defined by various

agencies and organizations reflecting their interests and policy positions. IPCC defined

it as:

a change in the state of the climate that can be identified (e.g. by using statistical tests) by changes in the mean and/or the variability of its properties and that persists for an extended period, typically decades or longer. Climate change may be due to natural internal processes or external forcing or to persistent anthropogenic changes in the composition of the atmosphere or in land use (IPCC 2012:5).

However, the United Nations Framework Convention on Climate Change (UNFCCC)

differentiates between ‘climate change’ and ‘climate variability’. According to

UNFCCC, a change of climate attributable to direct or indirect human activities altering

the atmospheric composition (for example, increases in average global or ocean

temperatures) are defined as climate change; whereas changes attributable to natural

causes are defined as ‘climate variability’ (UNFCCC 2007).

However, the events described in chapter one cannot be indisputably attributed to

‘climate change’ (which implies a long-term view and can alter the resources base), nor

entirely as ‘climate variability’ (a short-term phenomenon that affects the range and

frequency of shocks that society absorbs) (Parry & Carter 1985:95). Apart from the

devastating floods, some of those events lingered as severe weather conditions impacted

by incremental shifts in weather patterns, while some were experienced as extreme

events, not significant enough to be recorded as disasters. Moreover, some resulted from

cumulative non-extreme events.

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From the very beginning, one of challenges of this research was how to define these

events to capture the context and nature of vulnerability. Moser et al. (2010) raised

concern about similar difficulties saying,

while extreme weather disasters often receive research, media and policy-focused attention, to date there is insufficient evidence base to show that the less dramatic, slow, incremental and often unnoticed, impacts of increasingly severe weather are equally important in terms of their cumulative impact on human wellbeing” (ibid :vii).

In this respect, the definition added in the Special Report on Managing the Risks of

Extreme Events and Disasters to Advance Climate Change Adaptation (SREX) by the

Working Groups I and II of IPCC in November, 2011 provided a helpful guideline.

They defined ‘Climate Extreme’ (extreme weather or climate event) as:

the occurrence of a value of a weather or climate variable above (or below) a threshold value near the upper (or lower) ends of the range of observed values of the variable. For simplicity, both extreme weather events and extreme climate events are referred to collectively as climate extremes (IPCC 2012:3).

The definition explains that risks from climate extremes are measured as an integral part

of exposure and vulnerability; repeating events can impact on future resilience-building;

and incrementally developing natural changes increase the frequency and intensity of

extremes (ibid). Considering the problems identified earlier, as well as the nature of

empirical data to be analyzed in this research, it can be argued that the city dwellers of

Dhaka will be adapting more to ‘climate extremes’ than to ‘climate change’ or ‘climate

variability’. Thus, I will use the term ‘climate extremes’ to refer to both severe weather

conditions and extreme weather events for discussion in this thesis. Moreover, this

thesis will adopt the view of IPCC to define the cause of changes as both natural and

anthropogenic.

Climate extreme impacts can also be direct and indirect in how they affect nature and

human well-being. The direct impacts include increased and untimely rainfall; flooding;

increased heat or acute winter; and a potential rise in sea level. The possible indirect

impacts, among others, include water clogging and landslide; water shortage; heat

islands; saline intrusion; disruption of livelihoods and incomes; loss of assets and

infrastructure; increased disease and increased migration etc.

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Considering these impacts, Hunt & Watkiss (2011:15) identified the following sectors

in the urban context that are likely to be most affected by any changes in climate:

� Effects of extreme events on the built infrastructure ; � Effects on health; � Effects on energy use; � Effects on water availability and resources; and � Effects of a sea level rise on coastal cities.

These effects are not uniform: they vary among different groups living in urban areas.

Who or what adapts to climate vulnerabilities is defined by how vulnerability itself is

conceptualized by academics and professionals. The following section identifies the

most vulnerable groups in the city analyzing some such concepts.

2.1.2 Who or what adapts: vulnerability and urban poverty

Vulnerability has become a key concept in debates and scholarship on coping with

global environmental change, natural hazards, food security, globalization, uneven

development, and financial crises; yet the meaning of vulnerability has remained

contested. The concept by definition highlights the susceptibility to be exposed to risk,

and thus is relevant to be considered in a climate context as well.

IPCC uses the definition of vulnerability in the context of adaptation as the following:

Vulnerability is the degree to which a system is susceptible to, and unable to cope with, adverse effects of climate change, including climate variability and extremes. Vulnerability is a function of the character, magnitude, and rate of climate change and variation to which a system is exposed, its sensitivity, and its adaptive capacity (Adger et al. 2007:883).

Cutter (2006) summarized various authors’ work on conceptualizing vulnerability into

three categories. They are: a) vulnerability as the risk/hazard exposure (distribution of

hazardous condition, occupancy of hazardous zone and distribution of structural losses

in built environment); b) vulnerability as social response (societal resistance and

resilience to hazards); and c) vulnerability as hazard of place. Vulnerability as a ‘hazard

of place’ combines the concepts of both bio physical and social response, but within a

specific area or geographical domain. This can be geographic space - where vulnerable

people and places are located; or social place/position - who in those places is most

vulnerable. For example, in urban areas vulnerability is greatly influenced by the extent

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and quality of the infrastructure and public services; yet access to services by vulnerable

populations are not only a physical issue but rather encompass the political aspect where

the most affected usually have least influence on decision making (Satterthwaite et al.

2009:20).

Kelly & Adger (2000) explained that the definition of vulnerability varies considerably,

with assessment focusing on either the start or end of appraisal. As an end point, the

appraisal represents the net impact of climate change to determine the extent of the

problems, thus, determine the cost of climate change (O’Brien & Wolf 2010). On the

contrary Kelly and Adger advocate considering vulnerability as a starting point to

understand how impacts will be distributed in order to identify how they can be

reduced. This approach accepts that multiple environmental and social factors that

influence vulnerability are exacerbated by climate change; and thus measures

vulnerability from a multi-dimensional perspective.

For example exposure, sensitivity and the adaptive capacity of an individual or

community can be measured by factors of physical hazards, social relations and

individuals (Wisner et al. 2004). Exposure to physical hazards is measured by proximity

to the source of threats, incident frequency, and probability, magnitude, duration or

spatial impact. Social impacts are measured by threats to lifelines, or infrastructure to

support basic needs, poverty/wealth indicators, gender, race, social relations, political

power, food aid and international aid. In these discussions often the quality of

settlements and the built environment are not assessed adequately. Nevertheless, their

qualities influence potential economic losses, injuries and fatalities from natural hazards

for an individual or community (Cutter 2006).

Taking the interrelationship of these factors into consideration, Hulme (2009: xxvi)

suggests viewing the nature of hazard events as a social construct rather than a

biophysical condition. He suggests defining climate extremes (change) as a ‘wicked

problem’; ‘solutions of such are difficult to recognise because of complex

interdependencies in the system affected’. Accordingly, he argues that ‘one aspect of a

wicked problem often reveals or creates other, even more complex problems that

demand further solutions’ (ibid:334).

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Keeping this wicked nature of problem in mind, the exploration of vulnerability in

urban areas shows that in most cities of low- and middle-income countries almost 30-40

per cent of their populations are poor and live mostly in informal settlements (Khosla &

Masaud 2010; Satterthwaite et al. 2009). Jarvis et al. (2009: 251-252) identified some

common characteristics of poverty in urban environments that have potential

implications on vulnerability or resilience to climate impacts. These include:

� Greater environmental and health risks due to high densities of living, proximity or residential areas to industrial sites, and even location of hazardous production processes in settlement areas, poor access to clean water and sewerage services and traffic congestion leading to air pollution and risks of accidents. In such context, women may be more affected by these risks, due to greater time spent in or near the home compared with men.

� Higher degree of commercialization of exchange; hence, reliance on cash for basic needs such as food, shelter, wood for fuel and basic services. This makes poor urban households dependent on exchanging their own labour for survival, often on adverse terms. Again, women, due to reproductive work burdens which may limit work time or choices of work locations, and because of actual or perceived differences in their skills, often enter labour markets on more disadvantageous terms than men.

� More social diversity, which can lead to less social support, greater fragmentation and higher crime rates, with distinct gender implications. The greater social heterogeneity can have positive implications for women, whose mobility may be more constrained in rural areas, where they are more easily ‘known’ and linked back to the extended family.

� Higher likelihood of contact with the State and police, which may be positive if policies are in place to alleviate poverty; but can also be oppressive, particularly around access to land and space to vend.

These characteristics illustrate that the urban poor in a city are likely to be highly

vulnerable since their potential to avoid loss or recover quickly from climate risks

depends on complex relationships between a mix of hazards and exposures to urban

poverty (Satterthwaite et al. 2009:34). Although there are many overlaps, Arora-Jonsson

(2011:3) cites from Eriksen & O’Brien (2007) saying, “there is no universal - and does

not have to be - direct correlation between poverty and vulnerability”. They concluded

that poverty usually leads to greater vulnerability, and vulnerability arising from climate

extremes often leads to outcomes that perpetuate poverty. In addition, characteristics

indicate that even within the urban poor climate vulnerability may vary between women

and men.

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2.1.3 How does adaptation occur: the scale and purpose of adaptation

While defining adaptation in the beginning of this chapter, the significance of learning

from an ongoing process and actions based on immediate observations were discussed.

However, such emphasis can create confusion between the scale and purpose of

adaptation; more so between coping and adaptation. Schipper & Burton (2009) argue

that ‘coping strategies are not the same as adaptation’. Coping strategies are centred on

the assumption that an event will follow a familiar pattern, and that previous coping

actions are a reasonable guide for similar events (Wisner et al. 2004). However, if

people are forced to cope continuously, then they are dealing with chronic problems.

Schipper & Burton (2009) added that “too much coping implies that livelihoods are not

sustainable; and short term responses can ultimately lead to depletion of assets, which

can lead to increased vulnerability to hazards” (ibid:3).

Similarly, Davies (2009) argues that coping strategies may be useful in the short-term

but are meaningless for long-term development. Although a focus on an indigenous

capacity to respond is by far the most effective starting point; “yet coping strategies can

become a cop-out because of their tendency to become shorthand for complexities

which need to be understood before they can be simplified for policy making and

implementation” (ibid:114). Focus on short term alleviation and the allied notion of

‘coping’ can create a condition of dependence as well as ‘reinforce the risk-averse

survival-orientation of poor people’. Thus, coping strategies should be considered as

part of a wider portfolio of risk management to direct adaptive strategies.

Therefore, drawing on these discussions it can be seen that the scale and purpose of

adaptation will vary widely between macro and micro scales in an urban area. For

example, on a micro-scale in the built environment the key purpose of adaptation will

be to reduce the impact of physical hazards. These include taking on structural

measures, i.e. constructing better drainage that stops heavy rainstorms creating floods;

or reducing people’s exposure to hazards, for example, working with those who live in

areas at risk of flooding to improve their housing or to move to safer locations

(Satterthwaite et al. 2009:19). Such adaptations in the built environment in urban areas

are concerned more with the access to and the quality of the housing and infrastructure.

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On a macro scale for example at the city level, adaptation is perceived as a social and

political process - associated with justice, responsibility and obligation issues. Adger et

al. (2009:2) argue that “if human activities are driving climate change, then adaptation

involves issues such as compensation and liability”. Similarly, Pelling & Wisner

(2009:8) argue that the emerging crisis in environmental risk and human security is ‘a

failure in the social contract’. Adaptation can be seen as an integral part of development

because building resilience and adaptive capacity are argued to promote flexibility;

encourage learning from grass-root coping strategies (Jabeen et al. 2010); emphasize the

need to support generic adaptive capacity along with hazard specific response capacity

(Schipper & Pelling 2006); and increase access to resources and empowerment of

marginal groups (Wisner et al. 2004).

If adaptation is taken to be a development problem this may lead to an assumption that

poverty-reducing responses will similarly reduce climate vulnerability – but these are

not identical problems. Eriksen & O’Brien (2007) suggest that such assumptions may

lead to policies and programmes that create contradictory outcomes. Accordingly, the

authors suggested three types of measure to effectively target this interface: a) measures

that target the risk posed by climate change to the poor (e.g. deterioration of water and

social infrastructure); b) measures that aim to strengthen the capacity to cope with and

adapt to climate stress (e.g. engaging in alternative sources of income); and c) measures

that address the causes of vulnerability (e.g. poor social and physical infrastructure)

(ibid: 348).

Nevertheless, in most of these approaches, adaptation remains in the policy domain.

Alternatively, Pelling (2010:168) proposed a ‘resilience-transition-transformation

framework’ to move from the policy domain to one that also accepts adaptation as an

activity and aspiration that cuts across all development activities; hence accepting the

reality of ‘adapting with climate change’. He preferred the ‘transformative’ nature of

adaptation over ‘resilience’ or ‘transition’. The latter two arguably allow unsustainable

or socially unjust practices to persist under existing political and governance regimes

(ibid: 170). Conversely, ‘transformative’ adaptation creates possibilities to revise and

reform or replace existing social contracts and modes of development, as well as

defending social gains already won. Pelling asserts that it is a ‘call to tackle the causes

of vulnerability at their roots’, rather than addressing the symptoms of vulnerability.

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However, this transformation will need to occur on different spatial and societal scales;

hence, it will be influenced by livelihood, community structures, social groups,

household, gender, age, ethnicity, historical time and physical/psychological health

(Pelling 2003). Again, societal processes of consent and the ability of individuals,

groups, or organizations to take direct action govern the ability to make decisions for

change (Adger et al. 2005). For example, women may be constrained by social and

cultural structures that place them in inferior social positions limiting their access to

income, education, a public voice, and survival mechanisms (AfDB et al. 2003).

Therefore, recognizing diversity within society along with associated opportunities and

challenges will help in recognizing the diverse adaptive capacities of different groups in

any urban area.

2.1.4 Limitations of adaptation

One of the limitations of adaptation is related to uncertainty associated with climate

change. The uncertainty raises scepticism about the scale of adaptation, how far we can

adapt, and to what level of change. Ribot et al. (2009) agree with other authors that

while uncertainty in climate needs to be recognized it must not become an excuse for

inaction, or obscure the very real need for policy analysis (ibid:129). Similarly, Marchi

(2010:120) argues that “improved scientific knowledge may generate more, rather than

less, uncertainty; because with time, new key variables may be identified or even

previously unimagined interactions among system components may be discovered.”

Hence, these authors argue for incorporating uncertainty in a credible manner into

contemporary policy discussions.

Adaptation to climate change is also limited by ecological thresholds; individual and

cultural values; and institutions and governance. Adger et al. (2009) drew attention to

the significance of assessing the implications of thresholds for adaptation measures not

only from physical or ecological perspectives, but also from social, cultural and

experiential perspectives. They argue that thresholds for adaptive action fall into two

categories:

First, there are thresholds at which adaptive actions first appear. These are the levels or points when responses come into effect and reduce vulnerability to the negative effects of climate change.

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Second, there are thresholds beyond which adaptive actions cease to be effective in reducing vulnerability. These can, in effect, be considered limits to adaptation, in that adaptation no longer represents a successful response to climate change (ibid:6).

The authors concluded that the first type of threshold is important for initiating positive

actions in response to changes but the second type is of greater concern as it defines the

changes that cannot be adapted to, as well as the losses that will incur as a result of any

change.

2.1.5 ‘Adapting with climate extremes’

This section began with four questions central to developing an understanding of

adaptation to climate change. The exploration of what to adapt to revealed an

incrementally changing scenario of defining terms that reflected actual experiences.

Those terms not only defined the variables and indicators to measure change, but also

indicated the reasons for change. Hence, the definitions varied among agencies and

organizations; and accordingly guided both national and international policies and

actions. However, until very recently ‘climate change’ as a definition remained

concerned with visible, dramatic and large impacts causing disasters; as well as a

technological phenomenon that directed policies.

‘Climate extremes’ as a definition brings in the often unnoticed, less dramatic,

repetitive, and incrementally developing scenarios identified as a research variable in

this thesis. It also emphasizes the need to address both extreme and non-extreme

impacts affecting human well being. Similarly, considering both exposure and

vulnerability as key determinants of risks and impacts in the definition expands the

premise of analysis to social organizations, governance systems, national and

international politics along with individual behaviour. Additionally, recognition of the

cumulative effects of repetitive events points to exploring both the sustainable

adaptation process and activities.

The subsequent exploration around who or what adapts took into consideration possible

exposure, the changing trend of urban growth and the physical, social, cultural and

political inequalities experienced by the urban population in cities. The discussions

clearly emphasized the importance of examining vulnerabilities of the urban poor

among the urban population.

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Nevertheless, planning to maximize resilience for the urban poor will require tackling

the root causes; rather than addressing the symptoms of vulnerabilities. In that respect

adapting with climate extremes may be preferable than adapting to climate extremes for

capturing the reality better (Pelling 2010:164). With this approach perception of climate

extremes as an external threat of development will move to ‘accepting that it is both a

product and driver of development’ (ibid). The concept also highlights the proactive

nature of adaptation activities in comparison with reactive measures. Furthermore, it

follows the ‘adaptation as development’ approach that is argued to become more

sustainable to address the vulnerabilities of the urban poor, in comparison with the

‘stand-alone’ or ‘adaptation plus development’ approaches (Ayers & Dodman 2010).

This research intends to relate these broad discussions of adaptation to the specificity of

the built environment in the following section.

2.2 Built environment and climate vulnerability

The literature review for this research reveals that the interrelationship between the built

environment and climate change adaptation is an under-studied area. Furthermore, few

researchers study these relationships specifically for the urban poor through systematic

methodologies to understand vulnerability and poverty in urban areas, explore the

constraints and windows of opportunity (e.g. innovative approaches) in order to increase

the adaptive capacity or resilience (Hunt & Watkiss 2011; Satterthwaite et al. 2009). My

previous research experience on adapting to climate change by the urban poor drew

attention to the significance of coping strategies in the built environment along with

other economic and social strategies (Jabeen et al. 2010). My interest in exploring these

issues further for this research led me to examine some of the related literature across

different disciplines to develop an understanding of the interrelationships.

In the related field of disaster risk reduction, researchers like Bosher (2008) and

Wamsler (2007; 1999) attempted to identify the built environment’s contribution to

hazards. Their works highlight the significance of human-induced aspects in ‘natural

disasters’, and thus advocate for society, governmental institutions, and construction

sectors to take on more responsibility to plan, design, build, maintain, and operate the

built environment. Similarly Albala-Bertrand (1993:90) taking a political economy

perspective of natural disasters argues for the existence of strong relationships between

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physical and social vulnerabilities. He emphasizes that in sudden disasters (e.g.

earthquakes), technological and engineering issues may appear more to the surface than

social process. By contrast, in slowly developing disasters (e.g. droughts), social

processes are much more apparent and certainly more relevant than engineering factors

(ibid).

In an urban context these interrelated physical hazards and social processes interact on

different scales as a complex social-ecological system (Moffatt & Kohler 2008), from

city to household levels.

2.2.1 The influence of urbanization on the urban poor’s vulnerability

Urbanization is often seen as a contributor to climate vulnerabilities for certain

characteristics - high density development with impermeable surfaces, higher land

prices, a large concentration of population in informal settlements etc. (Khosla &

Masaud 2010:80; Satterthwaite et al. 2009:34). All these characteristics increase risks in

general for city dwellers, and more so for the urban poor. The vulnerabilities of the

urban poor increase with a greater exposure to hazards (e.g. through living in makeshift

housing on unsafe sites); the lack of hazard-reducing infrastructure (e.g. drainage

systems, roads allowing emergency vehicle access); a lower adaptive capacity (e.g. the

ability to move to better quality housing or less dangerous sites); less state provision for

assistance in the event of a disaster (e.g. state action may increase exposure to hazards

by limiting access to safe sites for housing); less legal and financial protection (e.g. a

lack of legal tenure for housing sites, lack of assets and insurance); deficient

information, communication and knowledge (e.g. where to move and when); and an

absence of institutional and community organization (Dodman & Satterthwaite 2008;

Cardona 2004; Wisner et al. 2004; Satterthwaite et al. 2009).

On the other hand, urbanization creates opportunities that not only reduce risks for the

urban poor rather facilitate capacity to respond successfully. Satterthwaite et al.

(2009:17) suggest that in some locations urbanization is associated with a much-reduced

vulnerability to extreme weather events and other environmental hazards. High density

settlements provide economies of key protective infrastructure and services for their

scale and proximity. In addition, cities are considered to be centres of innovation. In an

era when cities are facing global challenges of poverty reduction, social justice and

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environmental sustainability, innovation does not necessarily mean innovating

something new. Rather innovation can mean ‘new ways of doing things’ that

includes not only science and technology, but the related array of new ideas, institutions, practices, behaviours and social relations that shape scientific and technological patterns, purposes, applications and outcomes’ (STEPS Centre 2010:2).

Another possible advantage of urbanization is that risk-reducing governance

innovations can work towards achieving social justice (Satterthwaite et al. 2009).

Government agencies and civil society groups can work together to devise measures to

increase adaptive capacity through partnerships. These actions may also create new

opportunities: for instance, some city dwellers who have the capacity to help pay for

protective measures may be interested to invest if they are made aware of the risks and

the cost effectiveness of those measures (ibid). However, in such processes how the

vulnerability of the urban poor is addressed and how their participation is envisioned

and ensured in urban development planning approaches may determine the effectiveness

of these measures.

2.2.2 Vulnerability influenced by urban development planning approaches

The government’s institutional arrangements for the poor in a city are significant. On

the institutional level, the government initiate policies and plans devised and managed

by internal organizations. The activities include formulating spatial plans (e.g. land-use

planning) and imposing regulatory frameworks (e.g. housing standards and building

codes). There are two major approaches taken at the institutional level - the location

approach and the design approach of urban development planning - that can address

vulnerability in the built environment specifically for disaster risk reduction (Burby

1998 cited in Johnson 2011).

Spatial planning and the urban poor

Spatial planning within a location approach uses land-use planning as a development

control tool for the city. Accordingly, areas that are at risk from hazards are identified

and designated for low-intensity development. Sanchez-Rodriguez (2009:203) argues

that adaptation planning in urban areas can benefit from such complementary top-down

strategies for the advantages of planning as a societal tool to introduce an equitable

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development take advantage of the existing institutional arrangements along with their

capacity and effectiveness at different levels. Nevertheless, spatial planning bear the

threats of being reduced to ‘a technical exercise focusing only on the physical

dimension of urban growth’ in the context of ‘very limited or no capacity for research to

create multidimensional perspectives of their urban problems’ within an antagonistic

political economy of development environment (ibid).

In the past, failures in spatial planning to reduce vulnerabilities of the urban poor

resulted from how the government and urban development policies perceived them in

the planning approach. In most planning documents urban poor settlements are termed

‘slums’. Gilbert (2007) explains that, the noun ‘slum’ is popularly used to describe

‘bad’ shelter, whereas standards differ across the world. So what is considered to be a

slum by poor people in one country may be regarded as perfectly acceptable

accommodation by much poorer people in another (ibid). He argued that what makes

the word ‘slum’ dangerous is the series of negative associations that the term conjures

up. The negative connotation contributes to the mischief that ‘unscrupulous politicians,

developers and planners’ may do with the term.

For example the negative connotation associated with the people living in ‘slums’ and

the conditions of their settlement are often seen as an eye-sore, even becoming an

excuse for eviction (Satterthwaite et al. 2009:7). Such views also result from

government institutions’ failure to recognize contributions by the urban poor to the

city’s economy. Additionally, the urban poor are seen as 'holding back a city’s success’

(ibid); whereas, in reality, the informal sector’s contribution accounts for a significant

proportion of the gross domestic production in a city. The urban elite’s visions of a

modern city do not include the poor; they are influenced by the real-estate developers

who want to access ‘land currently occupied by the informal settlements’ (ibid).

Moreover, controls on development in vulnerable sites and imposing infrastructure

standards to cope with the risks can act to reduce or increase the price and availability of

legal housing (Satterthwaite et al. 2009:7). The urban poor tend to live in vulnerable

sites as they are affordable for the associated risks. Often these settlements also lack any

security of tenure or legal land title. In many cities, the local authorities do not provide

services without security of tenure or land title. Again, the lack of services exacerbates

vulnerability associated with climate extremes for those living in vulnerable sites.

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Therefore, the location approach of addressing vulnerabilities in the built environment

may not be effective in situations where the urban poor are already marginalized; and

there is already an inherent weakness in addressing high density urban areas.

Regulatory frameworks and the urban poor

Regulatory frameworks within the design approach - the other approach to urban

development planning - control individual house and neighbourhood developments

through building regulations, building codes, building standards and housing standards

in an urban area6. Unlike spatial planning little published literature discusses regulatory

frameworks in relation to climate vulnerability.

There are arguments against regulation that go back to the concern that the imposition

of standards increases the cost of housing so favours the rich. In addition, since these

standards are often borrowed from some other country or circumstance, they may not be

appropriate (Choguill 1994; Watson 2009). On the other hand, arguments in favour of

regulations point to the complexity of modern urban living and the vast array of threats

that arise from overcrowding, accidents, fire, disease, pollution, natural hazards, and so

on. Standards are there to guide development, appraise quality, provide a framework for

the regulation of building construction, and direct and regulate the process of social

change (Yahya 2000).

Whether regulatory frameworks benefit the urban poor or not depends on the six key

factors that apply and affect their ability to secure adequate housing (ibid). The factors

are: a) land ownership and security of tenure, b) indigenous building materials

production, c) affordability, d) cost of procedures, e) enforcement, and f) financing

6 Yahya (2000:143-144) defined different types of regulatory framework for buildings. Building regulations (or rules) are a set of detailed controls for the construction of buildings (e.g. site conditions and use, water quality, means of access, natural lighting, ventilation, fire resistance, lighting and earthquake protection of buildings etc.). The building codes serve the same purposes of the building regulations; however they are not statutory unless made so in the regulations. In most instances, building regulations contain regulatory and mandatory issues, whereas the building codes support those regulations with technical requirements and details. Similarly, the codes are supported by the directives in building standards, which specify the physical characteristics, materials, components of the buildings for a context. Thus, they regulate design by specifying room size, distance from adjacent buildings, types of material and construction technique etc. Housing standards complement the building standards by defining measures of the acceptability of housing at a given time and place and in a given cultural, technological and economic setting.

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(ibid). Some of these factors proscribe the urban poor to access housing with acceptable

standards. In many instances, those standards are unrealistic, costly and their

implementation is cumbersome (Yahya 2000; Satterthwaite et al. 2009). Consequently

the standards do not recognize a minority of a population as legal residents in the formal

process of implementation, who thus remain at considerable risk. In addition, income-

based standards encourage social segregation stimulating the emergence of dualistic

cities (Yahya 2000; Watson 2009).

Turner (1972:150) suggests that minimum standards of housing for the poor are

frequently, if not generally, counterproductive under at least two sets of conditions.

First, when there is a significant gap between the levels of investment they require and the effective demand; and, second, when that gap cannot be closed with subsidies, whether through lack of financial resources or lack of will on the government’s part.

He adds that if housing is evaluated through their functions as what ‘housing does in the

lives of the users’ - the roles which the process plays in their life history’ then the

dwellers’ satisfaction not necessarily adhere to the imposition of standards, rather the

deficiencies and imperfections in their own housing become infinitely more tolerable if

they become their responsibility than they are somebody else’s.

Opportunities for using regulatory frameworks for adaptation planning include using

zoning and planning controls to provide appropriate and safe locations for low-income

households while reducing exposure to the risks of flooding, slope failure and other

disasters (Dodman & Satterthwaite 2008:70. Furthermore, context specific, appropriate

and affordable building standards may support incremental improvements (ibid). Thus,

housing can be made more resistant to extreme weathers, while still enabling poor

residents living in self- or artisan-built constructions to upgrade at an appropriate pace

and cost.

Therefore, it can be concluded that regulatory frameworks - or in other words taking a

design approach for planning to reduce vulnerabilities - have the potential to benefit the

urban poor only if they take a pro-poor position and address the decisive issues of

vulnerabilities to ensure sustainability.

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Sustainability of planning approaches for the urban poor

It is arguable whether or not urban development planning can become pro-poor and

support rapid urban growth and environmental sustainability (Watson 2009). However,

adaptation to climate change and disaster risk management provides a range of

complementary approaches for sustainable development (IPCC 2012). So far, most

policy concerning building design to address climate change has been reactive, that is

regulations have been a response to problems that have already occurred (Smith 2010).

Hence, there are opportunities to identify pro-active, affordable and context-specific

standards for the urban poor considering climate extremes in their built environment;

and how standards can be formulated to be sustainable and facilitate adaptive capacity.

One of the conceptual arguments to examine in this context is that of ‘fluid urbanism’

suggested by Guy (2009). Conceptually ‘fluidity’ provides a framework for diverse

sustainable design approaches, which aspire to be flexible, situated, pragmatic and

participative. The flexibility emerges from a range of technological options; equally,

looking beyond challenges of environmental performances of materials or dimensions

of structures to being open to heterogeneous combinations of purpose and programmes.

The connotation of ‘situated’ is associated more with creating situational-specific

solutions to locally defined challenges. Hence, dealing with the particular challenges at

hand makes the decisions and tactics around design strategically pragmatic. Finally,

fluid urbanism suggests a participative approach to design, taking into account ‘voices’

beyond the policy and professional nexus by building community participation. In this

respect, as described earlier, the design approach may be examined in order to explore

opportunities for building adaptive capacity following the concept of fluid urbanism. I

will expand the relevance of these theoretical arguments in the context of the research

findings in chapter seven.

Although macro-scale urbanization defines the vulnerability or resilience of the physical

environment in the city, at a micro-scale the effect of planning approaches translates

into access to and quality of housing and infrastructure for the urban poor. Both Smith

(2010) and Sanchez-Rodriguez (2009) emphasize concentrating on housing as a means

to building resilience against hazards and risks arising from climate variables, because

housing has the greatest effect on the quality of life. The following section explores the

role of housing and infrastructure for building adaptive capacity of the urban poor.

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2.2.3 Housing and infrastructure as means of building adaptive capacity

Ismail Serageldin in the book The Architecture of Empowerment: People, Shelter and

Liveable Cities wrote that for a rich client a house may be an individual home, a place

designed for residence and relaxation; but for a poor client it may be far more, a place

both of shelter and production (ibid 1997:9). For urban poor households access to

housing provides greater security from both natural and man-made hazards, facilitates

access to services, and decreases the intensity of diseases for household members (Bhatt

1996; Steele & Serageldin 1997). Thus access to housing increases the urban poor’s

potential to respond to physical risks.

Alternately for an urban poor household houses are productive capital that function at

various times as ‘a warehouse, a storehouse, and a source of inputs such as water and

electricity’ (Bhatt 1996). Moreover, access to housing enables female members of urban

poor households to work the year round, protected from monsoons, floods and other

interruptions (ibid). Similarly, in many parts of the world houses are the only secure

place to invest capital, and other problems can be solved by investing in housing (Wilk

1990). Thus houses are not only physical and productive capital for urban poor

households: they facilitate accumulation of other assets to increase adaptive capacity.

The social aspect of housing for the urban poor is explained by Moser (1987) through

her work on women and human settlements. She argued that the economic relation to

housing focuses on issues such as urban housing markets, land tenure, and the role of

the state in housing provision. The significance of housing lies in the social relation

where the relationship between gender and housing underscores the social relation

(ibid:5). Similarly, Wilk (1990) focused on the power relations between household

members in relation to their participation in the labour market or in household labour.

He argued that ‘we should study the full range of human factors that affects the

decisions to buy, design, build, alter, improve, sell and destroy houses’ in order to ‘see

how people themselves achieve a balance through an interaction of cultural knowledge

and pragmatic action’ (ibid:35).

Again on the city scale, access to housing by the poor is a political issue. It has been

contested over the years whether housing for the urban poor should be provided for or

liberated from the dominating forces of professionals and bureaucrats. The decisions

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between these approaches depended more on the political orientation of the government

and agencies. Turner (1972) argued that “the provision and distribution of housing with

random and arbitrary allocation brings less healthy, imposed societal relationships

which very seldom work” (Turner 1972 cited in Ozkan 1997:45). In such a context,

housing will continue to generate debates in the political sphere (ibid).

Discussion on housing the urban poor sheds light on another aspect - the significance of

designers’ and professionals’ involvement in the process. Serageldin (1997:11)

suggested that the types of architecture needed for housing the poor are more complex.

They see a building more as a process than a product, and as empowering and

encouraging incremental inputs. The poor’s control over the process, faith in the

materials and the technology required for building and maintaining houses are

significant (ibid). Innovative techniques and materials may not be popular with people

of modest needs (Steele & Serageldin 1997:78). Thus, housing design and construction

is a complex process incorporating physical, economical, social and political factors.

Evaluating housing in the context of climatic vulnerability compels us to look back at

Bosher’s arguments for a resilient built environment (2008:13). He suggests the built

environment to be ‘designed, located, built, operated and maintained in a way that

maximizes the ability of built assets, associated support systems (physical and

institutional) and the people that reside or work within the built assets, to withstand,

recover from, and mitigate for the impacts of extreme natural and human-induced

hazards’. Furthermore, he argued that if built assets are affected repeatedly by particular

hazards, there is a need to ensure that the built asset is more resilient in social, physical

and economic terms. His arguments illustrate the significance of building adaptive

capacities in the built environment though a multi-dimensional approach.

Similar to housing, the level and quality of infrastructure and service provision

influence the extent of climate risks (Moser & Satterthwaite 2010:235). Piped water,

electricity supply, sanitation, sewerage, drainage and garbage collection delineate the

capacity of the household and community to respond. Protective infrastructure and

service provision influence how the city as a whole is prepared to cope with the impacts

of flooding, landslides or heat-wave. Basic infrastructure services can also be a major

alternative for generating income, thus providing the urban poor with the same

economic opportunities as the rest of the population (Menendez 1991). Access to these

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opportunities increases the potential to respond and to take anticipatory and reactive

action to address climate risks.

Usually city and municipal governments have the primary responsibility for providing

infrastructure and services that are essential for good living standards, and livelihoods,

as well as reducing risk of disasters and the likely impacts from climate change (Hardoy

et al. 2001; Dodman & Satterthwaite 2008). The extent to which urban governments are

able to provide the urban poor with necessary infrastructure and services is dependent

on two factors: first, on the local government’s capacity to meet their responsibilities -

this often depends on good relations with higher levels of government; and second, on

the responsiveness of local governments to the needs of low-income groups (Devas et

al. 2001 cited in Tanner et al. 2009). There are examples where communities in

informal settlements work towards accessing infrastructure; nevertheless they have to

work with the local government to reduce costs and increase effectiveness (Dodman &

Satterthwaite 2008).

2.2.4 Micro-analysis of the built environment: space and climate variables

Impacts of climate extremes, which occur as less dramatic, slow, incremental events, are

experienced in everyday life and in the immediate surroundings of houses and

community. In that respect designing, constructing and maintaining a resilient built

environment, in other words housing and infrastructure, influence how an individual or

a household can respond to the climate variables of temperature, rainfall, moisture, wind

etc. Although climate change literature does not explicitly discuss the relationship

between spaces and climate variables in relation to urban poor groups, however, some

relevant suggestions can be drawn from environment and building design literature. The

following discussions explore the relationship between spaces and climate variables -

how they impact on vulnerabilities and adaptive capacities.

Two of the climate variables - temperature and rainfall - principally determine an

individual’s vulnerabilities within a space to any significant changes. Of the two,

extreme variability in temperature experienced as a heat-wave or cold-wave are

influenced by the space layout, design, choice of building materials and construction of

the house. On the other hand impacts of extreme variability of rainfall – especially when

experienced as water-clogging and flooding – depend on the availability and quality of

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the infrastructure to cope with these extremities. As discussed earlier, urban poor

communities have a very modest influence on the provision of infrastructure where

government take the key responsibility; on the contrary communities are often

principally responsible and make most decisions for planning and constructing their

own housing. Hence, the following discussion focuses on temperature variability and

thermal comfort in relation to spaces in the built environment.

The comfort temperature of a person depends upon the environmental conditions

determined by air temperature, mean radiant temperature, air velocity, and relative

humidity. As such, the domestic environment is a dynamic system because of the

constant change in the parameters of the outdoor environment, the internal heat gains

and the ventilation rates influencing the indoor temperature (Peetersa et al. 2009).

Comfortableness also depends on some non-quantifiable variables like psychological

well-being, personal choice of clothing and the thermal insulation of clothing worn, the

activity of the person, and the duration of the exposure (Mallick 1996). Thus nearly all

forms of adaptations apply to residential buildings: changing activity, adapting clothing,

opening windows, drinking cold or warm drinks, siestas, etc.’ (ibid).

Consequently, people can adapt to a wide range of environmental conditions in indoor

spaces. Mallick (1996) found that within houses in urban areas in Bangladesh people

engaged in a range of household activities wearing ordinary clothing under still-air

conditions felt comfortable in a high range of temperatures, between 24 and 33 deg C;

similarly, they tolerated 95 per cent humidity. Although these levels seem to be high to

be acceptable in a hot-humid climate, he found the reasons for such acceptance were the

influence of long-term conditioning and a higher tolerance threshold, along with the

need to comply with the status quo as there are no other choices. He also indicated that

lower radiant temperature, one of the decisive determinants for comfort, can be

controlled through designing thicker walls and roofs. Similarly, behavioural patterns

such as walking barefoot on cool floors contribute to comfort (ibid).

Another study in residential buildings revealed that thermal comfort responses are

subject to economic and tenure conditions (Indraganti & Rao 2010). Given the same

warm conditions, a higher percentage of higher economic groups voted that they were

uncomfortable while lower economic groups felt neutral. Similarly, a difference was

observed between owners and renters. This was influenced by several factors including

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the availability of control. Owners undertook greater measures in the form of structural

controls to achieve thermal comfort while tenant occupied flats were fitted with less

variety and fewer structural controls. In addition, owners had psychological satisfaction

with their tenement and were less likely to give a non-acceptance vote while tenants

displayed slight psychological detachment with their flat, which eventually affected

their perception of comfort (ibid).

Indoor thermal comfort in residential buildings is strongly dependent on the experience

of outdoor temperatures (Peetersa et al. 2009). People seem to be more tolerant to

environmental conditions when outdoors than when indoors (Ghali et al. 2011). In an

outdoor environment, air temperature, mean radiant temperature, air velocity, and

relative humidity are combined with actual exposure to increased or reduced

temperatures. However some components, for example air velocity at a fixed wind

frequency, cause an overshoot in sensation due to sudden changes in skin temperature.

Hence, people become more tolerant with outdoor conditions at elevated air

temperatures and relative humidity compared to indoors (ibid).

Similarly, these environmental factors both indoors and outdoors can be reasonably

influenced by the elements of urban design as well as considerations such as building

geometry and orientation, construction materials, vegetation and location of water

repositories (Ahmed 2003). In general, urban dwellers experience greater heat-related

effects from the outdoor environment than people in rural areas. Exposure to an

uncomfortable and overheated outdoors environment contributes to an increased

preference for a lower temperature indoors to be comfortable and that puts an immense

pressure on the demand for energy. The increased demands for energy affect the living

cost of the urban poor households as well as the economy of the national government

which provides the infrastructure for energy supply.

All these studies relating to heat and thermal comfort highlight consideration of the

psychology of comfort, the surroundings, and choices - apart from the physical data of

temperature, humidity and air movement. They also illustrate the positive impact that

the built environment can make on creating spaces that may reduce vulnerabilities

arising from increased heat.

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2.3 Adaptation and the built environment: the key issues for the urban poor

The aim of this chapter was to examine from literature the key conceptual issues around

adaptation in the built environment for the urban poor. The review of debates on

adaptation illustrated the significance of considering climate extreme impacts that affect

the well-being of the urban poor most. The often unnoticed, less dramatic, repetitive,

incrementally developing impacts of extreme heat or cold and irregular rainfall seemed

to be increasing the urban poor’s vulnerabilities as the impacts are experienced on a

daily basis. Thus, taking a proactive approach of adapting with climate extremes

contributes more to building the adaptive capacity of an urban poor household.

The overview of the literature on the built environment illustrated that urbanization can

contribute significantly to the vulnerability of the urban poor. On the other hand,

urbanization contributes to building resilience as well. In addition, for cities that are

experiencing high urban growth rates but have limited resources to develop the built

environment, taking a design approach in development planning is more feasible than

adopting a location approach. Design approaches have the flexibility to include issues of

land ownership and security of tenure, indigenous building materials production,

affordability, cost of procedures, enforcement and financing in the planning process that

are necessary for the effectiveness of the approach.

The literature review also shows that the design approach using regulatory frameworks

has a greater impact at the household and community levels. Although a few instances

exemplify doubt about appropriateness for the urban poor in accessing housing at the

standards suggested in the regulatory frameworks, simply having access to housing and

infrastructure can increase the physical, economic, social and political resilience of the

urban poor. Nevertheless, housing and infrastructure are not only a physical concern.

They can be a combination of choices, negotiations, disagreements and compromises

that are involved in the construction, purchase, use, reuse, modification and disposal of

material goods. They may influence how well risks associated with direct and indirect

impacts of climate extremes are managed by a household or an individual within the

household. The following chapter explores the structural factors of adaptation in the

built environment - gender dynamics and asset-ownership - that limit an individual’s or

a group’s capabilities, agency or level of choice.

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Chapter 3. Adaptive capacity, gender and the built environment

Adaptive capacity is the ability or potential of a system to respond successfully to climate variability and change, and includes adjustments in both behaviour and in resources and technologies (Adger et al. 2007:727).

In an urban context adaptive capacity is defined as

the inherent capacity of a system (e.g. a city government), population (e.g. low-income community in a city) or individual/household to undertake actions that can help avoid loss and speed recovery from any impact of climate change (Satterthwaite et al. 2007:5).

The discussion on who adapts to impacts of climate extremes in the preceding chapter

recognized the physical, economical, social and political diversity in urban populations.

Who is most at risk and how they can cope with the climate hazards as a group or an

individual within their group varies according to location, income level, age and gender

(Alber 2011; Arora-Jonsson 2011; Dankelman 2008a; Brody et al. 2008; Denton 2002;

Nelson et al. 2002; Enarson 2000). Women as a group usually are poorer and less

powerful than men in many contexts including climate vulnerability. The over-

estimation of men’s physical strength increases their fatality rate during natural

disasters. Thus both genders are exposed to impacts of extreme climate events based on

gender - only in varying degrees and dimensions. Women, however, are arguably more

environmentally conscious (Arora-Jonsson 2011; Alber 2011). These variations in

exposure and sensitivity between women and men illustrate that the impacts of climate

extremes (change) are likely to be gendered (Nelson et al. 2002).

The purpose of this chapter is to explore variations in the adaptive capacity of different

members of the household and community, based on asset-ownership and gender. After

discussing the key concepts of assets and gender the preceding discussions examine

asset-ownership and gender in relation to spaces in the built environment for taking

anticipatory and reactive actions in the private and public initiatives.

3.1 Adaptive capacity and assets of the urban poor

The discussion in chapter two on the scale and purpose of adaptation revealed that

effective adaptation will require transformational changes to revise and reform existing

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social contracts and modes of development. Amartya Sen suggested that assets are “the

basis of agents’ power to act to reproduce, challenge, or change the rules that govern the

control, use, and transformation of resources” (Sen 1997 cited in Moser & Satterthwaite

2010). His work on capability generated a different concept of development trends

where the measurement and assessment of poverty shifted from expenditure patterns to

assessing the potential for capability (choice). Over the years, the significance of assets

and their ownership by individuals and households have been widely recognized in the

poverty reduction and social development body of literature (Doss et al. 2008).

Following Sen’s work, Bebbington (1999) argues that in a context where peoples’

livelihoods shift from being directly based on natural resources, to being based on a

range of assets, income sources, and product and labour markets, it is important to have

a wide conception of the resources that people need to access. Although his work

focused on rural livelihoods and poverty, the context can be applied to an urban setting.

He added that peoples’ assets are not merely means through which they make a living:

they also give meaning to a person’s world. Therefore assets, or what he termed as

capital in his framework, are not simply resources that people use rather they are assets

that give people the capability to be and act.

Many of Moser’s writings are based on an asset-based approach - addressing both

poverty reduction and social development. Building on those concepts she later worked

with other authors and researchers to address particular problems associated with

climate change (Moser & Satterthwaite 2010; Moser et al. 2010; Moser & Stein 2011).

This is because analyses of climate risks for urban poor households are grounded in the

concept of vulnerability. In poverty analysis vulnerability involves not only identifying

the risks or threats, but also resilience. The concept recognizes multi-dimensional

aspects for the probability of changing socio-economical well-being (i.e. people may

move into or out of poverty) rather than emphasizing a static income or consumption

poverty. Applying the asset-based approach to a climate change context brings into the

discussion people’s vulnerability associated with physical hazards.

Definition and types of asset

Assets are conceptualized as ‘stocks’ that can generate economic, psychological, social,

and political benefits that foster resilience and social mobility (Ford Foundation 2004

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cited in Moser & Satterthwaite 2010:237). Within such a definition, an asset can be

tangible and intangible, individual and collective depending on the individual,

household, community or society who owns them. Assets or capital endowments are

usually categorized as physical, financial, social, human and natural capital. Moser et al.

(2007) stated that researchers and practitioners have recently expanded the notion of

assets to include a broader range, particularly of intangible assets such as aspirational,

psychological, and political assets. Moser & Felton (2007:23) elaborated on types and

characteristics of different capital and associated asset categories and components,

drawing from their own work and other authors.

Physical capital is the stock of plant, equipment, infrastructure, housing and other

productive resources owned by individuals, the business sector, or the country itself.

The financial resources available to people, such as savings, remittances, and credit, are

categorized as financial capital. According to Moser & Felton (2007) they are

considered to be one of the most effective tools to escape poverty: accumulation of

these resources indicates a move away from poverty. The third type of capital - human

capital - is investment in education, health, and the nutrition of individuals. Human

capital is closely linked with labour and health status (which determines people’s

capacity to work): skill and education determine the returns from their labour (ibid).

Social capital is an intangible asset, defined as the rules, norms, obligations, reciprocity,

and trust embedded in social relations, social structures, and societies’ institutional

arrangements (ibid). They can be owned by household and community as they are

embedded at the micro-institutional level of households and communities as well as in

the rules and regulations governing formal institutions in the marketplace, political

system, and civil society. Although natural capital, defined as the stock of

environmentally provided assets (i.e. soil, atmosphere, forests, minerals, water, and

wetlands), may seems to be a critical natural asset for the poor in rural communities, the

growing importance of climate change means that natural capital should be included as

one of the five urban capital assets (Moser et al. 2007).

One type of asset may contribute to accumulating a range of other assets that may be

relevant to address incrementally-developing vulnerability. Moser (2009) analyzes the

relationship between household assets and income mobility and shows that the common

route out of poverty for most households is a gradual accumulation of a range of assets,

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as opposed to a dramatic change based on one type of capital. For example, economic

opportunities, savings and access to credit define an urban poor household’s capacity to

survive in the city. This financial capital not only contributes to managing immediate

risks, it assists in acquiring, developing, improving and transferring other assets as well

- for instance accessing housing, education etc. Having a strong and diverse economic

base is one of the main factors that can help households to cope with shocks and stresses

(Jabeen et al. 2010; Khosla & Masaud 2010).

With climate vulnerability, understanding direct and indirect impacts, in terms of the

assets of a household or an individual, shows how severe weather conditions or extreme

events are affecting a household’s physical or productive, financial, human and social

capital. Alternately, many climate change adaptation researchers advocate that assets

should cushion the risks and vulnerability from natural disasters for their capacity to

manage human or financial crises.

Asset-ownership and gender dynamics

It is argued that the level and diversification of asset ownership within a household and

an individual significantly influence their level of vulnerability to unavoidable risks and

insecurity as well as defining the ability to respond successfully with increased risks

through adjustments in both behaviour and resources (Jarvis et al. 2009; Moser &

Satterthwaite 2010). In an overview of asset-inequalities and the gender-asset gap,

Meinzen-Dick et al. (2011) summarized findings from various empirical works and

found that women and men own different types of asset, although women typically

have fewer overall assets than men. Increasing women’s access and control over assets,

including land, physical, and financial assets, and narrowing the gender-asset gap

directly improves women’s wellbeing by reducing their vulnerability and enhancing

their health, self-esteem, and sense of control. These improvements, in turn, augment

the overall condition of the families and communities (ibid).

