Pdf hyperlinks application Library cloud windows asp.net wpf class USAID

innovations driven by the private sector, again, rec-

ognizing that some of them will inevitably fail.

To prevent bad innovations from taking root,

governments must develop transparent and bal-

anced environmental regulations, along with more

effective and accessible judicial systems, so that

negative externalities can be internalized—so that

victims of pollution can hold polluters account-

able for damages, for example. Again, donors can

provide money and technical expertise to support

those efforts, actively promoting sustainable farm-

ing practices in addition to, or instead of, more

conventional practices.

Most donors already consider social and

economic impact, along with ﬁnancial returns,

when they decide which innovations to support. To

ensure sustainability, they must make positive (or

at least neutral) environmental impact a necessary

condition for investing. This will be challenging for

some donors because it will mean sometimes favor-

ing long-term sustainability over short-term impact.

It might mean, for example, encouraging smallhold-

ers to adopt organic farming practices instead of pro-

viding them with chemical fertilizers and herbicides.

Some will argue that sustainable farming

practices are a luxury that developing countries

cannot afford. Consumers in rich countries may

be willing to pay a premium for organic food,

but organic agriculture can never deliver the

huge increases in productivity needed to raise

smallholders out of poverty, much less double

food production by 2050. That view is mistaken,

for two reasons. First, many organic practices—

like using chickens in mobile pens, rather than

chemical products, to fertilize ﬁelds and rid them

of pests—are actually cheaper than the commer-

cial alternative, which means smallholders might

be more likely to adopt them.

Second, evidence from the ﬁeld indicates that

organic and sustainable farming techniques can

generate impressive increases in yields as well as

improved resistance to droughts, ﬂoods, and pests.

A survey of 40,000 farms in Zimbabwe showed

that conservation-oriented tilling practices deliv-

ered yields 50% to 200% greater than conven-

tional practices. In Zambia, intercropping msangu

trees with maize has been shown to provide the

equivalent of 300 kg of fertilizer per year and

increase yields by up to 400%.

A United Nations

Conference on Trade and Development study of

15 farms in East Africa found that “agricultural

yields in organic systems do not fall, and at least

remain stable when converting from systems that

use relatively low amounts of synthetic inputs…

Over time, yields increase as capital assets improve,

thus outperforming those in traditional systems

and matching those in more conventional, input-

intensive systems.” The study also found that 87%

of farmers “showed increases in household incomes

as a result of becoming organic, which contrib-

uted to reducing poverty levels and to increasing

regional food security.”

Not only can developing countries afford to

leapfrog conventional farming techniques and

follow a more sustainable path, they cannot afford

not to do so if we truly wish to feed the future into

2050 and beyond.

Joe Dougherty is Technical Director for Economic

Growth at Cardno Emerging Markets USA Ltd. The

views expressed in this essay are his own, and do not

necessarily represent the views of the United States

Agency for International Development or the United

States Government.

6 Rob Munro, “Conservation Agriculture in Zambia,” USAID PROFIT

(Production, Finance and Technology) Project, undated. Figures attrib

uted to the Conservation Farming Unit of Zambia.

7 Organic Agriculture and Food Security in Africa, UNEP-UNCTAD

Capacity-building Task Force on Trade Environment and Development

(Geneva: United Nations, 2008), vii – ix.

PRESSURE ON THE PLANET | 109

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Judith Rodin and Robert Garris

Reconsidering Resilience

for the 21st Century

e live in a world of increasing dyna-

mism and volatility, where technol-

ogy and greater interconnectedness

have accelerated change and altered the way

people live. Since the 1970s, the world popula-

tion has grown by 75%, adding 3 billion people

since 1974. In the same period, people around

the world have become much more connected in

many ways. To name but one example, last year

about half of the world’s countries reported cell

phone penetration of over 100%, that is, more

than one mobile phone per person. In the next

40 years, the planet will host more people who will

be more connected physically and technologically

than ever before, and they’ll be distributed around

the world in new ways.

