Good Governance, Resilience, and Sustainable Development

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This entry is adapted from the peer-reviewed paper 10.3390/su152215895

Intense urbanization creates large cities that are functionally and administratively dependent on the surrounding regions and cities. As the boundaries of cities expand, so do the chronic stresses and sudden shocks they face. To reduce the impact of these threats and increase the safety and well-being of residents, metropolises must become more resilient and sustainable. Governance emerges as a critical element in achieving the resilience and sustainable development of metropolises. It is said that “good urban governance and sustainable development are closely linked”.

resilience sustainable development good governance

1. Introduction

Cities are complex and adaptive systems with a high vulnerability to threats and risks. They are global engines of economic growth, generating 80% of the world’s gross domestic product, and are therefore a positive force for economic growth and poverty reduction. Today, 55% of the world’s population lives in urban areas, a figure that is expected to rise to 68% by 2050 ^[1]. “As today’s cities adapt to these challenges, it is estimated that more than 60% of metropolitan regions that will exist in 2050 have yet not even form ^[2]. This growing urbanization creates cities that are functionally dependent on the surrounding regions and cities. Geographical and administrative boundaries are widening, and the chronic stresses facing cities are becoming more intense ^[3]. “To reduce the risk and impact of these threats and to increase the safety and wellbeing of their residents, cities and communities must be more resilient and prepared to address the threats head-on. If they are not, their urban communities will live under continuous threat, and more and more will become vulnerable to risks” ^[4].

“Resilience as a notion concerning cities and planning surfaced in the 1990s in response to the environmental threats of adjusting social and institutional frameworks” ^[5]. Following the definition of the 100 RC network, urban resilience is defined as “the capacity of cities, individuals, communities, institutions, businesses, and systems to survive, adapt, and thrive no matter what kind of chronic stresses or acute shocks they experience” ^[6]. It is argued that urban resilience is connected to sustainability. Consequently, intense urbanization combined with climate change and the threat of disasters pose a multi-level challenge for building resilience and achieving sustainable development. Thus, cities need to plan and implement objectives and actions that promote urban resilience in order to be able to fulfil basic daily functions and provide uninterrupted services to their residents at the metropolitan level. “How effectively urban problems and opportunities can be addressed will increasingly be determined by how well urban agglomerations are governed and planned; however, the speed at which urbanization is happening challenges the governments’ capacity for managing cities” ^[7]. It is said that “good urban governance and sustainable development are closely interlinked”. As such, urban resilience is viewed as an important outcome of good urban governance. Van der Waldt states that there is a close relationship between urban government and city resilience” ^[8].

Despite other researchers’ strong interest in resilience governance, researchers found skepticism about this new form of “governance from a distance” and the need to develop “locally contextualized, participatory, negotiated, and endogenous forms of urban resilience” ^[9]. The 100 RC network’s governance spirit is clarified by another ^[10], and several studies perceive resilience governance as a “governmental experiment” ^[11] or an “urban experiment or laboratory of urban living” ^[12] and as an “urban experiment in metropolitan governance” ^[13]. Finally, few examine the issue of participation in resilience governance ^[14], or the contribution to resilience decisions as a form of social justice ^[15].

2. Resilience

Over the last decade, resilience has become the focus of many researchers and is used in various fields of science, including ecology, physics, psychology, and even disaster management, whether due to man-made or natural threats. The concept has frequently been defined with various or broad definitions, and these definitions frequently differ depending on the field of study or the specific application of the analysis (e.g., society, urban). This conceptual ambiguity is beneficial because it can serve as a “boundary object”, a “common object”, or a concept that addresses multiple “social worlds” and thus fosters interdisciplinary collaboration. The word “resilience” is derived from the Latin words resilire, resilio, meaning “bounce back” or “bounce forward” ^[16].