Doss et al. (2008:2) suggest that few studies - either at the micro or macro levels –

examine the gender dimensions of asset ownership and collect data of the household as

a unit, which may give a misleading or partial picture of individual-level ownership

patterns. They often do not reflect understanding of the assets that women own, how

they acquire them, and how they use them to influence decisions that affect their own

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and others’ well-being’ (ibid). Consequently, women in many countries are less likely

than men to have ownership or control of productive capital. Furthermore, women may

not receive the benefit of assets held by men, even when they live in the same

household (ibid). Thus using gender distribution of wealth as a means of examining

gender inequality within a household assists in determining an individual’s fall-back

position, suggesting how well s/he might be able to cope with the risks. Similar

concerns are raised indicating that gender based asset-ownership and control of

resources may influence the capacity to adapt with climate extremes.

3.2 Gender: an emerging issue in climate change discussions

Gender as a policy issue has been discussed in development and planning debates for

decades. As indicated in chapter one, in many instance one of the deficiencies resting

with the conceptualization of gender is where ‘women’ are represented as ‘gender’

rather than gender being the social relation between women and men. Irene Dankelman

(2010:12) in the book Gender and Climate Change: An Introduction suggested

conceptualizing ‘women’ as (a group of) persons and ‘gender’ as a construct. In that

way women’s roles and positions in the socio-ecological spheres of our societies

become more visible. In addition the structural relationships, labour inputs, physical

characteristics, rights and access to and control over resources, level of decision-making

power as well as cultural aspects and identities - all become important gender-

determinates to understand the socio-ecological interactions.

Discussions around gender are usually centred on inequality. Kabeer's (2000) work on

gender discusses inequalities, their causes and evidences. She argues that gender by

itself does not translate un-problematically into exclusion. Nevertheless, gender can

differentiate and exacerbate other forms of disadvantage and thus feed into the

destructive synergies which underlie hard-core exclusion. The exclusion can take the

form of attitudinal discrimination, sexual harassment, domestic violence and denial of

full citizenship rights (ibid). Similarly Kurian (2000:17) argued that since social roles,

social relations, and the social practices of gender are embodied in the control of

institutions, resources, and knowledge that reflect and shape distribution of power in

society - so, like gender, gender power is dynamic, fluid and is derived from situations.

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Past discussions on gender, especially in poverty analysis at the policy level, faced

many criticisms. Nelson et al. (2002) argue that 'gender-blindness' afflicted much

development policy-making; while the development sector as a whole seemed to

'mainstream' gender issues as an after-thought (Denton 2002). Hence, most policies

from a ‘gender perspective’ tend be formulated in isolation from other key development

sectors. They remained minimal and unenforced, more reflected in rhetoric than in

practice. Policy makers who incorporated research outcomes on gender planned

interventions that addressed women within their existing roles in society without

challenging gender division of labour or the nature of gender subordination (Moser

1995). Therefore, most of the activities remained as an ‘add on’, and stayed outside

mainstream policy.

Towards the end of the twentieth century, lobbying in different international forums

raised interest in analysis of women-environment interaction and the gendered impact of

environmental policies (Momsen 2010:107). The United Nations Commission on

Environment and Development’s Agenda 21 required ‘the signatories to raise the

capacity of women to participate in the environmental decision-making and to ensure

structures to facilitate that’ (Buckingham-Hatfield 2000:99). Most development

agencies who recognized this perspective attempted to minimize the negative impacts

on the environment by focusing on women as the main agents of change for both

economic development and environmental sustainability’ (Kurian 2000:79). The

criticism of a narrow focus on women alone that tends to makes men invisible suggested

replacing the approach with a focus on gender rather than women (Momsen 2010:114).

Three interrelated factors explained the significance of the Gender, Environment and

Development (GED) approach (Hombergh 1993:17). They are the sexual division of

labour, the “feminization of poverty” and gender ideology. The sexual division of

labour ‘implies that women and men have different domains of knowledge on the use

and managements of natural resources’. The “feminization of poverty” indicates that the

relatively stronger impoverishment of women resulted from worldwide environmental

degradation and male bias in development policies and co-operation. The third factor,

gender ideology, defines women’s subordinate position as reflected by less access to

and control of resources at the local level, and lack of decision-making power in all

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spheres (ibid:18). The GED approach increasingly signifies the capacity and power to

adapt to environmental vulnerabilities.

In recent years, many national governments, international and national organizations are

emphasizing incorporating gender issues with adaptation. The idea is to promote greater

equity and equality in policies, programmes and projects (MoEF 2008; UNFPA 2009;

UNDP 2009; Brody et al. 2008). The significance of gender with adaptation arises from

recognizing the differential of climate vulnerabilities experienced by women and men in

a society. In a dynamic urban environment they are more prominent than in rural areas,

for certain factors will contribute to a differential of vulnerabilities. The following

section summarizes some of the experiences of differentials based on gender from

reviewing existing literature and policy papers. The evidences provide a better

understanding for analyzing gender-based vulnerability and adaptive capacity of the

study community of this research.

3.3 Nature of climate vulnerability based on gender

3.3.1 Vulnerabilities arising from differential economic opportunities

A strong relationship exists between types of economic activity and climate

vulnerability in general. The urban poor, with low levels of skill and education, are

employed in labour intensive and low-paid economic activities. Within them, the

women are concentrated in a narrow range of occupations with poor wages and low

status (Demetriades & Esplen 2008). Among households Ahmed et al. (2009) argue that

those depending on wages - their uninsured earnings are depended on the length or days

of work hence are most vulnerable to climate risks. Alternately, a large portion of the

urban poor are self-employed in the informal sector, where many women run home-

based small businesses with limited financial capital. Dankelman (2010) describes how

households and individuals dependent on businesses are more vulnerable as they tend to

lose productive assets and financial capital from extreme events. The losses eventually

push them to take up low-wage labour or to slip deeper into poverty.

The loss of business or working hours in jobs of individuals translates into a substantial

reduction in household earnings. The financial hardship brought by any disaster also

increases uncertainty. The increased stresses put greater pressure on the men, usually

considered as principle bread-winners, leading to tensions among household members.

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As a consequence, more frequent incidences of domestic violence between husband,

wife and even children occur. Households may adapt their diet, work longer hours and

in unsafe conditions, change cooking fuel, or be driven to migrate. In certain social

contexts, women have to delve into all these coping strategies (Dankelman 2010:14).

3.3.2 Social norms and extent of vulnerabilities

Vulnerabilities arising from natural hazards are argued to be socially-constructed: they

are influenced by established social norms and responsibilities (Wisner et al. 2004;

Enarson 2000). For example, as indicated above, one of the most discussed aspects of

women’s vulnerability associated with climate hazards is increased workload (Nelson et

al. 2002; Denton 2002; Satterthwaite et al. 2007). Increased responsibilities in the

domestic sphere for getting food, fuel and water among others in severe weather

conditions, mean undertaking additional income-earning activities from home or loss of

income while managing household tasks within already limited or scarce access to

resources. On a dry summer’s day, working women have to spend more time collecting

water from an intermittent supply in urban areas, and that affects their working hours.

Similarly during and after any extreme events or disasters when homes and

neighbourhoods are destroyed or damaged, it obviously affects those who provide care

to infants and children - generally women.

In some contexts, women - because they have to take responsibility for children - are

less ready, for example, to leave home to avoid flood waters: there are social

expectations about unilateral action and accessing post-disaster services. Experiences

from rural Bangladesh showed a higher mortality rate among women because of the

social opprobrium attached to leaving home without men to seek refuge, and because

there were scant opportunities for learning to swim (Nelson et al. 2002). In addition,

staying at home often gave them less access to early warning information (Enarson

2000). Similarly, gender norms associated with men and masculinity encourages men to

risky 'heroic' action, often causing loss of life. Nelson et al. (2002) described that,

mortality and morbidity are only part of the range of impacts of hazards.

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3.3.3 Differential of impacts on human health

Social norms, along with varied exposure to critical situations, increase risks for human

health differently between female and male members of a household. For example,

physical exposure to floods may be similar for both; however, the degree of impact for

females varies with their sensitivity. Women’s limited ability to move to safer places

while safe-guarding the family or assets often compels them to stay in flooded houses

and risk exposure to water-borne diseases. Moreover, they are exposed to more health

risks when toilet facilities are flooded. They have to resort to a number of desperate

measures to cope with this predicament, for example, travelling to other less flood-

affected areas to use the toilet or even spending hours controlling the urge to go to the

toilet (Rashid 2000).

Women and young girls, when moving into overcrowded emergency or transitional

housing where they lack privacy, often become victims of domestic and sexual violence

(Bartlett 2008; Demetriades & Esplen 2008). Rashid (2000) describes a situation during

flooding in Dhaka in 1998 when the women expressed their feelings of shame about

using the few remaining latrines in the presence of ‘unfamiliar’ men who often loitered

nearby as they had no work and lazed around.

In addition, Nelson et al. (2002) argue that, in certain contexts, household food

hierarchies exist placing females below male members. Since disasters affect the

quantity of available food, female members of the household, because of their lower

status, go hungry or starve more often than men. As a consequence women are ‘likely to

have poorer nutritional status and resistance to disease’, and are likely to be more

vulnerable than men during any crisis (Wisner et al. 2004). This lower status in the

household often undermines women’s need for medical care, so the health of urban poor

women is disproportionately affected.

3.3.4 Exacerbating vulnerabilities through erroneous planning

The vulnerabilities associated with gender arise not only from intra-household

dynamics, but also from erroneous policy initiatives and interventions. Nelson et al.

(2002) expressed concern about planning with gender, stating that poor or missing

gender analysis can lead planners to depend on women, burdening them with additional

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responsibilities with a central role in coping strategies. For example, it is easy to assume

that women are 'closer to nature' than men; and therefore the responsibility for

environmental protection is exclusively, or largely, that of women. However, no

empirical studies have conclusively determined that in reality women are more

concerned about the environment than men (Momsen 2010:117). Arora-Jonsson

(2011:6) suggests we should assess gender in a particular context in order to know how

and in what context ‘women find themselves to be able to deal reliably with the unequal

effects of climate change’.

On the other hand, gender-blind planning overlooks inequalities between men and

women in accessing relief, coping, and in the recovery phases of the aftermath of a

disaster. Evidence shows that in temporary or resettlement accommodation, women’s

needs and priorities are often not addressed or even considered (Satterthwaite et al.

2007). Similarly, female-headed households often do not have the physical ability or

even information to receive relief during flooding. Thus, they become more vulnerable

in access to and control over resources, if not considered at the planning level.

3.3.5 Gendered vulnerabilities

Although these discussions on gender may seem to emphasize women’s curtailed

choices and power, Demetriades & Esplen (2008) argue that discounting men as

‘somehow no-gendered’ misunderstands how gender-related constraints play out in

particular contexts of environmental stress and undermines the positive contributions

that men can and are making to gender equality and sustainable environment goals. As a

result of women’s social location as managers of the domestic environment, they often

are the first to notice the subtle and slowly apparent changes in the ordinary lived

environment (Momsen 2010:117). In that way women are likely to be more sensitive to

the impacts of climate extremes while men may respond differently.

However, accepting that both women and men are vulnerable to climate impacts only in

varying degrees and dimensions necessitates identifying the extent and nature of their

vulnerabilities. Similar to women’s, men’s vulnerabilities may be evaluated from

considering gender roles. Apart from a higher fatality rate, with the over-estimation of

physical strength, men’s trauma and stress-related symptoms are overlooked (Alber

2011 citing from Walter 2006). In addition, women are involved in relationships with

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men; as such the social expectations influencing gender relations may influence the

adaptive capacity (Brody et al. 2008:2). Taking an unbiased gender analysis, rather than

a narrow focus on women’s environmental roles, can facilitate identifying separate,

complementary and conflicting interests that avoid exacerbating gender inequalities and

promote gender equity (Nelson et al. 2002; Denton 2002; Momsen 2010).

3.4 Differential factors affecting gender-based climate vulnerabilities

Analyzing the above examples in relation to theoretical debates on gender suggests that

six groups of factors usually result in gender inequality in urban areas. There are many

discussions on these factors in relation to poverty and social development analysis

without explicit links to environmental sustainability. This thesis examines their

relevance in the specific context of climate extremes to understand how risks arising

from climate hazards and vulnerability may vary between women and men. The factors

can be grouped as shown in Table 3.1.

Table 3.1: Six groups of gender factors affecting climate vulnerabilities

Factors Represented/determined by How climate vulnerability is influenced

Gender roles and cultural patterns

Economic, social and cultural contexts

Affect mobility, education, attitudes, and means of communication

Sex-related factors Physical differences of women and men, reproductive functions of women

Affect personal ability and safety issues

Gender division of labour

Livelihood systems and multiple tasks including acting as food producers and providers, guardians of family health, care givers etc.

Choices of livelihood opportunities, location and conditions of working and living areas

Gender differences in income and assets

Gender gap in incomes, asset-ownerships

Define access to and management of capital assets, decision-making ability to build on resources to make any adjustments

Gender bias in power and decision-making

Women/men’s status, poverty, lack of education, and unequal access to information

Representation in decision-making in the household and community to take anticipatory and reactive actions; participation in urban climate policies

Gender-specific data and indicators

Availability of disaggregated data on distribution of wealth and assets, conceptualization of gender

Availability of institutional capacity to deal with gender issues, design adaptation policies and strategies following gender-sensitive approaches

Source: Adapted from Alber 2011; Dankelman 2008a

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Gender roles and division of labour

Gender roles, taken by female and male members, are closely associated with gender

division of labour. Cumulatively they have a significant impact on the adaptive capacity

of an individual within a household or community. Both are determined by economic,

social and cultural contexts. Most urban poor women usually take on triple roles by

undertaking reproductive (e.g. child-bearing/rearing responsibilities, care and

maintenance of households), productive (e.g. work done for pay in cash or kind) and

community managing activities (Moser 1987). On the other hand, men play a critical

role in earning, but generally play a negligible role in the unpaid work of reproduction

in the domestic arena. In addition to undertaking productive activities men get involved

with community politics (ibid).

Although women get involved with community management as well, usually this third

role is seen as an extension of their reproductive role (Moser 1987). These activities are

to ensure the provision and maintenance of the scarce resources of collective

consumption, such as water, health care and education (ibid). This is voluntary and

unpaid work, often considered as unproductive as it is undertaken in ‘free’ time, and not

recognized either by planners or men in the community. Conversely, men’s activities at

the community level are concentrated on organizing at the formal political level,

sometimes through paid work but otherwise through status or power (Moser 1993).

Kabeer (2003) argues that there is a marked inequality in the resources that men and

women are able to mobilize to carry out their roles and responsibilities within the

household. The inequalities depend on both the value and recognition given to their

contributions and their capacity to exercise agency on their behalf. Hence they are

influenced by several inter-household determinants - differential access to resources

(money, building materials, technical support etc), the relative value of men’s and

women’s wages, the monetary and cultural value placed on housework, differential

control over income and expenditure, the importance of inherited property for younger

generations, the existing system of marriage and residence, and the domestic cycle

(Rogers 1990; Wilk 1990; Jarvis et al. 2009).

The varied roles and associated division of labour of women and men within households

imply that households may serve as an effective unit of analysis; however, because of

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their non-egalitarian character they cannot be the only unit (Rogers 1990). Discussion in

the previous chapter on adaptation in the built environment illustrated the implication of

access to and control over land, money, credit, good health, personal mobility and

secure housing for responding to the diversified stresses of climate extremes - all of

which are argued to be gendered (Momsen 2010:137). Furthermore, discussion on the

nature of gender-based vulnerability illustrates that there can be relative state of

susceptibility of men and women within households and a local community, specifically

based on a woman’s unequal position. Similar to understanding processes of poverty

and livelihoods, assessing vulnerability and resilience to climate hazards may become

problematic as it can hide the inequalities in well-being and security levels, as well as

access to and control over resources within the household (Jarvis et al. 2009) to take any

reactive or anticipatory actions. Thus it is important to understand the gender bias in

power and decision-making ability.

Gender bias in power and decision-making

Decision-making or resource allocation depends on established power relations and

personal choices. They are formulated through culture and practices. According to

Kabeer (2003: xiv) traditionally men used their privilege to access resources both in the

household and in their wider public domain. For the same reasons, women in some

societies are more concerned with collective or family aspects of resources; while men

act in a more individualized fashion towards resources and consumption (McKie et al.

1999). The mechanisms through which women’s and men’s resources affect individual

outcomes differ substantially (Quisumbing 2003). Understanding adaptive capacity in

the context of climate, Arora-Jonsson (2011) raised a similar concern that

marginalization or vulnerability due to inequalities in power to make decisions is

ignored when the policy makers consider gender only as ‘vulnerability’ or

‘virtuousness’.

Jarvis et al. (2009:258) argue that, ‘intra-household or individual-level analyses that

delve into the outcomes of decision making and the resource allocation processes of the

households experiencing crisis are vital to an understanding of the influence of risks on

well-being and security’. For example, Gonzalez de la Rocha (2008) found that female-

headed households can be better equipped to address crises, demonstrating less dramatic

changes in their diets, less violence, and a more equal distribution of responsibilities.

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Again, increased pressure on households, for instance after a disaster, can lead to

premature separation of their members, decreasing solidarity and co-operation within

the family, increasing gender conflict and domestic violence and social isolation

(Denton 2002).

Decision making ability to make adjustments or take action to reduce loss or to speed

recovery from climate hazards depends on how an individual can bargain to access or

manage resources. Within a household the bargaining power depend on control over the

resources that influences bargaining process, mobilization of interpersonal networks;

and basic attitudinal attributes affect an individual’s bargaining power (Quisumbing &

Maluccio 2000). In addition, Agarwal (1997) argues that intra-household dynamics do

not exist in isolation, they are embedded in extra-household socio-economic and legal

institutions such as the market, the community and the State.

Similar to the household scenario, bargaining power within the community is influenced

by three types of inherent conflict. These are conflicts over the sharing of economic

resources held in common (such as common land or a water source), over positions of

political power and decision-making authority, and over community norms which

dictate social behaviour (Agarwal 1997:30). Usually men actively participate in

community politics where women seldom have any voice. In that respect, women’s

bargaining powers within the community are enhanced when they operate as a group

rather than as individuals (ibid). However, bargaining powers in turn are influenced by

direct rights in property, access to extra-community economic opportunities, social

support, intra-household bargaining strength, as well as political dynamics.

In the built environment gender roles and the division of labour, gender bias in power

and decision-making ability translate into production and representation of space.

Following the research interest of this thesis the next section examines implications of

gender and asset-ownership on spaces.

3.5 Gender, space and the built environment

Space is argued to be socially produced (Lefebvre 1991), while it is a condition for

social production (Massey 1994). There are three different, yet interactive, processes

through which space is produced conceptually as well as materially following these

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concepts (Rendell 2000:103). They are: spatial practice, representations of space, and

representational spaces. Spatial practice implies that each member of a given society has

a relationship with space at their level of competence and performance, thus in

producing and reproducing spaces. Spatial practice may vary between women and men:

their varying knowledge, signs and relationships to the production of space define how

spaces are represented. In addition, spaces are representational and they embody

complex symbolisms linked to the concealed or underground side of social life like

gender. Hence, space embraces a multitude of intersections; whereas, the social process

unfolds in spatial forms.

Jane Rendell (2000) summarized debates from different anthropological and

geographical perspectives in order to establish some relationship between space and

gender. She suggested that when spaces are conceptualized as ‘an integral and changing

part of daily life, which are intimately bound up in social and personal rituals and

activities’, they become not ‘innate and inert’ or cannot be ‘measured geometrically’.

She added that if space is socially and culturally produced and gender relations are

socially, culturally and spatially constructed then to understand the relationships

between gender and spaces, it is useful to examine two questions: “how are gender

relations manifest in space? equally, how are spatial relations manifest in construction

of gender?” (ibid: 102).

As discussed in the previous chapter there is a significant relationship between climate

vulnerability and the layout and design of space: spaces that are found, used, occupied

and transformed through everyday activities: gendering of those spaces can happen

through usage (Rendell 2000; Spain 1992). Specific places may be ‘sexed’ according to

the biological sex of the people who occupy them (e.g. female/male toilets) or gendered

according to the ‘gender’ associated with the different kinds of activity which occur in

them (e.g. domestic kitchen is feminine as cooking is socially connected with women)

(ibid). Consequently, space can be defined through power - more so with the power

relations that are inscribed in the built space (Spain 2000). Spaces can be represented as

‘separate spheres’ where the public realm or the city is for men and the private domestic

spaces of the home are for women. Such segregation has possible implications on the

vulnerability and adaptive capacity for the physical reasons discussed in the analysis of

space and climate variable in the preceding chapter.

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But, as an ideology, ‘separate spheres’ ‘does not describe the full range of lived

experience of all urban dwellers’ (Rendell 2000:103). The ‘separate spheres’ of female

and male are defined by their initial status-differences creating certain types of gendered

space (Spain 1992:6). Although spatial forms are created at particular points of time

through social behaviour, the institutionalization of spatial practices reinforces the

advantage or disadvantage for the male or female. They depend on the dominant

group’s ability to retain and reinforce influence; in many cases males use their

prevailing advantages. The spatial segregation causes gender stratification, trying to

locate women and men in different spaces with their established gender roles and

division of labour. Nevertheless spatial segregation also reinforces gender stratification

by assigning who can inhabit which spaces. In the process the relationships modify

spatial arrangements and by definition alter social processes (ibid:7). However, it can be

explored whether or not the social process in the dynamic urban areas in turn may be

altering the spatial arrangements and gender stratifications thus influencing physical

adaptive capacity.

As evident from these discussions different authors who are exploring theoretical

debates on gender and the built environment are based in the global north and mostly

examining the same northern context. There are few examples relating gender with a

spatial inquiry on urban poor households in the global south, although the context poses

different challenges.

For example, in most cities of the south the structural adjustment policies and neoliberal

governance reduced the presence of the formal sector, thus resulting in more people

working in the informal sector. The additional burdens on low-income households

necessitated women’s increased engagement in home-based businesses and provided

care for children and the elderly (Peake 2009). Hence, women became pivotal to the

survival of urban households through increased participation in the labour force, along

with playing an important role as urban home makers (ibid). In their capacity as

workers, women provided cheap labour in industries and houses outside their own

home, and as consumers they bought items for themselves and commodities for the

home. Thus spatially ‘woman’s place’ became simultaneously both in the home and in

the city (Rendell 2000:106). In addition, they became crucial to the organization and

management of communities, in particular to cope with ill-equipped cities trying to

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meet the diverse resident’s needs (OECD 1995). With more economic and community

activities, the ‘separate spheres’ women and men inhibit in urban areas intermingle.

Similarly, at the micro scale domestic spaces are usually planned, designed and

constructed using different building materials and construction techniques. The space

and form of a house is not the result of any single physical factor, it is the consequence

of a whole range of socio-cultural factors (Shrestha 2000:62). For example, investment

in any space in order to improve the quality of that space depends upon the importance

ascribed to that space, while the level of importance depends on decision-making

power, awareness, knowledge and perception of the female/male members of the

households (ibid:67). Accordingly the living, working or cooking area can receive

different priorities and designed for the comfort of women and men. Similarly the

greater the strictures laid on women by religion, kinship systems and social interactions,

the more partitions there will be in the house to seclude women’s sphere of activity

(ibid). Again, as discussed in the previous chapter, the characteristics and quality of

spaces have possible implications for the environmental vulnerability of women and

men living or working in those spaces.

Discussing the gender implications of space use in the informal settlements in

Bangladesh, Ghafur (2002) identified that home-based work of urban poor households

is not necessarily spatially confined within a given dwelling. On the contrary, different

associated activities for producing, marketing and selling products and procuring raw

materials necessitate moving from the immediate domestic realm to a greater

neighbourhood area and on to the wider urban areas inside/outside of the city. However

in some instances, because of social constraints, women depend on men for selling or

procuring raw materials; consequently women lose control of cash. These social

conflicts and acts of cooperation are manifested by women’s absence in the public

realm. Presence or absence in the public realm may significantly influence decision

making power at community and city levels, as discussed earlier.

If domestic spaces reflect ideals and realities about relationships between women and

men within the household and in society, the definition of community space derives

from the opposite meanings and activities associated with the domestic space where

social relations are reproduced following the gender status distinctions in the

community (Spain 1992; McKie et al. 1999). Although men with their productive roles

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are more visible in community spaces (Moser 1987), women’s socialization at the

community level fosters a different value system (Rendell et al. 2000). The spaces

emphasize connectedness, inclusiveness, an ethics of care, everyday life, subjectivity,

feelings, complexity and flexibility in design (ibid). Hence, through these characteristics

community spaces may possibly represent more gender-awareness, while the dynamics

of gender relations may be represented by these spaces.

3.6 Gendered space and adaptive capacity

The discussion in chapter two on environmental aspects of design and planning of the

built environment with adaptation did not suggest any explicit reference to whether or

not they varied between individuals based on gender. No specific references are

available that discuss the specific relationship between gendered spaces and adaptive

capacity in relation to climate extremes. However, much of the research on building and

energy examined gender and thermal comfort in the built environment. It is particularly

important to examine the literature to explore vulnerability arising from differential

temperature on the immediate surroundings of houses and the neighbourhood which are

within the control of the members of the community. Hence the following discussion

examines thermal comfort in gendered spaces for evaluating the potential for adjusting

both behaviour and resources and technology.

Ahmed (2003) examined thermal comfort in outdoor spaces; he argued that ‘in a natural

environment and particularly in an outdoor environment, a person’s attention is not

focused on the thermal comfort alone’; rather s/he responds to a number of stimuli that

are likely to have a considerable impact over one’s comfort judgement. Hence a person

who spends much time indoors (e.g. an office worker) is likely to feel greater warmth

discomfort from the same duration of exposure to a particular ambience compared to a

person who spends a significant amount of their time outdoors (e.g. street vendors).

Therefore, the climate vulnerability of a person may depend on the conditions of their

work. Most livelihood opportunities, as discussed earlier, available for male members of

urban poor households are outdoors, often involving physical activity. Such working

conditions expose males as well females who work outdoors to greater temperature

variability.

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Similarly, some researches have studied preferred temperature and thermal comfort in

an indoor environment focusing on gender differences. The findings are described

through a) higher sensitivity of females to a deviation from the optimum, b) females

expressing significantly more thermal dissatisfaction than males, particularly in

summer, c) females accepting noisier environments and being more sensitive to thermal

conditions than males, and d) the tendency of females to feel more uncomfortable than

males at both high and low temperature extremes (Karjalainen 2007). All these findings

indicate that sensitivity to temperature variability is definitely gendered as males and

females have different thermal comfort responses.

Relating these facts to indoor residential buildings in hot and dry climates that

experience seasonal variations, a study (also discussed in chapter two) found that

women preferred and were tolerant to a warmer environment than men (Indraganti &

Rao 2010). In addition, the study reported that

apart from physiological differences, women had a different perception of the thermal environment, more specifically of their residential environments. As they spent longer hours at ‘home’, there was a higher sense of belonging which promoted them to have a better control on the environment. This encouraged the women to accept and tolerate the thermal adversities better than men, even under higher temperatures that occurred in summer (ibid: 276).

Therefore, gender roles and the nature of employment usually contribute to whether a

person will be working indoors or outdoors, and in what kind of conditions.

Nevertheless, earlier discussion illustrated that in many instances the types of available

occupation are influenced by a cultural perception of gender roles and division of

labour. As such, work spaces for an individual depending on the thermal conditions will

contribute to her/his ability to respond. Again, the same gender roles and division of

labour usually influence how much time female or male members will be spending in

the house. Usually, being indoors impacts female members most. However, the socio-

cultural factors affecting tolerance levels can contribute to determining the overall

ability to adjust physical, ecological and human systems.

3.7 Considering gender dynamics and assets for building adaptive capacity

Fainstein & Lisa (2005) suggest that when urban planning is looked through a gender

lens the world looks different, people feel safer on the streets, and homes function better

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for families and in relation to communities. This chapter illustrates a similar

significance of gender in defining adaptive capacity to respond to climate change. The

development of policy debates, from ‘women and environment’ to ‘gender, environment

and development’ approaches, have shifted the focus from a portrayal of ‘vulnerability

or virtuousness’ of women to the dynamic relationship between women and men.

Nevertheless, the discussion also illustrates that, in order to incorporate achievements,

adaptation debates have to address both the vulnerabilities arising from and adaptive

capacity based on - the dynamics of gender. The dynamics are demonstrated by gender

roles, division of labour, physical variations and access to income. In addition, the

power to make decisions about access to and management of assets will require

significant consideration. Gender sensitive processes, consequently, will change the

rules of engagement for formulating gender responsive adaptation programmes and

actions (Sharmind 2011).

The findings furthermore illustrate that assets - with their ability to address the socio-

economic well-being of the urban poor - may be considered as the key component to

enhance the potential of individual or household to undertake anticipatory and reactive

actions to avoid loss and speed recovery. Gender dynamics influence the variation of

asset-ownership between women and men; while the power and capacity to manage

capital assets manipulate how an individual or a household can adapt to various kinds of

risks and hazards. Similar social dynamics of gender can be traced in spatial practices

and representation of spaces as well. Gendering of space by guiding where women and

men can inhabit then either incorporates or excludes their ‘separate spheres’. On the

other hand, gendered spaces through their embodied symbolism illustrate the different

kind of activities women and men can carry out in those spaces. As a consequence,

different individuals operate differently within a house or a community to cope with the

risks and hazards that have possible implications for making adjustments in both

behaviour and in resources and technologies.

The relevance of gender and assets to foster adaptive capacity in the built environment

is still an under-studied field. This chapter signposts the possibilities to explore these

issues, especially in relation to adapting to increased or reduced heat in houses or

outdoors. Previous discussion illustrated that between houses and the infrastructure that

forms the built environment for the urban poor, people have comparatively more control

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to plan, construct and manage different spaces within houses. In the absence of

institutional support for providing infrastructure to reduce the impact of water-clogging

or flooding, housing is a significant resource giving households capability to act. The

challenges of climate extreme and urban poverty demand innovative solutions;

therefore, one of the challenges of this thesis is to assimilate these theoretical debates

into grass-root realities. Accordingly, in the following chapter I discuss the research

strategy adopted for the study to develop the methodologies and gather empirical data.

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Chapter 4. Research strategy, approaches and techniques

This research intends to explore adaptation in the built environment, as the introductory

chapter one set out, considering a number of variables: urban poverty, climate extremes,

adaptive capacity, gender dynamics and assets. Each of these variables is consequential

and demands a detailed understanding to form a comprehensive body of knowledge. It

was important from the beginning of this research to identify a research strategy: a plan

for an overall structure of the research study that would help me, as a researcher,

throughout the process, from formulating the question(s) to describe the knowledge that

would be derived from the research (Groat & Wang 2002). In between these two key

positions in the process, there were steps and procedures which were either ‘highly

prescribed or emerged as the research’ proceeded. Thus, the following discussions

describe the strategy, approaches and techniques undertaken for this research.

4.1 The research strategy

Adaptation in the built environment by the urban poor, as discussed in theoretical

reviews, is a development problem. Pelling (2010:165) proposed four priorities for

research to frame adaptation as a development problem more effectively. They are: a)

diversify the subject and object of adaptation research and policy (i.e. perceive

adaptation as a social as well as technological phenomenon to incorporate organizations,

governance systems, national and international politics with individual behaviour); b)

focus on social thresholds for progressive adaptation (i.e. take into account the

staggered nature of how households respond to risks to cope with the increasing

multiple, direct and indirect impacts of climate change); c) recognize multiple

adaptations (e.g. adaptation as resilience, transition and transformation); and d) link

internal and external drivers of adaptation (i.e. to establish the nexus to shape the who,

where and when of adaptive capacity and action).

Taking into consideration these issues, the determination of the possible research

strategy began. I reviewed the literature on research methodology and consulted related

researches that addressed some of the variables of this research. I also combined my

professional experience as a development practitioner to determine the best possible

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approach to relate them to the context of the study. Throughout these processes, I had to

conceptualize the variables, understand their interrelation and coordinate their strengths

and weaknesses for answering the research question. My preliminary analysis revealed

that most of these variables are better examined through qualitative research methods;

using participatory tools and techniques.

The rationale for such a choice is associated with the concepts of qualitative research

methods and participatory approaches. Qualitative researches are credited with an

ability to uncover processes and causality and to develop a detailed understanding of a

complex issue (Mayoux 2006; Creswell 2007). They focus on interpretation and

meaning of data collected from a natural setting, and take into consideration how the

respondents make sense of their own circumstances using multiple tactics (Denzin &

Lincoln 1994:2). On the other hand, analysis of difference is an underlying theme of

participatory learning and action (Mikkelsen 2005:62). Participatory methods are

particularly relevant to study the social differentiation- exclusion/inclusion and access,

deprivation/entitlement, poverty reduction, gender inequality and empowerment, human

rights, conflict prevention and resolution (ibid). Therefore, as expressed in the research

objectives, since the research aimed at examining vulnerabilities and resilience in the

household and community levels, it was logical to use qualitative methods to explore

them in their natural settings and through people’s interpretations of climate extremes.

In addition, the exploration of adaptive capacity based on gender dynamics and asset

ownership is envisaged through social differentiations which are better understood by

using participatory methods.

The in-depth analysis of these methods helped to strengthen my arguments for deciding

on the research strategy and approaches. The following discussions describe some of

those findings; share the research experience of how I went about the research; what

overall strategy did I adopt and why; what design techniques I used; and the reasons for

choosing these and not others.

4.2 Research paradigms and perspectives

One of the approaches to how to choose research methods is to follow the research

paradigms and perspectives; which this research took into account but did not subscribe

to prescriptively. The philosophical stances or paradigms are more usefully understood

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as a system of inquiry within which more specific choices about methodology are made

(Denzin & Lincoln 1994:13). Therefore, within any particular system of enquiry there

may be multiple methodologies, or choices of structuring the research. Philosophically

all research is based on assumptions of how the world is perceived (the ontology) and

how we can best come to understand it (the epistemology) (Trochim 2001). Considering

the two major schools of thought prevalent in social sciences, that is positivism and

post-positivism, philosophically this research adopted a post-positivist view. The

reasons for such positioning were guided by the understanding of post-positivism

concepts.

Ontologically post-positivism takes a ‘critical realist’ view suggesting that reality exists

but can never be fully comprehended; whereas epistemologically post-positivists take a

‘modified objectivist’ view saying external reality can only be approximated with

special emphasis placed on external guardians such as critical traditions and the critical

community. According to Andrew Sayer, a key figure in conceptualizing critical

realism, the fundamental tenet of this view is to assume that there is a real world out

there; that it is possible to know the reality and we can use causal language to describe

the world (Easton 2010). In the process the critical realists accept the world to be

socially constructed. However, they try to ‘construe’ the world rather than ‘construct’ it

(Sayer 2000).

The emphasis on ‘construe’ instead of ‘construct’ emerges from considering causal

relations or language that Sayer suggested for describing the world. “To ask for the

cause of something is to ask ‘what makes it happen’, what ‘produces’, ‘generates’,

‘creates’ or ‘determines’ it, or, more weakly, what ‘enables’ or ‘leads to’ it” (Sayer

1992:104). To establish the causal relation we rely on an assumption which, together

with other assumptions, creates a system of thinking about the world that we find

acceptable. Again, the process of finding it acceptable often lets the values of the

inquirer enter into the inquiry, moving it epistemologically from objectivism to

subjectivism.

Similarly, the emergence from connectedness between different assumptions arises from

the powers or liabilities of the object we study. Any object of study has a structure with

a degree of inherent causal power and liabilities. In various conditions the same object

with its structure can create various events. The social world cannot be understood by

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studying individuals in isolation; but rather through the connections between people that

comprise a society (Easton 2010). Therefore, Guba (1990) suggests that the

methodology to be used adopting a post-positivist view needs to be more ‘dialogic’ and

‘transformative’ in nature. It needs to eliminate false perception while stimulating and

facilitating transformations. Also, the imbalances between the multiples need to be

levelled by undertaking the inquiry in more natural settings, using more qualitative

methods, and reintroducing discovery into the inquiry process (ibid).

These conceptual findings around post-positivism guided the choice of methodologies

for this research. The findings emphasized considering the causal power and liabilities

of the objects of the study. For this research they are: adaptation, the built environment,

urban poverty, climate extremes, adaptive capacity, gender dynamics and assets. Any

methodology to study these objects needs to be able to comprehend the inner dynamics

of each object of study. The findings also suggested examining their interconnectedness

based on the causal relations. The literature review in chapter two showed that the

vulnerability arising from poverty in urban areas may not be solely an outcome of

economic inequality. Similarly, the discussion in chapter three illustrated the risks

arising from climate impacts may differ in scale based on various inequalities and

vulnerabilities of different groups determined by age or gender. Based on those risks,

the scale and purpose of adaptation and the scale of adaptive capacity also may vary.

Therefore, it is imperative to explore the causal relations and inner-dynamics to

understand adaptation in the built environment by the urban poor, which is the prime

objective of this research.

The suggestions Guba (1990) made on choice of methodology within post-positivism,

emphasizing the option to gather data considering multiple variables in a natural setting,

and reintroduce the findings in the exploration process to rectify the findings from any

false perception, strengthened my rationale for choosing qualitative research methods.

The following discussion summarizes some of the key features of these methods

gathered from the literature while explaining how they were relevant for this research.

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4.3 Qualitative research methods

According to Denzin & Lincoln (1994:2)

Qualitative research is multi-method in focus, involving an interpretive, naturalistic approach to its subject matter. This means that qualitative researches studies things in their natural settings, attempting to make sense of, or interpret phenomena, in terms that the people bring to them. Qualitative research involves the studied use and collection of a variety of empirical materials.

Qualitative studies are therefore, subjective and inductive in nature, asking to identify

how people respond to a phenomenon. Hence, perceptions and responses become the

main set of enquiry rather than understanding causes and consequences of the

phenomena (Silverman 2005:296). Also, like quantitative methods, qualitative methods

are not aiming primarily at precise measurement of a predetermined hypothesis. Rather,

they take a holistic approach ‘understanding complex realities and processes where even

the questions and hypothesis emerge cumulatively as the investigation progresses’

(Mayoux 2006:118). Thus, they need to be flexible to capture underlying meanings, the

unexpected and sensitive issues and perception of local people. For that reason

qualitative methods use multiple data sources, focus on a participant’s meaning about an

issue, and analyse the data following an inductive process after conducting interpretive

inquiry (Creswell 2007:37). In the process, the researcher becomes a key instrument in

the research (ibid).

Qualitative methods deploy a wide range of interconnected data collection processes,

hoping always to get a better fix on the subject matter at hand (Denzin & Lincoln

1994:2) to study the individuals or groups and ascribe to a social and human problem in

more rigorous manner. These include: the case study, personal experience,

introspection, life history, interviews, observations, histories, interactions, and visual

text. The intention is to describe the routine and problematic moments and meanings in

individuals’ lives. The data collected by means of repeated intensive interactions with

small number of respondents in their natural environment help in gaining broad

understanding of the cultural and community at outset and reincorporate contextual

variations. The combination of multiple methods, empirical materials and perspectives,

and observers add to the rigor, breadth, and depth of any investigation (Quisumbing

2003; Creswell 2007).

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However, qualitative research methods face many critiques regarding the processes of

collecting and analysing data. Denzin & Lincoln (1994:4) say that qualitative researches

are often termed as ‘unscientific, or only exploratory, or entirely personal and full of

bias’. Silverman (2005:9) wrote about the problems related to categorizing events or

activities as qualitative researches are stronger on long descriptive narratives than on

statistical tables. This can create the problem of unreliability. Another criticism relates

to the soundness of the explanations the data offer. This is sometimes known as a

problem of ‘anecdotism’, revealed in the way in which research reports sometimes

emphasise a few, telling ‘examples’ of some apparent phenomenon, without any attempt

to analyse less clear (or even contradictory) data (ibid).

To avoid these shortcomings Silverman (2005:12) suggested involving a variety of quite

different processes for data collection, as mentioned earlier. Again to avoid the criticism

of insufficiency, it is sensible to make pragmatic choices between these data collection

processes according to the research problem. Furthermore, he affirms qualitative

research should offer no protection from the rigorous, critical standards that should be

applied to any enterprise concerned to sort ‘fact’ from ‘fancy’ (ibid).

In dealing with the study area Korail in Dhaka, a significant concern was considering

the number of variables, which are difficult to predict, let alone quantify and measure in

clearly defined and identifiable parameters. The multi-focus, interpretive nature of the

research question, set within the complex empirical reality of Dhaka, and the use of

‘first-hand’ accounts to explain a physical/social phenomenon, highlighted that the

qualitative method would be most appropriate for the study. Hence, this research

adopted qualitative methods. The discussions on the context of Korail and the city in

chapter six will elaborate these linkages further.

Qualitative research offers flexibility and adaptability to gather information provided by

the respondents, to probe into further information to go in greater depth or expand any

point of view, even abandon those which may appear to be irrelevant depending on

need. All these processes are possible to explore with individuals or various social

groups. Considering the time constraints of the fieldwork and the diversified groups

living in the study area I decided to take advantage of the flexibility and adaptability of

the qualitative research methods. In addition, already established research techniques

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guided me to ensure I gathered rigorous and reliable data and thus avoid the possible

criticisms of qualitative research.

However, the exploration process in the natural setting within Korail with the

participants necessitated using some flexible tools and techniques. A significant portion

of the population in Korail is illiterate; they have limited time and incentive to get

involved with this kind of research activity where there is no visible benefit to them. In

addition, the vulnerabilities and adaptive strategies of the urban poor can be better

understood by exploring how they themselves perceive and act upon the impacts

through their participation. Taking into consideration all these ground realities I decided

to review the key features of participatory tools and techniques, and their applicability

in the context of this research. The following discussion summarizes those findings.

4.3.1 Participatory research tools and techniques

Participatory methods and activities have been defined differently by many individual

practitioners and organizations (Mikkelsen 2005:62). They originated from

development activism by non-governmental organizations, social movements based on

Chambers' (1994) participatory rural appraisal method. Participatory research is argued

to have ‘a potential and a role that goes beyond augmenting and complementing

conventional research’ (Freudenberger 1998) with an aim, not so much to generate

knowledge per se, but for social change and empowerment. Hence, participatory

methods seek to ‘investigate and give voice to those groups in society who are most

vulnerable and marginalized in development decision-making and implementation’

(Mayoux 2006:118). Therefore, the principal approach is to involve the people whose

lives will be studied in defining the research questions as well as allowing them to take

an active part in collecting and analysing the data (Beazley & Ennew 2006).

Mayoux (2006:120) summarized some of the pros and cons of participatory methods.

According to her, participatory methods can rapidly collect large amount of data while

capturing diversity. Thus, the methods enjoy the advantages of rapidity and reliability

in terms of time and resources. Since they are based on local perceptions and priorities,

collective discussion enables more reasoned responses and immediate cross-checking of

different accounts. Various diagrams used in the process can capture non-linear

complexity and contribute to the development process. But they also bear the threat of

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being too context specific, over-influenced by power relations and depending on the

skill of the facilitator. Also shifting all the information and records at the time of

exercise may be difficult, thus data may become difficult to interpret later (ibid).

Participatory methods use various tools and techniques for three principal purposes: to

collect data, analyze data and to communicate. New tools are continuously being

developed as a solution to the shortcomings of the old tools in different contexts

(Mayoux 2006:119). Mikkelsen (2005) tried to ‘catalogue’ some of these tools and

techniques. They include review of secondary sources; direct observation; semi-

structured interviews; ranking and scoring; construction and analysis of maps, model

and diagrams; diagramming; case stories, drama, game and role plays; workshops;

triangulation; continuous analysis and reporting; participatory budgeting, monitoring,

evaluation and self-surveys; and do-it-yourself.

Again, Kumar (2002 cited in Mikkelsen 2005:67) suggested grouping these tools and

techniques in three different ways depending on their intended purpose. Space-related

methods like social maps, resources maps, participatory censuses etc. are useful for

exploring the spatial dimensions of people’s reality. They usually deal with mapping

and focus on how people perceive and relate to space rather than just to the physical

aspects, as they exist. Similarly time-related methods are used to explore temporal

dimensions of people’s realities. They include time lines, trend analysis, historical

transect etc. These tools allow people to use their own concept of time. Other methods

like cause-effect diagrams, network diagrams and matrix scoring/ranking methods are

commonly used to study the relationships between various items or various aspects of

the same item.

The flexibility associated with participatory learning and actions has led to the invention

and further development of a variety of participatory methods, techniques and tools for

different research contexts as well (Mikkelsen 2005:63). For instance, Moser & Stein

(2011) developed the Participatory Climate Change Adaptation Appraisal (PCCAA) as

a participatory methodology based on previous work of Caroline Moser, Cathy

McIlwaine and other colleagues, who modified participatory rural appraisal (PRA) for

use in urban contexts. I was familiar with this methodology in its early stage of

development when I started working on this research. I decided to use some of the tools

and techniques for their applicability with the variables of this research; namely climate

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extremes, urban poverty and assets. The following section describes the approaches,

tools and techniques suggested by the PCCAA to explore adaptation.

4.3.2 Participatory Climate Change Adaptation Appraisal (PCCAA)

The Participatory Climate Change Adaptation Appraisal (PCCAA) was formulated as

part of a wider research methodology that aims to better understand how ‘urban poor

communities are adapting their assets to severe weather impacts, as well as to identify

policy and institutional systems that can best support these efforts to build long-term

resilience’ (Moser & Stein 2011). The methodology has two specific objectives: first,

‘to understand the asset-vulnerability of poor households, small businesses and

communities as they relate to severe weather’; and second, ‘to identify the types of

asset-adaptation strategies implemented by these social actors to address this issue’

(ibid). As expressed in the first objectives of this research, I intend to explore the

vulnerabilities of the urban poor from climate extremes and their impact on assets. In

that respect, this methodology supported achieving the objective.

The PCCAA uses an asset-vulnerability analytical framework and an asset-based

adaptation operational framework for the appraisal. The asset-vulnerability analytical

framework identifies the links between different vulnerabilities and the capital assets of

the urban poor. Again, the vulnerabilities identified in the process are not limited to

climate variables only; rather they extend to different economic, political, social and

psychological factors experienced by different groups of different ages and sex. Also,

they relate both to external shocks and stresses and to internal capacities to resist or

withstand them.

On the other hand, an asset-based adaptation operational framework explores and

classifies asset-based adaptation strategies. These strategies are adopted by the

households, small businesses and communities to exploit opportunities to develop

resilience and resist or recover from the negative effects of severe weather. They occur

in three closely interrelated phases: asset adaptation to build long-term resilience; asset

damage limitation and protection during severe weather events; and asset rebuilding

after severe weather and disaster. In addition, PCCAA suggests identifying associated

institutions that support or undermine actions at household, community and government

level for each of these phases.

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The strength of this methodology lies in considering assets and their ability to transform

threats into resilience through opportunities. The methodology extends the appraisal of

vulnerability of the urban poor beyond physical factors or stresses. The overview in

chapter two clearly established that climate vulnerability of the urban poor may result

from other vulnerabilities, while climate vulnerability can exacerbate other

vulnerabilities. In addition, this methodology recognizes the external contributors to

vulnerability along with internal capacities to resist or withstand them. Thus, it helps to

achieve a comprehensive understanding of state of susceptibility and draws attention to

the adaptive capacities. The institutional appraisal enhances the knowledge around the

possibilities and limitations of building resilience by these communities.

However, within the appraisal the over-emphasis on the severe weather impacts may

result in shortcomings in recognizing coping strategies as adaptive strategies. Although

considering these strategies against three different time-frames may reduce the

possibilities, it would still depend on the researcher’s ability to differentiate between

coping and adapting strategies. Adaptation to climate change as a transformative

development problem requires understanding of social contracts, the meaning of

security and modes of development (Pelling 2010). The asset-vulnerability analytical

framework may address some of these issues, but more rigorous appraisals are

necessary to move the adaptation strategies beyond strategies to reduce disaster risks.

