Resilience

What?

uncertainty is inevitable and impossible to plan for every outcome

Critiques

Through the capacity of self-organisation (Folke, 2006) and social learning (PahlWostl, 2009) resilient communities react to changes

Made it an appealing concept in fields with a lot of uncertainty

Urban resilience

Increasingly popular amongst practitioners who are seeking out ways to manage the increasingly uncertain urban environments with the added uncertainty of global environmental change - climate change (Beckwith, 2020)

Pursuing resilience in one area, may come at the expense of resilience in another area (Bahadur and Tanner, 2014; Friend and Moench, 2013; Martin-Breens and Anderies, 2011)

Institutions/governance/planning

Institutions play a role in resilience, especially in resource dependent communities (Adger, 2000; Folke & Berkes, 1998)

Disaster Risk Reduction

Resilience with the goal to bounce back to a pre-disaster situation ((Martin-Breen and Anderies, 2011; Brown, 2016; Béné et al., 2018) - often referred to as 'bouncing back'

Although 'bouncing back' has been heavily critiqued in academic literature, it has been used extensively in policy contexts (Meerow and Stults, 2016)

Such is the case when preventative infrastructure is deployed to protect economically valuable urban cores from flooding at the expense of low income settlements on the periphery (Marks and Lebel, 2016).

Urban resilience is used as both a policy goal (a positive end to strive for) as well as a conceptual or analytical framework for understanding urban challenges or as a metaphor to promote cross-sectoral collaboration (Béné et al., 2018).

The attributes of ‘resilience thinking’ (Folke et al., 2010) such as adaptability, flexibility and self-organization are identified as advantages over traditional urban planning, particularly to meet the uncertainties of climate change which are resistant to solutions developed through a ‘predict and plan’ approach (Quay, 2010).

SOCIAL ASPECTS

This is particularly true for cities in the Global South where multiple priorities need to be met with scarce resources and without the accumulated resilience that has been generated through advances in infrastructure and institutions in many developed contexts (Satterthwaite, 2013).

While conventionally urban systems were designed to be robust or resistant to failure, an urban resilience approach implies that systems should be designed with the ability to adapt or selforganize in the face of change, even when unexpected, through strategies such as redundancy (Tyler and Moench, 2012).

The governance of urban resilience is one of the central challenges of translating theory into practice. Governing resilience is thought to require attributes such as accountability, transparency (Friend et al., 2014), and institutional coordination (Brown et al., 2012).

The integration of local knowledge and the participation of multiple stakeholders, including citizens, encourages a diversity of perspectives that helps to understand resilience from different viewpoints and benefits adaptation decision-making (Bulkeley and Castan Broto, 2013; Weichselgartner and Kelman, 2015; Chu, 2018).

Olssen et al. (2006) have shown that ‘shadow networks’ outside of bureaucratic institutional structures are important for informal knowledge sharing and innovation that can improve the governance of resilience. However, in many cases policy makers still employ resilience with a techno-scientific slant as a lens for risk management, leading to policies that reinforce the status quo rather than challenge power asymmetries (Beilin and Wilkinson, 2015; Leach, 2008).

What? Spectrum

In response to the need for a more explicitly political approach to resilience, theorizations have expanded to see resilience as a spectrum (See Figure 2.2). The resilience spectrum goes from persistence at one end through incremental adjustment followed by transformational change at the other (Béné et al., 2014; Pelling et al., 2015).

In the resilience spectrum, the persistence of a system refers to changes that are made in response to a shock or stress that help the system to retain the same structure and function (Béné et al., 2014). This is in line with an understanding of resilience as an ability to ‘bounce back’.

The mid-point of the spectrum is incremental adjustment which refers to modifications that move systems to other equilibria through small step changes. Incremental adjustment may lead to transformational change by pushing a system beyond a threshold or tipping point (Pelling, 2011).

Finally, transformation refers to a fundamental change in the structure of the system. Although much of the use of resilience in the field of international development assumes resilience to be positive, change and even transformation can of course also lead to negative outcomes, or both positive and negative simultaneously, depending on perspective.