Resilience as a concept was established by Holling in 1973. Holling defines ecosystem resilience as “the measure of the persistence of systems and their ability to absorb change and disturbance and maintain the same relationships among populations or state variables”, while in terms of system equilibrium, resilience is defined as “the amount of disturbance that can be absorbed before the system changes its structure by altering the variables and processes that control behavior” ^[17]. Resilience, however, according to Folke, does not only mean being persistent or resistant to disturbances. It is also about the opportunities that the disorder opens in terms of recombining evolved structures and processes, renewing the system, and emerging new trajectories. For Adger, resilience is “the ability of human communities to withstand external shocks to their social infrastructure, such as environmental variability or social, economic, and political upheavals”, and for Carpenter et al., resilience is an approach, a way of thinking about the analysis of socio-ecological systems, and is defined as (a) the amount of disturbance a system can absorb while remaining in the same state or region of attraction; (b) the degree of capacity to build upon which the system can self-organize; and (c) the ability to increase learning and adaptation capacity ^[18].

Resilience as a concept in urban planning emerged in the 1990s as a response to the environmental threats of adapting social and institutional contexts ^[6]. Urban resilience generally refers to the ability of an urban system and all components of socio-ecological and sociotechnical networks—at spatial and temporal scales—to maintain or return quickly to desired functions in the face of a disturbance, to adapt to change, and to rapidly transform systems that limit current or future adaptive capacity ^[16]. From a risk mitigation perspective, resilience is “the ability of a system, community, or society exposed to risks resisting, absorb, adapt, and recover from the effects of a risk in a timely and effective manner, including by maintaining and restoring its essential structures and functions” ^[19]. According to the Network of 100 Resilient Cities, resilience is defined as “the capacity of individuals, communities, institutions, businesses, and systems within a city to survive, adapt, and grow no matter what kinds of chronic stresses and acute shocks they experience” ^[6]. Defining resilience, researchers notice that, initially, it refers to the stability of systems, while the concepts of the ability to transform and to adapt are then added. Across these definitions, resilience is conceptualized as an ability or a process. Finally, researchers notice that the definition from the risk mitigation perspective and the definition given from the 100 Resilient Cities network entail the notion of recovery and reorganization of systems that address threats and risks. In this framework, these definitions are more inclusive and complete, as they incorporate all the characteristics of resilience that each definition individually describes.

3. Sustainable Development

In the 1980s, when environmental issues were linked to those of development, the Brundtland Commission, in its report “Our Common Future”, introduced the now classic definition as follows: “sustainable development is the development that meets the needs of the present without compromising the ability of future generations to meet their own needs” ^[8]. Development is defined as “an evolutionary process in which human capacity increases in terms of initiating new structures, coping with problems, adapting to constant change, and attempting in a purposeful and creative way to achieve new goals”. Development should not only focus on economic and social issues but also on issues related to the management of natural resources; i.e., it should also be sustainable ^[20].

As Τhiele states, “sustainability is one of the very few ideals or values, such as democracy and human rights, that receive near universal recognition”. Climate change, the depletion of natural resources, and failing states brought the notion of sustainability to the forefront. The word “sustainability” derives from the Latin sustinere, which literally means to “hold up”. Sustainability should not be seen as an effort to maximize a singular good. “Rather, it requires an integrated and balanced response to ecological health, economic welfare, and social empowerment” ^[21].

For some scholars, sustainable development represents the mechanism through which society can interact with the environment and improve its standard of living without compromising the ecosystem, while for others, it is an approach to development that aims for economic and social progress that is balanced with the environment and does not undermine the prospects of future generations to meet their own needs. “Sustainable development can be seen as a tool for creating prototypes and normalizing those that bring prosperity to citizens”. It is not an easy goal to implement at the international, national, or local level. “Urban sustainability requires a holistic approach to addressing it, as it requires not only urban planning but also the commitment of local government and the local community (stakeholders and civil society)” ^[22].