There were several reasons to build on PCCAA as a methodology for this research. This

methodology specifically aims to study severe weather impacts, which in the beginning

of the literature review I suggested to be termed as ‘climate extremes’ following the

IPCC’s suggestion. To date, this is the only methodology that specifically aims to

address climate extreme scenarios in place of climate change. Also, the objects of study

and the philosophical positioning of this research suggest understanding the causal

relations between variables. The analytical framework is designed to identify these

causal relations for urban poor communities using various participatory tools. The asset-

based adaptation operational framework suggests exploring household and community

level adaptive strategies, which I believe I needed to explore in detail in order to gain an

understanding on adaptation in the built environment and of gender dynamics.

Moreover, this methodology suggests the process of data analysis.

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Moser & Stein (2011) suggest using different tools to address different themes of

appraisal (see appendix 01). I was inspired to use some of those tools and modify as

needed for conducting the fieldwork. For example, to identify the background of the

community’s most salient and general characteristics participatory tools like a transect

walk, and participatory mapping of the community and areas affected by severe weather

were used. Listing and ranking of the community history matrix and timeline helped to

identify types of severe weather they had experienced. Vulnerable groups, areas and

assets affected by severe weather were identified using a community map, severe

weather/climate change/disaster timeline and a causal flow diagram. To identify assets

at household and community levels, strategy listing and ranking, a causal flow diagram,

a community map and timeline were all useful.

Although the PCCAA can perform an overall appraisal it lacks the tools to address

specific issues related to spatial inquiry or gender analysis. In order to identify the

possible methodologies to explore these factors I reviewed some of the associated

gender and spatial analytical frameworks. They are discussed in the following section.

4.3.3 Analytical frameworks for gender and spatial inquiries

A variety of frameworks is used to analyze gender relations to either planning gender-

sensitive research projects or in designing development interventions to address gender

inequalities (Mikkelsen 2005), however there is no analytical framework specifically

designed to study gender relations for climate context. March et al. (1999) over-viewed

various gender analytical frameworks to identify their advantages and disadvantages in

various situations. I will discuss two of them for their relevance to this research.

One of them is developed by Moser (1987) which March et al. (1999) described as the

‘Moser framework’. It emphasizes the examination of the roles of women and men in a

society. Although the roles are seen in the context of relationship between women and

men, but do not necessarily focus on the relationship itself, that determines how

activities come to be performed by men and women and the complex dynamics by

which decisions are made. Also the focus on roles suggest that this framework can be

used to design projects which address women’s practical gender needs, with no attempt

to support women’s self-empowerment. Some critiques suggest assessing the roles does

not necessarily capture the power imbalance between women and men, or the

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production of resources in a variety of setting and relationships. Emphasis on the triple

role of women discussed in chapter three often ignores men as 'gendered' beings. The

framework uses tools to identify gender roles; to assess both practical and strategic

gender needs; disaggregate control of resources and decision-making within the

household; plan for balancing the triple role; and involve women, and gender-aware

organisations and planners in the planning process.

On the other hand, the ‘Social Relations Approach’ developed by Kabeer and her

colleagues analyses the existing gender inequalities in the distribution of resources,

responsibilities and power for designing policies and programmes that enable women to

be agents of their own development (Mikkelsen 2005). But the framework uses

concepts rather than tools to concentrate on the relationship between people and their

relations to resources and activities - and how these are re-worked through institutions.

The framework describes that all institutions (e.g. international community, state,

market or household) possess five distinct, but interrelated, dimensions of social

relationships: rules, resources, people, activities, and power (ibid). The underlying

causes of gender inequality, according to this approach, are not confined to the

household and family but are reproduced across this range of institutions (ibid:104).

Inquiries following this approach address questions such as how things are done; what

is done; what is used and what is produced; who is in, who is out and who does what;

and who decides, and whose interests are served. However, despite its applicability in a

dynamic and holistic analysis March et al. (1999) argued that the framework is too

complex. They suggest simplifying framework by using three rather than five

categories: rules, practices and power for the institutional analysis.

Both of these frameworks had some suggestive process of analysis that adhered to the

objectives of this research. The identification of roles and the associated control of

resources as well as decision-making within a household in the ‘Moser framework’

helped define gender needs. In addition, the inequalities studied by the ‘social relations

approach’ were useful to reveal the dynamics for the control of resources and decision-

making processes. The suggested questions of a social relations approach supplemented

the missing components of the Moser framework during data collection. I followed

March et al.’s suggestion to simplify the form of this approach, and hence used three

categories. However, instead of rules, practices and power, I preferred to follow the

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original concept of the social relations approach and examine roles, resources and

power in households and communities since roles determine how access to and

management of resources are structured within households and communities for making

decisions to transform the resources into assets. The field-work findings analyzed using

these frameworks are described in chapter eight.

Unlike gender studies, analytical frameworks for spatial inquiry are scarce. Linda Groat

and David Wang in the book Architectural Research Methods (2002:24) suggested that

because the practice of architecture requires knowledge of a vast array of phenomena,

from exploring physical properties to principles of visual perception, it is hardly

surprising that the research disciplines within architecture bring with them a broad range

of paradigms. As a consequence, different researchers use methodologies across a

variety of disciplines. Similarly, Koskela (2008:211) writes that although in many fields

of inquiry theory plays a role in defining research frontiers, they are not seen to play

such roles in the built-environment-related researches. Rather the process of theory-

building in the built environment tends to be ‘fragmented, under-resourced and explored

from the limited perspectives of individual disciplines or interest groups within the

construction or property industry’.

Amos Rapoport is one of the few theorists who suggested analytical frameworks for the

built environment; and some of them are applicable specifically for the informal

settlement environment (Kellett & Napier 1995). His framework of ‘housing and

culture’ (Rapoport 2000) suggests perceiving housing as a system of settings within

which a certain system of activity takes place. Based on Rapoport’s framework, Stephen

Diang’a and Ambrose Adebayo (2011) used systems of settings and activities for the

analysis of the built environment in informal settlements. The objective was to identify

and propose relevant elements and components that need to be considered in

intervention strategies and design to improve and regularize the informal settlements.

Focusing on the physical, social and economic parameters of the dwellers, Diang’a and

Adebayo suggested analyzing the relationships between “activities” that take place in

different “settings” of houses and neighbourhoods and the “systems” within which they

interact. Thus, the approach emphasizes the physical environment with a holistic

evaluation of the settlements’ built environment including forms of shelter, organization

of space, systems of settings, cultural landscape and other fixed, semi-fixed and no-

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fixed features, including all the actors within the established context. However, the

authors also recognized that these activity settings are present in every dwelling whether

in an informal settlement or in an up-market neighbourhood; what differentiate the

settings in the two different dwellings are the spatial allocations for the systems of

activity.

In an earlier review, Kellett & Napier (1995:16) examined Rapoport’s frameworks with

several others and suggested a multi dimensional framework combining their constraints

and opportunities. They argue that the key elements to consider in designing the

framework would be a) the residents, or households; the dwelling and b) how it is used;

c) the processes through which the dwellers shape it; and, perhaps most significantly, d)

the context or setting in which these actions take place.

The "households" referred to here are defined in terms of age, gender, opinions, beliefs

and skills of members; whereas "dwellings” are defined by qualities of form, substance,

function, meaning and locality. In addition, how household members "use" their

dwelling and the wider “context” in which they live are seen as part of an interrelated

association which changes through time - gradually or rapidly, traditionally or perhaps

traumatically. Among these, the process is the ‘purposeful, modifying action of the

household on the dwelling’. It is important to understand the process, including design,

materials acquisition, and construction at distinct times in the dwelling’s life cycle (e.g.

when creating, altering, or exchanging shelter). However, it is fundamental that the

decisions about and actions to the dwelling filter through the user or the user's agent (the

builder). The filtering is even more significant in circumstances where the users are

closely involved in the "making of place," or are participating directly in this process.

Finally, the context indicated in the framework is a household's societal context, such as

relations with various social groupings, including family groups, the neighbourhood

group, and labour associations, as well as the wider political and economic conditions of

the society; and a household's material conditions, including qualities of site and climate

and the household's access to resources.

Kellett & Napier (1995) added that when the dimension of time is introduced, each of

these four elements can be described as they change in relation to each other. In addition

the process, and the product (the built environment) is changed through the relationships

with the four elements and relative impacts. The time dimension also brings into the

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discussion the gradual or traumatic effects of environmental factors and the

deterioration of the dwelling through usage. Kellett and Napier argued that even in the

most tenuous and constrained of circumstances the users reshape the product, as they

are undoubtedly shaped by it. A comprehensive picture can emerge studying these

relationships in terms of how people in different places respond to adverse social and

material contexts and how their built form might reflect such adverse conditions.

Although this framework aims to analyze the built environment with no specific

reference to climate change context or gender dynamics, the four elements of the

framework can be used to create the premise to evaluate these variables. Also the time

dimension and the impact of environmental factors open up the opportunity to use the

analysis for climate vulnerabilities and adaptive opportunities. Considering the context

of the study area and the characteristics of the built environment I decided to follow the

line of enquiry suggested by Kellett and Napier for the spatial exploration of the

research at household and community levels. The discussions in chapter seven describe

the data analysis of the research findings based on these frameworks.

In this context it is relevant to refer back to Wilk (1990:35) who suggested that the best

unifying and general framework for studying housing [built environment] is one that

looks at the actual human decisions that are made around it: the choices, negotiations,

disagreements and compromises that are involved in the construction, purchase, and

use, reuse, modifications, and disposal of material goods. This is because the household

level tends to be where decisions about household production, investment, and

consumption are made in order to manage risk and cope with unexpected events that

negatively affect incomes, assets, or well- being. Such frameworks integrate the multi-

faceted nature of the built environment (ibid).

Gender analysis and spatial inquiry at the household and community levels suggested by

these methodologies required detailed understanding of the individual households and

their surroundings. Therefore, I used a case study method to take advantage of what this

method offers in learning about the object of the study itself and the process of study.

The following section narrates some of the advantages that a case-study method offers

relating to this research.

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4.3.4 Case study

The philosophical positioning of the research, as mentioned earlier, following a critical

realist view, supports choosing case studies as an accepted approach (Easton 2010;

Verschuren 2003; Yin 2003). However according to Stake (1994:236), the case study is

‘not a methodological choice, but a choice of object to be studied’. He adds that a ‘case’

is a specific, bounded and functioning system. It has a patterned behaviour with the

recognition that certain features are common within the system, within the boundaries

of the case, and other features outside. Hence, a household can be a case bounded by

social, economical and cultural issues. A ‘case study’ is ‘both the process of learning

about the case and the product of our learning’. A case study may ask ‘How?’ or

‘Why?’ questions about a contemporary set of events, over which the investigator has

little or no control (Thomas 1998). Therefore, Stake (1994) argues that case studies add

value in refining theory, suggesting complexities for further investigation, and help to

establish the limits of generalizations. I observed the importance of using case studies in

this research for identifying vulnerabilities and adaptive capacities in the built

environment that vary based on roles, resources and power among different household

and community settings.

During the fieldwork, I followed the process of examining different cases as

‘instrumental case study’ (Stake 1994:237), where a particular case was examined to

provide insight into an issue or a refinement of theory. In the process, the cases were not

of principal interest; rather they supported understanding something else. Although, the

cases may or may not be considered typical, they were examined in detail, in relation to

their contexts in order to identify various external interests (ibid).

For example, adaptive capacities of a female-headed household were determined by the

internal household dynamics. However, the community network and institutional

arrangements were taken into consideration to understand the dynamics. The questions

asked during the interview of each case tried to clarify a decision or a set of decisions:

why they were taken, how they were implemented, and with what results (Scharmm

1971 cited in Yin 2003:12). The key entities involved with this questioning were

identification of the powers, liabilities, and necessary and conditional relationships. In

addition, the case studies allowed an iterative-parallel way of proceeding, looking at

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only a few strategically selected cases, observed in a their natural context in an open-

ended way, and making use of analytical comparison of cases and sub-cases (Yin 2003).

The case-study method is often criticized for its lack of representativeness (Trochim

2001).The shortfall can be on the part of representativeness of the case used as a point

of observation for social phenomenon; or on the rigor in the collection, construction and

analysis of the empirical materials. The lack of rigor is linked to the problem of bias

introduced by the subjectivity of the researcher, as well as the field informants on whom

the researcher relies to get an understanding of the case under investigation (Hamel et

al. 1993). These criticisms may be applied to this research as well.

In this respect Trochim (2001) argues that the sample size in any case-study research

project is never going to be large enough to qualify for the use of statistical inference.

The epistemological stance associated with a case-study method implies that regularities

or law-like generalisations in material or social settings that exist provide the basis for

both explanation and prediction. If two events occur in sequence regularly then one is

said to explain the other. Similarly, in participatory research the intention is not to

produce information that can be directly extrapolated to a larger population, rather to

find out what types of information raise issues that need to be factored into policy

debate (Freudenberger 1998). Therefore, diversity across many variables can add to the

rigor as well as the representativeness. I tried to choose the case studies rationally in

order to ensure diversity. The criteria and selection process are described in the section

on fieldwork activities.

4.3.5 Visual research methods

The nature of inquiry around the built environment for this research necessitated using

various visual research methods- for collecting, illustrating and analyzing data. Over the

last three decades, many qualitative researchers located within visual sociology and

anthropology have taken up and refined visual approaches to enhance their

understanding of the human condition (Mitchell 2011: 12). Alternately, the design

disciplines, for example architecture, industrial design, graphic design, and interior

design actively employed a variety of visual techniques as standard praxis (Boradkar

2011: 150). Social scientists predominantly are analytical thinkers, separating things

into parts and subsequently looking for relationships between these parts; whereas

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designers combine the parts into a unified whole (Sanoff 1991:1). However within

social science, a growing body of inter-disciplinary scholarship have tried incorporating

certain image-based techniques into its research methodology (Mitchell 2011).

Although the design as a discipline has been obsessed with the visual ever since its

inception, similar to social sciences design research recently are trying to get beyond the

visual (Boradkar 2011).

Visual methods in sociology and anthropology are grounded in the idea that valid

scientific insight into society can be acquired by observing, analyzing, and theorizing its

visual manifestations (Pauwels 2011). Visual manifestations include behaviour of

people and material products of culture that embody values and norms of a given

society. One of the key variables of this research- the built environment is argued to be

continuously transmitting messages to people that has a certain meaning which is

communicated and acted upon by the people in diverse settings (Sanoff 1991). For

example, the residential environment that is part of everyday life has embedded within it

cues about the social systems which contain symbolic references that are more

significant than the shelter itself (ibid). The audiences or recipients of the research read

those cues, make judgements about the occupants of settings, and act accordingly. Thus,

following the arguments that researchers construct, organize, analyze, and present

evidences for projects of empirical inquiry to challenge or support concepts, theories,

and models (Wagner 2011), the way I valued the visual study was to establish the

linkages between ideas and reality.

To establish the linkages I used different types of visual images. Newbury (2011) argues

that depending on how visual images are used can serve three different purposes:

illustration, analysis and arguments. Illustration occurs where images are used as an

explanatory adjunct to an argument or discussion presented in the written form.

Analysis refers to the instances where the image itself is the focus of attention, the

object of study. There is a clear distinction between illustration and analytical uses, a

marked shift of attention from what the image allows the reader to see, to the nature of

the image as it presents itself to the viewer. Similarly, some images can be used to

convey an argument; however such examples are less common (ibid). In this research I

have used various visual images to serve all the three indicated purposes.

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Usually, depending on the design of a specific study, the imagery associated with a

research can take the form of physical artifacts and settings; photographs or video

recordings; drawings, diagrams, or paintings; direct observation of activities and

settings; visualizations inferred through the comments of research subjects or other

researchers (Wagner 2011: 58). Variations in visual studies approaches appear to

individual researchers as choices among different objects of inquiry, research methods

guided by theoretical grounding and visual study skills (Wagner 2011; Mitchell 2011;

Pauwels 2011). In principle, visuals should not just be included as illustrations that have

little or no added (informational or expressive) value; rather they should fulfil a definite

and unique roles (Pauwels 2011) for example convert textual or statistical data into

more accessible information (Boradkar 2011). The theoretical grounding of this

research on post-positivism inquiring the causal power and liabilities of the objects of

the study, along with my skills as an architect to understand and perceive problems in

terms of visuals encouraged me to use photographs, drawings, diagrams, direct

observation of activities and settings, visualizations inferred through the comments of

research subjects, and other patterns of embodies culture and social life as some of the

visual research tools.

I used photographs both to illustrate and analyze the findings. Wagner (2011) argues

that photo documentation have been insinuated so deeply into the ethos of contemporary

cultures that they often are taken for-granted practices of collecting date and are

frequently overlooked as tools and methods of empirical research. He added that

photographs are extremely useful in collecting contextual evidences related to the focal

phenomena of a study, and the terms by which researchers participated in a field setting,

which has been the case for this research as well. Photo documentation involves the

same technical and representational processes that many researchers use code-sheets or

responses to interview to capture data or support empirical works through analysis and

investigation (Wagner 2011; Emmison & Smith 2000). Nevertheless, I had to recognize

that images often tend ‘to offer a (not-unproblematic) window to the depicted world, but

at the same time they may offer a gate-way to the culture of the producer and that of the

implied audience’ (Pauwels 2011:6).

Many researchers have found graphic organizers such as diagrams, charts, tables and

other figures to be extremely helpful as visual research tools (Wagner 2011:67). Often

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the creation of a new visual representation (for example, a graphic representation of

summarized data ) adds clarity to the insights conveyed (Pauwels 2011:18). I have

extensively used diagrams, tables and charts to illustrate and analyze the findings. In

this regard, it is significant to recognize that knowing how to create visual

representations of objects and ideas through drawing figures, creating digital flow charts

and animations, and displaying multiple images for comparative analysis require skills

and trainings. My training and professional experience as an architect, equipped me

with the necessary skills. However I had to be aware of the fact that ‘researchers-

generated imagery’ or using visual elements in one or more stages of my research, like

all technical or medium-related decisions, had epistemological consequences (Pauwels

2011: 14). Thus although I used architectural detailed drawings, they were presented in

a manner to communicate both with the academic and non-academic audience.

4.4 The Fieldwork activities

The fieldwork in Korail, Dhaka, Bangladesh extended over six months from September

2010 to March 2011. The area was chosen for the study for several reasons. Korail7 is

the biggest informal settlement in the centre of the capital city Dhaka. This is one of the

most densely populated areas in the city with estimated 100,000 people living in an area

of 90 acres (CUS 2006). The eastern and southern edges of Korail are defined by a main

water reservoir for the adjoining areas. The high density of population living in houses

made out of heat-absorbent materials near this body of water make the residents

vulnerable directly from increased heat, water clogging and flooding. Significant

proportions of the residents of Korail are urban poor considering their economic state.

Only recently were the residents of the area included in the electoral list. The indirect

impacts of climate extremes disproportionally affect the residents for the economic,

social and political inequalities they experience.

Korail was developed by the settlers on government land without any security of tenure

or formal interventions. Despite threats of eviction, the settlement grew over the last

three decades as one of the biggest concentrations of urban poor in the city. The

residents have no access to formal services - facilities of water and electricity supplies;

access and roads; sanitation and drainage as they have no land titles. Informal service

7 The detailed profile of the area is described in chapter six.

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facilities and infrastructure have been developed by the community in a mix of ‘legal’

and ‘illegal’ processes. The absence of infrastructure coupled with antagonistic

institutional arrangements influence on the sensitivity of the residents thus exacerbates

climate vulnerability. However, the locational advantages of Korail have attracted

households of diverse income and livelihood. House-ownerships and headship

arrangements make it a rich amalgamation of variations. Most of the low-income

households are employed either in service-oriented jobs, for example cleaners,

household helpers, rickshaw-drivers, and workers in the ready-made garment industries,

or they are self employed in informal economic activities. The initial review of these

characteristics in relation to the literature reviewed supported the decision to conduct

the fieldwork in Korail. Furthermore, my past work experience in the area was viewed

as an advantage to manage the fieldwork activities within a limited time.

The timing of the fieldwork was chosen to take advantage of the prevalent seasonal

variations. I started working in September, towards the end the monsoon season. It is

generally accepted that experiences of rainfall-related events like water-clogging and

flooding stay fresh in people’s minds, so I planned on taking advantage of that. During

late December and early January, the city experiences the acuteness of winter. Again,

March is considered to be the critical period right before the monsoon when people

suffer most from heat-related impacts. Considering the time constraints for the research,

I chose the timing of my fieldwork to take full advantage of the maximum variations in

climate related events. As a local resident of Dhaka I was aware of these seasonal

variations and could plan ahead accordingly.

I followed the methodological procedure suggested in PCCAA to initiate the fieldwork.

It suggests working around five themes for gathering data by using various tools. They

are: a) community characteristics; b) severe weather related to climate change; c)

vulnerability to severe weather; d) asset adaptation to severe weather; and e) institutions

supporting local adaptation (see appendix 01). I did not work extensively with the fifth

theme since I wanted to expand more on the vulnerabilities and adaptive capacities

around the built environment and gender dynamics from the first four themes. Before

going to the field, I designed a tentative semi-structured questionnaire to collect data

around these four themes; of course they were modified based on findings from the pilot

Focus Group Discussions (FGD) and Case study.

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The first phase of making the community profile of Korail was straightforward as I had

access to two community surveys. These surveys were undertaken in 2010 by a donor-

funded project, the Urban Partnerships for Poverty Reduction Project (UPPRP) and a

non-governmental organisation (NGO) Dustha Shastho Kendro (DSK) with a major

focus on infrastructure development in the area. Their findings were extensive enough

to supplement the quantitative data collection for this research. The first household

survey was conducted by the local community members and covered more than 18,000

households. It had information about the distribution of households by residence

duration; condition of the dwellings; distribution of household ownership; availability

of electricity, drinking water and sanitation facilities and their condition; as well as an

indication of the assets and social problems. All of these data were useful not only to

build the community profile; but also to predict the possible nature and proportion of

FGD groups and Case studies. The second survey was done later then the UPPRP’s

survey, and encompassed an intention to prepare a comprehensive planning for the area.

Thus, it summarized the physical, social and economic conditions of the community

from various sources. I used the findings from both these surveys to triangulate the data.

The time allocation for various fieldwork activities followed my prior work plan. In the

beginning I interviewed various academics and professionals from national and local

authorities, donor-funded projects and NGO workers to discuss the research aims and

objectives as well as gathering data around policies and activities related to urban

poverty and climate change in Dhaka. In the meantime, I conducted few pilot focus

group discussions and case study interviews and accordingly decided to modify some of

the semi-structured questions and manage the time allocations for the fieldwork. I

worked more with appraisal in the beginning of the fieldwork; during the middle I

conducted appraisal and case study interviews simultaneously. Towards the end of the

fieldwork I worked mostly with the case studies. The following two sections elaborate

the appraisal from 180 respondents of 21 FGD groups and the case study data collection

process from 26 households.

4.4.1 Participatory urban appraisal with community members

Based on the community survey findings mentioned earlier along with transect walks

within Korail and participatory mapping with some community members I decided to

use three variables for selecting the appraisal groups: a) the pattern of house-ownership

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(i.e. whether house-owner or renter; b) sex of the group participants (i.e. female and

male); and c) location of the most participants (i.e. whether they lived near the lake or

inside the settlements). They were either interest groups (people who shared a common

interest like occupational groups, adolescent club members); mixed groups (people from

all walks of life representing the community as a whole); and focus groups (people

convened to discuss a particular topic) following the suggestions of PCCAA (Moser &

Stein 2011). While choosing the participants in the 21 groups I worked with I tried to

combine a balance of the variables to ensure a mixed representation of data (Table 4.1).

Table 4.1: Details of FGD groups participating in the appraisal process

I managed to work with both ‘formal’ and ‘informal’ groups. I used my previous

network with UPPRP’s community leaders to arrange meetings with their different

Group details Variables of group selection (N=21)

Group no. No. of participants

House ownership Sex of participants

Location

Mal

e

Fem

ale

Hou

se

owne

rs

Ren

ters

Mix

ed

All

mal

e

All

fem

ale

Mix

ed

Lak

e si

de

Inne

r la

nd

Jam

ai-

baza

r

Bou

-ba

zar

1 0 9 X X X X 2 0 10 X X X X 3 0 7 X X X X 4 0 7 X X X X 5 0 9 X X X X 6 9 0 X X X X 7 0 7 X X X X 8 0 9 X X X X 9 7 0 X X X X 10 7 3 X X X X 11 0 6 X X X X 12 7 2 X X X X 13 7 0 X X X X 14 8 0 X X X X 15 0 9 X X X X 16 5 7 X X X X 17 7 0 X X X X 18 6 5 X X X X 19 0 9 X X X X 20 10 0 X X X X 21 8 0 X X X X

Sub-total 81 99 3 5 13 7 10 4 11 10 11 10 Total 180 21 21 21 21

Percentage 45 55 14 24 62 34 48 18 52 48 52 48

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Community Development Committee (CDC) members. They were more ‘formal’ in

nature. Some of the participants of these groups comprised of CDC’s general members,

adolescent club members and participants of their adult literacy programmes. These

focus group discussions were organized in community centres across Korail negotiated

in advance or sometimes spontaneously after the project’s regular activities. The formal

group members helped to extend my network as well as generate confidence and

interest about the research.

Once I was familiar to the community, I could work with a number of ‘informal’

groups; in tea-stalls, in front of shops, and in courtyards. People showed their interest in

participating when I was interacting or arranging any activity in informal settings. I

made acquaintance with the rickshaw-drivers and the boatmen who took me to Korail

during my work; some of them helped to organize the informal focus group discussions.

However, I had to be cautious about the type of tool and technique to use in these

informal groups. I had to tailor my approach depending on the willingness of people to

give their time, and keep a balance between the people who came and went within the

activities (Moser & Stein 2011).

The number of participants varied from three to ten within different groups. The data

was generated from agreement, disagreement, asking questions and giving answers

which brought out attitudes, opinions, experiences and perspectives to ensure a

complete a picture of the participants’ thinking (Morgan 1997) rather than simply

relying on my assumptions about what was relevant. As a consequence, the findings

from the appraisal provided mixed data. Very few of these data can be ‘categorized’

under specific themes for quantification, but they were concentrated and rich, and

supported enough information to determine the criteria for choosing the case-study

households and to identify them.

4.4.2 Case study households

As discussed previously, I wanted to use a case-study method to gain in-depth

understanding of the vulnerabilities and adaptive strategies relevant to the built

environment and gender dynamics within a household and the community. The findings

from the initial appraisal suggested that the nature of households varies mostly based on

a) house ownership, b) household headship, c) house location, d) the tenancy period and

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e) the household earning types. I intended to study as many variations as possible within

the 26 case studies and purposefully choose to combine different variables for choosing

a household (Table 4.2).

Table 4.2: Details of case study households

Variables Ownership Household headship

Location Tenancy period (years)

Household earning type

CS no.

Name of respondent8

Hou

se

owne

r

Ren

ter

Mal

e

Fem

ale

Lak

e si

de

Inne

r la

nd

Les

s th

an 5

Mor

e th

an 5

Sel

f em

ploy

ed

Wag

e ea

rner

s

Mix

ed

1 Akashi X X X X X 2 Sultana X X X X X 3 Salam/ Iffat X X X X X 4 Rahima X X X X X 5 Sefali/ Jahed X X X X X 6 Arifa/ Aslam X X X X X 7 Shamsul X X X X X 8 Rohmot X X X X X 9 Rabeya X X X X X 10 Jasim X X X X X 11 Roksana X X X X X 12 Nahar X X X X X 13 Suraiya X X X X X 14 Nehar X X X X X 15 Ibrahim X X X X X 16 Amina X X X X X 17 Ahmed/ Runu X X X X X 18 Maruf/ Asif X X X X X 19 Rafia/ Momin X X X X X 20 Firoza X X X X X 21 Jahan X X X X X 22 Liaqot/ Ruma X X X X X 23 Nipa X X X X X 24 Kobori X X X X X 25 Rima X X X X X 26 Afroza/ Jehan X X X X X

Total 12 14 21 5 13 13 6 20 9 3 14 Percentage 46 54 81 19 50 50 23 77 34 12 54

8 For anonymity the real names of the respondents have been changed

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Figure 4.1: Location of case-study households in Korail

Source: Author, location identified using satellite image from Goggle Earth

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As discussed in the theoretical discussion of case study methods, I was aware of the

criticism of working with a limited number of cases. However, I tried to structure and

balance my choices or adopt law-like generalisations in the material or existing social

settings that provided the basis for both explanation and prediction.

The semi-structured questionnaire (see appendix 02 and 03) helped to gather some

general data about the household, while I used some of the participatory tools such as

mapping and a time line as well wherever possible. The use of tools depended on an

individual household’s characteristics and response during the data collection. Most

data were collected through taking a life history and discussing household activities.

Possibly the richest data were collected from visual documentation of the households.

Each household’s dwelling was measured and documented through sketches, and later

drawn to scale and photographed to capture the spaces and the activities. Some of the

households provided details of the construction techniques they had adopted and these

were also documented visually.

4.4.3 Doing the research ‘at home’

This research is based in Dhaka, the city where I grew up, received my education and

worked as professional for years. As a researcher my knowledge therefore was suppose

to be always partial, because my positionality- the perspective shaped by my unique mix

of race, class, gender, nationality and sexuality, as well as location in time and space

that influence how one views the world and interpret it (Mullings 1999). For me, this is

a research I did in a familiar environment and in this sense experienced most of the

advantages Unwin (2006) mentioned for doing development research ‘at home’.

With the knowledge of the society and culture in which I grew up, it was easier for me

to understand some of the dynamics that would have been harder if I were coming from

a different context. Working at the household and community levels in a fairly

conservative society requires being responsive of the culture and social norms. During

my case study interviews I had to be careful about time management: how to agree on

the time to meet, when was the best time to talk with the respondents, how long to

continue the interview. In many instances I had to go back couple of times especially for

the female respondents as they were busy with work and was unwilling to talk. Usually

I had to arrange individual interviews with the male respondents in the evenings or on

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Friday the weekend in Dhaka. I had to sit in the tea-stalls to do all-male focus group

discussions whereas the all-female groups were comfortable in the open courtyards near

their dwellings. Again, I had to keep in mind prayer time on Fridays and the popular TV

programme times. I was offered lunch or tea in these households even within their

limited abilities. I had to sit on the floor with the respondents or talk while they were

cooking. My boat journey to reach the area was with the regular commuters and helped

to establish some of my contacts, especially with the male respondents. I did not have to

spend extra time understanding the local context.

Working in my own language was an added advantage. I could converse with different

stakeholders, especially community members, in a comfortable language without

needing interpreters. I knew the local dialects and different terminology the community

uses to express vulnerability. For instance, some of the words in Bangla that express

‘vulnerability’ may be interpreted differently in English as ‘fear’ or helplessness’ or

‘destruction’. I was aware that my prior knowledge on these issues would have created

considerable pressure to adhere to conventional notions for rigorousness of research,

however I had to be careful about the appropriate expression while transcribing the

interviews and responses to avoid the pitfall of ‘putting words in their mouth’. In many

instances some of the respondents said they felt comfortable as I ‘knew their language’.

The quantitative community surveys and the some of the government public legislation

and policy documents are in Bangla. Knowing the local language worked in my favour.

Another advantage I enjoyed was being both an ‘insider’ and ‘outsider’. As a local

resident of the city, I am considered an ‘insider’ at the city level. My previous work

experience within the community helped gain the trust of the respondents who saw me

as working ‘with’ them. At the same time, as a researcher working in a university or

doing a PhD outside the country made me an ‘outsider’ to the community. Both of these

identities helped me to gain a better understanding in many instances. As a female

researcher I had easier access to households, I could interview household members even

in their kitchen or living rooms. Then again, as an ‘educated’, ‘established’ female

member in the ‘society’ discussing gender relations of the ‘poor’ households, I was

considered an ‘outsider’ in a positive manner. I received respect as well as open

opinions from both female and male members of the community. Some elderly residents

liked to see me as a student working to ‘pass an exam’ with the information they were

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providing; and they were happy to help me out.My change of positionality being

‘insider’/ ‘outsider’ helped to engender a level of trust and co-operation (Mullings

1999).

Besides defining my positionality through my gender, class, racial class and experiences

I had to establish my self-representation as well (ibid). My experience as an architect

helped me to understand the details and initiate discussion related to house constructions

and neighbourhood planning. Some of the ‘Mistri’s9 I interviewed to understand the

local construction process were at ease to discuss technical matters as well, since they

considered me as one of them.

The knowledge of local context and culture as well as being a member of the wider

community made it easier for me to undertake research of practical value. Unwin

(2006:106) argues that

research should have value over and beyond merely gaining of a qualifications or academic status… ..Research done ‘at home’ can often contribute more readily to the needs of others because the researcher will already be much more aware of what those needs actually are.

My acquaintance with the community over the years gave me advantages on a temporal

scale. Other than the designated time for my fieldwork I visited the community and

discussed my work with various professionals working in Dhaka. I believe I have the

opportunity to give back to the community by sharing my research findings, rather than

only taking information for my own advantage.

4.4.4 Challenges

Not all of my work and time in Korail were without challenges. This is a settlement that

has been under threat of eviction for the last three decades. Many vested interest groups

are involved in the area mostly because of the high land value and disputes of land

ownership. Naturally, building trust within the community was a major challenge as

people were sceptical how their information would be used. Even taking photographs in

crowded streets sometimes stimulated questions from a few curious souls. My identity

as a researcher helped me gain trust.

9 ‘Mistri’ is a Bangla term used to describe a person involved with construction works. They include people employed in various trades like masonry, carpentry, plumbing, roof construction etc.

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On every occasion I explained who I was and where I was from; the purpose of the

study; the basis on which the participants had been selected to take part; what

participation entailed (e.g. being interviewed, surveyed, photographed); the time and

effort needed by those whose collaboration was being sought; and the purpose for which

the data would be used. In addition, I followed the standard research practice of

providing them with a brief of my research work with all the details in Bangla in

addition to explaining verbally. I also used a Bangla consent form and maintained the

confidentiality of individuals in the data analysis.

Previously I worked with various community groups in Korail while working for a

donor-funded project and conducting research as a faculty of the BRAC University.

This time I went with my identity as an independent researcher. However, I used some

of my old networks to initiate the fieldwork; and worked closely with four community

leaders. My acquaintance with them often gave the impression that I was working in

‘their team’ for the project or the NGO they work for and raised expectation about

getting any benefits from the projects. In many instances I had to visit the respondents a

second time, preferably without those community leaders, to establish a more unbiased

communication.

The community leaders often suggested visiting community groups that they worked

with, or suggest households as a case study who were involved with their activities. I

had to be careful in choosing these households and even triangulate information about

the groups or households through informal discussions with other neighbours. This is

because some of these households experienced research fatigue being a member of the

NGO-driven activities, and tended to provide ‘answers’ following the questions rather

than discussing frankly which I was more interested in.

The qualitative and participatory data collection methods were challenging in many

instances. As mentioned earlier my fieldwork expanded over six months with three

seasonal variations. The residents of Korail have not experienced any severe flooding in

the last six years. It was observed that their immediate experience dominated their

spontaneous discussions. For instance, people were more interested to talk about how

winter affects their lives during the first week of January 2011, when the temperature

reached as low as eight degrees, which was very unusual for Dhaka. Whereas, the

respondents I interviewed in September hardly mentioned anything about the winter or

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drop in temperature. I had to be careful about interpretation, and used various

established techniques to reduce bias.

Again, most of the participants were either illiterate or had very limited literacy. They

were not comfortable to ‘write’, while some of the participatory tools required writing

even if it were just a few words. The data for spatial inquiry required the use of visual

tools like mapping, or drawings. Most community members were uncomfortable with

‘drawing’; some illiterate respondents preferred to ‘say’ things so that I could ‘write’. In

such instances, I wrote in Bangla as clearly and legibly as possible so that someone in

the group who knew how to read a little could follow me. However, I had to be very

careful not to offend their dignity.

4.5 Combining methodologies to generate knowledge

Adaptation to climate change is a developing field. In particular, the built environment

in informal settlements and adaptation are least-studied areas. The initial review of the

research question and research objectives suggested that following qualitative research

methods would be most appropriate to answer the research question. In addition,

adopting a post-positivist view within a research paradigm supported the rationale for

qualitative research design. However, it was difficult to follow any single analytical

framework or tools and techniques within qualitative research methods to address all the

variables of the research. Therefore this research benefits from several frameworks and

participatory tools and from combining them in a coherent manner.

To begin with the Participatory Climate Change Adaptation Appraisal (PCCAA) was

followed wherever possible for its strong relevance to this research. It provided a strong

methodological approach for gathering data and analyzing asset-vulnerabilities and the

adaptive strategies of households and the community from climate extremes. However,

given the scope of this research, it was necessary to investigate in depth the gender

dynamics of these vulnerabilities and adaptive strategies. Understanding the built

environment in informal settlements and relating it to the context of climate extremes

lack definite methodologies. Therefore, this research utilized the existing frameworks of

gender and built environment analysis applicable to informal settlements. In addition,

the case study and visual research methods supplemented the shortcomings of the

appraisal tools and techniques while allowing in-depth gender and spatial inquiries.

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The fieldwork was designed to be condensed and productive rather than lingering for

the sake of immersing. The clear objectives, comprehensive understanding of the

research tools and techniques, targeted and professional approach in data collection and

use of key informants; all these resulted in generating rich data in a significantly short

period of time. Doing the research ‘at home’ provided additional support; however I

used the advantages to enrich the quality of the data. I had to be alert and tenacious to

manage the time and resources while working as an independent researcher in the field.

The participants of the 21 discussion groups covering a study population of 182 came

from different backgrounds chosen on the basis of house-ownership, gender and

location in Korail. The data gathered from these groups using various participatory tools

and techniques generated knowledge around the first two objectives of the research.

The 26 case study households also represented a wide variety based on the five

variables of: ownership of house, household headship, location in Korail, tenancy period

and household earning type. At least one, in many cases two, of the household members

of these case study households were interviewed; the detailed physical conditions and

measurement of their dwellings and types of activity in different spaces were

documented with drawings and photographs. The findings generated knowledge on their

asset-vulnerabilities, the process, strategies and action taken to reduce risks in housing

and infrastructure as well as the gender dynamics of the process.

The research strategy, research approaches and techniques discussed in this chapter

guided the empirical work; the findings from the data are discussed in chapters six,

seven and eight. However, before going into the analysis in those chapters, the

following chapter five reviews some background literature on climate pattern,

institutional arrangements on urbanization and climate policies in Dhaka in order to

develop a comprehensive understanding of the context against which the findings from

the fieldwork are analyzed.

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Chapter 5. Linking city dynamics of Dhaka to local variants

There is an increasing emphasis on linking local variants for local adaptation to global

weather consequences (Janković & Hebbert 2012). In urban context three key factors:

exposure, sensitivity and adaptive capacity of cities significantly influence linkages

between local variants to national or global dynamics. The assessment of exposure

involves examining climate-induced stresses and climate-related extremes identified

through observed trends and projections derived from climate models and regional

downscaling, as well as considering the susceptibility of being exposed to the risks

(Mehrotra et al. 2011; WWF 2009). General characteristics of a city, for example

geographical location, the economy, size, population, gross domestic product, define the

sensitivity of the city. Adaptive capacities are assessed by the institutional attributes and

the actors through their degree of capability to respond to potential climate change

impacts as well as their willingness to implement the policies and strategies to adapt to

the changes (ibid).

Among these three factors the assessment of institutional attributes and actors is

especially significant because in any asset-based approach as it is recognized that

factors such as government policy, political institutions, and nongovernmental

organizations influence the process by which the assets held by individuals and

households are transformed into accumulated capital assets (Moser 2006). Institutional

arrangements such are the laws, norms and regulatory and legal frameworks either

block or provide access, or indeed positively facilitate asset accumulation, in a variety

of ways. In addition, the formal and informal context within which actors operate can

provide an enabling environment for asset accumulation (ibid).

Thus the aim of this chapter is to establish links between the conceptual and

methodological approaches with the context of the study area. In order to explore the

dynamics influencing the local variants in Korail, in the capital city of Bangladesh,

Dhaka I follow the three key factors in the city scale indicated above; and later describe

their outcomes at the community level. Hence, the exploration process investigates both

climate variables and urban development policies and programmes of the city in relation

to their impact on the urban poor.

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5.1 The climate variables contributing in increased exposure to climate stresses

The climate of Bangladesh is very much formed by temperature and rainfall patterns.

Although the national calendar divides the year into six seasons, the climate data record

three predominant seasons based on these two variables. They are: summer (March -

May), monsoon (June - October), and winter (November - February). Rainfall

variability in space and time is one of the most relevant characteristics that determine

any change in a country’s climate (Shahid 2009). According to climatic modellers

forecasting the world as warming, the monsoon rains in Bangladesh will increase and at

the same time winter precipitation will decrease (MoEF 2008). The combination of

these changes may cause more extreme floods and longer periods of drought. However

it is important to note that the monsoon rainfall depends on factors of temperature

change, moisture accumulation and wind flow from the Bay of Bengal during the pre-

monsoon season. Differentials in temperature significantly influence moisture

accumulation and wind flow; thus they become an important variable to determine any

changes. In the following section I review the general data on temperature and rainfall

pattern for Dhaka and Bangladesh from different research and national data sources to

illustrate the possible hazards.

5.1.1 Temperature variability

Bangladesh experienced increasing trends in annual and seasonal mean temperatures

(CCC 2008); while moderate temperature increased in the post-monsoon seasons with

strong warming (0.1 deg C to 0.3 deg C/ per decade) during the monsoon seasons

(Dankelman 2008b). The overall trend in the mean annual temperature recorded by 34

stations for the data periods of 1948-2007 and 1980-2007 showed an increase of +0.10

and +0.21 deg C per decade (equivalent to +1.03 and +2.14 deg C per century)

respectively (see Table 5.1). In addition, the data illustrate that the warming has been

more rapid in recent decades.

To determine the level of recent warming, Rabbani et al. (2011:534) analysed some

general temperature data and found that the average temperature from March to

November has sharply increased during the last five years, at a rate of 0.11 deg C,

denoting a higher rate that is statistically significant. Moreover looking at the seasonal

time scales, the warming has strengthened in both summer and monsoon seasons over

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last three decades or so. The authors describe that the summer average temperature for

the month of May is higher than April representing very hot pre-monsoon month (ibid).

Islam & Neelim's (2010) work from 31 stations is also consistent with these findings of

increasing summer temperatures.

Table 5.1: Trend in all-Bangladesh mean temperatures (deg C per century)

Season data period of 1948-2007 1980-2007

Summer (Mar-May) +0.26 +2.15 Monsoon (Jun-Oct) +1.05 +2.44 Winter (Nov-Feb) +1.67 +1.33 Annual (Jan-Dec) +1.03 +2.14 Source: (CCC 2008)

Conversely, data on maximum and minimum winter temperatures in Dhaka between

1953 and 2007 revealed a decreasing trend of mean temperature (CCC 2008; Islam &

Neelim 2010). Furthermore, the data showed big fluctuations in minimum temperatures

both in December and January, compared to the base year temperature. At the same

time there was an overall increase in the maximum temperature, which is rather at odds

with the big leap. Nevertheless, the average temperature stayed static (ibid). The data

recorded year 1988 to be the warmest and 2003 as the coolest year with 1.89 negative

derivations from the climate line of 25.74 degrees. The average minimum winter

temperature increased from the climate line of 13.21 degrees during the same period

(ibid). The findings indicate an increasing pattern of shorter but cooler winters.

In general, the differentials in temperature during summer and winter are becoming of

major concern for Dhaka for their various direct and indirect impacts. Increased heat

with the present trend of urbanization creates heat islands with differential temperature

within the city. Events like the heat wave of April 2009 and the cold wave of December

2009 have health implications, and consequently impact on the productivity of the city-

dwellers (Rabbani et al. 2011:535). Both of these events affected the urban poor most

who worked as day-labourers. The combined burden of costly health treatment in the

city area and the loss of productivity due to illnesses pushed these poorer groups into

greater poverty and vulnerability (ibid). Similarly acute but short-stay winters have

implications for the built environment. The dwellings of most urban poor households

rarely have any insulation for resisting cold. Consequently, both the outdoor and indoor

environment becomes equally vulnerable during winters for urban poor households.

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5.1.2 Rainfall pattern

Unlike the agreed pattern of change in the temperature, the findings on rainfall

variability from different sources differ in recognizing the pattern of change and future

predictions. The data sources record rainfall in four different periods according to the

three seasons and a fourth period - a month between the summer and the monsoon

illustrating the transition to monsoon termed as the ‘critical period’. The Climate

Change Cell of the government reported that data gathered from eight stations on

seasonal rainfalls between 1960 and 2001 showed increasing trends except during

monsoon (see Table 5.2) (CCC 2008). Moreover, the analysis of the monthly and 10-

day data shows the monsoon may have weakened in the earlier months (June-July) of

the season, while strengthened during the later months (September) (ibid). These

findings imply a deviation of recent rainfall pattern from the expected seasonal pattern

of the country.

Table 5.2: Rainfall pattern in different seasons in Dhaka and Bangladesh

Source: Complied from CCC 2008

Islam & Neelim (2010) criticized the Climate Change Cell’s findings saying they had

limited focus on a retrospective kind of analysis to capture the real (not prediction-

based), subtle nature of climatic variables. In addition, CCC (2008) gave an overall

changing trend applicable to all regions of the country, which may not provide local

level insights, useful for relating to the changes of different sectors. For example Table

5.3 shows a stark variation between Dhaka and overall Bangladesh data in the linear

Mean and standard deviation of the rainfalls for the season/ periods of

Location 1960-1980 1981-2001 Difference Overall trend in Dhaka

Mean (mm)

Std. Deviation

(mm)

Mean (mm)

Std. Deviation

(mm)

Change in Mean

Summer (March –May)

Dhaka 478.6 177.8 529.3 189.7 11% Moderate Increase

Bangladesh 427.5 178.0 544.0 218.7 27%

Critical period (11 March- 10 May)

Dhaka 244.9 127.2 298.7 149.2 22% Increase

Bangladesh 238.1 130.8 312.9 162.7 31%

Monsoon (June - October)

Dhaka 1526 168 1464 336 -4% Decrease

Bangladesh 1748 342 1751 407 0%

Winter (November–February)

Dhaka 48.2 38.4 79.6 51.9 65% Significant Increase

Bangladesh 60.3 62.7 80.4 60.3 33%

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trends in rainfalls per decade (10 years) at different seasons for the entire time series

(1960-2001).

Table 5.3: Trends in linear trends in rainfalls per decade in Dhaka and Bangladesh

Source: Complied from CCC 2008

To avoid such errors, Shahid (2009) recorded data from 24 stations instead of the eight

stations Climate Change Cell used. He worked on the spatio-temporal variability of

rainfall over Bangladesh during the time period of 1969 to 2003. The trend analysis for

the country from his work showed a significant increase of average annual rainfall at a

rate of 5.52 mm/year over the time period 1958 to 2007. Furthermore, annual mean

rainfall, monsoon and pre-monsoon rainfall showed an increase in the north as well as

south-south eastern coastal zones of Bangladesh; while a decrease in the central part of

the country (ibid). He argued that Dhaka, being located in the central part, experienced a

significant negative change in the annual rainfall trend (-7.01), in monsoon rainfall trend

(-8.89) and in pre-monsoon rainfall trend (-1.51) (ibid). Moreover, the spatial

distribution of winter rainfall showed that change is negligible in most parts of the

country including Dhaka (0.19) (ibid)

Another similar study revealed that, with the increase of rainfall in the country, the

intensity of the wet months has also increased (Shahid 2010). A significant increase of

pre-monsoon rainfall by 2.47 mm/year is noted in the study. This is attributed to the

thunderstorms that are the sources of pre-monsoon rainfall for Bangladesh. Again, the

activity of the thunderstorms during pre-monsoon seasons depends on the supply of

moist air from the Bay of Bengal. The reason for increased pre-monsoon rainfall is

arguably related to increased sea surface temperature (Mandke & Bhide 2003 cited in

Shahid 2009). In recent years, the increase of sea surface temperatures has altered the

wind patterns leading to an accumulation of moisture in the northern region near the

foothills of the Himalayas that causes increased pre-monsoon rainfall. Again, increased

sea surface temperature is argued to be an impact of global warming.