For instance, persistence requires absorptive capacity that will allow the system to remain stable in the face of shocks or stressors. Adaptive capacity meanwhile, helps the system to be flexible, adjusting to new realities through incremental adjustments. Finally, transformative capacity is necessary to lead systems through a process of deeper change that may be required if stressors push the system beyond their existing parameters.

Resilience and Transformation

For example, Nelson et al. (2007) describe transformation as situations where thresholds are crossed (intentionally or inadvertently) to create a fundamentally new social-ecological system. Change could occur at any scale and a transformation at one scale could contribute to resilience at higher levels (Folke et al., 2010).

Early work in exploring the potential links between resilience and transformation remained close to the ecological roots of resilience.

However, transformation is highly subjective and the depth, breadth and speed of change required for something to be classified as a transformation as opposed to adaptation is difficult to determine (Fazey et al., 2018).

In social-ecological systems, transformation can occur due to changes in ecological, economic or social variables (Walker et al., 2004; Nelson et al., 2007). These changes may be either untenable or just undesirable, meaning that values also play a role in shaping transformation (Pelling, 2012).

Pelling (2012; 2011) shows how disasters can open up spaces for transformational change by highlighting governmental inadequacies that might otherwise go unnoticed, thereby creating crises of legitimacy and catalysing a breakdown in the social contract.

A catastrophe such as a major hurricane may even catalyse political action towards a societal transformation (Pelling, 2011). Nevertheless, Pelling and Dill (2006) have shown these cases to be rare.

Adger (2003) argues that the ability of societies to undertake adaptation and/or transformation is “bound up in their ability to act collectively” (p.388). He employs the concept of social capital, or how relationships are leveraged for individual or collective good, to demonstrate how social relations (including institutions) influence relations with other forms of capital, specifically natural capital.

In the resilience literature, the social and the ecological are often presented as two separate but interconnected systems (Brown, 2016).

Constructing this division risks downplaying the extent to which they are co-constituted. Furthermore, a focus on systems can underplay the agency of individuals within the system (Coulthard, 2012; Béné et al., 2014) and the importance of cultural and personal influences such as values, ethics and identity in shaping decision making (Pelling, 2012). Systems language tends to ‘naturalize’ the system as the unit of analysis thereby depoliticizing the processes involved in its production (Turner, 2014; Watts, 2015).

Resilience has enjoyed such widespread usage that it is frequently employed without an accompanying definition, leading to ambiguity in its meaning (Colding and Barthel, 2019).

A related critique is the application of resilience in settings such as disaster risk reduction where resilience is seen as a beneficial property that would allow disaster-affected communities to return to their pre-disaster state, or ‘bounce back’ (Kelman et al., 2015). This usage of the term hews closely to ideas of engineering resilience which constitutes only one part of resilience, as it does not take into account the idea of multiple stable states (Walker et al, 2004). The idea of ‘bouncing back’ has been widely challenged in academic and grey literature in recognition of the absurdity of promoting the return to conditions which were likely sub-optimal, including widespread poverty and inequality (Weichselgartner and Kelman, 2015; Pelling, 2012). Even so, the understanding of resilience as the ability to ‘bounce back’ has been shown to persist amongst policy makers (Meerow and Stults, 2016).

Resilience can also be seen as (intentionally or not) downloading responsibility for risk management onto the poor and marginalized (Welsh, 2014). This is due in part to the tendency for resilience to be defined externally, by policy makers, development practitioners or other ‘experts’ who expect community members to be resilient in the face of external threats, rather than addressing wider inequalities in social relations (MacKinnon and Derickson, 2013).

Resilience comes from the Latin root resilire, meaning to spring back. Physical scientists were the first to use the term resilience to denote the characteristics of a spring, and describe the stability and resistance of materials to external shocks (Davoudi et al. 2012).