The crisis that started in the mortgage ﬁnan-

cial markets of the United States in 2007–2008

has had dramatic and sustained impacts on

people, states, and markets throughout the world,

and even this has now been eclipsed by more

recent turmoil in the European Union. Floods in

Thailand in 2010 displaced families from their

homes in Southeast Asia and disrupted supply

chains for electronics manufacturing as far away

as Indiana, putting workers out of jobs at sites

around the world. In some cases, connectedness

and pace of change will be for the better, but many

people will be left out or shifted into a new status

quo that removes choice and opportunities.

Although these complex and interlinked crises

expose vulnerabilities across wide swaths of the

globe, building resilience can be seen as an

antidote to individual and community-level

vulnerability and a self-sustaining approach to

promoting human development. The more

integrated nature of the global economy, society,

and ecosystem increases the likelihood of

This essay is based on prior research and writing done by several colleagues at the Rockefeller Foundation, including

Heather Grady, Claudia Juech, Anna Brown, Ashvin Dayal, Bethany Martin-Breen, Stefan Nachuk, Cristina Rumbaitis

del Rio, and Fern Uennatornwaranggoon.

110 | USAID FRONTIERS IN DEVELOPMENT

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Although devastated by re in the late 1990s, Indonesia’s Kutai National Park is still an important refuge,

supporting up to 2,500 orangutans. USAID’s orangutan conservation services program works to reduce

threats to this endangered primate, including forest res resulting from burns to clear agricultural land.

Photo: Donald Bason/Orangutan ConservationServices Program

transmitting and magnifying shocks, and our need

to develop more sophisticated approaches to

resilience grows in parallel. The growing need for

resilience as a counterbalancing force to the

vulnerability driven by globalization means that

development actors must act with greater urgency

and sophistication to build the capacities of

communities to adapt to change. In the current

economic climate, the likelihood that

Organisation for Economic Co-operation and

Development members could reduce the amount

of overseas development aid offered is just one

factor highlighting the importance of designing

development programs that move quickly toward

autonomy, sustainability, and resilient adaptive

capacity. Avoiding the long-vexing dynamics of aid

dependency becomes even more critical in an

interconnected world in which economic or

ﬁnancial shocks can so easily be transmitted from

the developed world to the developing.

The concept of resilience has a well-established

history in many ﬁelds, but in almost all contexts,

it is closely linked to the concept of vulnerability.

In this way of thinking, then, resilient communi-

ties, people, and systems have the ability to thrive,

improve, or reorganize themselves in a healthy way

in response to stress; that is, they are less vulnerable

to breakdown in the face of shocks and stress. Poor

resilience makes a person or system more vulnerable

to serious harm and more likely to break down if

the stress or threat is severe enough. With increased

resilience, on the other hand, one is less vulnerable

to breaking down in the face of adversity. Moreover,

resilient systems, communities, or people recover

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their normal states more quickly after stress and are

capable of enduring greater stress. They demon-

strate greater adaptive capacity and can maintain

“system function” in the event of disturbances. This

capacity applies to the ability to withstand both

acute, immediate, and sudden stresses as well as

long-term chronic challenges. Most discussions of

resilience agree that it is a multifaceted concept and

should be understood and measured across multi-

ple societal dimensions, including physical, social,

Avoiding the long-vexing

dynamics of aid dependency

becomes even more critical

in an interconnected world in

which economic or nancial

shocks can so easily be

transmitted from the developed

world to the developing.

economic, institutional, and ecological fronts.

Despite the complexity of resilience as a concept,

it has powerful implications for linking previously

distinct ﬁelds of work such as sustainable develop-

ment, humanitarian relief, and disaster manage-

ment, and consequently strengthening work in all

of those ﬁelds.

Especially promising for those who work

in the ﬁeld of development is the mandate that

resilience concepts place on deeper knowledge of

the intrinsic workings of local communities in

designing interventions. Resilience-strengthening

development interventions will require the early

input of individuals and communities in the

identiﬁcation of vulnerabilities and the design of

interventions. The complex interaction of different

kinds of vulnerability and the tight coupling of

social and environmental ecosystems require the

critical insights of local actors in the initial diagno-

sis of vulnerability and the appropriate responses

to genuinely build resilience. Sustained resilience is

dependent on effective feedback loops that reﬂect

the complex interactions within a community and

between the community member and his or her

broader environment. Feedback loops need to be

equally robust and dynamic between the com-

munity and the development or philanthropic

organizations engaged in resilience work—whether

that is the planning of agricultural improvements

in response to a hotter climate, or urban planning

that requires re-assessment of wastewater manage-

ment. Improving dialogue and feedback remains a

long-standing need within development programs,

even more so when they are in the context of post-

disaster situations like the earthquake in Haiti.