Season Amount of rainfall (mm/decade) Dhaka Bangladesh

Summer (March- May) 27.90 37.77 Critical Period (11 March- 10 May) 15.75 18.20 Monsoon (June- October) -26.90 -10.41 Winter (November-February) 13.24 9.33

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In the Fourth Assessment Report of IPCC, Parry et al. (2007) projected that the impact

of global climate change in south Asia where Bangladesh is located will cause an

increase in monsoon rainfall and decrease in winter rainfall. As evident from the

preceding findings, some of the rainfall patterns in different seasons are consistent with

the IPCC’s predictions, however, some are not. Shahid (2010) argued that, by analyzing

the available data it is not possible to ascertain a conclusion on the climate change

impacts on rainfall in Bangladesh; nevertheless, he suggested that the results may be a

first indication of the precipitation response to global warming.

Of all the data sources reviewed in this study only Islam & Neelim (2010) combined

both temperature and rainfall variables to provide a comprehensive understanding of the

climate change in Bangladesh. Their work indicates the presence of two opposing

characteristics in the climate of the country. The data conform to the general opinion

that on the one hand, climatic conditions in Bangladesh follow a regular cyclic fashion

round the year determining seasons; while it also shows anomalies and variations in

their behaviour. Furthermore, the authors expressed that ‘uncertainties and extreme

events are the natural parts of the climatic systems of the country where seasons are

characteristically distinct’. These uncertainties are expressed in terms of heavy rainfall

in some years and relative drought in other years. But ‘these irregular events occur in a

regular and rhythmic fashion in some cases sometimes does not follow any pattern’

when placed in the temporal scales (ibid: 72).

Therefore, it may be concluded that some data explicitly indicate the recent changing

pattern in temperatures and rainfall patterns in the city, for example, the differentials of

both summer and winter temperatures. The rainfall data illustrate the uncertainty and

associated possibility of severe conditions and extreme events as the rainfall patterns are

influenced by the temperature variability. The combined effect of temperatures and

rainfall variability determine the overall seasonal cycle of the city. In addition, the

findings indicate the limitations of comprehensive local data for all the climate variables

- temperature, rainfall, wind flow and moisture - for predicting the local variants for

Dhaka city.

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5.2 Sensitivity of Dhaka to climate hazards

Dhaka is vulnerable to natural hazards for its topography and location, as discussed in

chapter one. The city experiences both fluvial and pluvial flooding from the surrounding

rivers and other water-bodies along with intense rainfall, coupled with insufficient

drainage facilities to cope with the rainfall. Climate vulnerabilities, resulting from the

location of Dhaka and the exponential population growth rate, have been increased

through the urbanization process. For the centralized administrative and institutional

arrangements the capital city grew by demand without any effective urban development

plans. The growth followed major routes of transportation for economic reasons as well

as the natural choices of available flood-free lands.

The high demand for land for development has resulted in high land prices, high density

development and land speculation. On the other hand, due to socio-political factors and

institutional arrangements, more than 70 per cent of the people living in the city do not

own any land; among those who own, 10 per cent own more than 60 per cent of the

city’s private land (Islam 1999:43). The limitation of flood-free lands around the city

combined with high demand for housing has encouraged the real-estate developers to

encroach into natural depressions and waterways beyond the jurisdiction of the city

authorities.

This disparity and the unequal development and management of utility services, and improper management of natural resources and natural hazards (for instance floods, excessive rainfall) have degraded the overall environment of the city (Alam & Rabbani 2007:82).

As a consequence of these dynamics, the urban poor of Dhaka who can not afford to

secure housing or land in the city are left with no other choice but to live in the most

vulnerable areas. A study showed that over 30 per cent of the population of Dhaka City

Corporation lived in 3000 informal settlements with as high a density as 2000 persons

per acre (Islam 1999:43). The ‘mapping of slums’ in Dhaka identified greater

concentration of informal settlements on the eastern and western fringes along the rivers

and embankments (CUS 2006) compared to sparse development in the flood-free

central areas. Although these fringe areas are highly vulnerable to flooding and other

natural hazards, nevertheless, the urban poor prefer to live there and benefit from

affordable housing and reduced threat of eviction.

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The sensitivity of the city as well as the urban poor of Dhaka is influenced by

institutional arrangements. Rosenzweig et al. (2011:5) suggest that the central challenge

for a city is not only to establish the links between climate change and adaptation and

disaster risk reduction, but rather to harmonize these issues with climate change policies

as the policies themselves can aggravate vulnerability. Again, the implementation of

policies is influenced by different actors’ capability and willingness to respond to

potential climate change impacts. In the following section on the institutional dimension

of climate change and urban development in Dhaka both the policies and actors’-their

potentials to respond to the climate risks are examined.

5.3 Institutional arrangements influencing adaptive capacity

Dhaka does not have any city level planning for adaptation to climate change; the

national adaptation plan and strategies serve as the only guidelines for future

development. In addition, urban development policies and planning principally

considered general environmental concerns, and did not shed light on the growing

climate hazards or vulnerabilities of the urban poor. Reviews in the following two

sections elaborate these arguments further.

5.3.1 National level climate policies and strategies

The Government of Bangladesh has been working on adaptation planning with different

international organizations and agencies for years. From the launch of the National

Adaptation Programme of Action (NAPA) in 2005 to the Bangladesh Climate Change

Strategy and Action Plan (BCCSAP) in 2008, there was an increasing importance on

building capacity and resilience of the country to meet the challenges of climate change.

The National Adaptation Programme of Action (NAPA) was prepared as a response to

the decisions made in the Conference of Parties (CoP) 7 of the United Nations

Framework Convention on Climate Change (UNFCCC). Bangladesh was an early

leader in the ‘state-sponsored adaptation planning’ (Pelling 2010). The goal was to

determine a set of actions, complementary to the national goals and objectives of other

multilateral environmental agreements, to which Bangladesh is one of the signatories.

The government perceived the new urgency to address climate change, and hence,

suggested to incorporate climate change policy - particularly adaptation - as ‘a part and

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parcel of the development policies of the country’ (MoEF 2005). The Department for

International Development (DFID) from the UK provided assistance in proposing

several technical programmes for adaptation, supported by a layer of social policy

(Pelling 2010:167).

The document drew upon available knowledge sources to analyze the context of the

problems, identify the key environmental stresses, frameworks for an adaptation

programme, adaptation needs, and finally listed 15 priority projects. They followed the

‘NAPA Guidelines’ suggested by UNFCCC to determine the priority of the projects;

therefore, ‘poverty reduction and security of livelihoods with a gender perspective’ was

ranked as ‘the most important set of criteria for prioritization of adaptation needs and

activities’ (MoEF 2005). Reviewing this document raises one major concern: urban

issues received very little attention (see appendix 04). Out of the 15 projects only one

was directed to the needs of urban areas, the last in the list of technical programmes.

The project suggested “enhancing the resilience of urban infrastructure and industries to

impacts of climate change including floods and cyclone” (ibid).

Although the project identified some components of urbanization necessary to address

climate vulnerabilities (e.g. a building code, or waste management) the failure to

identify implementing agencies that would carry out such projects revealed a failure to

comprehend the problems of the urban context. Department of Environment (DoE) was

given the responsibility to act as the primary implementing agency to work with the

ministry of industries, the Housing Building Development Corporation, business

organizations and various city development authorities. Most of these organizations and

agencies have very little concern or control over the urbanization process. The urban

development planning in Bangladesh is complex and incorporates various over-laying

institutions (e.g. City Corporation, City/ Town Development Authorities, Service

providing authorities). For that reason, adaptation planning in urban areas needed more

appropriate projects and activities directed by clear policies to address the complexity.

Additionally, there was no mention of how to address the vulnerabilities of the urban

poor.

As a consequence, despite an active role played by the government for formulating an

action-oriented plan, NAPA did not address the needs of the urban population. The

over-dependency on the guidelines from international policies and programmes, and the

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under-representation of local knowledge and hazards has resulted in the limited

reflection of the national and local priorities and interests.

Following the developments of NAPA, the Bangladesh Climate Change Strategy and

Action Plan (BCCSAP) was prepared in September, 2008. Again it was a response to

decisions of CoP13 held in December, 2007, based on the four building blocks of the

Bali Action Plan: adaptation to climate change, mitigation, technology transfer as well

as adequate and timely flow of funds for investment within a framework of food,

energy, water and livelihoods security. BCCSAP continued to follow the previous view

of NAPA that ‘development is the most effective way to reduce poverty and build

resilience to climate change’ (MoEF 2008). It was designed as a ‘living document’

taking into consideration the uncertainty associated with climate change. The document

anticipated periodical revisions as required based on experience and knowledge gained

in implementing adaptation and related research programmes (ibid).

The policy document, noting the increasing urban population growth rate, recognized

that rapid and unplanned urbanisation is going to become an even more urgent and

pressing problem for adaptation of the cities (MoEF 2008:15). Despite this recognition,

the BCCSAP remained rural focused; of the 37 programmes only two explicitly address

urban context (see appendix 04). They are: improvement of urban drainage under

infrastructure and management of urban waste under mitigation, and a low-carbon

development programme.

To justify the improvement of drainage, the plan recognized that the current storm

drainage systems of the major cities were designed using historical rainfall data. They

are unlikely to cope with the increased number of episodes of short duration and heavy

rainfall. In addition, the sewer systems are inadequate to prevent water logging for cities

like Dhaka. The programme suggested assessing the drainage capacity; investigating

structural and non-structural causes of water logging within the cities and their

immediate surroundings using hydro-dynamic models; and designing and investing in

improvements in the drainage capacity. Similarly, the objective of waste management

was to ensure liveable cities while lowering GHG (methane) emissions. The activities

included designing urban waste dumps to capture methane in all major urban areas; and

use community development management mechanism to set up small power plants by

capturing the methane produced by waste dumps.

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Thus, the rural biasness continued in the BCCSAP from NAPA and over-shadowed the

significance of future urban challenges; nevertheless, it created some possible future

opportunities (see appendix 04). Since it is a ‘living document’ there may be options to

incorporate urban issues and incorporate food security, social protection and health, and

infrastructure in urban areas other than only drainage and waste management. Similarly,

enhancing institutional capacity can create a possibility for better urban management.

Again, urban management in Dhaka can be challenging, for complexities are inherent in

the city’s urban development planning and policies. The following section explores

some of those urban development policies and planning initiatives of Dhaka to assess

their implications and possible contributions for adaptation in the built environment by

urban poor households.

5.3.2 Urban development planning and policies for Dhaka

Reviewing urban development planning and policies for Dhaka, three policy initiatives

seemed relevant to understand the limitations and opportunities of policy level

initiatives for adaptation by the urban poor. These are - the National Housing Policy, the

Dhaka Metropolitan Development Plan - a location approach of urban planning for the

city, and the Bangladesh National Building Code - a design approach for guiding urban

development. Again, the reasons for choosing these three examples lay in the fact that,

the Dhaka Metropolitan Development Plan is the only urban planning initiative for

Dhaka, while the National Housing Policy and the Bangladesh National Building Code

are the only two policy documents that spelled out guidelines for developing the built

environment for the urban poor.

The National Housing Policy

The National Housing Policy was formulated in 1993 (revised in 1999), with particular

reference to the urban areas of Bangladesh. The policy aimed to prepare measures,

incentives, motivation, planning and management programmes to make housing

accessible to all citizens including the urban poor. Government as a facilitator or enabler

aimed at working towards increasing access to land, infrastructure, services and credit;

while ensuring availability of building materials at a reasonable price, especially for

low-income households. Yet there are discrepancies with how the policy perceived

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these households’ ability and means to access housing that contributed to ineffective

implementation of the policy.

It is estimated that 70 per cent of the physical development (i.e. housing and land

development) in Dhaka is mediated by the private sector with little control by the

government (World Bank 2007). Government’s facilitating role suggested that the

private sector should take a more active role in providing finance and credits for

housing. In reality, land and housing developed by the private sector remained beyond

the reach of urban poor households. Residential land values in prime locations of the

city ranged between USD 30 and 60 (BDT 2,058 to 4,11610) per square foot in 2007;

“lower cost” housing developed by the real-estate developers were sold for

approximately USD 17,000 (BDT 1 million) (ibid); whereas, a majority of the urban

poor households in 2009 earned between approximately USD 30-60 (BDT 2,000-4,000)

per month (UPPRP 2010). Clearly, the low-income households cannot access housing

or land in Dhaka through the market.

Again, the policy affirms to formulate ‘effective strategies to reduce the growth of

slums, unauthorized construction, encroachments and shanty dwellings’. It discourages

encroachments on public land, and therefore clearly indicates the government’s

intolerance towards squatting. However, there are no definite strategies for making land

available to the poor or accessing credits from the public sector to buy land or housing.

In addition, large-scale evictions took place in the past, even with government

interventions, without any relocation plans, creating greater insecurity (World Bank

2007). Rahman (2001) wrote although housing policy reiterates protection against

forced eviction, it fails to give legislative protection to the urban poor.

The third kind of challenge of the housing policy is associated with the institutional

arrangements between different development actors of the city. The roles of Dhaka City

Corporation, the Planning Authority RAJUK11, and line ministries are not clear. To

make things worse, these different actors have very limited coordination as well as

limited institutional capacity managing and implementing their own deliverables. One

example of institutional setback can be illustrated by the difficulties in making unused

10 1 USD = BDT 68.60 on 12/18/2007 available from http://www.exchange-rates.org/Rate/USD/BDT/12-18-2007. The conversion rate varied between BDT 70 - 80 over the next two years. 11 RAJUK or Rajdhani Unnoyon Kotripokkho is the city development authority of Dhaka

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land within the city available for housing (McAuslan 2003). Although the national

housing policy recommended forming a National Housing Council and a National

Housing Authority in order to implement the suggested objectives and programmes;

nevertheless, the enabling framework remained unimplemented without an enabler.

Dhaka Metropolitan Development Plan (DMDP 1995 - 2015)

The Dhaka Metropolitan Development Plan (DMDP) had the objective of preparing

‘integrated development plans and priority sectoral plans’ for Dhaka; as well as

installing sustainable capabilities in RAJUK, as the key authority for preparation and

implementation of metropolitan plans; and upgrading its capacities and related training

research and advisory institutions. The planning issues of DMDP covered three

geographical levels: sub-regional, urban and sub-urban. It comprised three components:

a structure plan; an urban area plan; and detailed area plans12.

Despite detailed land-use planning, the DMDP did not play any effective role in

directing urbanization in Dhaka. This is because little attention was paid to the other

components of the objective, i.e. building institutional capacity of the city development

authorities to cope with rapid urban growth and implement the land-use plan. As a

consequence, although the structure plan was formulated in the early 90’s, it took

almost two decades to prepare detailed area plans in 2010. In the meantime, private

land-owners and real-estate developers took over and filled up the vulnerable lands that

12 A Structure Plan: a long-term strategy for 20 years (up to 2015) for the development of greater Dhaka sub-region of 590 square miles. It consists of a written report and policy documentations identifying the ‘order-of-magnitudes and direction of anticipated growth and defines a broad set of policies considered necessary to achieve that overall plan objectives’. The anticipated main functions included: interpreting national policies; preparing aims and policy to guide long-term growth and development; bring main planning issues to the attention of all concerned stakeholders; provide frameworks for local plans; and guidance for development management (DMDP 1997). An Urban Area Plan (UAP): an interim mid-term strategy for the 10 years from 1995 - 2005 covering the development of urban areas within RAJUK’s administrative zone. It was aimed at playing different roles in different ways. For example, as an interim development management document, it represented the legal basis for existing and future development to realise land uses in a specific location and the rules to apply to define specific activity. It was intended to act as a priority plan for national development plans but was gradually superseded by the various Detailed Area Plans (ibid). Detailed Area Plans (DAP): detailed planning proposals for specific sub-areas of Dhaka. Although the initial plans aimed at covering some priority areas the main objective was to prepare DAP for all sub-areas. The purpose was to provide basic urban design of good quality; provide a programme for public sector action to implement the plan; provide controls for private sector development; provide land re-adjustment pilot schemes for unplanned density growth areas; and provide clarity and security with regard to future development for inhabitants and investors (ibid).

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had been marked to be to left open for environmental protection of the city. The detailed

area plans are still awaiting legal authorization and are not expected to be resolved soon

because there is no political will, nor pressure from the real-estate developers. Taking a

location approach has proven to be ineffective for the fast-growing city of Dhaka.

Furthermore, with the uncontrolled developments in the hazard-prone areas, it is

unlikely that DMDP will be able to cope with future climate risks.

Bangladesh National Building Code (BNBC)

Bangladesh National Building Code (BNBC) as a regulatory framework classifies every

building according to its use or character of occupancy, and recognizes Minimum

Standard Housing as a separate type (Housing and Building Research Institute 1993)

(see appendix 05). It is based on the assumption that government bodies or public

agencies may designate an area in the master plan for the development of mass-housing

projects for low-income households. Additionally, only government bodies or public

agencies will be responsible for planning development in a master plan including the

layout of units within the settlements. The guidelines for layout planning are applicable

to government bodies and responsible public agencies; while the design and

construction requirements of the dwelling units are applicable to any agency, institution

or individual undertaking such construction. However, the BNBC recognized that, it

may not be convenient or practicable for the dwelling units in such projects to fully

comply with all the requirements of the code.

According to the code, different kinds of development can take place, including single

unit plots of row type housing; multi-storied flats of row type housing; block

development as groups or cluster housing; and site and services schemes. The planned

layout of the development needs to accommodate open spaces, schools, a shopping

centre, a clinic, places of worship, and services etc. The minimum standard for a

housing development is for a maximum density of 175 units in a hectare (175 units in

2.5 acres approx) with an average occupancy of five persons in a dwelling. The

minimum plot size should be 30 sq. meter (323 sq.ft), but can be reduced to 25 sq. meter

(270 sq.ft) in dense metropolitan areas of more than 1.5 million population.

Some of these BNBC guidelines raise concern over applicability in the present context

of Dhaka. The code gives authority only to government bodies and public agencies to

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decide on the layout, discouraging involvement of the private sector; which is

completely at odds with the suggestions made in the national housing policy. Similarly,

the minimum density or space standards suggested may be ideal for new developments;

nevertheless, they may not be achievable in an existing development or acceptable to a

community. In addition, there are no options of incremental development in the code to

improve a living environment, while residing in a self-built construction. Pieterse

(2008) argues that incremental change is the only way of intervening in conditions of

profound complexity and entrenched power dynamics. In addition, the code does not

mention the variations in different geographical locations, assuming a general view of

building in high, developed and flood-free land. In reality, development is moving

towards the peripheral or low-lying lands of Dhaka and building on different hazard-

prone areas will have to be considered. Unless modified, the BNBC will be seen as an

immense failure for its inadequacy in adapting for future risks.

5.3.3 Involvement of professionals in planning and policy making

The discussions on the built environment and climate vulnerability in chapter two

highlighted the significance of planners’ and designers’ involvement in creating

opportunities for fostering sustainable development. Also one of the factors that often

influence the institutional arrangements around planning and policy making is the

involvement of other development professionals, how they envision and implement the

plans and policies. A profession is usually understood as ‘an occupational group, which

has achieved a position of control over the content and application of a body of

expertise and skills’ developed through the increased scale of organisation and

specialisation of activities (Healey 1985). The development of expertise of a

professional take the path of constructing realities in pursue of seeking order and make

sense of their experience, and to make it manageable in their own alien analytical terms,

seeking and selecting the universal in the diverse, the simple in the complex, the

measurable in the immeasurable, the static in the dynamic (Chambers 1997).

Assessing the contributions of built environment professionals in urban development

and planning in Bangladesh indicate limitations that often are influenced by their

education and training on constructing realities in pursue of seeking order and make

sense of their experience. For example urban development planning education in the

country is blamed for creating elite professionals who are unaware of ground realities

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and are less affordable by wider group of people especially the urban poor. At present

14, including four public universities in Bangladesh, offer degrees in Architecture but

very few have courses that aim at developing capacities of the professionals who can

work with the urban poor households. A public university along with 3 private

institutions offer graduate level courses in development studies. In their course content

the urban development issues are limited to a single course or none. The professionals,

thus, have limited capacity to work with the urban poor in planning housing and

infrastructure.

Similarly, Satterthwaite (2001) argued that in the development practice the discourse

about urban development (and within this discourse about reducing poverty) is

dominated by professionals- the staff of NGOs, government departments and

international agencies. Perhaps the single most important factor in the limited success or

scope of many housing and urban projects supported by governments and international

agencies over the last 40 years in Bangladesh is the lack of influence by the urban poor

groups in conception, location, design, resource mobilization, financing,

implementation and management, and evaluation of the projects. Also there is a

tremendous personal challenge for all professionals working in these agencies as it

challenges the way they work- that is, to learn to support the representative

organizations formed by the urban poor. The training hardly teaches the professionals

how to listen rather talk and ask the questions like 'Who is participating in whose

programmes and projects?' and whether 'are we asking people to participate in "our"

projects or are we participating in "their" projects? (Rahman 2002; personal

communication in 2004 with Mike Slingsby, an urban development practioner)

5.4 Linking conceptual framework, and research methods with the context

I began this chapter with an intention to establish the links between conceptual

frameworks and methodological approaches discussed in the preceding chapters within

the context of the study area of this research. Also recognizing that the process by which

the assets held by individuals and households are transformed into accumulated capital

assets does not take place in a vacuum (Moser 2006:13) it was necessary to assess

institutional arrangements around both climate and urban development policies that

contribute both to vulnerability and adaptive capacity of urban poor households.

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Discussion on the exposure to climate-related stresses show that significant changes are

visible in the differentials in temperature in Dhaka, especially represented by

incrementally developing increased heat. However, the predominance of rural-biasness

in the national adaptation plans over-emphasizes a disaster-management approach to

address impacts of flooding and rainfall. In this context, high density developments,

using high-heat-absorbing materials, without proper ventilation facilities and open

spaces for greenery, create challenging living conditions in the informal settlements for

the urban poor. Therefore exploring the conditions in these informal settlements can

serve the first objective of this research, to examine the extent and nature of

vulnerabilities arising from climate impacts.

The antagonistic institutional arrangements around urban development for the urban

poor in Dhaka exclude them from the formal system of accessing the built environment

(housing and infrastructure). Similarly, the standards suggested by the development

authorities raise concern about their appropriateness for the informal housing. In such a

policy environment the urban poor in Dhaka are becoming more marginalized in

accessing housing and infrastructure ‘legally’ with acceptable ‘standards’. As a

consequence, more people are constructing their own built environment and residing in

informal settlements outside formal institutional arrangements. Hence, examination of

the context supports the rationale for the second objective of this research: to explore

the existing processes, strategies and actions taken to reduce vulnerabilities in the built

environment to predict future approaches.

With these understanding of policy and institutional contexts the following three

chapters will describe the findings of the explorations following the three objectives of

the research.

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Chapter 6. Climate hazards, vulnerability and their impacts on assets

The challenges for vulnerability research are to develop robust and credible measures, to incorporate diverse methods that include perceptions of risk and vulnerability, and to incorporate governance research on the mechanisms that mediate vulnerability and promote adaptive action and resilience (Adger 2006:268).

One of the primary objectives of this research is to explore the vulnerabilities of urban

poor households from the risks of climate extremes and their impacts on assets. As

introduced in chapter one, the geographical focus of this research is in Dhaka;

accordingly, I gathered primary data from one community of the city, in Korail. I used

different methods (described in chapter four) but mostly followed the PCCAA wherever

possible to assess the extent and the nature of the community’s asset-vulnerabilities.

The discussion begins by organizing the findings on climate risks through compiling a

community profile of Korail using data gathered from different sources. Later, I analyze

the community’s experiences and perceptions regarding the risks associated with

climate extremes gathered from the primary data of this research. The conclusion

examines the risks and impacts on various types of asset.

6.1 Community profile of Korail

Korail, popularly known as ‘Korail-bosti’, is a squatter settlement located in the central

area of Dhaka (Figure 1.1). Three government agencies own 170 acres of sparsely-

developed land, in which Korail is located on 90 acres owned by two different agencies.

Two-thirds of the settlement’s periphery is bordered by the man-made Gulshan lake.

The lake was planned while developing the surrounding high-income residential areas

to manage water run-off and to improve the general living environment. Although the

lake was previously connected to the city’s surrounding major water-bodies, subsequent

unplanned development has resulted in the links being disconnected and the reservoir

becoming a stagnant and extremely polluted body of water. The ‘lake’ now stands as a

potential source of flooding for surrounding areas.

At the city scale, Korail and the surrounding land is considered to be the largest segment

of ‘undeveloped’ area located near high-income residential and commercial

developments. As seen from the satellite image in Figure 6.1, there are very few areas

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left for new development in this fast-growing mega-city. In addition, the price of land in

the surrounding areas is among the highest in the city and in the country. A study shows

that the price of land between the years 2000 to 2010 in the surrounding areas increased

exponentially - 650 per cent in Banani, 1036 per cent in Gulshan and 567 per cent in

Mohakhali (REHAB 2012:65). Hence, the location of a squatter settlement adjoining

these high-priced land areas, which is considered to be ‘illegal’ by the planning

authorities, raises interest among many diverse groups. There are now disputes over

land-ownership between government agencies and former private owners, while many

organizations want to ‘develop’ the land for their own benefit. Thus, threats of eviction

in Korail are influenced by the wider political economy of development.

Despite the threats, Korail has attracted many urban poor households into constructing

and renting houses. Since it is located very close to high-income residential areas, many

service-oriented employment opportunities are available for these households - for

example working as a household help, rickshaw-drivers or street vendors. On the other

hand, the area is well connected to Mohakhali commercial area that accommodated the

fast-growing ready-made garment industries during the 1990s. These industries

flourished based on cheap labour and employing mostly women and young girls.

(According to the Bangladesh Garment Manufacturers and Exporters Association, 80

per cent of their workers are female). Korail became popular for female garment

workers who preferred to live near their work place, but could not afford better housing

within their limited wages. The availability of livelihood opportunities for both men and

women encouraged households to live in a vulnerable location.

In many instances Korail has been portrayed as a ‘crime-zone’ for the social stigma

attached to ‘slums’ and squatter settlements. Residents of the area are prone to police

harassment during any political unrest. In addition, the demand for services by the

community, for example, electricity and water supply, is perceived as ‘illegal’ by the

surrounding high- income households, and most service-providing authorities, who

often blame Korail residents for adding pressure on the scarce services, while the users

‘do not pay for’ them. In reality, most of the residents of Korail are hard-working

households trying to make a living in the city, while paying much more than their

better-off neighbours for limited services.

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Figure 6.1: Linkage of Korail with different parts of the city

Source: Author, drawing imposed on satellite image from Google earth

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Korail was developed as an informal settlement by settlers over the last 30 years. No

formal records are available to trace the development except for few development

reports and research outputs that depended on informants and stakeholders of the area

(DSK 2011; Hossain 2012). This research used focus group discussions with

community leaders to collect data on the development of the settlement using a time line

that was later discussed with other community members to triangulate and enrich the

findings. Figure 6.2 shows the chronological development of the area and Figure 4.1

shows the division between different neighbourhoods in the area and location of the key

community facilities.

The timeline of Korail almost replicate a development scenario noticeable in many

informal settlements in cities of the global South. The trend shows households heavily

invest in housing capital when they first arrive at the settlement; as basic housing needs

Figure 6.2: Time line depicting the development of Korail

Source: Participants, FGD group no. 06

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are met, households decide to accumulate other types of capital, both for production and

consumption purposes; as a result housing capital accumulation are levelled off and are

replaced by the accumulation of consumption capital; and across the time education and

financial capital increase steadily (Moser 2006:10). During the development process,

community social capital remains an influential asset for development. However the

development of Korail illustrates that natural disaster causes major depletion of capital

assets.

6.1.1 House-ownership pattern

As discussed earlier, the residents of Korail do not own the land they live in; the house-

ownership pattern reflects several dynamics in the area. The household survey for the

UPPRP identified 18,634 households and gathered data among others on the

distribution of those households by ownership of the dwelling units and length of

residency shown in Table 6.1 and 6.2. Only a small portion (17 per cent) of the

households owns the dwelling units they live in. Around three-quarters of the

households are renters, making them significant stakeholders in the area. Although

renting is argued to be a survival mechanism for urban poor households as a source of

additional income; nevertheless, the rental market depends on decisions to access

suitable and affordable places to live where they work and decide whether to settle or to

move if they do not aspire to be owners (Stein & Vance 2008:15). In that respect, the

location advantages of Korail created higher housing demands by the renters that

encouraged the house-owners to improve the built environment. Hence, the house-

owners become the most active stakeholder for long-term development.

The data on residency duration from household survey of UPPRP (Table 6.2) shows

that 80 per cent of the households lived in this settlement for more than two years. Also

23 per cent of the residents have been living in the area for more than ten years while 42

per cent of the residents started to live in Korail after the year 2001. Relating these data

with FGD findings on the time line for development of the area implies that most

residents may have moved to this settlement following the devastating countrywide

floods of 1998. The differences between living in the settlement and in the current

dwelling unit in the survey show that 58 per cent remained in the same dwelling unit or

within the settlement; although people have moved between dwellings, overall they

have stayed within the settlement. Different FGD groups revealed that the main reason

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for staying in the settlement was the good access to livelihood opportunities, especially

for women. Another quarry in the household survey revealed that 75 per cent of these

households does not own any land from where they came from, to go back to (UPPRP

2010). In the absence of any resources in their origin, many house-owners invested in

housing as asset especially after the changes in institutional arrangements from 2001.

Table 6.1: Distribution of households by ownership in Korail

Type of house ownership Number of households Percentage Owner-occupied 3234 17 Rented 13,513 73 Employer's house 334 2 Rent free 1,202 6 Other 119 1 Missing 232 1 Total 18,634 100

Source: UPPRP 2010

Table 6.2: Distribution of households by duration of residency in Korail

Duration In the settlement In the current dwelling unit

Number of households

Percentage Number of households

Percentage

Less than 6 months 2305 12 4401 26 6 months - less than 2 years 1647 9 2684 16 2 - 5 years 5645 30 5566 33 6 - 10 years 4155 22 2044 12 11 - 15 years 2506 13 1177 7 16 - 20 years 1830 10 920 5 More than 20 years 515 3 233 1

Missing 31 0 38 0 Total 18634 100 18634 100

Source: UPPRP 2010

These findings defy the general perception at the policy level of the transient nature of

the urban poor; the figures support the arguments that the loss of capital assets resulting

from natural disasters encourages rural households to migrate to cities where they then

constitute a significant proportion of the urban poor population. Some of the case-study

responses for this research on the reasons to migrate to the city supported this argument.

In addition, the analysis illustrates that with a favourable institutional environment a

community living in the same area for a significant period can initiate its own

development process and improve housing conditions.

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6.1.2 Housing conditions

A typical house in Korail is formed by multiple dwelling units arranged around an open-

to- sky corridor or courtyard. The household survey shows that 83 per cent of the houses

are made as multiple dwelling units (UPPRP 2010). The linear structures are divided

into multiple, same- or different-sized rooms occupied by separate households. There is

no standard or common plot size for these houses; the house-owners decide the layout

and orientation of the structures depending on the land they initially occupied or bought

from previous owners.

From such description it may appear that the settlement has grown organically, without

any order, observations during the field study however revealed a clear pattern in space

organization (Figure 6.3). The single storied, one-room thick linear structures form an

enclosed unit (Image 6.1) with a restricted entrance and often a non-visible interior of a

house. The structures in such arrangement are owned by one household where rooms

are rented out to individuals, households or a group of individuals who are sharing a

room. Usually the house-owner occupies the room near the entrance. Often the room/s

Figure 6.3: Space organization pattern within houses

Source: Author, Interpretation from analysis of different houses

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facing out to the street are used as shops to run small home-based businesses by the

house-owner, or rented out to other local entrepreneurs.

The size of the rooms, used as dwelling units, varies depending on the users, the

availability of space and the house-owner’s intentions. In most of these houses, the

external partitions are made out of Corrugated Iron (CI) sheets supported by bamboo

posts and bamboo or timber structures. The internal partitions are made with bamboo

mat/ particle boards/CI sheets depending on what the house-owner can afford.

The household survey for UPPRP also gathered data on the conditions, materials and

types of housing in Korail, Table 6.3 show the overall condition of the houses. The

percentages also show the increasing popularity of two-storied structures. They are

made from the same building materials and follow the space organization of the ground

level. The upper level is accessed through a very steep staircase, connected to a semi-

open passage that provides access to individual rooms. This passage also serves similar

functions to the courtyard at ground level; while all the services remain at ground level.

So far, only six per cent of the structures are multi-storied; thus, they enjoy the

flexibility to have windows to improve living conditions in the room, unlike on the

ground floor where space limitations restrict making windows.

Image 6.1: Open-to-sky common corridor inside a house

Source: Author

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Table 6.3: Distribution of households by type and condition of dwelling in Korail

Type of dwelling Condition of Dwelling units Total Jhupri Kutcha Tin-

shed Semi-pucca

Pucca Other

Single dwelling house

0% 1% 8% 0% 0% 0% 9%

House with multiple dwelling units

0% 3% 77% 2% 1% 0% 83%

Multi-storied house 0% 0% 6% 0% 1% 0% 6%

Other 0% 0% 1% 0% 0% 1% 2% Total 0% 4% 91% 2% 2% 1% 100% Jhupri: made out of flimsy materials Kutcha: made out of earth and bamboo matting Tin-shed: made entirely out of CI sheets Pucca: made out of brick and concrete Semi-pucca: made partially with brick walls but mostly with CI sheets

Source: UPPRP 2010

My personal observations from working in different informal settlements in Dhaka (e.g.

Mohammadpur beribadh) together with information from the surveys indicate that the

overall housing conditions in Korail are better than other informal settlements.

However, the space organization and choice of building materials in the houses

influence the overall condition of a house, and some dwellings show they may be more

vulnerable to the impacts of increased heat and water-clogging, as discussed in chapter

two. Table 6.4 compiles an analysis of observations based on my academic and

professional experience supported by the fieldwork findings. It synthesize the

characteristics of the spaces allocated for the activities and their exposures to increased

heat and water-clogging - the pre-dominant variables of vulnerability for Korail.

6.1.3 Access to infrastructure and services

Households living in the same courtyard generally share services like the toilet, shower

area, water points and cooking areas. These services are conveniently located at one

side of the corridor or courtyard to maximize usage (Figure 6.3). Most households use

movable clay stoves for cooking in front of their dwelling units or in a shared covered

kitchen. According to the UPPRP’s household survey, 80 per cent of the houses share

covered pit-latrines while some of them directly connect their latrines to the near-by

drains or water body (UPPRP 2010). Table 6.5 summarizes the community’s access to

sanitation condition. Access to safe latrines and sharing toilets with many members

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have considerable implications for the transmission of communicable diseases and other

public-health problems (Rashid 2009).

Table 6.4: Characteristics of spaces accommodating different activities Activity Living Cooking Toilet Shower Socialize Work

Space in section

Space in plan

Roof type

‘Dochala’13 ‘Ekchala’ ‘Ekchala’ Open to sky

Open to sky

‘Ekchala’ Open to sky

Enclosure Enclosed Semi-

enclosed Enclosed Enclosed Open

Semi-enclosed

None

Plinth height

High Medium Medium Low Low High None

Exposure to heat

Maximum Medium Maximum Minimum Minimum Medium Maximum

Exposure to water clogging

Minimum Medium Maximum Maximum Medium Medium Maximum

Source: Author, Interpretation from analysis of different houses

Table 6.5: Distribution of households by sanitation type

Sanitation type Number of households Percentage

Open space/No latrine 70 0 Private latrine 1,064 6

Shared latrine 16,429 88

Community latrine 1,071 6

Total 18,634 100 Source: UPPRP 2010

Lack of land title restricts the residents to access public service facilities. As a result

nearly half of the households (45 per cent) living in Korail pay a fixed amount of

money, determined by the private providers, who manage to have access to water by

various means, to have piped water in their courtyard for a limited time daily (UPPRP

13 ‘dochala’ is gable roof with slopes in two directions and ‘ekchala’ is lean-to-roof

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2010). The households have to collect water within this “on” period and store it to use

throughout the day. However, more than half of the households (51 per cent) buy from

water vendors according to their usage (ibid). Residents pay BDT 2 for 20 litres of

water; whereas public water-supply authority charge BDT 6 for 1000 litres for their

residential clients (DSK 2011). The supply tends to vary during extremely hot summer

days when there is a general scarcity. Households either suffer or pay more for meeting

the demands during heat-waves.

Similarly, residents pay the vendors for electricity lines: each ‘point’ (one line to use for

a light or fan or plug) costs the minimum of BDT 120. Almost all households have

access to electricity supplied by different vendors who have both explicit and implicit

arrangements with the power supply authorities. However, services are intermittent

when there are city-wide power-cuts. The power-cuts affect general well-being as using

fans remain the only source of ventilation within an all enclosed room. Again,

comparing with the other settlements in Dhaka I have visited for professional

assignments, the residents of Korail have better access to different services that have the

potential to reduce their vulnerabilities to climate extremes.

6.1.4 Access to healthcare and social safety net

Transect walks through the area and discussions with different stakeholders revealed

that local residents of Korail can access limited healthcare facilities through a health-

centre run by the Dhaka City Corporation. Other NGOs run five centres which are

insufficient compared to the demand (DSK 2011). People suffer mostly from diarrhoea,

skin diseases and flu, especially at the beginning of summer and during winter, due to

increased heat and contaminated water (ibid). Describing the paucity of access to

healthcare facilities in informal settlements in Dhaka, World Bank (2007) reports that

only 7.3 per cent of these settlements have a public health clinic from which only 12 per

cent of the total urban poor population of the city can avail government medical

services. Negligence by the state has forced them to rely on services from NGOs and the

private sector, which are not well-regulated and offer care of varying qualities (Rashid

2009). Different FGD participants explained that any health-related crisis from severe

weather conditions or extreme events resulted in incurring additional household

spending due to the absence of healthcare facilities.

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Similar conditions persist with the social safety net as well. Like housing and services,

food is highly commoditised in urban areas and they have to be purchased. During

national level disasters, for example flooding or water-clogging in rural areas that

results in loss of crops, the prices for basic food items in urban areas are multiplied.

Respondents of different focus group discussions explained that households with

limited economic resources who are unable to spend more on food adapt by cutting the

quantity of food they are able to buy. In such circumstances, occasionally the

government arrange to sell rice at a reduced price. Nevertheless, such initiatives are

irregular in Korail and to be able to benefit householders have to spend long time

queuing. Image 6.2 shows the long queue for buying rice at a reduced price arranged by

the government’s food department when the market prices were rising everyday.

6.1.5 Access to livelihood opportunities

Among the total number of population identified from the 18,634 households by the

UPPRP’s household survey, 47 per cent reported that they do not have any skills to be

employed (UPPRP 2010). The population also includes children, the elderly and

dependants. As a consequence, only 50.4 per cent of the population are employed,

among them almost half (26.4 per cent) are wage employed, the rest are self- or group-

employed. A significant proportion of employed people (38.4 per cent) work full-time

and others labour part-time or as a seasonal worker (ibid). Occupations include working

Image 6.2: Queue for buying rice at a subsidised price

Source: Author

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as a day-labourer, rickshaw-driver, garments-worker, small business entrepreneur etc.

According to the survey, half of individuals earn between BDT 2,000-4,000 to support a

household of at least four to five members (ibid), while another survey reports 20 per

cent of the households earning more than BDT 4,500 (DSK 2011).

Analysing these figures in the context of the literature review in chapter three on

adaptive capacity illustrates that a higher rate of dependency on a single earning

member makes a household more vulnerable to any economic loss caused by direct or

indirect impacts of climate extremes. As the participants of FGD group no. 20 discussed

without any other earning source or member loss of working hours or days of the only

earning member compel the household to borrow money with high interest rate. In

addition, the employment of more than three-quarters of the working population in a

narrow range of self- or group-employment makes their livelihood opportunities

vulnerable to climate hazards. The overall poverty limits the options for providing better

living conditions.

Constraint in livelihood opportunities to a narrow range of occupations may be

explained by the lack of skill and education of the residents. One third of the population

of Korail never went beyond primary education (UPPRP 2010). Some (7.3 per cent)

have acquired basic educational skills from non-formal education facilities; whereas

only 7.8 per cent passed the Secondary School Certificate (SSC), which is often

considered to be the minimum qualification to get job in the formal sector (ibid). Thus,

the lack of education and skills excludes the individuals from accessing better economic

opportunities. Twenty-three schools run by different NGOs are able to educate a mere

30 per cent of the children in Korail (DSK 2011) which are not adequate to prepare

them to face future social and economic challenges.

A significant number of the working population of Korail are female. In Korail, 70 per

cent of the employed population are male, 30 per cent are female, while 18 per cent of

the population work in the garment industry, mostly women and young girls (UPPRP

2010; DSK 2011). Usually the wages of the women working in these industries are

higher than the other employment opportunities available to women in an informal

economy. A previous study found that households with a garment worker member were

more likely to be able to provide for their daily needs (and might even save) than those

without garment-worker might be able to do (Kabeer 2003:120).

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Summarizing the community profile of Korail in relation to the conceptual framework

developed from the literature review in chapters two and three illustrate that the

community has specific characteristics that contribute both to the increase of

vulnerabilities as well as to resilience from climate stresses. However, as discussed in

chapter two, the notion of vulnerability depends on bio-physical and social responses

within a specific area or geographical domain. The bio-physical aspects of Korail may

represent the community as significantly vulnerable to climate extremes; nonetheless, it

is imperative to explore the social responses to risks and exposures, which in turn,

depend on the experience and perception of the people. The following section accrues

the findings on the impacts and perceptions around change and impact of those changes.

6.2 Experience and perception about impacts of different climate variables

The methodology followed for the research to asses experience and perception suggests

gathering data on types of severe weather conditions in a community and changes over

time in relation to their associated evident general problems. Accordingly, it suggests

starting directly with issues of weather, rather than to start with the listing and ranking

of general problems that may have been interesting in themselves considering the

context of the area, but that would not provide the necessary entry point to address

issues of risk and vulnerability to severe weather (Moser & Stein 2011:473). I used

listing and ranking, and a community history matrix as tools to elicit the following

findings from the focus group discussions and case study interviews regarding severe

weather conditions and climate extremes. They are grouped under specific themes that

emerged from analysing the findings.

Immediate experience dominates perception about impacts

The residents of Korail form an urban community whose livelihood and social life are

non-agriculture based; therefore, they are not influenced directly by the seasonal

activities. Thus, it would have been too ambitious to expect very definite observations

about changes in climate variables. Moreover, I was drawn by Vedwan & Rhoades'

(2001) arguments that, people are more likely to notice, especially over time, types of

change that are visually more salient. The authors suggest that it is essential to study

people’s perceptions of climate and the environment in general in order to understand

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how they would respond to change. These perceptions and experiences form the basis of

decision-making processes to mitigate the impacts of climate change (ibid: 117).

Accordingly, discussion during the fieldwork was limited to the respondent’s

perceptions and experiences in terms of differentials in temperature in different seasons,

to the amount and timing of rainfall, to the overall change in weather patterns

experienced over the past years. Members of different FGD groups described their

perceptions and experiences. Box 6.1 compiles the findings from one of those

discussions representing a general trend. Among the 26 case-study households, 19

responded to similar queries. Table 6.6 compiles the percentage of the respondents who

agreed to the changes along with rankings. The list of the reported phenomena in the

table is developed from different focus group discussion findings. The ranking of those

phenomena relate to the number of the responses given: they are not ranked by the

respondents.

Box 6.1: Listing and ranking of perceived changes over the years

Rank Change

1. Increased heat all the year round, especially during summer

2. Intense rain for days

3. Reduced cold during winter

4. Change in seasonal pattern Source: Participants, FGD group no.15

Table 6.6: Perceived changes reported by case study household respondents

Reported phenomenon Percentage out of the responded households

Ranking compiled from the responses

Increased heat 95 1

Change in seasonal pattern 79 2

Reduced rain 68 3

Increased cold 47 4

Intense rain 42 5

Increased rain 16 6

Reduced cold 16 6

Source: Author, compiled from responses of the case study households

The findings illustrate that increased heat is the most dominant variability affecting

vulnerability of the respondents in Korail. It is to be noted that many papers on Dhaka

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discuss vulnerability related to flooding (Rabbani et al. 2011; Alam & Rabbani 2007;

Dewan et al. 2006); nevertheless, very few participants of this study discussed flooding

as an eminent threat for them. This may be because the residents did not experience any

major fluvial flooding after 1998. Later flooding events only partially affected the area,

and many present residents moved to the area after the 1998 flooding. Of the

participants who had experienced the flooding they discussed their experience and

inconvenience as something distant (for example, Faruk, a community leader of FGD

group no. 06). They were more eager to discuss the recent heat and cold waves, as well

as the developing day to day distresses from severe heat in summer or cold in winter

than talk about 1998 flooding.

Similarly, the responses were biased by the timing of the interviews as discussed in

chapter four; respondents interviewed near the end of December who were affected by

acute winter variability discussed their sensitivity to decreased temperatures, whereas

the vulnerability arising from increased heat dominated discussions held during

September and March. Thus it can be argued that the severe conditions and extreme

events arising from the differential of temperatures experienced recently contributed to

their perception of vulnerabilities.

Extreme differentials in temperature

The findings from both focus group discussions and case-study responses revealed that

the most discussed hazards were related to differences in temperature. Almost all of the

respondents discussed about increased heat all the year round, while some discussed the

extreme conditions during summer and winter. The data in Box 6.1 and Table 6.6

illustrate the proportion of responses. However, the respondents specifically discussed

prolonged summer days with a high temperature as this caused discomfort from heat,

increased illness, fatigue and reluctance to work outside. Their responses are consistent

with the findings of climate data for Dhaka discussed in chapter four.

The responses about the temperatures in winter were mixed; some said it increased

while others that it decreased. It is argued that people adapt more easily to heat than

they do to cold (Peetersa et al. 2009). Some Korail residents reported on a decreasing

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temperature; for instance, Arifa (CS 06) said, “It used to feel cold from ‘Vadro Asshin’14

before the winter, now the winter stays only for few days”. In the same way, many

respondents suggested that although winter has become milder they still experience a

few severe cold days. This, again, conforms to the findings of the climate data discussed

earlier.

Change in seasonal pattern

The second most frequent response was on the change in the seasonal pattern. Sefali

(CS 5), a woman in her early 40s, described her experience of seasonal change as:

When we were young, we could feel there were six seasons in a year, especially in the village. We enjoyed different seasonal fruits growing in different months of the year reminding us of the changes. Where are they now? In Dhaka, we feel it is just summer all the year round. Sometimes the rain falls, but not in the season it is supposed to and the amount is so much that all of our houses go under water as if all the rain water is trying to pour down at the same time.

Sefali’s experience was a common observation described by many respondents in this

study, 79 per cent of them referred to the change in the seasonal pattern that occurs

throughout the year. For example, Ibrahim (CS 15) suggested that the entire cycle of

seasons has shifted and is one and half months later, the irregularity is causing more

diseases, water shortages, and impacting on livelihoods.

Rainfall pattern

Associating with the shift in the seasonal pattern, 68 per cent of the respondents

reported a decrease in the overall amount of rainfall, especially during the monsoon.

Their concern is also reflected in the rainfall data analysis in chapter five. Some

associated decreased rainfall with the longer periods of increased temperature severely

affecting people’s well-being. Many of the respondents in Korail have either migrated

from rural villages, or have some relatives living there; they relate back to their past

experience of rainfall or thunderstorms and so reported there were fewer thunder storms

and less rainfall in the city. Furthermore, while referring to a decreasing amount of

rainfall during the monsoon season, they described the effect of sudden and intense

rainfall at an unexpected time. The drainage inside Korail can not cope with such

14 Vadro and Asshin are the name of two months in the Bangla calendar that describe Autumn, right before winter. They stretch from mid August to mid October.

