Security and resilience -- Urban resilience -- Framework and principles

This document describes a framework and principles that are coherent with the 2030 Agenda for Sustainable Development, including the New Urban Agenda, Paris Agreement and Sendai Framework, that can be applied to enhance urban resilience. This document proposes the use of metrics and models as the framework upon which to structure urban resilience to assist local authorities and other urban stakeholder's efforts to build more resilient human settlements. This document is primarily intended for use by organizations with responsibility for urban governance. However, it is equally applicable to all types and sizes of organizations that represent the community of stakeholders noted above, and in particular those organizations that have a role in urban planning, development and management processes in urban areas around the world.

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Published
Publication Date
02-Mar-2020
Current Stage
6060 - International Standard published
Start Date
10-Feb-2020
Completion Date
03-Mar-2020
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ISO/TR 22370:2020 - Security and resilience -- Urban resilience -- Framework and principles
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TECHNICAL ISO/TR
REPORT 22370
First edition
2020-03
Security and resilience — Urban
resilience — Framework and
principles
Reference number
ISO/TR 22370:2020(E)
ISO 2020
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ISO/TR 22370:2020(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2020

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ISO/TR 22370:2020(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Principles for building urban resilience ...................................................................................................................................... 5

5 Characteristics of urban resilience ................................................................................................................................................... 6

6 Framework for urban resilience .......................................................................................................................................................... 7

6.1 General ........................................................................................................................................................................................................... 7

6.2 Urban System Model .......................................................................................................................................................................... 9

6.3 Data — Urban Context and Urban Performance .....................................................................................................10

6.3.1 General...................................................................................................................................................................................10

6.3.2 Urban Context ................................................................................................................................................................10

6.3.3 Urban Performance ....................................................................................................................................................10

6.3.4 Elements of an urban system .............................................................................................................................11

6.4 Analytical lenses .................................................................................................................................................................................12

6.4.1 General...................................................................................................................................................................................12

6.4.2 Key analytical functions of the Who lens — Local government and

stakeholders (LGS) ......................................................................................................................................................13

6.4.3 Key analytical functions of the Why lens — Shocks, stresses and

challenges (SSC) ............................................................................................................................................................14

6.4.4 Key analytical functions of the How lens — Policies, plans and initiatives (PPI) .15

7 Actions for Resilience (A4R) .................................................................................................................................................................15

8 Assessment of relevant International Standards and frameworks ..............................................................16

8.1 General ........................................................................................................................................................................................................16

8.2 Identified gaps ......................................................................................................................................................................................16

9 Conclusion and suggestion for future standardization work .............................................................................17

Annex A (informative) Data — Urban Context .........................................................................................................................................19

Annex B (informative) Data — Urban Performance ..........................................................................................................................20

Annex C (informative) The Who lens — Local government and stakeholders (LGS) ......................................21

Annex D (informative) The Why lens — Shocks, stresses and challenges (SSC) ..................................................22

Annex E (informative) Plausible types and sub-types of shocks affecting urban resilience ...................23

Annex F (informative) The How lens — Policies, plans and initiatives (PPI) ..........................................................25

Annex G (informative) Key and cross-cutting issues providing additional layers of

information on specific topics .............................................................................................................................................................26

Bibliography .............................................................................................................................................................................................................................28

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ISO/TR 22370:2020(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www .iso .org/ patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO’s adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/

iso/ foreword .html.

This document was prepared by Technical Committee ISO/TC 292, Security and resilience.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
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ISO/TR 22370:2020(E)
Introduction

The justification for a global set of standards for achieving urban resilience is clear: urban areas, the

engines of economic growth, are projected to provide the living and work environment for two-thirds

of the global population of close to 10 billion by 2050. Urban disasters have an increasingly costly local,

regional, national and global socio-economic impact. For example, disaster events in the past decade

alone have claimed over a million lives, affected more than 2,5 billion people and caused over $1 trillion

in economic loss.

By engaging all stakeholders in resilience efforts, urban areas have the ability to harness

transformational change and improve the lives of their inhabitants. This has been acknowledged by

the global community as an essential aspect of the United Nations (UN) 2030 Agenda for Sustainable

Development through agreements such as the Sustainable Development Goals (SDGs), New Urban

2) 3) 4)

Agenda , Paris Agreement and Sendai Framework. However, urban areas tend to lack the capacity

to operationalize these alone and fully harness change. One approach to addressing this and ensuring

implementation of the 2030 Agenda is through holistic and multi-stakeholder resilience-building.

Resilience offers a crucial meeting point among different yet essentially similar paradigms in urban

development. Enhancing resilience can reduce risks by increasing capacities, and addressing

vulnerabilities, thereby supporting effective and forward-thinking responses. Building urban resilience

seeks the betterment of people, specifically those in vulnerable situations in urban areas.