Since the 1960s, starting with ecologists and the rise of systems thinking, multiple concepts and meanings have since been developed. These include disaster resilience, psychological resilience, and military resilience, amongst others. In the field of urban resilience, the three main areas of resilience are engineering resilience, ecological resilience, and socialecological resilience.

Engineering Resilience

Ecological Resilience

Engineering resilience measures the gravity of the disturbance, and the speed with which the systems returns to its previous state (Pimm 1991). In engineering resilience, “the faster the system bounces back, the more resilient it is” (Davoudi et al. 2012, p.2). The resilience of a system is measured by its resistance to disturbance and speed of return to equilibrium (Pimm 1984; O’Neil et al. 1986; Tilman & Downing 1994; Holling 1996).

Leveson et al. (2006) extended this definition to include mitigating failures and losses, which goes beyond simply being robust, to including aspects of preparation and response, which incorporates humans in the resilience of the system.

Engineering resilience has roots in safety management and risk prediction (Leveson et al. 2006; Hollnagel 2007; Hollnagel et al. 2011). These fields view resilience as the ability to maintain control over a system or property (Leveson et al. 2006), which supports the idea of one equilibrium point. Engineering resilience also draws from deductive mathematical theory (Pimm 1984), and engineering (Holling 1996). From a traditional engineering approach, there is a desire to design systems with single functions (Holling 1996), rather than multifunctional, multi-scale operations.

An engineering approach to resilience applies resistance, such as building flood-control infrastructure for flood hazard management, which measures its resiliency based on the rate of return to pre-flood state (De Bruijn 2004; Liao 2012).

Ecological resilience is the measure of perseverance of systems (Holling 1973). It is the capacity of an ecosystem to tolerate disturbances, without losing its identity and collapsing into a qualitatively different state (Resilience Alliance n.d.). Operationally, ecological resilience is the ability of a system to withstand external shocks and internal change while maintaining its identity (Cumming et al. 2005).

A resilient ecosystem has the ability to continue to maintain relationships between variables (Holling 1973) and retain the same functions, structure, and feedback loops (Walker et al. 2006) in the face of adversity.

Unlike engineering resilience, ecological resilience is more flexible (Picket et al. 2004), adaptable, and persistent (Adger 2003). It rejects the notion of a single, stable equilibrium, recognising instead the existence of multiple equilibria (Davoudi et al. 2012). Figure 3 illustrates ecological resilience by showing a system that is able to move between multiple equilibrium points (Liao 2012)

It challenged the assumption that there was a predetermined stable state for every ecosystem; some ecosystems never stabilise and some have multi-equilibria (Liao 2012).

Since then, many concepts and meanings have appeared (Gunderson 2000), as well as interpretations and applications. Walker et al. (2002) asserted that there were three characteristics of ecological resilience: the capacity to absorb disturbances, to self-organise, and to learn and adapt. Folke et al. (2004) were more interested in aspects than features, and argued that there were four aspects to ecological resilience: latitude (width), resistance (height), precariousness, and cross-scale relations. Berkes and Folke (1998) and Adger (2003) extended the concept to include the social dimension, which is described in the proceeding section. Meanwhile, Brock et al. (2002) and Perrings (2006) added an economic element to investigate ecological-economic resilience, by exploring the function of consumption and production, as well as resource allocation.

Liao (2012) asserted that ecological resilience, rather than engineering resilience, was more appropriate for working with natural disasters. The ecological concept, multi-equilibria, and persistence in a world of flux (Adger et al. 2005; Liao 2012) are more suitable to use for mitigation and adaptation.

Socio-Ecological Resilience

Contrary to the engineering perspective, Holling (1973) developed a model of resilience that refers to system transformation rather than returning to a previous equilibrium and operates within a socio-technical framework. Social-ecological resilience views the world as whole, rather than trying to understand the separate parts (Hes & du Plessis 2015). The socialecological approach recognises that the different parts of a system co-exist and co-evolve, forming one integrated system. It challenged the notion of equilibrium, and instead advocates for systems to change (Scheffer 2009).