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intense rainfall and water-clogging caused disruption to everyday life. Images 6.3

shows the conditions in the streets in Korail right after an untimely rainfall in winter in

January 2011.

Indirect impacts of extreme events and severe weather conditions

Another widely reported response was an increased frequency of severe weather

conditions and extreme events. Kobori (CS 24) described her perception of climate

extremes saying, “seems like whatever happens in the weather pattern, whether hot or

cold days, they tend to be extreme”. Similarly, Salam and Iffat (CS 03) suggested that

the frequency of sudden thunder storms has increased over the years. Such storms are

significant because of the associated indirect impacts. Usually storms are accompanied

by intense rainfall which causes water-clogging inside the rooms where they live. The

room has a lower plinth level than the adjoining courtyard and streets. After such

extreme events, Iffat, the wife, has to spend hours draining off the water with a bucket

as her husband, Salam, stays ill most of the time and cannot help her. Similar

experiences were shared by all eight members of FGD group no.16, who were renters in

Image 6.3: Streets a) during and b) after the rain

Source: Author

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the same courtyard. Their house used to be flooded when the plinths were lower than

the adjoining street. Six months before the interview, the house-owner reconstructed the

plinth to be higher. In addition he worked with an NGO to connect the water runoff

from the house to the drainage system in the street to improve the resilience of the

house. Of course, the renters pay increased rents after the improvements.

Conversely, Amina (CS 16), the poorest of all the respondent households interviewed

for the study described:

This year the heat was so extreme for days that during those days I could not stay inside the house and stood outside in the street just to have some fresh air. I cannot afford to buy or use a fan like others to get relief from the heat. It becomes unbearable to stay inside the room when tin (CI sheet) all around are heated up during the day. It takes a long time to cool down in the night as well.

Her husband is a crippled beggar who spends most day-time hours outside in the streets

to earn, but he prefers his wife to stay inside the house. Similarly, Jasim (CS 10)

reported that during the heat wave of 2009, both his working daughters suffered from

diarrhoea. On top of losing part of their wages for the loss of working days, they had to

spend BDT 5,000 to receive treatment in the hospital. According to Jasim, the “summer

feels like fire from hell” affecting their lives directly and indirectly.

Fatalism and dependency on ‘God’s will’

When asked what can be done to reduce the impacts of these extreme conditions and

events, Jasim’s (CS 10) response was, “Allah vorosha”; meaning he depends on God

alone to reduce their vulnerabilities. Although severe weather conditions and extreme

events were reported to be increasing, nevertheless, most respondents expressed them as

natural phenomena. Runu (CS 17), a housewife, said “it all depends on the will of Holy

God”. She added, “since men have no control over nature, what else can they do but

adjust to the situation?” Some respondents, like Nehar (CS 14), related the increased

heat from higher density of their settlement made out of heat-absorbing materials. Some

respondents saw the impacts as God’s punishment for what men are doing to nature and

to others. As expressed by Rafia (CS 19), such fatalism encourages them to do whatever

they can within their abilities to adapt to the changes. These responses relate to the

theoretical arguments on availability of choices and adaptive capacity discussed in

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chapter three. The fatalism and dependency on ‘God’s will’ can be argued to illustrate

the effort to adapt as the only alternative - in the absence of choices.

In summary, the findings on experience and perceptions about the impacts of different

climate variables support the significance of considering the severity of climate

extremes arising from less dramatic, slow and incrementally developing weather

conditions and the following extreme events. The perception of changes and impacts are

often influenced by fatalism that argued to increase adaptive capacity in some instances

(Jabeen & Johnson n.d). In addition, the findings indicate a difference in experience of

climate impacts - both directly and indirectly as well as based on gender roles, gender

division of labour and cultural patterns. The following sections elaborate those

responses further with a focus on the impacts of various assets the households or

individuals own.

6.3 Asset-vulnerability arising from climate extremes

The theoretical discussion in chapter two suggested considering three cumulative factors

– exposure, sensitivity and adaptive capacity - to determine the pattern, the extent and

nature of vulnerability. The discussion on adaptive capacity based on assets in chapter

three further showed how the various kinds of asset ownership could influence

difference in exposure and sensitivity between women and men within the household

and the community. The empirical findings of this research explored different kinds of

asset that the urban poor community identified while describing their contributions in

determining the pattern and extent of climate vulnerability. Using tools like satellite

images, mapping, causal flow diagrams and a time line with the FGD groups and case

study households these issues emerged while assessing asset-vulnerabilities. It is to be

noted that, causal flow diagrams prepared by different groups are extensively used in

these discussions as they identified the causes and consequences of different impacts,

and thus helped to identify the root causes.

6.3.1 Types of asset and their vulnerability to climate extremes

Throughout the exploration phase questions were asked to the groups and individuals to

identify what they felt were the resources useful to generate economic, psychological,

social and political benefits to foster resilience and social mobility to live in Korail, and

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whether or not they perceived them to have any relation to response to the direct and

indirect impacts of climate extremes. The responses about examples of what they

considered as components of assets within the household and the community did not

vary significantly between different groups (e.g. based on sex, age, and house-

ownership). Some of those examples are grouped in Boxes 6.2 and 6.3.

Box 6.2: Significant components of assets for household/individual

Rank Component of assets

1. Jewellery

2. TV

3. Bed

4. Saleable furniture

5. Social network Source: Participants, FGD group no. 04

The lists of components of assets significant for household were dominated by the

physical ones like consumer durables (e.g. TV, jewellery, furniture). Although owning

jewellery is not affordable for most of the households, however, such consumer

durables are desirable in their ability to provide immediate cash during hardship. The

advantages of owning a TV are associated with their immediate monetary value, and as

a source of entertainment and information. Similarly, ownership of furniture, especially

a bed, was considered to be the most useful that helped to increase resilience against

water-clogging and flooding. Like many other respondents, the young girls in FGD

group no. 02 explained the advantages of having a bed or furniture such as a table: they

provided a safe space in case of water clogging and flooding. Valuables can be stored

on them during such instances, children can stay safe on the bed, and even mothers can

cook food using movable ovens on beds. Some of the case study respondents (CS 01,

03, 07) shared their experience of using beds during flooding as the only refuge in the

house.

For a household in Korail, having relatives, or a familiar person from back home - even

knowing someone from a professional circle - is considered to be the most significant

resources to act to respond to any risks. Although such social network is usually

considered as a community social capital, as exemplified in Box 6.3, however, many

households identified a social network to provide opportunities to access houses,

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livelihood, credit facilities and services to survive in challenging living conditions.

Some respondents described that social networks may not be significantly helpful

during any severe weather conditions, but they are essential during any extreme events.

During extreme events (e.g. prolonged flooding) the social network itself becomes

vulnerable when people are forced to move to temporary emergency shelters or relocate

permanently.

In contrast to the short list household identified their individual assets, the resources

available in the community to capitalize on in Korail ended up being a long list. Despite

some commonalities, different groups added different examples to the lists, depending

on their views and position in the household and community (see Box 6.3).

Box 6.3: Significant components of assets for household/community

Source: Participants, different FGD groups

Participants of FGD group no. 15, comprising nine female members � Better livelihood opportunities in the adjoining areas of the city � Diversified livelihood opportunities � Adequate and diversified livelihood opportunities within Korail � Better access to work places � Cheaper house rents � Opportunities to buy food items and goods from known shops on credit � More options for better deals with house-rent and food items

Participants of FGD group no. 20, comprising ten male members

� Access to electricity, water and cooking gas � More livelihood opportunities especially for women � Better access to other parts of the city � Less travel time to go to work � More people can live in one room unlike other settlements � Opportunities to buy food items and goods from known shops on credit � Cheaper household expenses

Participants of FGD group no. 03, comprising seven adolescent girls

� Social relations and unity between different households and communities � Ownership of rickshaw vans, easy to move people in case of emergency � Wealthy relatives who can support financially � Boats as they are cheaper means of transportation � Adjoining schools that are converted into temporary emergency shelters � Mosque committee who organizes different activities � Opportunities to buy food items and goods from known shops on credit � Water reservoirs that are useful during intermittent supply � Open play field � Location of lake especially during fire � Trees resisting soil erosion � Proximity to work area and schools

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A mapping exercise (Figure 6.4) with nine male house-owners living in the lake-side

identified the area through their physical community assets, for example the location of

a mosque, the water reservoir, a club, a school etc. Different FGD groups and case-

study households indicated the advantages of these physical capitals to reduce risks. For

example, the lake is considered to be a natural capital for the community; it is a cheaper

means of transportation, a source of water during dry seasons, and offers an invaluable

resource during any fire hazards. The participants expressed that housing and

infrastructure within the household and neighbourhood provide better living conditions;

and although high density development increases risks from increased heat, nevertheless

the high density offers cheaper and affordable rent for the renters.

As it is evident from the list of examples in Box 6.3, financial capitals dominated

everything else. Both female and male respondents identified access to livelihood

opportunities for the women to be the key incentive to live in Korail. Unlike when in

villages, women can access diversified livelihood opportunities and make economic

contribution to the household. The central location of the area provides opportunities for

men with access to better and diversified livelihood opportunities in and around the

Figure 6.4: Mapping exercise indicating location of community assets

Source: Participants, FGD group no. 6

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area. Incomes from both male and female members of the household reduce financial

hardship and encourage people to save in order to manage unexpected risks better.

The intangible social network in Korail is considered to be one of the key resources to

build resilience within the community. Summarizing from all the discussions with the

respondents it is evident that renters depend on house-owners for better access to houses

and services; house-owners depend on other house-owners to access better streets and

drains; working people depend on their relatives or neighbours for an introduction into

new work places or to look for better livelihood opportunities; the poorest households

depend on better-off neighbours for credit; and most households depend on known

shop-owners who are willing to sell goods on credit. All of these community social

capitals increase the capacity to adapt with the uncertainties arising from natural and

man-made hazards and disasters.

Social networks are not always strong, nor are they beneficial to every household. As

expressed by those in FGD group no. 01, in a money-based environment where

everything has to be bought, very few would do things selflessly, or let go things that

were worth something in monetary terms. Rather, people get involved in conflict over

small things, and use political power to access better financial benefits. Iffat and

Salam’s (CS 3) part of the house was forcefully taken over by their politically powerful

neighbours. Households living for years together in challenging living conditions

develop acquaintances, and try to help each other when they are vulnerable unless doing

so directly increases their own vulnerability.

Identification of different physical, financial, social and human capitals available to

households and the community in Korail indicated that none of them is accumulated or

is vulnerable in isolation. Their interrelated vulnerabilities and adaptive capacities have

been highlighted by the different responses of various focus group discussions and case-

study households. The following section examines some of those responses in order to

explore the interrelations between different assets and their vulnerabilities.

6.3.2 Interrelated causes and consequences of asset-vulnerability

The interrelations between different assets and consequent vulnerabilities were

indicated by the respondents using causal flow diagrams. Participants of FGD group no.

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01 identified linkages between the causes and consequences of extreme climate events

affecting the working female and male members of households (Figure 6.5). The

extreme events, e.g. water-clogging or heat-waves, cause economic detriment from the

loss of livelihood or working hours. Similarly, household members suffering from

frequent illnesses and enduring physical inconvenience in going to work or school

experience a lessening of their human assets. Loss or reduction of income from reduced

or scarcity of work results in reduced food consumption and adds pressure to other

household expenses. As a consequence, members get involved in household conflicts

and domestic violence - creating a stressful environment. Thus, climate stresses

exacerbate vulnerabilities and impacts on components of financial and human assets.

The time line of house-construction phases of the case study household no. 19 in Figure

6.6 exemplifies the impacts of natural and man-made disasters along with access to

physical, financial and human resources on the development of a house, the key

physical capital of the household. The household could access a house when they

received information from a social network about the availability of a land to build on.

Later on, similar social-networks provided help in the construction and reconstruction of

the house by providing labour and credit.

Figure 6.5: Causes and consequences of extreme events

Source: Participants, FGD group no. 01

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The household experienced a major depletion of physical assets in three different

instances, of which two were caused by climate related disasters, and the third, in 2004,

was when fire completely destroyed houses. Access to physical capital (e.g. land) and

financial capital (e.g. credit facilities) helped households to rebuild while improving

continuously throughout the later years. The improvement not only secured shelter

against severe weather conditions, it also provided financial resources by allowing space

to be rented out as well. The development of the built environment of this household

emphasizes the progressive interrelation of financial and human capitals in reducing

overall vulnerabilities.

Probably, the causal flow diagram prepared by the ten young girls, who formed the

FGD group no. 02 of this study, most explicitly suggested the interconnectedness of

asset-vulnerabilities (Figure 6.7).

Figure 6.6: Timeline of house development in Korail

Source: Respondent, Case study household no. 19

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The girls identified their views of the causes and consequences of increased heat in their

households and community. Some of these girls went to school and related the causes of

increased heat to different natural phenomena, e.g. airflow and a longer exposure of

houses to sunshine without shade. They also identified use of heat-absorbing materials

for construction of the houses as a source of increased heat in the settlement. However,

the girls recognized that weather conditions and climate extremes impact on the

components of financial assets of their parents. In addition they impact on them and

their siblings’ well-being. Tiredness and fatigue from heat with scarcity of water make

them prone to water borne diseases, increase their workload of taking care of the

younger siblings causing disturbance in studies and sleep. As a consequence of these

direct and indirect impacts the girls often do fall behind in school and are punished,

which they expressed as a grave concern to them.

6.3.3 Significance of physical capital assets on climate vulnerabilities

The significance of physical capital assets in increasing or reducing climate

vulnerabilities has been referred to by many of the respondents. The causal flow

diagram (Figure 6.8) developed by a mixed group relating intense rain to its

Figure 6.7: Causes and consequences of increased heat

Source: Participants, FGD group no. 02

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consequences illustrates the relationship between components of physical assets and

climate induced hazards. They described that intense rain may result in increase

vulnerabilities from water clogging inside the rooms or in the streets; however, such

physical hazardous events are a consequence of inadequate or blocked drainage

facilities and lower plinth levels of the house. Alternately, the respondents described

that better coordination among house-owners could build some resilience against these

impacts through improving housing conditions or by better maintenance of the existing

infrastructure. In the absence of infrastructure, residents experience difficulties in going

to work, cooking, and taking care of the children during any extreme events. Such

difficulties not only impact financial activities causing loss of income, they also

increase workload, especially for the female members of the household.

Members of the other FGD groups, for instance group no. 12 (comprising a mixed

group of all renters) and FGD group no. 11 (comprising all female renters), established

similar linkages as did group no. 16. They added some specific consequences of

hazardous physical events based on their experience and perceptions. To the members

of FGD group no. 11, reduced household income from difficulties in working during

Figure 6.8: Causes and consequences of intense rain

Source: Participants, FGD group no. 16

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any climate extreme event translates into food scarcity and starvation. The mixed FGD

group members of no. 10 described how intense rainfall and water-clogging often make

some of their toilets unusable. Despite good relations with neighbours, it is difficult -

especially for women - to use other people’s toilets. Moreover, since it becomes

difficult to walk to work during rain on muddy water-clogged streets, they have to

spend extra money on transport. The renters of FGD group no. 4 described that polluted

rain water penetrates the exposed supply line causing widespread water-borne diseases.

The responses further illustrated that spatial distribution of physical risks varies both

within a house as well the neighbourhood. As described in the community profile, the

houses in Korail have very basic enclosures and utilitarian space organization. Often the

choice of building materials and techniques are not the most appropriate to reduce

impacts of hazardous physical events arising from climate variables; thus, the degree of

vulnerability varies even within the house. The participants of the FGD group no. 10

identified the most vulnerable spaces within the house (listed in Box 6.4): they

identified the kitchen to be the most vulnerable space in the house. This is because in

many instances households cook using movable clay ovens either in the open-to-sky

courtyard or in the passage in front of their rooms. During the rain, they have to use

some kind of temporary covering, e.g. plastic sheets, or cook inside the room they live

in. In other households where there is a common kitchen, usually the space has a very

low roof and is without any enclosures (Image 6.4). The earthen ovens that are damaged

by driving rain or water-clogging need a longer time for repair, before they can be used

for cooking once more.

Box 6.4: Listing and ranking of the most vulnerable spaces in the house

Source: Participants, FGD group no. 10

Rank Space in the house

1. Kitchen 2. Toilet 3. Living rooms

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Most of the households visited during the study had very basic toilet facilities and

enclosures (Image 6.5). In many instances the shower area was only enclosed with

recycled CI sheets from the house without any roofs. Rabeya (CS 09) described that

these shower areas may be comfortable for men to use, but are difficult for women to

use, especially during the rains.

Image 6.5: Different types of toilet and shower area a) Open-to-sky toilet and shower area b) and c) Enclosed pit-latrine

Source: Author

Image 6.4: Different types of cooking arrangements a) Semi-enclosed kitchen b) Open-to-sky cooking area c) Communal kitchen

Source: Author

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6.3.4 Differential of asset-vulnerability between different groups

Some of the findings from the study showed variations in asset-vulnerabilities between

different groups based on sex, ways of earning a livelihood, house-ownership, and age.

They were either explicitly mentioned during the focus group discussions and case

study interviews, or they emerged through the analysis of the findings.

Working women and working men

While trying to understand who is most vulnerable from the impacts of climate

extremes, the respondents were asked to list and rank individuals and households,

depending on how they perceived vulnerabilities (see Box 6.5).

Box 6.5: Listing and ranking of most vulnerable members/ households

The responses illustrate that after the elderly and children, working women were

considered to be in a worse situation compared with working men. This argument was

supported by the facts described by some respondents (CS 19, 24 and participants of

FGD group no. 15). During water-clogging or flooding women face more

inconvenience in going to work; they have to find a way to go to work either by paying

extra for transportation or by wading through the water-clogged roads. During rainy

Rank Vulnerable members

1. Elderly persons

2. Children

3. Working women

4. Working men

Source: Participants, FGD group no. 12

Rank Vulnerable households

1. Female-headed households

2. Households dependent on one person’s earnings

3. Households where the key earning member is a daily labourer

4. Households with multiple earners

5. Households that depend on regular wages

Source: Participants, FGD group no. 10

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days or extremely hot days, it becomes extremely challenging for women to continue to

go to work while also coping with the inconvenience of cooking in an open kitchen or

with a movable oven in front of the room, while also maintaining other household tasks.

As discussed before, should any member of the household become ill as a result of the

extreme events, then it is the female members who are forced to miss out on their work.

Conversely, working men are considered vulnerable to intense heat and rain as they

work outdoors and are directly exposed to such severe conditions. Although the

discussion in chapter three indicated that the same exposure to a particular ambience

may feel less un-comfortable to a person working outdoors compared with those

working inside (Ahmed 2003), nevertheless, previous findings showed that that direct

exposure to climate extremes affects the well-being of the individual and their economic

productivity (Rabbani et al. 2011). All the male members of FGD group no. 14

discussed the discomfort and fatigue resulting from severe conditions and extreme

events and their unwillingness to work as a consequence. They said the rickshaw-

drivers and the day-labourers, who form major portion of working male population in

Korail, suffer most in such instances.

Similar to the individual’s vulnerabilities, those between households differ as well,

mostly according to household headship. The households in Korail, like rest of the

country, are predominantly male headed. Out of the identified 18,634 households only

11 per cent were reported to be female-headed households (UPPRP 2010). As illustrated

in Box 6.5, the participants of FGD group no. 10 ranked female-headed households at

the top of the list because, they said, during the time of a crisis these women had to face

the difficulty of taking on both productive and reproductive roles. Arifa (CS 06) heads

her household with three sons; and in between working as a mid-wife in the NGO-run

delivery centre, she walks to different parts of the city in search of fire-wood or other

materials to use as fuel for cooking. Simultaneously she gathers whatever building

materials she can find from different construction sites to use in her house. Arifa

discussed the stress of managing her household activities during severe weather

conditions; however, she showed confidence in managing them.

The vulnerabilities of female-headed households relate also to dependence on a single

person’s income and ranks second in the list of vulnerable households. The participants

of FGD group no. 07 said that “it is hard to maintain a household on one person’s

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earnings; the wife or children need to work to contribute to the household income”.

Amina (CS 16) discussed her helplessness during rainy days when her husband can earn

only a little from begging. Since they have no other source of income, they have to

starve that day as a consequence.

Day labours and wage earners

The asset-vulnerability of different groups also depends on types of livelihood

opportunity. The overall analysis of all the case study households indicates that

households depending on daily earnings are more vulnerable, compared with those who

earn monthly wages. As discussed earlier, the income from daily work depends on the

availability of work, along with the ability and willingness to work. Very few

households that depended on daily earnings reported being part of a savings groups to

ensure some economic security; moreover, they tended to take loans with a high interest

rate. The participants of the FGD group no. 20 reported that they manage unpredicted

medical expenses for their children affected by climate extremes by taking loans. Loans

taken during summer or monsoon are usually paid back during winter; as a result they

have to pay more interest. This in turn reduces the overall household income during a

relatively climatically less vulnerable time of the year.

Case study household respondents like Shamsul (CS 07) and Ahmed (CS 17) said they

were more secure than Rabeya (CS 09), because both of their households depend on

monthly wages; they plan their spending accordingly. In addition, Ahmed’s (CS 17)

employment in the formal sector provided the opportunity to access credit in times of

need; he used the credit to construct his house in Korail. Rabeya depends mostly on her

husband’s daily income; however, this varies - depending on his personal choice of

working hours, his ability to work and how much he loses while gambling after work.

She said her husband skips driving the rickshaw in very hot or rainy days. As she earns

a small monthly wage working as a municipal street cleaner, she depends more on those

earnings during difficult days. Nevertheless, the monthly wage for a low-status job is

not the best possible economic strategy to increase resilience. As in many cases like

Suraiya (CS 13) and Nipa (CS 24) who work in the garments industry, even being 10

minutes late for work may result in losing a day’s salary.

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Renters and house-owners

Asset-vulnerability between house-owners and renters varies significantly, especially in

terms of reduced physical risks. As discussed by renters in this study, they have few

options to reduce risks in their physical environment. They have to depend on what their

house-owners are able to and willing to do to reduce risks. Moving to better housing

with better access to services usually means having to pay a higher rent. Similarly, any

improvement to the existing house results in a rent increase, which may not be afforded

by all renters. As a consequence the house-owners try to invest as little as possible;

while, the renters try to adjust to the existing conditions. Some households prefer to

accept these physical difficulties if they receive other incentives; e.g. social support for

child care or access to small credits from the house-owners or neighbours.

For example, Rahima (CS 04) has lived in Korail as a renter for the last ten years. The

shop they run used to get water-clogged during rainfall; hence, they experienced

economic loss on many occasions when goods in the shop were soaked through by rain

water. To avoid such losses, the owner invested in raising the height of the plinth and

also by improving the materials it was made from when they agreed to pay a higher

rent. However, the house they live in now, is still vulnerable to water-clogging; they had

to choose between living in a better house and the more weather-resilient shop. They

decided to pay more for the shop as it is their main source of income. Furthermore,

having the house and shop near-by meant it was more convenient for taking care of their

three young children while running the business.

Conversely, as a house-owner, Jahed and Sefali (CS 05) used their house to accumulate

and consolidate financial, physical and human assets. Improvements to the house not

only reduced their risks from impacts of climate extremes, but also helped them to

invest in their children’s education, and in the business and expansion of the house.

Although, they were financially in better position than a renter, nevertheless, they still

feel vulnerable - as Sefali said,

Why will the renters bother if there is flooding or heat-wave or evictions? If they do not like staying here they will take their small belongings and move away. But we will lose almost everything we have accumulated over the years.

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6.3.5 Institutional arrangements impacting on the physical vulnerabilities

Jahed and Sefali’s (CS 05) concern for climate impacts is accentuated by their socio-

political vulnerabilities. House-owners like them and Ibrahim (CS 15) are willing to

invest in the house; but, they invest only on necessary things for the existing threats of

eviction. Jahed and Sefali expressed their concern over police harassment towards their

young son, who is studying in the college. In the past, many household suffered unjustly

from police harassment during political unrest, simply because there was a social stigma

attached to living in the ‘slums’. They are easy to portray as criminals as they have no

legal status in the city. Ibrahim, himself suffered from such political police action.

The existing threat of eviction also discourages any major investment by different

NGOs and donor agencies. As a consequence, they tend to invest more on socio-

economic developments rather than investing in physical improvements which

significantly reduce climate vulnerabilities. One of the project managers of DSK, a key

NGO that invests in infrastructure development in Korail, described the long time it

usually took to negotiate and implement projects. Furthermore, as an NGO they also

fear losing capital investment due to shaky institutional arrangements around security of

tenure and access to services.

6.4 Asset-vulnerabilities defining the course of actions

I organized this chapter according to the findings showing the extent and the nature of

asset-vulnerabilities of the urban poor represented by the community in Korail. The

discussions on the physical, economical and social characteristics of the area suggest

that their existing conditions can exacerbate climate vulnerability. However, better

living conditions, supported by better access to livelihood opportunities and better

access to services create a favourable living environment. Despite the persistent threats

of eviction, the findings illustrate that extended periods of development have created

opportunities for the community to build on their own resources, to generate economic,

psychological, social and political benefits and to foster resilience and social mobility.

Therefore, the findings show the significance of assets in reducing susceptibility to

harm from exposure to stresses associated with environmental and social change.

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However, the responses illustrate that the perceptions and experience of climate

formulate social responses, and thus guide action to improve living conditions. The

findings in Korail show the dominance of differentials of temperature, especially of

increased heat, as the main concern for the community. The residents expressed greatest

concern for both direct and indirect impacts of the slow and incremental impacts of

temperature variability, experienced as severe weather conditions. Similarly, the pluvial

flooding resulting from intense rainfall and the lack of drainage directly impacted on

people’s well-being and their physical vulnerabilities. In addition, it is significant that a

lack of knowledge along with economic and social constraints lead the residents to a

form of psychological adaptation that leads to fatalism or dependency on some other

supreme force. Such dependency may result in encouraging people to use only available

resources, while efforts to initiate adaptive activities are minimal.

The findings on asset-vulnerabilities strengthen the link between the theoretical debates

discussed in chapter three with the grass-root examples of urban poor households. The

findings show that climate extremes cause a depletion of physical, financial and human

capital assets of the households and community. In addition, asset-vulnerabilities are

interrelated; they vary between different groups based on gender, age, livelihood pattern

and ownership of the built environment. These interrelations support Hulme’s argument

of considering climate extremes (change) as a ‘wicked problem’. The solutions for a

wicked problem, as suggested by Hulme (2009), require taking a multi-faceted approach

to adaptation planning and addressing the root causes of the vulnerability. The

exploration of asset-vulnerability in Korail signifies the importance of the components

of the physical assets and shows how associated factors can exacerbate climate risks.

The physical capitals often have more explicit and tangible influences in addressing the

economical, social and political challenges that are faced by urban poor households.

Therefore, it is imperative to understand the vulnerabilities and adaptive capacities

related to the built environment.

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Chapter 7. Building resilience in the built environment

Informal settlements grow and flourish around an established quantum of practical understanding about how to survive: how to get a house, how to get water, how to find work, how to borrow money. These systems are a long way from perfect. They are almost entirely illegal, and can be exploitive, inequitable, and substandard. But they represent the best people can do with extremely limited resources: a reasonable and ordered response to urgent necessity, where no legal or accessible alternatives exist. (Boonyabancha 2011:61)

This research has a key objective to examine the processes, strategies and actions taken

by a household and community to reduce asset-vulnerability in relation to housing and

infrastructure design and development. The discussion on analytical frameworks for

spatial inquiry in chapter four suggested considering the built environment as a system

of settings within which a set of activities takes place. Also, consider the physical,

social and economic parameters, alongside spatial allocations for activities and a time

dimension. Of the four themes suggested by the framework, the discussion in chapter

six illustrated the findings around two themes – an introduction to households and the

built environment in Korail, and how they are being used. In this chapter I intend to

explore further the other two themes - the process through which the dwellers shape the

built environment and the context or setting in which these actions take place. The

exploration of these two themes will help to reach some conclusions on how households

and the community build adaptive capacities within their built environment.

7.1 Process of developing the built environment influencing adaptive capacity

The theoretical overview of built environment established that the built environment

develops through an organic process, where continuous renewal and replacement of

individual components preserve it while giving it the ability to persist (Habraken 1998).

In that respect both the physical form and people acting on those forms become equally

significant. Keeping these in mind, the examination of fieldwork findings from

households and the community in Korail revealed that the development of the built

environment and their vulnerability are influenced by three factors: a) the choice of

building materials, b) the choice of construction techniques, and c) the decisions on how

building components and space within the house and neighbourhood are organized to

accommodate different activities.

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7.1.1 Choice of building materials

Ninety-one per cent of the structures in Korail are made out of Corrugated Iron (CI)

sheets (see Table 6.3) (UPPRP 2010). On the other hand, most respondents discussed

heat as the major climate hazard for the residents in the area while they also recognized

that CI sheets, as a building material, gain and radiate more heat than other materials.

The high density settlement constructed using high heat-absorbing and heat-emitting

materials usually cause increased temperature within the space and allow little airflow

for ventilation (Ahmed 2003; Ahmed & Rashid 2010; Smith & Levermore 2008). The

impacts can be explained by the theoretical view that the combination of different

parameters, such as the area of exposed external surfaces, the thermal capacities and

surface reflectance of built elements, and the view of sun and sky by surfaces, creates

multiple effects. They influence the magnitude of incident solar radiation, the air

movement inside and outside buildings, and the mean and peak temperatures of outdoor

air and surfaces (Yannas 2001:283). This theoretical proposition, discussions with

academics and professionals, and my personal experience as an architect convinced me

to conclude that the choice of building materials is one of the key factors that are

exacerbating exposure to climate hazards in Korail.

An alternative to CI sheets for constructing houses in the area is bamboo mat, or brick

and concrete. Many focus group discussion participants suggested building with brick or

concrete is unaffordable, considering the economics and tenure position of residents.

Rather, they said, bamboo mats were more suitable for construction and such structures

were also more comfortable when considering the heat. However renters like Sultana

(CS 02), Rabeya (CS 09) and Shamsul (CS 07) prefer to stay in houses made out of CI

sheets due to their concerns about safety and fire-hazards. It is very easy to cut through

bamboo matting to access a room. Korail has an amalgamated population from different

backgrounds and economic abilities. People are afraid that even the least expensive item

may be stolen because to a poor household it would have a significant value. Drug

addiction and gambling are causing social problem like increased risks of theft. For that

reason structures made out of bamboo mat are scant protection against intrusion or theft.

For households with adolescent daughters like Shamsul has (CS 07), or for single

widow like Kobori (CS 24), security is more important then physical comfort.

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Houses made out of CI sheets are also preferred when considering fire hazards. Some

respondents during the interviews explained that bamboo mats are more combustible

than CI sheets. They ignite easily, especially in hot dry seasons, and during any fire

event they perish completely; whereas, CI sheets take longer to catch and transmit fire;

moreover, they can be partially saved if measures are taken immediately. Most

respondents argued that although houses of CI sheets feel uncomfortable from the heat,

the reduced exposure to fire hazards is significant as fire tends to destroy all of their

assets. Jannat (participant of FGD group no. 01) explained that, in a densely populated

area fire can be instigated by carelessly throwing away a burning cigarette butt or by

sparks from an open oven. The narrow streets and congested houses leave little space to

avoid wide-scale destruction in the event of fire. She prefers to live in a safer house

made out of CI sheets than out of a more flimsy material. Hence, socio-economic

concerns undermine the motivations and efforts to reduce physical risks through the

choice of resilient building materials.

7.1.2 Construction techniques

Construction techniques seemed to add to the potential physical risks in Korail.

Constructing houses without windows can be argued as being a throw-back to the

influence of traditional mud-house construction from rural areas. Traditionally, mud

houses were constructed with minimum apertures because of the technical difficulties in

making openings in mud walls. The thick walls with an opening between the roof and

walls kept the rooms weather resilient (Figure 7.1a). Later, when people started using

other building materials like bamboo mats and CI sheeting, they followed the same

principle of constructing the external enclosure without openings. It is important to

recognize that most residents of Korail migrated from or have some links with rural

areas; they brought their experience of house construction from their place of origin to

Korail. They applied the same principles with CI sheets, although aware that the

sheeting has less resilience to heat and may not be the best choice in urban areas. The

resident’s inability to afford other building materials has encouraged recreating a rural

practice in an urban setting (Figure 7.1b).

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In Korail, two types of roof are popular and they follow the traditional methods of house

construction. Among them, the ‘dochala’ (gable roof with slopes in two directions)

performs better than ‘ekchala’ (lean-to-roof) for ensuring better comfort from heat.

Participants of FGD group no. 10 described that ‘ekchala’ accumulate more heat near

living spaces during summer or become cooler in winter; such roofs with inadequate

slope angles fail to drain rainwater properly causing water seepage. Usually the poorer

households, like Rabeya (CS 09), live in rooms with ‘ekchala’. The rent for rooms with

‘ekchala’ remains cheaper as they cost less to build. Rabeya discussed her exacerbated

discomfort from roofs in comparison to her neighbours, but her financial limitations had

compelled her to cope with persistent risks (Figure 7.2).

Figure 7.1: Construction detail of a) traditional mud house b) house in Korail

Source: a) Ahmed 2005 b) Author, interpretation from analysis of different houses

Figure 7.2: Details of 'ekchala' roof in a house

Source: Author, drawn from the house of CS 09

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The choice of building materials and construction techniques discussed here

significantly also contribute to the production and reproduction of spaces. The following

section elaborates the findings on how space organization influences the potential to

respond successfully to climate variability and changes that includes adjustment in both

behaviour and in resources and technologies.

7.1.3 Production and reproduction of spaces

The location of various components within a building and the organization of space add

different dimensions to the climatic vulnerability within a built environment. What I

mean by building components is where and how the doors, windows, openings,

enclosures, partitions, roofs are located within the house; whereas, space organization

illustrates how different spaces are organized in the house and neighbourhood to

accommodate living, cooking, personal hygiene and community facilities. The findings

illustrate that their location and organization are influenced by physical constraints and

social practices; thus, these indirectly affect the adaptive capacity of individuals.

For example, Suraiya (CS 13) cooks using a clay oven in the semi open space adjacent

to her room. All her four neighbours use separate ovens in the same small courtyard as

they do not have any designated kitchen area (Figure 7.3). Cooking with timber dust and

fire-wood in those ovens produces smoke and heat which is easily transmitted into her

living room. Without any window or opening, the smoke is trapped inside the room.

With a low roof surrounded by heat absorbing enclosure, the confined smoke creates a

significant health hazard. On a hot summer’s day, the open courtyard - instead of

providing refuge from the heat inside the room - becomes source of hazards.

In Korail, similar to houses, neighbourhoods also constraints on communal space which

contributes to exacerbated climate vulnerabilities. Usually houses are constructed

without leaving any space in between; the neighbourhood develops without any open

spaces for greenery or public space. The female house-owners of FGD group no. 01

discussed the motivation behind making such a dense development. They explained that

in places like Korail where every inch of land is valuable, people try to make the most

of available space. Although most members of the community value the significance of

open spaces to reduce impacts of increased heat, residents’ ability to afford such a built

environment is overshadowed by their socio-economic limitations.

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The participants also shared their experiences of how residents work together to

improve living conditions in their houses and neighbourhoods within the extant

limitations. In the past, community members have come together to improve the streets,

construct or clear the common drains in the neighbourhood. This generally happened

when it was organized by different NGOs and donor-driven projects. Usually each

house-owner decides independently when they can afford to invest in any physical

modification to their house. For that reason, it is very hard to co-ordinate a group of

neighbours. To make things worse, the way in which the poor have to focus on money

often results in a lack of trust among neighbours and that leads to conflict. Some do

seek help from neighbours while improving their houses, but most prefer to avoid

shared financial involvement.

To summarize the findings on the process of developing the built environment, it can be

highlighted that the development of high-density housing creates challenging living

conditions that have the potential to exacerbate direct and indirect impacts of climate

hazards (Image 7.1). In the absence of any formal interventions or comprehensive

planning, limited interventions by the NGOs cannot make a significant impact either. As

a consequence, most anticipatory and reactive actions directed toward adaptation are

influenced by factors of affordability, availability and security and cannot solely seek

comfort and weather resilience. In such a context other findings suggest that residents in

Figure 7.3: Cooking arrangement in the open-to-sky courtyard

Source: Author, drawn from the house of CS 13

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an informal settlement like Korail adopt strategies and take action to increase resilience

- within their limitations. The following sections describe some of those strategies and

actions at the household and community level, centring round choice of materials,

construction techniques and space organization.

7.2 The strategies for choosing building materials and techniques

During the fieldwork, I asked all the respondents about their reasons for choosing

particular building materials and construction techniques. The intention was to

understand both the explicit and implicit reasons: why such a significant proportion of

the population used mainly environmentally vulnerable material, and also organizing

their space in a challenging way. The findings lead to various physical, social, cultural

and economical concepts and ideology that govern the life of the urban poor. Kelly &

Adger (2000) argue that the vulnerability of any group is determined by resource

availability and by the entitlement of individuals and groups to call on these resources.

The security of tenure in Korail discussed in chapter six influences the development of

the built environment. As a consequence, people start building structures in transition at

the beginning; and later, incrementally develop the houses making them more resilient.

The development of the built environment showed that residents’ decisions about choice

of building materials and techniques were subject to economy, efficiency and aesthetic

concerns.

Image 7.1: Vulnerability influenced by a) building materials and b) density

Source: Author

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Economy and affordability of material

The analysis of the responses of the focus group discussions and case-study household

members indicate that CI sheets as building materials are preferred by most households

for economic reasons. Brick and concrete construction is unaffordable for urban poor

households; as an alternative construction with CI sheets is a better option comparing to

construction with bamboo mats or particle boards. Although the initial cost of

constructing with CI sheets is higher, the houses have better longevity and require

minimum maintenance. The CI sheets are more resilient against rainfall and experience

less corrosion, providing benefits in the long run. Koenigsberger et al. (1974) suggested

that for urban poor households struggling to make a living in the city, even the time for

home-maintenance becomes scarce; thus, they learn to value durable materials and

methods that do not need frequent attention. House-owners such as Ahmed (CS 17) and

Rafia (CS 19) preferred CI sheet over bamboo mats considering the economic benefits.

In addition, CI sheeting is a popular building material all over the country;

consequently, it is readily available and can be recycled. Different varieties of CI sheets

are available in the market ranging from new to recycled, varying in condition and

price, creating wider opportunities for choice based on affordability. Ahmed (CS 17)

took advantage of this range of sheeting when he started building his house. He could

not afford to build the entire structure with new CI sheets; instead, he bought from the

local market in Korail, which offered a wide variety. He could decide which type of

sheets to use in what area, considering his preferences and economic affordability. He

decided to use the new sheets for the immediate exterior enclosure and roofs to ensure

Image 7.2: Combination of old and new CI sheets for house construction

Source: Author

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security and better environmental protection, while he used recycled sheets near the

ridge of the roofs that are usually less exposed to sun or rain (Image 7.2).

Cultural perception about material

The economic reasons are also supported by the social and cultural perceptions about

materials. In Bangladeshi society, structures made out of anything other than brick and

concrete, are not considered as a ‘building’: this encompasses the concept of durability,

permanency and proper living conditions. The concept is underlined by the institutional

recognition of what constitutes a ‘building’ in housing standards. In that context, for

those who cannot ‘afford’ to build with ‘permanent’ materials, houses made out of CI

sheets signify durability, aesthetics and better living conditions. In Korail, some

respondents (CS 06 and CS 03) said that houses made out of CI sheets signify to the

community a better income and a better life-style. Although house-owners like Akashi

(CS 01) could afford to invest in permanent structures with brick and concrete, the

insecurity of their tenure discouraged them from doing so.

Cultural perceptions about better housing motivate even tenants to rent houses made of

CI sheets when they can afford to. Jehan and Afroza (CS 26) moved to a house made

out of CI sheet enclosures and roof with a cement-finished floor when their son started

Figure 7.4: Protective plinth wall with CI sheet enclosure and roof

Source: Author, drawn from the house of CS 26

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to work as a driver with a regular monthly income (Figure 7.4).. Their previous house

was made out of bamboo mat and suffered from both direct and indirect impacts of

water-clogging during rainfall. Although the new house is located near the lake, the

respondents expressed that they ‘feel safer’ from water clogging because their house has

a higher plinth of brick-and-cement finish, than their previous abode. The external

enclosure of CI sheets has reduced the water seepage from driving rains The suffering

from increased heat in the present house with CI sheets without any openings is

mitigated by the satisfaction of living in a ‘better house’ made out of ‘better materials’.

Efficiency of material

The choice of building materials or space organization by the house-owner is also

dominated by concern for efficiency. During the fieldwork, interviews with the local

‘mistri’ or craft-men revealed the close relationship between materials and the

dimensions of space. Measurements of houses in Korail are determined by the most

cost-effective use of CI sheets. Wahid mistri have been working as ‘ghormai’or house-

construction craftsmen in Korail for the last 20 years. In one of the small focus group

discussions with a craftsman and a house-owner who recently expanded his house with

the help of Wahid mistri, a detailed description set out the dimensions of a room

determined by the efficient use of materials while keeping the cost low. They described

the dimensions in terms of a locally-used measuring unit ‘haath’, that means an arm’s

length (1 haath = approximately 1.5 ft).

The cost effectiveness lies in the standard measurements of the material. Usually CI

sheets are sold as a 72 ft unit length that can be divided into 6, 8 or 9 ft - or 4, 6 or 7

haath - modules. Any size of house is determined as multiples of any of these modules.

The flexibility to manipulate the size of rooms and enclosures is a universal advantage

of using modular building materials. Considering the dimension of CI sheets along with

the dimensions of furniture, the local residents of Korail have derived a standard room

size for a household of three or four members. A double bed measures 4 haath X 5

haath; with an allowance of 2 haath free space on two sides for circulation and other

uses; thus a room can measure 6 haath X 7 haath. Constructing a room with these

dimensions will require four full lengths of CI sheets for the enclosure. In addition,

since multiple rooms are constructed within a structure, it is easy to manipulate the

modular material and plan for maximum efficiency at minimum cost (Figure 7.5).

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Similar to planning the layout of a room, the height is also determined by the size of the

materials. For example, the height of room with a ‘dochala’ or ‘ekchala’ is preferably 5

haath on the edge and 7 haath at the ridge of the roof. According to another carpenter,

Salam (CS 03), this dimension conforms to the optimum use of space: 5 haath is the

minimum clearance height for a standard male to use furniture (Figure 7.6).

Figure 7.5: Standard room size based on space usage and unit of material

Source: Author, drawn from analyzing different houses

Figure 7.6: Standard room height based on space usage and unit of material

Source: Author, drawn from analyzing different houses

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The use of modular material gives flexibility in space arrangements for other purposes

as well. It was interesting to talk to Arifa and her son Aslam (CS 06) who adjust the size

of a room to be rented by moving internal partitions. They own a linear 30 haath long

house which is divided into multiple rooms for renting out. Usually as house-owners

they determine the measurement of a room according to how many people they are

expecting to live in there. Accordingly a room size for one person can be 2.5 haath X 3

haath; while for 2, it should be 3 haath X 4 haath; for 3 it should be 4 haath X 5 haath;

and for 4 persons it should be 5 haath X 6 haath. All these dimensions conform to the

module of the CI sheets (shown in Figure 7.5); thus, this ensures efficiency of material,

space and cost effectiveness.

Concern for the efficient use of materials often increases exposure to environmental

hazards. Nipa (CS 23), like many other respondents, explained a reason for not making

any openings in the rooms made out of CI sheets: cutting any CI sheet to make an

opening will ruin the sheet and will reduce options to reuse or resell. Although Nipa’s

household pay BDT 1,800, almost half their household income is spent on rent

including the electricity bill, they have to live in a room without any opening because of

this concern about making efficient use of materials. In other cases, use of modular

building materials contributes as an advantage for the existing construction techniques

by making them flexible or fluid. The following section discusses the fluidity of

construction processes as a strategy to build better resilience in the built environment.

7.3 Fluidity of the construction process as a strategy to take actions

As introduced in the theoretical overview on adaptation to the built environment in

chapter two, conceptually ‘fluidity’ provides a framework for designing that aspires to

be flexible, situated, pragmatic and participative. Some of the findings from exploration

of the adaptive strategies of the community in Korail illustrate actions that can be

categorised to conform to these four characteristics.

7.3.1 Flexibility in the construction process

The general construction practice in Korail follows a flexible process of development.

The process follows basic principles; often they are almost standard and represent

modifications of practices followed in rural areas. The flexibility can be observed in the

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development of different components of the house, for example in constructing plinths,

structural members, partitions and external enclosure.

The first step in constructing a house is to decide the overall dimensions based on

available space and resources. Once the area is cleared a plinth is built - higher than the

level of the courtyard or street. People who build for the first time usually construct the

plinth using only rammed earth like Arifa (CS 06) did; she herself spent days cutting

earth from the lake to make the plinth. A rammed-earth floor requires high maintenance,

especially during the rainy season. They remain damp and tend to get washed away or

disintegrate during water-clogging or flooding events. To improve the condition of a

rammed earth plinth, house-owners often mix in other materials, for example ash,

cement, sand or construction rubbish with the earth; then add a thin water-resistant layer

with cement and sand on top of the earthen floor. Shamsul’s (CS 07) household lives in

a room with an earthen floor with such a water-resistant layer on top; however, he

described that the floor often cracks, stays damp, and experience water seepage; also

rats and insects ruin the floor very easily. As a renter Shamsul has few options to make

the floor more weather resistant.

In order to make the plinth water resilient, locally known as a ‘pucca’ floor, the

residents follow a standard practice shown in Figure 7.7. This construction technique

does not necessarily need skilled labours. Rafia (CS 19) with her daughter, and Salam

Figure 7.7: Construction detail of a water-resilient floor

Source: Author, drawn from the house of CS 03

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(CS 03) with his wife made a ‘pucca’ floor on their own. Usually, after the earth is

rammed a layer of construction rubbish is compacted on top. Then another layer is

added, made out of cement and brick dust mixture. Instead of this layer, those who can

afford to make a concrete layer out of brick chips, sand and cement. The layer provides

the main base of the floor, on top of which a thin layer of neat cement is applied to give

a smooth finish and a water-resistant floor. To protect the plinth area, a 3-to-5-inch thick

brick wall is constructed all around to retain the floor as well as to improve resilience.

The young girls of FGD group no. 02 described the advantages of having a ‘pucca’

floor. According to them, the floor remains free from dampness, has little water seepage

during water-clogging, and even if the floor is flooded, it can be easily cleaned

afterwards. Pucca floors have other advantages as well - they are easy to clean, and that

reduces the workload of the person in-charge of cleaning, the surface provides a

comfortable place to sleep during hot summer days when they are properly wiped with

damp cloth. Respondents like Sultana (CS 02) expressed feeling more resilient with the

‘pucca’ floor in her house. Nipa (CS 23), who cannot afford to rent a house with

‘dochala’ roof or a fan to get a relief from increased heat, uses the ‘pucca’ floor as a

refuge in hot days inside her small, low-roofed room that is without any openings.

These activities can be explained by Mallick's (1996) argument who suggested such

behavioural patterns increase adaptive capacity, as discussed in chapter two.

The use of construction rubbish for building a plinth is a popular practice not only in

Korail; but rather, it is a widely used process to fill up low-lying areas. The practice

takes advantage of recycling construction debris generated by the booming real-estate

development of the city. Like the participants of FGD group no. 21, many residents of

Korail are engaged in the businesses of collecting and processing construction rubbish.

Usually, these members go around the city to identify building demolition sites,

negotiate with the contractors to remove the debris, employ local day labourers, mostly

women, to bring them to Korail. Different elements from the rubbish, for example, brick

bats, concrete pieces, and earth are then sorted out to be sold separately for different

purposes. The participants of the FGD group no. 21 also described how they usually

make a better profit from the business before and during the rainy season when local

residents are using debris to improve the plinth of their rooms, streets and alleys to

reduce the risks from water seepage and water clogging.