4. The Notion of Metropolitan Urban Governance

Governance is a complicated and controversial concept. As per the UNDP’s definition, “governance” is the exercise of political, economic, and administrative authority in the management of a country’s affairs at all levels. It comprises the mechanisms, processes, and institutions through which citizens and groups articulate their interests, exercise their legal rights, meet their obligations, and mediate their differences. Two aspects of this definition are crucial. Firstly, governance is not the government. The concept of governance recognizes that power exists both within and beyond the formal authority and institutions of government. In many formulations, governance involves the government, the private sector, and civil society. Second, governance focuses on the “process”. It recognizes that decisions are made based on complex relationships between multiple stakeholders with different priorities ^[23]. Therefore, governance is not identified with the official government of the state, but includes citizens of an urban area, businesses, communities, and various non-governmental organizations. While some scholars argue that “it also includes the rules and norms of a society that inform and determine how decisions are made and resources are allocated” ^[24].

Following Pierre, urban governance can be described and understood as a process directed at blending and coordinating public and private interests within a context characterized by different institutional models based on different systems of values, norms, beliefs, and practices. Furthermore, to analyze urban governance, it is essential to focus on the capacities of the range of actors involved in a system of urban governance ^[25]. Hence, the defining feature of urban governance is that the management of cities is not the sole preserve of government or the private sector but is the preserve of a wide variety of actors that interact with one another to govern cities ^[26].

The concept of urban governance, according to Jabareen, contributes to the resilience of a city as a city with inclusive decision-making processes in the fields of planning, open dialogue, accountability, and cooperation. “A more resilient city is one in which governance is able to quickly restore basic services and resume social, institutional, and economic activity after a disastrous event”. According to Haley, understanding urban governance is critical for urban resilience, which relates to the quality of life and the quality of the spatial organization of urban areas, distributive justice, environmental well-being, and economic vitality ^[5]. Urban governance can be more effective in achieving resilience when it works from the bottom up and especially when it prioritizes the needs of the most vulnerable, because “having a governance agenda centered on the needs of the poor and most vulnerable has the potential to reduce asymmetries and improve resilience building” ^[25]. Urban governance is recognized by some scholars as “the key factor in achieving sustainable cities. The success or failure of cities depends in many ways on the cities themselves, and upon visionary political leadership and sound management” ^[27]. In the context of disasters, risk governance involves both the institutional structure and the political process that guide and control the activities of social groups. Local authorities in all countries play a critical role in the mitigation and adaptation to climate change ^[5]. Equally crucial is the involvement of citizens as well as non-governmental organizations in risk management, as the situation during a hazard is chaotic, and coordination, information dissemination, and assistance are essential to mitigate the impacts of the disaster. According to Rao, “the community is the first responder to initiate rescue and relief operations”. The dynamic and unpredictable situation affects the social system, economies, and recovery processes, and in this period, governance is everything. This means that governance for disaster reduction includes all actions to avoid or even mitigate the impacts of hazards, which include preparedness, prevention, and mitigation ^[28].

Large cities—which, due to their large urban agglomerations, face challenges and risks such as climate change, providing housing for vulnerable residents, transport, public health, and preparing residents to cope with stress and shocks—require planning and action on a larger scale, thus creating the need for good governance at the metropolitan scale. This is undoubtedly a complicated process, as cities will have to coordinate different levels of governance and actors belonging to several local governments with actors belonging to the same urban area, which makes the intergovernmental coordination of neighboring areas necessary. Metropolitan governance has been defined as the process by which a set of governmental and non-governmental actors interact to formulate policies and deliver collective goods at a metropolitan scale. It has become an essential tool to address the growing need for metropolitan-scale coordination, joint decision making, and integrated planning of urban functions and services for large cities to serve the interests of their residents ^[4].

5. Good Urban Governance

Good urban governance refers to the desired standards of practice in urban governance. The characteristics that qualify governance as good governance are participation, the rule of law, transparency, responsiveness, consensus orientation, equity, inclusion, efficiency, effectiveness, and accountability. Following Murphy, “there is no one ideal model of good urban governance, nowhere is the ‘one size fits all’ model less appropriate. The governance structure of each city must be tailored to meet the specificities and context of the country in which it is located. The challenge is to produce appropriate forms of governance, which optimize the potential of the urban area in question and respond adequately to its evolving needs” ^[25].