Essentially, this approach interprets resilience as the ability of systems to adapt, change, or transform in response to shocks or stresses (Carptener et al. 2005).

The resilience of a social-ecological system may be related to the ecological system, especially with regards to populations that depend upon a single resource or ecosystem, although this is a contested definition (Adger 2000). Or it may be related to the ability of individuals and communities to withstand and recover from stress (Stockholm Resilience Centre 2015). Social-ecological resilience is dependent upon the balance and relationship between environmental governance and ecosystem dynamics (Olsson et al. 2014).

Carpenter et al. (2001) defined social-ecological resilience as having three defining characteristics. 1) The amount of change a system can undergo, while retaining control and function of the structure; 2) the systems’ ability to self-organise; and 3) the system’s capacity to increase and build resilience through learning and adaptation.

Simmie and Martin (2010) interpreted this type of resilience as ‘adaptive ability;’ the ability to adapt to changes that are shaped by the evolutionary dynamics and trajectories of the system over time. Other authors have argued that bringing resilience and adaptability together provides a richer space for evolutionary scope (McGlade et al. 2006).

Critical to the ability of a system to be resilient, and increase its resilience is through enhancing diversity. In this case, there are two main types of diversity, functional and responsive. Functional diversity, including composition and richness, affects the processes of a system.

CITIES AS ECOSYSTEMS

It is appropriate to view cities as social-ecological systems, because cities are complex, dynamic, multi-scale, and adaptive systems (Davoudi et al. 2013). The Stockholm Resilience Centre uses the term urban social-ecological systems, which includes ecosystem services, biodiversity, societies, and humankind, to analyse urban resilience (Stockholm Resilience Centre 2015).

As a social-ecological system, a city’s form and structure can change over time, and rather than be viewed as an artefact, it is ever changing, self-organising, and an adaptive living entity. In order to understand cities as socialecological systems, change needs to be accepted and embraced (du Plessis 2008). A socialecological system that is able to adapt and adjust to uncertainty and disruption is also able to capitalise on positive opportunities that the future may bring (Berkes & Folke 1998; Barnett 2001) while retaining its essence through change.

As Newman and Jennings (2008) suggested, “the revitalisation of older areas disturbed by a loss of economic function or the decay of buildings, may enable a new phase in city development to occur that can utilise new technologies and create new urban options” (p. 122).

URBAN RESILIENCE


The resilience of cities is dependent upon their ability to adjust and adapt in the face of change (Alberti et al. 2003; Alberti & Marzluff 2004; Pickett et al. 2004). In this sense, resilience is about more than recovering or rebuilding (Campanella 2006; Elmqvist et al. 2014). Urban resilience, according to Elmqvist et al. (2014) “is therefore about navigating a desirable system trajectory and state rather than avoiding abrupt change and collapse” (p. 22)

Urban resilience is a contested term (Leichenko 2011). Just as resilience has different definitions, intellectual origins, and lineages, urban resilience also has a diversity of interpretations. For example, in Meerow et al.’s (2016) review of urban resilience, they quoted 25 different definitions; the majority were from the environmental sciences, followed by business, the social sciences, and engineering. The most citied definition of urban resilience is “… the degree to which cities tolerate alteration before reorganizing around a new set of structures and processes” by Alberti et al. (2003, p. 1170)

Yet, there is a growing interest to strengthen the resilience of cities in the face of climate change, economic cycles, demographic trends, amongst other shocks and stressors. Hundreds of cities around the world have been searching for better was to assess urban trends and development (Holden 2006).

Resilience is believed to offer a number of benefits to the field of urban planning. These include working within an integrated social-ecological systems perspective (Davoudi et al. 2012; Ahern 2013); re-framing planning to include more fluid, reflexive, dependent, connected, multifaceted, interpretive, and inclusive methods of planning (Davoudi & Strange 2009); and increasing the adaptive capacity of responses within cities (Davoudi et al. 2012).