And in the same way that resilient communities

constantly iterate to adapt and improve in the con-

text of changing environments, resilience activities

must be founded on strong feedback loops that

enable iteration and adjustment.

A Concept Strengthened by

Contributions from Many Fields

Resilience has, in the past four decades, been a term

increasingly employed throughout a number of sci-

ences—most signiﬁcantly psychology, engineering,

and ecology. It has also made recent contributions

to the ﬁelds of political science, business adminis-

tration, sociology, history, disaster planning, urban

planning, and international development. The

breadth of the use of the term does not, however,

imply uniﬁed concepts of resilience nor the theories

in which it is embedded. Nonetheless there are

great overlaps in the fundamental concepts, and the

112 | USAID FRONTIERS IN DEVELOPMENT

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diversity of approaches provides those working in

the ﬁeld of development with a broad selection of

ideas for reconceiving their work.

The ﬁeld of psychology has examined the

concept of resilience of individuals for decades,

and some of the most compelling work has come

from the ﬁeld of child psychology. The more

traditional approach to studying adversity in

child development was through identifying risk

factors—identifying those psychological, familial,

and environmental factors that put these children

at risk for negative outcomes. The “risk factor”

approach leaves a policymaker or clinician with

two points of intervention: reduce risk where pos-

sible and treat or rehabilitate when necessary. It

was assumed that most people subject to multiple

risks, born into poverty for instance, would have

some adverse outcomes. Those few who were able

to thrive, those “invulnerable” or “invincible”

individuals were seen as just anomalies.

Early studies showed, to the contrary, that

high-risk individuals who were able to avoid or

overcome adversity shared many characteristics that

were sources of strength. One 1992 longitudinal

study of children born into poverty in Kauai noted

that a full one-third of the children born into high-

risk situations developed into “competent, conﬁd-

ing, and caring” adults. What distinguished the

resilient group from the others was quite ordinary.

Some factors seemed intrinsic: Resilient children

were engaging, could recruit substitute caregivers,

and believed their actions could affect their lives.

Other factors reﬂected the community, including

having an extended family, caring neighbors, teach-

ers, or mentors. Notably, for development-oriented

resilience work, most of the relevant factors were

community-based. Support services that came from

outside the community tend to be far less effective.

The ﬁeld of ecology offers additional compelling

insights for resilience as a concept for those working

in development. The 1970s was a turning point in

the development of this ﬁeld and its relevance for

understanding resilience as a social phenomenon.

In earlier decades, ecology had focused on under-

standing ecosystems as pristine, stable systems, and

on managing ecological systems to that original

“perfect” state. C.S. Holling produced signiﬁcant

work on predator-prey relationships in ecosystems

and on spruce budworms, introducing the idea that

ﬂuctuations in systems are essential to their well-

being. In Holling’s work, ecosystems do not evolve

toward a single, stable perfect state, but undergo

periodic cycles of change, which are fundamental to

the operation of healthy ecological systems. These

ideas ran counter to the basic management principle

of holding systems in equilibrium and became the

basis of the concept of adaptive cycles and complex

adaptive systems as part of resilience.

Each of these historical and disciplinary per-

spectives on resilience has contributed to contem-

porary understandings of a typology of resilience.

The disciplinary origins of these typologies do not,

however, constrain their utility in various domains:

Engineering Resilience is utilized in some child

development studies; Systems Resilience is often

used in governance and management; and the

Complex Adaptive Systems approach has been

applied to economics, innovation in technol-

ogy, history, and urban planning. Thus, different

frameworks along the spectrum offer a choice of

perspective; the acceptability of trade-offs between

them, and not subject matter, will ultimately

determine which perspective is chosen.

Highlights from the Typology

of Resilience

Systems Resilience

takes into account the

functioning and interactions of an entire system.