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Figure 7.8: Pre-cast concrete stumps

Source: Ahmed 2005

One of the incentives of incremental development of a plinth is increased rent. The

renters have to pay more for better floors with reduced risk of hazards. Akashi (CS 01)

as a house-owner used her access to credit in four different periods to incrementally

change the floors in all the rooms she rents out. Her rooms are rarely vacant as they

afford better conditions. Similarly, Salam (CS 03) preferred to improve the plinth of the

renter’s room instead of the room they live as it earned a better income. Conversely, for

renters like Rabeya (CS 09) or Amina (CS 16), two of the poorest among the studied

households, living in a room with a ‘pucca’ floor is something they aspire to but cannot

yet afford. They fear that any intervention from the house-owners to improve their

housing condition will force them to

move elsewhere; and thus, they would

lose the social support they get from

their present neighbourhood.

Similar to the construction of the

plinth, the structural sections of houses

in Korail have developed flexibly.

Bamboo is the most available,

affordable and used structural material

in Korail compared with timber or pre-

cast concrete posts. Following the very

basic construction process of a house,

the vertical posts to support the

partitions are often dug directly into

the plinth. Direct contact with the earth

cause rapid decays of these supports;

thus, they need to be replaced almost

every year. To reduce these losses,

residents are pragmatic and learn from

practices followed in rural areas and

improvised innovative ways to achieve

the desired result of preventing the

supports rotting away so quickly.

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Nowadays, in rural areas, pre-cast concrete stumps (Kaatla) with metal clamps are used

for constructing new houses (Figure 7.8). The concrete post is dug into the plinth, while

the bamboo post is fixed with nuts and bolts to the metal clamp embedded in the

concrete post. It is suggested that use of Kaatla at the base protects the bamboo posts

from having direct contact with moisture seeping up from the ground, thus doubling the

life-span of the posts (Ahmed 2005) and reducing recurrent expenditure on replacing

bamboo supports.

‘Kaatla’ are not available in Korail; but, metal clamps of different sizes are easily

available in hardware shops in the area. The residents use the concept of ‘Kaatla’ in

innovative ways by using their own resources (shown in Image 7.3). For example,

Ibrahim (CS 15) constructed a peripheral brick-retaining wall around the plinth, while

inserting metal clamps in the wall at certain intervals. The bamboo posts were then

fixed with nuts and bolts to these clamps, so they served a similar purpose to the Kaatla.

The practice has significantly reduced his yearly maintenance costs for the house.

On the other hand, Salam (CS 03), from his experience as a construction worker, knew

the proportions for mixing concrete. He used his knowledge to make bases for the posts

by pouring concrete into recycled plastic containers, with iron clamps inserted in the

concrete. The plastic container gave shape to the concrete and also helped to protect the

base from water seepage when dug into the plinth. Containers gave him the flexibility to

Image 7.3: Improvised column base in Korail

Source: Author

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make any number of bases at his convenience before starting the actual construction.

Often he uses the left-over materials from construction sites to make these bases, which

he gets from his renters working as construction labourers. He is not innovative about

the use of the main materials: he is innovative in the way he adapts the flexibility of the

construction process. It has proven to be cost-effective because it results from maximum

use of available physical and human resources.

Similar experience and knowledge used for roofing reduced the impact of temperature

and rainfall in some of the households studied. As mentioned earlier, two types of roof

are constructed with CI sheets in Korail: the ‘dochala’ roofs are more popular as they

are more resilient against temperature and rainfall. The sloped roof creates a void space

where hot air can be accumulated away from the living space. Traditionally, a false

ceiling is constructed underneath the sloped roof to separate the living space from the

ceiling space to achieve maximum insulation from temperature.

For a poor household, with the prevalent limitations of habitable space, this vertical

empty space becomes useful for other purposes. Nahar (CS 12), the tailor, uses this

space as storage to keep safe her most important assets, her stock of clothes (shown in

Figure 8.6). Unlike her neighbouring shop-owners, who do not have such facilities, she

suffered a reduced depletion of her valuable productive assets during previous events of

water-clogging resulting from intense rainfall at night. Ibrahim (CS 15) shared his

experience during flooding of 1998, when his household members stayed in a make-

shift stilt constructed inside the house. The additional height of the roof accommodated

the space to make the stilt; whereas, people living in houses with ‘ekchala’ roofs were

unable to make such arrangements and had to move from their houses.

The sloped roof helps better drainage for run-off from rainfall. Few of the houses visited

during the fieldwork had gutters to collect rain water or drain it through convenient

routes. It was observed during a focus group discussion, that when it started raining,

some of the residents were collecting the run-off rain water from the roof in buckets.

This water was used later for household works (Image 7.3a). The roof-gutters in the

neighbouring house drained the run-off from the roof away from the common passage

to an open space (Image 7.3b). Many of the houses do not follow the standard slopes for

the ‘dochala’ roofs, in order to save roofing materials. With shallow slopes, these

houses are unable to take full advantage of the empty space underneath the roof, or

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resist seepage from rain. In such circumstances, the residents adopt other strategies to

increase insulation from the heat and cold as well as water resilience.

Insulation under a ‘dochala’ roof are argued to significantly improve living conditions

in an urban environment (Ahmed & Rashid 2010; Mridha & Ahmed 2004). Many

households in Korail cannot afford to construct a false ceiling under the roof because of

the additional cost. As an alternative, residents like Salam (CS 03), Nehar (CS 14) or

Rima (CS 25) used recycled particle board, wooden planks or packing boxes to make a

false ceiling underneath the ‘dochala’ to reduce the effect of heat transmission from the

radiating CI sheet roofs.

The most common practice of insulating a house in Korail is to use a canopy made out

of recycled clothes (e.g. in the households of Ibrahim CS 15, Rafia CS 19, Suraiya and

Momin CS 13). Suraiya’s husband Momin (CS 13) used one of her old ‘sharees’15 to

sew a canopy underneath the ‘dochala’ roof (Figure 7.9). She described how the canopy

not only reduced the heat significantly from the roof during summer, but also protected

them from accumulated dew drops that fall from the roof during winter. The dew is a

problem for householders as it dampens the beds, and drains down the accumulated

15 ‘Sharee’ is a running piece of cloth, usually 8-10 haat or 12-15 feet long and 3.5 feet wide, regularly worn by the women as dress.

Image 7.4: a) Collecting rainwater without roof gutter, b) draining rainwater from the corridor with gutter c) Overflow of drainage

Source: Author, taken in various locations in November, 2010

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ashes on the roof from cooking fumes causing health hazards. Kobori (CS 24) described

similar advantages of using a canopy although she uses that underneath an ‘ekchala’

roof. The heat loss in her low ‘ekchala’ room was not as significant as in Momin’s

house; yet, it was better than her neighbours’ who had no insulation.

The use of a canopy proved beneficial for Suraiya and Momin (CS 13) for other reasons

as well. Unlike their neighbours, they could not mount a ceiling fan – an appliance that

tends to draw down the hot air accumulated near the heated roof of the living spaces.

They were forced to use a table fan as an alternative and it proved to be more

comfortable as the table fan circulated the comparatively cooler air around. Apart from

their utilitarian function, the canopies in the houses are used as a decorative element

Figure 7.9: Use of canopy as heat insulator

Source: Author, drawn from the house of CS 13

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reflecting the aesthetics of the household members. Hence, the use of a canopy or false

ceiling as insulation gave households the flexibility to increase their resilience

according to their own choices and ability to afford them.

Analyzing the process of a house’s development, it is evident that of the various

components roofs are most vulnerable from increased heat as shown in Figure 7.10. The

vulnerability to heat gradually increases from plinth to roof. Whereas vulnerability to

water-clogging tends to most significant at the plinth level; but intense rainfall that

usually contributes to water-clogging affects the roof as well. The enclosures are

moderately vulnerable to both increased heat and water-clogging. The analysis indicates

that interventions to increase resilience at the roof and plinth levels can make a

significant contribution through the use of selected materials and by adopting innovative

construction techniques.

The flexibility of the construction process illustrated by these examples also indicates a

process of incremental development. These incremental developments not only can take

the form of small improvements, but they can also be significant on a larger scale, such

as reconstruction with different materials, expanding rooms, or adding another level.

The following section explores some of the examples of incremental development

studied in Korail.

Figure 7.10: Vulnerability level in different building components

Source: Author, Interpretation from analysis of different houses

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7.3.2 Incremental development

Habraken (1998:6-8) suggested that built environments have lives of their own - they

grow and renew themselves: continuous renewal and replacement of individual cells

preserves them, giving them the ability to persist. Users control the ‘built form’, and to

control is to transform. There is thus no absolute distinction between those who create

and those who use. Usage marks the beginning and end of each act of transformation,

forming part of the cycle of actions by which the built environment lives (ibid).

Following this concept it can be argued that the individual structures in Korail live

through continuous transformation. The example, illustrated through the time line of

development of a house shown in Figure 7.11, supports such a claim. The incremental

development of the house followed the process of construction, expansion and

improvement, depending on available resources.

Findings from other case-studies suggest similar improvements encouraged vertical

expansion. Towards the end of the fieldwork it was possible to observe the major

expansions of a house that exemplifies the process, strategies and actions of incremental

development. Earlier when a focus group discussion (group no. 15) was organized in the

same house with female renters and the house-owner, it was noticed that the renters had

Figure 7.11: Time line depicting development of a house in Korail

Source: Respondents, Case study household no. 14

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good relations with the house-owner. The house was arranged on both sides of an

internal corridor with a low roof (Figure 7.12a). The rooms had a low ‘ekchala’ roof

with no openings, so were very uncomfortable to live in because the heat accumulated

inside without any provisions for ventilation. During the period of the fieldwork, the

house-owner decided to take a loan to reconstruct the house. They decided to make the

house two-storied, a new trend in the area, in order to increase the number of rentable

rooms, improve the condition of the existing ones, and improve toilet and cooking areas.

During the expansion process, the house-owner did not ask the renters to move. Instead

the work progressed gradually. The exterior enclosures were kept in place on the street

side while the base for timber posts and the internal partitions were constructed. During

the construction work some of the renters’ furniture was moved to the house-owner’s

room. Using modular building material it was easier to construct section by section and

do so speedily. Although both house-owner and renters faced some inconvenience, the

incremental process was beneficial to both the parties. The renters did not need to find

a new place in the middle of the month, while the house-owner did not lose income for

Figure 7.12: Incremental development of a house: a) the layout of ground floor before the expansion, b) after the expansion

Source: Author, drawn in two different periods of a house’s development

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the month. With a sufficient flow of funding, it took only seven days to complete the

plinth, to make the base of the timber posts strong enough to support the two-storied

structure instead of being made of bamboo, and to make the ground floor temporarily

habitable.

The upper level was added only on the portion of the house along the street. The room

layout of the upper level followed that of the ground level; however, the construction

took advantage of the open space and extended into the area above the street. The

vertical structural uprights needed to be stronger, so the material was changed from

bamboo to timber posts with a concrete base. The three-foot brick wall along the

periphery provided the additional support for the structure. Like some of the new

developments in the area, the access passage at the upper level was intended to create a

verandah to be used in a similar manner to the passage on the ground floor.

This was a rudimentary type of construction that grew from necessity and the practical

knowledge vested in local masons and carpenters. Ozkan (1997) cites from Turner

(1972) who suggested that

access to building materials and technological know-how, and allowing people to determine the configuration, sitting and spaces of their own homes, leads to a technology-dominated architectural harmony. In most cases this harmony relieves the sharper, irritating expressions of imposed architecture, and permits more modest and humane environments.

With the emerging trend of building multiple levels the residents of Korail discussed the

possible benefits of these structures as being more resilient to climate impacts.

However, it will be interesting to observe in future how the streets may take shape with

extended verandahs above, what kind of built environment will emerge when everyone

starts building multiple levels, and what will be their impact on already scarce services

with the increased population. It was not possible to explore these in the limited time

span of this research; however, to gain a rough idea, I studied three households who

either built or were renting in multi-level houses.

Two years back Rohmot and Jahan (CS 21) took BDT 40,000 from their mother to buy

a house in Boubazar area near the lake. The new house had five rooms arranged around

a three-foot-wide passage like the neighbouring houses. They decided to build a second

storey with an additional loan of BDT 20,000 from an uncle. They added two new

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rooms on the upper level with a balcony. Being encouraged by such developments, the

second case study household of Maruf and Asif (CS 18), two young brothers, convinced

their father to build a second storey right on the lake side when they earned some extra

cash from a part time job. The household usually had to spend for maintenance every

year; on that occasion they added three more rooms on the upper level with

approximately BDT 100,000. The house was still under construction during the

interview. The third case study household of Liaqot and Ruma (CS 22) were renters.

They decided to rent a room on the upper storey of a newly built house after all their

belongings were stolen from a house made out of bamboo mat. At the time of interview,

the household had been living in this new accommodation for only six months.

The users of these multi-level houses described several advantages from living on the

upper level. Jahan (CS 21) still lives on the ground floor; however, her room is now

cooler as its roof is no longer directly exposed to the sun. In addition she can access the

balcony on the upper level from her room (Figure 7.13). She said to feel more

comfortable in the light and airy verandah away from the public gaze. She is planting in

pots on the verandah that gets ample light and she hopes to grow vegetables for her

household. Her house typifies what Morgan (2010:25) argued that an upper level can

offer a space that is visible yet protected, especially in a conservative atmosphere where

women may become visible, and audible without coming into the city.

Figure 7.13: Use of balcony in two-storied structures

Source: Author, drawn from the house of CS 21

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Liaqot and Ruma (CS 22) had a similar experience of comfort and privacy. They

described that along with better light and ventilation they suffered less from bad odours

and mosquitoes in the last six months. Although they did not live through any rainy

season during their stay in the house, they were hoping that living on an upper level

would make them less vulnerable to water clogging and flooding. However, Ruma

needed to be vigilant about her two young daughters when they used the stairs; thus

safety had become a new concern. She was happy to accept the need to take additional

care, because living on an upper level has increased her overall sense of security which

had been the main reason for moving to the new house.

Asif’s (CS 18) expectations around the new upper level rooms were related to

responding to the heat and water-clogging. The rooms were made out of CI sheets in the

upper level as well. With no other structures or trees around, they were exposed more to

the direct sun; thus, it was to be expected that they would be more vulnerable to

increased temperatures. Despite this increased exposure, Asif suggested that they could

make windows in the upper levels that would provide ample ventilation to keep the

interior cooler. He was a bit sceptical about the coming stormy season (Figure 7.14).

Lake side dwellings usually face strong winds during storms; they were hoping that the

new upper level rooms would be safe despite the increased exposure to wind. The

development of Asif’s house can be argued to illustrate another significant trend of

Korail - combining indigenous knowledge with available resources.

Figure 7.14: Ventilation provisions in upper level rooms

Source: Author, drawn from the house of CS 18

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7.3.3 Combining indigenous knowledge with available resources

The community profile described in chapter six revealed that residents came to Korail

from various parts of the country. During the fieldwork, a subtle difference was

observed between houses built by owners from different origins. For instance, the

technique of making a peripheral brick wall around an earthen plinth, locally known as

‘dowa-posta’, has been popularized in flood-prone areas (Ahmed 2005); people who

originated from those parts use this technique in Korail more than others. On the other

hand, a significant portion of the population in Korail migrated from the southern part

of the country (Barishal and Vola) where annual flooding and cyclones are prevalent. It

is a popular practice in these southern districts to construct two-storied structures using

timber and CI sheets. Some of the multi-level house-owners, like the household of

Asif’s in the previous example, who constructed houses in Korail originated from the

southern districts. The recent development of two-storied structures may be influenced

by their indigenous knowledge. Although within the limited scope of this research it is

not possible to establish a definite trend, the findings, however, illustrate the significant

influence of indigenous knowledge on decisions to use locally available resources for

the development of the built environment.

Many of the local construction workers, or the ‘mistri’ who play a vital role in defining

the character of the built environment in Korail, come from the southern districts as

well. This fact supports the notion that indigenous knowledge influences construction

practices in the area. As observed from discussion with some of them, a mistri has to

bring multiple skills from different trades such as masonry, carpentry etc. to work in

Korail. Urban poor households cannot afford to employ a series of construction workers

from different trades and have to depend on one or two people to complete the work. A

mistri usually develops skills though working as an apprentice or by helping those who

may have worked in rural areas or in the formal construction sector. The merger

between their indigenous construction knowledge and urban space and having limited

choice of materials has established the current trend in the community. In addition,

house-owners depend on the mistri’s suggestions to determine the optimum size of a

house taking into consideration the efficiency of materials to hand. Hence they

influence decisions on the organization of space as well.

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7.4 Pragmatic space organization considering limitations and alternatives

The theoretical overview of space in the built environment and climate variables in

chapter two emphasized the relationship between thermal comfort and the organization

of indoor and outdoor spaces. The findings indicated that the adaptive capacity of an

individual and a household may depend on the conditions of those spaces as well as on

socio-economic factors. The findings from Korail exemplify similar outcomes; in

addition they illustrate how pragmatic decision-making within limitations and available

alternatives can contribute to increasing potential to respond to climate hazards and

risks. The following five sections expand those strategies and actions.

7.4.1 Efficiency of space, demand and high density development

The development of Sefali’s (CS 05) house can be taken as an example of the

relationship between efficiency of space, demand and high density development. Three

years back their house used to be as shown in Figure 7.15a (Jabeen et al. 2010). I went

back to this house to find out whether or not they had changed anything in the last few

years. Figure 7.15b was the space organization after three years. During the intervening

years Sefali and her husband constructed another room and made a smaller common

kitchen in the space that used to be an open courtyard. In the process, the previous

kitchen had been converted into another room to rent out, while a room on the street

side had been converted into a shop for better economic return. Hence, the house is now

more crammed than before, without any space for ventilation, or for planting creepers to

shade the roof which used to reduce their exposure to hazards. The development of the

house represents a common trend of accommodating the increasing demand for space

and the motivation to maximize use of available space for economic benefit. Such

motivation results in high density developments that degrade the overall quality of

living conditions in Korail.

The case study also illustrates that for an urban poor household financial benefits often

override concerns for creating a better living environment. It is worth highlighting that

Sefali and her household could make these changes as they had access to open space to

build in. In addition, access to a supply of cooking gas and to a different type of oven

that required less space in the kitchen gave them more flexibility to reorganize their

space. When asked about the reasons for the changes, the respondent described that they

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had to make these modifications for economic reasons. The expense of their son’s

education had increased since he started going to college. Furthermore, at the time of

the interview, they were preparing for the birth of the first child of their 19-year-old

daughter, who was expecting in a week. As parents, they were supposed to bear all the

medical expenses. Their limited access to social and healthcare services made them

vulnerable to future uncertainties; thus, the household was compelled to prioritise

financial resilience rather than improve the comfort of their living conditions.

7.4.2 Organizing spaces to combine multiple activities within the house

The discussion in chapter three described the triple role of women in an urban poor

household and the implications of these triple roles on space. The discussions also

identified spatial practice and possible variations of involvement of women and men in

the practice. The organization of spaces possible reflect how they represent the gender

relation in the community, as well as how the spaces restrict or encourage to

accommodate the gender needs of taking on triple roles for the women. In chapter five,

Figure 7.15: House of CS no. 05 a) in 2007 b) in 2010

Source: a) Jabeen et al. 2009 b) Author, drawn from the house of CS 05

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the findings on the economic context illustrated the significance of home-based

livelihood opportunities for the women in Korail. Relating the theoretical debates with

findings from the study area illustrated that households organized spaces in their houses

to facilitate multiple activities especially for women. They illustrated implications for

environmental vulnerabilities as well.

Nehar (CS 14) took a loan from an NGO to start a small shop in front of her house two

years ago. Her husband works as a lift operator in a nearby office all day, and runs the

shop at night. During the day she runs the shop, nurses her one-year-old daughter, takes

care of her other eight-year-old daughter and five-year-old son. Their house (Figure

7.16) illustrated one of the most compact ways to organize space among the studied

households as it was also most efficient in terms of using space to accommodate various

activities.

Nehar took advantage of the location of her house at the corner of a busy market street

and a side alley. They planned to locate the shop facing the market while keeping access

to the living area and toilet from the less busy side alley. They also kept an opening with

a curtain in the partition between the shop and the family living area. The bed was

Figure 7.16: Combination of work and living areas

Source: Author, drawn from the house of CS 14

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placed adjoining the opening so that she could watch over her sleeping toddler. The

opening also let Nehar keep an eye on other children inside the house. Visual control

was important for her to run the business and take care of the family simultaneously

during the day time. She placed the TV at a convenient location so that it would attract

customers; also she could watch in between attending to the customers. Since her shop

has semi-open enclosure, Nehar said she felt more comfortable sitting in the shop during

hot days. The folded-up door that provides shading under which a bench is placed for

customers to sit on also protects her from driving rain and direct sunlight.

Nehar could take advantage of re-arranging space to maximise her comfort because her

household owned the house. Rahima (CS 04), on the other hand, did not enjoy a similar

advantage as she was a tenant running a shop. Rahima started the business when her

husband’s earnings were reduced significantly during the national economic recession.

The shop is away from the room where they live with their two daughters who are one

and eight years old. The husband spends most of the day time in the office, while she

runs the shop from 6 am to 8 pm. As a consequence of her work load, the eight-year-old

daughter Rimi has become responsible for cooking and taking care of other household

chores. Rimi does not go to school and plays with her friends in front of the shop.

Renting two places are expensive for the household, so they took a shop with good

conditions in the main street while living in a small room elsewhere that suffers from

water clogging. Economic opportunities and constraints influenced the household’s

gender roles, division of labour, time and task allocation, as well their environmental

comfort resulting from space usage.

7.4.3 Small modifications for better resilience

Both of the case-studies of Nehar and Rahima illustrated choices regarding major

modifications to the house to reduce risks; however, other case studies showed how

small modifications to space organization within the house and the neighbourhood

increased their climate resilience significantly. In all the households studied,

respondents prepared space to be used for storage within the living room. These were

usually high shelves attached to partitions and supported by metal threads tied to the

bamboo supports that formed the structure of the house (Image 7.5a). The shelves were

used for regular household items to increase the efficiency of space usage inside the

room. As indicated earlier, usually a space, two haath (3 ft) wide, is left clear in a room

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to accommodate other furniture, apart from the bed. Modifications for better space

usage increased resilience to flooding and water clogging during heavy rainfall. These

households lose fewer assets during these kinds of event.

Again, in the houses that suffered from water clogging, often the bed and other furniture

were raised on a minimum of two bricks or six inches to limit the damage from standing

in water. It can be inferred that in many cases a minimal increase in the height of the

plinth or support for the furniture or any other protective measures can moderately

contribute to building resilience. Similarly, some households pasted old newspapers or

recycled posters to cover the CI sheets (Image 7.5b). The respondents said that pasting

on the CI sheets covered holes in the enclosures and gave some protection from cold

winter air. In the summer, the newspaper covering for the CI sheets also insulated

against direct exposure to the sun and also gave the rooms a better look aesthetically.

Such small modifications may not be considered as major adaptations; nevertheless,

they show how residents take the initiative to use the resources they have available.

7.4.4 Participative neighbourhood planning

Initiatives taken at the household level to protect assets is often reflected in initiatives

taken at the neighbourhood level as well. In Korail, space organization in

neighbourhoods is dominated by the high demand and efficiency of space usage within

Image 7.5: a) Higher storage facilities b) Adding layers for covering CI sheets

Source: Author

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the house. As described in the community profile in chapter six, different community

facilities, for example schools, mosques, clubs, health centres and water points, have

been initiated either by individuals, NGOs or political parties to meet the growing needs

of the community. Some house-owners rented out their rooms to be converted into

community facilities, some of those facilities were established voluntarily, and some

were enforced with political support. Some of these community facilities may have

multiple functions: for example, a mosque or a school is converted into an emergency

shelter during any disaster.

Although the organic growth of the neighbourhood has left little space to accommodate

infrastructure, nevertheless, over the years, the community has come together to

improve provisions and conditions for their own benefit. As indicated in chapter six, the

respondents valued streets as a component of community asset that provided better

access to work and houses. Members of FGD group no. 16 identified the significance of

drainage on increasing or reducing risks. Some of those initiatives to improve

infrastructure were driven by different NGO interventions. In the process the

community groups produced community maps (Image 7.6) to decide on the need and

location of improvements such as for streets, drainage, toilets for groups of households,

Image 7.6: Community map of Jamaibazar

Source: UPPRP 2010

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and community centres for different activities. The maps were produced following

participatory processes where mostly the house-owners negotiated priorities, needs and

beneficiaries in the neighbourhood to decide on future activities. Some community

based projects (e.g. UPPRP) emphasized the women’s participation in these planning

and implementation processes.

Many streets in Korail have been improved through community participation for

improving access; similarly, construction of both open and piped drains reduced impacts

of water-clogging (Image 7.7). Community water points have been established

negotiating with the formal service provider. DSK, one of the NGOs working in the area

since 2000, reported on the construction of 5,000 toilets, and streets of more than 3,000

feet (DSK 2011). All these developments have significantly supported the adaptation by

the community to hazardous conditions. A large portion of the community is not

covered by any of these activities as there is a dire lack of any comprehensive planning,

and different projects are not coordinated.

7.4.5 Informal-formal service provision

Faruk (a participant of FGD group no. 06) described,

If you move to Korail it takes only a day to get water and electricity supply lines; whereas, it will take months in any other residential areas in Dhaka.

Image 7.7: a) Construction of new drains, b) streets, c) community toilets

Source: Author

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He made this comment in relation to the availability of the informal yet very formal

infrastructure and service provision in the area. Hossain (2012) described the process of

providing access to utilities from local vendors in Korail. These providers maintain

relationships with administrative staff of the service-providing authorities, political

leaders and influential community leaders to make utilities available in the settlement

and continuing their informal businesses. Access to these utilities is negotiated in the

continuously changing arrangements of a complex hybrid institutional sphere that is

under informal regulation (ibid). The regulations in place and the inter-linkage between

different forms of regulatory space continue to support informal practices.

One of these vendors is Mahmud, a participant of focus group discussion no. 06. He

provides electricity connections to around 1,500 households in Jamaibazar area of

Korail. The discussion with him was informative in getting a clearer idea on how the

informal system works. He described how providers divide the area among different

vendors. Each individual is responsible for negotiating with the service-providing

authorities to get some sort of legal connection from which they distribute links among

hundreds of households. The vendors hire persons from the neighbourhood to collect

bills and pay the authorities, to maintain the supply system, and set up new connections.

To cover all the expenses each household has to pay between BDT 100-120 for each

point that is used for either a light or a fan.

Image 7.8: a) Water supply lines in the street, b) electric meters in a vendor’s house, c) water point to buy water for bathing and household use

Source: Author

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Like the criss-crossed water pipelines in the streets shown in Image 7.8, service

provision in Korail symbolizes a complex yet simple process of building resilience

based on available physical, financial and human assets.

7.5 Building adaptive capacities with housing and infrastructure

The diversified discussions in this chapter highlight some of the key issues to be

considered for adaptation in the built environment within the informal settlements. The

discussions on the vulnerabilities induced by development of the built environment in

Korail emphasize the significance of considering three factors: the choice of building

materials, the choice of construction techniques, and the creation and renovation of

space through decisions for locating building components and space organization within

a house and the neighbourhood. The physical vulnerabilities evaluated through these

factors reveal their dependency on the socio-economic conditions that limit choices for

options to access a resilient built environment. The findings accentuate the theoretical

arguments that climate vulnerabilities are not only exacerbated by the lack of different

components of physical assets; the financial and human assets determine the

characteristics of the built environment that contribute to such exacerbation.

The limitations of choices revealed some of the innovative strategies urban poor

households adopted to develop their built environment. These strategies are innovative

in terms of ‘new ways of doing things’, as discussed in chapter two, that created new

ideas, institutions, practices, behaviours and social relations. The interactions between

renters and house-owners, clients and the service-providing vendors, house-owners and

‘mistri’ - all of these exemplify the social relations and practices for developing houses

and infrastructure. It can be argued that these practices and behaviour have wider

implications for generating knowledge for adaptation planning on city scale. The

theoretical overview on adaptation in the built environment emphasizes developing

regulatory frameworks to increase resilience for the urban poor. The findings illustrated

in the discussions indicate the components of an agenda to develop regulatory

frameworks following a pro-poor approach.

The residents of Korail follow a fluid process in developing their built environment.

They are arguably flexible, situated, pragmatic and participative. The fluidity for

building resilience was evident in householders reducing different types of vulnerability

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arising from materials, construction techniques and space organization. The findings

show that decisions about materials centre on physical concerns in order to achieve

efficiency and protection against adverse conditions; nevertheless, they are influenced

by the socio-cultural perceptions of durability, aesthetics and better living conditions.

As such, the choice of building materials no longer remains solely as a physical attribute

of the built environment, but is also a socio-economic choice by households. Similarly,

the flexible process of construction by using modular building materials and easy-to-

follow techniques partially liberates the overall construction process from the

dominance of the professionals. The local ‘mistri’ and their knowledge become the

human assets to capitalize on to contribute in the development of the resilient built

environment. Flexibility also creates opportunities for incremental development which

is argued to be the only way of intervening in conditions of profound complexity and

entrenched power dynamics.

The incremental development process takes advantage of available resources, the

introduction of new construction ideas, improvisation of existing construction

techniques, and the recycling of materials within the community and at a city level.

This creates a local style. This style is acceptable and affordable to the community for

their pragmatic, situated and participative decision-making processes. The incremental

developments also incorporate small modifications that are generated from residents’

experience and practice which reduce direct and indirect climate imapcts significantly.

The practice of making canopies and high-up storage facilities to reduce heat and secure

assets from damage through water-clogging exemplify some of the indigenous practices

adapted for the urban context.

The findings also illustrate that, in a high density development where the increasing

demand for space encourages poor households to prioritize financial benefits over

reduced physical risks, it is hard to impose any ‘standards’ for individuals or the

community. The existing practices also illustrate the positive impacts of community-

based approaches, where the community negotiates their own resources to improve

living conditions through infrastructure development. The informal-formal process of

service delivery is, in a way, participative and depends on the community’s ability to

afford them and their willingness to access them.

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All these activities and initiatives depend on the people, the power relations among

them, and their access to and control over resources. They are the members of

households, and subsequently, members of the community. As discussed in the

literature overview, their decision-making abilities within a household are based on

asset-ownership, and in many instances, on gender dynamics. Influence on how the

decisions are made - even on issues like choice of materials, construction techniques

and space organization within households and the community - determines the

vulnerability and strategies for building resilience. The following chapter takes gender

as a factor for discussion, and for reviewing asset-vulnerability as discussed in the

previous chapter six, and resilience building in the built environment, as discussed in

this chapter.

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Chapter 8. The roles, resources and power relations of adaptive capacity

In the complex web of relationships between communities and their environment, climate change is a multiplier of environmental changes and has major impacts on the environmental functions and services on which women and men depend and with which they interact. These impacts and consequences are not gender-neutral and often affect women and girls in more direct and severe way in their roles, responsibilities and opportunities. At the same time, experiences of women and men in coping with and adapting to sudden and gradual environmental stress and climatic changes can be valuable contributions in dealing with these (Dankelman & Fansen 2010:49).

The third objective of this research is to examine the gender dynamics within

households and communities that mediate the process of decision-making, access to and

management of resources and their impacts on asset-based adaptation. Some of the

previous findings on vulnerabilities and strategies of building resilience by the

community members in Korail indicated the significance of gender dynamics in terms

of roles, resources and power. Following the six groups of differential factors identified

in chapter three for assessing gender-based vulnerabilities I intend to discuss the

findings in the light of gender roles, gender division of labour, gender differences in

income and asset-ownership, physical difference, gender bias in power and decision

making with relevance to the built environment.

8.1 Gender roles and cultural pattern based on household headship

The theoretical overview identified gender roles and associated cultural patterns as

factors defining differentials in adaptive capacity. The findings of this research

identified that gender roles in Korail are mostly determined by the household headship

that assert the responsibilities and division of labour on women and men. This research

followed the definition of household head as the person who took the key

responsibilities for providing housing and food as well as management of household

expenses (BBS 2007). In Korail, approximately 89 per cent of the households are male-

headed while the proportion of male to female in the population is 55:45 (UPPRP

2010). The figures are consistent with national data for urban areas that recorded a

decrease in the female-headed households from 14 per cent in 1991 to 10.7 per cent in

2008 (BBS 2009). As such, out of the 26 case-study households, 21 are male-headed.

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The term ‘head of household’ is arguably not neutral: it is loaded with additional

meanings that can reflect a traditional emphasis on households as undifferentiated units

with a patriarchal system of resources (Buvinić & Gupta 1997). Persistent ideas about

heads of households in Korail are influenced by the cultural norm of the society that

expects men to take the headship through taking on productive roles. Accordingly,

households such as those of Liaqot (CS 22), Ibrahim (CS 15), Maruf and Asif (CS 18),

Jahan (CS 21) illustrated a strong adherence to this patriarchal ideology. Liaqot (CS 22)

described that as a devoted Muslim it is his duty to take care of his family; thus, he

preferred his wife Ruma, once they were married, to only take care of the household

work. Similarly, Ibrahim (CS 15) suggested other reasons for disapproving women who

take up productive roles. He explained that women should be respected by the men, thus

men should be providing for them out of respect. His daughter-in-law, who used to

work in the garment industry, left work after marriage. Maruf and Asif (CS 18), the two

brothers boldly expressed “no women in our household work outside, we take care of

them”. All of these respondents’ opinions conform to the dominant perception of roles

for male members that come with increased responsibilities to manage any risks as well.

Some of the case-study households showed some variations from these ideologies.

Although male members are recognized as the head in those male-headed households,

the female members shared almost equal responsibility and also made decisions about

access to and the management of household resources. While taking on those roles the

female members did not challenge the headship pattern; rather, they perceived the

relationship as being mutually beneficent. Iffat (CS 03), one of the respondents of such

household described:

…my husband is ill most of the time. I work as a cleaner in an office, do all the shopping for food, clothes and others things while taking care of the housework. But whatever I do I consult with him.

She added that:

….when women go to the market to buy food, they look for a bargain, think about their needs and resources for buying, and thus make informed decisions to manage within limited resources. Whereas, when men are given the responsibility, they tend to spend money on wrong items or buy large amounts that are not needed. They will spend extra money to drink tea or a smoke a cigarette. We are poor and cannot spend like that. That is why you will see more women in the markets in Korail.

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Sultana’s (CS 02) husband has to stay away from the house for more than 15 hours a

day for his work. She expressed similar opinions about women in Korail taking on more

responsibilities. Both of the respondents suggested that their decision-making ability to

control expenditure and purchasing made it more convenient to manage the household

within limited resources, and that their husbands appreciated that.

In contrast, Suraiya (CS 13) described more confidence in her husband’s decisions

about household management. She explained:

My husband takes care of the key decisions on improving our house, takes care of the shopping for food and other household needs. If I need anything extra, I usually buy them using credit from a relative’s neighbourhood shop. My husband adjusts those expenses at the end of the month.

Both Suraiya and her husband work in the garment industry, earning the same amount

of salary; however, the husband, as the household head takes the money from both their

earnings and is responsible for taking major decisions. The wife expressed her

satisfaction and confidence with him for being a better manager in times of crisis.

Despite common perceptions about dominant role of men in the community, the male

members of FGD group no. 14 identified the reasons why female members in Korail

take on more responsibility, and also described the types of responsibility they take

(Box 8.1). The respondents discussed how economic limitations compel women to work

outside to reduce the overall household vulnerabilities.

Box 8.1: Reasons and types of responsibility taken by the women

� Women are required to work to off-set the risk from depending on one person’s income to maintain a poor household

� They have better opportunities to be employed � Women are more responsive to the hardships of the households � They are more concerned about the children’s future � Women who work as household helpers often bring food from the houses where they

work, and this represents savings on the cost of food � Women work more near the household and nature, thus are more sensitive � They take care of small maintenance jobs around the house � Men do not know how to save, where as women save more � Women are more trustworthy to repay loans, compared with men � They have better access to credit then men for their trust worthiness

Source: Participants, FGD group no.14

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Although the male members discussed about their hardship to work outdoors during

severe weather conditions, they nevertheless identified how working women suffer

more in comparison with them due to the lack of infrastructure within the

neighbourhood. They valued access to streets, water and electricity supplies as these

infrastructure and services influence the vulnerabilities of working women. The

respondents added that since women are mostly responsible for the well-being of

households, they often take on additional responsibility for the built environment by

maintaining the houses and infrastructure according to their abilities.

Chant (1987) argued that if male-headship is assumed to be universal, it carries a threat

of ignoring the role of women and children in making housing improvements. Image 8.1

was taken after a rainy day, the woman in the picture was clearing the drains to remove

clogged water from her house, as well as improve the street in front to make the house

accessible. When asked about her motivations for such activities, she mentioned her

responsibility for taking care of the daily activities of her household. She said some of

her female neighbours would do the same as well while men may ignored the conditions

and simply coped with the difficulties of accessibility. It is argued that one aspect of

women's wish to invest in housing is that improved housing alleviates hardship that is

associated with domestic labour in the absence of services and makes their homes as

comfortable as possible (ibid:53).

Image 8.1: A woman clearing drain and improving access to reduce water clogging

Source: Author

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Gender roles and the cultural pattern thus influence perceptions about the gender

division of labour. The theoretical overview suggested that vulnerability to climate

extremes can vary for individuals depending on their gender roles and the division of

labour. The following section discusses the findings on the gender division of labour

and associated vulnerabilities in Korail.

8.2 Division of labour guiding perception of asset-vulnerability

In chapter six, I described different causal flow diagrams prepared by different groups

during focus group discussions to understand the nature of asset-vulnerabilities. Further

analysis of those causal flow diagrams show that perceptions about gender division of

labour, represented by women’s livelihood systems and multiple tasks have contributed

to describing the causes and consequences of changes in weather pattern or extreme

events in different ways.

For example, the causal flow diagram prepared by all male members of FGD group no.

20 linking impacts of increased heat (Figure 8.1) shows that the members discussed the

financial aspects of any impacts related to physical, social or human capitals (shown

with the purple coloured circles in the diagram). For men, the longer exposure to

increased heat contributes to fatigue, and unwillingness to work. These eventually result

in a reduction to household income. The indirect impact of increased heat was

associated with increased risk of children’s illness. The consequence of which was

further linked to taking up loans to meet the medical expenses, consequently

highlighting increased financial hardships. Whereas in other examples, the female

members who discussed children’s illness linked them with increased time and the loss

of working hours because of the demands of childcare. Forcing male members to work

outdoors or compelling female members to spend more time for childcare- all are

determined by gender roles, the division of labour, and the available economic

opportunities- that influence individual’s perception of vulnerability.

Analysis of a similar causal flow diagram prepared by eight female and four male

members in FGD group no. 16 is shown in Figure 8.2. In this group, two of the four

male members were elderly persons who do not work, and the other two worked

irregularly as day labourers since the female members of their households worked

outside. Thus the responses were dominated by the female members’ opinions.

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Figure 8.2: Analysis of causal flow diagram for water-clogging

Source: Author

Figure 8.1: Analysis of causal flow diagram for increased heat

Source: Author

Impacts related to

Impacts related to

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The consequence of intense rain was described by these respondents as the cause of

water-clogging inside the house and difficulties in cooking, affecting all the members of

the households, while water-clogged streets and drains outside caused inconvenience for

all community members. Analysing these responses illustrate that most of the impacts

identified by the female members are related directly or indirectly to the built

environment depicted by the responses in blue circles in the diagram. They vary

significantly from responses of male members in the previous example where financial

concerns dominated the responses. Furthermore, the consequences show a wide variety

of impacts on all the household members, not only the respondents’. The differences in

responses between these two groups may be explained by the opinions expressed by the

male members of FGD group no. 14 (Box 8.1) relating to existing social norms that says

female members are more responsive to the household needs.

Again, a significant proportion of employed male members work outside Korail as

rickshaw-drivers or vendors; in addition, they socialize in tea-stalls or clubs after work.

The nature and condition of household and community spaces, as discussed in chapter

six, showed an enclosed and uncomfortable physical environment inside the houses in

comparison to the semi-open spaces of the tea-stalls and clubs. As a consequence, male

members spend less time within the house or use fewer physical facilities compared to

female members. Female members experience difficulty in taking on their gender roles

and the division of labour in taking care of the household activities in a vulnerable

physical environment. Thus, the perception of asset-vulnerability of females is

dominated by their experiences of using the built environment.

8.3 Gender differences in income and asset-ownership

Physical assets

The differential in the perception of asset-vulnerability motivates women and men

differently to invest in and accumulate different kinds of asset. Both Akashi (CS 01) and

Arifa (CS 06) head their households in their roles as the principal earner. They managed

the households as single mothers after they were separated from their husbands. These

respondents have adult sons who, according to social norms, should have taken over

some of the responsibilities; however, none of them did. Instead, Akashi’s two sons

have turned into drug-addicts while Arifa’s three sons are unwilling to work. Despite

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carrying a disproportionate burden of labour, the women have more control over their

income and can decide where to invest. In both cases, these women decided to invest in

improving their houses and services and then use them as key sources of income. These

actions follow the theoretical argument that investing in housing as physical capital

asset is the most secure type of investment that creates a resource-base that consolidates

other assets. The later discussion on these case-studies will show that increased

decision-making power also translated into increased capacity to make adjustments in

their built environment to reduce the impacts of severe weather conditions.

The case of Jasim (CS 10) illustrates a very different scenario. His wife and two of their

daughters are employed; he also works part-time as a day labourer. As the household

head he accumulates all of the household earnings and decides on how to invest any

excess money remaining after managing the household. As a renter, instead of investing

in improving the physical assets, he lends money with interest to neighbours and

relatives in his home village. My earlier work in Korail revealed that it took a minimum

of five years for a tenant household to became a house-owner (Jabeen et al. 2010).

However, case like Jasim indicates that not all renter households can or are willing to

accumulate enough financial capital to access housing. Another case-study household of

Shamsul (CS 07) has been living in Korail for the last 12 years. Despite his best

intentions he could not afford to invest in a house or save. He was the sole earning

member with six dependants until five years back. During the time of the interview, his

wife and two daughters were employed in the garment industry. Now the daughters are

in control of managing their income and household expenses and he has no control over

the resources.

Financial assets

Analysis of all the case-studies demonstrates that female members who are employed as

garment workers or who run home-based businesses (for example households no. 03,

12, 14, 20, and 25), found that their access to livelihood opportunities gave them more

power to make decisions about purchases such as food, clothing, education, furniture,

and durables. It was evident that these women were more eager to save in anticipation

of being able to manage a crisis during any man-made or natural disasters. Savings also

gave them access to credit that could be used for the household. Bangladesh Bureau of

Statistics consolidated several facts in their Gender Compendium of Bangladesh 2009

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report (BBS 2009). The summary indicated an increased trend of women’s participation

in economic activities along with increased participation in household decision making.

A similar trend may explain increased decision-making powers for working females in

Korail. With more decision-making power arising from access to income, it can be

argued that individuals, especially women, now have a greater capacity to respond and

take anticipatory and reactive actions.

The argument can be supported by the case-studies of Rabeya (CS 09) and Amina (CS

16). Both of these women have little or no access to economic opportunities and they

mostly depend on their husband’s daily income. Rabeya’s (CS 09) husband gambles

after work and often returns home without money. He also often refuses to go to work

on a rainy day or when the days are too hot, just to avoid physical discomfort. On those

days if Rabeya asks for money to buy food for her child, she is physically abused by the

husband. Economic poverty forces her household to live in a house vulnerable to

temperature variability and water-clogging, as discussed in chapter seven. Similarly,

Amina (CS 16) has no power to make decisions about managing the household other

than buying everyday food items with whatever money she gets from her beggar

husband. She tries to save something from that money for the days he cannot go out to

earn. She also lives in a small room, as discussed earlier in chapter seven: the natural

wind-flow from the street is her only means of alleviating the summer heat.

Human assets

In comparison with other female-headed households studied in this research, Roksana

(CS 11) illustrated to have limited capacities to make any adjustments either in her

behaviour or resources to respond to the adversities of climate-induced and man-made

disasters. As a renter she lacks access to a resilient house: she lives in a house standing

on wooden stilts and made out of CI sheets without any openings. Since she is illiterate,

the only occupation she can take on is selling fish in the street-side market. Roksana

usually takes her daily supply of fish from the whole-sellers on credit which she has to

payback at the end of the day. Her profit varies: on rainy days there are fewer customers

and on extremely hot days the fish spoils quickly. One of her daughters is

psychologically challenged, and her son got married very young and decided to live

separately. Except for the few neighbours she lives with in the same house who watches

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over her daughter and the wholesaler who trusts her and so will sell to her on credit she

has no other human capitals to help manage any uncertainty or risks.

On the contrary, Ibrahim’s (CS 15) household seemed to be less vulnerable since he and

his sons are employed in different economic activities. One of his sons had educational

qualifications and was employed in a clerical job. Ibrahim cannot ply his boat carrying

commuters on rainy days, so that reduces his daily earnings. Again, working on hot

summer days is challenging for him because of being directly exposed to the sun for a

long time. His sons’ employment in other occupations creates a form of economic

solvency. On the other hand, both Nahar and Hashem (CS 12) were employed from the

same profession as tailors at the time of the interview. Previously when they were

employed as tailor and taxi-driver, they earned enough to save to buy a house for

themselves. Nahar expressed concern about being currently employed in the same

profession as they had mainly one type of client group. Female garment workers, their

only clients, have been affected by the international economic downturn and have spent

less on clothing during the last few years. Nahar feared her financial stress might

worsen with any direct or indirect climate-induced disaster.

Social assets

In the absence of finance and physical capitals, a social network benefits women in

Korail most. Nipa (CS 23) and Kobori (CS 24) are neighbours and both of them manage

their households alone as female-headed households. Kobori depends on other members

of Nipa’s household to take care of her son after he returns from school. Similarly,

Rabeya (CS 09) and Shamsul (CS 07) can seek help from neighbours and the mosque-

based community if they need to take loans; all these activities are informal in nature.

The informal networks assist in formulating formal activities as well. Most NGOs or

donor funded projects in Korail tend to capitalize on the community-managing activities

of the women. Households of Sefali (CS 05) and Nehar (CS 14) illustrate the

advantages of being part of these community-based groups: they have had access to

credit which eventually increased their physical and financial resilience. However, in

some cases the over-emphasis on women and savings often fails to address the gender

dynamics within a household and community; so a comprehensive and sustainable

impact cannot be made. For example, Roksana (CS 11) was unable to save; Jahan’s (CS

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21) husband was unwilling to participate in such activities; and Jasim (CS 10) being a

male, could not benefit from these activities. Some, therefore, have to depend on

personal networks to managing unforeseen risks.

Although development projects have achieved a significant difference in improving

social and economical conditions of the poor, achievements vary between different

neighbourhoods. For example, between Boubazar and Jamaibazar within Korail, Asif

(CS 18) who worked as a community surveyor in a donor-funded project said:

People in Jamaibazar are enthusiastic and well organized. When the NGO workers come to this area they take the initiative to get involved and construct infrastructure. On the other hand, Boubazar is dominated by political mastaan, who encourage gambling and crime. It is hard to get neighbours to form a group and initiate any development work there.

Therefore, taking the social network for granted for any physical improvements in the

area have proven not to be the most effective means of building resilience. Transect

walks between Boubazar and Jamaibazar area revealed a significant difference in

conditions of infrastructure developed through community-based activities. Apart from

the political influence described by Asif (CS 18), access to information, knowledge,

personal skills and education determined how different members of the neighbourhood

participated in the development process.

These examples of lack or access to different components of physical, financial or

human assets and the consequent decision-making abilities also exemplify the power

relations within any household and neighbourhood in Korail. Any member can have

limited power to access and manage resources; as a consequence of this inequality of

power they may become more vulnerable in varying degrees or take on unequal

responsibilities. Nevertheless, these inequalities are associated with the bargaining

power of the individual that eventually influence the overall vulnerability of an

individual.