The proposed framework for urban resilience presented in this document was developed in response

to demand arising from urban areas in all parts of the world for support to make them safer and more

resilient to all manner of hazards, risks, weaknesses and vulnerabilities. It was developed to provide

local governments and relevant stakeholders with analytical tools to measure urban resilience and

develop relevant actions.

The framework aims to transform urban areas into better places to live by improving capacities to

prepare, respond and recover from all potential shocks, stresses and challenges, leading the area

towards resilience. The framework views urban resilience as a hub for transversal aspects including

risk reduction, sustainability, development and governance. It achieves this by understanding and

measuring resilience, in any human settlement in any circumstance or context. Furthermore, the

framework provides an approach for building resilience baselines (or “profiles”), prepares guidelines in

the use of the diagnostic and action-planning tools, and advises on constant real-time monitoring.

The early stages of development of this framework involved extensive testing and modelling in urban

areas all over the world, and the refinement and improvement of data acquisition, use and application.

The approach is to establish a building resilience baseline (or profile), based on metrics that can evaluate

the various dimensions of urban resilience and capture the system’s weaknesses, vulnerabilities and

strengths. Then to develop concrete and prioritized actions to address risk and build-in resilience. The

framework follows a multi-sectorial, multi-shocks and stresses, and multi-scales approach, built on the

understanding that urban areas function as urban systems, integrated and interdependent, regardless

of their size, culture, location, economy and/or political environment.

1) In 2015, countries adopted the 2030 Agenda for Sustainable Development and its 17 Sustainable Development

Goals (SDGs).

2) The New Urban Agenda was adopted at the United Nations Conference on Housing and Sustainable Urban

Development (Habitat III) in Quito, Ecuador, on 20 October 2016. It was endorsed by the United Nations General

Assembly at its sixty-eighth plenary meeting of the seventy-first session on 23 December 2016. The New Urban

Agenda represents a shared vision for a better and more sustainable future. If well-planned and well-managed,

urbanization can be a powerful tool for sustainable development for both developing and developed countries.

3) The Paris Agreement is a global landmark agreement, signed in December 2015, for combating climate change

effects. Its central aim is to strengthen the global response to the threat of climate change.

4) The Sendai Framework was adopted by UN Member States on 18 March 2015 at the Third UN World Conference

on Disaster Risk Reduction in Sendai City, Miyagi Prefecture, Japan. The framework for 2015–2030 was developed

to better assist governments, at the national and local levels, in addressing disaster risk reduction and resilience-

building.
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ISO/TR 22370:2020(E)
The implementation process for the framework is shown in Figure 1.
Figure 1 — Implementation process
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TECHNICAL REPORT ISO/TR 22370:2020(E)
Security and resilience — Urban resilience — Framework
and principles
1 Scope

This document describes a framework and principles that are coherent with the 2030 Agenda for

Sustainable Development, including the New Urban Agenda, Paris Agreement and Sendai Framework,

that can be applied to enhance urban resilience. This document proposes the use of metrics and models

as the framework upon which to structure urban resilience to assist local authorities and other urban

stakeholder’s efforts to build more resilient human settlements.

This document is primarily intended for use by organizations with responsibility for urban governance.

However, it is equally applicable to all types and sizes of organizations that represent the community

of stakeholders noted above, and in particular those organizations that have a role in urban planning,

development and management processes in urban areas around the world.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 22300, Security and resilience — Vocabulary
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 22300 and the following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
3.1
access
ability of the rights-holders to use or benefit of a certain service or product

Note 1 to entry: Restrictions can be caused by distance to the source (e.g. water supply network does not reach a

certain neighbourhood) or unaffordability (e.g. service is too costly for a certain household or group of people),

among other reasons.
3.2
basic social services

set of services delivered in education, health and social areas, as a means to fulfil basic needs

3.3
biodiversity

variability among living organisms from all sources including, land, marine and other aquatic

ecosystems (3.13) and the ecological complexes of which the organisms are part

Note 1 to entry: This includes diversity within species, between species and of ecosystems. Biodiversity is thus

not only the sum of all ecosystems, species and genetic material, but rather represents the variability within and

among them.
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Note 2 to entry: Biodiversity can also be referred to as “biological diversity”.
[SOURCE: Chan L. et al., 2014, adapted]
3.4
challenge

contextual or environmental change that has the potential to impact upon the ability and capacity of an

urban system (3.27) to address emerging risks and opportunities
3.5
civil society

wide range of individuals, groups of people, networks, movements, associations and organizations that

manifest and advocate for the interests of their members and others

Note 1 to entry: It can be based on philanthropic, cultural, religious, environmental or political values and

convictions.