The goal of systems resilience is to return a

system to its normal functioning status, but not

PRESSURE ON THE PLANET | 113

Schoolchildren run to recess at Ecole Marie Dominique Mazzarello in Port-au-Prince on June 18, 2010.

More than 4,000 schools were damaged in the January 12, 2010 earthquake, and USAID responded

by constructing more than 300 classrooms for 76 schools. USAID also distributed more than 120 U.S.

Army-donated tents, providing an additional 104 classrooms in 49 schools. | Photo: Kendra Helmer/USAID

necessarily to preserve unchanged any individual

component of the system. Studies ranging from

household management strategies for the urban

poor to coping mechanisms for child soldiers all

point to the complex interactions of communities

and multiple levels of connections that support

the resilience of systems and individuals within

systems. What they have in common, however, is

a focus on the ongoing functioning of an existing

system rather than adaptation over time.

This concept of ongoing system-wide change

in response to stresses is at the heart of

Complex

Adaptive Systems.

Complex Adaptive Systems

have multiple, diverse components that interact

with each other (as in Systems Resilience). The

distinguishing element is that information ﬂows

among those elements generate change over time,

so that neither individual components nor the sys-

tem as a whole are static. Shocks generate changes,

which become permanent. In an ideal state, these

changes prepare the system for better adaptation

to future shocks. In this model, crises have the

potential to generate increased resilience to future

adversity. Understanding complex adaptive sys-

tems has led to a common understanding of resil-

ience thinking as “Embracing Change.” Fighting

against change can actually cause a decrease in

resilience, thus the goal of resilience is to adapt

to change, not to prevent change. In Complex

Adaptive Systems, resilience is best deﬁned as the

ability to withstand, recover from, and reorganize

in response to crises. Function is maintained, but

system structure may not be.

In Complex Adaptive Systems, three key

properties contribute to resilience:

Diversity and Redundancy. The functioning and

adaptive capacity of the system does not depend

on any single component, community, or

individual, and multiple parts of the system can

substitute if one component fails.

114 | USAID FRONTIERS IN DEVELOPMENT

Modular Networks. The system comprises mul-

tiple smaller systems that are relatively indepen-

dent of each other, complement each other, to a

certain degree replicate each other, and are buff-

ered from each other to minimize the transmis-

sion of shocks. Connections between subunits

are necessary to enable the system to function

as a whole, but structures exist to prevent the

propagation of failures.

Responsive, Regulatory Feedbacks. Structures or

processes exist to transmit learning through-

out the system. These feedback loops must be

horizontal and vertical to maximize adaptability.

Feedback loops must be understood as broadly

as possible, for example, to include social-eco-

logical feedback loops as well as feedback loops

within traditional social or governance systems.

Resilience Indices

The capacity of development and philanthropic

organizations to promote resilience in strategic

ways and to evaluate the impact of this effort

will depend on our ability to measure resilience.

Important work has already been done on the

development of vulnerability indices. In 2003,

Cutter et al. developed the Social Vulnerability

Index (SoVI), which contains 32 socioeconomic

variables primarily sourced from national data

sources, such as the U.S. Census. Among those

variables are household income, age, race, gender,

and unemployment—all of which reduce a com-

munity’s ability to prepare for, respond to, and

recover from shocks. Cutter has also developed

the Baseline Resilience Index for Communities

(BRIC), which builds on 32 indicators in 5

categories to construct a positive reﬂection of a

community’s capacity to adapt to shocks. These

two indices not only begin to quantify resilience,

but also highlight the inverse relationship between

resilience and vulnerability.

Growing consensus around the three ele-

ments of Complex Adaptive Systems (redun-

dancy, modularity, feedback loops) gives rise

to the possibility of constructing specialized

indices of resilience which can then help inform

decision-making about resilience and develop-

ment. Embedded within the Cutter indices and

important to evaluate in terms of redundancy,

modularity and feedback loops are some of the

key components of resiliency mentioned in many

studies: labor, education, health, food, shelter,

and infrastructure; social capital, governance,

and economic capital; innovation capacity; early

warning systems; risk-based insurance; and emer-

gency management capacity.