Some scholars argue that the core values of good governance include community participation and stakeholder involvement, effective urban management and municipal administration, and transparent and accountable councils ^[8]. Good urban governance involves the participation and interaction of public institutions, the private sector, and civil society organizations, while others claim that “the principles of good urban governance have become a global standard in urban policies”. “The concept is advocated as a strategy for improving the quality of life in urban settlements in both developed and developing countries, where sustainable development and inclusive policies for urban areas are threatened by rapid urbanization” ^[29].

In 1999, UN-Habitat, in its global campaign on urban governance to achieve the goal of sustainable human settlements in an urbanizing world, stated that “good urban governance is characterized by the independent and mutually reinforcing principles of sustainability, equity, efficiency, effectiveness, transparency, accountability, citizen engagement, citizenship, and security” ^[25], while according to the UNDP, good governance promotes sustainable development by empowering citizens to influence policies that promote growth and prosperity, protecting citizens from economic and political crises, and allowing people to participate in decisions that shape their lives ^[8]. The United Nations, in its Development Agenda in the late 1970s, defined “good governance” as participatory, transparent, and accountable. “It is also effective, equitable, and provides the rule of law” ^[25]. Some scholars argue that the fundamental values of good governance include community participation and stakeholder involvement, effective urban management and municipal administration, and council transparency and accountability ^[8]. In the case of metropolitan governance, a crucial element is the cooperation of the central city or cities with their wider region. Joint strategic planning and coherent policies, as well as the integration of private partners, are essential for modern metropolitan development ^[30].

6. Good Governance for Resilience and Sustainable Development

Good governance and sustainable development are interlinked concepts, while urban resilience is viewed as an effect of good governance, in the sense that local governments are responsible for building resilience and promoting and implementing sustainable development practices. According to Kardos, “good governance is always recognized as a critical tool for promoting sustainable development and is also considered a critical element to be integrated into development strategies, and although good governance does not guarantee sustainable development, its absence significantly limits it and can, at worst, impede it” ^[31].

Van der Waldt argues that “there is a close relationship between urban governance and city resilience. City administrations should foster resilient urban communities through effective scenario development and urban planning, environmental protection, and optimal utilization of scarce resources” ^[32], while following the UNDP, good governance promotes sustainable development by empowering citizens to influence policies that promote growth and prosperity, protect citizens from economic and political crises, and allow people to participate in decisions that shape their lives ^[8]. This is because the effective management of human, natural, economic, and financial resources is made possible through good governance, which encourages accountability, transparency, efficiency, and the rule of law at all levels. It also ensures civil society participation in decision-making processes that result in social and economic growth, mitigate poverty and inequalities, and preserve the built and natural environments. Furthermore, good governance is seen as a crucial element in reducing the risks that cities address. Local authorities have a key role to play in fostering sustainable urban policies. Urban governance is more effective at achieving resilience when it works from the top down, as it enables local actors to work together to find appropriate solutions. A key factor in building resilience is the integration of different stakeholders in the decision-making process, combining the experiences of local communities with scientific knowledge ^[25].

Choudhary and Neeli claim that “capacity building and institutional strengthening, particularly at the local level, government and organized civil society groups, are also crucial, as these are the first to respond to a disaster and are in the best position to work with communities” ^[8]. Furthermore, in such a condition, the preparedness and active participation of all stakeholders—citizens, non-governmental organizations, private businesses, and all governmental institutions—are considered critical elements in risk response. Xie and Peng state that “cities cannot rely solely on public power to resist disasters and that individuals, schools, businesses, non-profit organizations, and other groups should participate in urban disaster resilience efforts” ^[33]. Additionally, Lu and Li argued that government-led resilient cities programs focus more on disaster prevention than on the needs of affected people. Therefore, post-disaster development requires the involvement of non-governmental organizations (NGOs). They highlighted the contributions of NGOs to post-disaster development, such as the construction of infrastructure, capacity, mechanisms, and culture ^[33].

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