Note 2 to entry: This definition excludes for-profit companies and businesses, academia and all government-

dependent entities.
3.6
civil society organization
CSO

formal association in which society voluntarily organizes around shared interests

Note 1 to entry: It includes political, cultural, environmental and faith-based organizations, as well as non-profit

and nongovernmental organizations.

Note 2 to entry: CSOs are institutionalized organizations, bearing some form of legal status, that represent

particular groups of society and are involved in service delivery.
3.7
coverage
capacity of the duty-bearer (3.11) to provide a service or product

Note 1 to entry: It can be influenced by financial capacity, geospatial setting, and the normative and institutional

frameworks.
3.8
critical facility

physical structure, network or other asset that provide services that are essential to the social and

economic functioning of a community or society

[SOURCE: UNISDR, 2017, modified — The term “critical facility” has replaced “critical infrastructure”.]

3.9
decentralized authority

local authorities, distinct from the state’s administrative authorities, that have a degree of self-

government, elaborated in the framework of the law, with their own powers, resources and capacities

to meet responsibilities, and with legitimacy underpinned by representative, elected local democratic

structures that determine how power is exercised and that make local authorities accountable to

citizens in their jurisdiction
[SOURCE: UCLG, GOLD I, 2008, adapted]
3.10
disaster risk reduction

policy aimed at preventing new and reducing existing disaster risk and managing residual risk, all of

which contribute to strengthening resilience (3.19) and therefore to the achievement of sustainable

development

[SOURCE: UNISDR, 2017, modified — “policy” has replaced “Disaster risk reduction is”.]

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3.11
duty-bearer

individual who has a particular obligation or responsibility to respect, promote and realize human

rights (3.15), and to abstain from human rights violations

Note 1 to entry: The term is most commonly used to refer to State actors, but non-State actors can also be

considered as duty-bearers.

Note 2 to entry: Depending on the context, individuals (e.g. parents), local organizations, private companies, aid

donors and international institutions can also be duty-bearers.
[SOURCE: UNICEF]
3.12
economic diversity

extent to which economic activity of a given defined geography is distributed among a number of

categories such as industries, sectors, skill levels and employment levels
3.13
ecosystem

dynamic complex of plant, animal, and micro-organism communities and their non-living environment

(e.g. soil, air, sunlight) interacting as a functioning unit of nature

Note 1 to entry: Everything that lives in an ecosystem is dependent on the other species and elements that are

also part of that ecological community.

[SOURCE: ISO 14055-1:2017, 3.1.1, modified — “(e.g. soil, air, sunlight) interacting as a functioning unit

of nature” has replaced “interacting as a functional unit” and Note 1 to entry has been added.]

3.14
ecosystem services
benefit people obtain from ecosystems (3.13)

Note 1 to entry: These include: provisioning services such as food, water, timber and fibre; regulating services

that affect the climate, floods, disease, waste generation and water quality; cultural services that provide

recreational, aesthetic and spiritual benefits; and supporting services such as soil formation, photosynthesis and

nutrient cycling.

[SOURCE: ISO 14055-1:2017, 3.1.2, modified — Note 1 to entry has been revised and expanded.]

3.15
human rights

rights inherent to all human beings, whatever their nationality, place of residence, sex, national or

ethnic origin, colour, religion, language or any other status

Note 1 to entry: People are all equally entitled to their human rights without discrimination.

Note 2 to entry: Human rights are: interrelated, universal and inalienable; interdependent and indivisible; equal

and non-discriminatory; and both rights and obligations.
3.16
investment
allocation of resources to achieve defined objectives and other benefits

Note 1 to entry: Investment takes two main forms: direct spending on buildings, machinery and similar assets;

and indirect spending on financial securities such as bonds and shares.
[SOURCE: ISO/IEC 38500:2015, 2.13, modified — Note 1 to entry has been added.]
3.17
land tenure

relationship, whether legally or customarily defined, among people, as individuals or groups, with

respect to land, determining how land is used, possessed, sold or in other ways disposed

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3.18
participation

informed process of engagement with stakeholders, where key groups actively participate in defining

the process and content of policy making
3.19
resilience
ability to absorb and adapt in a changing environment

Note 1 to entry: In the context of urban resilience (3.26) the ability to absorb and adapt to a changing environment

is determined by the collective capacity to anticipate, prepare and respond to threats and opportunities by each

individual component of an urban system (3.27).
[SOURCE: ISO 22300:2018, 3.192, modified — Note 1 to entry has been added.]
3.20
risk mitigation
lessening or minimizing of the adverse impacts of a hazardous event

[SOURCE: UNISDR, 2017, modified — The term “risk mitigation” has replaced “mitigation”.]