Where and How to Focus Efforts:

The Case of Urban Resilience

Resilience is a concept useful in many different

contexts; it is, arguably, especially relevant in

urban settings, which development actors will

need to consider more actively as the develop-

ing world’s populations become more urban-

ized. Disasters and acute stressors can have a

disproportionate effect on urban areas, tending

to expose longstanding structural and substan-

tive problems in the local infrastructure and

economy, and in municipal services, social and

political systems, environment, and culture. The

majority of the world’s population already lives

in urban centers, and as the trend continues, the

urgency of understanding and acting on urban

resilience will only accelerate. For example, dur-

ing the next three decades, 60% of the world’s

population increase will occur in Asia’s urban

areas. Eight in 10 of the countries most vulner-

able to climate change will be located on that

continent. According to a report from the Asian

Development Bank, the average temperature in

Asia’s cities could rise nine degrees by the year

PRESSURE ON THE PLANET | 115

Through a USAID-funded project in St. Petersburg,

residents have united in an eco-group—a small

sustainable community. In the basement of their

building they breed California worms that produce

compost, which they use for growing vegetables on

the roof. | Photo: Dmitry Feklisov

2100, transforming them “into ovens,” in the

words of one Bank economist.

Cities provide rural-urban migrants with

opportunities, but also intensify the challenges

they face on an individual level, and magnify and

accelerate shocks transmitted throughout the global

system. Centralized city planning has long focused

on top-down approaches to “solving” individual

urban problems. Urban resilience interventions,

on the other hand, should focus at the community

level, with a holistic view of enhancing a range of

community capacities (including the economy,

social networks, and human and institutional skills)

for ongoing adaptation and innovation. Urban

resilience similarly must be based in the recognition

of the interactions between multiple, coupled small-

scale systems (for example, multiple small commu-

nities and neighborhoods, utilities, transportation,

commercial networks, ﬁnancial structures, multiple

1 The Economics of Climate Change in Southeast Asia: A Regional Review

(Mandaluyong City, Philippines: Asian Development Bank, 2009), 3–4.

Juzhong Zhuang, the lead report writer, was quoted in TIME, “World

Quotes of the Day,” on April 28, 2009, http://www.time.com/time/

quotes/0,26174,1894320,00.html

formal and informal layers of governance, housing,

and nature). This will enable communities to more

effectively respond to different kinds and severities

of risk, shock, stress, or environmental change.

The Rockefeller Foundation’s deepest work in

this area is in an initiative called ACCCRN, or the

Asian Cities Climate Change Resilience Network,

an initiative investing about $90 million over several

years. The project focuses on 10 second-tier cities

with rapidly growing populations in 4 countries—

Vietnam, India, Indonesia, and Thailand. It includes

not only coastal cities that will experience sea-level

rise, but also cities that are experiencing negative

effects from climate change such as less-predictable

rainfall patterns and increasing temperatures. These

cities are making forward-looking investments in

infrastructure and land development today that

enable innovations in ways of working. In these

mid-sized, growing cities we have much more poten-

tial inﬂuence than in megacities, where institutions

are locked into many of the decisions of the past.

The vision of ACCCRN is to catalyze attention,

funding, and action on building the climate-change

resilience of cities as a whole—and within that,

ensuring that the resilience of the most vulnerable

and poor communities is also being developed. This

is being done through capacity building, developing

a network for knowledge and learning, and expansion

and scaling up. We have a range of impressive grant-

ees and partners in this work, including U.S.-based

organizations, multilateral and bilateral funders, local

and regional think tanks and NGOs, and a large

network of government ofﬁcials, academics, and

private-sector actors from each of these cities.

Publications released on this work, such as

Catalyzing Resilience, and information available on

the Rockefeller Foundation website summarize the

signiﬁcant lessons on how to build the resilience

of households and institutions in cities—lessons

that are applicable across the world, not just in

116 | USAID FRONTIERS IN DEVELOPMENT

Asia. ACCCRN has shown that to build resilience

most effectively, institutions are going to have to

work together much more effectively, across disci-

plines, and in ways that are far more responsive to

people, especially poor households that are often

directly in harm’s way and particularly vulner-

able to chronic stresses and shocks. We think it is

important to consider the distributional dimensions

of resilience—focusing on resilient systems that

produce more equitable outcomes.

