The translation of ecological resilience theory into urban systems by Edna M. Peres Submitted in partial fulfilment of the requirements for the degree Philosophiae Doctor in Architecture Department of Architecture Faculty of Engineering, Built Environment and Information Technology University of Pretoria Pretoria 12 February 2016 As part of the program for Resiliency Strategies for Aspirational African Cities, the financial assistance (Grant no. 78649) of the National Research Foundation (NRF) toward research is hereby acknowledged. Opinions expressed and conclusions arrived at are those of the author and cannot necessarily be attributed to the NRF. © University of Pretoria Ethics declaration The author, whose name appears on the title page of this thesis, has obtained, for the research described in this work, the applicable research ethics approval (Addendum C). The author declares that she has observed the ethical standards required in terms of the University of Pretoria‟s Code of ethics for researchers and the Policy guidelines for responsible research. Synopsis As an interdependent global society enters an era of unprecedented change, resulting from unforeseen natural and social disasters and vulnerabilities, the resilience of global cities to survive is a pressing concern. This dissertation aims to elucidate the application of resilience thinking by showing how ecological resilience concepts can translate into urban systems, using the capital of South Africa, Tshwane, as the exploration ground. Resilience simultaneously embodies the capacity of urban systems to bounce back, adapt or transform. Translating these concepts into a holistic urban resilience approach answers three questions: a) What is resilience theory? b) What are the core concepts of ecological resilience theory? and c) How might these concepts translate to cities? The dissertation is structured in three parts; to establish the basis of resilience thinking, explore ecological resilience concepts in an urban system and lastly, assimilate findings into an urban resilience approach. Qualitative along with historical-comparative research methods, guided literature studies, and interdisciplinary research designs generated the finding that ecological resilience concepts translate well into the urban system, but that urban resilience is not a panacea for the ills of the urban environment. An urban resilience approach could comprise a) evolutionary or adaptive urban resilience involving an ongoing study and observation of the city system; and b) transformative urban resilience, that actively changes systems that reflect stronger or weaker resilience, so as to purposefully regenerate or „collapse‟ them. This requires responsible and holistic conduct. Urban resilience thinking implies an appreciation for the complexity that underlies life, and modesty about ambitions for managing it. 2 © University of Pretoria Declaration In accordance with Regulation 4(e) of the General Regulations (G.57) for dissertations and theses, I declare that this dissertation, which I hereby submit for the degree Philosophiae Doctor (Real Estate) at the University of Pretoria, is my own work and has not previously been submitted by me for a degree at this or any other tertiary institution. I further state that no part of my dissertation has already been, or is currently being submitted for any such degree, diploma or other qualification. I further declare that this dissertation is substantially my own work. Where reference is made to the works of others, the extent to which that work has been used is indicated and fully acknowledged in the text and list of references. While conducting research for this dissertation, ideas contained therein were peer-reviewed and published in conference papers nationally and internationally. In addition, some aspects were presented at talks and seminars in South Africa. This was an important step in testing the interpretation and translation of ecological resilience theory into the urban environment, and in critical thinking. Aspects from the following papers are incorporated: Peres, E. & Du Plessis, C. 2013. The threat of slow changing disturbances to the resilience of African cities. In: S. Kajewski, K. Manley & K.Hampson (eds.), Proceedings of the 19th International CIB World Building Congress, 5-6 May. Brisbane. Brisbane: Queensland University of Technology, 1-13. Available from: http://trustsa.weebly.com/uploads/1/3/2/0/13205680/full_paper_cibwbc2013_submis sion_199_peres.pdf Peres, E. & Du Plessis, C. 2014a. Be(A)ware: Resilience is about so much more than poverty alleviation. In: XXV World Congress of Architecture, 3-7 August, Durban. Durban: UIA Architecture Otherwhere, 124-132. Peres, E. & Du Plessis, C. 2014b. Integral Resilience – an indicator and compass for sustainability. In:World SB14 Barcelona Conference, 28-30 October, Barcelona. Barcelona: World Sustainable Building 2014, no. 149. Available from: http://trustsa.weebly.com/uploads/1/3/2/0/13205680/wsbc14_-_integral_resilience_- _peres_du_plessis_final.pdf Peres, E., Barker, A. & Du Plessis, C. 2015. Architecture for Life. Architecture South Africa, January/ February, (71), 40-45. This thesis is 101479 words long (excluding images). 3 © University of Pretoria Acknowledgements It is with overwhelming gratitude that I give thanks to all the contributions, cosmic and otherwise, that have made this dissertation possible, and to the following individuals in particular: To my supervisor Chrisna du Plessis, for the opportunity to be a part of this project, and for being the most amazing source of new ideas, insight and inspiration. Thank you, guru. In loving memory of Prof. Karel Bakker, for informing me about this PhD opportunity. To my funder, who facilitated the execution of this study. The financial assistance (Grant no. 78649) of the National Research Foundation (NRF) toward research is hereby acknowledged. Opinions expressed and conclusions arrived at are those of the author and cannot necessarily be attributed to the NRF. To university and industry colleagues who listened to my ramblings – Arthur Barker, thank you for being a good sounding board early on, and Barry Senior, for offering to sit with me towards the „end of the beginning‟, and pushing me to be concise. To my close friends for letting me be a hermit and for your encouragement. To my parents-in-law for giving me a place to hide and write in comfort over many weekends. And to my sangha, my husband and my parents. Willem, thanks for being so supportive of my dreams and chasing them with me. Life is so much sweeter with you in it. To my parents, thank you for giving me life and teaching me its value. Momi, my bastion and my hero, this dissertation is dedicated to you. 4 © University of Pretoria From this distant vantage point, the Earth might not seem of any particular interest. But for us, it's different. Consider again that dot. That's here. That's home. That's us. On it everyone you love, everyone you know, everyone you ever heard of, every human being who ever was, lived out their lives. The aggregate of our joy and suffering, thousands of confident religions, ideologies, and economic doctrines, every hunter and forager, every hero and coward, every creator and destroyer of civilization, every king and peasant, every young couple in love, every mother and father, hopeful child, inventor and explorer, every teacher of morals, every corrupt politician, every "superstar," every "supreme leader," every saint and sinner in the history of our species lived there – on a mote of dust suspended in a sunbeam. Carl Sagan in Pale Blue Dot: A Vision of the Human Future in Space (Sagan 1997). 5 © University of Pretoria Contents Ethics declaration ......................................................................................................................................... 2 Synopsis 2 Declaration ................................................................................................................................................... 3 Acknowledgements ...................................................................................................................................... 4 Contents 6 List of Figures ............................................................................................................................................... 11 List of Tables ................................................................................................................................................ 12 List of Abbreviations and Acronyms ............................................................................................................ 13 1. INTRODUCTION TO THE DISSERTATION ................................................................... 15 1.1 Introduction ................................................................................................................................. 15 1.2 Contextualising the need for this dissertation ............................................................................. 15 1.2.1 The case for an urbanisation „rethink‟: consumption in a finite world ....................................... 18 1.2.2 The case for an urbanisation „rethink‟: current growth models ................................................. 19 1.2.3 The case for an urbanisation „rethink‟: anthropogenic climate change .................................. 23 1.3 Contextualising the study area: the City of Tshwane .................................................................. 24 1.3.1