3.21
shock

uncertain, abrupt or long-onset event, that has potential to impact upon the purpose or objectives of an

urban system (3.27)
3.22
social protection

preventing, managing and overcoming situations that adversely affect people’s well-being

Note 1 to entry: It consists of policies and programmes designed to reduce poverty and vulnerability by

promoting efficient labour markets, diminishing people’s exposure to risks, and enhancing their capacity to

manage economic and social risks, such as unemployment, exclusion, sickness, disability and old age.

[SOURCE: UNRISD, 2010, modified — Note 1 to entry has been added.]
3.23
stress

chronic and ongoing dynamic pressure originated within an urban system (3.27), with the potential for

cumulative impacts on the ability and capacity of the system to achieve its objectives

3.24
urban agglomeration

physical structure and composition of an urban area or continuity of large urban clusters where the

built-up zone or population density of an extended city or town area or central place and any suburbs

are linked by continuous, connected urban development
3.25
urban open area
vacant areas, public or private, within urban boundaries

Note 1 to entry: Urban open areas are all fringe open spaces and captured open spaces associated within the

scope and parameters of the urban system (3.27).

Note 2 to entry: State parks, national parks or open areas in the countryside outside the parameters of the urban

area are not considered as urban open areas in this document.
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3.26
urban resilience

ability of any urban system (3.27), with its inhabitants, in a changing environment, to anticipate,

prepare, respond to and absorb shocks (3.21), positively adapt and transform in the face of stresses

(3.23) and challenges (3.4), while facilitating inclusive and sustainable development

Note 1 to entry: A more resilient urban system is characterized by its ability to continue through disruption

in the short-to-medium term, combined with a capacity to reduce pressures and adapt to changes, risks and

opportunities. Urban resilience, therefore, is dependent upon the ability of an urban systems not just to deal with

shocks, but also with chronic stresses and challenges.

Note 2 to entry: Urban resilience is dependent upon the individual and collective resilience (3.19) of the

separate components of a complex urban system. Although a city, town or community within an urban area can

individually demonstrate enhanced resilience within its respective boundaries, urban resilience encompasses

the broader geographic scope of urban agglomeration (3.24). Resilience of an urban system is measured by the

capacity for resilience of each individual system component and dependent upon the resilience of the weakest

performer among the urban agglomeration within the system scope.

Note 3 to entry: In order to assess, plan and act accordingly in the face of shocks, stresses and challenges, an urban

system’s capability for resilience should be measured and analysed through qualitative and quantitative data.

3.27
urban system

human settlement, integrated and complex set of system components, characterised by universal and

interdependent dimensions: physical, functional, organizational and spatial; comprised of people,

processes and assets managed through effective governance mechanisms

Note 1 to entry: Being dynamic, the composition and elements of an urban system changes with time.

Note 2 to entry: Every urban area has characteristics of an urban system, regardless of its size, culture, location,

economy and/or political environment.

Note 3 to entry: Characterized as urban systems, urban areas have the objectives of managing the complex

interactions and interdependencies among its multiple components, with the purpose of fulfilling a variety of

functionalities including social, economic, cultural and environmental.
3.28
vulnerable group

individuals who share one or several characteristics that make them more susceptible to social

exclusion and marginalization, have limited opportunities or income, and/or are exposed to a higher

risk of suffering abuse (physical, sexual, psychological or financial)

Note 1 to entry: This can include children without parental care, poor people, alone and dependent elderly people,

ethnic minorities, people with disabilities, people living in marginalized communities, and other categories (HIV/

AIDS, addictions, deprivation of liberty, homeless, LGBTI, victims of domestic violence, trafficking, refugees and

immigrants).
4 Principles for building urban resilience
4.1 Principle 1: Dynamic nature of urban resilience

Resilience is not a condition but a state that cannot be sustained unless the system evolves, transforms

and adapts to current and future circumstances and changes. Therefore, building resilience requires the

implementation of context-specific and flexible plans and actions that can be adjusted to the dynamic

nature of risk and resilience.
4.2 Principle 2: Systemic approach

Recognizing that urban areas are comprised of systems interconnected through complex networks and

that changes in one part have the potential to propagate through the whole network, building resilience

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requires a broad and holistic approach that takes into account these interdependencies when the urban

system is exposed to disturbances.
4.3 Principle 3: Promote participation in planning and governance

A resilient system ensures the preservation of life, limitation of injury and enhancement of the

prosperity of its inhabitants by promoting inclusiveness and fostering the comprehensive and

meaningful participation of all, particularly those in vulnerable situations, in planning and various

governance processes. Such an approach can ensure a sense of ownership, thus achieving the successful

implementation of plans and actions.
4.4 Principle 4: Multi-stakeholder engagement

A resilient system should ensure the continuity of governance, economy, commerce and ot

...

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