8.4 Collaboration and conflicts of bargaining power

The findings from the study illustrate that adaptive capacities is negotiated through

conflicts and collaborations. Collaboration in a household between female and male

members enhances overall household asset-ownership. The process also contributes to

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the accumulating components of physical assets like housing and sanitation facilities

that arguably increase adaptive capacity of an urban poor household. Ahmed (CS 17)

makes most of the decisions in his household and took a loan from his employer to

invest in housing. His wife played a significant role using her social network through

her brother to access the site to build the house. Her brother is a politically influential

person in the area. Their collaboration made it possible to invest in constructing the

house on the lake on stilts behind her brother’s house. The transition from renter to

house-owner for this household placed a new financial stress on them as they depended

on only the husband’s earning. Ahmed uses part of his monthly salary to pay off the

loan. Nevertheless, these financial stresses are carefully managed by all members of the

household: their daughter works as private tutor to young students in the area so

manages her own finances.

In the cases of both Iffat (CS 03) and Sefali (CS 05), being part of the women’s savings

group gave them opportunities to mobilize their interpersonal networks and take loans.

Again since the money came in their name, they were able to bargain to decide how and

where the household will be investing the money. As a consequence both the case-study

households, who took loans on difference occasions, used these loans to improve their

houses. Iffat’s husband worked as a construction worker while Sefali’s husband worked

as a carpenter. In both the cases, the prior knowledge and skills of the husbands proved

Image 8.2: Extension work of a room by the household members

Source: Author

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to be beneficial in planning and implementing house improvements. Although the

financial resources came through the wife’s access to credit, ultimately the husbands

made the decisions about planning and constructing the houses. The Image 8.2 was

taken during the process of building an extension of the house where Sefali’s husband

Jahed (CS 05) was working with his son and a nephew.

During the fieldwork when I went for the interview with case study household no. 25, at

first glance I got the impression that they were comparatively affluent: their household

assets included TV, freezer, decorative closets for storing utensils and clothes in a big

room with windows. This was quite unusual for Korail. However, the discussion that

followed revealed some facts behind their asset-ownership. The household moved to

Korail in 1996 by investing BDT 5,000 to buy land from a local ‘mastaan’ and

constructed a house using flimsy materials. Like their neighbours, the house was

affected by flooding in 1998 and 2001 and remained inundated for days. Later, they

modified the house significantly by changing the roof and exterior enclosures, by

constructing a toilet and improving the plinth, in addition to accumulating their

household assets. The first three modifications made between 2003 and 2006 were

possible because all five household members were employed. The two working

daughters used their wages incrementally to accumulate these consumer durables;

similarly the son, who works as an electrician and also sells recondition electronic

appliances, contributed to the house improvements on different occasions.

Not all the households studied showed these kinds of collaboration between members.

In very poor households, conflicts arise for both economical and social reasons. Women

are most likely to manage finances single-handedly in low-income households where

financial management becomes a burden rather than a source of power (Goode 2010).

Akashi (CS 01) or Kobori (CS 24) who are responsible for buying food and managing

all household expenses with limited money, have to spend their time and energy to get

better deals from the market. In addition non-cooperation and conflicts with other

household members add to the burden of these women. During the interview Akashi

(CS 01) described her misery:

I went to take care of my daughter for two days when she was giving birth. At that time my sons took money from my renters to gamble and then kicked them out of the house. Renting rooms is my main source of income, so I not only lost my earnings but I also lost my good tenants as well. When I returned and got

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angry they went mad. Later when they became imbalanced and under the influence of drugs, they tried to cut the tin sheeting with axe and damage the house. I closed the front gate to keep them away. This is routine in my household: whenever they need money for gambling or drugs or to spend on something, they will do anything to get money out of me.

Despite these reported conflicts, I saw Akashi (CS 01) during the interview getting a

signature from her son on the delivery memos for the construction work she was

managing with an NGO. She said that she is illiterate and cannot sign; also she preferred

to transfer some responsibility to the sons. In Bangladeshi society, social practices are

influenced by a patriarchal ideology and tend to highlight male members of the

household. Arifa (CS 06), although in her neighbourhood is well-connected and

respected for her work as a midwife and community leader for development works, is

still identified by everyone as “Aslam’s mother”.

To summarize: these discussions on differential factors illustrate some general

characteristics of gender inequality within households and communities in Korail. They

portray a range of diversified gender roles and cultural patterns, gender division of

labour and gender differences in income and assets, as well as gender bias in power and

decision-making. They eventually contribute to adjusting both behaviour and resources

to respond successfully to climate vulnerabilities. However, pursuing the key objectives,

this research intends to relate the implications of these factors on spatial practice in the

built environment and representation of gender inequality in the spaces, especially based

on asset-ownership. The following section discusses these issues in detail with reference

to Korail.

8.5 Roles, resources and power defining adaptive capacity in the built environment

The conceptual framework of understanding gender and space follows the hypothesis

that space is socially produced. At the same time, gender and space are a condition for

social production. Following the concepts, assessment of the relationship has been

undertaken through two sets of inquiry – a) by assessing how gender relations are

manifested in space and b) by assessing how spatial relations are manifested in the

construction of gender. In addition, this research followed the methodological approach

of examining gender roles to understand how adaptive activities are performed and how

they are re-worked by institutions such as the household, community and the State. The

built environment, as a setting for human activity, contains spaces; gender relations are

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also represented through space. Also the process of decision making in housing are

traced through three sets of operations: a) planning or operations that generally precede

construction; b) construction or building operations; and c) management and

maintenance of what is built, necessarily following the greater part of the building

operations (Turner 1976:26). The findings of the research indicate that these activities

and representation can arise from and are reflected in three different ways.

8.5.1 ‘Living in a man-made world’

The spatial practices in Korail manifest the pre-dominance of gender relations. The

production and reproduction of spaces and the built environment in the area is male-

dominated. Women may be involved in planning and the management of some of them,

nevertheless men take on the key responsibilities of construction. Most respondents in

the study described that all the recognized ‘mistri’ of the area who can build house are

men. I asked Wahid mistri who worked in Korail for three decades, about the reason for

this trend. He stated that traditionally men were responsible for constructing houses and

infrastructure. Also, the knowledge of construction in the informal sector has been

passed on through apprenticeships where men were preferred because of their physical

abilities for hard work. On the other hand, women were only engaged in maintenance of

the houses rather than getting involved with actual construction work. Thus, few women

work as construction labourers, none of them work as mistri.

Some findings of this study indicate an increased involvement of women in maintaining

houses and infrastructure that involved taking on some form of construction work.

Usually, as described by Iffat (CS 03), during construction work the house-owners

volunteer to work with the mistri thus reducing the cost of hired labour. Women who

work with them also learn in the process. For example, Rafia (CS 19) explained how

she acquired building know-how:

I learnt by doing. I saw the mistri using different materials, I used the same materials. I tried mixing it in different proportions at different times to find out which works better.

She eventually reconstructed the floor in the house with her daughter by mixing brick

chips or building debris with cement and sand in a proportion of 4:2:1 which is a

standard followed in construction industry. Previously, the plinth of her house had been

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made out of earth; the improvement she made to the plinth has significantly reduced the

need for everyday maintenance and thus her workload. Moreover, the increased water

resilience reduced her worries all through the rainy seasons.

Rafia (CS 19) was part of FGD group no. 01, where the members briefly discussed

women’s involvement in the construction of houses in Korail. Another member of the

group, Jannat, who has been renting her house in Korail for the last 20 years, described:

Floors, partitions and anything up to roof level are reachable by the women. Any small modifications required in these components of the house are usually taken care of by the women in the household. We only seek help from men when roofs need to be repaired or a major change in the entire structure is needed. That is why we prefer houses made with tins (CI Sheets), so that it is manageable for us to do smaller modifications without the help of men. Partitions made out of brick would require persons with an actual knowledge of masonry.

The limited involvement of women in the construction means limited involvement in

the planning process as well. Among the studied households, Akashi (CS 01) and Nehar

(CS 14) notably influenced decisions about planning and re-constructing their houses as

they were the house-owners and used the money they took on loan from the NGOs.

Nevertheless, they had to negotiate with the male mistri who are considered to be the

sole authority on construction in Korail. In the process, Nehar (CS 14) managed to

reorganize the shop she runs and owns, for her own convenience and to benefit both the

productive and reproductive roles she has taken on (described in chapter seven). Her

roles and the reproduction of space increased her ability to cope with the adversities of

increased heat and driving rains.

Rohmot and Jahan’s (CS 21) house was constructed by the mistri who only consulted

Rohmot. As described in chapter seven, the verandah on the upper level created a

comfortable space for Jahan (CS 21); however, the access to that upper level via a steep

ladder is unsuitable for elderly or pregnant women. She suggested that when men plan

spaces for particular usage, they seldom consider the advantages and disadvantages to

women. For reasons like these it is argued that household’s decision-making, and

particularly women’s role need to be incorporated in analyzing house construction and

improvements in informal settlements (Chant 1987:53). Housing as a commodity affects

all household members; decisions resting with one male member may create the

prospect of living in sub-standard shelter for other members of the household (ibid).

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These examples illustrate the limitations that arise from various gender roles and

cultural perceptions about the gender division of labour; nevertheless, they demonstrate

that access to the knowledge and skill of the household members, both male and female,

can contribute to the planning and construction of houses and infrastructure that may

reduce the dependency on professional involvements. Since informal settlements

develop incrementally, women’s access to knowledge and skill can increase their

decision-making capacity for planning and managing resilient housing. The examples of

Korail also illustrate that both gender relations are manifested in the spaces through

their usage pattern and organization; while spatial relations are manifested in the house

construction, for example by addressing issues like privacy, security, and gender-

specific spaces. The following section describes the findings.

8.5.2 Manifestation of gender by organization and use of spaces

Male dominance in decision making for space organization in Korail is significantly

influenced by the socio-cultural factors of privacy and security. Both Salam (CS 03) and

Akashi (CS 01) own and rent out more than five rooms. Long term illness has forced

Salam (CS 03) to stay at home and depend on rents as a key source of income. He

decided to live in the room located near the entry passage to the courtyard which

provides access to the rentable rooms, so that he can monitor access to the house

through its sole window (Figure 8.3). Both Salam and his wife Iffat explained the reason

for such arrangements was driven by their security concerns. They described that most

men in their renter households work outside while their wives and children stay at home

and use the courtyard: monitoring access to the house ensures security. Moreover, some

of these renters are very poor; sometimes when they cannot pay rent, they try to flee in

the darkness of night-time. As a house-owner dependent on rent, that becomes an

economic loss for Salam.

The organization of rooms around the small courtyard encompassing the common

kitchen was planned to give access to the maximum number of rooms. The space

planning maximized control, but the arrangements have increased the risks of the

renters for whom the door opening to the courtyard is the only source of ventilation.

Smoke from the cooking ovens often penetrates inside their rooms adding the misery of

increased heat.

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Figure 8.4: Location of window considering control and security

Source: Author, drawn from the house of CS 01

Figure 8.3: Location of window at the entrance passage considering security

Source: Author, drawn from the house of CS 03

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Similarly in Akashi’s (CS 01) house, the only window is to be found in her room

(Figure 8.4). Her room is also at the entrance while the window opens to the entrance

passage. In addition, the main entry door to her courtyard is located in this passage (see

plan); however unlike Salam’s (CS 03) house the door is not right at the street entrance

but is further inside the passage, located beyond her window. During the day time

Akashi works in the courtyard near the entrance cooking for her home-based food

business; after dark she usually stays inside her room. She purposefully chose the

window’s location for the same reasons as Salam. In addition, the positioning of the

window and entry gate gives her the added advantage of being able to monitor (and

protecting herself from) the violent behaviour of her sons. She can keep the door closed

and still monitor whoever wants to come inside the house.

Hence, the windows in both these examples are multi-purpose providing security and

visual control apart in addition to giving ventilation and light to the house-owners.

Similarly, the location of entry doors defines how the privacy of women and children

are ensured. As described in chapter six, the interiors of most houses in Korail are

hidden from external view because of the positioning of entrances. Rafia’s (CS 19)

house is arranged following efforts to create a non-visible interior through a gate that

controls access for all the renters and ensures privacy (Figure 8.5). They had to

construct an entry door as the tenants felt insecure and did not want to rent their rooms.

Figure 8.5: Non-visible interior from the entrance

Source: Author, drawn from the house of CS 19

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Morgan (2010) argues that the enclosed courtyard and restricted access to the courtyard

is a testament of protection against the power games of a larger neighbourhood,

uncertainty and gender ideology.

Apart from these socio-cultural factors, space organization in the built environment

reflects the gender roles and gender division of work of the household members. Both

Nahar and Hashem (CS 12) work as tailors in Korail. They work in two different shops

to attract both male and female customers. Nahar learned tailoring from the school she

went to in her village at home before moving to Dhaka with her taxi-driver husband.

She used her skills to supplement household earnings. Nahar runs the shop that forms an

integral part of her living space (Figure 8.6). The shop front with her sewing machines

has folded partitions opening to the street. Those partitions protect the space from rain

and exposure to direct sun. The storage shelves work as a partition between her bed and

the work area. The table fan in the room is positioned at an open space so that it can

ventilation to her work area and the bed area where her seven-year-old son spends time.

Hashem's workspace, however, is a well-built proper shop, which they bought six

months back. The shop is located on the ground floor of a newly constructed two-

storied structure on a busy street. The plinth was raised recently, made higher than the

road level with brick retaining walls and a neat cement finished floor. Hashem’s shop is

quite airy, properly lighted and did not suffer from water clogging in the last rainy

season because it had a higher plinth. Nahar’s skill and earnings always gave her more

bargaining power to make decisions in the household. Yet when it came to planning and

occupying the built environment she tried to accommodate her triple role: productive,

reproductive as well as community role by combining different activities in the same

space. In the process she may have compromised her spatial needs and has less

resilience to cope with climate hazards compared to her husband.

The integration of a work area into a house creates a semi-public space. The nature of

activity requires these spaces to be more open, and less enclosed. However, connections

between semi-public spaces and private spaces depend on the socio-cultural orientation

of the households. The households of Nahar and Hashem (CS 12) expressed their views

as being comparatively liberal as they accommodate both the productive and

reproductive roles of the wife. In contrast another case-study, Rohmot (CS 08), showed

an almost opposite scenario. This household was very conservative and preferred the

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men to work, and women to stay indoors as secluded as possible. His shop is a

continuation of the other rooms at the back and is connected to the common passage

through a door (Figure 8.7a). He keeps the door closed so that passersby cannot see

inside the house; thus, his work area is completely secluded from the living area.

Although his shop faces west, the extended folding shutters provide enough shade to his

work area while the higher plinth save his products from risks of water-clogging. He

works in a more comfortable area compared with the other household members.

In comparison with these two case study households, Jahed and Sefali (CS 05) represent

another type of household. Jahed used to work as a carpenter, when they first bought the

house in Korail. Since his earnings were inadequate to support the household, Sefali

Figure 8.6: Combination of work and living areas

Source: Author, drawn from the house of CS 12

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started working with different NGO-run savings groups. With access to credit, they

gradually started to improve the house so that they were able to rent out rooms. The

financial return on the rents helped them to invest in their children’s education up to

college level. Also the rent provided the household with enough money so that Jahed

could quit his carpentry work and start a shop in one of the street-side rooms. The shop

is organized like any other street-side shop in Korail with an opening at the front and

arrangements for customers to sit and watch TV and drink tea. However, the wide door

that connects the shop with the courtyard remains open, so that Sefali or her children

can help Jahed to run the shop. The shop represents a family run business; furthermore,

the openings used to provide enough ventilation to the open courtyard before they

decided to make additional rooms to rent out for economic reasons (Figure 8.7b)

(described in chapter seven).

These kinds of space arrangements to integrate or segregate work space are affordable

for house-owners only. They can take advantage of running home-based businesses and

Figure 8.7: Segregation and combination of work and living areas

Source: Author, drawn from the houses of CS 08 and CS 05

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modify the spaces according to their needs and socio-economic orientations. For the

households such as Suraiya and Momin (CS 13) where both the members work outside

the home, they live as renters; hence, they have limited options to modify space

organization. They usually work long hours away from the house. Their household was

studied as an example of how small modifications to the interior spaces e.g. by adding a

canopy and an extra layer to the enclosure wall, create a better living environment. This

has been discussed in chapter seven and shown in Figure 7.9. They could make these

modifications as they had enough financial resources; whereas, renters like Roksana

(CS 11) who sells fish in the daily market and has to take care of three children on her

own cannot afford to make any modifications or even move to a safer house. Her house

on the stilt suffers from flooding from the lake every year.

Similar to the spaces in the house neighbourhood spaces in Korail manifest these

household dynamics as well. As discussed earlier most men in Korail spend time after

work in the local tea-stalls. Local clubs and shops to play carom are very popular. The

local mastaans take advantage of the lack of leisure options and run shops where people

can gamble. All the female members of FGD group no. 08 related the lacks of leisure

activities and gambling habits with increased incidences of domestic violence and

polygamy. However, all the shops lining the streets are spaces where men spend time

after work chatting, watching TV or drinking tea (Image 8.3a).

As a consequence, the open streets of Korail are spaces for males while the semi-open

spaces in front of the shops provide a refuge from heat and rainfall. Out-door spaces in a

warm-humid climate is important as many activities take place outdoors. Also with air

Image 8.3: a) Men gathered in tea stall b) Women socializing in courtyard

Source: Author

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movement, shade and protection from the rain it is easier to maintain comfortable

conditions outdoors then inside the structures (Koenigsberger et al. 1974).

Despite the significant number of women working outside the Korail who use these

streets regularly for access, the women tend to confine their other activities to the

courtyards or passages adjoining the house. Increased responsibilities often compel

them to occupy spaces beyond the household but in neighbourhood and community

spaces. They are less visible in the public domain except in the markets. Women like

Sultana (CS 02), Akashi (CS 01), Kobori (CS 24) form the main customer group in the

daily markets. Young women like Nipa (CS 23), Suraiya (CS 13) buy their necessities

from street-side shops on the way back from work. Involvement with different

community-based activities with different NGOs encourages more women to take part

in different social and organizational activities. They are mostly organized in someone’s

courtyard. Hence, most women spend their time in enclosed or semi-enclosed spaces

(Image 8.3b). These spaces with few openings for ventilation and having enclosure

walls with high heat-radiating materials are highly vulnerable to the impacts of

increased heat and intense rainfall. Parveen, a member of FGD group no. 08 and a

community leader in Boubazar, described:

In Korail, streets are our only open spaces; they remain crowded with men and children on hot summer days. Women will feel embarrassed standing in the street. When it feels unbearable to stay inside, the narrow courtyards and passages remain as our only relief.

Overlaying these activities in the pattern of space organization described in chapter six

(Figure 6.3) illustrates the space usage pattern of female and male members of

households in Korail (see Figure 8.8).

Koenigsberger et al. (1974) argued that one of the basic human needs is change and

variation in the living environment. The effects of prolonged exposure to uncomfortable

conditions can cause adverse effects resulting in a loss of efficiency in work, coupled

with physical pain. Moreover, air and surface temperatures above skin temperature

without air movement and with relatively higher humidity can cause heat stroke. In an

enclosed living environment like the courtyards of Korail, variations can be achieved

through air movement controlled by openings. However in the absence of an outlet

opening or with a full partition, there can be no effective air movement through a

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structure even with a strong wind. These discussions illustrate that the spaces in Korail

representing diversified gender relations can reduce the possibilities of taking any

adaptive activity between different groups, furthermore the underlying social life that

defines the spaces women and men can occupy contributes to the scale of their ability to

respond.

8.5.3 Power relations manifested through building components

The third way the findings illustrated the relationships between gender, space and

adaptive capacity is by location of building components that are illustrated by the

example of openings. As argued by Koenigsberger et al. (1974) control of openings is a

decisive factor in creating comfort conditions. I studied in total 13 dwelling units where

the residents owned their house, of these ten had windows in the rooms where the

house-owners live. Again the locations of these windows were determined more by the

power relations between women and men or house-owners and renters than by

environmental needs. Out of the 12 renter households, only Sultana (CS 02) and Liaqot

and Ruma (CS 22) enjoyed the comfort of having windows to ensure some ventilation

in rooms made out of CI sheets. Again of these two, Liaqot and Ruma lived in a newly-

Figure 8.8: Space usage pattern of female and male members of the household

Source: Author, interpretation from analysis

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built first-floor house that could accommodate windows as there are very few multi-

level houses in Korail. It is considered unusual in Korail to have windows in rooms,

especially in those occupied by renters.

Chapter seven explained the socio-economic factors influencing the spatial practice of

locating openings. In this section I explore the gender dynamics and power relations for

locating openings and windows. Both Ibrahim (CS 15) and Arifa (CS 06) made one

window each in their room. Both of them described the advantages of having windows

that provided better ventilation and light. However, Ibrahim placed his bed near the

window to take advantage of the air flow coming through the narrow opening-to-sky

passage. Arifa’s (CS 06) decision to locate the window near the sleeping area, her bed,

is not only driven by her authority as the household head, it was also driven by

environmental concerns as well (Figure 8.9). Her house is located on the lake side. The

window location on the lake side above the bed ensured better ventilation across the

room.

Not all house-owners enjoyed the advantages Ibrahim (CS 15) and Arifa (CS 06) had.

For example, Afsar (CS 20) lives in Korail with his three teenage daughters and an

eleven-year-old son. After his wife’s death, the eldest daughter, Firoza, has taken over

the main financial responsibility to pay off the loan taken for her mother’s treatment.

She spends most of the day out working in a shop for six days a week; after that she

Figure 8.9: Location of window considering ventilation and comfort

Source: Author, drawn from the house of CS 06

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gives private tuition to eight children while continuing her own undergraduate studies.

The other two younger sisters manage all the other housework and take care of the

younger brother while attending school and college. Figure 8.10 shows the layout of

their room in order to accommodate the sleeping arrangements of the brother and

sisters. Since Afsar works long hours, the younger sisters do not feel safe. The only

window they have in their room is almost blocked with wooden planks; the narrow

space in between the adjoining houses allows limited ventilation through this window.

Similar social issues encourage using different protective measures across the windows

(Image 8.4). These partial coverings often impact the airflow but protect from the rains

while representing the affordability and preference of the house-owners. As indicated

earlier, Sultana (CS 02) manages to live in rooms with a window despite being a renter.

This is because she keeps good relations with the house-owner and negotiated to have

windows both in her and the daughters’ room. However, the location of window in her

daughters’ room is located above eye level (Figure 8.11). Her husband stays outside

long hours for his work; the location of the window ensures better visual privacy for her

adolescent daughters while ensuring better living conditions.

Figure 8.10: Space organization and window location considering privacy and security

Source: Author, drawn from the house of CS 20

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Figure 8.11: Location of window considering privacy

Source: Author, drawn from the house of CS 02

Image 8.4: Different protective measures for windows a) Metal grill attached to bamboo structural members b) Wire mesh c) Wooden batons

Source: Author

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8.6 Gender dynamics manifested by adaptive capacity and the built environment

The findings on the roles, resources and power relations of adaptive capacity in Korail

can be summarized as follows:

Gender roles and the division of labour in Korail is dominated by the patriarchal system

that influences - women’s status within the household; inter-household poverty; and

access to education and knowledge. As a consequence, women are under-represented in

decision making, especially in the production of the built environment through planning

and construction. However, the increased responsibilities of women for living in a

challenging environment and in recognition by men of women’s changed role, there is a

gradual shift in the power balance. Increasingly women are taking an active role in

reproducing and managing the built environment. Examples of locating openings may

seem like the direct influence of a patriarchal system; nevertheless, combining work and

living areas for working women and men is a representation of the shift in the trend of

how different spaces are inhabited following the varied division of labour.

The findings also show the importance of gender dynamics to access to income and

asset-ownership. With increasing livelihood opportunities, some women in Korail make

a greater economic contribution to the household. Thus, their ability to access and

manage resources creates an environment where the household aspires to accumulate

physical, financial and human assets unless they are depleted through disasters like

flood, fire or illness of the household members. Access to diversified and formal

livelihood opportunities for men, as financial assets, provide the support to better

manage the uncertainties and risks. As a consequence, some households invest in the

built environment as a means of building adaptive capacity; nevertheless, their impacts

are limited to house-owners. The inequality of power between renters and house-owners

make the renters more vulnerable. However, access to financial assets does not

undisputedly build adaptive capacity for women or men in an urban poor household.

They are negotiated through conflicts and collaborations based on social and human

assets within the institutions of the household and the community.

The findings on the relationship between gender, space and adaptive capacity to respond

to climate extremes again reflect the significance of gender roles. The absence of

women in the planning and construction of the built environment allows the possibility

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of their increased vulnerability. The underlying social-economic factors of privacy and

security guide the reconstruction and management of spaces regardless of their ability to

address different gender needs. In addition, an individual’s physical vulnerabilities in

terms of space usage pattern can be mediated by gender roles. Productive roles may

locate a male member in outdoor spaces with increased exposure to hazardous

conditions; whereas productive roles for women can locate her in semi-public spaces

which are usually more resilient because of the improved condition of their enclosure,

use of materials and space arrangements. Usually that also gives them more control over

resources and more decision-making ability. On the other hand, reproductive and

community roles of women may reduce their exposure to the direct impacts of

temperature variability and rainfall. Reproductive roles without asset-ownership may

locate a person in an enclosed private space and built environment which may be

extremely vulnerable due to planning, design, construction and management. The

diversified adaptive capacity based on characteristics of the built environment and

gender roles guided by the institutions of household and community are illustrated

through the curved line in Figure 8.12.

Figure 8.12: Relationship between gender roles, space usage pattern and adaptive capacity

Source: Author, interpretation from analysis

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Chapter 9. Conclusions: The built environment and gender dynamics for asset-based adaptation

In both academic literature and international policy debates, there is a consensus that

climate change is posing significant risks to urban poor groups in cities. The impacts of

repetitive, incrementally developing natural changes that increase the frequency and

intensity of climate extremes are becoming progressively visible. Despite similar

exposure to climate variables, the adaptive capacity of an urban poor household within a

city or an individual within a household may vary, based on people’s existing physical,

financial and social vulnerabilities. It is also argued that climate vulnerabilities increase

when there are underlying development issues, while development itself can increases

people’s exposure to hazards via the creation of vulnerable built environments and

marginalized settlements. In this research, I explored the opportunities and constraints

of both adaptation and the adaptive capacity of urban poor households to respond

successfully to the impacts of climate extremes in their built environment.

This thesis focused on adaptation in the built environment considering a number of

variables: urban poverty, climate extremes, adaptive capacity, gender dynamics and

asset-ownership. The research was designed around the hypothesis that gender

dynamics influence the adaptive capacity for asset-based adaptation in the built

environment by the urban poor at household and community levels. There were three

key objectives to examine: a) the vulnerabilities of the urban poor from climate

extremes and their impact on assets; b) the processes, strategies and actions taken to

reduce asset-vulnerability in relation to housing and infrastructure design and

development; and c) the gender dynamics within households and communities that

mediate processes of decision-making, access to, and management of resources and

their impact on asset-based adaptation in the built environment.

This concluding chapter intends to summarize the key findings of the thesis. The

chapter also examines the possible theoretical and policy implications of the findings for

adaptation planning, and indicates future research opportunities.

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9.1 Opportunities of asset-based adaptation in the built environment

Responding to climate stresses in cities: the role of assets

This research considered an asset-based approach as a means of transformative

adaptation, especially in the built environment. The appraisal of asset-vulnerability and

asset-based adaptation of households and the community revealed that certain types of

assets are more significant than others in relation to the impacts of climate extreme in

urban areas. The asset-matrix developed in Table 9.1 adapted Moser & Felton's (2007)

suggestions to categorize different assets under physical, financial, human, social and

natural capitals. However the major contribution of this thesis is reflected in the matrix

as an analysis of the different components of the main assets to this categorization to

further understand asset-based adaptation in the context of climate extremes.

The first capital type in the matrix is physical capital. In the urban context, the asset

‘housing’ is considered a significant part of physical capital. The focus on human

settlements points to a concern not only with housing as a self-standing asset but also

with insecurity in housing, which in turn affects other assets. Considering the impacts of

climate extremes the components of a house, for example the roof, can significantly

influence the adaptive capacity for its heat or moisture resilient materials along with the

construction techniques for making them resilient to strong wind. Physical capital also

includes ‘consumer durables’ as assets. Furniture, for example a bed, becomes

significant as it can be used by the household as a temporary refuge or platform from

water-clogging and flooding. Similarly, personal valuables (e.g. jewellery) provide

immediate monetary returns; electronic equipment’ like a television (apart from their

resale value) are seen as a source of information, and can thus be part of physical

capital.

Although the matrix developed by Moser & Felton (2007) did not include infrastructure

under physical capital, the discussion on vulnerability to direct and indirect impacts in

chapter two revealed the significance of infrastructure in building adaptive capacity at

the household and community levels, and has thus been included in Table 9.1. At the

community level, the availability of public or privately managed services for water,

electricity, and garbage disposal facilities determines the affordability to use them as

resources.

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Table 9.1: Asset matrix for the urban poor in the context of climate extremes Capital type Assets Components Examples Physical: Also known as produced or man-made capital, comprises a stock of productive assets

Individual/household Housing Roof

Wall Floor Structural members Openings in structure

Heat or moisture resilient materials Wind resilient techniques Openings for ventilation

Infrastructure supporting households

Toilet types within the house On-site water supply types On-site cooking facility types

Hygienic, environmentally safe toilets

Consumer durables

Furniture Electronic equipment Personal valuables

Bed Furniture with resale value Television Jewellery

Community Collective land Open spaces

Public space

Field for recreation, land for new houses Streets and parks to be used for livelihood opportunities

Infrastructure supporting neighbourhood

Sewerage & sanitation system Water supply system Electricity supply system Cooking gas supply system Drainage facilities Access facilities

Public or privately managed service facilities Street, road, boat service

Community facilities

Educational Local economic Health-care Recreational Religious Emergency

School, day-care centre Market and shops Health centre Community centre and clubs Mosque, temples Emergency flood shelters

Financial: The financial resources available to people

Individual/household Labour Contract or temporary worker

Self-employed Private sector worker Government employee

Day labour, household helper Vendor, rickshaw driver Garments worker

Transfer income Rental income Income from other location

From village home

Accumulated wealth

Savings Access to credit Insurance

Personal savings

Community Accumulated wealth

Savings Access to credit

Group savings

Human: Individual’s investment that determine their ability to work and receive returns from their labour

Individual/household Education Formal education

Non-formal education Technical skills

Level of education Types of skill

Knowledge Weather forecast Construction techniques

Accessible data Indigenous practices

Health Physical ability Ability to work Community Knowledge Early warnings and disaster

preparedness alerts Construction techniques

Information Indigenous practices

Social: An intangible asset defined as the rules, obligations, reciprocity, and trust embedded in social relations, structures, and institutional arrangements

Individual/household Household structure

Earning capacity of members Bargaining power Extended family relations

Multiple earning members Better-off relatives

Community Social network Social interaction between

community members Economic interaction between community members Membership of groups

Neighbours from place of family origin Extended family Renter/ house-owners, shop-owners/ clients relationship Membership of professional group, NGO, political parties

Natural: Stocks of environmentally provided assets

Ecological Fresh water source Water-bodies Vegetation

Well, ground water Rivers, lakes Trees, creepers

Source: Author, adopted and expanded from Moser & Felton (2007: 23)

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Similarly, education, health-care, and emergency services – the ‘community facilities’ -

can be considered part of the physical capital. The asset- ‘collective land’, especially

through the use of open spaces for recreation or constructing houses, or public spaces to

be used for livelihood opportunities, becomes significant in a climate extreme context

for communities.

‘Labour’ is the key asset within financial capital in the climate context as most urban

poor depend on paid labour in the absence of any other financial resources. The savings

component under the asset ‘accumulated wealth’ is considered crucial for asset

accumulation. Although in many cultures the component, credit, is seen as a liability,

not an asset, and borrowing is looked negatively, in other contexts savings are the single

most important factor in building other types of asset. Savings also give access to credit.

They can be significant components of ‘accumulated wealth’ for both a household and

community depending on how they are used. More recently, insurance as financial

capital is becoming an issue in climate policy discussions.

Although human capital includes assets like ‘education’, and the ‘health’ of individuals,

this thesis adds ‘knowledge’ to the list. Knowledge is argued to be an intellectual

resource - a collection of ideas, experience, information, intuition, expertise, learned

behaviour and skills. These have the potential to ‘add value’ by informing decisions,

transferring value, promoting learning and improving actions. Knowledge may be

related to education, where the level of and access to education influence how

information, for example about weather forecasts and early warning systems of disaster

preparedness, can provide the resources for action. This research shows that information

is useless unless it can lead to action, and that implies that it must be transformed into

knowledge.

Social capital - the rules, norms, obligations, reciprocity, and trust embedded in social

relations, social structures, and societies’ institutions act as the “glue” that holds

together the “protective” or “preventative” physical capital assets like land and housing

with “promotional assets” like financial capital, human capital and even political capital

(Moser 2006). For example the research findings show that at the household level

having multiple earning members within the asset ‘household structure’ and having

extended family relations with better-off relatives are considered as significant

components of the asset ‘social network’. Similarly at the community level neighbours

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from the same place as the family’s origin; an extended family; renter / house-owners,

shop-owners / clients relationships; membership of professional group/s, NGO groups

and political parties - all contribute in making adjustments using the ‘social network’ to

cope with multi-dimensional vulnerabilities.

The stock of environmentally-provided assets - the natural capital - have a growing

importance when considering climate vulnerability in urban areas (Moser et al. 2007).

The ‘ecological’ assets are significant for urban poor households when considering the

direct and indirect impact of increased heat and associated water scarcity. As such,

having access to components like a fresh water-source (e.g. a well or ground water) can

become an ecological asset; having access to natural resources like vegetation to

provide shade for houses and to open areas creates opportunities for household members

to reduce the impact of heat in their daily activities.

The empirical work discussed in chapter six illustrates that institutional arrangements

limit a householder’s access to capital assets (eg resilient houses, essential services for

water, electricity and sanitation, livelihood opportunities, healthcare and social

facilities). Exposure to incrementally developing climate extremes exacerbates existing

vulnerability by increasing the cost of houses and services, by adding health-related

expenditure, or by causing loss of income. All of these losses decrease capital assets for

the urban poor. Thus, consideration of assets - the ownership and process of accessing

them - emerges as one of the defining factors for assessing the potential to respond to

the many stress factors of climate extremes.

Significance of physical assets

Following the theoretical arguments in chapter two the research findings discussed in

chapter six reinforce the significance of physical capital, in the form of housing and

infrastructure, in influencing any adaptive action. The examples discussed in the three

empirical chapters show that physical capital is essential as a resource for generating

economic, psychological, social and political benefits that foster resilience and social

mobility.

Moreover, physical assets can raise an urban poor household above a threshold level

beyond which the responses to reduce vulnerabilities come into effect and reduce the

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negative effects of climate extremes. The two threshold levels of adaptation at which

adaptive actions first appear - and beyond which adaptation ceases to be effective in

reducing vulnerability - have been discussed in chapter two. The findings highlight that

without access to housing and infrastructure, households are forced to cope

continuously with short-term responses based on their limited financial and human

capital in terms of livelihood in the informal sector and socio-political networks. The

cumulative effect of the depletion of these assets influences householders’ ability to

prepare for future risks as well: thus the household remains beyond the threshold level

for taking any adaptive action. With access to a resilient built environment, as shown in

Figure 9.1, the scale of ‘taking action’ is transformed from simply coping to adapting.

The discussion in both chapters seven and eight extends the understanding of housing

and infrastructure further to the exploration of spaces within a house which have a

bearing on how individual members of a household respond to the less-dramatic and

recurring impacts of climate extremes. Interpreting the findings, in light of the

theoretical discussion in chapter two on spaces in the built environment and climate

variables, suggests that tolerance to a higher range of temperature is influenced by long-

term conditioning, and a higher threshold of tolerance to such situations is reached in

Figure 9.1: Impacts of a resilient house on building adaptive capacity

Source: Author, interpretation from analysis

Impacts related to

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the absence of other choices (Mallick 1996; Ahmed 2003). The discussion also suggests

that it is possible to introduce improved thermal comfort by using different building

materials and construction techniques; for example, thicker walls, roofs, openings and

reduced exposure to heat. Therefore, the organization of a house’s spaces and building

components, the streets and nearby open spaces significantly influences the level of

physical adaptive capacity.

The significance of asset-ownership for motivating actions

This research finds that community members do recognize different types of asset to be

vulnerable to the impacts of climate extremes; on the other hand, communities also

perceive assets to significantly influence the reduction of those vulnerabilities and are

already adapting some of the available assets using their own capabilities and

knowledge. This thesis agrees with the arguments that adaptive capacity depends on

how much and what kind of asset an individual and a household owns. The motivations

for taking anticipatory and reactive actions by the individual or at the household level to

make adjustments in physical, social and human systems are based on asset-ownership.

The motivations of individuals are influenced by two types of factor. As discussed in

chapter six on vulnerability to climate extremes, an individual’s and household’s

perception and experience formulates the local variants to global consequences. The

actions may be driven by fatalism that often can initiate psychological adaptation to

risks (Jabeen & Johnson n.d.) thus depend the household’s or an individual’s own

resources in the absence of other means. Recognizing the significance of perception and

experiences to formulate local vulnerabilities and anticipatory actions put an emphasis

on the need to increase knowledge and the resource base of communities to adjust both

their behaviour and resources.

Again, the findings suggest that both vulnerability and adaptive capacities are based on

the position of individuals or households in terms of their gender roles, occupation

patterns, house/land-ownership, and socio-political position (discussed in chapters six

and eight). For example: women strive to accumulate physical assets in order to reduce

climate vulnerability while men focus on financial assets; similarly, working members

of the community prioritize access to infrastructure, while house-owners recognize their

house as the physical capital.

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Whatever the motivations of individuals or households, the urban poor’s ability to

construct resilient houses or to have access to water or sanitation by using their savings

and social networks depends partially on the political and institutional arrangements

around urbanization. Although discussion of the context in chapter four, taking Dhaka

as an example, may portray a challenging environment to incorporate any household

activity outside the institutional arrangements as adaptation, taking a design approach

for urbanization (discussed in chapter two) where regulatory frameworks consider local

standards, security of tenure arrangements or indigenous building technologies etc.

creates opportunities. In order to take advantage of those opportunities (apart from

transforming institutional arrangements around physical planning), measures such as

access to credit and insurance, participation in the decision-making process, and having

access to knowledge and skills build financial and human capacities.

It can be concluded that the empirical work of this research signifies the opportunities

assets provide in promoting adaptation in the built environment for the urban poor.

Analysis of the quantity, quality and productivity of components of different assets to

raise households above a threshold level with a long-term view emphasizes physical

capital. Concentrating on the physical capital of a household and community creates the

possibility of addressing multiple stresses, and contributes to accumulating financial and

human assets; hence, addressing the ‘wicked problem’ of climate change demands

dealing with the complex interdependency of many stresses rather than taking discrete

measures specifically to address climate change.

9.2 Household level interventions for sustainable adaptation planning

Arguments of asset-based adaptation and its implication for the built environment are

formulated through exploring the processes, strategies and actions taken to reduce asset-

vulnerability in relation to housing and infrastructure design and development in urban

poor communities. Chapter seven discussed in depth most of the findings on asset-based

adaptation in the built environment in terms of spatial expression. Examination of the

three aspects (i.e. process, strategies and actions) of the built environment cumulatively

contributes to the knowledge of scale and possible level of intervention for adaptation.

Individually, the examination of processes signifies key considerations for adaptation

planning; the exploration of strategies indicates the opportunities for innovative

alternatives; while examination of actions illustrates possible development options.

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The process

The process of constructing houses and service facilities, in other words the spatial

practices of urban poor households, points to the inherent capacity of a household to

respond to hazards. The research findings illustrate that the vulnerability of the built

environment to climate extremes is influenced by choice of materials and construction

techniques relating to the physical form, as well as the sequence of actions taken to

produce and reproduce spaces using physical forms, as discussed in chapter seven.

However, choices of materials and construction techniques for urban poor households

are decisions not only made with the environment in mind but they are also determined

by different social and cultural reasoning based on: gender dynamics; access to

knowledge and skills; and financial opportunities for both house-owners and renters

(discussed in chapters seven and eight).

As a consequence, some households may choose building materials of high heat

absorption and emission despite recognizing increased heat as one of the key climate

variables influencing vulnerability. Some households may follow traditional techniques

of house construction that are less suitable for urban areas considering their (in-)

security of tenure, space limitation and climate conditions (illustrated by examples

discussed in chapter seven). Similarly, chapter eight highlights how spaces produced

through spatial practices represent specific gender dynamics. Again representational

spaces are influenced by roles, resources and power to adjust behaviours, resources and

technologies for involving women/men in the planning and construction of houses;

organizing spaces and building components such as openings and partitions; and the use

of public and private spaces in houses and the neighbourhood.

This research finds that whatever happens in urban poor communities, people are

significantly dependent on decisions and actions taken at the household level. Exclusion

from formal planning initiatives and interventions from institutions like the State,

development agencies, and the formal market means the household is an active

institution for developing both housing and infrastructure. The household is also a unit

of analysis in the built environment for understanding the differentials between

female/male, house-owners/renters. The dynamics of the household determine both an

individual’s and the household’s potential to respond successfully to adjust to changes.

Furthermore, findings in chapter eight show that community-based initiatives for

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planning and implementing infrastructural development activities, even if there were

external interventions from NGOs, depended on co-operation and negotiation at the

household-level.

The strategies

Similarly, exploration in chapter seven of physical and economic strategies in spatial

practices to develop the built environment, adopted by households, showed that high

density development is significantly influenced by factors of limited affordability,

concern for economy and efficiency, along with cultural perceptions about materials.

These limitations and constraints have encouraged the search for alternative

opportunities, and in the process, doing things in new ways that have wider implications

and coverage. Some of these strategies can be argued as innovative, following the

definition discussed in chapter two, considering how urban poor communities have

adopted them regardless of existing physical, financial and socio-political constraints in

conjunction with their experiences of the impacts of climate extremes. The examples of

anticipatory and reactive measures taken around plinths and roofs discussed in chapter

seven support the arguments. A remaining future challenge is how to recognize these

household-level innovative approaches as human and physical capital on which to build.

The actions

An examination of actions taken in the built environment reveals fluidity and flexibility

in the construction process. The fluidity allows for options while also creating choices

to adjust to the uncertainty and unpredictability of climate extremes. The physical

threshold of increasing, repetitive, multiple impacts of climate extremes results in

progressive adaptation. When house-owners decide to improve their houses

incrementally, their decisions are usually driven by previous experiences of extreme

events, which help in determining materials, the dimensions, and construction

techniques for the structure. The flexibility of the construction process keeps options

open to remove and reuse the materials with ease, if necessary even in the case of

moving house or relocating. The process combines local resources with indigenous

construction knowledge that can be argued to be highly pragmatic considering the

context, and the lack of guidance from policy or city development authorities.

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Alternatives are invented to overcome existing problems and use available options -

making them more effective in addressing vulnerabilities.

Integral exploration of the process, strategies and actions for this research also

illustrates that adaptation at the household level is a development approach that can

sustain small-scale achievements which can contribute to a cumulative return. They can

incorporate different advantages of intervening at a smaller scale: create opportunities

for more options, bring in greater diversity to solutions, provide flexibility within the

solution to respond and adapt to changes, improve the quality of solutions, create niches

and corners to accommodate diversified activities, minimize risks when attempts fail to

solve all the issues at one time, and encourage organic development. These

developments can be enacted incrementally by the individuals or households, on a small

scale and with limited resources.

Examining household level differentials in actions taken to reduce the impacts also

brings into the discussion the variations between renters and house-owners. As indicated

in chapter six, only 17 percent of households in Korail own the houses they live in. The

examples, discussed in chapter seven, show that any action aimed at building long term

resilience - for example constructing water-resilient floors, making openings for

ventilations, reorganizing spaces for combining multiple roles, participating in

neighbourhood infrastructure planning - is taken by the house-owner. The renters have a

very limited capacity to participate in such actions. Their coping activities are limited to

small modifications, such as making a canopy or adding layers over the CI sheets to

reduce the impact of increased heat, or storing valuables in higher places to reduce the

impact of water-clogging. It can be argued that renter households are more vulnerable

than house-owners. However, it is the renters’ demands for resilient houses with better

services that motivate house-owners to take anticipatory or reactive actions.

Therefore, the thesis argues that changes in social and environmental processes,

practices and functions to reduce the potential damage - or realize new opportunities - in

the built environment for adapting with climate extremes can benefit from analyzing

disaggregated data and planning interventions at the household level. The analyses have

the potential to further reveal the inequalities of accessing or accumulating various

assets within households and the community that, in many instances, are determined by

decision-making powers based on gender dynamics.

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9.3 Gender dynamics of asset-based adaptation in the built environment

The thesis argues that at the centre of the attempt to answer the research question,

formed through three interrelated variables of the built environment, gender dynamics

and asset-based adaptation, lies with the power of decision-making. The argument is

supported by the theoretical debates in chapter three on gender inequalities and climate

vulnerabilities. Among the six groups of factors influencing gender inequalities

identified through the literature review, the examples discussed in chapter eight

illustrated that gender roles and cultural patterns; gender division of labour; gender

differences in income and assets; and gender bias in power and decision making are

most relevant to the ability to respond successfully to climate extremes at the household

level.

Gender roles and division of labour

The theoretical discussions in chapter three highlight gender roles and needs (Moser

1993), power relations, and the allocation of resources (Kabeer 2003; Jarvis et al. 2009;

Quisumbing 2003) to define who is vulnerable to climate impacts (Demetriades &

Esplen 2008; Nelson et al. 2002; Denton 2002) along with relationships of gender with

space and climate variables. This research finds that gender roles and the concurrent

division of labour influence how adaptive measures are taken in the built environment

and how they are re-worked by institutions of the household, community and the State.

The findings show households react in two ways by increasing or decreasing exposure,

defined by gender roles and subsequent division of labour; and by determining the

capacity to make decisions for planning, constructing and managing houses and

infrastructure, based on the bias in decision-making, and gender difference in income

and asset-ownership.

Usually the heads of household are expected to take on productive roles; and for most

urban poor households the available livelihood opportunities require them to work

outside in the open air, thus exposing them to the maximum impact of climate extremes.

This greater exposure, in turn, limits their ability to respond to climate variability and

changes by adjusting their behaviour or resources. The research findings also suggest

that there are different impacts according to the extent of external exposure. Most men

(compared with women) - apart from house-owners whose main source of income is

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renting out rooms - are less concerned about houses as they spent less time inside the

house, except for sleeping and personal care (discussed in chapter eight). They may

actively participate in the decision-making process of planning and constructing the

house, but may be less active in the management and maintenance of the built structure.

On the contrary, they are much more interested in improving work spaces, access to

services, streets and drainage to improve the resilience of the neighbourhood. This

follows Rakodi's (1991) argument that men design their built environment for their own

needs whereas women address the needs of the whole household.

The empirical work found that women were more sensitive towards the significance of a

resilient built-environment. In addition, those who worked outside the community saw

better infrastructure and access to services as key elements supporting women’s

productive and reproductive roles. As suggested by the respondents, easier access to

livelihood opportunities by female members of renter households motivates them to live

in Korail. Again, the findings can be explained by the suggestion that women of house-

owner households identify the benefits of investing in houses as they try to raise their

families with insecure tenure, lack of basic services and inadequate housing (Dodman &

Mitlin 2011). Their modified division of labour motivates them to reconstruct structures

and spaces for better management and maintenance (discussed in chapters seven and

eight). Nevertheless, the findings highlight that a woman living in a male-headed

household without the means to earn a living had limited impact on the design and

reconstruction of houses or ‘inhabited’ spaces outside the house. Similarly, women of

renter households cannot influence the choice of moving to better houses. Thus, even

though some women had to take on diversified and additional responsibilities to manage

their household, their ability to respond by taking action, in turn, depended significantly

on their access to the control and management of financial resources.