ACCCRN is striving to build urban climate-

change resilience by focusing on the intersection

of different kinds of analysis. One focuses on “city

systems and trends.” How is the city growing in

terms of population and development patterns?

This is especially critical for Asia right now, a region

that is rapidly urbanizing and has high numbers

of people living in cities. Another area of analysis

is “city systems and populations.” How do changes

in the amount of rainfall, frequency, and intensity

of storms, and sea level rise, for example, affect the

city and its populations? And what are the potential

ripple effects? A third is about vulnerability. Who

are the vulnerable populations in the city, and

where do they live? How will climate change likely

increase their exposure and vulnerability to risk?

At the core of these interlocking analyses is where

urban climate-change resilience-building takes

place—and this is at the heart of ACCCRN.

This obviously very complex work includes

both hard infrastructure investments and softer

measures focused on policy, planning, and behav-

ior change. What we’ve learned is that there is not

one silver bullet, but, rather, a need to invest in

lots of 5% solutions, which isn’t surprising given

the need to operate at the systems level. ACCCRN

has shown us that these 5% solutions tend to span

nine key dimensions that, when incorporated,

increase the resilience of households, communities,

institutions, and infrastructure within those cities:

Strengthening large-scale ecosystems service. This

is how natural environmental systems interact

with the built environment to provide protection,

renewal, and resilience “services.” As urban areas

develop and expand, land is transformed and

converted from undeveloped into built-up land.

Farmland, forests, and ﬁelds turn into buildings

and roads. This conversion also results in coastal

marshes, ponds, and other wetlands being ﬁlled

to enable new construction. This transformation

affects the way that water ﬂows in the city and the

amount of heat that the city absorbs. Ecosystem

services means that natural systems like ﬁelds,

The growing threat of climate-

change impacts is shaking up

cities enough that individuals

and institutions are willing to

innovate in ways they haven’t

before, simply to survive.

ponds, and mangroves remain to provide valu-

able services like storm protection and stormwater

retention and drainage.

Climate-sensitive land use and urban planning.

A lot of the development choices made by cities

today are increasing the vulnerability of urban

communities to future risks. Planning and policy

presents a strong opportunity to invest proactively

in resilience.

Drainage, ﬂood, and solid-waste management.

The ability of a city to manage water and ﬂood-

ing depends on appropriately designed and

located infrastructure systems that incorporate

climate projections, as well as the accompanying

PRESSURE ON THE PLANET | 117

Vietnamese technicians participate in pathology training provided by USAID in partnership with The

Smithsonian Institution through the USAID Emerging Pandemic Threats (EPT) program. EPT improves

laboratory diagnostic capabilities to detect emerging infectious diseases in wildlife and other animals.

Photo: USAID

maintenance protocols to ensure that these sys-

tems remain functional—even in extreme events.

For example, Bangkok’s mistake in building

roads over canals, which exacerbated the impact

of last year’s ﬂoods, can only be corrected through

a more holistic approach to the city’s climate-

change resilience and transportation needs.

Community-responsive health planning. Disease

surveillance, expansion of health-provider capaci

ties, and design of insurance services will rely on

climate change resilience perspectives and com

munity input.

Emergency early warning systems. These require

both effective climate change assessments and

integrated community participation.

Diversiﬁcation of climate-affected livelihoods. This

requires ﬁnancial and technical support for diversi

ﬁed income sources (particularly targeting urban

poor and vulnerable populations), including busi

ness loans, guarantees, and credit schemes.

Education and capacity-building of citizens. This

includes development and implementation of

urban climate-change resilience-focused educa-

tion curriculum at primary, secondary, tertiary,

and professional-training levels; climate-change

resilience training for journalists; and design

and implementation of citizen urban-service

monitoring projects (such as water quality and

availability, and drainage failure).

Resilient housing and transport systems. Urban

climate-resilient building codes and standards

must be developed, sensitized, and implemented

in close collaboration with formal and informal

urban communities.

Water demand and conservation systems. This

includes building redundancy and increasing

availability of water supply at household and

community levels, and protecting water quality

and water sources (including protection against

salinization, contamination from ﬂooding

118 | USAID FRONTIERS IN DEVELOPMENT

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