Gender bias in power and decision making

Such conclusions have been supported by the evidence discussed in chapter eight on the

relationship between the level of enclosure and the adaptive capacity of female/male

members. Incorporating the findings illustrated in Table 6.4 (characteristics of different

building components and their exposure to different climate variability) with the data

analysis illustrated in Figure 8.8 (space usage pattern based on gender) and undertaking

a comparative analysis of the different case-studies illustrated that women, who run

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home-based businesses, for their work patterns needed to be in semi-public spaces

instead of the traditional norm of being in a private space. The findings in chapter seven

described how private space, with choices of materials and construction techniques

determined by economic efficiency, can become highly vulnerable to impacts of climate

extreme. People who spent more time in their private spaces are left without a choice to

make any adjustments. On the contrary, semi-public spaces are usually semi-open

ensuring better ventilation that reduces the impacts of increased heat. Again, members

running home-based businesses often have more choices in planning, construction,

management and maintenance. This provides opportunities to make adjustments to

space as needed to avoid loss from hazardous physical events. These findings imply that

productive roles may increase an adaptive capacity to reduce impacts of hazards,

especially for women, when they have increased control and management of resources.

On the other hand, for those household members who have to spend more time in the

enclosed environment, their risks increase with the limited choice imposed by

enclosure.

Figure 9.2: Relationship between gender dynamics, space usage pattern and adaptive capacity

Source: Author, interpretation from analysis

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Figure 8.12 in the previous chapter illustrated the relationship between gender roles and

the pattern of space usage and adaptive capacity. Overlaying the gender difference in

asset-ownership and gender bias in decision-making in the same analysis (shown in

Figure 9.2) illustrates a shift in the curve where more decision-making ability, based on

asset-ownership, tends to increase adaptive capacity.

Gender differences in income and assets

The findings also suggest that increased control and management of resources by the

female/male members, and converting financial resources into physical assets, are not

necessarily reached by consensus. Like any other household, urban poor households

work through conflicts and collaborations. Different case-study examples illustrated the

significance of having savings and access to credit to increase the overall capacity of the

household by investing in physical capital, for example expanding the house as a source

of additional income by the house-owners or moving to better houses by the renters;

improving living conditions through accessing water and sanitary toilets; and investing

in businesses for a better income. Usually the female members are keen on saving,

while the male members support such activities even though they may not contribute to

savings or even in some cases lose money through poor investments or bad personal

habits. The priority of investments again, as discussed in the theoretical review in

chapter three and illustrated by the examples in chapter eight, depended on bargaining

power based on control over resources, influences that were used to prevail in the

bargaining process, mobilization of inter-personal networks and basic attitudinal

attributes within the household and community.

The research found that in some cases, apart from financial capital, other types of asset-

ownership influenced bargaining power, access to and management of resources for

both female and male members within house-owner and renter households (illustrated

by the examples discussed in chapters seven and eight). Other asset-ownerships include

physical in terms of the ownership of houses and services; they can be human in terms

of having knowledge, skills and education; or social represented by having strong social

network. Depending on what types of asset individuals own, their houses and spaces are

transformed to adapt with changing-climate scenarios. A householder with construction

knowledge builds a more resilient house with innovative techniques; a renter household

with multiple and diversified income sources moves into a better house to reduce

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health-related expenditure. The use of different assets creatively to increase adaptive

capacity follows the argument that the degree of inventiveness and creativity is directly

proportional to the number of ways in which a required number of variables can be

combined (Turner 1976:128). The findings suggest that, with more options to use

different types of assets, urban poor households are better able to cope with

uncertainties.

The exploration of the quality of the built environment to respond to climate hazards,

following the methodological approach adopted for this research, resulting from who -

along with why and how - was involved in the process of decision-making in planning,

construction or building operations, management, maintenance and the use of space in

houses and the surrounding neighbourhood. The findings illustrated a significant

relationship between power relations and the mediating capacity of household members

in making decisions for inhabiting resilient spaces. As discussed in chapters seven and

eight, the traditional processes of construction of the built environment give almost

absolute power to male members of the community in planning and construction,

especially of house-owners. Space, and how it is represented considering privacy,

security and environmental comfort, characterizes an individual’s inherent capacity to

cope with risks. Nevertheless, there can be variations that are balanced through

negotiation. The outcome of negotiation varies between female and male members,

between house-owners and renters - depending on their bargaining power and on their

decision-making ability which in turn is dependent on asset-ownership. Recognizing the

significance of power based on asset-ownership, this thesis argues for planning

interventions to increase the decision-making ability of both household and community

members in planning and constructing the built environment.

The arguments formulated through the findings of the research have implications for

both theoretical and policy debates. The following section describes the possible

contributions of this research to theoretical debates on adaptation and adaptive capacity.

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9.4 Contributions to theoretical debates on adaptation and adaptive capacity

Climate extreme and purpose of adaptation in the built environment

The findings of this thesis contribute directly to the theoretical debates on the built

environment and adaptation. While most discussions on adaptation by the urban poor

focus on socio-political adaptive capacities, this thesis incorporates the physical or built

environment issues into the discussion. The thesis formulates arguments from the

findings that less dramatic, slow, recurring, incremental and often unnoticed impacts of

‘climate extremes’, as defined by IPCC, significantly modify the resilience, coping

capacity and adaptive capacity of urban poor households in comparison with the

dramatic and infrequent impacts of climate change. Thus the arguments of the thesis

contribute towards the shift of focus to impacts of climate extreme that are more

significant to the urban poor when considering adaptation.

Focusing on climate extreme impacts highlights two related facts. First, houses and their

physical surroundings and services for poor households in urban areas, which are

exposed to the impact of climate extremes, are more likely to be able to make many

adjustments to reduce risks or to enhance resilience in response to observed or expected

changes. Thus, the empirical work highlights the significance of access to secure

shelter, good infrastructure and services in particular, in other words the built

environment, to enhance the potential of an individual or a household to adjust both

behaviour and resources and technologies. Second, emphasis on physical assets used to

address the many factors or stresses of climate extremes, subsequently contributes to the

arguments for asset-based adaptation in cities that advocates addressing the socio-

economic well-being of urban poor households alongside climate vulnerabilities.

Again, since asset-based adaptation examines both vulnerabilities and strategies, in

terms of the built environment, it implies assessing them in the planning and

construction of houses and community facilities; managing and maintaining spaces

within these houses and community facilities; access to water, electricity, gas supply;

streets and garbage disposal facilities - as well as addressing the processes of accessing

them. The assessment of processes and the outcomes from these processes in the built

environment highlight the specific and measureable scale and purpose of adaptation

which often are not clearly spelled out in adaptation debates.

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Sustainable development theory and practice

Furthermore, examination of anticipatory and reactive actions draws attention to the

processes, strategies and actions taken in the built environment that strongly shape the

adaptive capacity of individuals and households within the community. These findings

contribute to debates on environmental sustainability in the Global South. The concepts

of sustainability that have been developed mostly from the North are more concerned

about measuring energy and carbon consumption. The inequality, informality, unequal

asset-ownership, and governance and efficiency of governments in cities of the Global

South are raising questions on what should be considered as sustainable development.

Clearly this research highlights that sustainability in the context of these cities is less

about the physical form, addressing the merely technical, aesthetical and physical

issues, but rather more about the process of the production of spaces, responding to

peoples’ needs and aspirations, creating an enabling environment, adopting innovative

approaches and being creative. The findings for adapting with climate extremes

reinforce the theoretical arguments for understanding ‘wider sustainable practices’ (Guy

2012) developed from and applicable to the South.

Similar to the theoretical debates the findings address sustainable development practice

as well. It is argued that the unnamed millions who build, organize and plan in cities of

the Global South, who have no other choice but to build, buy or rent an “illegal

dwelling”, are the most important organizers, builders and planners of the city (Hardoy

& Satterthwaite 1989). They remain beyond the domains of the architectural and

planning professionals who serve only 10 per cent of the population that can afford their

services and goods; whereas the other 90 per cent who are mostly the urban poor are

changing the dynamics of design at all levels (Smith 2011). Long-term planning for the

large population of the urban poor, which faces changing temperatures, rainfall, rising

sea levels, flooding, erosion, and salt intrusion are at the forefront of finding adaptive

solutions for improved local capacity and environmental sustainability (ibid).

Clearly, the built environment professionals in cities like Dhaka will be challenged. The

discussions in chapter five highlighted the challenges of development practitioners in

the city trained through the traditional education and training process. My personal

experience as a graduate architect from a renowned public university in Bangladesh, as

an academic teaching in private universities and as a professional architect – found that

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the training and professional environment provides limited opportunity and motivation

to consider the urban poor as ‘clients’ in academic curricula and professional practice.

The reality of the informal settlements like the ones described in this research

contributes to the arguments to persuade reformulating professional development, for

example architectural practice and architectural pedagogy to address the future

challenges of vulnerable cities, to work with the diversified groups within the city to

design resilient built environments. In this respect it is worth mentioning that although

the scope is limited, there are current efforts to incorporate sustainable development

practices within the architectural pedagogy.16 This research’s findings may generate

new perspectives into such endeavours.

Gender and the built environment

This thesis shows that through subsequent exploration of adaptive capacity in the built

environment, more specifically through spatial practice or production and reproduction

of spaces, it is possible to extend understanding beyond the physical issues and

emphasize the social relations of spatial practice for adaptation. As such, these

discussions incorporate the significance of the built environment with theoretical

debates on gender and adaptive capacity. While most discussions on gender tend to

focus on women and their vulnerabilities and virtues, this thesis argues for going

beyond those two concepts and considering both women’s and men’s gender roles and

needs, as well as their agency and power of decision-making that influence the inherent

capacity of an individual or a household to respond successfully to climate extreme

impacts through adjustment to both behaviour and in the use of resources and

technologies. Such an approach strengthens the exploration process by incorporating

social issues in capacities to adapt.

Furthermore, planning and constructing the physical environment by making

adjustments to physical, social and human systems through the dynamics of the

household and community contribute to the debates on gender, architecture and space.

Debates on gender and space, or gender and architecture (Rendell 2000; Spain 1992) are

16 The students of the Department of Architecture, BRAC University, worked closely with the residents of a flood-prone low-income urban settlement to design disaster-resilient low-cost houses. The details can be viewed in http://vimeo.com/38026593

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mostly developed from ‘western’ perspectives or from the global North. The few

examples taken from the South (Ghafur 2002; Shrestha 2000; Chant 1987; Moser 1987)

discussed in this thesis did not address the spatial vulnerability and the adaptive

capacity around climate extremes in cities, which are now becoming a reality. The

examples and analysis of this research contribute to the knowledge gap around gendered

spaces and adaptive capacity. The urban poor women and men, through their dynamic

gender roles and decision-making ability define the characteristics of resilient spaces

and structures. The findings illustrate the significance of integrating gender analysis in

the built environment to recognize and understand the heterogeneity within urban poor

groups in conceptualizing adaptation.

9.5 Policy implications of asset-based adaptation in the built environment

The literature and policy review in chapter five identified several limitations on the part

of government and policy makers in addressing the vulnerabilities of urban poor

households in adaptation planning. Adaptation emerged as a key issue of discussion

only recently in international policy debates - after recognition as one of the four

‘building blocks’ required to respond to climate change in 2007, later with the political

recognition of financial commitments in 2009 (Dodman & Mitlin 2011). Hence it is

likely that despite promised financial commitments, national policies in countries like

Bangladesh will face challenges in planning for adaptation (see Banks et al. 2011).

Specifically for Dhaka, the capital city of the country as discussed in chapters one and

five, adapting to risks of climate extremes will emerge as a considerable challenge.

Climate policies applicable to the city, to date, remain deficient in addressing two

aspects - the urban poor as a marginalized group in the population, and urban issues as

an emerging phenomenon. Policy remains focused on disaster risk management without

any specific concern for the urban poor. Similarly, urban development policies reflect

an antagonistic policy environment, common in many low- and middle-income

countries who adopted many of their policies and planning approaches from their

colonial inheritance. Also there are limitations of resources to sustain urbanization;

therefore, there is the challenge for policy makers to appreciate innovative approaches

to development that will have a different dimension of performance within these limited

resources.

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This research highlights the need for an increased understanding of adaptation in the

built environment by urban poor households; it views gender dynamics in the light of

power relations as a determinant of assessing adaptive capacity for asset-based

adaptation in the built environment. Accordingly, it recommends strengthening

decision-making power by urban poor households and members within households.

Based on the findings the following suggestions are put forward as possible ways of

achieving this goal through policy interventions: a) through recognizing the urban poor

and their assets as resources for adaptation; b) by recognizing existing knowledge as a

means for building adaptive capacity; and c) by addressing root causes of inequality

based on gender to create more opportunities for adaptation.

Recognition of the urban poor and their assets as resources for adaptation

The discussions in chapter two highlighted that urbanization itself can contribute to

climate vulnerabilities in the built environment especially for the urban poor. In order to

reduce risks from any natural and man-made hazards, urbanization is usually guided by

different planning approaches (e.g. spatial planning and regulatory frameworks) and

institutional arrangements associated with the approaches (e.g. regulations guiding

access to services and security of tenure). Planning practices have the potential to

reduce risks - through controlling development in hazardous areas or guiding safer

construction through building standards, supporting and training the builders,

influencing land provision for urban poor households, encouraging and supporting

household / community actions for better-quality housing, safer sites, good

infrastructure and good disaster preparedness etc. (Satterthwaite et al. 2009; Johnson

2011; Smith 2010; Sanchez-Rodriguez 2009).

However, the analysis of the context of Dhaka, Bangladesh shows that some of the

existing approaches and institutional arrangements marginalize urban poor households.

In the process these households are identified as ‘illegal’ in the city, so their access to

housing and services, which are essential to respond to climate variability and change,

are restricted (Satterthwaite et al. 2009; Rashid 2009; Yahya 2000; Dodman &

Satterthwaite 2008; Khosla & Masaud 2010). Moreover, these planning approaches and

institutional arrangements disregard the households’ investment to secure living

arrangements as well as other financial and human assets they accumulate in order to

survive and face the challenges of city life.

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On the other hand, pro-poor urbanization planning can create better livelihood

opportunities, education and healthcare facilities that enhance the overall capacities of

urban poor households to respond to both natural and man-made hazards. In addition,

cities as centres of innovation have the flexibility to adopt new ideas, institutions,

practices, behaviours and social relations to move away from existing political and

governance regimes (discussed in chapter two). This flexibility may allow the pursuance

of meaningful adaptation with climate extremes and support action to avoid losses and

recover speedily. The approach requires moving from merely achieving transition or

resilience to transformations (Pelling 2010).

One of the key challenges for such policy development will be to integrate urban poor

households who, not having the rights to access housing and infrastructure, neither have

the capacity to negotiate with development authorities or policy-makers at the city level.

The participation of marginalized urban poor groups in pro-poor development policies

will involve a capacity to deal with adverse power structures and practices that lie above

the immediate locale (Dodman & Mitlin 2011). Conceptualizing adaptation at the nexus

between the built environment and development, as discussed in chapter two, will not

only establish the urban poor as the most vulnerable group in policy and planning but

with acknowledgement of their assets they can be recognized as partners in

development rather than as beneficiaries.

Some of these policy initiatives will require the understanding of asset-ownership and

subsequently build on existing resources rather than starting afresh. Accordingly, key

challenges for these policies will be to address the root causes of inequality by investing

in access to different physical, financial and human capital for adaptation. This thesis

highlights some of the assets that contribute to building the adaptive capacity of urban

poor households. They include knowledge of house construction and negotiation

processes for providing services; building materials that the households use; and

financial investments to develop housing and infrastructure. In addition, this thesis finds

that the fluidity of spatial practices in the built environment adopted by urban poor

households is innovative: there is wider coverage that adds a different scale to

adaptation. Nevertheless recognizing the informality in the lives of the urban poor and

their built environment carries the risk of increasing vulnerability without appropriate

knowledge.

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Using existing knowledge for building adaptive capacity

The asset-matrix (shown in figure 9.1) developed for the context of climate extremes

identified knowledge as a significant asset within human capital that informs decision

making, transfers value, promotes learning and improves actions. Pohl et al. (2010)

argues that knowledge that strikes a balance between scientific and other forms of

knowledge, between academic and non-academic communities is required for

sustainable development; in addition, it bridges the gaps between (and within) science

and public policy domains. The empirical work of this thesis can be argued to be

knowledge on adaptation and adaptive capacity co-produced incorporating the technical

expertise of the researcher with the social knowledge of urban poor households. The

dynamic interaction between these two sources enhances an understanding that is

generated through better coordination of scientific, practical, local and tacit knowledge.

This research finds that spatial practices in the built environment are unlikely to ensure

climate resilience unless a household has the appropriate knowledge to plan, construct,

manage and maintain while adjusting to climate variables. Without such knowledge,

investment in houses and infrastructure itself can become a hazard or cause a major

depletion of assets for using inappropriate construction techniques or locating houses in

vulnerable sites. Empirical work has shown that loss of physical assets from direct

impacts triggers an indirect snowball effect on food consumption, human health,

livelihood and social networks. Thus, to build adaptive capacity using physical capital it

is important to have the appropriate knowledge about the uncertainties of climate

variables and how to address them in the planning and development phases where the

State or the professionals can contribute.

The findings on the climate data showed that appropriate knowledge around climate

variables is inaccessible to urban poor households who rely on their immediate

experiences of less-dramatic and incremental changes resulting in severe weather

conditions and extreme events. Accordingly, any anticipatory and reactive actions are

guided and prioritized by the cumulative effects of both direct and indirect impacts.

Actions are neither informed by policy initiatives nor do the households have access to

weather forecasts or early warnings for disaster preparedness. Access to such

comprehensive information and data by urban poor households would enable them to

prepare and make better informed decisions on how to respond.

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The exploration of physical planning within the community revealed some examples

which can inform policy-makers. The standard size of a room - derived by the

community (discussed in chapter seven, also shown in Figure 9.2) and using financial

and physical strategies on the cost-effective use of building materials - could be used to

advise on the formulation of regulatory frameworks. The literature review in chapter

two on adaptation planning emphasized on using regulatory frameworks within the

design approach to reduce climate vulnerabilities. However, concern was raised about

their appropriateness if they had not been derived while considering the context of the

informal settlements. As argued before, in theory standards should be a consensus as to

what should be achieved within one particular context derived from the needs and

preferences of that particular community (Hardoy & Satterthwaite 1989:31). Deriving

regulatory frameworks from these examples may be more appropriate and acceptable to

urban poor households as they are developed and practised by them.

This research considered variations within urban poor groups: variations of needs,

experiences and knowledge, and decision-making powers between house-owners/renters

and female/male members. It also showed that a lack of knowledge about these

Figure 9.3: Standard room size based on space usage and unit of material

Source: Author, interpretation from analysis

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variations resulted in a one-size-fits-all solution that could increase or decrease

vulnerability through policies. Alternately recognizing the variations contributes to

better policy formulations. For example, recognizing the role of women in the provision

of housing and basic services establishes their needs both in the urbanization process

and in housing solutions (Moser 1987:3). The differences between house-owners and

renters can generate more equitable opportunities based on ownership and contributions.

Thus this research argues that responsiveness and the sustainability of future policies

will largely depend on recognizing the social and economic heterogeneity of

communities, based on their needs and decision-making power.

Addressing root causes of gender based climate vulnerability and resilience

Similar to mainstreaming the urban poor as groups in the urban development process,

mainstreaming gender responsiveness into climate policy and urban development adds

relatively new challenges for the policy makers. Many previous gender-mainstreaming

approaches focused on women and their access to various resources. However, Rao &

Kelleher (2005:57) pointed out that access to various resources and ensuring that greater

social value is given to women’s contributions lies within the domain of the policy

makers. Without addressing inequalities at the policy level it is hard to make any

significant change at the grass-root level, as the social value of various resources will be

governed by how the institutional arrangements perceive women’s and men’s rights and

entitlements to the resources and what kind of opportunities they create.

Some suggestions on how policy makers can mainstream gender into adaptation

planning are put forward in the literature review in chapter three. These include making

a commitment to integrate climate policy and gender equity at national and local levels;

awareness-raising and capacity building; ensuring participation in planning, decision-

making and implementation - both in the political sphere as well as at community and

neighbourhood levels; sex-disaggregated data collection; rapid assessment of climate

change projects, policies and programmes; identifying key areas of action; reducing

underlying climate change risk factors and preparing a gender-responsive climate policy

plan (Alber 2011; Dankelman 2008b). In short, these suggestions opt for transformative

institutional change with a willingness to undertake self-assessment and having a

political commitment at the highest level; at the same time as carefully using the

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available physical, human and financial resources at the household and community

levels for a continuous and fluid process of development.

To contextualize these suggestions to the built environment of informal settlements in

Dhaka, the policy makers will face challenges on many fronts to address adaptation.

The dynamics in social formation of urban poor households in Bangladesh that has been

initiated by the access to economic opportunities for women are yet to be incorporated

into climate policies. The broad aims and objectives indicated in these policies need to

go further and address the power relations that are negotiated through conflicts and

collaborations depending on existing socio-cultural and structural factors that limit an

individual’s or a group’s capabilities, agency or level of choices. The decision-making

power may be reflected in innovative spatial planning or in regulatory frameworks to

guide the spatial practices for developing housing and infrastructure of urban poor

households.

The examples of households throughout the thesis, also illustrated in Figure 9.4 where

female and male members incorporate their productive, reproductive and community

roles, make adjustments to the spaces they live and work, to the resources and

technology - all of these build on the arguments to address the root causes of gender

based climate vulnerability and resilience in the policy level.

The risks of changes in climate are threatening to cause a significant loss of assets. It is

argued that human beings are more likely to act innovatively when threatened with loss

rather than possible reward. As such, adapting with climate extremes in cities with the

current urbanization growth rate requires formulating innovative policies as a process of

thinking out-of-the-box without aiming for any specific outcome. Asset-based

adaptation in the built environment can be an appropriate approach to build the adaptive

capacity of urban poor households. The approach considers the root causes of inequality

in asset-ownership based on gender dynamics both at intra- and extra-household levels;

thus innovative, effective and sustainable opportunities can emerge from gender

sensitivity with an understanding of the female/male sphere, differential vulnerability

and the state of empowerment in their given physical, socio-economic and political

conditions.

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9.6 Potentials for future research

This research has investigated the causal relationship underlying how gender dynamics

can improve adaptive capacity in the built environment. However, it is important to

point out that both gender dynamics and climate vulnerabilities are highly context-

specific; hence the analysis has been at the micro-level, investigating both household-

and community-level issues that underline the physical, economical, social and political

vulnerabilities exacerbating climate vulnerabilities. This micro-analysis of processes to

build resilience is an important advancement in our knowledge for integrating the built

environment with adaptation planning in Dhaka, Bangladesh.

Figure 9.4: Gender dynamics influencing adaptive capacity through space organization

Source: Author, drawn from the house of CS 12

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Scope remains for extending this research to informal settlements in different cities,

within and outside Bangladesh, that are vulnerable to future changes in climate. An

historical analysis of urbanization and climate vulnerabilities will show that the

urbanization process remains inimical for the urban poor in many cities of low- and

middle-income countries exposing them to the impacts of climate change. Again, the

nature of climate vulnerability differs among cities depending on the geographical and

political contexts which require extensive understanding of root causes.

Many international research initiatives like Urban Climate Change Research Network

(UCCRN) are now working to develop a shared research agenda on urban climate

change issues with stakeholders, facilitate research collaborations within and across

cities/metropolitan areas to enhance cutting-edge scientific, economic and planning-

related research and promote knowledge-sharing among researchers, urban decision-

makers and stakeholders while exchanging lessons learned across cities in Asia and

across the world. Lessons can be learnt by using this research as the basis for

comparative work to generate knowledge and address impacts of climate extremes

through adaptation in the built environment.

- 254 -

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Appendices

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Appendix 1: Tools of PCCAA Tools Functions Theme 01: Eliciting information on community characteristics Transect walk � Helps break the ice – dispels suspicion

� First informal contact with a range of community members � Visual identification of areas most vulnerable to severe weather

Matrix on general data � Provides information about the community � Covers population, infrastructure, source of income by gender

family size and division of labour, migration, communications and ethnic groups

Participatory mapping of � Community � Areas affected by

severe weather

� Maps spatial characteristics of a community (can be combined with the transect walk)

� Maps the most important features of the community, such as boundaries, houses, roads, police stations and schools

� Identifies areas vulnerable to, or affected by, severe weather associated with climate change

Theme 02: Gathering information on the climate in a community Listing and ranking � Listing identifies perceptions of types of severe weather

� Ranking then prioritizes which most affect local communities Community history matrix

� Details the history of the community � Identifies periods of climate change related events and their

effects on a community Timeline � Provides visual representation of types of weather change and

associated problems – such as severe droughts, issues around food insecurity, heat waves, floods and disease cycles

Theme 03: Investigating vulnerability to severe weather Community map � Identifies vulnerable areas and locations within a community

� Identifies the type of vulnerability (flooding, heat, water clogging)

Severe weather/climate change/disaster timeline

� Identifies the effects of severe weather on individuals and households, small businesses and community assets over a period of time

Causal flow diagram � Identifies main causes and consequences of severe weather-associated vulnerability

� Relationship between climate-induced disasters and loss of assets (i.e. flood, drainage clogging, late school attendance, outbreak of diseases)

Problem tree � Analyzes causes(in the roots) and effects (in the branches) of particular types of severe weather

Theme 04: Identifying assets and assets adaptation Listing and ranking � Identifies assets and perceptions of levels of importance at

household, small business and community level � Identifies and prioritizes adaptive strategies as identified by

different groups Matrix � Identifies assets of different groups

� Identifies potential and actual strategies and solutions to adapt specific assets to severe weather

� Identifies solutions offered by different groups

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Tools Functions Causal flow diagram � Identifies the impacts and consequences of different types of

severe weather on assets � Identifies possible strategies and solutions to adapt specific

assets to severe weather by different groups Community map � Location of community assets Timeline � Identification of strategies over time Theme 05: Identifying the importance of institutions supporting local adaptation Institutional/Venn mapping

� Identifies the comparative importance of institutions � Identifies whether institutions are located inside or outside the

community � Identifies whether institutions are positive or negative � Identifies the importance of institutions in adapting to severe

weather � Identifies whether there are relationships/linkages between

institutions Listing and ranking � Identifies institutions inside and outside of a community

� Categorizes the institutions by type, i.e. NGO, CBO, local government, national government

� Ranks institutions by importance Source: Adapted from Moser & Stein (2011)

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Appendix 2: Survey questionnaire Respondent’s name Respondent’s ID Area name Street name/ house-owner’s name Dwelling number (if any) Interview date and time Interviewer

House-owner Lake-side Living less than 5 years

Renter Inner land Living more than 5 years

Male-headed Self-employed Female-headed Wage earners

Mixed Household profile Sl Name Sex Relation Age Martial Education level Employment 01 02 03 04 05 06 07 08

Individual’s income generating activity Sl. Name Main

work Other Work

Past work

Work length

Work status

Hours/ Day

Days/ month

Pay period

Pay or profit per period

01 02 03

Task and time allocation Time Respondent Spouse Child 1 Membership/ involvement in community Sl Name Formal group Informal group Professional

group Social activities

01 02 03 Access to and management of resources in household Member 01 Member 02 Member 03 Monetary contribution in the household Did they lose earning during last summer/ rainy season/winter?

If yes how much (days or money) And why

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Physical capitals In Korail In village Anywhere else Amount Who’s name is the ownership Own house Rent house Own land Who makes the decisions about expenditure in this household? Item Who decides? Notes Food Clothing Education Furniture Durables (fridge, TV, etc.) Cigarettes/ Alcohol Spending on gifts Trips/outings/visiting relatives, village Saving

Borrowing or lending money Identification of assets, adaptive activities and gender dynamics Accumulation of assets Year Depletion of assets 1 2 3 4 5 6 7 8 9 10 Listings and rankings Household assets Community assets Climate events impacting House Water Increased heat Courtyard Electricity Increased rain Furniture (Bed) Tube-well Less rain Furniture (Table, chair) Road Intense rain Others……… Access to work Increased cold TV Rent Change of seasons Fan Known neighbours Less cold Fridge Known shop-owners Ornaments School Electricity Health facilities Water Open space Tube-well, well Shop Income Market Savings Tree, plants Poultry Rickshaw Shop Children Investment

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Vulnerable members from climate induced disasters Working women Children Working men Adolescence girls Home maker Adolescence boy Elderly Disabled Vulnerable spaces within household Living Courtyard Cooking Shop Shower Toilet Vulnerable spaces within community Road Shop Open space Market School Community spaces Health facilities Work Existing housing condition Spaces What materials Why Characteristics of space Living Eating Cooking Shower Toilet Work

General comments, observations and diagrams

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Appendix 3: Example of compiled field notes of one case-study household

Case study household no. 03

Iffat and Salam are house-owners living in Korail for more than 5 years. Their house is located in Jamaibazar, within the higher inner area of Korail. The household is male-headed, both the husband and the wife contribute to the household earning. They were interviewed twice on 3rd and 4th of December, 2010.

They have a very small household at the moment comparing to the others in Korail. Salam is 55 years old while Iffat is 46 years; their 12 year old son lives with them. The only daughter got married and moved else where. Both of the parents are illiterate but the son attends regular school as well as religious school with encouragement from the mother. Iffat earns monthly wage while Salam depends on the earnings from the seven rooms they rent out.

Iffat works as a cleaner in an office for 3 hours every morning to get a monthly wage of BDT 1,500. Previously she worked as day labourer breaking bricks to make brick-bats in construction sites. Salam worked for first three years in the city as fruit vendor. Later he started to work as daily labour in the construction sites as well. During that time he started suffering from chronic illness and eventually could not continue manual labour. He has been staying in the house for last 3 years. At present renting out room is Salam’s only source of income that comprises on an average BDT 8,500 per month.

In terms of task and time allocation Iffat has to take care of most of the household tasks in the household. Because of illness Salam no longer take any household responsibilities. Iffat wakes up at 5 am to collect water for herself as well as her renters from the lines that bring supply through pipe from the private vendors twice a day. She finishes some cooking before going to work at 7 am. Her time between 10 am to 12 noon usually is spent for household works like cleaning, preparing son to send school, washing etc. She also socialize with her neighbours (mostly renters living around the same courtyard). After lunch she attends an adult literacy school run by a donor funded project for two hours. On her way back from the school she goes for the daily grocery shopping. She mentioned that it is better for the female members to do the household daily grocery; men tend to waste more by buying the wrong or unnecessary things and in more amount than needed for a day or two. She said in Korail bazaars more women do shopping than men. She gets an hour to watch TV before starting to cook for the night at 7 pm. She sleeps early and goes to bed by 10 pm.

On the other hand Salam’s daily time allocation depends on how he feels on that day. He wakes up later around 9 am. He mostly stays at home all the time during the day except in the evening when he likes to spend time in the near-by tea-stall. He often stays late in the shops and come back around midnight. The son goes to the religious school in the morning before going to the regular school at 12. He often helps in household work with the mother. He has to go for private tuition for three hours everyday after coming back from school at 4 pm. He needs the tuition to catch up with the school work as both of the parents are illiterate and can not help him with the studies. He likes to watch for TV after 7 pm.

Both Iffat and Salam are well connected with the community members. Iffat is an active member of savings group facilitated by NGOs. She worked as cashier for one of the group, which gave her access to different member households. Also she was involved with organizing community members for different NGO programmes including savings, advocacy programme for the women. She worked as mid-wife for seven-eight months. The household keep good relation with the other house-owners of the area to discuss about common interest or solving problems together. People come to them for short-time loans in times of need, she even become

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the guarantor for others while they are taking loan from any savings group. Salam keeps good relation with his prior professional group. His renters are mostly his prior colleagues at work or are known to his colleagues. He chats with different community members while spending time in the tea-stall and clubs. He also supports a certain political party’s activity in the area.

Apart from the house in Korail, the household owns some residential land in their village. Salam has the ownership of that land. 10 years back they took a loan of BDT 40,000 to buy 36,000 sft of land in outskirt of the city near Gazipur. The land has Iffat’s name as owner. They have managed to buy some furniture, TV, ornaments along with accumulating some savings with an NGO. Iffat rear poultry and pigeons that ensure extra food supply to the family.

Since Iffat is responsible for taking care of the most household activities, as a consequence, she takes major decisions on buying food, clothing, children education, furniture, trips, savings and borrowing or lending money. She tries to keep the husband informed especially when making decisions to buy durables like fridge or TV. She saves BDT 10 per week with the savings group. Being a member of that group gave her opportunities to access credit in various occasions. The couple have developed a mutual understanding about the availability of funds from taking credits and matching with the need of improving the house as it has become their principle source of earning.

The household of Iffat and Salam moved to Korail 17 years ago in 1994. Before that both of them have been working as day-labourer in Dhaka and renting a room in another part of the city. They heard about the vacant land in Korail from different persons while they were trying to make a living in the city. The expectation to access vacant land to build a shelter motivated them to come to the area and talk to the mastaan’s who at that moment were ‘selling possession’ of land. Eventually with BDT 1,000 they managed to take possession of a land to make 3 rooms leaving 22 feet open space. The house was made with bamboo mat. In 1998 after the flood Iffat became member of the NGO savings group as they started working in the area. A year later they brought electricity line to the house from private vendors and started adding new rooms to rent. In 2001 one of their neighbours forcefully took away space of two rooms with the help of political supporters. Later year they took loan of BDT 40,000 to buy the land in Gazipur. They have been paying off that loan along with improving the house incrementally every year. 5 years back they brought water lines in the house, changed the bamboo posts in different rooms as needed. Their house used to be inundated with rainwater. Over the years they increased the plinth height of different rooms they rent out.

Accumulation of assets Year Depletion of assets Possession of land

House with 3 rooms and open space 1 1994

2 95 3 96 4 97

Member of NGO savings group 5 98 Effected by flood Brought electricity line

Constructed new rooms to rent 6 99

7 2000 8 01 Lost 2 rooms to neighbour

Bought land in Gazipur 9 02 Took loan BDT 40,000 10 03

Brought water line 11 04 12 05

Increased plinth height Brought water line for the renters

13 06

14 07 15 08 Husband left working

Change posts of the rooms 16 09 Spent BDT 5000 for medical expenses. 17 2010

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When asked to comment about what they consider as individual/ household and community assets and ranking those assets in terms of significance they suggested the following. They ranked some of the assets while just described the others.

Individual/household assets

� House (ranked 1) � Access to water and electricity within the house (ranked 2) � Livelihood opportunities (ranked 3) � Savings (ranked 4) � Ornaments (ranked 5) � TV (ranked 5) � Furniture (Bed and others with resale value) (ranked 6) � Courtyard � Fan � Tube-well and well for water � Poultry

Community assets

� Access to water (ranked 1) � Access to work (streets) (ranked 2) � Lower rent of houses � Known neighbours � Known shop-owners � School � Open space � Shop � Market � Cooking facilities with timber-dust

Discussing on the impacts of recent changes in climate they did not ranked the impacts but suggested the followings

� Increased heat � Less rain � Intense rain � Change of season � Increased occurrence of storms

The listing and ranking of most vulnerable members from climate induced disasters included

1. Children 2. Elderly 3. Adolescent girls 4. Working women 5. Working men

They considered the most vulnerable spaces within the house to be the living spaces, and within the neighbourhood the streets become most vulnerable spaces during any rainfall event.

All of the rooms in the house are made out of CI sheet with bamboo posts. The floors are made out of cement finish. The room the household occupy has a lower plinth than the courtyard around. The room gets water clogged every time it rains. But they have managed to improve the

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other rooms they rent out. Not only they increased the plinth height with rubbish with a neat cement finish, they have constructed 3 inches wide and almost a feet high protecting wall all around. The bamboo posts are screwed to the angles that are embedded in the wall in concrete base. This practice has reduced the rate of erosion of the bamboo post base and made it easy to replace. Also the walling CI sheets are screwed easily to the posts that get less corrosion being free from contact of the ground. All these knowledge of using materials and techniques came from Salam’s pervious work experience. He had seen how people made houses in the rural areas also he learnt the use of cement and concrete while working as a construction labour. He has a very clear idea about the dimensions and techniques of construction of house that can ensure efficient use of CI sheet. People come to him to take advice before any construction.

Organization of the house is very much influenced by their concept of privacy. The entrance is through an indirect passage by the side of the water storage and shower space. The only window in their room is located in a manner that they can monitor the renters and ensure that unwanted people can not come in or see inside the open space which most of the female members use. The toilet and common kitchen are around the central narrow open space that also works as ventilation space for the surrounding rooms. The kitchen is semi enclosed to reduce fume. They utilized the spaces and materials to maximize most numbers of rooms to rent out.

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Appendix 4: Urban issues in national climate policies Strategies in National Adaptation Plan of Action (NAPA)

1. Reduction of climate change hazards through coastal afforestation with community participation. 2. Providing drinking water to coastal communities to combat enhanced salinity due to sea level rise. 3. Capacity building for integrating climate change in planning, designing of infrastructure, conflict

management and land water zoning for water management institutions. 4. Climate change and adaptation information dissemination to vulnerable community for emergency

preparedness measures and awareness raising on enhanced climatic disasters. 5. Construction of flood shelter, and information and assistance centre to cope with enhanced

recurrent floods in major floodplains. 6. Mainstreaming adaptation to climate change into policies and programmes in different sectors

(focusing on disaster management, water, agriculture, health and industry). 7. Inclusion of climate change issues in curriculum at secondary and tertiary educational institution. 9. Development of eco-specific adaptive knowledge (including indigenous knowledge) on adaptation

to climate variability to enhance adaptive capacity for future climate change. 10. Promotion of research on drought, flood and saline tolerant varieties of crops to facilitate

adaptation in future. 11. Promoting adaptation to coastal crop agriculture to combat increased salinity. 12. Adaptation to agriculture systems in areas prone to enhanced flash flooding in North East and

Central Region. 13. Adaptation to fisheries in areas prone to enhanced flooding in North East and Central Region

through adaptive and diversified fish culture practices. 14. Promoting adaptation to coastal fisheries through culture of salt tolerant fish special in coastal

areas of Bangladesh. 15. Exploring options for insurance and other emergency preparedness measures to cope with

enhanced climatic disasters. Source: MoEF (2005) Six pillars of Bangladesh Climate Change Strategy and Action Plan (BCCSAP) Food security, social protection and health: to ensure that the poorest and most vulnerable in society, including women and children, are protected from climate change and that all programmes focus on the needs of this group for food security, safe housing, employment and access to basic services, including health.

Comprehensive disaster management: to further strengthen the country's already proven disaster management systems to deal with increasingly frequent and severe natural calamities.

Infrastructure: to ensure that existing assets (e.g., coastal and river embankments) are well-maintained and fit-for-purpose and that urgently needed infrastructure (e.g. cyclone shelters and urban drainage) is put in place to deal with the likely impacts of climate change.

Research and knowledge management: to predict the likely scale and timing of climate change impacts on different sectors of the economy and socioeconomic groups; to underpin future investment strategies; and to ensure that Bangladesh is networked into the latest global thinking on climate change.

Mitigation and low carbon development: to evolve low carbon development options and implement these as the country's economy grows over the coming decades.

8. Enhancing resilience of urban infrastructure and industries to impacts of climate change.

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Capacity building and institutional strengthening: to enhance the capacity of government ministries and agencies, civil society and the private sector to meet the challenge of climate change.

BCCSAP Programmes Theme 1: Food Security, Social Protection and Health P1. Institutional capacity for research towards climate resilient cultivars and their dissemination P2. Development of climate resilient cropping systems P3. Adaptation against drought P4. Adaptation in fisheries sector P5. Adaptation in livestock sector P6. Adaptation in health sector P7. Water and sanitation programme in climate vulnerable areas P8. Livelihood protection in ecologically fragile areas P9. Livelihood protection of vulnerable socio-economic groups (including women) Theme2: Comprehensive Disaster Management P1. Improvement of flood forecasting and early warning P2. Improvement of cyclone and storm surge warning P3. Awareness raising and public education towards climate resilience P4 Risk management against loss on income and property Theme 3: Infrastructure P1. Repair and maintenance of existing flood embankments P2. Repair and maintenance of cyclone shelters P3. Repair and maintenance of existing coastal polders P5. Adaptation against Floods P6. Adaptation against tropical cyclones and storm surges P7. Planning and design of river training works Theme 4: Research and Knowledge Management P1. Establishment of a centre for knowledge management and training on climate change P2. Climate change modelling at national and sub-national levels P3. Preparatory studies for adaptation against sea level rise P4. Monitoring of ecosystem and biodiversity changes and their impacts P5. Macroeconomic and sectoral economic impacts of climate change Theme 5: Mitigation and Low Carbon Development P1. Improved energy efficiency in production and consumption of energy P2. Gas exploration and reservoir management P3. Development of coal mines and coal fired power stations P4. Renewable energy development P5. Lower emission from agricultural land P7. Afforestation and reforestation programme Theme 6: Capacity Building and Institutional Strengthening P1. Revision of sectoral policies for climate resilience P2. Main-streaming climate change in national, sectoral and spatial development programmes P3. Strengthening human resource capacity P4. Strengthening institutional capacity for climate change management P5. Main-streaming Climate Change in the Media Source: MoEF (2008)

P4. Improvement of urban drainage

P6. Management of urban waste

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Appendix 5: Minimum Standard Housing guidelines of BNBC

A. General

i. Government bodies or public agencies may designate an area in the master plan for the development of mass housing projects for the low income people. It may not be convenient or practicable for the dwelling units in such projects to be in full compliance with all the requirements of this Code.

ii. Only government bodies or public agencies should be responsible for planning the number and location of the settlements in a master plan and the layout of units within the settlements. The guidelines of this appendix regarding layout planning are applicable to government bodies or public agencies responsible for such planning.

iii. The guideline and requirements regarding design and construction of buildings for minimum standard hosing is approved layouts are applicable to government bodies, public agencies, private developers or individual owners who undertake such constructions.

B. Types of development

The development of minimum standard housing may be any one or a combination of the following types:

a) Single unit plots of row housing, b) Multi-storied flats of row housing, c) Block development as group or cluster housing, and d) Site and service scheme.

The guidelines for planning and general building requirements shall be applicable to all types of development of minimum standard housing.

C. Planning

i. Basic master plan requirements

Each cluster of minimum housing should accommodate a maximum of 400 dwelling units with an average of 5 persons dwelling. The following common spaces should be provided in the layout plan of a settlement:

Community open spaces 1000 sqm per 1000 population Internal roads and walkways 15 to 20 per cent of the site area Primary school 1 school covering 1000 sqm per 1500 population Shopping centre 4 shops per 1000 population Clinic/ dispensary 175 sqm per 2000 population Places of worship 175 sqm per 2000 population Services 175 sqm per 2000 population Community welfare centre 400 sqm per 1500 population

ii. Density

The permissible density of dwelling units should be worked out in consideration of minimum common space requirements given above and the size of the units. The density of minimum standard housing shall not be more than 175 units per hectare.

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iii. Size of plot

Minimum standard housing with one room, cooking space, bathing facility and water closet in the ground floor and prospect of future extension of one room and bath/WC on the first floor or ground floor shall normally require plot size of 30sqm. In areas other than metropolitan cities, with population less that 0.5 million, the minimum size of plot for such house should be 40 sqm.

Developments having minimum standard houses with two rooms, kitchen, bathing facility and water closet in multi-storied flats, group housing or individual ownership houses shall require a minimum plot size of 40 sqm. In areas other than the metropolitan cities, having a population less than 0.5 million, the minimum size of the plot of such houses should be 60 sqm. In dense inner city areas of metropolitan cities with population more than 1.5 million, the Government may decide to have a minimum plot size of 25 sqm for such houses.

iv. Plot frontage

The minimum frontage of individual plots shall be 3.5 m. Plots for group housing developments in multi-storied blocks and plots for multi-storied will require a larger frontage.

v. Site and Service Schemes

Site and service schemes shall delineate individual plots and provide for the infrastructural needs for the development of a permanent housing. Interim constructions by the allotees should also be permitted. Skeletal structures with a roof on column and/or developed plinths may be provided if funds are available.

Sanitation and water supply must be provided in all site and services schemes. A sanitary service core or common water supply and sanitation facilities for planned groups of plots should normally suffice.

vi. Internal roads and walkways

Pedestrian walkways when provided as means of access shall be at least 3m. Such walkways shall not be longer than 60m, nor serve more than 10 plots on each side of the path. Building on plots abutting such walkways shall not be higher than two times the sum of width of the walkway and the front open space. Other internal roads shall be at least 6 m wide to allow emergency vehicles to enter. The paved portion of such roads, if used for pedestrian movement only, should be at lease 2m wide.

D. General building requirements

i. Plinth coverage

The plinth area coverage of any plot of minimum standard housing shall not exceed 75 per cent of the plot area. There shall be a set back of minimum 1.5m on the rear side of the plot. There is no requirement for such set back on the sides and front of a plot.

ii. Height limitation

The height of any building in a minimum housing scheme shall not exceed 6 storeys or 20 m. Whenever feasible, the height should be limited to 5 storeys.

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iii. Plinth level

The minimum height of the plinth shall be 300mm from the surrounding ground level.

iv. Habitable room

One roomed dwelling units shall have a multi-purpose room which may include an alcove or space for cooking. The minimum area for the room shall be 12 sqm with a minimum width of 2.5 m.

For dwelling units with two habitable rooms the minimum size of any room shall be 6 sqm with a minimum width of 2.1m. the total area of the two rooms shall not be less than 15 sqm.

One-roomed dwelling with plan for future extension into a two-roomed house in a staged construction scheme shall satify the minimum room size requirements. The first room to be built in this type of development shall have a minimum area of 9 sqm with a minimum width of 2.5m. the total area of two rooms after future extension shall be minimum of 15 sqm.

All habitable rooms shall have a minimum clear height of 2.75m. For sloped roofs the average height shall not be less than 2.75m with a minimum of 2m at the lowest side.

v. Kitchen

The size of the cooking alcove or cooking space provided in a multi-purpose room of a one-roomed house shall not be less than 2.25 sqm with a minimum width of 1.2m.

Separate kitchen provided in a two-storied house shall have a minimum area of 3.25 sqm with a minimum width of 1.6m.

Minimum clear height of the kitchen or cooking space shall be 2.15m.

vi. Bathroom and water closet

Independent water closets shall have a minimum width of 0.9m and a minimum length of 1.15m. The water closet shall be fitted with a door.

Independent bathroom without water closet shall have a minimum width of 1 m and a minimum length of 1.4m.

The minimum size of a combined bathroom and water closet shall be 1.8 sqm with a minimum width of 1m. the bathroom shall be fitted with a door.

vii. Balcony and corridor

The minimum width of individual balcony shall be 0.9m. Corridors for use of more than one dwelling units shall have a minimum width of 1.2m.

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viii. Stairs

The minimum width of stairs serving not more than two dwelling units per floor shall be as follows

2-storied buildings 0.75m 3 -storied buildings 0.80m 4 -storied buildings 0.90m 5 or 6 -storied buildings 1.00m

The height of the riser shall not be more than 215mm.The maximum number of risers per flight in a straight flight stair shall be 15.

The minimum depth of the tread shall be as follows

2 or 3 storied buildings 215mm 4,5 or 6 stories buildings 250mm

The minimum clear head room between flights of a staircase shall be 2.15m. The clear head room may be reduced to 2.03m for not more than three flights in any staircase.

The depth of landing at any level shall be at least equal to the width of the stair.

ix. Water supply

One water tap or hand tube well pump per dwelling unit should be provided, if feasible. Each unit of public water hydrants or community hand pumps, if provided in lieu of individual water supply, shall serve not more than 10 dwelling unit served.

x. Lighting and ventilation

Every room, bathroom and kitchen shall have windows in an external wall opening on a courtyard, a balcony, not wider than 2.5m, or the exterior. The aggregate area of openings in the exterior wall of a habitable room or kitchen shall not be less than 12 per cent of the floor area and that for a non-habitable room such as bathroom, water closet or stair shall be at least 8 per cent of the floor area.

Source: Housing and Building Research Institute (1993)